13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-17, with 1,742 holding rows worth $1,058,037,000.
- Accession
- 0001415889-20-000112
- Filer
- CIK 1418539
- Filed
- 2020-01-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 1,743 entries on the cover page, a total value of $1,058,037,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,058,037,000 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 |
|---|---|---|---|---|---|---|
| ASTRAZENECA PL | 046353AL2 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 800 | $52,000 | thousands by filing date | |
| O'Reilly Automotive Inc. | 67103hab3 | COM | 50,000 | $52,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BFJ4 | NOTE | 50,000 | $52,000 | thousands by filing date | |
| WELLS FARGO | 94974BEV8 | cb | 50,000 | $52,000 | thousands by filing date | |
| PACKAGING CORP O | 695156AR0 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| ACTIVISION BLIZZA | 00507VAM1 | 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 | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 608 | $51,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 900 | $51,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 1,295 | $51,000 | thousands by filing date | |
| APPLE INC 2.4 05/03/2023 | 037833AK6 | Corp Bond | 50,000 | $51,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 949746SH5 | 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 | |
| JOHNSON CONTROLS | 478366BA4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| SOUTHERN NATURAL | 84345PAB8 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| DOVER CORP | 260003AC2 | Convertible/ | 40,000 | $51,000 | thousands by filing date | |
| JOHN DEERE CAPITA | 24422ESL4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| HP INC. | 428236BM4 | Convertible/ | 50,000 | $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 | |
| DAVENPORT IO | 238388NM0 | 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 | |
| Amgen Inc. | 031162CJ7 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| Belleville Mi | 079005DJ0 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 153 | $50,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 531 | $50,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 252 | $50,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 310 | $50,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,000 | $50,000 | thousands by filing date | |
| EVERGY, INC. | 30034WAA4 | 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 | |
| EOG RESOURCES, IN | 26875PAE1 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| GATX CORP | 361448AV5 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| AMERIPRISE FINL, | 03076CAE6 | 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 | |
| JOHNSON CONTROLS IN | 478366AU1 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| Jpmorgan Chase & | 46625HHQ6 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 273 | $49,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,425 | $49,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 1,593 | $49,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 402 | $49,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 1,200 | $49,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,094 | $49,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 46625HJE1 | Convertible/ | 47,000 | $49,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 983 | $48,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 320 | $48,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 1,625 | $48,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 645 | $48,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 316 | $48,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 2,584 | $48,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GFB0 | cb | 45,000 | $48,000 | thousands by filing date | |
| MONSANTO CO | 61166WAW1 | Convertible/ | 50,000 | $48,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851AU3 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| VIACOM INC | 92553PAT9 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 341 | $47,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,304 | $47,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 2,750 | $47,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 175 | $47,000 | thousands by filing date | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 100 | $47,000 | thousands by filing date | |
| COMCAST CORP | 20030NBL4 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 400 | $46,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 300 | $46,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 413 | $46,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 600 | $46,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 974 | $46,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 400 | $46,000 | thousands by filing date | |
| LENNOX INTERNTNL IN | 526107AD9 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| MICROSOFT CORP | 594918BH6 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| INTEL CORP | 458140AU4 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| BOARDWALK PIPEL | 096630AC2 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| EQT CORP | 26884LAB5 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| PRUDENTIAL FINL | 74432QBM6 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| DOW CHEMICAL CO NOTE M/W CLBL | 260543CH4 | NOTE M/W CLBL | 45,000 | $46,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 445 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 540 | $45,000 | thousands by filing date | |
| SILVANA MINES | 380956AF9 | cb | 45,000 | $45,000 | thousands by filing date | |
| CENTURYLINK INC SR NT | 156700AW6 | Fixed Income | 45,000 | $45,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 1,600 | $44,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 942 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 1,233 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 749 | $44,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 1,838 | $44,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 4,800 | $44,000 | thousands by filing date | |
| BNY MELLON | 064058209 | PFD | 1,701 | $44,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 500 | $43,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 2,420 | $43,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 280 | $43,000 | thousands by filing date | |
| COMMUNITY USD0.01 | 20369C106 | COM | 1,000 | $43,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 742 | $43,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 800 | $43,000 | thousands by filing date | |
| FAIRFAX FINANCIAL HLDGS LTD NOTE | 303901AB8 | NOTE | 35,000 | $43,000 | thousands by filing date | |
| MORGAN STANLEY | 6174468C6 | Convertible/ | 40,000 | $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 | |
| American Express Company | 025816109 | COM | 334 | $42,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 704 | $42,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 200 | $42,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 800 | $42,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 500 | $42,000 | thousands by filing date | |
| FORD MOTOR CO | 345397VU4 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 646 | $41,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 200 | $41,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 900 | $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 | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 494 | $40,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 1,500 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E306 | DJ INTERNT IDX | 286 | $40,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 684 | $40,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAJ7 | Convertible/ | 35,000 | $40,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 298 | $40,000 | thousands by filing date | |
| BECTON, DICKINS | 075887BR9 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 179 | $39,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $39,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 250 | $39,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 294 | $39,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 2,000 | $39,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 955 | $39,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 200 | $38,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC | 89417E113 | COM | 275 | $38,000 | thousands by filing date | |
| ABBOTT LABORATORI | 002824BE9 | Convertible/ | 36,000 | $38,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 114 | $37,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 319 | $37,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,784 | $37,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 727 | $37,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 700 | $37,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 715 | $37,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 162,807 | $37,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149YBA5 | Convertible/ | 35,000 | $37,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 449 | $36,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 400 | $36,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $36,000 | thousands by filing date | |
| UNION PACIFIC CO | 907818DM7 | Convertible/ | 35,000 | $36,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | G7945J104 | COMMON STOCK | 589 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,000 | $35,000 | thousands by filing date | |
| AZ ST LOTTERY | 040624AV0 | Convertible/ | 35,000 | $35,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 400 | $34,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 800 | $34,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 109 | $34,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 860 | $34,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 450 | $33,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $33,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 541 | $33,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 250 | $33,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 157 | $33,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 340 | $33,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 217 | $33,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 780 | $33,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 1,558 | $33,000 | thousands by filing date | |
| HOEGH LNG PAR 8.75 PFDPFD SER A | Y3262R118 | COM | 1,275 | $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 | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,085 | $32,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC FXD RT | 693475AP0 | Fixed Income | 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 | |
| General Electric | 36966R5K8 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| REPUBLIC SERVICES | 760759AQ3 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| SANTA FE CN NM | 801889NK8 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| Fl St B/E Pub Ed | 34153PD88 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| New York St Dorm Au | 64990FNR1 | Convertible/ | 25,000 | $31,000 | thousands by filing date | |
| Texas St | 8827236S3 | Convertible/ | 25,000 | $31,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 100 | $30,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,587 | $30,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,891 | $30,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 941 | $30,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $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 | |
| BLUEROCK RESIDENTIAL GWT REI RED PFD SER A | 09627J508 | REIT | 1,143 | $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 | |
| ARIZONA PUB SVC C | 040555CR3 | Convertible/ | 30,000 | $30,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 124 | $29,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 50 | $29,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 333 | $29,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,188 | $29,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 150 | $29,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,500 | $29,000 | thousands by filing date | |
| Novo Nordisk A/S ADR | K7314N152 | NVO | 507 | $29,000 | thousands by filing date | |
| johnson & johnson | 478160af1 | CORPORATE BOND | 25,000 | $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 | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 255 | $28,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,000 | $28,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $28,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 1,268 | $28,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 339 | $28,000 | thousands by filing date | |
| KS ST DEV FA REV | 485429S39 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 668 | $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 | |
| AZ SCH FAC BRD COP | 04057PJW9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| COCA-COLA CO | 191219AP9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| WA FED WY GRNT | 938823BC4 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| FORT WORTH TX | 3494256V5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 65 | $27,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 180 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,182 | $27,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 92 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,000 | $27,000 | thousands by filing date | |
| BANK AMERICA CORP 4 04/01/2024 | 06051GFF1 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94974BFY1 | US94974BFY11 | 25,000 | $27,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 1,050 | $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 | |
| BANK OF AMERICA CORPORATION NOTE | 06053FAA7 | NOTE | 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 | |
| KING CNTY WA SD | 495278R62 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| THE CLOROX CO | 189054AW9 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571903BA0 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| NEW YORK NY | 64966JN36 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
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| BROWN & BROWN INC | 115236AA9 | Convertible/ | 26,000 | $27,000 | thousands by filing date | |
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| Nthrn Ariz Univ | 6647542C1 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
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| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $26,000 | thousands by filing date | |
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| Taubman Centers 6.5% Pfd Series J | 876664608 | com | 1,000 | $26,000 | thousands by filing date | |
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| Simon Property | 828807CS4 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
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| RPM INTERNTNL IN | 749685AV5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
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| HSBC HOLDINGS PLS | 404280AK5 | Convertible/ | 25,000 | $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 | |
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| ST CHARLES COUN | 78775RAB5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
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| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 1,100 | $25,000 | thousands by filing date | |
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| 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 | |
| WASTE MANAGEMENT | 94106LAW9 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
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| CNT PUGET SND WA TR | 155048CG4 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
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| Schwab US REIT ETF | 808524847 | SHS | 530 | $24,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 258 | $24,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 374 | $24,000 | thousands by filing date | |
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| 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 | |
| AMPHENOL CORP NEW | 032095101 | COM | 200 | $22,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 341 | $22,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 241 | $22,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 377 | $22,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 150 | $22,000 | thousands by filing date | |
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| 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 | |
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| WORK RECOVERY IN | 981370109 | Equities | 1,000 | $22,000 | thousands by filing date | |
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| M & T BK CORP COM | 55261F104 | Stock | 125 | $21,000 | thousands by filing date | |
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| CHEVRON CORP | 166764BL3 | Bond | 20,000 | $21,000 | thousands by filing date | |
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| AMERICAN AIRLINES | 02378AAA5 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN EXPRESS | 025816BK4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN EXPRESS CO | 025816CF4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 03027XAT7 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AT&T INC. | 00206RDD1 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
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| DR PEPPER SNAPPL | 26138EAX7 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
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| American Express | 025816BY4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EP45 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 390 | $20,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 233 | $20,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $20,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $20,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 200 | $20,000 | thousands by filing date | |
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| PPG INDS INC COM | 693506107 | Stock | 148 | $20,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 225 | $20,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 400 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 470 | $20,000 | thousands by filing date | |
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| JPMorgan Chase & VAR 99 Due 1 | 48127FAA1 | COM | 20,000 | $20,000 | thousands by filing date | |
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| 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 | |
| BNSF, LLC | 12189LAF8 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| CSX CORP | 126408HE6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| UNITED PARCEL S | 911312AM8 | cb | 20,000 | $20,000 | thousands by filing date | |
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| BERKSHIRE HATHAWAY | 084664BQ3 | 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 | |
| General Electric | 36966R4J2 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PHOENIX AZ | 718814K88 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PIMA CN AZ USD #1 | 721799E47 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| TEXAS ST-TRANS | 882724PY7 | Local Govt Fixed Rate Note | 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 | |
| TULSA OKLAHOMA ARPT | 899647QW4 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
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| NEW YORK NY | 64966HYN4 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| Credit Suisse Ag | 22546QAD9 | 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 | |
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| SCHD | 808524797 | COM | 325 | $19,000 | thousands by filing date | |
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| Vanguard Total World Stock ETF | 922042742 | SHS | 235 | $19,000 | thousands by filing date | |
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| NETAPP INC COM | 64110D104 | Stock | 300 | $19,000 | thousands by filing date | |
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| SKECHERS U S A INC | 830566105 | CL A | 450 | $19,000 | thousands by filing date | |
| CHS Inc | 12542R803 | Preferred Stock | 700 | $19,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 203 | $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 | |
| NUCOR CORP COM | 670346105 | Stock | 313 | $18,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 203 | $18,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 200 | $18,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,233 | $18,000 | thousands by filing date | |
| CION INVESTMENT CORPORAT ION | 17259u105 | COM | 2,220 | $18,000 | thousands by filing date | |
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| 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 | |
| AZ BRD REGENTS UNIV | 04048RSQ0 | 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 | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 152 | $17,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 204 | $17,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 462 | $17,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 700 | $17,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $17,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 275 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 2,000 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 475 | $17,000 | thousands by filing date | |
| RF 5.7 PERP | 7591EP704 | PUBLIC | 600 | $17,000 | thousands by filing date | |
| CHEMTRADE LOGISTICS INCOME | 16387P103 | COMMON STK | 2,000 | $17,000 | thousands by filing date | |
| Truist Financial Corp Pfd Ser R | 89832q844 | PFD | 655 | $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 | |
| Two Harbors Investment Corp Se | 90187B200 | Com | 600 | $17,000 | thousands by filing date | |
| DISCOVERY COMMUNICATIONS LLC NOTE M/W CLBL | 25470DAR0 | NOTE M/W CLBL | 16,000 | $17,000 | thousands by filing date | |
| Innergex Renewable Energy Inc | 45790B104 | COMMON | 1,314 | $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 | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 650 | $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 | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 135 | $16,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 318 | $16,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 150 | $16,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 700 | $16,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 1,000 | $16,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 650 | $16,000 | thousands by filing date | |
| GLOBALNETLEASEINC | 379378300 | PREFERREDSTK | 600 | $16,000 | thousands by filing date | |
| AMERICAN TOWER CO 4.4 26 | 03027XAJ9 | CORPORATE BONDS | 15,000 | $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 | |
| MARICOPA COUNTY ARI | 567438TN6 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| SCOTTSDALE ARIZ | 8104535U0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| HARRIS CNTY TX | 414005QD3 | 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 | |
| WACO TX | 929831JN6 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484MB0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| AUSTIN TX ISD | 052430KT1 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| BEDFORD TX | 0764653L5 | 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 | |
| MARICOPA AZ UHSD 21 | 567505MN9 | 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 | |
| The Toronto-Domi | 89114QBC1 | Convertible/ | 16,000 | $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 | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 132 | $15,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 100 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 500 | $15,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 122 | $15,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 1,000 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-20-000112 | this filing | 2020-01-17 | acceptance time not in the bulk data set |