13F-HR filed by Sound Income Strategies, LLC
Sound Income Strategies, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-06, with 507 holding rows worth $217,637,000.
- Accession
- 0001104659-20-001405
- Filer
- CIK 1730960
- Filed
- 2020-01-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 507 entries on the cover page, a total value of $217,637,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $217,637,000 with VALUE read as thousands by filing date, 13F file number 028-18555. 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 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 927,279 | $43,054,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 1,466,724 | $34,805,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 704,403 | $30,367,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 1,368,190 | $29,375,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 2,094,980 | $29,372,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 81,322 | $3,178,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 22,179 | $2,770,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 23,173 | $2,754,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 20,238 | $2,424,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 39,769 | $2,366,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 15,913 | $2,321,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 46,663 | $2,238,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 55,483 | $2,207,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 56,049 | $2,196,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 34,079 | $2,163,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 23,609 | $2,090,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 22,110 | $2,071,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 5,075 | $1,976,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 95,715 | $1,967,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 20,805 | $1,966,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 50,355 | $1,843,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 34,414 | $1,749,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 2,287 | $486,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 2,078 | $471,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 6,002 | $419,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,839 | $349,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,531 | $340,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 6,193 | $339,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,039 | $336,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 11,010 | $296,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 20,935 | $294,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,271 | $261,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 181 | $242,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,365 | $183,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 2,193 | $180,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 2,669 | $176,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 3,111 | $172,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 112 | $150,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 998 | $144,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 2,498 | $144,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 3,793 | $134,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 607 | $133,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 549 | $133,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 3,089 | $133,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 2,055 | $131,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 6,202 | $130,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 576 | $112,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,783 | $111,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 6,712 | $108,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 553 | $104,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 7,932 | $104,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C581 | US EQTY BUF NOV | 3,852 | $103,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 1,763 | $98,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 3,141 | $95,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,988 | $93,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 856 | $90,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 1,185 | $86,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 2,116 | $84,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 626 | $80,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 620 | $80,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 873 | $79,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 370 | $76,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 594 | $72,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 568 | $68,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 1,349 | $68,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 311 | $66,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 651 | $59,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 403 | $59,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,550 | $58,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 236 | $57,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,117 | $56,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V308 | BUYBACK ACHIEV | 813 | $56,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 5,887 | $56,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 848 | $55,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 534 | $54,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 5,683 | $53,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 1,026 | $53,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 477 | $52,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 586 | $52,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 217 | $52,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 540 | $51,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 4,786 | $51,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,638 | $50,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 362 | $50,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 840 | $50,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 2,150 | $49,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 119 | $47,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 316 | $47,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 503 | $46,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 308 | $45,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 161 | $44,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 1,046 | $43,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 680 | $43,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 1,908 | $42,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 770 | $41,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 345 | $40,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 958 | $40,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 720 | $39,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 440 | $37,000 | thousands by filing date | |
| VTI | 922908769 | COM | 226 | $37,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 638 | $36,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,538 | $36,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 475 | $35,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 270 | $35,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 3,250 | $35,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 757 | $34,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,524 | $34,000 | thousands by filing date | |
| PACER TRENDPILOT INTERNATIONAL ETF | 69374H683 | ETF | 1,271 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 563 | $33,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 221 | $33,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 245 | $32,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,172 | $32,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,123 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 535 | $32,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 291 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 493 | $32,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 2,365 | $32,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 475 | $31,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 8,100 | $31,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 343 | $30,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 368 | $30,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 561 | $30,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 200 | $30,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 357 | $29,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 369 | $29,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 556 | $28,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 419 | $27,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,194 | $27,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 233 | $26,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 2,268 | $26,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 3,400 | $26,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 155 | $25,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 451 | $25,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 84 | $25,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 588 | $25,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 425 | $25,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 281 | $24,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 121 | $24,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 104 | $24,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 343 | $24,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 78 | $23,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 1,167 | $23,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 191 | $22,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 135 | $21,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 334 | $21,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 307 | $21,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 104 | $20,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 230 | $20,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 310 | $20,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 333 | $20,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 1,560 | $20,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 2,102 | $20,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 230 | $19,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 153 | $19,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 450 | $19,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 2,925 | $19,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW NPV | 84860W300 | COM NEW | 379 | $19,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 2,096 | $19,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 441 | $19,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 85 | $18,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 438 | $18,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 85 | $17,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 881 | $17,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 812 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 322 | $17,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 309 | $16,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 1,120 | $16,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 306 | $16,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 82 | $16,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 66 | $15,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 225 | $15,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 596 | $15,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 160 | $15,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 411 | $15,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 389 | $15,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,800 | $15,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,325 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 121 | $15,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 10 | $15,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 153 | $14,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 159 | $14,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 380 | $14,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 258 | $14,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 100 | $14,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 310 | $14,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 534 | $14,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,063 | $14,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 138 | $13,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 191 | $13,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 600 | $13,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 267 | $12,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 143 | $12,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 67 | $12,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 162 | $12,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 97 | $12,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 80 | $12,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 963 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 109 | $12,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 894 | $12,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 375 | $12,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 436 | $12,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 181 | $11,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 33 | $11,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 138 | $11,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 143 | $11,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 271 | $11,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 112 | $11,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 493 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 101 | $11,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 609 | $11,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 101 | $11,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 350 | $11,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 94 | $10,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 206 | $10,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 25 | $10,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 190 | $10,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 60 | $10,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 750 | $10,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 100 | $10,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 60 | $10,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 238 | $10,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 50 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 75 | $9,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 51 | $9,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 80 | $9,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 49 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 120 | $9,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 1,750 | $9,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 42 | $8,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 184 | $8,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 85 | $8,000 | thousands by filing date | |
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| VAIL RESORTS INC COM | 91879Q109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OWENS CORNING NEW | 690742101 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TORO CO | 891092108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARRETT MOTION INC | 366505105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL GOLD INC | 780287108 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANSIX INC | 00773T101 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHEMED CORP NEW | 16359R103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 49 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABIOMED INC | 003654100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COHERENT INC | 192479103 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANDS END INC | 51509F105 | COMMON STOCK | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Amplify Energy Corp | 03212B103 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 187 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Proshares Short S&P | 74347B425 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIERRA WIRELESS INC | 826516106 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Zagg, Inc. | 98884U108 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-20-001405 | this filing | 2020-01-06 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001104659-20-001869 | base | 2020-01-07 | acceptance time not in the bulk data set |