13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-15, with 1,749 holding rows worth $959,770,000.
- Accession
- 0001415889-19-001171
- Filer
- CIK 1418539
- Filed
- 2019-10-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 1,750 entries on the cover page, a total value of $959,770,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $959,770,000 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 |
|---|---|---|---|---|---|---|
| SCE Trust V | 78409W201 | SCEPRK | 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 | |
| Innergex Renewable Energy Inc | 45790B104 | COMMON | 1,314 | $15,000 | thousands by filing date | |
| MORGAN STANLEY | 617474AA9 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| GRD FORKS ND SANI | 385493EU1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| HILLENBRAND INC | 431571AA6 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| NEW MEXICO FIN A | 64711NNT8 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| PHOENIX AZ CVC ARPT | 71883MHL1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| COLAS SA ORD | F19320104 | Equities | 100 | $15,000 | thousands by filing date | |
| SOTHERLY HOTELS | 83600C301 | PFDs, REITs, | 577 | $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 | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 150 | $14,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 279 | $14,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 150 | $14,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 223 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 500 | $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 | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 250 | $14,000 | thousands by filing date | |
| Advanced Micro Device In | 790310700 | Common Stock | 500 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 205 | $14,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 266 | $14,000 | thousands by filing date | |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 500 | $14,000 | thousands by filing date | |
| HOEGH LNG PAR 8.75 PFDPFD SER A | Y3262R118 | COM | 500 | $14,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 300 | $14,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E202 | S&P MIDCP LOW | 263 | $14,000 | thousands by filing date | |
| APPLE INC | 037833BG4 | Bond | 13,000 | $14,000 | thousands by filing date | |
| TGP 9 PERP SEAPEAK LLC | Y8564M113 | PFD | 534 | $14,000 | thousands by filing date | |
| MORGAN STANLEY | 61760LFF7 | Convertible/ | 13,000 | $14,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 339 | $13,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 272 | $13,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 297 | $13,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 545 | $13,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 298 | $13,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 275 | $13,000 | thousands by filing date | |
| Novo Nordisk A/S ADR | K7314N152 | NVO | 250 | $13,000 | thousands by filing date | |
| US TREASURY 3 11/44UST BOND DUE 11/15/44 | 912810RJ9 | FIX | 11,000 | $13,000 | thousands by filing date | |
| Hanover Insurance 6.35% Cl 3/1 | 410867204 | PFD | 500 | $13,000 | thousands by filing date | |
| PS BUSINESS PARKS 5.7 | 69360J644 | STOCK | 500 | $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 | |
| Gaslog Partners LP (GLOP.PRA) | Y2687w116 | PREF | 500 | $13,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $13,000 | thousands by filing date | |
| CHEVRON CORP 3point191percent23 DUE 06 24 23 | 166764AH3 | cb | 12,000 | $13,000 | thousands by filing date | |
| EXCELSIOR MINING CORP | 300763208 | COM | 16,800 | $13,000 | thousands by filing date | |
| WISCONSIN ST, GO REF BDS | 97705MGR0 | General Obligations - non-taxable | 10,000 | $13,000 | thousands by filing date | |
| Digital Rlty Tr Inc 6.625 Pfd Ser C | 253868848 | Preferred Stock | 500 | $13,000 | thousands by filing date | |
| PORT AUTH NY & NJ | 73358WM50 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| WISCONSIN STATE | 97705MGS8 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| UNIV UT | 915183YM3 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| NOBLE HOLDING IN | 65504LAD9 | Convertible/ | 31,000 | $13,000 | thousands by filing date | |
| FIRST REPUBLIC BAN ORD | 33616C852 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| Florida St Turnpike | 343137DP7 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| Illinois Fin Auth R | 45204EX60 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| Viacom Inc. | 92553PAJ1 | Convertible/ | 13,000 | $13,000 | thousands by filing date | |
| FORD MOTOR CREDIT | 345397VM2 | Convertible/ | 13,000 | $13,000 | thousands by filing date | |
| Dc | 25476FXJ2 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| AARONS INC | 253520100 | Equities | 200 | $13,000 | thousands by filing date | |
| ALLSTATE COR PFD | 200028040 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| ASSOCIATED BANC PFD | 454884000 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| BANK OF AMERICA PFD | 605052600 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 126 | $12,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 300 | $12,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 50 | $12,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 169 | $12,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 213 | $12,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 100 | $12,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 300 | $12,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 122 | $12,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 89 | $12,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 1,000 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,400 | $12,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 500 | $12,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,009 | $12,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 500 | $12,000 | thousands by filing date | |
| COMCAST CORP NEW 2.75 03/01/2023 | 20030NBR1 | Corp Bond | 12,000 | $12,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $12,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 450 | $12,000 | thousands by filing date | |
| US Treasury 1.625 02/15/26 02/15/2026 1.625 | 912828P46 | Fixed Income | 12,000 | $12,000 | thousands by filing date | |
| OCADO GROUP PLC | G6718L106 | COM | 750 | $12,000 | thousands by filing date | |
| AMERISOURCEBERGEN CORP | 3073E1080 | COM | 142 | $12,000 | thousands by filing date | |
| GRAND RIVER DAM AUTH OK REV, REF REV BDS | 386442WQ6 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC NOTE M/W CLBL | 931427AF5 | NOTE M/W CLBL | 12,000 | $12,000 | thousands by filing date | |
| UNIVERSITY TX UNIV REVS, REV FIN SYS BDS | 91514AGP4 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 949746SA0 | CORPORATE BONDS | 12,000 | $12,000 | thousands by filing date | |
| LINCOLN NE ELEC SYS | 534272J75 | Convertible/ | 10,000 | $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 | |
| NM FA ST TRANS | 64711RKU9 | 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 | |
| PIMA CN AZ USD #16 | 721863QH4 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| IL FA REV | 45203HA28 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| VERIZON COMMUNICATIO | 92343VBJ2 | Convertible/ | 12,000 | $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 | |
| AZ BRD REGENTS COP | 04048PKC3 | 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 MA BLDG AUTH | 914440QA3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| UNIV WA | 91523NNS1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| DC INCOME TAX | 25477GNK7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| EL PASO CNTY TX | 283497T96 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NATL GEN PFD | 636220808 | PFDs, REITs, | 500 | $12,000 | thousands by filing date | |
| NY ST DORM AUTH S/T | 64990AGA7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NYC NY TRAN AUTH | 64972HYM8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| CONROE TX ISD | 208418UK7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MARATHON PETROLEUM | 56585AAL6 | Convertible/ | 12,000 | $12,000 | thousands by filing date | |
| Nj St Tpk Auth | 6461396Q3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| Exelon Generation C | 30161MAH6 | Convertible/ | 12,000 | $12,000 | thousands by filing date | |
| United Technologi | 913017CN7 | Convertible/ | 12,000 | $12,000 | thousands by filing date | |
| The Toronto-Dom | 89114QJA7 | Convertible/ | 12,000 | $12,000 | thousands by filing date | |
| CVS HEALTH CORP | 126650BJ8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| Florida St | 3411502D1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| ALLSTATE COR PFD | 200024080 | PFDs, REITs, | 470 | $12,000 | thousands by filing date | |
| ALTIUS MINERALS CORP | 209361000 | Equities | 1,400 | $12,000 | thousands by filing date | |
| Triborough Bridge & | 89602RCB9 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MD St Dept Trans | 574204H48 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| STRUCTURED PRODUCT PFD | 2208E2090 | Equities | 400 | $12,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 63 | $11,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 21 | $11,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 166 | $11,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 82 | $11,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 700 | $11,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 284 | $11,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 180 | $11,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 155 | $11,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 72 | $11,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 72 | $11,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 400 | $11,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 202 | $11,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 55 | $11,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 162 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 120 | $11,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 70 | $11,000 | thousands by filing date | |
| Spotify Technology Sa | 177876291 | COM | 100 | $11,000 | thousands by filing date | |
| CHEVRON CORPORATION 3.326 11/17/2025 | 166764BD1 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| MICROSOFT CORP 3.125 11/03/2025 | 594918BJ2 | Corp Bond | 10,000 | $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 | |
| HALLIBURTON CO 3.8 11/15/2025 | 406216BG5 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| CHIMERA INVESTME | 16934Q307 | PREFERRED DEBT | 416 | $11,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001aba9 | FIXED | 10,000 | $11,000 | thousands by filing date | |
| Barrick Gold Corp | 679011080 | COM | 622 | $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 | |
| CAPITAL ONE FINL | 14040HBF1 | Fixed Income | 10,000 | $11,000 | thousands by filing date | |
| AMN HEALTHCARE SERVICES INC | 174410100 | Common Stock | 187 | $11,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 3,300 | $11,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BGP9 | NOTE | 10,000 | $11,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 10,000 | $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 | |
| GENERAL ELECTRIC CO NOTE | 36966R6S0 | NOTE | 10,000 | $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 | |
| JPMORGAN CHASE & | 46625HMN7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| KLEIN TX ISD | 498531FE7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| SIMON PROPERTY GR | 828807CV7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MARICOPA AZ COD | 566795LV0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MESA AZ | 590485ZP6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MONTANA STATE B | 61212WAH8 | 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 | |
| PHOENIX AZ | 718814L61 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ | 718814P26 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA CN AZ IDA | 72177PAZ3 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA CN AZ SWR | 721876RH5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA COUNTY ARIZONA | 721799E80 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ROSEMONT IL | 777543SS9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| SCOTTSDALE AZ | 8104537G9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| SCOTTSDALE AZ W/ | 810526MT7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AIR PRODUCTS AND | 009158AV8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ALBEMARLE CORP | 012725AC1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| FLAGSTAFF AZ | 338423QF6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484LM7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AUSTIN TX WTR & WST | 052476Q35 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ZIONS BANCORP | 989701BE6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AZ HLTH FAC AUTH | 040506NA1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UD5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UL7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AZ TRANS BRD HWY | 040654VE2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| UTAH ST | 917542TX0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| BROWARD CNTY FL ARP | 114894RP5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CALIFORNIA ST | 13063CLV0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| COMCAST CORPORA | 20030NBN0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| DANAHER CORP | 235851AQ5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| EL PASO TX | 283734WN7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MARICOPA AZ SD #11 | 567090D36 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663VJ8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| GILA AZ USD #10 | 375233GG2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CROWN CASTLE INT | 228227BD5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| DRIPPING SPRING TX | 262061NX8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MA ST SCH BLDG AUTH | 576000NR0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| Lewis Cnty Wa Pu | 527839DN1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AMARIN CORP PLC | 231112060 | Equities | 758 | $11,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 45 | $10,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 33 | $10,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 211 | $10,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 400 | $10,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 50 | $10,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 300 | $10,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 171 | $10,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 81 | $10,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 245 | $10,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $10,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| DIGITAL REALT 5.25 PFDPFD SER J | 253868855 | PREFERRED STOCK | 400 | $10,000 | thousands by filing date | |
| CAPITAL ONE FINL 6.00% | 14040H402 | PRF | 400 | $10,000 | thousands by filing date | |
| PIMA CNTY ARIZ INDL DEV AUTH E REF BDS REV | 72177MMK0 | REF BDS REV | 10,000 | $10,000 | thousands by filing date | |
| Antares Pharma Inc | 366421060 | COM | 3,000 | $10,000 | thousands by filing date | |
| MARICOPA AZ CCD | 566795LL2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| APPLE INC. | 037833CR9 | Convertible/ | 9,000 | $10,000 | thousands by filing date | |
| U.S. BANCORP | 91159HHM5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| UNITED AIRLINES, | 90932LAA5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CHANDLER AZ | 158843WL2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CIMAREX ENERGY | 171798AC5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| EXELON CORP | 693304AT4 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CALIFORNIA ST | 13063BFA5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| EXANTAS CAPI PFD | 30068N402 | PFDs, REITs, | 400 | $10,000 | thousands by filing date | |
| LINCOLN NEBRASKA | 534272ZX0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| SEWARD COUNTY NE | 818479EZ6 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MO ST HLTH/ED | 6069017U4 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MP WSTRN ST UNIV | 606432BT8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| STATE OF TEXAS | 882722TB7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PHOENIX AZ CVC ARPT | 71883MHE7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PHOENIX AZ CVC IMP | 718849BD3 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| SCOTTSDALE AZ W/ | 810526MS9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AZ ST TRANSN BRD | 040647DP1 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AZ TRANS EXCISE TAX | 040649KZ7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| Alphabet Inc. | 02079KAC1 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| REGL TRAN DST CO CO | 75913TJE5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| ROYAL BANK CANAD | 78012KKU0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| STARBUCKS CORP | 855244AJ8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| VISA INC | 92826CAB8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY | 084670BQ0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| BK NY MELLON COR | 06406FAB9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| OMAHA NEBRASKA | 681785ET4 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PEPSICO INCORPOR | 713448CS5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| DOW CHEMICAL CO | 260543CF8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| General Electri | 369604BG7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| Bank Of Montreal | 06367TPX2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MA ST | 57582NSJ5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AMEREN CORP | 236081020 | Equities | 122 | $10,000 | thousands by filing date | |
| AON PLC | 373891030 | Equities | 54 | $10,000 | thousands by filing date | |
| BAIDU INC | 567521080 | Equities | 100 | $10,000 | thousands by filing date | |
| US TREASUR NT | 912828TV2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 60 | $9,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 101 | $9,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 56 | $9,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 325 | $9,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 110 | $9,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 200 | $9,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 52 | $9,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 388 | $9,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 149 | $9,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 252 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 221 | $9,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 60 | $9,000 | thousands by filing date | |
| SYNEOS HEALTH INC | 87166B102 | CL A | 165 | $9,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 380 | $9,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 200 | $9,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEP SHS 1/ | 48127R461 | PREFERR | 333 | $9,000 | thousands by filing date | |
| CHS INC. VAR P 7.1 PFDPFD SER 2 | 12542R506 | PREFERRED STOCK | 350 | $9,000 | thousands by filing date | |
| Two Harbors Investment Corp Se | 90187B309 | Com | 350 | $9,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 250 | $9,000 | thousands by filing date | |
| Xto Energy Inc. | 98385XAM8 | Convertible/ | 6,000 | $9,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 145 | $8,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 91 | $8,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 240 | $8,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 100 | $8,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 2,000 | $8,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 406 | $8,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 100 | $8,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 11 | $8,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 39 | $8,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 300 | $8,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 70 | $8,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 60 | $8,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 200 | $8,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 1,426 | $8,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 800 | $8,000 | thousands by filing date | |
| ALLY FINL INC | 361860208 | COM | 300 | $8,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46637G124 | COM | 326 | $8,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 300 | $8,000 | thousands by filing date | |
| Oxford Lane Capital, 7.50% Pfd Series 2023 | 691543300 | preferred stock | 300 | $8,000 | thousands by filing date | |
| ANTHEM, INCpoint 3point125percent22 DUE 05 15 22 | 94973VAX5 | cb | 8,000 | $8,000 | thousands by filing date | |
| FIRST TRUST PORTFOLIOS UNIT 353 TAX EXEMPT MUN INCOME TR SER 264 | 33736P619 | UIT MUNI | 10 | $8,000 | thousands by filing date | |
| ISTAR FINANCIAL INC 7.65 PFD SHS SERIES G | 45031U705 | Preferred | 300 | $8,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI RED PFD SER A | 09627J508 | REIT | 300 | $8,000 | thousands by filing date | |
| UNITED STATES CELLULAR SR NT 120163 | 911684504 | Preferred | 300 | $8,000 | thousands by filing date | |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 300 | $8,000 | thousands by filing date | |
| VIACOM INC | 925524AX8 | Convertible/ | 6,000 | $8,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC DEP SHS EA REP 1/40 SER D | 05990K882 | PREFERRED | 300 | $8,000 | thousands by filing date | |
| FEDERAL NTNL MORT | 3135G0U27 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| BURLINGTN NO SANT | 12189TBC7 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| AMEM EQTY INVT LIFE | 256762060 | Equities | 340 | $8,000 | thousands by filing date | |
| APOLLO GLOBAL | 376124050 | PFDs, REITs, | 310 | $8,000 | thousands by filing date | |
| ASX LIMITED | 212E10500 | Equities | 150 | $8,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 124 | $7,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 86 | $7,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 378 | $7,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 542 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 38 | $7,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 300 | $7,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 200 | $7,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $7,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 170 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 300 | $7,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 50 | $7,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 1,480 | $7,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 193 | $7,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | G7945J104 | COMMON STOCK | 132 | $7,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 400 | $7,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 24 | $7,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 158 | $7,000 | thousands by filing date | |
| BANK AMER CORP 5.625 07/01/2020 | 06051GEC9 | Corp Bond | 7,000 | $7,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,000 | $7,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 267 | $7,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC NOTE M/W CLBL | 98956PAL6 | NOTE M/W CLBL | 7,000 | $7,000 | thousands by filing date | |
| VEREIT INCORPORATION PFD SER F | 92339V209 | Preferred Stock | 272 | $7,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AD6 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| MONTSANTO CO | 61166WAH4 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| DETROIT MI CITY | 251129Z47 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| BANCO SANTANDER, PFD | 05971K406 | PFDs, REITs, | 300 | $7,000 | thousands by filing date | |
| EXPEDIA INC | 30212PAH8 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| INDEPENDENCE GROUP ORD | Q48886107 | Equities | 1,500 | $7,000 | thousands by filing date | |
| State Street Corp 6 percent Pfd | 857477889 | com | 280 | $7,000 | thousands by filing date | |
| HUSKY ENERGY INC | 448055AF0 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 100 | $6,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 55 | $6,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 39 | $6,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 109 | $6,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 100 | $6,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 200 | $6,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $6,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 100 | $6,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 21 | $6,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 76 | $6,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 500 | $6,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 622 | $6,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $6,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 100 | $6,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 245 | $6,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 200 | $6,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 140 | $6,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 600 | $6,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 721 | $6,000 | thousands by filing date | |
| Goldman Sachs Group, Inc. 3.5 11/16/26 | 38145GAH3 | Corporate Bonds | 6,000 | $6,000 | thousands by filing date | |
| ABBVIE INC 2.9 11/06/2022 | 00287YAL3 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| GENERAL MOTORS CO 6.6 36 DUE 04/01/36 | 37045VAK6 | CORPORATE BONDS | 5,000 | $6,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 1,140 | $6,000 | thousands by filing date | |
| RioCan Real Estate Investment | 766910103 | COM | 300 | $6,000 | thousands by filing date | |
| Pebblebrook Hotel Tr 6.5% Pfd Series C | 70509v407 | com | 250 | $6,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,200 | $6,000 | thousands by filing date | |
| Citigroup Inc 6.875 PFD | 172967341 | PFD | 200 | $6,000 | thousands by filing date | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 5,000 | $6,000 | thousands by filing date | |
| PIMA CNTY ARIZ REGL TRANSN AU | 72178RBH7 | COM | 5,000 | $6,000 | thousands by filing date | |
| AETNA INC NOTE M/W CLBL | 008117AP8 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| LOS ANGELES CA W/P | 544525RX8 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TEMPE AZ | 8797094M2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| MARICOPA AZ USD #41 | 567219XY1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| MASSACHUSETTS ST | 57582PAD2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| NC EASTERN MUNI PWR | 658196PP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| PINAL CN AZ CCD | 722035ED0 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| QUEEN CRK AZ EXC | 74823YBP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| FT | 30266E840 | Unit Trusts | 2,000 | $6,000 | thousands by filing date | |
| WI ST TRANS | 977123S74 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| GILEAD SCIENCES, | 375558AW3 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| AUSTIN TX CCLG DIST | 052404MW7 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| YUMA ARIZONA MUNICIP | 988516BM1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TOTAL CAPITAL | 89152UAH5 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797BP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 040484PM3 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| BANK OF AMERICA COR | 06051GFM6 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| BEAM INC | 349631AG6 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| CALIFORNIA ST | 13063CYB0 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| FAIRFAX FINANCE PFD | 303901607 | PFDs, REITs, | 500 | $6,000 | thousands by filing date | |
| MARICOPA AZ USD #60 | 567313FB2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| UNIV NM | 914692Y77 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RNF9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| GLOBAL INDEMNIT | G3933F121 | PFDs, REITs, | 250 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQ TRUST | 925011050 | Equities | 600 | $6,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 129 | $5,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 116 | $5,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 47 | $5,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 18 | $5,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 30 | $5,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 51 | $5,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 45 | $5,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 200 | $5,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 99 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $5,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 93 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 180 | $5,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 115 | $5,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 46 | $5,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 71 | $5,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 400 | $5,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 700 | $5,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| CISCO SYS INC 2.2 02/28/2021 | 17275RBD3 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 807 | $5,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 876 | $5,000 | thousands by filing date | |
| INVESCO MORTGAGE CAP INC | 46131B209 | PRF | 200 | $5,000 | thousands by filing date | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $5,000 | thousands by filing date | |
| AMER AIRLN 15-1 A | 023770aa8 | FIXED | 5,000 | $5,000 | thousands by filing date | |
| AMERN AIRLINE 16-2 A PTT | 023764aa1 | FIXED | 5,000 | $5,000 | thousands by filing date | |
| EXXON MOBIL COR | 30231GAT9 | FIX | 5,000 | $5,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 7,000 | $5,000 | thousands by filing date | |
| Discovery Communications | 25470DAF6 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| Goldman Sachs Group Inc FRN | 38141GWU4 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| MONTANA STATE BO | 61212WAK1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663ZL9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| PUBLIC STORAGE | 74460DAC3 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TN ENGY ACQUISIT | 880443BN5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TUCSON AZ | 898711T97 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 040484KQ9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| BANK OF AMERICA C VAR 28 | 06051GGR4 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| BB&T CORP | 05531FAV5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| CISCO SYSTEMS, I | 17275RBC5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| DUKE ENERGY OHIO | 26442EAF7 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FREMONT NEBRASKA CO | 357415MP0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| COMMONWEALTH EDIS | 202795JN1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| GENERAL ELECTRIC | 36966R4Q6 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| ARLINGTON TX | 041796KT9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| ORACLE CORP | 68389XBK0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| MASSACHUSETTS ST | 57582NSL0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| Chicago Il Wtr | 167736R90 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| HOUSTON TX | 442331Z31 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FAU FIN CORP FL | 31200CAM8 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FEDERAL NTNL MO | 3135G0U43 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AEGON N.V. PERPETUAL CAPITAL SECURITIES | 792430100 | Equities | 200 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 268741070 | Equities | 92 | $5,000 | thousands by filing date | |
| SHELL INTERNTN | 822582AS1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 245 | $4,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 38 | $4,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 54 | $4,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 25 | $4,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 215 | $4,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 145 | $4,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 70 | $4,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 51 | $4,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 70 | $4,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30 | $4,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 7 | $4,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 73 | $4,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 35 | $4,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 60 | $4,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100 | $4,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 12 | $4,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 100 | $4,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 63 | $4,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 518 | $4,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 100 | $4,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 300 | $4,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 300 | $4,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 51 | $4,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 32 | $4,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 200 | $4,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 5,200 | $4,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 225 | $4,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 154 | $4,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 110 | $4,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 200 | $4,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 87 | $4,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 614 | $4,000 | thousands by filing date | |
| US BANCORP 2.35 01/29/2021 | 91159HHL7 | Corp Bond | 4,000 | $4,000 | thousands by filing date | |
| GILEAD SCIENCES INC 4.5 04/01/2021 | 375558AQ6 | Corp Bond | 4,000 | $4,000 | thousands by filing date | |
| ANHEUSER-BUSCH IN 4.9 46TENDER OFFER EXP: 11/14.11/30/2023 | 035242AN6 | CORPORATE BONDS | 3,000 | $4,000 | thousands by filing date | |
| BIO RAD LABS INC CL A | 905722070 | COM | 11 | $4,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 214 | $4,000 | thousands by filing date | |
| STATE STR CORP PFD | 857477509 | PREFERRED | 159 | $4,000 | thousands by filing date | |
| PREFERREDPLUS TR | 740434881 | PRF | 300 | $4,000 | thousands by filing date | |
| STATE STREET C 5.9 PFDPFD SER D | 857477608 | COM | 142 | $4,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW | 7591EP506 | COM | 130 | $4,000 | thousands by filing date | |
| INVSC 7.75 FX FL SRS B CUM RDM PRF | 46131B407 | COM | 150 | $4,000 | thousands by filing date | |
| BHP GROUP LTD SPONSORED ADR ISIN US0886061086 | 886061080 | AD | 73 | $4,000 | thousands by filing date | |
| CORTS TR JCP 7.625per PFD BACKED TR SECS DUE 3/1/97 | 220803100 | Preferred | 700 | $4,000 | thousands by filing date | |
| WALMART INC | 931142EK5 | COM | 4,000 | $4,000 | thousands by filing date | |
| MCDONALD'S CORP | 58013MEM2 | CORPORATE BONDS | 4,000 | $4,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 400 | $4,000 | thousands by filing date | |
| TD AMERITRADE HOL | 87236YAF5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| MICROSOFT CORP | 594918CA0 | Convertible/ | 3,000 | $4,000 | thousands by filing date | |
| MORGAN STANLEY (VARIABLE) | 61760QEP5 | Convertible/ | 7,000 | $4,000 | thousands by filing date | |
| Ntnl Rural Utili | 637432BS3 | Convertible/ | 3,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-19-001171 | this filing | 2019-10-15 | acceptance time not in the bulk data set |