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 |
|---|---|---|---|---|---|---|
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 119 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 250 | $6,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 234 | $6,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 141 | $6,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 866 | $6,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 675 | $6,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901908 | COM | 14,000 | $6,000 | thousands by filing date | call |
| iShares MSCI Mexico ETF | 464286822 | SHS | 100 | $5,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 67 | $5,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 100 | $5,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 156 | $5,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 250 | $5,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 64 | $5,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 83 | $5,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 537 | $5,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 204 | $5,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 300 | $5,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 1,816 | $5,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 100 | $5,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 100 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 65 | $5,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558903 | COM | 10,000 | $5,000 | thousands by filing date | call |
| XEROX CORP | 984121103 | COM | 139 | $5,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 100 | $5,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 38 | $5,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 25 | $4,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 79 | $4,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 59 | $4,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 226 | $4,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 100 | $4,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 500 | $4,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 104 | $4,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 1,360 | $4,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 79 | $4,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 214 | $4,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 707 | $4,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 125 | $4,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 40 | $4,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 200 | $4,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 500 | $4,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 18 | $4,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 405 | $4,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 334 | $4,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 240 | $4,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 211 | $4,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 136 | $4,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 400 | $4,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 824 | $4,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,000 | $4,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J903 | CALL | 700 | $4,000 | thousands by filing date | call |
| Boston Scientific Corporation | 101137107 | COM | 100 | $3,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 96 | $3,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 9 | $3,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 31 | $3,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 15 | $3,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 33 | $3,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 112 | $3,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 33 | $3,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 174 | $3,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 112 | $3,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 76 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 31 | $3,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 310 | $3,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 78 | $3,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 70 | $3,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 41 | $3,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 120 | $3,000 | thousands by filing date | |
| JOHNSON & JOHNSON | 478160904 | CALL | 11,000 | $3,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 545 | $3,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 110 | $3,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 565 | $3,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 2,593 | $3,000 | thousands by filing date | |
| FERRARI NV | N3167J106 | COM | 25 | $3,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,000 | $2,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 295 | $2,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 32 | $2,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 224 | $2,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 58 | $2,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 111 | $2,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 58 | $2,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 460 | $2,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 90 | $2,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 100 | $2,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 19 | $2,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 63 | $2,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 100 | $2,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 100 | $2,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 124 | $2,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 53 | $2,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 12 | $2,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 91 | $2,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 100 | $2,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 4,400 | $2,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 275 | $2,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 659 | $2,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 5,700 | $2,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 100 | $2,000 | thousands by filing date | |
| BUNGE LIMITED | G16962905 | COM | 24,000 | $2,000 | thousands by filing date | call |
| TIME INC NEW | 887228104 | COM | 151 | $2,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 50 | $2,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 4,308 | $2,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 1,500 | $2,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 8 | $1,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 28 | $1,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 20 | $1,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 10 | $1,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 92 | $1,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 14 | $1,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 100 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 300 | $1,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 14 | $1,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 36 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 17 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 13 | $1,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 14 | $1,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 6 | $1,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 72 | $1,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 10 | $1,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 30 | $1,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 100 | $1,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 68 | $1,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 110 | $1,000 | thousands by filing date | |
| INCYTE CORP | 45337C902 | COM | 6,000 | $1,000 | thousands by filing date | call |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 47 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,121 | $1,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 23 | $1,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 33 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 24 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 12 | $1,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 40 | $1,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 62 | $1,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 29 | $1,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 383 | $1,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 150 | $1,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 159 | $1,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 275 | $1,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| JUNIPER PHARMACEUTICALS INC COM | 48203L107 | Stock | 125 | $1,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINROSS GOLD CORP | 496902404 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEXTRON INC COM | 883203101 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONE GAS INC COM | 68235P108 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMUCKER J M CO | 832696405 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DNOW INC | 67011P100 | COMMON STOCK | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTREPID POTASH INC | 46121Y102 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON CORP PLC | G29183903 | CALL | 6,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| COMCAST CORP NEW | 20030N951 | PUT | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| TRIANGLE CAP CORP | 895848109 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAVIUM INC | 14964U108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROSEMI CORP | 595137100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY | 531229888 | COMMON STOCK | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE SYS CORP CL A NEW | 943526608 | Common Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XL GROUP PLC | G98290102 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVON PRODS INC | 054303102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMAGIN CORP | 29076N206 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGAL ENTMT GROUP | 758766109 | CL A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHITING PETE CORP NEW | 966387102 | COM | 62 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 81 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N206 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 131 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYPERDYNAMICS CORP | 448954206 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GlassBridge Enterprises Inc. | 377185103 | COMMON | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROSSROADS SYS INC COM PAR | 22765D407 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |