13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-07-19, with 1,748 holding rows worth $895,045,000.
- Accession
- 0001415889-19-000857
- Filer
- CIK 1418539
- Filed
- 2019-07-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 1,749 entries on the cover page, a total value of $895,045,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $895,045,000 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 |
|---|---|---|---|---|---|---|
| MARKEL CORP | 570535AK0 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| PSEG POWER LLC | 69362BBA9 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| ASPEN INSURANCE | 04530DAD4 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| THERMO FISHER SC | 883556BF8 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 423 | $52,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 310 | $52,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,200 | $52,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 2,000 | $52,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 500 | $52,000 | thousands by filing date | |
| O'Reilly Automotive Inc. | 67103hab3 | COM | 50,000 | $52,000 | thousands by filing date | |
| WELLS FARGO | 94974BEV8 | cb | 50,000 | $52,000 | thousands by filing date | |
| JOHNSON CONTROLS | 478366BA4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| SONY CORP (ADR) | S68215060 | Equities | 991 | $52,000 | thousands by filing date | |
| SOUTHERN NATURAL | 84345PAB8 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| PACKAGING CORP O | 695156AR0 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| AMPHENOL CORP | 032095AB7 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| WHIRLPOOL CORP | 96332HCD9 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| CORNING INC | 219350AZ8 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| EATON VANCE COR | 278265AD5 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| EXPRESS SCRIPTS HOLDINGS CO | 30219GAF5 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| MARATHON PETROL | 56585AAD4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| CSX CORP | 126408GZ0 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| HP INC. | 428236BM4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| ASTRAZENECA PL | 046353AL2 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| DAVENPORT IO | 238388NM0 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| JUNIPER NETWORKS, | 48203RAF1 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| VODAFONE GROUP | 92857WAV2 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 4,150 | $51,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 3,310 | $51,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 5,142 | $51,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BFJ4 | NOTE | 50,000 | $51,000 | thousands by filing date | |
| WESTLAKE CORPORATION NOTE M/W CLBL | 960413AF9 | NOTE M/W CLBL | 50,000 | $51,000 | thousands by filing date | |
| Wells Fargo & Co New | 949746366 | COM | 2,000 | $51,000 | thousands by filing date | |
| HSBC USA INC. | 40428HPB2 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| SYMANTEC CORP | 871503AH1 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| CONAGRA BRANDS, | 205887BL5 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| AUTOZONE, INC. | 053332AL6 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| EOG RESOURCES, IN | 26875PAE1 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| AT&T INC. | 00206RCM2 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| At&T Inc. | 00206RCZ3 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| BANK OF AMERICA | 06050WDD4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| AMERIPRISE FINL, | 03076CAE6 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| JOHNSON CONTROLS IN | 478366AU1 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| REINSURANCE GROU | 759351AG4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| MEDTRONIC PLC | 585055AV8 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 536 | $50,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 2,195 | $50,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 949746SH5 | NOTE | 50,000 | $50,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GFB0 | cb | 47,000 | $50,000 | thousands by filing date | |
| ACTIVISION BLIZZA | 00507VAM1 | 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 | |
| DOWDUPONT INC. | 26054LJ38 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| GOLDMAN SACHS GR | 38141GVP6 | 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 | |
| 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 | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 100 | $49,000 | thousands by filing date | |
| UNITED STATES TREASURY NOTES NOTE | 9128283U2 | NOTE | 47,000 | $48,000 | thousands by filing date | |
| VIACOM INC | 92553PAT9 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 1,142 | $47,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 1,150 | $47,000 | thousands by filing date | |
| MONSANTO CO | 61166WAW1 | Convertible/ | 50,000 | $47,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851AU3 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| COMCAST CORP | 20030NBL4 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| EQT CORP | 26884LAB5 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 457 | $46,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 280 | $46,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 328 | $46,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,094 | $46,000 | thousands by filing date | |
| SILVANA MINES | 380956AF9 | cb | 45,000 | $46,000 | thousands by filing date | |
| MICROSOFT CORP | 594918BH6 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| CENTURYLINK INC SR NT | 156700AW6 | Fixed Income | 45,000 | $46,000 | thousands by filing date | |
| PRUDENTIAL FINL | 74432QBM6 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| DOW CHEMICAL CO NOTE M/W CLBL | 260543CH4 | NOTE M/W CLBL | 45,000 | $46,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 153 | $45,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 519 | $45,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 1,000 | $45,000 | thousands by filing date | |
| LENNOX INTERNTNL IN | 526107AD9 | Convertible/ | 45,000 | $45,000 | thousands by filing date | |
| INTEL CORP | 458140AU4 | Convertible/ | 45,000 | $45,000 | thousands by filing date | |
| BOARDWALK PIPEL | 096630AC2 | Convertible/ | 45,000 | $45,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127HAA7 | Fixed Income | 45,000 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 1,200 | $44,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 488 | $44,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,655 | $44,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 419 | $43,000 | thousands by filing date | |
| BNY MELLON | 064058209 | PFD | 1,701 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EM63 | Convertible/ | 40,000 | $43,000 | thousands by filing date | |
| AMERICAN TOWER CORP NOTE M/W CLBL | 029912BE1 | NOTE M/W CLBL | 40,000 | $43,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 175 | $42,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 317 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 540 | $42,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 296 | $42,000 | thousands by filing date | |
| FAIRFAX FINANCIAL HLDGS LTD NOTE | 303901AB8 | NOTE | 35,000 | $42,000 | thousands by filing date | |
| FORD MOTOR CO | 345397VU4 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| ALTERRA FIN LLC | 02153LAA2 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 971 | $41,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 273 | $41,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $41,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 300 | $41,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 200 | $41,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 402 | $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 | |
| Progressive Corporation | 743315103 | COM | 502 | $40,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 280 | $40,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,245 | $40,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 900 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 749 | $40,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAJ7 | Convertible/ | 35,000 | $40,000 | thousands by filing date | |
| BECTON, DICKINS | 075887BR9 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| SOUTHWEST AIRLIN | 844741BA5 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 138 | $39,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 1,000 | $39,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 50,000 | $39,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 500 | $38,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 320 | $38,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $38,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 800 | $38,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 1,200 | $38,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 298 | $38,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 468 | $37,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 541 | $37,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 300 | $37,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 400 | $37,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 800 | $37,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 700 | $37,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 1,428 | $37,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E306 | DJ INTERNT IDX | 255 | $37,000 | thousands by filing date | |
| ABBOTT LABORATORI | 002824BE9 | Convertible/ | 36,000 | $37,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 200 | $36,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 622 | $36,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 27 | $36,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $36,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 900 | $36,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 722 | $36,000 | thousands by filing date | |
| UNION PACIFIC CO | 907818DM7 | Convertible/ | 35,000 | $36,000 | thousands by filing date | |
| AZ ST LOTTERY | 040624AV0 | Convertible/ | 35,000 | $36,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 406 | $35,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 742 | $35,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 715 | $35,000 | thousands by filing date | |
| WA ST COP | 9397195F3 | Convertible/ | 35,000 | $35,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 250 | $34,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 270 | $33,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 562 | $33,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 274 | $33,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,500 | $33,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 217 | $33,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 503 | $33,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 331 | $33,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 2,000 | $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 | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 150 | $32,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $32,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 186 | $32,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 286 | $32,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 160 | $32,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,784 | $32,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 236 | $32,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 1,000 | $32,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 860 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,000 | $32,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC FXD RT | 693475AP0 | Fixed Income | 30,000 | $32,000 | thousands by filing date | |
| MORGAN STANLEY | 6174468C6 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| CBOA FINANCIAL INC | 01248E111 | Equities | 12,000 | $32,000 | thousands by filing date | |
| VA ST PUB BLDG AUTH | 928172Z81 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| Illinois Fin Auth R | 45204EW87 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 50 | $31,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 800 | $31,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 114 | $31,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 226 | $31,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 312 | $31,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,070 | $31,000 | thousands by filing date | |
| Fl St B/E Pub Ed | 34153PD88 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| Texas St | 8827236S3 | Convertible/ | 25,000 | $31,000 | thousands by filing date | |
| New York St Dorm Au | 64990FHY3 | Convertible/ | 25,000 | $31,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 400 | $30,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 2,000 | $30,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 600 | $30,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 500 | $30,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 800 | $30,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 615 | $30,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 1,500 | $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 | |
| johnson & johnson | 478160af1 | CORPORATE BOND | 25,000 | $30,000 | thousands by filing date | |
| NYC NY MUN FA W/S | 64972GQX5 | Convertible/ | 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 | |
| BERKSHIRE HATHAWA | 084670BL1 | Convertible/ | 30,000 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,000 | $29,000 | thousands by filing date | |
| MA ST TRANS FD | 57604TFU5 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| WI ST CLEAN WTR | 977092WT8 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141ED48 | 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 | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 858 | $28,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 530 | $28,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,587 | $28,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,891 | $28,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 780 | $28,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 400 | $28,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 841 | $28,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 500 | $28,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 600 | $28,000 | thousands by filing date | |
| Suncor Energy Inc. | 867229106 | COM | 902 | $28,000 | thousands by filing date | |
| KS ST DEV FA REV | 485429S39 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| NORTHERN ARIZONA UN | 664754Z43 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| HUTCHINSON MN PUR | 44835EDE5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| WISCONSIN STATE AAA | 97705MHY4 | 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 | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,085 | $27,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 200 | $27,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 440 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 735 | $27,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $27,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 300 | $27,000 | thousands by filing date | |
| BANK AMERICA CORP 4 04/01/2024 | 06051GFF1 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| BLACKROCK INC NOTE M/W CLBL | 09247XAL5 | NOTE M/W CLBL | 25,000 | $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 | |
| THE CLOROX CO | 189054AW9 | 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 | |
| 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 | |
| The Charles Schw | 808513AX3 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 156 | $26,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 488 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,182 | $26,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 220 | $26,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 2,677 | $26,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 1,500 | $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 | |
| AMPHENOL CORP 3.2 04/01/2024 | 032095AG6 | Corp Bond | 25,000 | $26,000 | thousands by filing date | |
| Taubman Centers 6.5% Pfd Series J | 876664608 | com | 1,000 | $26,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94974BFY1 | US94974BFY11 | 25,000 | $26,000 | thousands by filing date | |
| HYATT HOTELS | 448579ae2 | FIXED | 25,000 | $26,000 | thousands by filing date | |
| NEWELL BRANDS INC NT | 651229AM8 | Fixed Income | 25,000 | $26,000 | thousands by filing date | |
| MARKEL CORP | 570535AM6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571903BA0 | 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 | |
| ADVANCED FIBRE COMMUNICATIONS INC | 00754A105 | Equities | 985 | $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 | |
| United Technolo | 913017CR8 | 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 | |
| PUBLIC STORAGE CL A | 74460W792 | PFDs, REITs, | 1,030 | $26,000 | thousands by filing date | |
| US Treasu Nt | 912828XD7 | Convertible/ | 26,000 | $26,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 700 | $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 | |
| 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 | |
| Fifth Third Bancorp Perp Sub G | 316773CR9 | Com | 25,000 | $25,000 | thousands by filing date | |
| EXCELSIOR MINING CORP | 300763208 | COM | 37,170 | $25,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 1,100 | $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 | |
| RPM INTERNTNL IN | 749685AV5 | 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 | |
| Trinity Riv Tx Ww | 89658HVX5 | Convertible/ | 20,000 | $25,000 | thousands by filing date | |
| WELLS FARGO & CO | 94974BGM6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC FIXED | 38148LAA4 | Fixed Income | 25,000 | $25,000 | thousands by filing date | |
| LEXMARK INTERNATIONAL INC NOTE M/W CLBL | 529772AF2 | NOTE M/W CLBL | 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 | |
| Temple Tx Isd | 880081LG7 | 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 | |
| COMMONWEALTH BAN | 20271RAH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| NORTHSIDE TEXAS | 66702RAB8 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| HAWAII St | 419792RH1 | Convertible/ | 20,000 | $25,000 | thousands by filing date | |
| WATERLOO LA CSD | 941660AP7 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 684 | $24,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 380 | $24,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 423 | $24,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,188 | $24,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $24,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 451 | $24,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 300 | $24,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 625 | $24,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $24,000 | thousands by filing date | |
| Lowe's Companies Inc | 548661DM6 | #N/A | 25,000 | $24,000 | thousands by filing date | |
| GENERAL ELECTRIC COMPANY | 369604BQ5 | Common Stock | 25,000 | $24,000 | thousands by filing date | |
| PHOENIX AZ RFDG G/O | 718814Q25 | Bond | 20,000 | $24,000 | thousands by filing date | |
| CONNECTICUT ST SPL TAX OBLIG REV, SPL TAX OBLIG BDS | 207758TX1 | Revenue Supported Bonds - non-taxable | 20,000 | $24,000 | thousands by filing date | |
| NEW MEXICO ST HOSP EQUIP LN COUNCIL HOSP REV, REV BDS, PRESBYTERIAN | 647370GP4 | Revenue Supported Bonds - non-taxable | 20,000 | $24,000 | thousands by filing date | |
| OH ST INFRA PROJ | 677581GK0 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797ED3 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| Wisconsin St Enviro | 97709TBR6 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 224 | $23,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 250 | $23,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 305 | $23,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 140 | $23,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 195 | $23,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,000 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 119 | $23,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 2,500 | $23,000 | thousands by filing date | |
| Pennymac Mtg Invt Tr Pfd Ser A | 70931T301 | PRD | 900 | $23,000 | thousands by filing date | |
| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 885 | $23,000 | thousands by filing date | |
| GLADSTONE COML C | 376536603 | PFDs, REITs, | 900 | $23,000 | thousands by filing date | |
| GARDEN GROVE CA | 365250AK5 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| WI ST TRANS | 977123T24 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E2V0 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| WORK RECOVERY IN | 981370109 | Equities | 611 | $23,000 | thousands by filing date | |
| INTERNATIONAL PA | 460146CG6 | Convertible/ | 22,000 | $23,000 | thousands by filing date | |
| Raleigh Nc Comb Ent | 751100GH5 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 189 | $22,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 359 | $22,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 200 | $22,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 456 | $22,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 1,968 | $22,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 500 | $22,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 138 | $22,000 | thousands by filing date | |
| CAN APARTMENT PROP REAL ESTA | 134921105 | FOR | 600 | $22,000 | thousands by filing date | |
| DALLAS TEX WTRWKS & SWR SYS RE WTRWKS AND SWR SYS REV BDS | 23542JBW4 | WTRWKS AND SWR SYS REV BDS | 20,000 | $22,000 | thousands by filing date | |
| 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 | |
| EVERSOURCE ENERG | 30040WAF5 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| FANNIE MAE | 3135G0F73 | Convertible/ | 22,000 | $22,000 | thousands by filing date | |
| HARRIS COUNTY TEXAS | 41423PAD9 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 150 | $21,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 349 | $21,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 333 | $21,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 237 | $21,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 125 | $21,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 150 | $21,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 1,419 | $21,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 1,009 | $21,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 2,000 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 214 | $21,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 1,525 | $21,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 750 | $21,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 828 | $21,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL 3.125 03/15/2026 | 084670BS6 | Corp Bond | 20,000 | $21,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 1,000 | $21,000 | thousands by filing date | |
| CHEVRON CORP | 166764BL3 | Bond | 20,000 | $21,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP | 88947EAS9 | COM | 20,000 | $21,000 | thousands by filing date | |
| BANC OF CALIFORNIA INCORPORATED DEP SHS REPSTG | 05990K874 | Preferred Stock | 800 | $21,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571900BB4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN AIRLINES | 02378AAA5 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AT&T INC. | 00206RDD1 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AUSTIN TX COD | 052403DR0 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| THE VALSPAR CORP | 920355AG9 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| CHUBB CORP | 00440EAS6 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| COMCASE CORPORATI | 20030NBY6 | 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 | |
| Boston Ma | 100853MW7 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 390 | $20,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 96 | $20,000 | thousands by filing date | |
| JPMorgan BetaBuilders Canada E | 46641Q696 | COM | 814 | $20,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 735 | $20,000 | thousands by filing date | |
| FORD MOTOR CO 4 346 26 DUE 12/08/26 | 345370CR9 | CORPORATE BONDS | 20,000 | $20,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 856 | $20,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 246 | $20,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 823 | $20,000 | thousands by filing date | |
| Deutsche Bk Tst 6.55%Perp Cl 5 | 25153x208 | PFD | 800 | $20,000 | thousands by filing date | |
| MARRIOTT INTERNATIONAL INC NOTE M/W CLBL | 571903AS2 | NOTE M/W CLBL | 20,000 | $20,000 | thousands by filing date | |
| VALERO ENERGY CORP NOTE M/W CLBL | 91913YAU4 | NOTE M/W CLBL | 20,000 | $20,000 | thousands by filing date | |
| JPMorgan Chase & VAR 99 Due 1 | 48127FAA1 | COM | 20,000 | $20,000 | thousands by filing date | |
| JPMORGAN CHASE & CO (VARIABLE) | 46647PAW6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PNC BANK (VARIABLE) | 69353RFF0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| WILLIAMS PARTNER | 96950FAJ3 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| CSX CORP | 126408HE6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| DR PEPPER SNAPPL | 26138EAX7 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| UNITED PARCEL S | 911312AM8 | cb | 20,000 | $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 | |
| GOLDMAN SACHS GROUP (VARIABLE) | 38145GAF7 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| GREEN BAY WIS | 392641US3 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| DAVITA HEALTHCARE PARTNERS INC | 23918KAQ1 | Fixed Income | 20,000 | $20,000 | thousands by filing date | |
| QUALCOMM INC | 747525AD5 | Convertible/ | 20,000 | $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 | |
| HOUSTON TX | 442331Y73 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| EDINA MN ISD NO273 | 280659SL8 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| Federal Home Loan | 3137EAEE5 | 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 | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 150 | $19,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $19,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 1,395 | $19,000 | thousands by filing date | |
| CHS Inc | 12542R803 | Preferred Stock | 700 | $19,000 | thousands by filing date | |
| CION INVESTMENT CORPORAT ION | 17259u105 | COM | 2,220 | $19,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 1.625 04/30/23 B/E DTD 04/30/16 | 912828R28 | TREASURY NOTE | 19,000 | $19,000 | thousands by filing date | |
| GRAND RV DAM AUTH O | 386442WM5 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| FORD HLDG LLC | 345277AE7 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| TRIBOROUGH BRIDGE & | 89602REH4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| UTAH ST | 917542VG4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 411 | $18,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 235 | $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 | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $18,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $18,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 321 | $18,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 250 | $18,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 159 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 160 | $18,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 400 | $18,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 200 | $18,000 | thousands by filing date | |
| MICHIGAN ST HOSP FIN AUTH REV REF BDS REV | 59465HUL8 | REF BDS REV | 15,000 | $18,000 | thousands by filing date | |
| AZ ST CTFS PART | 040588E31 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| WASHINGTON ST | 93974DUK2 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CHICAGO ILLINOIS O | 167593A28 | 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 | |
| Lakeland Fl Energy | 51166FDX4 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| Oh St Wtr Poll REV | 67766WXA5 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 325 | $17,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 212 | $17,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 899 | $17,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 358 | $17,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $17,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 200 | $17,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 400 | $17,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 92 | $17,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 162 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 475 | $17,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 169 | $17,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 193 | $17,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1,425 | $17,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 650 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP FIXED RT SR DEB | 530715AJ0 | Fixed Income | 17,000 | $17,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP NT | 655844AW8 | Fixed Income | 15,000 | $17,000 | thousands by filing date | |
| WIRECARD AG SHS | D22359133 | Common Stock | 100 | $17,000 | thousands by filing date | |
| NORTH TX TWY AUTH REV, FIRST TIER REF BDS | 66285WSF4 | Revenue Supported Bonds - non-taxable | 15,000 | $17,000 | thousands by filing date | |
| SUNTRUST PREFERRE VAR | 86800XAA6 | Convertible/ | 20,000 | $17,000 | thousands by filing date | |
| MARICOPA COUNTY ARI | 567438TN6 | 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 | |
| NOBLE HOLDING IN | 65504LAD9 | Convertible/ | 31,000 | $17,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 103 | $16,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 100 | $16,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $16,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $16,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 300 | $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 | |
| MARICOPA AZ SD #4 | 567137F25 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 650 | $16,000 | thousands by filing date | |
| SCOTTSDALE ARIZ | 8104535U0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| IHS INC | 451734AC1 | 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 | |
| GLOBAL INDEMNI | G3933F139 | PFDs, REITs, | 600 | $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 | |
| US Treasur Nt | 912828XE5 | Convertible/ | 16,000 | $16,000 | thousands by filing date | |
| ARES MANAGEMENT | 04014Y200 | PFDs, REITs, | 600 | $16,000 | thousands by filing date | |
| COLAS SA ORD | F19320104 | Equities | 100 | $16,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500 | $15,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 152 | $15,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 65 | $15,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 275 | $15,000 | thousands by filing date | |
| Spotify Technology Sa | 177876291 | COM | 100 | $15,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C400 | SPI | 600 | $15,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 750 | $15,000 | thousands by filing date | |
| THE HOME DEPOT, 2.125 26 DUE 09/15/26 | 437076BN1 | CORPORATE BONDS | 15,000 | $15,000 | thousands by filing date | |
| GLOBALNETLEASEINC | 379378300 | PREFERREDSTK | 600 | $15,000 | thousands by filing date | |
| Oxford Lane Man 6.75PFD Due 06/30/24 | 691543508 | PFD | 600 | $15,000 | thousands by filing date | |
| Goldman Sachs Group Inc FRN | 38141GWU4 | Corp Bond | 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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-19-000857 | this filing | 2019-07-19 | acceptance time not in the bulk data set |