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 |
|---|---|---|---|---|---|---|
| QUALCOMM INC | 747525AT0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| INTL BK RECON & | 459058DX8 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| US TREASUR NT | 9128283Z1 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| BNSF, LLC | 12189LAQ4 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| BP CAPITAL MKT | 05565QBU1 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| MOODY'S CORP | 615369AG0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| OCCIDENTAL PETROL | 674599BY0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| WALMART INC. | 931142CU5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| AT&T INC. | 00206RDB5 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017CQ0 | COM | 4,000 | $4,000 | thousands by filing date | |
| MCDONALDS CORP | 58013MFA7 | Convertible/ | 3,000 | $4,000 | thousands by filing date | |
| INTEL CORP | 458140AJ9 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| ALTAGAS INCOME LTD | 213611000 | Equities | 300 | $4,000 | thousands by filing date | |
| BIG LOTS INC | 893021030 | Equities | 150 | $4,000 | thousands by filing date | |
| Beyond Meat Inc | 8862E1120 | Equities | 30 | $4,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 57 | $3,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 103 | $3,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 94 | $3,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 50 | $3,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 170 | $3,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 18 | $3,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 34 | $3,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $3,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 213 | $3,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 52 | $3,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 62 | $3,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 62 | $3,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 56 | $3,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 115 | $3,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 353 | $3,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 40 | $3,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 200 | $3,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 42 | $3,000 | thousands by filing date | |
| DIAMONDS TRUST SERIES I | 252787106 | EXCHANGE TRADED | 10 | $3,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 540 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H600 | COM | 101 | $3,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 94 | $3,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 1,000 | $3,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 150 | $3,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 268 | $3,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 812 | $3,000 | thousands by filing date | |
| TE Connectivity Ltd | H8912P106 | SHS | 37 | $3,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF S R1 | 69360J669 | PFD | 114 | $3,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 118 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 289 | $3,000 | thousands by filing date | |
| WELLS FARGO 6.625 PFD PFD SER | 949746465 | PFD | 115 | $3,000 | thousands by filing date | |
| WILLIS TOWERS W | 97063PAB0 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASURY | 912828PX2 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| MANUF TRADERS 1.35975 12/28/20 | 564759PS1 | CORPORATE BONDS AND NOTES | 3,000 | $3,000 | thousands by filing date | |
| THE COCA-COLA CO | 191216AR1 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASU NT | 9128284Y3 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| NEWMONT GOLDCORP | 651639AN6 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| US TREASURY | 912810PW2 | Convertible/ | 2,000 | $3,000 | thousands by filing date | |
| COMCAST CORP | 20030NBD2 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| ACTIVISION BLIZZARD INC | 493020200 | Equities | 63 | $3,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 25 | $2,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 52 | $2,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 41 | $2,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $2,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 190 | $2,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 100 | $2,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 50 | $2,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 10 | $2,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 21 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 33 | $2,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 5 | $2,000 | thousands by filing date | |
| KONTOOR BRANDS INC | 50050N103 | COM | 50 | $2,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 17 | $2,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 40 | $2,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 100 | $2,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 34 | $2,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 75 | $2,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 30 | $2,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 14 | $2,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 72 | $2,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 475 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E207 | NY ARCA BIOTECH | 17 | $2,000 | thousands by filing date | |
| COMPASS GROUP PLC SPONSORED AD | 20449X401 | ADUS | 84 | $2,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 215 | $2,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 171 | $2,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 16 | $2,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 75 | $2,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 65 | $2,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 119 | $2,000 | thousands by filing date | |
| OVERSEA-CH | 690333109 | USD | 112 | $2,000 | thousands by filing date | |
| DAIWA HOUSE INDUS UNSP ADR | 234062206 | COM | 49 | $2,000 | thousands by filing date | |
| Keyence Corp | J32491102 | Common Stock | 4 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 40 | $2,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 50 | $2,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $2,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS 5.375% | G7498P119 | PUBLIC | 93 | $2,000 | thousands by filing date | |
| GENERAL ELECTRI 587538 DUE 011438 | 36962G3P7 | Treas | 2,000 | $2,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC | 620076ah2 | FIXED | 2,000 | $2,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 400 | $2,000 | thousands by filing date | |
| ISRAEL DISC BK LIMITED UNSPONSORED ADR | 465074409 | ISDAY | 40 | $2,000 | thousands by filing date | |
| BORGWARNER INC COM | 997241060 | COM | 61 | $2,000 | thousands by filing date | |
| Ferguson PLC ADR | 31502A204 | ADR | 236 | $2,000 | thousands by filing date | |
| JPMORGAN CHASE & CO (VARIABLE) | 46647PAV8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| ALPHABET INC. | 38259PAB8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CITIGROUP INC (VARIABLE) | 172967LP4 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CNA FINL CORP | 126117AE0 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| CONEJO VY CA USD | 206849FE6 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| PNC FDG CORP GTD FIXED RT NT 4.375percentage 08/11/20 | 693476BL6 | B | 2,000 | $2,000 | thousands by filing date | |
| LOS ANGELES CA MUNI | 544587F60 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Fresno Ca Wtr Sys | 358240FY0 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| Petaluma Ca Jusd | 715875UW8 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| MS STRUCTURED ASSE PFD | 80412E206 | Equities | 300 | $2,000 | thousands by filing date | |
| Trinity Ca Util Dis | 89656BAK1 | Convertible/ | 2,000 | $2,000 | thousands by filing date | |
| National Retail Properties Inc | 637417809 | Preferred Stock | 91 | $2,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B107 | Equities | 32,500 | $2,000 | thousands by filing date | |
| Aia Group Ltd | 131720500 | Equities | 49 | $2,000 | thousands by filing date | |
| ALASKA AIR GROUP INC | 116591090 | Equities | 34 | $2,000 | thousands by filing date | |
| ALBEMARLE CORP | 126531010 | Equities | 33 | $2,000 | thousands by filing date | |
| ALEXION PHARMA INC | 153511090 | Equities | 20 | $2,000 | thousands by filing date | |
| ALTABA INC | 213461010 | Equities | 100 | $2,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 25 | $1,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 20 | $1,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 12 | $1,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 200 | $1,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 32 | $1,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 77 | $1,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 17 | $1,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 7 | $1,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 55 | $1,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 26 | $1,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 17 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 41 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 20 | $1,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 17 | $1,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 5 | $1,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 25 | $1,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 29 | $1,000 | thousands by filing date | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 1,000 | $1,000 | thousands by filing date | |
| UBISOFT ENTERTAINMENT SA ADR | 90348R102 | COM | 92 | $1,000 | thousands by filing date | |
| SOFTBANK GROUP CORP. | 83404D109 | Common stock | 52 | $1,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 58 | $1,000 | thousands by filing date | |
| WEIR GROUP PLC SPONSORED ADR | 94876Q205 | ADR | 74 | $1,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,014 | $1,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 14 | $1,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 33 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 20 | $1,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E112 | COM | 20 | $1,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 23 | $1,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 51 | $1,000 | thousands by filing date | |
| PUBLIC STORAGE 5.20% SERIES X | 74460W107 | PREFERR | 27 | $1,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 42 | $1,000 | thousands by filing date | |
| EPIROC AKTIEBOLAG UNSPONSRED ADS | 29429L105 | ADR | 137 | $1,000 | thousands by filing date | |
| Cv Sciences Inc Com | 126654102 | COM | 333 | $1,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 50 | $1,000 | thousands by filing date | |
| Saugus California U | 804237AW5 | Convertible/ | 1,000 | $1,000 | thousands by filing date | |
| ERICSSON TEL | 298421608 | Equities | 100 | $1,000 | thousands by filing date | |
| APACHE CORP | 374111050 | Equities | 43 | $1,000 | thousands by filing date | |
| ASSA ABLOY AB | 453871070 | Equities | 106 | $1,000 | thousands by filing date | |
| BB&T CORPORATI | 549376020 | PFDs, REITs, | 51 | $1,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FASTENAL CO COM | 311900104 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GARMIN LTD SHS | H2906T109 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COTERRA ENERGY INC COM | 127097103 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADIENT PLC | G0084W101 | ORD SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADVANSIX INC | 00773T101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONDUENT INC | 206787103 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RMR GROUP INC | 74967R106 | CL A | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCH TRADED FD III | 33739E112 | PFD SECS INC ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E DIGITAL CORPORATN | 26841y103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPRINT CORP | 85207U105 | COM SER 1 | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 105 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON MUTUAL INC COMMON | 939ESC968 | COMMON STOCK | 3,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTEL NETWORKS CORP | 656568508 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| California Grapes International Inc | 130266109 | Common Stock | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| mPhase Technologies Inc | 62472C201 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pentair Inc | H6169Q108 | PNR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VASO CORP COM | 92233F102 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNATIONAL PWR GROUP LTD | 46018A100 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Notis Global Inc | 66980B100 | Common / Ordinary Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROTHE | 525ESC711 | ESC | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELECOMUNICACOES DE SAO PAUL | 87929A102 | SPON ADR PFD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEAN FOODS CO NEW | 242370104 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 5,516 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ECOTALITY INC | 27922Y202 | COM NEW | 833 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347R883 | PSHS ULSHT SP500 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYPERDYNAMICS CORP | 448954206 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGERATI TECHNOLOGIES | 25375L206 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEL OFFSHORE TRUST | 872382106 | MUTUAL FUNDS - | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MicroIslet, Inc. | 59507q106 | COM | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ABAKAN INC | 00258J107 | COM | 98,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Conseco Inc | 208464883 | com | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN BATTERY TECHNOLOGY COM NEW | 02451V101 | Stock | 8,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVTEQ CORP | 63936L100 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Linnco LLC XXX Escrow Pending Possible | 535ESC107 | COM | 780 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Terra Tech Corp | 88102J209 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Seventy Seven Energy-Escrow | 818ESC998 | COM | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI CARD GROUP INC | 12634H101 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITRO TECH | 92851M108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITY ONE CAPITAL | 913991006 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROS HLDGS | 525ESCGU7 | Convertible/ | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESECURESOFT CO | 296423106 | Equities | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPECTRA7 MICROSYSTEMS INC | 84761T109 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPRISE INC | 65333Q202 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUIDAO HLDG CORP | 229905302 | Equities | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENTECH NITROGEN LP XXX | 760ESC996 | PFDs, REITs, | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YELLOW MEDIA INC 22 WTS | 985572114 | Equities | 827 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN ARCH RESOURCES | 38079K101 | Equities | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANT DIAGNOSTICS INC | 05350M106 | Equities | 91,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUGAR OIL & GAS CANADA INC | 22208A101 | Equities | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.25XXXESCROW P | 370escbw4 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS CORP 9.25 | 370ESC9S6 | PFDs, REITs, | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREEN ENERGY GROUP INC | 393036108 | Equities | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYZIPSOFT INC | 628703100 | Equities | 311 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORBIT BRANDS CORP | 68556C108 | Equities | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT GOLD CORP | 70337F103 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORE MED GROUP INC | 218684108 | Equities | 146 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HERITAGE GLOBAL INC | 42727E107 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPER DEAL COM INC | 00210R106 | Equities | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA PERFORMANCE PRODUCTS INC | 90341L102 | Equities | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USAS DIGITAL INC | 90341K104 | Equities | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLASSIFIED AD INC | 00089Y109 | Equities | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN CAPITAL HOLDINGS | 02503V109 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Algae Biosciences Co | 01551T107 | Equities | 12,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC BLUE ENERGY CORP | 69404A104 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AAB NATIONAL CO | 303107000 | Equities | 181 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACHAOGEN INC | 444910400 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Actua Corp | 509410700 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCOA INC | 138172000 | Equities | 23 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Alpine 4 Technologies | 209927490 | Equities | 2,220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLARIS COPPER INC | 83418J100 | Equities | 711 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARKEMA SA | 412321090 | Equities | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BRO HLDG PFD | 5252E2040 | PFDs, REITs, | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |