13F-HR filed by Cypress Wealth Services, LLC
Cypress Wealth Services, LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-04-10, with 250 holding rows worth $337,870,000.
- Accession
- 0001085146-20-001074
- Filer
- CIK 1721527
- Filed
- 2020-04-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 250 entries on the cover page, a total value of $337,870,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $337,870,000 with VALUE read as thousands by filing date, 13F file number 028-18257. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 71,662 | $18,518,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 54,667 | $13,901,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 347,491 | $9,733,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 38,080 | $9,018,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 29,527 | $7,611,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 65,344 | $7,188,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 37,363 | $7,114,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 52,055 | $6,826,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 65,666 | $5,719,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 108,159 | $5,396,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 159,322 | $5,073,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 39,427 | $5,010,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 29,819 | $4,931,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 84,814 | $4,581,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 33,491 | $4,409,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 98,696 | $4,367,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 53,686 | $4,351,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 41,499 | $4,182,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 53,507 | $4,124,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 25,471 | $4,017,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 55,841 | $3,951,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 71,050 | $3,845,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 112,491 | $3,750,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 40,499 | $3,646,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 63,562 | $3,636,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 47,935 | $3,497,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 62,376 | $3,385,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 29,674 | $3,372,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 58,424 | $3,359,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 59,597 | $3,273,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 28,803 | $3,255,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 12,633 | $3,096,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 49,646 | $3,041,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 62,600 | $2,982,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 31,665 | $2,958,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 75,863 | $2,934,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 35,826 | $2,827,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 25,433 | $2,809,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,406 | $2,741,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 40,785 | $2,693,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 22,794 | $2,631,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 21,796 | $2,618,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 20,953 | $2,481,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 32,017 | $2,439,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 15,349 | $2,405,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 46,003 | $2,231,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 24,001 | $2,138,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 11,374 | $2,074,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 41,388 | $2,073,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 50,515 | $2,044,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 14,582 | $2,010,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 70,422 | $1,927,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 50,000 | $1,911,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 45,449 | $1,857,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 19,150 | $1,850,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 23,511 | $1,809,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 66,713 | $1,724,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 118,205 | $1,690,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 50,180 | $1,684,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 3,790 | $1,668,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 22,148 | $1,629,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,396 | $1,622,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 20,380 | $1,612,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 5,441 | $1,551,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 33,300 | $1,523,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 10,852 | $1,483,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 50,749 | $1,456,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 26,226 | $1,409,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 8,451 | $1,394,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 12,491 | $1,291,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 21,090 | $1,274,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 20,805 | $1,248,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 17,762 | $1,241,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 12,174 | $1,219,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 5,280 | $1,213,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 22,907 | $1,212,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 8,011 | $1,207,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 5,848 | $1,186,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 33,429 | $1,166,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 22,353 | $1,149,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 18,856 | $1,130,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 24,681 | $1,110,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 10,704 | $1,062,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 14,817 | $1,058,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 35,269 | $1,028,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 30,841 | $1,007,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 8,710 | $997,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2,277 | $993,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 5,954 | $993,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 26,914 | $990,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 825 | $959,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 11,610 | $959,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 10,517 | $898,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 13,361 | $878,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 3,924 | $860,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,206 | $839,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 16,772 | $809,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 8,893 | $765,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 29,500 | $762,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 7,169 | $759,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 5,072 | $756,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 13,995 | $730,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 9,166 | $714,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,331 | $697,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 12,129 | $682,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,604 | $673,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 7,878 | $666,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 7,668 | $664,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,778 | $657,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 12,395 | $649,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,664 | $633,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 8,555 | $620,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 14,394 | $607,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 11,669 | $601,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 4,200 | $597,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,019 | $578,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,387 | $578,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 5,202 | $553,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 13,457 | $553,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 10,700 | $546,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 9,818 | $525,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 24,410 | $505,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 12,717 | $500,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 9,902 | $492,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 4,041 | $490,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 8,926 | $479,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,259 | $473,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 6,804 | $473,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 4,378 | $466,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 4,179 | $464,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 18,627 | $462,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 4,893 | $455,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 8,857 | $442,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 15,983 | $440,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 6,063 | $438,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 4,424 | $428,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,326 | $425,000 | thousands by filing date | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 21,000 | $423,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 16,691 | $421,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 4,845 | $415,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 7,398 | $415,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 4,142 | $412,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 2,597 | $411,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 101,335 | $403,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 16,094 | $402,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,513 | $399,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,414 | $398,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 2,419 | $386,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,527 | $381,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,574 | $380,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 15,405 | $380,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 11,018 | $379,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 3,034 | $375,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 5,186 | $371,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 6,703 | $367,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 6,536 | $364,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,851 | $360,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 16,628 | $353,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,612 | $352,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,540 | $351,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,367 | $351,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 12,016 | $350,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 14,130 | $350,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 12,007 | $349,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,911 | $344,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,518 | $337,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 10,300 | $336,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 4,713 | $333,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 13,178 | $329,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 3,635 | $329,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 3,526 | $324,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 65,891 | $318,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 36,598 | $315,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,275 | $314,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 3,857 | $312,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,282 | $311,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 3,393 | $306,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 4,883 | $304,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 8,602 | $303,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 11,488 | $302,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,385 | $300,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,454 | $298,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 5,343 | $296,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 13,300 | $293,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 5,349 | $289,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 5,191 | $283,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,107 | $277,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 2,755 | $275,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,966 | $273,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 9,819 | $272,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 4,207 | $270,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 7,298 | $263,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 3,837 | $260,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 4,931 | $260,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,274 | $257,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 35,000 | $257,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 10,299 | $255,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 1,152 | $251,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 4,233 | $251,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,092 | $246,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 5,127 | $246,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 6,092 | $244,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,801 | $242,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 16,000 | $242,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,237 | $241,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 18,306 | $241,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 2,556 | $241,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 2,516 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,426 | $239,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 28,002 | $239,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,607 | $233,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 17,845 | $232,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 28,570 | $231,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 30,713 | $229,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,706 | $222,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 4,321 | $218,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 6,636 | $217,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 6,933 | $214,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 7,946 | $214,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,305 | $213,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 3,354 | $210,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 25,000 | $207,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 4,761 | $206,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 711 | $202,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 2,423 | $200,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,329 | $200,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 25,000 | $200,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 13,585 | $181,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 12,654 | $174,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 26,545 | $164,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 20,000 | $153,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 20,000 | $152,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 11,281 | $149,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 10,027 | $140,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 37,054 | $121,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 26,110 | $90,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 38,250 | $88,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 15,000 | $68,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 12,250 | $66,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 40,094 | $61,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,000 | $53,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 10,537 | $53,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 100 | $52,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 200 | $44,000 | thousands by filing date | put |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 28,700 | $35,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 10,296 | $31,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 100 | $25,000 | thousands by filing date | call |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 10,000 | $20,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 200 | $8,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 800 | $4,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-001074 | this filing | 2020-04-10 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-20-001231 | base | 2020-04-28 | acceptance time not in the bulk data set |