13F-HR filed by Focused Wealth Management, Inc
Focused Wealth Management, Inc filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 688 holding rows worth $299,857,000.
- Accession
- 0001062993-17-004897
- Filer
- CIK 1586052
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 688 entries on the cover page, a total value of $299,857,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $299,857,000 with VALUE read as thousands by filing date, 13F file number 028-15621. 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 |
|---|---|---|---|---|---|---|
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 406,789 | $32,978,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 216,905 | $22,714,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 522,592 | $21,557,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 166,236 | $13,625,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 87,767 | $13,340,000 | thousands by filing date | |
| VTI | 922908769 | COM | 99,726 | $12,917,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 68,490 | $10,430,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 281,412 | $7,277,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 256,128 | $6,490,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 60,922 | $6,202,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 254,356 | $6,150,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 51,848 | $5,889,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 451,948 | $5,107,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 76,006 | $4,968,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 136,257 | $4,749,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 29,759 | $4,586,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 24,688 | $4,218,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 57,794 | $4,204,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 37,517 | $4,176,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 78,513 | $4,098,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 119,865 | $4,000,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 31,945 | $3,189,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 179,730 | $2,513,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 10,057 | $2,385,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 17,421 | $2,265,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 14,273 | $2,071,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 220,537 | $2,062,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 24,968 | $2,023,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 99,194 | $2,017,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 24,556 | $2,013,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 11,133 | $1,923,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 56,701 | $1,907,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 10,333 | $1,894,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 14,141 | $1,662,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 42,120 | $1,604,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 27,237 | $1,589,000 | thousands by filing date | |
| IJH | 464287507 | COM | 8,758 | $1,567,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 90,872 | $1,563,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 27,041 | $1,381,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 26,934 | $1,260,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 10,066 | $1,259,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 8,253 | $1,203,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 77,413 | $1,167,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 63,526 | $1,150,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 98,246 | $1,147,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 30,716 | $1,097,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 61,297 | $1,079,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 4,253 | $1,076,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 78,435 | $1,051,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 11,459 | $1,043,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 69,605 | $1,034,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 8,068 | $1,006,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 77,833 | $932,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 14,403 | $918,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,579 | $880,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 26,051 | $826,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 52,774 | $819,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 23,029 | $780,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 19,210 | $764,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 5,293 | $759,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 10,913 | $756,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 48,465 | $742,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,537 | $739,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 14,480 | $717,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 44,737 | $707,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 27,526 | $693,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 16,812 | $659,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 9,431 | $658,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 6,530 | $644,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 4,349 | $627,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 4,226 | $615,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 13,482 | $607,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 8,640 | $607,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,690 | $602,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 9,250 | $599,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 6,073 | $580,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 10,276 | $551,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 7,334 | $546,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 7,142 | $520,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 47,464 | $511,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 525 | $505,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 19,170 | $500,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,355 | $494,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 16,868 | $480,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 9,317 | $449,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 38,232 | $446,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 9,209 | $445,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 4,048 | $444,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 11,688 | $436,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 22,609 | $434,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 7,266 | $416,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,262 | $404,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 16,991 | $401,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 28,407 | $399,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,882 | $373,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 3,913 | $366,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,424 | $362,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,791 | $357,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 4,390 | $355,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,746 | $341,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,866 | $318,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 7,997 | $310,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 83,402 | $305,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,578 | $294,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 7,180 | $292,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 6,755 | $281,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 5,550 | $279,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 185,513 | $276,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 16,382 | $275,000 | thousands by filing date | |
| CARE CAP PPTYS INC COM | 055ESC107 | COM | 196,875 | $272,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 3,296 | $266,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 850 | $266,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 9,787 | $235,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,647 | $233,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 9,725 | $233,000 | thousands by filing date | |
| 38259p508 | COM | 236 | $230,000 | thousands by filing date | ||
| GOOGLE INC | 38259P706 | CL C | 229 | $220,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 5,850 | $217,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,212 | $209,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 2,581 | $207,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,408 | $200,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 2,217 | $197,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 1,929 | $196,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 3,681 | $195,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 4,022 | $187,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 13,351 | $187,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,514 | $178,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 951 | $177,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 3,540 | $176,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 2,285 | $175,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 1,000 | $174,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,397 | $170,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 2,060 | $161,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 1,493 | $159,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 27,000 | $151,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 1,731 | $149,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 3,892 | $147,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 8,913 | $143,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 760 | $142,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 8,161 | $141,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,032 | $139,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 1,753 | $136,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 13,065 | $135,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 735 | $133,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 2,149 | $132,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,416 | $129,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 1,463 | $129,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,100 | $128,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 2,272 | $126,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 854 | $121,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 1,600 | $119,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,258 | $113,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 2,309 | $113,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 6,628 | $112,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 5,814 | $109,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 1,783 | $108,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 1,038 | $106,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 1,315 | $105,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,205 | $103,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 1,065 | $102,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 303 | $101,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 685 | $100,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 618 | $100,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 621 | $97,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 303 | $94,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 2,466 | $94,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,142 | $91,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,378 | $91,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 8,100 | $91,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 1,100 | $91,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,804 | $90,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 1,451 | $87,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 600 | $85,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 807 | $85,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 2,775 | $84,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 758 | $83,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 416 | $81,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 351 | $81,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 3,400 | $81,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,030 | $81,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 11,300 | $81,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 710 | $80,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,490 | $79,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 657 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 867 | $77,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,831 | $77,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 4,200 | $77,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 1,597 | $77,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 935 | $76,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,871 | $76,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 500 | $74,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,133 | $73,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 1,275 | $73,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 1,554 | $72,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 278 | $70,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 7,233 | $70,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 689 | $70,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 354 | $69,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 515 | $69,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 900 | $69,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 1,766 | $68,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 628 | $67,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 810 | $67,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 750 | $67,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 2,039 | $66,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 1,800 | $65,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 466 | $64,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 687 | $64,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 914 | $64,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 520 | $63,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 1,238 | $63,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 812 | $62,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 1,735 | $62,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 960 | $61,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 1,629 | $61,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 1,079 | $60,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 689 | $59,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 500 | $59,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 1,100 | $59,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 600 | $58,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 709 | $57,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 300 | $57,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 4,533 | $56,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 355 | $56,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 4,000 | $56,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 1,058 | $55,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,033 | $55,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 5,250 | $55,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 520 | $54,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 405 | $53,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 257 | $51,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 6,109 | $51,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 8,271 | $51,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,250 | $50,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 1,400 | $48,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 297 | $48,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 418 | $47,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 3,481 | $47,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 924 | $47,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 2,455 | $47,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 852 | $47,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 1,133 | $47,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 668 | $46,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 861 | $45,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 421 | $45,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 517 | $44,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 600 | $44,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 1,959 | $44,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 34 | $44,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 300 | $44,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 319 | $43,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 559 | $43,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 10,000 | $43,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 928 | $42,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 731 | $42,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,000 | $42,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 1,911 | $42,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 696 | $41,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 1,000 | $41,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,007 | $41,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 7,433 | $41,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 2,000 | $41,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 654 | $41,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 14,265 | $41,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 477 | $40,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 428 | $40,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 620 | $40,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 3,833 | $40,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 620 | $40,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 296 | $39,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 549 | $39,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 2,700 | $39,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 400 | $38,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 800 | $38,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 2,250 | $38,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 354 | $37,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 300 | $37,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 240 | $36,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 580 | $36,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 521 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 400 | $36,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 796 | $36,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 315 | $35,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 300 | $35,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 200 | $34,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 730 | $34,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,201 | $34,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 1,852 | $34,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 225 | $33,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 425 | $33,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 300 | $33,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 349 | $33,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 2,400 | $32,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 1,869 | $32,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 1,500 | $32,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 1,434 | $31,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 501 | $31,000 | thousands by filing date | |
| WORKDAY INC | 98138H901 | CALL | 4,400 | $31,000 | thousands by filing date | call |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 169 | $30,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 392 | $30,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 2,382 | $30,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 428 | $30,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 20,000 | $30,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 2,311 | $30,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 164 | $29,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 962 | $29,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 2,000 | $29,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 2,046 | $29,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806909 | COM | 18,000 | $29,000 | thousands by filing date | call |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 562 | $28,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 940 | $28,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 406 | $26,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 625 | $26,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 1,650 | $26,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 712 | $26,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,917 | $26,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 320 | $25,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 468 | $25,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 400 | $25,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 160 | $25,000 | thousands by filing date | |
| ALPHABET INC | 02079K907 | CALL | 1,000 | $25,000 | thousands by filing date | call |
| WYNDHAM WORLDWIDE CORP | 98310W908 | COM | 6,000 | $25,000 | thousands by filing date | call |
| CSX Corporation | 126408103 | COM | 450 | $24,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 600 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 725 | $24,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 750 | $24,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 1,051 | $24,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 600 | $24,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 1,000 | $24,000 | thousands by filing date | |
| BIOVERATIV INC | 09075E100 | COM | 424 | $24,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 616 | $23,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 505 | $23,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 700 | $23,000 | thousands by filing date | |
| AUTODESK INC | 052769906 | CALL | 2,400 | $23,000 | thousands by filing date | call |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 490 | $21,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 232 | $21,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 400 | $21,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 400 | $21,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 80 | $20,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 350 | $20,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 426 | $20,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,500 | $20,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 51 | $19,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 1,325 | $19,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,000 | $19,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 150 | $19,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 1,223 | $19,000 | thousands by filing date | |
| CORNING INC | 219350905 | CALL | 13,000 | $19,000 | thousands by filing date | call |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 1,000 | $19,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 900 | $19,000 | thousands by filing date | |
| BUNGE LIMITED | G16962955 | COM | 12,000 | $19,000 | thousands by filing date | put |
| EMPIRE RESORTS INC | 292052206 | COM | 830 | $19,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 300 | $18,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 519 | $18,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 600 | $18,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 665 | $18,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 216 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 111 | $18,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 800 | $18,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 600 | $18,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 721 | $18,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 200 | $18,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 158 | $17,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 200 | $17,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 550 | $17,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 143 | $17,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 200 | $17,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 1,580 | $17,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 700 | $17,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 204 | $16,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 106 | $16,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 782 | $16,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 300 | $16,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 209 | $16,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 1,789 | $16,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 400 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 511 | $16,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 700 | $16,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 119 | $15,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 348 | $15,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 100 | $15,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 168 | $15,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 525 | $15,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 500 | $15,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 500 | $15,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 728 | $15,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 235 | $15,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 263 | $14,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 297 | $14,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 390 | $14,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 300 | $14,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 279 | $14,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 332 | $14,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 2,400 | $14,000 | thousands by filing date | |
| ATI INC | 01741R902 | COM | 3,400 | $14,000 | thousands by filing date | call |
| VANTIV INC | 92210H105 | CL A | 200 | $14,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 1,050 | $14,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 14,000 | $14,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 147 | $13,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 200 | $13,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 351 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 520 | $13,000 | thousands by filing date | |
| DEERE & CO | 244199905 | CALL | 1,000 | $13,000 | thousands by filing date | call |
| DISNEY WALT CO | 254687906 | COM | 14,600 | $13,000 | thousands by filing date | call |
| ZWEIG FUND INC. | 989834205 | COM | 988 | $13,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 761 | $12,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 125 | $12,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 56 | $12,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 1,005 | $12,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 639 | $12,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 106 | $12,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 478 | $12,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC CALL AUG 270 | 697435905 | CALL AUG 270 | 2,000 | $12,000 | thousands by filing date | call |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 797 | $12,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 800 | $12,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 66 | $11,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 210 | $11,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 175 | $11,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 62 | $11,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 100 | $11,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 140 | $11,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 122 | $11,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 150 | $11,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 504 | $11,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 750 | $11,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 500 | $11,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 213 | $11,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 309 | $11,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284908 | CALL | 2,600 | $11,000 | thousands by filing date | call |
| ISHARES TR | 46429B135 | INT PFD STK FD | 600 | $11,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 115 | $10,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 65 | $10,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 100 | $10,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 612 | $10,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 300 | $10,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 166 | $10,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 413 | $10,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 200 | $10,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 614 | $10,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 810 | $10,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 1,216 | $10,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $10,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 175 | $10,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 300 | $10,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 815 | $10,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 500 | $10,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 106 | $9,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 40 | $9,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 80 | $9,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 100 | $9,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 75 | $9,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 405 | $9,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 208 | $9,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 100 | $9,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 437 | $9,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 400 | $9,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 375 | $9,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 300 | $9,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 219 | $9,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 1,010 | $9,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 100 | $9,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 3,360 | $9,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 114 | $8,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 279 | $8,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 152 | $8,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 230 | $8,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 242 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 284 | $8,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 45 | $8,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 450 | $8,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 775 | $8,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 200 | $8,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 5,000 | $8,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 1,210 | $8,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 108 | $8,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 62 | $7,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 80 | $7,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 175 | $7,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 200 | $7,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 724 | $7,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 1,000 | $7,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 139 | $7,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 140 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 63 | $7,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 125 | $7,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 66 | $7,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 291 | $7,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 9,500 | $7,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 50 | $6,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 100 | $6,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 457 | $6,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 102 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 40 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 164 | $6,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 535 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 130 | $6,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 500 | $6,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 112 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 100 | $6,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 900 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-17-004897 | this filing | 2017-11-14 | acceptance time not in the bulk data set |