13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-18, with 1,284 holding rows worth $723,756,000.
- Accession
- 0001415889-18-001508
- Filer
- CIK 1418539
- Filed
- 2018-10-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 1,285 entries on the cover page, a total value of $723,756,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $723,756,000 with VALUE read as thousands by filing date, 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 |
|---|---|---|---|---|---|---|
| JP MORGAN CHASE & CO | 46637G124 | COM | 227 | $6,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 250 | $6,000 | thousands by filing date | |
| AETNA INC NOTE M/W CLBL | 008117AP8 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| LOS ANGELES CA W/P | 544525RX8 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TEMPE AZ | 8797094M2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| NC EASTERN MUNI PWR | 658196PP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| AUSTIN TX CCLG DIST | 052404MW7 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| CALIFORNIA ST | 13063CYB0 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| GLOBAL INDEMNIT | G3933F121 | PFDs, REITs, | 250 | $6,000 | thousands by filing date | |
| National General 7.625. Call9/ | 636220873 | PFD | 250 | $6,000 | thousands by filing date | |
| NATIONAL RURAL | 637432LR4 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 200 | $5,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 548 | $5,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 50 | $5,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 51 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $5,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 34 | $5,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 30 | $5,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 300 | $5,000 | thousands by filing date | |
| CENCORA INC | 03073E108 | COM | 55 | $5,000 | thousands by filing date | |
| CISCO SYS INC 2.2 02/28/2021 | 17275RBD3 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| CHARTER COMMUNICATION - A | 16117M305 | COM | 15 | $5,000 | thousands by filing date | |
| INVESCO MORTGAGE CAP INC | 46131B209 | PRF | 200 | $5,000 | thousands by filing date | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $5,000 | thousands by filing date | |
| ACTIVISION INC | 004930202 | EQUS | 63 | $5,000 | thousands by filing date | |
| GOLDMAN SACH 6.375 PFD | 38148b108 | PFD | 178 | $5,000 | thousands by filing date | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 5,000 | $5,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP 4 7/8 11/15/25 | 88947EAR1 | Corporate Bond - Domestic | 5,000 | $5,000 | thousands by filing date | |
| MONTANA STATE BO | 61212WAK1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663ZL9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TN ENGY ACQUISIT | 880443BN5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TUCSON AZ | 898711T97 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 040484PM3 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FREMONT NEBRASKA CO | 357415MP0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| ARLINGTON TX | 041796KT9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| Equinox Gold Corp. | 29446Y304 | COM | 7,130 | $5,000 | thousands by filing date | |
| ORACLE CORP | 68389XBK0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FAU FIN CORP FL | 31200CAM8 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| INDEPENDENCE GROUP ORD | Q48886107 | Equities | 1,500 | $5,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V302 | Equities | 210 | $5,000 | thousands by filing date | |
| AVONDALE AZ | 054314DX4 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| MASCO CORP | 574599BN5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| MT DIABLO CALIFOR | 621191BE4 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 54 | $4,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 70 | $4,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 35 | $4,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 73 | $4,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 40 | $4,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 45 | $4,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 63 | $4,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 200 | $4,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $4,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $4,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 52 | $4,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 71 | $4,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 210 | $4,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 50 | $4,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 17 | $4,000 | thousands by filing date | |
| MVIS | 594960106 | Stock | 3,300 | $4,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 633 | $4,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 400 | $4,000 | thousands by filing date | |
| STATE STR CORP PFD | 857477509 | PREFERRED | 159 | $4,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 167 | $4,000 | thousands by filing date | |
| Citigroup 5.8% B1 Call 4/18 QD | 172967366 | PFD | 157 | $4,000 | thousands by filing date | |
| STATE STREET C 5.9 PFDPFD SER D | 857477608 | COM | 142 | $4,000 | thousands by filing date | |
| INVSC 7.75 FX FL SRS B CUM RDM PRF | 46131B407 | COM | 150 | $4,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 1,000 | $4,000 | thousands by filing date | |
| LEXARIA BIOSCIENCE CORP | 52886N307 | COM | 2,000 | $4,000 | thousands by filing date | |
| Allstate 6.625 | 020002879 | PFD | 143 | $4,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 155 | $4,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096862 | PFD | 162 | $4,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 20 | $3,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 66 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 60 | $3,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $3,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 113 | $3,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30 | $3,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 29 | $3,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 60 | $3,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100 | $3,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 55 | $3,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 50 | $3,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 33 | $3,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 40 | $3,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 70 | $3,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 200 | $3,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 140 | $3,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 65 | $3,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 200 | $3,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 215 | $3,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 100 | $3,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 95 | $3,000 | thousands by filing date | |
| DIAMONDS TRUST SERIES I | 252787106 | EXCHANGE TRADED | 10 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H600 | COM | 101 | $3,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 104 | $3,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $3,000 | thousands by filing date | |
| Hartford Financial Serv | 416518504 | COM | 104 | $3,000 | thousands by filing date | |
| AEGON NV PFD | 007924509 | PREFERRED | 108 | $3,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF S R1 | 69360J669 | PFD | 114 | $3,000 | thousands by filing date | |
| BERKLEY CORPORATION | 084423409 | PUBLIC | 105 | $3,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW | 7591EP506 | COM | 130 | $3,000 | thousands by filing date | |
| Citigroup Inc | 172967358 | COM | 121 | $3,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 200 | $3,000 | thousands by filing date | |
| WELLS FARGO 6.625 PFD PFD SER | 949746465 | PFD | 115 | $3,000 | thousands by filing date | |
| Wells Fargo & 5.85 PFD PFD Ser Q | 949746556 | PFD | 135 | $3,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 127 | $3,000 | thousands by filing date | |
| MANUF TRADERS 1.35975 12/28/20 | 564759PS1 | CORPORATE BONDS AND NOTES | 3,000 | $3,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 39 | $2,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 25 | $2,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 42 | $2,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 100 | $2,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 39 | $2,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 50 | $2,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 196 | $2,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 34 | $2,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 43 | $2,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 61 | $2,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 25 | $2,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 175 | $2,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 55 | $2,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 56 | $2,000 | thousands by filing date | |
| COMPASS GROUP PLC SPONSORED AD | 20449X401 | ADUS | 70 | $2,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 40 | $2,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 75 | $2,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 65 | $2,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 200 | $2,000 | thousands by filing date | |
| MAKITA CORP | 560877300 | COMMON STOCK | 42 | $2,000 | thousands by filing date | |
| AON CORP | 037389103 | COMMON STOCK | 15 | $2,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 200 | $2,000 | thousands by filing date | |
| DAIWA HOUSE INDUS UNSP ADR | 234062206 | COM | 70 | $2,000 | thousands by filing date | |
| RYOHIN KEIKAKU CO UNSP ADR | 78392U105 | COM | 30 | $2,000 | thousands by filing date | |
| SAMPO OYJ-A SHS-UNSP ADR | 79588J102 | COM | 75 | $2,000 | thousands by filing date | |
| Keyence Corp | J32491102 | Common Stock | 4 | $2,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 300 | $2,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 35 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 40 | $2,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 50 | $2,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370104 | COM | 300 | $2,000 | thousands by filing date | |
| PROSHARES ULTRA SILVER | 74347W841 | COM | 100 | $2,000 | thousands by filing date | |
| DUKE ENERGY CORP $1.281 PFD | 26441C303 | PREFERRED | 73 | $2,000 | thousands by filing date | |
| BB&T CORP $1.4625 PFD | 054937206 | PREFERRED | 81 | $2,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 76 | $2,000 | thousands by filing date | |
| PRUDENTIAL FIN 5.75%52 | 744320607 | ps | 91 | $2,000 | thousands by filing date | |
| US BANCORP 5.15% PFD SERIES H | 902973791 | PREFERR | 74 | $2,000 | thousands by filing date | |
| VENTAS REALTY LP 5.450% PREFER | 92276M204 | PREFERR | 84 | $2,000 | thousands by filing date | |
| Cedar Shopping Centers 7.25% Pfd Series B | 150602407 | com | 73 | $2,000 | thousands by filing date | |
| ENERPLUS RES FD UNIT TR G NEW | 29274D604 | COM | 160 | $2,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 300 | $2,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 50 | $2,000 | thousands by filing date | |
| Ferguson PLC ADR | 31502A204 | ADR | 236 | $2,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F302 | COM | 500 | $2,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 300 | $2,000 | thousands by filing date | |
| National Retail Properties Inc | 637417809 | Preferred Stock | 91 | $2,000 | thousands by filing date | |
| PUBLIC STORAGE | 74460W826 | PFD | 77 | $2,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 16 | $1,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 8 | $1,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 19 | $1,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 62 | $1,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 24 | $1,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 18 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 20 | $1,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $1,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 25 | $1,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 5 | $1,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 20 | $1,000 | thousands by filing date | |
| COMPAGNIE FIN RICHEMONTAG SWI | 204319107 | ADUS | 95 | $1,000 | thousands by filing date | |
| TOKYO ELECTRON LTD ADR | 889110102 | COM | 26 | $1,000 | thousands by filing date | |
| Komatsu Ltd. | 500458401 | COM | 36 | $1,000 | thousands by filing date | |
| SOFTBANK GROUP CORP. | 83404D109 | Common stock | 26 | $1,000 | thousands by filing date | |
| ASSA ABLOY AB ADR | 045387107 | FOREIGN | 150 | $1,000 | thousands by filing date | |
| Continental AG | 210771200 | Equity | 20 | $1,000 | thousands by filing date | |
| TELENOR ASA-NOK | 87944W105 | COMMON STOCK | 60 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,014 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 55 | $1,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 5 | $1,000 | thousands by filing date | |
| KBC GROUP | 48241F104 | USD | 16 | $1,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 20 | $1,000 | thousands by filing date | |
| VALEO SA ADR | 919134304 | COM | 55 | $1,000 | thousands by filing date | |
| US BANCORP | 902973155 | Common Stock | 37 | $1,000 | thousands by filing date | |
| Sintana Energy Inc | 82938H107 | COM | 20,000 | $1,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 10 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 20 | $1,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 28 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 57 | $1,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $1,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 27 | $1,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 51 | $1,000 | thousands by filing date | |
| PUBLIC STORAGE 5.20% SERIES X | 74460W107 | PREFERR | 27 | $1,000 | thousands by filing date | |
| KIMCO RLTY CORP DEP1/1000PFD K | 49446R745 | PFD | 46 | $1,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 42 | $1,000 | thousands by filing date | |
| PPL Corp. 5.9% | 69352P202 | PRD | 28 | $1,000 | thousands by filing date | |
| BB&T CORPORATION | 054937602 | PFD | 51 | $1,000 | thousands by filing date | |
| DIGITAL RLTY TR - PFD G | 253868889 | EQPFD | 45 | $1,000 | thousands by filing date | |
| ASHTEAD GROUP PLC | 045055100 | COMMON STK | 10 | $1,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 289 | $1,000 | thousands by filing date | |
| NAVTEQ CORP | 63936L100 | COM | 35 | $1,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 50 | $1,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R208 | COM | 23 | $1,000 | thousands by filing date | |
| LEHMAN BROS HLDGS | 525ESCGU7 | Convertible/ | 20,000 | $1,000 | thousands by filing date | |
| AGTECH HOLDINGS LT ORDF | G0135Z103 | UNLSTD FOREIGN ORDRY | 15,000 | $1,000 | thousands by filing date | |
| SOUTHERN C | 842587206 | Preferred Stock | 40 | $1,000 | thousands by filing date | |
| AMERICAN FINL GROUP INC 6 25 1 563 PFD | 025932609 | PREFERRED | 45 | $1,000 | thousands by filing date | |
| OROPLATA RESOURCES INC | 687157107 | Equities | 8,200 | $1,000 | thousands by filing date | |
| PUBLIC STO | 74460W842 | Preferred Stock | 55 | $1,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KROGER CO COM | 501044101 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARRETT MOTION INC | 366505105 | COM | 211 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANSIX INC | 00773T101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIAVI SOLUTIONS INC | 925550105 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMR GROUP INC | 74967R106 | CL A | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Dawson Geophysical Co Ne | 239360100 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E DIGITAL CORPORATN | 26841y103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESCROW LEHMAN BROS HLDGS INC C | 524esc100 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPRINT CORP | 85207U105 | COM SER 1 | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHMARK CORP | 844544809 | COMMON STOCK | 124 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON MUTUAL INC COMMON | 939ESC968 | COMMON STOCK | 3,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Notis Global Inc | 66980B100 | Common / Ordinary Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROTHE | 525ESC711 | ESC | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELECOMUNICACOES DE SAO PAUL | 87929A102 | SPON ADR PFD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 5,516 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATA OIL & GAS INC. | 86270C105 | COM | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSTATE CORP PFD | 020002309 | PREFERRED | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECOTALITY INC | 27922Y202 | COM NEW | 833 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R883 | PSHS ULSHT SP500 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 374 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYPERDYNAMICS CORP | 448954206 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN SOLAR INC | 30033R306 | COM | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIAMOND EQUITIES INC | 252592100 | COM | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGERATI TECHNOLOGIES | 25375L206 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEL OFFSHORE TRUST | 872382106 | MUTUAL FUNDS - | 10,008 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MicroIslet, Inc. | 59507q106 | COM | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABAKAN INC | 00258J107 | COM | 98,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Conseco Inc | 208464883 | com | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Linnco LLC XXX Escrow Pending Possible | 535ESC107 | COM | 780 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Seventy Seven Energy-Escrow | 818ESC998 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI CARD GROUP INC | 12634H101 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Independence Resources Plc Spon Adr(nv) | 45378C102 | COM | 62 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITRO TECH | 92851M108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT RESOURCE HLDGS INC COM | 85209D408 | Stock | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITY ONE CAPITAL | 913991006 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESECURESOFT CO | 296423106 | Equities | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPECTRA7 MICROSYSTEMS INC | 84761T109 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPRISE INC | 65333Q202 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUIDAO HLDG CORP | 229905302 | Equities | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YELLOW MEDIA INC 22 WTS | 985572114 | Equities | 827 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BRO HLDG PFD | 05252E204 | PFDs, REITs, | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN ARCH RESOURCES | 38079K101 | Equities | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANT DIAGNOSTICS INC | 05350M106 | Equities | 91,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUGAR OIL & GAS CANADA INC | 22208A101 | Equities | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.25XXXESCROW P | 370escbw4 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS CORP 9.25 | 370ESC9S6 | PFDs, REITs, | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREEN ENERGY GROUP INC | 393036108 | Equities | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYZIPSOFT INC | 628703100 | Equities | 311 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORBIT BRANDS CORP | 68556C108 | Equities | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AAB NATIONAL CO | 000303107 | Equities | 181 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT GOLD CORP | 70337F103 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORE MED GROUP INC | 218684108 | Equities | 146 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPER DEAL COM INC | 00210R106 | Equities | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA PERFORMANCE PRODUCTS INC | 90341L102 | Equities | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USAS DIGITAL INC | 90341K104 | Equities | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLASSIFIED AD INC | 00089Y109 | Equities | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN CAPITAL HOLDINGS | 02503V109 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC BLUE ENERGY CORP | 69404A104 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLARIS COPPER INC | 83418J100 | Equities | 711 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| mPhase Technologies Inc | 62472C102 | CS | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADCASTER INC NEW XXX | 11132B202 | Equities | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CDEX INC | 12507E205 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HERITAGE GLOBAL INC | 42727E115 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N107 | Equities | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-18-001508 | this filing | 2018-10-18 | acceptance time not in the bulk data set |