13F-HR filed by Concert Wealth Management Inc.
Concert Wealth Management Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-27, with 1,063 holding rows worth $822,956,000.
- Accession
- 0001085146-16-004576
- Filer
- CIK 1456534
- Filed
- 2016-10-27
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 1,538 entries on the cover page, a total value of $822,956,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $822,956,000 with VALUE read as thousands by filing date, 13F file number 028-13474. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAdhesion Wealth Advisor Solutions
- included managerAdvisors Asset Management
- included managerAlliance Global Investors
- included managerColumbia
- included managerEnvestnet
- included managerFrontier Growth
- included managerInvesco Advisers
- included managerLord Abbett
- included managerSitrin
- included managerMerlin Asset Management
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 |
|---|---|---|---|---|---|---|
| FQF TR | 351680855 | OSHARS FTSE US | 10,865 | $296,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 5,231 | $294,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 4,705 | $293,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 3,368 | $293,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 4,986 | $291,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 4,010 | $291,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 11,026 | $291,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 8,445 | $290,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 28,214 | $289,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,904 | $289,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 6,234 | $289,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 5,152 | $288,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 8,286 | $286,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,317 | $284,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 50,300 | $282,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 4,298 | $281,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 6,211 | $281,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 8,911 | $281,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 12,905 | $279,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 7,148 | $278,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 5,233 | $276,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 32,718 | $275,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,147 | $274,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,768 | $273,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 5,293 | $273,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 5,399 | $272,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 30,928 | $271,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 2,702 | $270,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,503 | $269,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 5,822 | $268,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 5,434 | $268,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 24,426 | $268,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 2,208 | $268,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 5,846 | $264,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 3,277 | $264,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,514 | $263,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 5,384 | $263,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 5,900 | $263,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,977 | $261,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 11,103 | $260,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,772 | $259,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 5,171 | $259,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 2,740 | $257,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 6,653 | $256,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,449 | $256,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,308 | $255,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 23,809 | $254,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 12,454 | $254,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 6,479 | $254,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 8,004 | $253,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,621 | $252,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 25,245 | $252,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 39,200 | $252,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 11,071 | $251,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 13,821 | $249,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,648 | $249,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,195 | $249,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 4,608 | $249,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 3,578 | $248,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,861 | $247,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 6,703 | $247,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 12,291 | $246,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 4,857 | $246,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 3,036 | $245,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 3,161 | $245,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 3,323 | $244,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,627 | $242,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 47,265 | $242,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,117 | $241,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 9,201 | $239,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,323 | $238,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 29,830 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 2,098 | $237,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,298 | $237,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,574 | $237,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 7,179 | $236,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,304 | $236,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 6,061 | $236,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,059 | $236,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 7,930 | $235,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 3,002 | $235,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 13,266 | $234,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 17,861 | $233,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 4,959 | $232,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,071 | $232,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 10,132 | $232,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 7,500 | $231,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 17,359 | $230,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,254 | $230,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 10,058 | $230,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 22,052 | $227,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 11,260 | $227,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 6,241 | $226,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,061 | $226,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 9,342 | $226,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 13,915 | $226,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,839 | $225,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 8,739 | $225,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 6,989 | $225,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 6,598 | $225,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 5,443 | $224,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 2,850 | $223,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 9,633 | $223,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 8,701 | $223,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 9,654 | $222,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 4,514 | $221,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 132 | $220,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 7,411 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 4,196 | $220,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 5,561 | $219,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 10,439 | $219,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 9,098 | $218,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,959 | $217,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,367 | $217,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 10,445 | $217,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 28,292 | $217,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 4,637 | $216,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 5,115 | $215,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,945 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,666 | $214,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 11,321 | $214,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 3,725 | $214,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 13,654 | $213,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,258 | $212,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,592 | $212,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 6,033 | $212,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 8,913 | $212,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 6,537 | $211,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 36,744 | $211,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 18,794 | $209,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 10,449 | $209,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,003 | $208,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 12,353 | $206,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 9,621 | $206,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 3,764 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 4,048 | $206,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 4,370 | $205,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 19,820 | $205,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 19,393 | $205,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 34,848 | $205,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 3,091 | $205,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 2,565 | $203,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,176 | $203,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,029 | $202,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,970 | $202,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 3,849 | $201,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 14,938 | $201,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 12,737 | $200,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 11,573 | $199,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 4,549 | $198,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 4,775 | $198,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 14,011 | $198,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 20,263 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,264 | $194,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,189 | $192,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 1,841 | $188,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 5,170 | $188,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,059 | $187,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 10,316 | $187,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 22,900 | $186,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,401 | $185,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,624 | $185,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 9,818 | $185,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 37,318 | $183,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 3,245 | $183,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,556 | $182,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 2,136 | $181,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 12,055 | $181,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 4,668 | $181,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 14,838 | $180,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 6,203 | $179,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 11,313 | $179,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 3,339 | $177,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 13,700 | $176,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 10,776 | $176,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 4,240 | $176,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 13,177 | $174,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 11,519 | $172,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 18,561 | $171,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 1,617 | $169,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 10,912 | $168,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 135,786 | $168,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 10,255 | $166,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 1,133 | $165,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 20,255 | $164,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 10,813 | $162,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 12,299 | $162,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 3,322 | $161,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 1,464 | $161,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 14,999 | $160,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 4,145 | $160,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 32,205 | $160,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 34,047 | $158,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,121 | $157,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 4,603 | $154,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 8,000 | $154,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 3,635 | $154,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 1,200 | $154,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 3,321 | $153,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 10,000 | $152,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 15,652 | $147,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,398 | $147,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 11,495 | $146,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 14,766 | $145,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 13,751 | $145,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 6,822 | $144,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 15,150 | $141,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 10,265 | $141,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 16,067 | $140,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 24,093 | $139,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 23,893 | $139,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 940 | $137,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 10,735 | $136,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 4,195 | $133,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 1,125 | $132,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 5,171 | $132,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 2,261 | $131,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 12,745 | $131,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,468 | $130,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 1,370 | $129,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 14,500 | $129,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,641 | $129,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 4,790 | $126,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 60,000 | $124,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 2,202 | $123,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 30,000 | $122,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 17,653 | $119,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,102 | $118,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 4,555 | $117,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 4,704 | $116,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 854 | $114,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 3,413 | $114,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,557 | $113,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 3,545 | $111,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 11,921 | $111,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 12,083 | $110,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 4,363 | $109,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 34,073 | $109,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 2,673 | $108,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 12,864 | $106,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 1,651 | $106,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 10,375 | $104,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 12,099 | $104,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 6,588 | $103,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 900 | $102,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 2,642 | $102,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 5,369 | $100,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 12,967 | $98,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 4,516 | $98,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 3,706 | $98,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 15,390 | $97,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 4,347 | $96,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 855 | $95,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 4,298 | $95,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 3,078 | $93,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 75 | $91,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 19,833 | $91,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,370 | $88,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 1,456 | $88,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 2,817 | $87,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 887 | $86,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 2,043 | $85,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 20,000 | $84,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,981 | $84,000 | thousands by filing date | principal |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 2,812 | $83,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,950 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 1,922 | $81,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 2,500 | $80,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 3,142 | $79,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 856 | $77,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 57,219 | $77,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 2,509 | $76,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 626 | $76,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 1,816 | $76,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 11,684 | $75,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,255 | $75,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092873 | MSCI COMMNTN SVC | 2,452 | $73,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 1,128 | $73,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,892 | $71,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 3,449 | $71,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 2,001 | $70,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 696 | $69,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 6,157 | $69,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 1,791 | $68,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 26,000 | $68,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 22,349 | $66,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 888 | $65,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 1,077 | $65,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 3,182 | $65,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 1,550 | $63,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 3,088 | $63,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 23,458 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 1,553 | $62,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 2,236 | $62,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 10,806 | $61,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 805 | $61,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 1,597 | $61,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 430 | $61,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 50,000 | $61,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 665 | $60,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 20,980 | $60,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 786 | $60,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 1,222 | $60,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 868 | $58,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 819 | $57,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 2,289 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 888 | $54,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 2,220 | $54,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 15,919 | $54,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 1,358 | $52,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 1,902 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 1,298 | $51,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 2,196 | $51,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 1,000 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 798 | $51,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 1,555 | $51,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,963 | $51,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 10,255 | $49,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 11,470 | $48,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 419 | $47,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 601 | $47,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 809 | $47,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 318 | $47,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 1,521 | $47,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 758 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 1,445 | $46,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 700 | $46,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 818 | $45,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 1,146 | $45,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,338 | $43,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 602 | $43,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 1,660 | $43,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 500 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 2,372 | $42,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 1,722 | $42,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,500 | $41,000 | thousands by filing date | call |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 339 | $41,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 962 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 665 | $41,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 1,199 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 1,004 | $41,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 2,000 | $40,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 1,008 | $40,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 1,075 | $39,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 12,129 | $38,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 622 | $38,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 725 | $38,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 1,119 | $38,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 767 | $37,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 26 | $37,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 797 | $36,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 606 | $36,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 380 | $35,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 293 | $35,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 1,136 | $35,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 1,130 | $34,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 1,188 | $34,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 325 | $33,000 | thousands by filing date | principal |
| SPY | 78462F103 | SHS | 30,800 | $33,000 | thousands by filing date | put |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 820 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 780 | $33,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 657 | $33,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 970 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 840 | $32,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 1,065 | $31,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 1,029 | $31,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y950 | PUT | 1,014 | $31,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 400 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 615 | $30,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 951 | $30,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 543 | $30,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 659 | $29,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 586 | $28,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 384 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 700 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 587 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X344 | ULTRASHT 3-7YR | 1,117 | $28,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 650 | $27,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 738 | $27,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 11,609 | $27,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 400 | $25,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 800 | $25,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 513 | $24,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 243 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 771 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 372 | $24,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 1,112 | $24,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 1,110 | $24,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B571 | 1000 EQ WHT PT | 899 | $24,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 1,115 | $23,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 619 | $23,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 371 | $23,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 240 | $23,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 2,115 | $23,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 264 | $23,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 150 | $22,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 851 | $22,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 355 | $22,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 725 | $22,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 450 | $22,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 569 | $22,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 879 | $21,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 218 | $21,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 464 | $21,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 760 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 250 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 346 | $20,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 667 | $20,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 224 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74348A889 | GERMAN SOV/SUB | 535 | $20,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 400 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 600 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 673 | $18,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 1,095 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 782 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 388 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 1,169 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 1,040 | $17,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 22,900 | $16,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 500 | $16,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 865 | $16,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 121 | $16,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 600 | $16,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 260 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 750 | $15,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 443 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 480 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 668 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 121 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 494 | $13,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 543 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 245 | $13,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 440 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 347 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 407 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,000 | $12,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 500 | $12,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 400 | $11,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 400 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 400 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 575 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 200 | $10,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 92 | $10,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 300 | $10,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 400 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 513 | $10,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 14,107 | $10,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 187 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 417 | $10,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 96 | $9,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 115 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 102 | $9,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 166 | $9,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 200 | $9,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 100 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 300 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 123 | $8,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 110 | $7,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 141 | $7,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 176 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 79 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 300 | $6,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 250 | $6,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 63 | $6,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 115 | $5,000 | thousands by filing date | principal |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 60 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 114 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 200 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 224 | $5,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 662 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRADED FD WI | 18383M308 | COM | 190 | $5,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 200 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 14,961 | $5,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 82 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 40 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 68 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 100 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 300 | $4,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 467 | $4,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 101 | $4,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 3,000 | $4,000 | thousands by filing date | principal |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 160 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 124 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 174 | $4,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 100 | $3,000 | thousands by filing date | call |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 124 | $3,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 300 | $3,000 | thousands by filing date | call |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 770 | $3,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $3,000 | thousands by filing date | principal |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 92 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 239 | $3,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 250 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 326 | $3,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 61 | $3,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 59 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 38 | $2,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 500 | $2,000 | thousands by filing date | call |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 26 | $2,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 50 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004576 | this filing | 2016-10-27 | acceptance time not in the bulk data set |