13F-HR filed by Carnick & Kubik, LLC
Carnick & Kubik, LLC filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-12, with 1,013 holding rows worth $333,718,000.
- Accession
- 0001062993-16-009619
- Filer
- CIK 1555900
- Filed
- 2016-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 1,014 entries on the cover page, a total value of $333,718,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $333,718,000 with VALUE read as thousands by filing date, 13F file number 028-15410. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| LEE CNTY FLA INDL | 52349MGK2 | FNON | 100,000 | $116,000 | thousands by filing date | |
| COLORADO HEALTH FAC | 19648ATN5 | FNON | 100,000 | $115,000 | thousands by filing date | |
| SOUTH CORRECTIONAL | 83748CAJ5 | FNON | 100,000 | $115,000 | thousands by filing date | |
| NEW HAVEN IND WTR | 645138BU1 | FNON | 110,000 | $114,000 | thousands by filing date | |
| ANTHEM WEST MET DIST COLO | 03675EAA5 | FNON | 100,000 | $114,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 1,405 | $113,000 | thousands by filing date | |
| ARIZONA ST LOTTERY | 040624AY4 | FNON | 100,000 | $113,000 | thousands by filing date | |
| DEKALB KANE LASA | 240853AV3 | FNON | 100,000 | $113,000 | thousands by filing date | |
| ADAMS & WELD CNTYS COLO SCH DI | 005518VF9 | FNON | 100,000 | $113,000 | thousands by filing date | |
| FORT WORTH TEX | 349425H35 | FNON | 100,000 | $112,000 | thousands by filing date | |
| NNORTHEAST MET INTER SCH DIST N | 664259DF2 | FNON | 100,000 | $111,000 | thousands by filing date | |
| DES MOINES IA | 250119CD4 | FNON | 110,000 | $111,000 | thousands by filing date | |
| WEST CONTRA COS | 952347YD8 | FNON | 100,000 | $111,000 | thousands by filing date | |
| HIDALGO CNTY TEX | 429326SY8 | FNON | 100,000 | $110,000 | thousands by filing date | |
| WESTMINSTER COLO EC | 960660BA5 | FNON | 100,000 | $110,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 950 | $109,000 | thousands by filing date | |
| BROWNSVILLE TEX UTI | 116475B94 | FNON | 100,000 | $109,000 | thousands by filing date | |
| CAPE FEAR PUB UTIL | 139391AS5 | FNON | 100,000 | $109,000 | thousands by filing date | |
| PENNSYLVANIA ST TPK COMMN TPK REV BDS 2 | 709223YJ4 | FNON | 100,000 | $109,000 | thousands by filing date | |
| PORTLAND ORE SWR SY | 736742RP4 | FNON | 100,000 | $109,000 | thousands by filing date | |
| RANGEVIEW LIBR 4.25% 12/2021 | 75289FAM2 | FNON | 100,000 | $109,000 | thousands by filing date | |
| JEFFERSON CITY MO SCH DIST | 472538HP5 | FNON | 105,000 | $109,000 | thousands by filing date | |
| PLANO TEX INDPT SCH | 727199JK8 | FNON | 100,000 | $108,000 | thousands by filing date | |
| SALINA KANS WTR | 794811KQ1 | FNON | 100,000 | $108,000 | thousands by filing date | |
| SOUTH ADAMS CNTY WT | 83619CAP7 | FNON | 100,000 | $108,000 | thousands by filing date | |
| GRAND CNTY COLO LIBR DIST CTFS | 385306BC8 | FNON | 100,000 | $108,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 4,088 | $107,000 | thousands by filing date | |
| HILLSBOROUGH CNTY | 43231YER3 | FNON | 100,000 | $107,000 | thousands by filing date | |
| DES MOINES IOWA S | 250139CL4 | FNON | 100,000 | $106,000 | thousands by filing date | |
| EL PASO CNTY COLO | 283398AK1 | FNON | 90,000 | $106,000 | thousands by filing date | |
| NOVOGEN LTD. | Q69941203 | STOCKS | 1,062,456 | $106,000 | thousands by filing date | |
| ZIONSVILLE IND | 98972LLD1 | FNON | 100,000 | $106,000 | thousands by filing date | |
| NEBRASKA PUB PWR DIST REV | 63968AZJ7 | FNON | 100,000 | $105,000 | thousands by filing date | |
| UTAH WTR FIN AGY | 917572SW0 | FNON | 100,000 | $105,000 | thousands by filing date | |
| CITRUS CNTY FLA WTR | 177475AT7 | FNON | 100,000 | $104,000 | thousands by filing date | |
| SPRING TEX INDPT SC | 850000F70 | FNON | 100,000 | $104,000 | thousands by filing date | |
| CLAIBORNE CNTY TENN UTILS DIST WTR SWR A | 179476AG1 | FNON | 100,000 | $103,000 | thousands by filing date | |
| MASCO CORP 6.125% 10/03/2016 | 574599BD7 | FNON | 100,000 | $103,000 | thousands by filing date | |
| PEORIA ILL SPL TAX | 713232AN6 | FNON | 100,000 | $103,000 | thousands by filing date | |
| LANE CNTY ORE MET | 515179AT6 | FNON | 100,000 | $103,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 7,228 | $102,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HAN5 | Convertible | 100,000 | $102,000 | thousands by filing date | |
| Whirlpool Corp | 963320AH9 | FTAX | 100,000 | $102,000 | thousands by filing date | |
| Allied World Ass | 01959EAA6 | FNON | 100,000 | $102,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC MTN BE | 05348EAL3 | FNON | 100,000 | $102,000 | thousands by filing date | |
| COLORADO WTR RES & | 19679RRB8 | FNON | 90,000 | $101,000 | thousands by filing date | |
| ONEOK PARTNERS L P 6.15%10/01/2016 | 68268NAB9 | FTAX | 100,000 | $101,000 | thousands by filing date | |
| Torchmark Corp 6.375% 06/15/2016 | 891027AN4 | FNON | 100,000 | $101,000 | thousands by filing date | |
| AUSTIN TEX INDPT | 052430AU9 | FNON | 100,000 | $101,000 | thousands by filing date | |
| BALTIMORE MD PROJ | 05922KLC1 | FNON | 100,000 | $101,000 | thousands by filing date | |
| EL PASO CNTY COLO SCH DIST NO GO REF BD | 283371ML3 | FNON | 95,000 | $101,000 | thousands by filing date | |
| MARINA COAST WTR CALIF | 56808PAS9 | FNON | 100,000 | $101,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,082 | $100,000 | thousands by filing date | |
| Petrobras Global 2.0% 05/20/2016 | 71647NAC3 | FNON | 100,000 | $100,000 | thousands by filing date | |
| Qwest 8.375% 05/01/2016 | 74913GAW5 | FNON | 100,000 | $100,000 | thousands by filing date | |
| Santander Hldgs 4.625% 04/19/16 | 80282KAA4 | FNON | 100,000 | $100,000 | thousands by filing date | |
| Xerox 7.2% 04/01/2016 | 98412JBA1 | FTAX | 100,000 | $100,000 | thousands by filing date | |
| TEXAS TRANSN COM | 88283LCU8 | FNON | 100,000 | $100,000 | thousands by filing date | |
| WIDEFIELD COLO | 967584BN2 | FNON | 100,000 | $100,000 | thousands by filing date | |
| WYANDOTTE CNTY KANS CITY KANS IMPT REV | 982674EN9 | FNON | 90,000 | $100,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,385 | $98,000 | thousands by filing date | |
| LANCASTER CNTY PA | 514040XJ8 | FNON | 90,000 | $97,000 | thousands by filing date | |
| GRAYS HARBOR CNTY WASH PUB UTI | 389532JQ6 | FNON | 90,000 | $93,000 | thousands by filing date | |
| COLORADO HEALTH FACS AUTH REV HOSP REV | 19648AKV6 | FNON | 90,000 | $92,000 | thousands by filing date | |
| SWEETWATER CNTRY | 870487CG8 | FNON | 80,000 | $91,000 | thousands by filing date | |
| CONCORD NC UTILS | 206461GS8 | FNON | 80,000 | $90,000 | thousands by filing date | |
| OKLAHOMA CITY OKLA WTR UTILS T REV BDS 2 | 678657GC5 | FNON | 80,000 | $90,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 3,006 | $89,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,750 | $89,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 4,962 | $89,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 247 | $89,000 | thousands by filing date | |
| TEXAS ST DEPT HS | 882750LY6 | FNON | 85,000 | $89,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 6,957 | $88,000 | thousands by filing date | |
| COLORADO EDL & CULTURAL FACS A | 19645RJ28 | FNON | 75,000 | $88,000 | thousands by filing date | |
| GRAND RIVER DAM AUT WA | 386442SX6 | FNON | 80,000 | $87,000 | thousands by filing date | |
| ANCHORAGE ALASKA | 033161SL5 | FNON | 85,000 | $86,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 825 | $85,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 11,000 | $85,000 | thousands by filing date | |
| BRYAN TEX WTRWKS & | 117622HC7 | FNON | 80,000 | $85,000 | thousands by filing date | |
| NEW HAMPSHIRE MUN BD BK REV BDS 2 | 64465PGS1 | FNON | 75,000 | $85,000 | thousands by filing date | |
| DEKALB CNTY GA | 240523UJ7 | FNON | 65,000 | $85,000 | thousands by filing date | |
| DENVER COLO CITY & | 24916PDT1 | FNON | 80,000 | $85,000 | thousands by filing date | |
| GRUNDY KENDALL & | 400424FT9 | FNON | 85,000 | $85,000 | thousands by filing date | |
| TOLEDO-LUCAS CNTY OHIO PORT AU REF FACS | 889260BX2 | FNON | 85,000 | $85,000 | thousands by filing date | |
| EAGLE MTN UT W/S 5%21 UTIL COMB DUE | 26970TCL9 | FNON | 80,000 | $85,000 | thousands by filing date | |
| DALLAS TEX WTRWKS | 235416ZK3 | FNON | 80,000 | $84,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 700 | $83,000 | thousands by filing date | |
| CALIFORNIA POLLU | 130534A83 | FNON | 80,000 | $83,000 | thousands by filing date | |
| NORTH GIBSON IND MULTI-SCH BLD FIRST MTG | 659496BB8 | FNON | 75,000 | $83,000 | thousands by filing date | |
| FARMINGTON N MEX | 311450FD7 | FNON | 75,000 | $83,000 | thousands by filing date | |
| LIVINGSTON LA | 538685AD0 | FNON | 80,000 | $83,000 | thousands by filing date | |
| ADAMS & WELD CNTYS COLO SCH DI GO REF BD | 005518QV0 | FNON | 80,000 | $82,000 | thousands by filing date | |
| COLORADO WTR RES & PWR DEV AUT CLEAN WTR | 19679PAQ7 | FNON | 80,000 | $81,000 | thousands by filing date | |
| DANVILLE IND 5/6 & 7/8 SCH BLD FIRST MTG | 23656PAV5 | FNON | 80,000 | $81,000 | thousands by filing date | |
| SUGAR LAND TEX | 864855ZZ7 | FNON | 75,000 | $81,000 | thousands by filing date | |
| SUGAR LAND TEX WT 4.5% 08/2021 | 864881KA4 | FNON | 75,000 | $81,000 | thousands by filing date | |
| GRAND CNTY COLO LIBR DIST CTFS | 385306BD6 | FNON | 75,000 | $81,000 | thousands by filing date | |
| JUNCTION CITY KANS | 481502R46 | FNON | 75,000 | $80,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 662 | $78,000 | thousands by filing date | |
| FORT WORTH TEX CTFS OBLI G | 349425C30 | FNON | 75,000 | $78,000 | thousands by filing date | |
| SOUTH DAKOTA ST | 83755LKA3 | FNON | 75,000 | $78,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 475 | $77,000 | thousands by filing date | |
| TEXAS ST DEPT | 882750LT7 | FNON | 70,000 | $77,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 2,125 | $76,000 | thousands by filing date | |
| JARDINE STRATEGIC HOLDINGS | G50764102 | COM | 2,545 | $76,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 412 | $75,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6,693 | $75,000 | thousands by filing date | |
| NORTH DAKOTA ST MUN BD BK BDS 1998 A | 6588956A0 | FNON | 75,000 | $75,000 | thousands by filing date | |
| Goldman Sachs 6.0% 05/15/2016 | 38141E6R5 | FNON | 75,000 | $75,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 500 | $74,000 | thousands by filing date | |
| MISSOURI ST HWYS & TRANS COMMN REV BDS 2 | 60636WKV6 | FNON | 70,000 | $73,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 2,000 | $71,000 | thousands by filing date | |
| HAWAII ST 5%23 GO UTX DUE | 4197917H5 | FNON | 65,000 | $71,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 1,000 | $69,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 2,792 | $69,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 4,650 | $69,000 | thousands by filing date | |
| NEW YORK NY CITY | 64972FWG7 | FNON | 60,000 | $66,000 | thousands by filing date | |
| MASSACHUSETTS ST WT | 576051JC1 | FNON | 60,000 | $66,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 574 | $64,000 | thousands by filing date | |
| WYOMING MUN PWR | 983366CJ2 | FNON | 60,000 | $64,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 850 | $63,000 | thousands by filing date | |
| Roche Holding AG | H69293217 | COM | 255 | $63,000 | thousands by filing date | |
| WILL CNTY ILL CMNTY CONS SCH D | 968717RZ3 | FNON | 60,000 | $63,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 7,284 | $62,000 | thousands by filing date | |
| CHICAGO ILL BRD | 1675012J3 | FNON | 60,000 | $62,000 | thousands by filing date | |
| HOUSTON TEX INDPT | 442403BW0 | FNON | 60,000 | $62,000 | thousands by filing date | |
| INDIANA ST FIN AUTH REV ST REVOLV | 455057HC6 | FNON | 60,000 | $62,000 | thousands by filing date | |
| PRERE ENERGY NORTHWEST WASH ELEC REV | 29270CC86 | FNON | 60,000 | $61,000 | thousands by filing date | |
| GREATER ARIZ DEV AU | 391577SU8 | FNON | 55,000 | $61,000 | thousands by filing date | |
| ANTELOPE WTR SYS GEN IMPT DIST | 03672RAX9 | FNON | 55,000 | $60,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 2,175 | $59,000 | thousands by filing date | |
| INDIANA ST FIN AUTH REV | 455057PS2 | FNON | 50,000 | $59,000 | thousands by filing date | |
| WINSTON-SALEM N C | 975680CM9 | FNON | 55,000 | $59,000 | thousands by filing date | |
| NEBRASKA PUB PWR DI | 63968ASC0 | FNON | 50,000 | $58,000 | thousands by filing date | |
| LEE CNTY FLA INDL | 52349MGR7 | FNON | 50,000 | $58,000 | thousands by filing date | |
| BRIGHTON COLO WTR | 10932PBD7 | FNON | 50,000 | $57,000 | thousands by filing date | |
| SAN ANTONIO TEX ELE | 796253D33 | FNON | 55,000 | $57,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 1,319 | $56,000 | thousands by filing date | |
| ENERGY NORTHWEST WA | 29270CUV5 | FNON | 50,000 | $56,000 | thousands by filing date | |
| Bexar Cnty Tx 4.75% 06/15/2033 | 088281AZ3 | FNON | 50,000 | $55,000 | thousands by filing date | |
| Humble School 4.625% 02/15/2034 | 4450428A5 | FNON | 50,000 | $55,000 | thousands by filing date | |
| Port Houston 4.25% 10/01/2033 | 7342603C4 | FNON | 50,000 | $55,000 | thousands by filing date | |
| OWENSBORO KY WTR RE | 691106FS2 | FNON | 50,000 | $55,000 | thousands by filing date | |
| SAN ANTONIO TEX WTR | 79642BTQ6 | FNON | 50,000 | $55,000 | thousands by filing date | |
| KANSAS ST DEV FIN AUTH REV | 48542KS59 | FNON | 50,000 | $55,000 | thousands by filing date | |
| HAWAII ST | 419792GW0 | FNON | 50,000 | $54,000 | thousands by filing date | |
| GRAND FORKS N D WTR REV WTR RESER VE REF | 385514HH0 | FNON | 50,000 | $54,000 | thousands by filing date | |
| SALT LAKE VY FIRE SVC UTAH AUT LEASE REV | 795717AN7 | FNON | 50,000 | $54,000 | thousands by filing date | |
| SPRINGFIELD ILL WTR REV WTR REV B DS | 850714EV4 | FNON | 50,000 | $54,000 | thousands by filing date | |
| MINNESOTA ST 911 REV 911 REV B DS | 60412LBM0 | FNON | 50,000 | $53,000 | thousands by filing date | |
| Arlington Tx 4.5% 08/15/2027 | 0417903G9 | FNON | 50,000 | $53,000 | thousands by filing date | |
| Rockwall Tx 4.5% 08/01/2026 | 774280WP2 | FNON | 50,000 | $53,000 | thousands by filing date | |
| Texas St 4.5% 04/01/2032 | 882723LY3 | FNON | 50,000 | $53,000 | thousands by filing date | |
| GRAND FORKS N D REF IMPT BDS | 385443ZM1 | FNON | 50,000 | $53,000 | thousands by filing date | |
| SEYMOUR IND | 818563BG2 | FNON | 50,000 | $53,000 | thousands by filing date | |
| INDIANA ST FIN AUTH REV REF B DS | 455057PB9 | FNON | 50,000 | $53,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 228 | $52,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 200 | $52,000 | thousands by filing date | |
| MEMPHIS TENN SAN SEW SYS REV REV BDS 200 | 586200NW3 | FNON | 50,000 | $52,000 | thousands by filing date | |
| GRAYS HARBOR CNTY WASH PUB UTI | 389532JJ2 | FNON | 50,000 | $52,000 | thousands by filing date | |
| Corpus Christi 4.5% 03/01/2024 | 220112C53 | FNON | 50,000 | $52,000 | thousands by filing date | |
| Cypress-Fairbank 4.5% 02/15/2028 | 232760YA0 | FNON | 50,000 | $52,000 | thousands by filing date | |
| Midland School 4.75% 02/15/2026 | 597783ZD4 | FNON | 50,000 | $52,000 | thousands by filing date | |
| Midlothian School 4.0% 02/15/2034 | 597851ZL1 | FNON | 50,000 | $52,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 405 | $51,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 985 | $51,000 | thousands by filing date | |
| Burleson School 4.375% 08/01/2032 | 121403WY1 | FNON | 50,000 | $51,000 | thousands by filing date | |
| RUSK CNTY TEX CTFS OF O BLIG | 782191AU4 | FNON | 50,000 | $51,000 | thousands by filing date | |
| KING CNTY WASH RURAL LIBR DIST GO BDS 20 | 494800FL4 | FNON | 50,000 | $51,000 | thousands by filing date | |
| STERLING HILLS 4.375% 12/2022 | 85933MAU8 | FNON | 50,000 | $51,000 | thousands by filing date | |
| AMERICAN GREETINGS CORP CL A | 026375105 | COM | 2,235 | $49,000 | thousands by filing date | |
| SOUTH DAKOTA HSG | 83755NCJ9 | FNON | 45,000 | $48,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 592 | $47,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 1,550 | $47,000 | thousands by filing date | |
| NORTHSTAR REALTY FINANCE PREF | 66705V209 | PFD | 2,100 | $47,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,000 | $46,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 3,500 | $46,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 680 | $46,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 200 | $44,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 850 | $44,000 | thousands by filing date | |
| ANCHORAGE ALAASKA | 033161WT3 | FNON | 40,000 | $44,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 694 | $43,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,650 | $42,000 | thousands by filing date | |
| BULLARD TEX INDPT SCH DIST | 120214NL1 | FNON | 40,000 | $42,000 | thousands by filing date | |
| ALASKA RR CORP CAP GRNT RCPTS CAP GRNT | 01176PBU3 | FNON | 40,000 | $42,000 | thousands by filing date | |
| Dallas Transit 4.5% 12/01/2024 | 235241QM1 | FNON | 40,000 | $41,000 | thousands by filing date | |
| JEFFERSON CNTY ALA SWR REV | 472682QV8 | FNON | 100,000 | $41,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 215 | $40,000 | thousands by filing date | |
| DELAWARE ST SOLID WASTE AUTH S REV BDS 2 | 246412DG2 | FNON | 40,000 | $40,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 250 | $39,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 491 | $39,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 500 | $39,000 | thousands by filing date | |
| RAKUTEN INC TOKYO SHS F | J64264104 | COM | 4,015 | $39,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 30,355 | $38,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 685 | $37,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 385 | $37,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 500 | $37,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 2,776 | $37,000 | thousands by filing date | |
| WILL CNTY I11 HIG | 969037HG8 | FNON | 35,000 | $37,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 1,400 | $35,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 2,367 | $35,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 2,355 | $35,000 | thousands by filing date | |
| DIGITAL RLTY TR - PFD G | 253868889 | EQPFD | 1,400 | $35,000 | thousands by filing date | |
| RICHARDSON TEX | 763227QS7 | FNON | 35,000 | $35,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 350 | $34,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 1,075 | $34,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 1,100 | $33,000 | thousands by filing date | |
| ANTELOPE WTR SYS GEN IMPT DIST | 03672RAY7 | FNON | 30,000 | $33,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 300 | $32,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 300 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 630 | $32,000 | thousands by filing date | |
| BRAZOS RIVER AUTH TX | 106214DX4 | FNON | 30,000 | $32,000 | thousands by filing date | |
| NEBRASKA PUB PWR DIST REV | 63968AZA6 | FNON | 30,000 | $32,000 | thousands by filing date | |
| OKLAHOMA HSG FIN AGY SINGLE FA REV BDS 2 | 67886MKY4 | FNON | 30,000 | $32,000 | thousands by filing date | |
| DE KALB CNTY ILL CMNTY UNIT SC GO SCH BD | 240685GU5 | FNON | 30,000 | $32,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 600 | $31,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 720 | $31,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 275 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 1,000 | $31,000 | thousands by filing date | |
| JANUS HENDERSON GLOBAL SELECT T | 471023648 | NTF EQUITY FUNDS | 2,553 | $31,000 | thousands by filing date | |
| AMERICAN CAPITAL 8% PFD | 02503X204 | ps | 1,200 | $31,000 | thousands by filing date | |
| Alvarado School 4.5% 02/15/2034 | 022357XZ5 | FNON | 30,000 | $31,000 | thousands by filing date | |
| LANCASTER PA SCH DI | 514383QL5 | FNON | 30,000 | $31,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 2,200 | $30,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 250 | $30,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 400 | $30,000 | thousands by filing date | |
| MOUNT PLESANT CALIF ELEM SCH | 622344FF1 | FNON | 65,000 | $30,000 | thousands by filing date | |
| PRERE ENERGY NORTHWEST WASH ELEC REV | 29270CC37 | FNON | 30,000 | $30,000 | thousands by filing date | |
| FORSYTH MONT POL | 346668CZ7 | FNON | 30,000 | $30,000 | thousands by filing date | |
| WESTMINSTER COLO SA | 960668JE2 | FNON | 30,000 | $30,000 | thousands by filing date | |
| Barclays S&P PPN | 06740LNY7 | STOCK | 20,000 | $30,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 272 | $29,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 1,750 | $29,000 | thousands by filing date | |
| PARK CREEK MET | 700387CA9 | FNON | 25,000 | $29,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 304 | $28,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 325 | $28,000 | thousands by filing date | |
| FEDERAL HOME LN MTG CORP PFD 8.375 NCM | 313400624 | Preferred | 9,000 | $28,000 | thousands by filing date | |
| MILLEDGEVILLE GA WT | 600361EX3 | FNON | 25,000 | $28,000 | thousands by filing date | |
| LEVEL3 COMMUNICATIONS INC | 52729N100 | COM | 517 | $27,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 200 | $27,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 500 | $27,000 | thousands by filing date | |
| NFJ | 65337H109 | EXCHANGE TRADED | 2,200 | $27,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 600 | $27,000 | thousands by filing date | |
| NORTH CAROLINA MUN PWR AGY NO | 6582034P6 | FNON | 25,000 | $27,000 | thousands by filing date | |
| Arlington Tx 4.625% 08/15/2033 | 0417906R2 | FNON | 25,000 | $27,000 | thousands by filing date | |
| Denton Tx 4.5% 07/15/2034 | 248775D21 | FNON | 25,000 | $27,000 | thousands by filing date | |
| TEXAS ST | 8827213Q4 | FNON | 25,000 | $27,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 650 | $26,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 2,000 | $26,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 1,400 | $26,000 | thousands by filing date | |
| Corporate Office Prop 7.375% C | 22002t884 | PFD | 1,000 | $26,000 | thousands by filing date | |
| MESA ST COLLEGE | 59067EAA3 | FNON | 25,000 | $26,000 | thousands by filing date | |
| GEORGIA ST GO BDS 2007E | 373384DT0 | FNON | 25,000 | $26,000 | thousands by filing date | |
| ILLINOIS ST FOR | 452152BH3 | FNON | 25,000 | $26,000 | thousands by filing date | |
| JEFFERSON CITY MO SCH DIST | 472538HT7 | FNON | 25,000 | $26,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 802 | $25,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 1,125 | $25,000 | thousands by filing date | |
| COLORADO WTR RES | 196797YU2 | FNON | 25,000 | $25,000 | thousands by filing date | |
| COOK CNTY ILL SCH | 214795FM3 | FNON | 24,000 | $25,000 | thousands by filing date | |
| ST LUCIE CNTY FL | 792082BK4 | FNON | 20,000 | $24,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 300 | $23,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 400 | $23,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 350 | $22,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,057 | $22,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 808 | $22,000 | thousands by filing date | |
| ASPEN VY HOSP DIST | 045338BT6 | FNON | 20,000 | $22,000 | thousands by filing date | |
| FEDL HOME LN MTG 6.5% 05/32 | 31392K5C6 | FTAX | 100,000 | $22,000 | thousands by filing date | |
| Fed Natl Mtg | 31393EJK6 | FTAX | 50,000 | $22,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 3,484 | $21,000 | thousands by filing date | |
| FLUOR CORP NEW | 343412AA0 | NOTE 1.5 | 400 | $21,000 | thousands by filing date | |
| EPR PROPERTIES PFD SER F 6.625 | 26884U406 | PFD | 800 | $21,000 | thousands by filing date | |
| CALIFORNIA POLLU | 130534A91 | FNON | 20,000 | $21,000 | thousands by filing date | |
| COLORADO ST BRD GOVERNORS UNIV REV BDS 2 | 196707LK7 | FNON | 20,000 | $21,000 | thousands by filing date | |
| GRAYS HARBOR CNTY WASH PUB UTI | 389532JP8 | FNON | 20,000 | $21,000 | thousands by filing date | |
| VIRGINIA ST RES AUTH INFRASTRU | 92818LEM0 | FNON | 20,000 | $21,000 | thousands by filing date | |
| ROGERS ARK SWR | 775086CD1 | FNON | 20,000 | $21,000 | thousands by filing date | |
| SOUTH DAKOTA ST | 83755LJX5 | FNON | 20,000 | $21,000 | thousands by filing date | |
| INDIANA FIN AUTH HWY REV HWY REF R | 45470RBD7 | FNON | 20,000 | $21,000 | thousands by filing date | |
| WINSTON-SALEM N C | 975680BZ1 | FNON | 20,000 | $21,000 | thousands by filing date | |
| EAGLE MTN UT W/S 5%21 UTIL COMB DUE | 26970TCC9 | FNON | 20,000 | $21,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 500 | $20,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,100 | $20,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 175 | $20,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 536 | $20,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 500 | $20,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,850 | $20,000 | thousands by filing date | |
| FLORIDA ST MUN | 3428153L9 | FNON | 20,000 | $20,000 | thousands by filing date | |
| PORTAGE TWP IND MULTI-SCHOOL B FIRST MTG | 735883DS6 | FNON | 20,000 | $20,000 | thousands by filing date | |
| INDIANA BD BK REV SPL PROG REF BDS | 454624QL4 | FNON | 20,000 | $20,000 | thousands by filing date | |
| LINCOLN NEB GO HIGHWA Y ALLOCAT | 5342383L2 | FNON | 20,000 | $20,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 400 | $19,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 600 | $19,000 | thousands by filing date | |
| ELIO MOTORS | 28661d102 | COM | 900 | $19,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 440 | $18,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 300 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 315 | $18,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 250 | $18,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 800 | $17,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 890 | $17,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 300 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 1,250 | $17,000 | thousands by filing date | |
| General Electric 6.75% 5/15/2018 | 36966R3C8 | FNON | 15,000 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 450 | $16,000 | thousands by filing date | |
| FANUC CORP | J13440102 | FOREIGN | 100 | $16,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 900 | $16,000 | thousands by filing date | |
| COLORADO ST BRD GOVERNORS UNIV REV BDS 2 | 196707LJ0 | FNON | 15,000 | $16,000 | thousands by filing date | |
| Alvarado School 4.5% 02/15/2017 | 022357XN2 | FNON | 15,000 | $16,000 | thousands by filing date | |
| AMERICAN MUN PWR OHIO INC REV | 02765UJE5 | FNON | 15,000 | $16,000 | thousands by filing date | |
| MASSACHUSETTS ST WT | 576051JE7 | FNON | 15,000 | $16,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 435 | $15,000 | thousands by filing date | |
| ONEX COPR SUB VTG (ONEXF) | 68272k103 | COM | 250 | $15,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 500 | $15,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 300 | $15,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENT LTD- CL A COMMON SHRS | G20045902 | Cmn | 827 | $15,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 1,000 | $15,000 | thousands by filing date | |
| KING CNTY WASH SWR REV | 495289T59 | FNON | 15,000 | $15,000 | thousands by filing date | |
| UNIVERSITY COLO 4.375% 06/2033 | 91417KKE0 | FNON | 15,000 | $15,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 156 | $14,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 300 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 1,300 | $14,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 1,000 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 750 | $14,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 300 | $14,000 | thousands by filing date | |
| Chesapeake Energy Corp | 165167CC9 | CORP | 25,000 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 500 | $13,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 950 | $13,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 300 | $13,000 | thousands by filing date | |
| DIGITAL REALTY TRUST $1.75 PFD | 253868707 | PREFERRED | 500 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 550 | $13,000 | thousands by filing date | |
| GNMA II 080112 FLT | 36225CDS2 | FTAX | 2,000,000 | $13,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 100 | $12,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE VALUE ETF | 02072L102 | ETF | 500 | $12,000 | thousands by filing date | |
| Ginnie Mae 2 G2SF 002671 6.000 11/20/28 | 36202C6G3 | Exchange Traded Fund | 700,000 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS GRP INC MTN BE 7.5percent 02152019 | 38141EA25 | Corporate Bond | 10,000 | $12,000 | thousands by filing date | |
| Georgia Pwr Co. 6.50 Class A | 373334119 | PFD | 115 | $12,000 | thousands by filing date | |
| FEDL HOME LN MTG 6% 12/21 | 31339LSN1 | FTAX | 50,000 | $12,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 400 | $11,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,300 | $11,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,000 | $11,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 400 | $11,000 | thousands by filing date | |
| Pimco Commodity RR Strat D (377) | 722005550 | Com | 1,796 | $11,000 | thousands by filing date | |
| FHLMC REMIC SERIES 2426 GJ CMO | 31339W6E1 | CMO/MBS/ABS | 100,000 | $11,000 | thousands by filing date | |
| Fhlmc Series 1128 08/15/2021 7.000 Factor 0.00052950 | 312906G79 | Mortgage-Backed | 1,801,000 | $11,000 | thousands by filing date | |
| Brighton Colo Water 3.0% 12/1/2018 | 10932PAR7 | FNON | 10,000 | $11,000 | thousands by filing date | |
| AMERICAN MUN PWR OHIO INC REV | 02765UHU1 | FNON | 10,000 | $11,000 | thousands by filing date | |
| BUCKEYE ARIZ UN HIGH SCH DIST | 118106FW8 | FNON | 10,000 | $11,000 | thousands by filing date | |
| FED HM LN MTG 6.5% 01/28 | 3133TCLJ5 | FTAX | 170,000 | $11,000 | thousands by filing date | |
| FEDL NATL MTG ASSN 6% 11/31 | 313921Y85 | FTAX | 85,000 | $11,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 1,026 | $10,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 300 | $10,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 200 | $10,000 | thousands by filing date | |
| Capstead Mortgage | 14067E605 | PFD | 400 | $10,000 | thousands by filing date | |
| BULLARD TEX INDPT SCH DIST | 120214NN7 | FNON | 10,000 | $10,000 | thousands by filing date | |
| GRAYS HARBOR CNTY WASH PUB UTI | 389532JH6 | FNON | 10,000 | $10,000 | thousands by filing date | |
| Dallas Transit 4.5% 12/01/2024 | 235241RA6 | FNON | 10,000 | $10,000 | thousands by filing date | |
| T. ROWE PRICE INTERNATIONAL STOCK ADV | 77956H823 | STOCKS | 629 | $10,000 | thousands by filing date | |
| SPRINGFIELD ILL ELEC REV ELEC REV | 850578RK3 | FNON | 10,000 | $10,000 | thousands by filing date | |
| KING CNTY WASH | 495044SM2 | FNON | 10,000 | $10,000 | thousands by filing date | |
| FHLMC 6% 12/33 | 31292H4K7 | FTAX | 150,000 | $10,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 200 | $9,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 190 | $9,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 600 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 400 | $9,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 350 | $9,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 450 | $9,000 | thousands by filing date | |
| FHLMC Pl #c9- 5.5% 08/25 | 3128P7AN3 | FTAX | 100,000 | $9,000 | thousands by filing date | |
| FGLMC 6% 02/33 | 31292HUQ5 | FTAX | 230,000 | $9,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 165 | $8,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 100 | $8,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,000 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 273 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 420 | $8,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 500 | $8,000 | thousands by filing date | |
| FNMA 5.5% 08/24 | 31371LTS8 | FTAX | 115,000 | $8,000 | thousands by filing date | |
| FNMA 5.5% 06/01/2025 | 31371MCC9 | FTAX | 105,000 | $8,000 | thousands by filing date | |
| FNMA 5.5% 07/25 | 31371MDN4 | FTAX | 100,000 | $8,000 | thousands by filing date | |
| Monmouth Pfd A | 609720206 | FTAX | 299 | $8,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 120 | $7,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 300 | $7,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 135 | $7,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 500 | $7,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 600 | $7,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 500 | $7,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 1,948 | $7,000 | thousands by filing date | |
| RESOURCE CAPITAL PERF B 8.25% | 76120W500 | PFD | 400 | $7,000 | thousands by filing date | |
| BMC SOFTWARE INC | 055921AB6 | FTAX | 15,000 | $7,000 | thousands by filing date | |
| FNMA 5.5% 03/01/2020 | 31371L6N4 | FTAX | 106,000 | $7,000 | thousands by filing date | |
| FNMA 5.5% 11/31 | 31388SFR1 | FTAX | 235,000 | $7,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 67 | $6,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 425 | $6,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 117 | $6,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 500 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U589 | JR GOLD MINERS E | 200 | $6,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 1,000 | $6,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 600 | $6,000 | thousands by filing date | |
| SOUTH CAROLINA ST PUB SVCS AUT | 837151NS4 | FNON | 5,000 | $6,000 | thousands by filing date | |
| FHLMC 1B-2492 FLT | 3128JMUS4 | FTAX | 60,000 | $6,000 | thousands by filing date | |
| FHLMC Pl #c 6.00% 08/24 | 31335H5G4 | FTAX | 100,000 | $6,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 92 | $5,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 109 | $5,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 488 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 98 | $5,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 105 | $5,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 745 | $5,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 66 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 300 | $5,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 500 | $5,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 100 | $5,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 450 | $5,000 | thousands by filing date | |
| BOULDER VALLEY 4.625% 12/2031 | 101547UA3 | FNON | 5,000 | $5,000 | thousands by filing date | |
| CALIFORNIA ST DEPT WTR RES CEN CENTRAL V | 130663CK1 | FNON | 5,000 | $5,000 | thousands by filing date | |
| CLOVER S C SCH DIST NO 2 YORK | 189152FK2 | FNON | 5,000 | $5,000 | thousands by filing date | |
| COLORADO ST BRD GOV 5% 03/2033 | 196707GX5 | FNON | 5,000 | $5,000 | thousands by filing date | |
| METROPOLITAN ATLANTA RAPID TRA SALES TAX | 591745D84 | FNON | 5,000 | $5,000 | thousands by filing date | |
| NORTH DAKOTA ST MUN BD BK REV BDS 2005A | 658896KE4 | FNON | 5,000 | $5,000 | thousands by filing date | |
| HAWAII ST | 419792HD1 | FNON | 5,000 | $5,000 | thousands by filing date | |
| NORTH CAROLINA MUN PWR AGY NO | 6582034W1 | FNON | 5,000 | $5,000 | thousands by filing date | |
| KING CNTY WASH SWR REV | 495289R93 | FNON | 5,000 | $5,000 | thousands by filing date | |
| TEXAS TRANSN COMMN ST HWY FD R ST HWY FU | 88283LCR5 | FNON | 5,000 | $5,000 | thousands by filing date | |
| GREEN TREE FINANCIAL MFH 99-2 | 393505W40 | FTAX | 40,000 | $5,000 | thousands by filing date | |
| ABN AMRO MTG CORP 8% 03/29 | 00077BKF9 | FTAX | 5,000 | $5,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 90 | $4,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 134 | $4,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 300 | $4,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 186 | $4,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 350 | $4,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 100 | $4,000 | thousands by filing date | |
| Prologis | 743410102 | COM | 99 | $4,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 1,000 | $4,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 150 | $4,000 | thousands by filing date | |
| FED HM LN MTG | 3133T2YE4 | FTAX | 58,000 | $4,000 | thousands by filing date | |
| FEDL NATL MTG ASSN 5% 02/18 | 31392HWE9 | FTAX | 60,000 | $4,000 | thousands by filing date | |
| Lehman Bros Hld Var 2xxx | 525ESC0A8 | FTAX | 50,000 | $4,000 | thousands by filing date | |
| Lehman Bros Hld Var 2xxx | 525ESCAV1 | FTAX | 50,000 | $4,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 66 | $3,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 200 | $3,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 60 | $3,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 350 | $3,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 200 | $3,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 100 | $3,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 100 | $3,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 100 | $3,000 | thousands by filing date | |
| SPDR S&P Midcap 400 | 595635103 | COM | 10 | $3,000 | thousands by filing date | |
| Fannie Mae | 313586752 | PREF STK | 1,000 | $3,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 16 | $3,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 460 | $3,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 17,500 | $3,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 250 | $3,000 | thousands by filing date | |
| Northland Power Inc. | 666511100 | COM | 200 | $3,000 | thousands by filing date | |
| WP GLIMCHER IN | 92939N102 | COM | 350 | $3,000 | thousands by filing date | |
| FEDL HOME LN MTG 6% 04/28 | 3133TDCF1 | FTAX | 100,000 | $3,000 | thousands by filing date | |
| FEDL HOME LN MTG 6.25% 03/29 | 3133TJNL3 | FTAX | 100,000 | $3,000 | thousands by filing date | |
| FED HOME LN MTG 6.5% 05/32 | 31392KDM5 | FTAX | 50,000 | $3,000 | thousands by filing date | |
| SUNOCO | 86764PAD1 | FTAX | 3,000 | $3,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 20 | $2,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 33 | $2,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 30 | $2,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 16 | $2,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 80 | $2,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 150 | $2,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 320 | $2,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 125 | $2,000 | thousands by filing date | |
| LVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 502441306 | AMERICAN DEPOSITORY | 55 | $2,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 20 | $2,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 20 | $2,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 90 | $2,000 | thousands by filing date | |
| GOVT NATL MTG | 38374L5G2 | FTAX | 20,000 | $2,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 15 | $1,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 18 | $1,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 500 | $1,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 109 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 750 | $1,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 14 | $1,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 18 | $1,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 19 | $1,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 20 | $1,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 200 | $1,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 100 | $1,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 20 | $1,000 | thousands by filing date | |
| ROVI CORP | 779376102 | COM | 38 | $1,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 62 | $1,000 | thousands by filing date | |
| FIRST POTOMAC 7.75% A | 33610F307 | PREFERR | 28 | $1,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 1,007 | $1,000 | thousands by filing date | |
| ATLANTIS GAMING CORPORATION CO | 04914u100 | COM | 13,911,000 | $1,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 200 | $1,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 600 | $1,000 | thousands by filing date | |
| BA MTG SECS INC | 05948XC82 | SER 2003-9 CL 2-A-3 | 10,000 | $1,000 | thousands by filing date | |
| Bank of America 5.5% 11/25/2033 | 05948XWW7 | FNON | 12,000 | $1,000 | thousands by filing date | |
| CONAGRA FOODS | 205887BF8 | FTAX | 500 | $1,000 | thousands by filing date | |
| GREEN TREE FINANCIAL CO 1996-2 | 393505LY6 | FTAX | 55,000 | $1,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 48 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 22ND CENTY GROUP INC | 90137F103 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 3,192 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fairpoint Communications Inc/O | 305560104 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-16-009619 | this filing | 2016-05-12 | acceptance time not in the bulk data set |