13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-04-09, with 1,558 holding rows worth $816,656,000.
- Accession
- 0001415889-19-000447
- Filer
- CIK 1418539
- Filed
- 2019-04-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 1,559 entries on the cover page, a total value of $816,656,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $816,656,000 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 |
|---|---|---|---|---|---|---|
| JUNIPER NETWORKS, | 48203RAF1 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| MEDTRONIC PLC | 585055AV8 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| VODAFONE GROUP | 92857WAV2 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 754 | $50,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 50,000 | $50,000 | thousands by filing date | |
| WESTLAKE CORPORATION NOTE M/W CLBL | 960413AF9 | NOTE M/W CLBL | 50,000 | $50,000 | thousands by filing date | |
| JOHNSON CONTROLS | 478366BA4 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| JOHN DEERE CAPITA | 24422ESL4 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| CITIGROUP INC. | 172967KB6 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| GOLDMAN SACHS GR | 38141GVP6 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| ASTRAZENECA PL | 046353AL2 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| E M C CORP MASS SR | 268648AQ5 | Fixed Income | 50,000 | $50,000 | thousands by filing date | |
| AT&T INC | 00206RCL4 | Fixed Income | 50,000 | $50,000 | thousands by filing date | |
| AMERICAN TOWER CO | 03027XAF7 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| AT&T INC. | 00206RCM2 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| GATX CORP | 361448AV5 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| ARIZONA PUB SVC C | 040555CR3 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AY0 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| SALT RIVER PRJ AZ | 79575DD98 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| US TREASURY | 912828f39 | FIXED | 50,000 | $50,000 | thousands by filing date | |
| MONSANTO CO | 61166WAS0 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 469 | $49,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 1,142 | $49,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 224 | $49,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 949746SH5 | NOTE | 50,000 | $49,000 | thousands by filing date | |
| PACKAGING CORP O | 695156AR0 | Convertible/ | 50,000 | $49,000 | thousands by filing date | |
| ACTIVISION BLIZZA | 00507VAM1 | Convertible/ | 50,000 | $49,000 | thousands by filing date | |
| DOWDUPONT INC. | 26054LJ38 | Convertible/ | 50,000 | $49,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 1,000 | $48,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 317 | $48,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 500 | $48,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 2,000 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,094 | $47,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GFB0 | cb | 45,000 | $47,000 | thousands by filing date | |
| VIACOM INC | 92553PAT9 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 414 | $46,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 800 | $46,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 3,196 | $46,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 285 | $46,000 | thousands by filing date | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 100 | $46,000 | thousands by filing date | |
| AMP INCORPORATED | 031897101 | COMMON STOCK | 360 | $46,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 2,195 | $46,000 | thousands by filing date | |
| MONSANTO CO | 61166WAW1 | Convertible/ | 50,000 | $46,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851AU3 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| COMCAST CORP | 20030NBL4 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| EQT CORP | 26884LAB5 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| PRUDENTIAL FINL | 74432QBM6 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| CATERPILLAR FINL | 14912L6B2 | Convertible/ | 46,000 | $46,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 2,450 | $45,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 800 | $45,000 | thousands by filing date | |
| SILVANA MINES | 380956AF9 | cb | 45,000 | $45,000 | thousands by filing date | |
| MICROSOFT CORP | 594918BH6 | Convertible/ | 45,000 | $45,000 | thousands by filing date | |
| DOW CHEMICAL CO NOTE M/W CLBL | 260543CH4 | NOTE M/W CLBL | 45,000 | $45,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127HAA7 | Fixed Income | 45,000 | $45,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $44,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 280 | $44,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 310 | $44,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 386 | $43,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 514 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EM63 | Convertible/ | 40,000 | $43,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 683 | $42,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 420 | $42,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 029912201 | COMMON STOCK | 215 | $42,000 | thousands by filing date | |
| SONY CORP (ADR) | S68215060 | Equities | 991 | $42,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 375 | $41,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 320 | $41,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 540 | $41,000 | thousands by filing date | |
| PFIZER INC. | 717081DH3 | Corp Bonds - Non-Convert | 40,000 | $41,000 | thousands by filing date | |
| FORD MOTOR CO | 345397VU4 | Convertible/ | 40,000 | $41,000 | thousands by filing date | |
| CONSTELLATION EN | 210371AL4 | Convertible/ | 40,000 | $41,000 | thousands by filing date | |
| AMGEN INC. | 031162BG4 | Convertible/ | 40,000 | $41,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 758 | $40,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,425 | $40,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAJ7 | Convertible/ | 35,000 | $40,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $39,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 300 | $39,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $39,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 50,000 | $39,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 910 | $38,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 280 | $38,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 749 | $38,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 1,950 | $37,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 541 | $37,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 450 | $37,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 900 | $37,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 402 | $37,000 | thousands by filing date | |
| ABBOTT LABORATORI | 002824BE9 | Convertible/ | 36,000 | $37,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 500 | $36,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,784 | $36,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 1,000 | $36,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 800 | $36,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 700 | $36,000 | thousands by filing date | |
| AZ ST LOTTERY | 040624AV0 | Convertible/ | 35,000 | $36,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 867 | $35,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 582 | $35,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 400 | $35,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 841 | $35,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E306 | DJ INTERNT IDX | 255 | $35,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 162,807 | $35,000 | thousands by filing date | |
| UNION PACIFIC CO | 907818DM7 | Convertible/ | 35,000 | $35,000 | thousands by filing date | |
| WA ST COP | 9397195F3 | Convertible/ | 35,000 | $35,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,127 | $34,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 387 | $34,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 127 | $34,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 1,000 | $34,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 715 | $34,000 | thousands by filing date | |
| CBOA FINANCIAL INC | 01248E111 | Equities | 12,000 | $34,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 800 | $33,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 217 | $33,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 331 | $33,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 1,850 | $33,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 900 | $33,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 620 | $33,000 | thousands by filing date | |
| PENNSBURY PA SD | 708553PU0 | Convertible/ | 30,000 | $33,000 | thousands by filing date | |
| B RILEY FINANCIAL 7.50 SNR NTS | 05580M306 | COM | 1,300 | $33,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 114 | $32,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 900 | $32,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 700 | $32,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 630 | $32,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,000 | $32,000 | thousands by filing date | |
| InvenTrust Properties Corp REI | 46124J102 | COM | 10,039 | $32,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 298 | $32,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $31,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 300 | $31,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 270 | $31,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 600 | $31,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 1,252 | $31,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 860 | $31,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC FXD RT | 693475AP0 | Fixed Income | 30,000 | $31,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 472 | $31,000 | thousands by filing date | |
| MORGAN STANLEY | 6174468C6 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| VA ST PUB BLDG AUTH | 928172Z81 | Convertible/ | 25,000 | $31,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 270 | $30,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 325 | $30,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 150 | $30,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 160 | $30,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 250 | $30,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 780 | $30,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 813 | $30,000 | thousands by filing date | |
| DISTRICT COLUMBIA WTR & SWR AUTH PUB UTIL REV, PUB UTIL SUB LIEN REV BDS, | 254845LN8 | Revenue Supported Bonds - non-taxable | 25,000 | $30,000 | thousands by filing date | |
| AMGEN INC | 031162BX7 | Convertible/ | 30,000 | $30,000 | thousands by filing date | |
| JEA FL ELEC SYS | 46613SDP2 | Convertible/ | 30,000 | $30,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 100 | $29,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 784 | $29,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 391 | $29,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 2,023 | $29,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 2,677 | $29,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 500 | $29,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 400 | $29,000 | thousands by filing date | |
| EXCELSIOR MINING CORP | 300763208 | COM | 37,170 | $29,000 | thousands by filing date | |
| johnson & johnson | 478160af1 | CORPORATE BOND | 25,000 | $29,000 | thousands by filing date | |
| NYC NY MUN FA W/S | 64972GQX5 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| UNIV AZ MED CTR | 914062EC4 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| COCA-COLA CO | 191219AP9 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 195 | $28,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 380 | $28,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 2,540 | $28,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,500 | $28,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 280 | $28,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 600 | $28,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 1,500 | $28,000 | thousands by filing date | |
| KS ST DEV FA REV | 485429S39 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| HUTCHINSON MN PUR | 44835EDE5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141ED48 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| FORT WORTH TX | 3494256V5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| Agnc Invt Corp Dep Shs 1/1000 | 00123Q302 | Preferred Stock | 1,100 | $28,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 300 | $27,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,085 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,182 | $27,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,587 | $27,000 | thousands by filing date | |
| CALIFORNIA ST, GO BDS | 13063CB90 | General Obligations - non-taxable | 25,000 | $27,000 | thousands by filing date | |
| LAS VEGAS VY NV WTR | 5178404K7 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| NORTHERN ARIZONA UN | 664754Z43 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RMB6 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| HOLLAND MICHIGAN EL | 435182FK1 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EQ51 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| WISCONSIN STATE AAA | 97705MHY4 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| BROWN & BROWN INC | 115236AA9 | Convertible/ | 26,000 | $27,000 | thousands by filing date | |
| LINCOLN NEB | 534239BS6 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| PUBLIC STORAGE CL A | 74460W792 | PFDs, REITs, | 1,030 | $27,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 226 | $26,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $26,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 403 | $26,000 | thousands by filing date | |
| ARIZONA ST TRANSN BRD 5 07/01/2023 | 040647DQ9 | Muni Bond | 25,000 | $26,000 | thousands by filing date | |
| BANK AMERICA CORP 4 04/01/2024 | 06051GFF1 | Corp Bond | 25,000 | $26,000 | thousands by filing date | |
| SAFEWAY INC NT | 786514BA6 | Fixed Income | 29,000 | $26,000 | thousands by filing date | |
| THE CLOROX CO | 189054AW9 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| HSBC HOLDINGS PLC | 404280AN9 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| FIRST TR COMBINED SER | 33735N730 | Unit Trusts | 30 | $26,000 | thousands by filing date | |
| WAL-MART STORES INC | 931142DD2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WASHINGTON COUNTY O | 938240DT2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GENERAL ELECTRIC CO NOTE | 369622SM8 | NOTE | 25,000 | $26,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AL8 | cb | 25,000 | $26,000 | thousands by filing date | |
| ASSOCIATED BANC PFD | 045488400 | PFDs, REITs, | 1,000 | $26,000 | thousands by filing date | |
| ARCONIC INC NOTE M/W CLBL | 013817AV3 | NOTE M/W CLBL | 25,000 | $26,000 | thousands by filing date | |
| ST CHARLES COUN | 78775RAB5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| SANTA MONICA-MA 6.434 | 802498KS3 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| LINCOLN NTNL COR | 534187BB4 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WASTE MANAGEMENT | 94106LAW9 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| CNT PUGET SND WA TR | 155048CG4 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WELLS FARGO REAL EST INVT CORP | 94988N207 | PFD | 1,000 | $26,000 | thousands by filing date | |
| IRVINE CA SPL T | 46360TDV2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 50 | $25,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 333 | $25,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 253 | $25,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 305 | $25,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 440 | $25,000 | thousands by filing date | |
| LOWES COS INC 4.625 04/15/2020 | 548661CQ8 | Corp Bond | 25,000 | $25,000 | thousands by filing date | |
| AMPHENOL CORP 3.2 04/01/2024 | 032095AG6 | Corp Bond | 25,000 | $25,000 | thousands by filing date | |
| AETNA INC. 7.625 26 DUE 08/15/26 | 008117AH6 | CORPORATE BONDS | 20,000 | $25,000 | thousands by filing date | |
| INTERNTNL BUSINESS 7-25 | 459200AM3 | CORPORATE BONDS | 20,000 | $25,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94974BFY1 | US94974BFY11 | 25,000 | $25,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 1,000 | $25,000 | thousands by filing date | |
| Fifth Third Bancorp Perp Sub G | 316773CR9 | Com | 25,000 | $25,000 | thousands by filing date | |
| NEWELL BRANDS INC NT | 651229AM8 | Fixed Income | 25,000 | $25,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC NOTE M/W CLBL | 718172AL3 | NOTE M/W CLBL | 25,000 | $25,000 | thousands by filing date | |
| Texas Capital Bancshares 6.5 percent Pfd | 882228406 | com | 950 | $25,000 | thousands by filing date | |
| PLANO TEXAS INDE | 727199KH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| GOLDMAN SACHS GRO VAR 26 | 38148TMB2 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| UNITEDHEALTH GR | 91324PCH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| Transcanada Corp | 893526DK6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| WELLS FARGO & CO | 94974BGM6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| BOEING CO | 097023AZ8 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| DEERE & CO | 244199BC8 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| GWG HOLDINGS INC | 36251NEJ4 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| GEORGIA ST | 373384PL4 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| AZ SCH FAC BRD COP | 04057PJD1 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| ALLSTATE COR PFD | 020002804 | PFDs, REITs, | 1,000 | $25,000 | thousands by filing date | |
| COMMONWEALTH BAN | 20271RAH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| NORTHSIDE TEXAS | 66702RAB8 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| WATERLOO LA CSD | 941660AP7 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| PUBLIC SERVICE C | 744533BK5 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| REYNOLDS AMERIC | 544152AA9 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 400 | $24,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 200 | $24,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,188 | $24,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $24,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC | 89417E113 | COM | 175 | $24,000 | thousands by filing date | |
| Allstate Corp 5.62 | 020002408 | PFD | 940 | $24,000 | thousands by filing date | |
| RPM INTERNTNL IN | 749685AV5 | Convertible/ | 25,000 | $24,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797ED3 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 96 | $23,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 440 | $23,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 180 | $23,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 220 | $23,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 300 | $23,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 766 | $23,000 | thousands by filing date | |
| Pennymac Mtg Invt Tr Pfd Ser A | 70931T301 | PRD | 900 | $23,000 | thousands by filing date | |
| GENERAL ELECTRIC COMPANY | 369604BQ5 | Common Stock | 25,000 | $23,000 | thousands by filing date | |
| PHOENIX AZ RFDG G/O | 718814Q25 | Bond | 20,000 | $23,000 | thousands by filing date | |
| GLADSTONE COML C | 376536603 | PFDs, REITs, | 900 | $23,000 | thousands by filing date | |
| NATL GEN PFD | 636220808 | PFDs, REITs, | 1,000 | $23,000 | thousands by filing date | |
| INTERNATIONAL PA | 460146CG6 | Convertible/ | 22,000 | $23,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 324 | $22,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 684 | $22,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 533 | $22,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 594 | $22,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $22,000 | thousands by filing date | |
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| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 119 | $22,000 | thousands by filing date | |
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| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 885 | $22,000 | thousands by filing date | |
| CION INVESTMENT CORPORAT ION | 17259u105 | COM | 2,588 | $22,000 | thousands by filing date | |
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| CALIFORNIA ST, VAR PURP GO REF BDS | 13063BRD6 | General Obligations - non-taxable | 20,000 | $22,000 | thousands by filing date | |
| TEXAS STATE B7 | 882724AZ0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| MARICOPA AZ SD #83 | 567405GC3 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E2V0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AUSTIN TX COD | 052403DR0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| FANNIE MAE | 3135G0F73 | Convertible/ | 22,000 | $22,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $21,000 | thousands by filing date | |
| MICROSOFT CORP 3.3 27 DUE 02/06/27 | 594918BY9 | CORPORATE BONDS | 20,000 | $21,000 | thousands by filing date | |
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| MEDTRONIC INC | 585055BS4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| EVERSOURCE ENERG | 30040WAF5 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| GREEN BAY WIS | 392641US3 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| PHOENIX AZ | 718814K88 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| PIMA CN AZ USD #1 | 721799E47 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| TULSA OKLAHOMA ARPT | 899647QW4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EP45 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| NEW YORK NY | 64966HYN4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| HOUSTON TX | 442331Y73 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| EDINA MN ISD NO273 | 280659SL8 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| STATE STREET COR | 857477AT0 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 230 | $20,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 308 | $20,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $20,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 934 | $20,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 125 | $20,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 200 | $20,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 150 | $20,000 | thousands by filing date | |
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| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 500 | $20,000 | thousands by filing date | |
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| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 485 | $20,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 366 | $20,000 | thousands by filing date | |
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| CHEVRON CORP | 166764BL3 | Bond | 20,000 | $20,000 | thousands by filing date | |
| QVC INC | 747262au7 | FIXED | 20,000 | $20,000 | thousands by filing date | |
| MORGAN STANLEY NOTE M/W CLBL | 61746BDZ6 | NOTE M/W CLBL | 20,000 | $20,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP | 88947EAS9 | COM | 20,000 | $20,000 | thousands by filing date | |
| AMERICAN AIRLINES | 02378AAA5 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| INTEL CORP | 458140AU4 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| WILLIAMS PARTNER | 96950FAJ3 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| AT&T INC. | 00206RDD1 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| THE VALSPAR CORP | 920355AG9 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| CHUBB CORP | 00440EAS6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| COMCASE CORPORATI | 20030NBY6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| NOBLE HOLDING IN | 65504LAD9 | Convertible/ | 31,000 | $20,000 | thousands by filing date | |
| SALINE COUNTY NEB | 79517RCV0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AH7 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| DAVITA HEALTHCARE PARTNERS INC | 23918KAQ1 | Fixed Income | 20,000 | $20,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 400 | $20,000 | thousands by filing date | |
| NIELSEN FIN LLC | 65409QBA9 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| AMGEN INC. | 031162BD1 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| JEA FL ELEC SYS | 46613SDQ0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| AMAZON COM INC | 023135AL0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 200 | $19,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 237 | $19,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 350 | $19,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,710 | $19,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,525 | $19,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 2,225 | $19,000 | thousands by filing date | |
| FORD MOTOR CO 4 346 26 DUE 12/08/26 | 345370CR9 | CORPORATE BONDS | 20,000 | $19,000 | thousands by filing date | |
| CHS Inc | 12542R803 | Preferred Stock | 700 | $19,000 | thousands by filing date | |
| DR PEPPER SNAPPL | 26138EAX7 | Convertible/ | 20,000 | $19,000 | thousands by filing date | |
| BALTIMORE GAS ELE | 059165EG1 | Convertible/ | 20,000 | $19,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,300 | $18,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 65 | $18,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 98 | $18,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 233 | $18,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 569 | $18,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 140 | $18,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 300 | $18,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 7,000 | $18,000 | thousands by filing date | |
| FORD HLDG LLC | 345277AE7 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| WSTN MARICOPA ED #2 | 95855RCR5 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CAPITAL ONE FINANCIAL CORP DEP SHS REPRSTG 1/40TH INT | 14040H709 | DEP SHS REPRSTG 1/40TH INT | 720 | $18,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 212 | $17,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $17,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 300 | $17,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 406 | $17,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $17,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 106 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP FIXED RT SR DEB | 530715AJ0 | Fixed Income | 17,000 | $17,000 | thousands by filing date | |
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| AZ ST CTFS PART | 040588E31 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| HARRIS CNTY TX | 414005QD3 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| AUSTIN TX ISD | 052430KT1 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| CITY OF SAN ANTONIO | 7962533W0 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| Delaware St | 246381CC9 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| DELAWARE ST | 246381FV4 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| MARICOPA AZ UHSD 21 | 567505MN9 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100 | $16,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 130 | $16,000 | thousands by filing date | |
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| SOUTHERN COPPER CORP | 84265V105 | COM | 400 | $16,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 1,480 | $16,000 | thousands by filing date | |
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| WELLTOWER INC | 42217K106 | COM | 208 | $16,000 | thousands by filing date | |
| Suncor Energy Inc. | 867229106 | COM | 502 | $16,000 | thousands by filing date | |
| AMERICAN TOWER CO 4.4 26 | 03027XAJ9 | CORPORATE BONDS | 15,000 | $16,000 | thousands by filing date | |
| Two Harbors Investment Corp Se | 90187B200 | Com | 600 | $16,000 | thousands by filing date | |
| DISCOVERY COMMUNICATIONS LLC NOTE M/W CLBL | 25470DAR0 | NOTE M/W CLBL | 16,000 | $16,000 | thousands by filing date | |
| HP INCORPORATION NOTE M/W CLBL | 428236BV4 | NOTE M/W CLBL | 15,000 | $16,000 | thousands by filing date | |
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| MARICOPA AZ SD #4 | 567137F25 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| SCOTTSDALE ARIZ | 8104535U0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| FT BEND CTY TEX | 34681MMG8 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484MB0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| BENTON CNTY WA SD#1 | 082887NB2 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| CORPUS CHRISTI TX | 2201125R3 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| PIMA CN AZ SWR | 721876SP6 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| SCOTTSDALE AZ MPC | 810489PG3 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| LINCOLN NEBRASKA | 534366BM0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| NEW MEXICO FIN A | 64711NNT8 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| PHOENIX AZ CVC ARPT | 71883MHL1 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ARES MANAGEMENT | 04014Y200 | PFDs, REITs, | 600 | $16,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 274 | $15,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 200 | $15,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 317 | $15,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 287 | $15,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 450 | $15,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 250 | $15,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,155 | $15,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 450 | $15,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 601 | $15,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C400 | SPI | 600 | $15,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 193 | $15,000 | thousands by filing date | |
| GLOBALNETLEASEINC | 379378300 | PREFERREDSTK | 600 | $15,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 603 | $15,000 | thousands by filing date | |
| Oxford Lane Man 6.75PFD Due 06/30/24 | 691543508 | PFD | 600 | $15,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP 4 7/8 11/15/25 | 88947EAR1 | Corporate Bond - Domestic | 15,000 | $15,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 15,000 | $15,000 | thousands by filing date | |
| GRD FORKS ND SANI | 385493EU1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| IHS INC | 451734AC1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| GLOBAL INDEMNI | G3933F139 | PFDs, REITs, | 600 | $15,000 | thousands by filing date | |
| HILLENBRAND INC | 431571AA6 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| COLAS SA ORD | F19320104 | Equities | 100 | $15,000 | thousands by filing date | |
| CA INC | 12673PAC9 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| CALIFORNIA ST | 13063A7G3 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| SHELBY COUNTY TE | 821686XT4 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 279 | $14,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 240 | $14,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 100 | $14,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 200 | $14,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 297 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $14,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,000 | $14,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 275 | $14,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 96 | $14,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,000 | $14,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 1,000 | $14,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 285 | $14,000 | thousands by filing date | |
| THE HOME DEPOT, 2.125 26 DUE 09/15/26 | 437076BN1 | CORPORATE BONDS | 15,000 | $14,000 | thousands by filing date | |
| CHEMTRADE LOGISTICS INCOME | 16387P103 | COMMON STK | 2,000 | $14,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 550 | $14,000 | thousands by filing date | |
| TGP 9 PERP SEAPEAK LLC | Y8564M113 | PFD | 534 | $14,000 | thousands by filing date | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $14,000 | thousands by filing date | |
| SOTHERLY HOTELS | 83600C301 | PFDs, REITs, | 577 | $14,000 | thousands by filing date | |
| ENSCO PLC | 26874QAB6 | Convertible/ | 18,000 | $14,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500 | $13,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 50 | $13,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 170 | $13,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 400 | $13,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 72 | $13,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 266 | $13,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 344 | $13,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 750 | $13,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 100 | $13,000 | thousands by filing date | |
| Novo Nordisk A/S ADR | K7314N152 | NVO | 250 | $13,000 | thousands by filing date | |
| HOEGH LNG PAR 8.75 PFDPFD SER A | Y3262R118 | COM | 500 | $13,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 518 | $13,000 | thousands by filing date | |
| Hanover Insurance 6.35% Cl 3/1 | 410867204 | PFD | 500 | $13,000 | thousands by filing date | |
| ALTIUS MINERALS CORP F | 020936100 | FOREIGN CANADIAN | 1,400 | $13,000 | thousands by filing date | |
| OCADO GROUP PLC | G6718L106 | COM | 750 | $13,000 | thousands by filing date | |
| U M H PROPERTIES INC 6.75 CUM RED PFD SER C | 903002400 | 6.75% CUM RED PFD SER C | 500 | $13,000 | thousands by filing date | |
| WIRECARD AG SHS | D22359133 | Common Stock | 100 | $13,000 | thousands by filing date | |
| MORGAN STANLEY | 61760LFF7 | Convertible/ | 13,000 | $13,000 | thousands by filing date | |
| FORD MOTOR CREDIT | 345397VM2 | Convertible/ | 13,000 | $13,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 150 | $12,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 150 | $12,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 500 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 794 | $12,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 400 | $12,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 284 | $12,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 27 | $12,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,009 | $12,000 | thousands by filing date | |
| Gaslog Partners LP (GLOP.PRA) | Y2687w116 | PREF | 500 | $12,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 949746SA0 | CORPORATE BONDS | 12,000 | $12,000 | thousands by filing date | |
| LOWER CO RIV AUTH T | 54811GZS2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MARICOPA AZ SD #38 | 567184KZ8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NC MUN PWR CA ELEC | 658203X82 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NY ST DORM AUTH PER | 64990EUT2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PA ST TPK COMMN TPK | 709224FX2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WST WTR | 71883PJP3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RNK5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| WISCONSIN STATE | 97705MGS8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797CG8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RLZ7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RPG5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TX TRANS ST HWY FD | 88283LJW7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| UNIV WA | 91523NNS1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 381 | $11,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 126 | $11,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 300 | $11,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 213 | $11,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 354 | $11,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 202 | $11,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 329 | $11,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 400 | $11,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 275 | $11,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 200 | $11,000 | thousands by filing date | |
| AARON'S INC | 002535201 | COMMON STOCK | 200 | $11,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 1,944 | $11,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2 02/28/2021 | 912828B90 | Govt Bond | 11,000 | $11,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $11,000 | thousands by filing date | |
| US TREASURY 3 11/44UST BOND DUE 11/15/44 | 912810RJ9 | FIX | 11,000 | $11,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 1,140 | $11,000 | thousands by filing date | |
| CHIMERA INVESTME | 16934Q307 | PREFERRED DEBT | 416 | $11,000 | thousands by filing date | |
| US Treasury 1.625 02/15/26 02/15/2026 1.625 | 912828P46 | Fixed Income | 12,000 | $11,000 | thousands by filing date | |
| CHIMERA INVT CORP PFD SER B | 16934q406 | CV PFD | 418 | $11,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 400 | $11,000 | thousands by filing date | |
| HCA INC. | 404119BQ1 | Corporate Bond - Domestic | 10,000 | $11,000 | thousands by filing date | |
| DALLAS TEX WTRWKS & SWR SYS RE WTRWKS AND SWR SYS REV BD CLBL | 23542JCS2 | WTRWKS AND SWR SYS REV BD CLBL | 10,000 | $11,000 | thousands by filing date | |
| US TREASU NT 2point125 percent 12 21 UST NOTE DUE 12 31 21 | 912828G87 | tn | 11,000 | $11,000 | thousands by filing date | |
| OHIO ST WTR DEV AUTH WTR POLLUTN CTL REV, LN FD REV BDS | 67766WVL3 | Revenue Supported Bonds - non-taxable | 10,000 | $11,000 | thousands by filing date | |
| ARIZONA WTR INFRASTRUCTURE FIN AUTH REV, WTR QUALITY REV REF BDS | 040688MM2 | Revenue Supported Bonds - non-taxable | 10,000 | $11,000 | thousands by filing date | |
| JEA FL ELEC SYS REV | 46613C2F1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| KLEIN TX ISD | 498531FE7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MARICOPA AZ COD | 566795LV0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| NEW YORK N Y | 64966LS77 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| NY ST DORM AUTH S/T | 64990ADN2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| OHIO ST | 677521ZJ8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PEORIA AZ | 712838SC6 | Convertible/ | 10,000 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-19-000447 | this filing | 2019-04-09 | acceptance time not in the bulk data set |