13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-12, with 897 holding rows worth $483,699,772.
- Accession
- 0001415889-17-000069
- Filer
- CIK 1418539
- Filed
- 2017-01-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 898 entries on the cover page, a total value of $483,699,772 stated on the cover page (in dollars after the unit check, H1), rows summing to $483,699,772 with VALUE read as dollars, detected, 13F file number 028-17012. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| UNIV CA | 91412GDY8 | Convertible/ | 15,000 | $16,633 | dollars, detected | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 500 | $16,535 | dollars, detected | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100 | $16,441 | dollars, detected | |
| NEW SR INVT GROUP INC | 648691103 | COM | 1,666 | $16,310 | dollars, detected | |
| AZ BD REGENTS UNIV | 040484DC8 | Convertible/ | 15,000 | $16,267 | dollars, detected | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 1,045 | $16,198 | dollars, detected | |
| CA INC | 12673PAC9 | Convertible/ | 15,000 | $16,196 | dollars, detected | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 1,000 | $16,180 | dollars, detected | |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $15,980 | dollars, detected | |
| HP INCORPORATION NOTE M/W CLBL | 428236BV4 | NOTE M/W CLBL | 15,000 | $15,960 | dollars, detected | |
| CELANESE CORP DEL COM | 150870103 | Stock | 200 | $15,748 | dollars, detected | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 300 | $15,732 | dollars, detected | |
| GENERAL ELECTRIC CO | 369604BC6 | Convertible/ | 15,000 | $15,539 | dollars, detected | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,839 | $15,484 | dollars, detected | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,009 | $15,468 | dollars, detected | |
| SAN MATEO CA | 799022BY3 | Convertible/ | 15,000 | $15,447 | dollars, detected | |
| WAUKEGAN II | 942860MY0 | Convertible/ | 15,000 | $15,398 | dollars, detected | |
| EGALET CORP | 28226B104 | COM | 2,000 | $15,300 | dollars, detected | |
| INDUSTRY CA PFA TAX | 45656TCG1 | Convertible/ | 15,000 | $15,296 | dollars, detected | |
| PROSHARES TR | 74347R883 | PSHS ULSHT SP500 | 1,010 | $15,261 | dollars, detected | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,188 | $15,159 | dollars, detected | |
| EXPRESS SCRIPTS INC | 302182100 | COM | 220 | $15,134 | dollars, detected | |
| BALL CORP | 058498106 | COM | 200 | $15,014 | dollars, detected | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 200 | $15,008 | dollars, detected | |
| FORD MOTOR CREDIT | 345397VM2 | Convertible/ | 13,000 | $14,953 | dollars, detected | |
| PA ECODEV FA WS | 708692BC1 | Convertible/ | 15,000 | $14,884 | dollars, detected | |
| GEN MOTORS FINL | 37045XAB2 | Convertible/ | 14,000 | $14,844 | dollars, detected | |
| AUTODESK INC COM | 052769106 | Stock | 200 | $14,802 | dollars, detected | |
| AMERICAN TOWER CORP | 029912201 | COMMON STOCK | 140 | $14,795 | dollars, detected | |
| KOPIN CORP | 500600101 | COMMON STOCK | 5,200 | $14,768 | dollars, detected | |
| BRF SA | 10552T107 | SPONSORED ADR | 1,000 | $14,760 | dollars, detected | |
| Bank of America Corp | 060505104 | COM | 667 | $14,741 | dollars, detected | |
| Amgen Inc. | 031162100 | COM | 100 | $14,621 | dollars, detected | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 200 | $14,472 | dollars, detected | |
| PROSHARES TR | 74348A590 | PSHS ULDOW30 NEW | 1,000 | $14,180 | dollars, detected | |
| COACH INC | 189754104 | COM | 400 | $14,008 | dollars, detected | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 15,000 | $13,805 | dollars, detected | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $13,786 | dollars, detected | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 400 | $13,756 | dollars, detected | |
| AMBARELLA INC | G037AX101 | SHS | 250 | $13,533 | dollars, detected | |
| AMPHENOL CORP NEW | 032095101 | COM | 200 | $13,440 | dollars, detected | |
| CITRIX SYSTEMS INC | 177376100 | COM | 150 | $13,397 | dollars, detected | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 500 | $13,060 | dollars, detected | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 400 | $12,836 | dollars, detected | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 400 | $12,776 | dollars, detected | |
| BOSTON BEER INC CL A | 100557107 | Stock | 75 | $12,739 | dollars, detected | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 500 | $12,705 | dollars, detected | |
| BLACKROCK CORE BOND TRUST | 09249E104 | Equities | 975 | $12,685 | dollars, detected | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 333 | $12,604 | dollars, detected | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,525 | $12,429 | dollars, detected | |
| SIEMENS A G - ADR | 826197501 | COM | 100 | $12,242 | dollars, detected | |
| TRAVELERS COMPANIES INC | 89417E113 | COM | 100 | $12,242 | dollars, detected | |
| NY ST DORM AUTH PER | 64990EUT2 | Convertible/ | 10,000 | $11,988 | dollars, detected | |
| TUCSON AZ WTR | 898797CG8 | Convertible/ | 10,000 | $11,964 | dollars, detected | |
| TX TRANS ST HWY FD | 88283LJW7 | Convertible/ | 10,000 | $11,964 | dollars, detected | |
| AZ BD REGENTS UNIV | 04048RLZ7 | Convertible/ | 10,000 | $11,893 | dollars, detected | |
| MORGAN STANLEY | 61760LFF7 | Convertible/ | 13,000 | $11,885 | dollars, detected | |
| PHOENIX AZ WST WTR | 71883PJP3 | Convertible/ | 10,000 | $11,862 | dollars, detected | |
| CVS HEALTH CORP | 126650BJ8 | Convertible/ | 10,000 | $11,815 | dollars, detected | |
| NC MUN PWR CA ELEC | 658203X82 | Convertible/ | 10,000 | $11,779 | dollars, detected | |
| KLEIN TX ISD | 498531FE7 | Convertible/ | 10,000 | $11,773 | dollars, detected | |
| AUSTIN TX WTR & WST | 052476Q35 | Convertible/ | 10,000 | $11,750 | dollars, detected | |
| PHOENIX AZ WTR | 71883RNK5 | Convertible/ | 10,000 | $11,712 | dollars, detected | |
| NEW YORK N Y | 64966LS77 | Convertible/ | 10,000 | $11,675 | dollars, detected | |
| LOWER CO RIV AUTH T | 54811GZS2 | Convertible/ | 10,000 | $11,581 | dollars, detected | |
| AZ TRANS BRD HWY | 040654VE2 | Convertible/ | 10,000 | $11,581 | dollars, detected | |
| JEA FL ELEC SYS REV | 46613C2F1 | Convertible/ | 10,000 | $11,544 | dollars, detected | |
| NY ST DORM AUTH S/T | 64990ADN2 | Convertible/ | 10,000 | $11,532 | dollars, detected | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 721 | $11,529 | dollars, detected | |
| PA ST TPK COMMN TPK | 709224FX2 | Convertible/ | 10,000 | $11,527 | dollars, detected | |
| OHIO ST WTR DEV AUTH WTR POLLUTN CTL REV, LN FD REV BDS | 67766WVL3 | Revenue Supported Bonds - non-taxable | 10,000 | $11,480 | dollars, detected | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $11,460 | dollars, detected | |
| DIGITALGLOBE INC | 25389M877 | COM | 400 | $11,460 | dollars, detected | |
| ARIZONA WTR INFRASTRUCTURE FIN AUTH REV, WTR QUALITY REV REF BDS | 040688MM2 | Revenue Supported Bonds - non-taxable | 10,000 | $11,439 | dollars, detected | |
| AZ ST TRANS BRD HWY | 040654UL7 | Convertible/ | 10,000 | $11,397 | dollars, detected | |
| PIMA CN AZ SWR | 721876RH5 | Convertible/ | 10,000 | $11,378 | dollars, detected | |
| AZ ST TRANS BRD HWY | 040654UD5 | Convertible/ | 10,000 | $11,332 | dollars, detected | |
| PROTO LABS INC | 743713109 | COM | 220 | $11,297 | dollars, detected | |
| SYSCOCORP | 871829107 | COM | 204 | $11,295 | dollars, detected | |
| BROWARD CNTY FL ARP | 114894RP5 | Convertible/ | 10,000 | $11,281 | dollars, detected | |
| DRIPPING SPRING TX | 262061NX8 | Convertible/ | 10,000 | $11,258 | dollars, detected | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $11,234 | dollars, detected | |
| AZ TRANS EXCISE TAX | 040649KZ7 | Convertible/ | 10,000 | $11,132 | dollars, detected | |
| PHOENIX AZ CVC IMP | 718849BD3 | Convertible/ | 10,000 | $11,128 | dollars, detected | |
| GAMCO NATURAL RESOURCES | 36249M106 | Common | 1,666 | $11,112 | dollars, detected | |
| AZ ST TRANSN BRD | 040647DP1 | Convertible/ | 10,000 | $11,103 | dollars, detected | |
| COPART INC COM | 217204106 | Stock | 200 | $11,082 | dollars, detected | |
| MA ST | 57582NSJ5 | Convertible/ | 10,000 | $11,076 | dollars, detected | |
| SKECHERS U S A INC | 830566105 | CL A | 450 | $11,061 | dollars, detected | |
| AFLAC INC COM | 001055102 | Stock | 159 | $11,045 | dollars, detected | |
| REGL TRAN DST CO CO | 75913TJE5 | Convertible/ | 10,000 | $10,999 | dollars, detected | |
| AZ ST LOTTERY | 040624AV0 | Convertible/ | 10,000 | $10,861 | dollars, detected | |
| PHOENIX AZ WTR | 71883RJQ7 | Convertible/ | 10,000 | $10,857 | dollars, detected | |
| MO ST HWY/TRANS | 60636WJH9 | Convertible/ | 10,000 | $10,767 | dollars, detected | |
| IN ST FA REV | 455057XG9 | Convertible/ | 10,000 | $10,750 | dollars, detected | |
| ROSEMONT IL | 777543SS9 | Convertible/ | 10,000 | $10,669 | dollars, detected | |
| IRVING TX WWKS/SWR | 463831KM8 | Convertible/ | 10,000 | $10,629 | dollars, detected | |
| GREATER AZ DEV AUTH | 391577RK1 | Convertible/ | 10,000 | $10,624 | dollars, detected | |
| MA ST WTR RES AUTH | 576051BG0 | Convertible/ | 10,000 | $10,609 | dollars, detected | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $10,581 | dollars, detected | |
| ENERGY NW WA ELEC R | 29270CWA9 | Convertible/ | 10,000 | $10,577 | dollars, detected | |
| PAN AMERN SILVER CORP | 697900108 | COM | 700 | $10,549 | dollars, detected | |
| TENNESSEE ST | 880541MN4 | Convertible/ | 10,000 | $10,511 | dollars, detected | |
| MO ST HLTH/ED | 6069017U4 | Convertible/ | 10,000 | $10,504 | dollars, detected | |
| CNT PUGET SND WA | 155048AY7 | Convertible/ | 10,000 | $10,459 | dollars, detected | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $10,420 | dollars, detected | |
| WELLS FARGO & CO | 949746NX5 | Convertible/ | 10,000 | $10,369 | dollars, detected | |
| VALE S A | 91912E109 | SPONSORED ADS | 1,350 | $10,287 | dollars, detected | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 100 | $10,271 | dollars, detected | |
| Empire District Electric Co/Th | 291641108 | COM | 300 | $10,227 | dollars, detected | |
| MP WSTRN ST UNIV | 606432BT8 | Convertible/ | 10,000 | $10,226 | dollars, detected | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 400 | $10,192 | dollars, detected | |
| KING ETC WA SD #408 | 494619BR9 | Convertible/ | 10,000 | $10,176 | dollars, detected | |
| COLONY CAP INC | 19624R106 | CL A | 500 | $10,125 | dollars, detected | |
| NYC NY HDC MFH | 64972CCX9 | Convertible/ | 10,000 | $9,994 | dollars, detected | |
| PR ELEC POWER AUTH | 745268LU4 | Convertible/ | 10,000 | $9,950 | dollars, detected | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 400 | $9,896 | dollars, detected | |
| Southern Company | 842587107 | COM | 200 | $9,838 | dollars, detected | |
| JDL GOLD CORP | 46620G107 | Equities | 7,130 | $9,768 | dollars, detected | |
| INVENSENSE INC | 46123D205 | COM | 761 | $9,733 | dollars, detected | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 500 | $9,625 | dollars, detected | |
| CENOVUS ENERGY INC | 15135U109 | COM | 622 | $9,411 | dollars, detected | |
| BANCFIRST CORP | 05945F103 | COM | 101 | $9,398 | dollars, detected | |
| AIRCASTLE LTD | G0129K104 | COM | 450 | $9,383 | dollars, detected | |
| NEWMONT CORP | 651639106 | COM | 275 | $9,369 | dollars, detected | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $9,349 | dollars, detected | |
| COLUMBIA HCA HLTHCARE CP | 197677107 | Equities | 100 | $9,276 | dollars, detected | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 118 | $9,199 | dollars, detected | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 700 | $9,156 | dollars, detected | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 988 | $9,090 | dollars, detected | |
| KLA CORP | 482480100 | COM | 115 | $9,048 | dollars, detected | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $9,030 | dollars, detected | |
| HOMEAWAY INC | 43799AHW5 | Convertible | 10,000 | $9,000 | dollars, detected | |
| CATERPILLAR FINL SVCS CORP | 14912L4D0 | Convertible/ | 8,000 | $8,719 | dollars, detected | |
| Crown Castle | 228227104 | COM | 100 | $8,677 | dollars, detected | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $8,379 | dollars, detected | |
| HORTONWORKS INC | 440894103 | COM | 1,000 | $8,310 | dollars, detected | |
| WABTEC COM | 929740108 | Stock | 100 | $8,302 | dollars, detected | |
| JEFFERIES GROUP | 472319AK8 | Convertible/ | 8,000 | $8,260 | dollars, detected | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 1,194 | $8,167 | dollars, detected | |
| DIVIDEND CAPITAL | 25537M100 | COM | 1,065 | $8,062 | dollars, detected | |
| SYNCHRONYFINL | 87165B103 | STOK | 222 | $8,052 | dollars, detected | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 424 | $8,022 | dollars, detected | |
| HUSKY ENERGY INC | 448055AF0 | Convertible/ | 7,000 | $7,953 | dollars, detected | |
| BANK OF AMERICA | 06051GEM7 | Convertible/ | 7,000 | $7,857 | dollars, detected | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 3,500 | $7,840 | dollars, detected | |
| MERCADOLIBREINC | 58733R102 | STOK | 50 | $7,807 | dollars, detected | |
| HERTZ CORP | 428040BJ7 | Convertible/ | 8,000 | $7,730 | dollars, detected | |
| BANK AMER CORP 5.625 07/01/2020 | 06051GEC9 | Corp Bond | 7,000 | $7,693 | dollars, detected | |
| LENNOX INTL INC COM | 526107107 | Stock | 50 | $7,659 | dollars, detected | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 661 | $7,648 | dollars, detected | |
| EXPEDIA INC | 30212PAH8 | Convertible/ | 7,000 | $7,625 | dollars, detected | |
| BLOCK INC CL A | 852234103 | Stock | 555 | $7,565 | dollars, detected | |
| EXPEDIA INC | 30212PAB1 | Convertible/ | 7,000 | $7,552 | dollars, detected | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 100 | $7,466 | dollars, detected | |
| WEBMD HEALTH CORP | 94770V102 | COM | 150 | $7,436 | dollars, detected | |
| CARA THERAPEUTICS INC | 140755109 | COM | 800 | $7,432 | dollars, detected | |
| American Express Company | 025816109 | COM | 100 | $7,408 | dollars, detected | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 100 | $7,368 | dollars, detected | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $7,294 | dollars, detected | |
| INTREXON CORP | 46122T102 | COM | 300 | $7,290 | dollars, detected | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 846 | $7,233 | dollars, detected | |
| ANTARES PHARMA INC | 036642106 | COM | 3,000 | $6,990 | dollars, detected | |
| MARATHON OIL CORP | 565849106 | COM | 400 | $6,924 | dollars, detected | |
| Comcast Corp | 20030N101 | COM | 100 | $6,905 | dollars, detected | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 542 | $6,894 | dollars, detected | |
| FAIRFAX FINANCE PFD | 303901607 | PFDs, REITs, | 500 | $6,890 | dollars, detected | |
| METLIFE INC COM | 59156R108 | Stock | 122 | $6,575 | dollars, detected | |
| Suncor Energy Inc. | 867229106 | COM | 200 | $6,538 | dollars, detected | |
| ACHAOGEN INC | 004449104 | COM | 500 | $6,510 | dollars, detected | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 200 | $6,506 | dollars, detected | |
| XPO INC COM | 983793100 | Stock | 150 | $6,474 | dollars, detected | |
| AARON'S INC | 002535201 | COMMON STOCK | 200 | $6,398 | dollars, detected | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 1,000 | $6,330 | dollars, detected | |
| AMERICAN TOWER CO | 029912BD3 | Convertible/ | 6,000 | $6,158 | dollars, detected | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 111 | $6,102 | dollars, detected | |
| L BRANDS INC | 501797104 | COM | 92 | $6,057 | dollars, detected | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 400 | $6,056 | dollars, detected | |
| NC EASTERN MUNI PWR | 658196PP9 | Convertible/ | 5,000 | $5,974 | dollars, detected | |
| Citigroup Inc. | 172967424 | COM | 100 | $5,943 | dollars, detected | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $5,932 | dollars, detected | |
| AETNA INC NOTE M/W CLBL | 008117AP8 | NOTE M/W CLBL | 6,000 | $5,884 | dollars, detected | |
| CME Group Inc. Class A | 12572Q105 | COM | 50 | $5,768 | dollars, detected | |
| FAU FIN CORP FL | 31200CAM8 | Convertible/ | 5,000 | $5,719 | dollars, detected | |
| EBIX INC | 278715206 | COM NEW | 100 | $5,705 | dollars, detected | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 144 | $5,684 | dollars, detected | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 100 | $5,630 | dollars, detected | |
| AVONDALE AZ | 054314DX4 | Convertible/ | 5,000 | $5,623 | dollars, detected | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 600 | $5,520 | dollars, detected | |
| MIAMI-DADE CN FL | 59333NQM8 | Convertible/ | 5,000 | $5,412 | dollars, detected | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $5,381 | dollars, detected | |
| WABCO HLDGS INC | 92927K102 | COM | 50 | $5,308 | dollars, detected | |
| CA ST PUB WKS B | 130685VM9 | Convertible/ | 5,000 | $5,301 | dollars, detected | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 14 | $5,282 | dollars, detected | |
| CVS HEALTH CORP | 126650BW9 | Convertible/ | 5,000 | $5,280 | dollars, detected | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 107 | $5,276 | dollars, detected | |
| UNDER ARMOUR INC | 904311107 | CL A | 180 | $5,229 | dollars, detected | |
| AMERICAN INTL GR | 02687QDG0 | Convertible/ | 5,000 | $5,213 | dollars, detected | |
| NEW JERSEY ST TRANSN TR FD AUTH, TRANSPORTATION SYSTEM REV BDS, BUILD | 646136XS5 | Taxable Municipal Bonds | 5,000 | $5,212 | dollars, detected | |
| JEFFERSON COUNTY MO | 473143DQ5 | Convertible/ | 5,000 | $5,209 | dollars, detected | |
| S VY SWR DST UT | 84059QBX3 | Convertible/ | 5,000 | $5,207 | dollars, detected | |
| BANK OF AMERICA | 060505DP6 | Convertible/ | 5,000 | $5,180 | dollars, detected | |
| NASDAQ INC | 631103AE8 | Convertible/ | 5,000 | $5,174 | dollars, detected | |
| ST LOUIS MO PKG | 791676BK4 | Convertible/ | 5,000 | $5,147 | dollars, detected | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 5,000 | $5,125 | dollars, detected | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $5,094 | dollars, detected | |
| Intrcontinentalexchange | 45865V100 | COM | 90 | $5,078 | dollars, detected | |
| WELLS FARGO | 94974BFR6 | cb | 5,000 | $5,068 | dollars, detected | |
| CANADIANNATLRYCOF | 136375102 | STOK | 75 | $5,055 | dollars, detected | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 500 | $5,055 | dollars, detected | |
| JP MORGAN CHASE & | 073902PN2 | Convertible | 5,000 | $5,010 | dollars, detected | |
| TN HSG DEV AGCY | 880461FM5 | Convertible/ | 5,000 | $4,997 | dollars, detected | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $4,896 | dollars, detected | |
| TJX Companies Inc | 872540109 | COM | 65 | $4,883 | dollars, detected | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 128 | $4,580 | dollars, detected | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 106 | $4,559 | dollars, detected | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 100 | $4,550 | dollars, detected | |
| UNDER ARMOUR INC | 904311206 | CL C | 180 | $4,531 | dollars, detected | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $4,347 | dollars, detected | |
| WIRECARD AG SHS | D22359133 | Common Stock | 100 | $4,301 | dollars, detected | |
| CENCORA INC | 03073E108 | COM | 55 | $4,300 | dollars, detected | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 633 | $4,285 | dollars, detected | |
| EBAY INC. COM | 278642103 | Stock | 144 | $4,275 | dollars, detected | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 59 | $4,203 | dollars, detected | |
| MGC | 921910873 | COM | 55 | $4,199 | dollars, detected | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 244 | $4,182 | dollars, detected | |
| AT&T INC | 00206RAJ1 | Convertible/ | 4,000 | $4,151 | dollars, detected | |
| GOLDCORP INC NEW | 380956409 | COM | 300 | $4,080 | dollars, detected | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 1,300 | $3,965 | dollars, detected | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 28 | $3,951 | dollars, detected | |
| GENTEX CORP COM | 371901109 | Stock | 200 | $3,938 | dollars, detected | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 201 | $3,885 | dollars, detected | |
| YAHOO INC | 984332106 | COM | 100 | $3,867 | dollars, detected | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 200 | $3,808 | dollars, detected | |
| PPG INDS INC COM | 693506107 | Stock | 40 | $3,790 | dollars, detected | |
| BUNGE LTD | G16962105 | COM | 52 | $3,756 | dollars, detected | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $3,645 | dollars, detected | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 2,120 | $3,604 | dollars, detected | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 50 | $3,596 | dollars, detected | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 30 | $3,554 | dollars, detected | |
| PRAXAIR INC | 74005P104 | COM | 30 | $3,516 | dollars, detected | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 200 | $3,450 | dollars, detected | |
| V F CORP COM | 918204108 | Stock | 60 | $3,201 | dollars, detected | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 25,000 | $3,118 | dollars, detected | |
| CITIGROUP INC | 172967EH0 | Convertible/ | 3,000 | $3,081 | dollars, detected | |
| ATHERSYS INC | 04744L106 | COM | 2,000 | $3,060 | dollars, detected | |
| FIRST HORIZON NAT | 320517AB1 | Convertible/ | 3,000 | $3,019 | dollars, detected | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 100 | $2,968 | dollars, detected | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 210 | $2,913 | dollars, detected | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 5,000 | $2,900 | dollars, detected | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 100 | $2,853 | dollars, detected | |
| PNC FINANCIAL SERVICES GROUP | 693475832 | PREFERRED STOCK | 120 | $2,834 | dollars, detected | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $2,832 | dollars, detected | |
| APACHE CORP | 037411105 | COM | 43 | $2,729 | dollars, detected | |
| PS BUSINESS PKS INC CALIF S R1 | 69360J669 | PFD | 114 | $2,654 | dollars, detected | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 35 | $2,634 | dollars, detected | |
| FLUOR CORP | 343412102 | COM | 50 | $2,626 | dollars, detected | |
| STERICYCLE INC | 858912108 | COM | 34 | $2,619 | dollars, detected | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 392 | $2,548 | dollars, detected | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 200 | $2,514 | dollars, detected | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 215 | $2,344 | dollars, detected | |
| Accenture Plc Class A | G1151C101 | COM | 20 | $2,343 | dollars, detected | |
| HASBRO INC COM | 418056107 | Stock | 30 | $2,334 | dollars, detected | |
| HANESBRANDS INC | 410345102 | COM | 108 | $2,330 | dollars, detected | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 100 | $2,298 | dollars, detected | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 35 | $2,290 | dollars, detected | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 200 | $2,290 | dollars, detected | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 312 | $2,278 | dollars, detected | |
| DEVON ENERGY CORP | 25179MAV5 | Convertible/ | 2,000 | $2,276 | dollars, detected | |
| FITBIT INC | 33812L102 | CL A | 300 | $2,196 | dollars, detected | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 109 | $2,118 | dollars, detected | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 60 | $2,101 | dollars, detected | |
| KOHLS CORP | 500255104 | COM | 40 | $1,975 | dollars, detected | |
| DIAMONDS TRUST SERIES I | 252787106 | EXCHANGE TRADED | 10 | $1,975 | dollars, detected | |
| Danaher Corporation | 235851102 | COM | 25 | $1,946 | dollars, detected | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 40 | $1,797 | dollars, detected | |
| ADVANSIX INC | 00773T101 | COM | 81 | $1,793 | dollars, detected | |
| CISCO SYSTEMS INC | 17275RAE2 | Convertible/ | 1,667 | $1,779 | dollars, detected | |
| PEPSICO INC | 713448BH0 | Convertible/ | 1,667 | $1,748 | dollars, detected | |
| IBM CORP | 459200GJ4 | Convertible/ | 1,666 | $1,716 | dollars, detected | |
| CPI CARD GROUP INC | 12634H101 | COM | 400 | $1,660 | dollars, detected | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 25 | $1,537 | dollars, detected | |
| DNOW INC | 67011P100 | COMMON STOCK | 75 | $1,535 | dollars, detected | |
| YELLOW MEDIA INC 22 WTS | 985572114 | Equities | 827 | $1,522 | dollars, detected | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 350 | $1,477 | dollars, detected | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 20 | $1,473 | dollars, detected | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 21 | $1,464 | dollars, detected | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 19 | $1,455 | dollars, detected | |
| SASOL LTD | 803866300 | SPONSORED ADR | 50 | $1,430 | dollars, detected | |
| YAMANA GOLD INC | 98462Y100 | COM | 500 | $1,405 | dollars, detected | |
| Keyence Corp | J32491102 | Common Stock | 2 | $1,372 | dollars, detected | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 10 | $1,349 | dollars, detected | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 300 | $1,335 | dollars, detected | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $1,304 | dollars, detected | |
| TWITTER INC | 90184L102 | COM | 75 | $1,223 | dollars, detected | |
| MANITOWOC COMPANY INC | 563571108 | COM | 202 | $1,208 | dollars, detected | |
| LEHMAN BROS HLDGS | 525ESCGU7 | Convertible/ | 20,000 | $1,100 | dollars, detected | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 20 | $1,065 | dollars, detected | |
| ADVISORS DISCIPLINED | 00771K193 | Unit Trusts | 2 | $1,065 | dollars, detected | |
| FIREEYE INC | 31816Q101 | COM | 88 | $1,047 | dollars, detected | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 11 | $1,046 | dollars, detected | |
| RMR GROUP INC | 74967R106 | CL A | 25 | $988 | dollars, detected | |
| COMMUNITY HEALT | 12543DAR1 | Convertible/ | 1,000 | $984 | dollars, detected | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 57 | $978 | dollars, detected | |
| PEABODY ENERGY CORP | 704549104 | COM | 193 | $965 | dollars, detected | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 20 | $962 | dollars, detected | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 200 | $942 | dollars, detected | |
| BOJANGLES INC | 097488100 | COM | 50 | $933 | dollars, detected | |
| CHARLES + COLVARD LTD | 159765106 | COM | 800 | $880 | dollars, detected | |
| Valeant Pharma Intl | 91911X104 | COM | 60 | $871 | dollars, detected | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 25 | $772 | dollars, detected | |
| MYLAN NV | N59465109 | SHS EURO | 20 | $763 | dollars, detected | |
| GOPRO INC | 38268T103 | CL A | 80 | $697 | dollars, detected | |
| Schwab US REIT ETF | 808524847 | SHS | 16 | $657 | dollars, detected | |
| FORTIVE CORP COM | 34959J108 | Stock | 12 | $644 | dollars, detected | |
| KROGER CO COM | 501044101 | Stock | 18 | $621 | dollars, detected | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 13 | $587 | dollars, detected | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 50 | $568 | dollars, detected | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 24 | $561 | dollars, detected | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $540 | dollars, detected | |
| ARKEMA SPO | 041232109 | USD | 5 | $489 | dollars, detected | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 7,223 | $485 | dollars, detected | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 200 | $450 | dollars, detected | |
| AURICO METALS | 05157J108 | COM | 520 | $386 | dollars, detected | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,014 | $385 | dollars, detected | |
| SPROTT RES CORP | 85207D103 | EQUS | 1,000 | $362 | dollars, detected | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 34 | $329 | dollars, detected | |
| SPECTRA7 MICROSYSTEMS INC | 84761T109 | Equities | 1,000 | $281 | dollars, detected | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 20 | $266 | dollars, detected | |
| ABAKAN INC | 00258J107 | COM | 98,700 | $237 | dollars, detected | |
| CONTANGO SILVER GOLD INC | 21077F100 | COMMON STOCK | 10 | $196 | dollars, detected | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 6 | $160 | dollars, detected | |
| Dawson Geophysical Co Ne | 239360100 | COM | 17 | $137 | dollars, detected | |
| Conseco Inc | 208464883 | com | 7 | $134 | dollars, detected | |
| OCLARO INC | 67555N107 | Equities | 14 | $125 | dollars, detected | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 11 | $109 | dollars, detected | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 50 | $88 | dollars, detected | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 3 | $70 | dollars, detected | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 7 | $57 | dollars, detected | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 4 | $54 | dollars, detected | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 20 | $49 | dollars, detected | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 2 | $43 | dollars, detected | |
| LEHMAN BRO HLDG PFD | 05252E204 | PFDs, REITs, | 600 | $42 | dollars, detected | |
| TELECOMUNICACOES DE SAO PAUL | 87929A102 | SPON ADR PFD | 3 | $40 | dollars, detected | |
| PATRIOT GOLD CORP | 70337F103 | Equities | 500 | $40 | dollars, detected | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 1 | $39 | dollars, detected | |
| DIGERATI TECHNOLOGIES | 25375L206 | COM | 100 | $27 | dollars, detected | |
| HERITAGE GLOBAL INC | 42727E111 | Equities | 50 | $24 | dollars, detected | |
| E DIGITAL CORPORATN | 26841y103 | COM | 300 | $12 | dollars, detected | |
| LEADIS TECH INC | 52171N103 | Equities | 2,500 | $8 | dollars, detected | |
| TEL OFFSHORE TRUST | 872382106 | MUTUAL FUNDS - | 7 | $1 | dollars, detected | |
| PACIFIC BLUE ENERGY CORP | 69404A104 | Equities | 1,000 | $1 | dollars, detected | |
| CLENERGEN CORP | 185635109 | Equities | 10,000 | $1 | dollars, detected | |
| ONCOLOGIX TECH INC | 68230M209 | Equities | 1,250 | $1 | dollars, detected | |
| GREENFORENERGYINC | 39303X109 | STOK | 1,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| SOUTHMARK CORP | 844544809 | COMMON STOCK | 124 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 15 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| WASHINGTON MUTUAL INC COMMON | 939ESC968 | COMMON STOCK | 2,500 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| Notis Global Inc | 66980B100 | Common / Ordinary Stock | 100 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| LEHMAN BROTHE | 525ESC711 | ESC | 20,092 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 57 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 5,516 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| ECOTALITY INC | 27922Y202 | COM NEW | 833 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| ESCROW GEN MOTORS CORP SE | 370ESC121 | EQUITY | 400 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 374 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| LASERSIGHT INC NEW | 517924304 | COM | 2 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| DIAMOND EQUITIES INC | 252592100 | COM | 3,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| MicroIslet, Inc. | 59507q106 | COM | 3,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| TRANS GLOBAL GROUP INC | 89324A109 | COMMON STOCK | 5 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 1,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| Laidlaw EGY Group | 50730N101 | COMM | 700,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| VITRO TECH | 92851M108 | COM | 500 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| OMDA OIL GAS INC COM NEW | 67087W203 | Stock | 1 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| UNITY ONE CAPITAL | 913991006 | Equities | 1 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| ESECURESOFT CO | 296423106 | Equities | 148 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| NEXPRISE INC | 65333Q202 | Equities | 1 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| CUIDAO HLDG CORP | 229905302 | Equities | 150 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| GOLDEN ARCH RESOURCES | 38079K101 | Equities | 4,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| COUGAR OIL & GAS CANADA INC | 22208A101 | Equities | 2,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| GENERAL MOTORS CORP 9.25 | 370ESC9S6 | PFDs, REITs, | 15,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| GREEN ENERGY GROUP INC | 393036108 | Equities | 165 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| MYZIPSOFT INC | 628703100 | Equities | 311 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| ORBIT BRANDS CORP | 68556C108 | Equities | 100,000 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AAB NATIONAL CO | 000303107 | Equities | 181 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| CORE MED GROUP INC | 218684108 | Equities | 146 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| SUPER DEAL COM INC | 00210R106 | Equities | 153 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| USA PERFORMANCE PRODUCTS INC | 90341L102 | Equities | 40 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| USAS DIGITAL INC | 90341K104 | Equities | 162 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| CLASSIFIED AD INC | 00089Y109 | Equities | 156 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| AMERICAN CAPITAL HOLDINGS | 02503V109 | Equities | 200 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| mPhase Technologies Inc | 62472C102 | CS | 400 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| CDEX INC | 12507E205 | Equities | 200 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| EARTHWORKS ENTERTAINMENT INC | 27032F200 | Equities | 44 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| SPORTSEND INC | 84920D102 | Equities | 50 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| VIE FINCL GRP | 92660P300 | Equities | 6 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| GENER8 MARTIME INC 17WT | Y26889116 | Equities | 5 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
| BIGHUB.COM INC | 089865109 | Equities | 500 | $0 | dollars, detected | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-17-000069 | this filing | 2017-01-12 | acceptance time not in the bulk data set |