13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-04-29, with 1,785 holding rows worth $843,524,000.
- Accession
- 0001415889-20-001089
- Filer
- CIK 1418539
- Filed
- 2020-04-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 1,786 entries on the cover page, a total value of $843,524,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $843,524,000 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 |
|---|---|---|---|---|---|---|
| UNITED STATES TREAS NTS 2 02/28/2021 | 912828B90 | Govt Bond | 11,000 | $11,000 | thousands by filing date | |
| Hanover Insurance 6.35% Cl 3/1 | 410867204 | PFD | 500 | $11,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BGP9 | NOTE | 10,000 | $11,000 | thousands by filing date | |
| DALLAS TEX WTRWKS & SWR SYS RE WTRWKS AND SWR SYS REV BD CLBL | 23542JCS2 | WTRWKS AND SWR SYS REV BD CLBL | 10,000 | $11,000 | thousands by filing date | |
| US TREASU NT 2point125 percent 12 21 UST NOTE DUE 12 31 21 | 912828G87 | tn | 11,000 | $11,000 | thousands by filing date | |
| OHIO ST WTR DEV AUTH WTR POLLUTN CTL REV, LN FD REV BDS | 67766WVL3 | Revenue Supported Bonds - non-taxable | 10,000 | $11,000 | thousands by filing date | |
| ARIZONA WTR INFRASTRUCTURE FIN AUTH REV, WTR QUALITY REV REF BDS | 040688MM2 | Revenue Supported Bonds - non-taxable | 10,000 | $11,000 | thousands by filing date | |
| JEA FL ELEC SYS REV | 46613C2F1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| KLEIN TX ISD | 498531FE7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| STARBUCKS CORP | 855244AR0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MERCK & CO., INC | 589331AS6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MESA AZ | 590485ZP6 | 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 | |
| NM FA ST TRANS | 64711RKU9 | 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 | |
| OLD NTNL BANCORP | 680033AC1 | 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 | |
| STRUCTURED PRODUCT PFD | 02208E209 | PFDs, REITs, | 400 | $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 W/ | 810526MT7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| INTERNTNL BUSINESS | 459200HF1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| FLAGSTAFF AZ | 338423QF6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $11,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484LM7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AT&T INC | 00206RBH4 | 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 TRANS BRD HWY | 040654VE2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| UNIV WA | 91523NNS1 | 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 | |
| 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 | |
| GILA AZ USD #10 | 375233GG2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CONROE TX ISD | 208418UK7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| Lewis Cnty Wa Pu | 527839DN1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| Alphabet Inc. | 02079KAC1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 170 | $10,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 233 | $10,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 700 | $10,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 125 | $10,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 831 | $10,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 199 | $10,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 72 | $10,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 272 | $10,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100 | $10,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 430 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 137 | $10,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 629 | $10,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 190 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 210 | $10,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 70 | $10,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 55 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 2,989 | $10,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 465 | $10,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,000 | $10,000 | thousands by filing date | |
| MORGAN STANLEY 2.8 06/16/2020 | 61761JB32 | Corp Bond | 10,000 | $10,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $10,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 450 | $10,000 | thousands by filing date | |
| DIGITAL REALT 5.25 PFDPFD SER J | 253868855 | PREFERRED STOCK | 400 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E202 | S&P MIDCP LOW | 257 | $10,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HBF1 | Fixed Income | 10,000 | $10,000 | thousands by filing date | |
| HCA INC. | 404119BQ1 | Corporate Bond - Domestic | 10,000 | $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 | |
| SIMON PROPERTY GR | 828807CV7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| THE CHARLES SCH | 808513AG0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MARICOPA AZ CCD | 566795LL2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MARICOPA AZ COD | 566795LV0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PIMA CN AZ SWR | 721876RH5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| SCOTTSDALE AZ | 8104537G9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AIR PRODUCTS AND | 009158AV8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| ALBEMARLE CORP | 012725AC1 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AZ HLTH FAC AUTH | 040506NA1 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UD5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UL7 | Convertible/ | 10,000 | $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 | |
| DANAHER CORP | 235851AQ5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| EXELON CORP | 693304AT4 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663VJ8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CALIFORNIA ST | 13063BFA5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CROWN CASTLE INT | 228227BD5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| DRIPPING SPRING TX | 262061NX8 | Convertible/ | 10,000 | $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 | |
| VERIZON COMMUNICATIO | 92343VCC6 | 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 | |
| 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 | |
| CME Group Inc. Class A | 12572Q105 | COM | 50 | $9,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 56 | $9,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 50 | $9,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 500 | $9,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 211 | $9,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 100 | $9,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 123 | $9,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 70 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 300 | $9,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $9,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 275 | $9,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 380 | $9,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 1,426 | $9,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $9,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 266 | $9,000 | thousands by filing date | |
| AON CORP | 037389103 | COMMON STOCK | 54 | $9,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 113 | $9,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2 11/30/2022 | 912828M80 | Govt Bond | 9,000 | $9,000 | thousands by filing date | |
| HALLIBURTON CO 3.8 11/15/2025 | 406216BG5 | Corp Bond | 10,000 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 925 | $9,000 | thousands by filing date | |
| Telephone & Data 6.875% Cl 11/ | 879433845 | PFD | 417 | $9,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001aba9 | FIXED | 10,000 | $9,000 | thousands by filing date | |
| WALMART INC | 931142EK5 | COM | 8,000 | $9,000 | thousands by filing date | |
| CISCO SYSTEMS, I | 17275RBC5 | Convertible/ | 9,000 | $9,000 | thousands by filing date | |
| NATL GEN PFD | 636220808 | PFDs, REITs, | 500 | $9,000 | thousands by filing date | |
| BANCO SANTANDER, PFD | 05971K406 | PFDs, REITs, | 431 | $9,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 50 | $8,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 75 | $8,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 60 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 200 | $8,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 378 | $8,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 33 | $8,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 400 | $8,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 11 | $8,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 600 | $8,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 300 | $8,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 1,400 | $8,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 60 | $8,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 800 | $8,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 557 | $8,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 400 | $8,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 430 | $8,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 500 | $8,000 | thousands by filing date | |
| ANTHEM, INCpoint 3point125percent22 DUE 05 15 22 | 94973VAX5 | cb | 8,000 | $8,000 | thousands by filing date | |
| JP MORGAN CHASE BK VAR 34 | 48125TRP2 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| NORDSTROM, INC | 655664AS9 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| INTL BK RECON & DE | 45905UPU2 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| CIMAREX ENERGY | 171798AC5 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 300 | $7,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 462 | $7,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 237 | $7,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 213 | $7,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $7,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $7,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 83 | $7,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 45 | $7,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 21 | $7,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $7,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 100 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 146 | $7,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 202 | $7,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 4 | $7,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 785 | $7,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $7,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 60 | $7,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 400 | $7,000 | thousands by filing date | |
| SYNEOS HEALTH INC | 87166B102 | CL A | 165 | $7,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $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 | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 102 | $7,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 72 | $7,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 800 | $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 | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 429 | $7,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 150 | $7,000 | thousands by filing date | |
| CHEMTRADE LOGISTICS INCOME | 16387P103 | COMMON STK | 2,000 | $7,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 3,000 | $7,000 | thousands by filing date | |
| BNY MELLON | 064058209 | PFD | 301 | $7,000 | thousands by filing date | |
| STATE STREET C 5.9 PFDPFD SER D | 857477608 | COM | 281 | $7,000 | thousands by filing date | |
| ALTIUS MINERALS CORP F | 020936100 | FOREIGN CANADIAN | 1,400 | $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 | |
| FIRST TRUST PORTFOLIOS UNIT 353 TAX EXEMPT MUN INCOME TR SER 264 | 33736P619 | UIT MUNI | 10 | $7,000 | thousands by filing date | |
| Wells Fargo & Co New | 949746366 | COM | 281 | $7,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AD6 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| NOMURA AMERICAN FI VAR 34 | 65539ABE9 | Convertible/ | 10,000 | $7,000 | thousands by filing date | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 300 | $7,000 | thousands by filing date | |
| VIACOM INC | 925524AX8 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| TVA | 880591EL2 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| DETROIT MI CITY | 251129Z47 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| EXPEDIA INC | 30212PAH8 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 200 | $6,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 145 | $6,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 77 | $6,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 91 | $6,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 75 | $6,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 142 | $6,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 124 | $6,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 300 | $6,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 35 | $6,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 325 | $6,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 200 | $6,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 200 | $6,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 39 | $6,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 145 | $6,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 1,300 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 35 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 182 | $6,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 5 | $6,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 171 | $6,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 546 | $6,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 1,300 | $6,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 310 | $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 | |
| PNC FINL SVCS GROUP INC 3.5 01/23/2024 | 693475AV7 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| AT&T INC 4.125 02/17/2026 | 00206RCT7 | Corp Bond | 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 | |
| MARSH & MCLENNAN COS INC SR NT 4.375 percent 03/15/29 B/E DTD 01/15/19 CLB | 571748BG6 | COUPON BEARING BOND | 5,000 | $6,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 1,000 | $6,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 300 | $6,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,200 | $6,000 | thousands by filing date | |
| Two Harbors Investment Corp Se | 90187B309 | Com | 379 | $6,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 400 | $6,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 267 | $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 | |
| ISTAR FINANCIAL INC 7.65 PFD SHS SERIES G | 45031U705 | Preferred | 300 | $6,000 | thousands by filing date | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| LOCKHEED MARTIN CORP NOTE M/W CLBL | 539830AY5 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
| PARTNERRE LTD. | G68603144 | COMMON STOCK | 221 | $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 | |
| MONTSANTO CO | 61166WAH4 | Convertible/ | 7,000 | $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 | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 262 | $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 | |
| 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 | |
| FEDERAL NTNL MORTGAG | 3135G0Q22 | Convertible/ | 6,000 | $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 | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 100 | $5,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 54 | $5,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 240 | $5,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 100 | $5,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 100 | $5,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 55 | $5,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 168 | $5,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 126 | $5,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 400 | $5,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 542 | $5,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 400 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 200 | $5,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 1,000 | $5,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $5,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 600 | $5,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 275 | $5,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 122 | $5,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 700 | $5,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 1,009 | $5,000 | thousands by filing date | |
| AARON'S INC | 002535201 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| CHS Inc | 12542R704 | Preferred Stock | 228 | $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 | |
| US BANCORP 2.625 01/24/2022 | 91159HHP8 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC 3.5 11/01/2024 | 92343VCR3 | Corp Bond | 5,000 | $5,000 | thousands by filing date | |
| MORGAN STANL 6.375 PFDPFD SER I | 61761J406 | PREFERRED STOCK | 215 | $5,000 | thousands by filing date | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $5,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW | 7591EP506 | COM | 210 | $5,000 | thousands by filing date | |
| EXXON MOBIL COR | 30231GAT9 | FIX | 5,000 | $5,000 | thousands by filing date | |
| AT&T Pfd | 00206R409 | PFD | 195 | $5,000 | thousands by filing date | |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $5,000 | thousands by filing date | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 5,000 | $5,000 | thousands by filing date | |
| FEDERAL NATIONAL MTG ASSN | 3135G0ZR7 | COM | 5,000 | $5,000 | thousands by filing date | |
| DOMINION ENERGY INC NOTE M/W CLBL | 25746UBP3 | NOTE M/W CLBL | 5,000 | $5,000 | thousands by filing date | |
| CVS HEALTH CORPORATION NOTE M/W CLBL | 126650DE7 | NOTE M/W CLBL | 5,000 | $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 | |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 300 | $5,000 | thousands by filing date | |
| LOS ANGELES CA W/P | 544525RX8 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| MONTANA STATE BO | 61212WAK1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| NC EASTERN MUNI PWR | 658196PP9 | 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 | |
| AMERICAN ELECTRIC | 025537AL5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| THE KROGER CO. | 501044DC2 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TN ENGY ACQUISIT | 880443BN5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| TOTAL CAPITAL | 89152UAH5 | 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 | |
| CALIFORNIA ST | 13063CYB0 | 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 | |
| BERKSHIRE HATHAWAY FIN | 084664BZ3 | Fixed Income | 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 | |
| AZ BD REGENTS UNIV | 04048RNF9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| MORGAN STANL | 61763E211 | PFDs, REITs, | 212 | $5,000 | thousands by filing date | |
| ORACLE CORP | 68389XBK0 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 129 | $4,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 130 | $4,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 41 | $4,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 20 | $4,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 72 | $4,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 27 | $4,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 30 | $4,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 51 | $4,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 85 | $4,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 100 | $4,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 45 | $4,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $4,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 99 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 69 | $4,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $4,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 300 | $4,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 540 | $4,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 11 | $4,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 113 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 145 | $4,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 71 | $4,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 85 | $4,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 400 | $4,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 175 | $4,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 40 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 1,400 | $4,000 | thousands by filing date | |
| QWest Corp., 6.500per, due 09/01/2056 | 74913G881 | Preferred | 213 | $4,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 100 | $4,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 654 | $4,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 32 | $4,000 | thousands by filing date | |
| DIAMONDS TRUST SERIES I | 252787106 | EXCHANGE TRADED | 19 | $4,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 2,000 | $4,000 | thousands by filing date | |
| KEY 6 1/8 PERP | 493267702 | PUBLIC | 161 | $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 | |
| BT Group PLC | G16612106 | COM | 2,500 | $4,000 | thousands by filing date | |
| GENERAL MOTORS CO 6.6 36 DUE 04/01/36 | 37045VAK6 | CORPORATE BONDS | 5,000 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 116 | $4,000 | thousands by filing date | |
| TOYOTA MTR CORP SR NT 3.669 percent 07/20/28 B/E DTD 07/20/18 | 892331AD1 | COUPON BEARING BOND | 4,000 | $4,000 | thousands by filing date | |
| FLAGSTAR FINANCIAL INC | 649445202 | Equities | 165 | $4,000 | thousands by filing date | |
| Reinsurance GRP of Amer VRN Pfd | 759351802 | PFD | 187 | $4,000 | thousands by filing date | |
| ALLSTATE CORP PFD | 020002309 | PREFERRED | 153 | $4,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 182 | $4,000 | thousands by filing date | |
| ACTIVISION INC | 004930202 | EQUS | 71 | $4,000 | thousands by filing date | |
| AMER AIRLN 15-1 A | 023770aa8 | FIXED | 5,000 | $4,000 | thousands by filing date | |
| AMERN AIRLINE 16-2 A PTT | 023764aa1 | FIXED | 5,000 | $4,000 | thousands by filing date | |
| GOLDMAN SACH 6.375 PFD | 38148b108 | PFD | 158 | $4,000 | thousands by filing date | |
| PEOPLES UN | 712704204 | Preferred Stock | 168 | $4,000 | thousands by filing date | |
| MCDONALD'S CORP | 58013MEM2 | CORPORATE BONDS | 4,000 | $4,000 | thousands by filing date | |
| COSTCO WHOLESALE 2point75percent24 DUE 05 18 24 | 22160KAL9 | cb | 4,000 | $4,000 | thousands by filing date | |
| EXCELSIOR MINING CORP | 300763208 | COM | 12,300 | $4,000 | thousands by filing date | |
| KBS REIT II MD | 002344715 | PFDs, REITs, | 1,500 | $4,000 | thousands by filing date | |
| SUNTRUST BANK (A) | 86787EAT4 | Convertible/ | 4,000 | $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 | |
| QUALCOMM INC | 747525AT0 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| INTERCONTINENTAL | 45866FAF1 | 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 | |
| FAIRFAX FINANCE PFD | 303901607 | PFDs, REITs, | 500 | $4,000 | thousands by filing date | |
| MOODY'S CORP | 615369AG0 | 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 | |
| Qwest Corp | 74913G105 | COM | 176 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 100 | $3,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 10 | $3,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 25 | $3,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 200 | $3,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 221 | $3,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 100 | $3,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 57 | $3,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 56 | $3,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 123 | $3,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 73 | $3,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 73 | $3,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 35 | $3,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 60 | $3,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100 | $3,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 12 | $3,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 63 | $3,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 50 | $3,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 76 | $3,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 58 | $3,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 500 | $3,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 100 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 137 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 106 | $3,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 93 | $3,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 25 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 105 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 81 | $3,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 51 | $3,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 200 | $3,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $3,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 100 | $3,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 200 | $3,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 26 | $3,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 303 | $3,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 353 | $3,000 | thousands by filing date | |
| FORTINET INC | 34959E113 | COM | 25 | $3,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 40 | $3,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CORP | 015857808 | Pref | 113 | $3,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 42 | $3,000 | thousands by filing date | |
| CITIGROUP CAPITAL 7.875 XIII | 173080201 | PREFERR | 108 | $3,000 | thousands by filing date | |
| VOLKSWAGEN AG | D94523145 | US LISTED | 20 | $3,000 | thousands by filing date | |
| BAC 5 PERP | 06055H202 | PUBLIC | 139 | $3,000 | thousands by filing date | |
| STT 5.35 PERP | 857477855 | PUBLIC | 140 | $3,000 | thousands by filing date | |
| Keyence Corp | J32491102 | Common Stock | 8 | $3,000 | thousands by filing date | |
| ALTAGAS LTD | 021361100 | COM | 300 | $3,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 158 | $3,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 614 | $3,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 3,410 | $3,000 | thousands by filing date | |
| RioCan Real Estate Investment | 766910103 | COM | 300 | $3,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 118 | $3,000 | thousands by filing date | |
| Aspen Insurance 5.95% Cl 7/23 | G05384154 | PFD | 146 | $3,000 | thousands by filing date | |
| Zions Bancorp Ser G 6.300% 12/31/49 | 989701859 | Pfd Stk | 110 | $3,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP-CALLABLE | 97650W405 | Pref | 132 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 289 | $3,000 | thousands by filing date | |
| ENBRIDGE I | 29250N477 | Preferred Stock | 169 | $3,000 | thousands by filing date | |
| US CELLULAR COR PFD | 911684603 | PFDs, REITs, | 131 | $3,000 | thousands by filing date | |
| Global X Superdividend | 03795E131 | Equities | 500 | $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 | |
| EXANTAS CAPI PFD | 30068N402 | PFDs, REITs, | 400 | $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 | |
| OCCIDENTAL PETROL | 674599BY0 | Convertible/ | 4,000 | $3,000 | thousands by filing date | |
| US TREASU NT | 9128284Y3 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 245 | $2,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 40 | $2,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 13 | $2,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7 | $2,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 96 | $2,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 28 | $2,000 | thousands by filing date | |
| BADGER METER INC COM | 056525108 | Stock | 46 | $2,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 25 | $2,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 86 | $2,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $2,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 58 | $2,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 10 | $2,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 15 | $2,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 60 | $2,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30 | $2,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 60 | $2,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 75 | $2,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 20 | $2,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 518 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 33 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 92 | $2,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 170 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 15 | $2,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 18 | $2,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 300 | $2,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 40 | $2,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 52 | $2,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 100 | $2,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 34 | $2,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 25 | $2,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 200 | $2,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 75 | $2,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 600 | $2,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 150 | $2,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 200 | $2,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 90 | $2,000 | thousands by filing date | |
| AMERICAN INTL | 026874107 | COM | 92 | $2,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 35 | $2,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 175 | $2,000 | thousands by filing date | |
| Capital One Finl Corp DP Shs P | 14040H824 | PRD | 124 | $2,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 200 | $2,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 400 | $2,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 75 | $2,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 134 | $2,000 | thousands by filing date | |
| BANK AMER CORP 5.875 NCM PFD | 060505195 | PREFERR | 66 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-20-001089 | this filing | 2020-04-29 | acceptance time not in the bulk data set |