13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-13, with 1,895 holding rows worth $977,085,000.
- Accession
- 0001415889-20-002091
- Filer
- CIK 1418539
- Filed
- 2020-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 1,896 entries on the cover page, a total value of $977,085,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $977,085,000 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 |
|---|---|---|---|---|---|---|
| O'Reilly Automotive Inc. | 67103hab3 | COM | 50,000 | $52,000 | thousands by filing date | |
| WELLS FARGO | 94974BEV8 | cb | 50,000 | $52,000 | thousands by filing date | |
| AMPHENOL CORP | 032095AB7 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| WHIRLPOOL CORP | 96332HCD9 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| ASPEN INSURANCE | 04530DAD4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| EATON VANCE COR | 278265AD5 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| EVERGY, INC. | 30034WAA4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| JEFFERIES GROUP | 472319AH5 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| HP INC. | 428236BM4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 460 | $51,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 585 | $51,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 2,689 | $51,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 2,000 | $51,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,259 | $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 | |
| JOHNSON CONTROLS | 478366BA4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| SOUTHERN NATURAL | 84345PAB8 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| MARATHON PETROL | 56585AAD4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| JOHN DEERE CAPITA | 24422ESL4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 1,425 | $50,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 2,600 | $50,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 354 | $50,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 1,412 | $50,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 500 | $50,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 5,000 | $50,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 402 | $50,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GFB0 | cb | 45,000 | $50,000 | thousands by filing date | |
| COMCAST CORP | 20030NBL4 | Convertible/ | 45,000 | $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 | |
| HSBC USA INC. | 40428HPB2 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| KY ST MUN PWR AG | 491501FP2 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| SYMANTEC CORP | 871503AH1 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| CONAGRA BRANDS, | 205887BL5 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| FARMINGTON NM POL | 311450FA3 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| AUTOZONE, INC. | 053332AL6 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E306 | DJ INTERNT IDX | 286 | $49,000 | thousands by filing date | |
| MONSANTO CO | 61166WAW1 | Convertible/ | 50,000 | $49,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851AU3 | Convertible/ | 45,000 | $49,000 | thousands by filing date | |
| VIACOM INC | 92553PAT9 | Convertible/ | 45,000 | $49,000 | thousands by filing date | |
| HSBC HOLDINGS PLC | 404280AN9 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 250 | $47,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 175 | $47,000 | thousands by filing date | |
| MICROSOFT CORP | 594918BH6 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 312 | $46,000 | thousands by filing date | |
| SILVANA MINES | 380956AF9 | cb | 45,000 | $46,000 | thousands by filing date | |
| LENNOX INTERNTNL IN | 526107AD9 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| SUMMER ENERGY HLDG INC | 865634109 | Equities | 35,218 | $46,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,797 | $45,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 215 | $45,000 | thousands by filing date | |
| FAIRFAX FINANCIAL HLDGS LTD NOTE | 303901AB8 | NOTE | 35,000 | $45,000 | thousands by filing date | |
| MORGAN STANLEY | 6174468C6 | Convertible/ | 40,000 | $45,000 | thousands by filing date | |
| BOARDWALK PIPEL | 096630AC2 | Convertible/ | 45,000 | $45,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 280 | $44,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 2,550 | $44,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 1,838 | $44,000 | thousands by filing date | |
| WELLS FARGO 6.625 PFD PFD SER | 949746465 | PFD | 1,673 | $44,000 | thousands by filing date | |
| EQT CORP | 26884LAB5 | Convertible/ | 45,000 | $44,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 310 | $43,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,779 | $43,000 | thousands by filing date | |
| PFIZER INC. | 717081DH3 | Corp Bonds - Non-Convert | 40,000 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EM63 | Convertible/ | 40,000 | $43,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 1,170 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 1,376 | $42,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 516 | $41,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $41,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 200 | $40,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 6,581 | $40,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 1,166 | $40,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAJ7 | Convertible/ | 35,000 | $40,000 | thousands by filing date | |
| FORD MOTOR CO | 345397VU4 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| DIST ENGY CORP | 254846CV8 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| CONSTELLATION EN | 210371AL4 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| MET NASHVILE ARPT TN | 592195AW1 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 500 | $39,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 203 | $39,000 | thousands by filing date | |
| TOTAL S A ADR F | 89151E113 | cs | 1,022 | $39,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 20,000 | $39,000 | thousands by filing date | |
| ABBOTT LABORATORI | 002824BE9 | Convertible/ | 36,000 | $39,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 40 | $38,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 320 | $38,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 671 | $38,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 1,575 | $38,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 640 | $37,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 214 | $37,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 802 | $37,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,500 | $37,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 1,113 | $37,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 700 | $37,000 | thousands by filing date | |
| UNION PACIFIC CO | 907818DM7 | Convertible/ | 35,000 | $37,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 355 | $36,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 204 | $36,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 598 | $36,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 400 | $36,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 5,071 | $36,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 250 | $34,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 1,272 | $34,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 5,300 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 684 | $34,000 | thousands by filing date | |
| JPMORGAN CHASE & | 46625HMN7 | Convertible/ | 30,000 | $34,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 46625HJE1 | Convertible/ | 32,000 | $34,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 449 | $33,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 320 | $33,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 140 | $33,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 162,807 | $33,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC FXD RT | 693475AP0 | Fixed Income | 30,000 | $33,000 | thousands by filing date | |
| PENNSBURY PA SD | 708553PU0 | Convertible/ | 30,000 | $33,000 | thousands by filing date | |
| REPUBLIC SERVICES | 760759AQ3 | Convertible/ | 30,000 | $33,000 | thousands by filing date | |
| VA ST PUB BLDG AUTH | 928172Z81 | Convertible/ | 25,000 | $33,000 | thousands by filing date | |
| Illinois Fin Auth R | 45204EW87 | Convertible/ | 25,000 | $33,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $32,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 376 | $32,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 2,000 | $32,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM STK NPV | 89417E117 | COM | 277 | $32,000 | thousands by filing date | |
| New York St Dorm Au | 64990FNR1 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| Texas St | 8827236S3 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 312 | $31,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 1,157 | $31,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 1,603 | $31,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 200 | $31,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 95 | $31,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 2,168 | $31,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 860 | $31,000 | thousands by filing date | |
| UNIVERSAL HEALTH/REALTY SBI | 91359E109 | COM | 395 | $31,000 | thousands by filing date | |
| VALERO ENERGY CORP NOTE M/W CLBL | 91913YAU4 | NOTE M/W CLBL | 28,000 | $31,000 | 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 | $31,000 | thousands by filing date | |
| SANTA FE CN NM | 801889NK8 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| AMGEN INC | 031162BX7 | 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 | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 103 | $30,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $30,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 742 | $30,000 | thousands by filing date | |
| CARRIER GLOBAL CORPORATION COM | 14448C104 | Stock | 1,352 | $30,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 270 | $30,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL 3.125 03/15/2026 | 084670BS6 | Corp Bond | 27,000 | $30,000 | thousands by filing date | |
| johnson & johnson | 478160af1 | CORPORATE BOND | 25,000 | $30,000 | thousands by filing date | |
| NYC NY MUN FA W/S | 64972GQX5 | Convertible/ | 25,000 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141ED48 | Convertible/ | 25,000 | $30,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 419 | $29,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 3,571 | $29,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 314 | $29,000 | thousands by filing date | |
| MA ST TRANS FD | 57604TFU5 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| THE CLOROX CO | 189054AW9 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| MARICOPA AZ HOSP | 566761MY5 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| NORTHERN ARIZONA UN | 664754Z43 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| HUTCHINSON MN PUR | 44835EDE5 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| WI ST CLEAN WTR | 977092WT8 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| AZ SCH FAC BRD COP | 04057PJW9 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,335 | $28,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 150 | $28,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 51 | $28,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 147 | $28,000 | thousands by filing date | |
| BANK AMERICA CORP 4 04/01/2024 | 06051GFF1 | Corp Bond | 25,000 | $28,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 3,650 | $28,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 900 | $28,000 | thousands by filing date | |
| KS ST DEV FA REV | 485429S39 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| BROWN & BROWN INC | 115236AA9 | Convertible/ | 26,000 | $28,000 | thousands by filing date | |
| COCA-COLA CO | 191219AP9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 104 | $27,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 283 | $27,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 710 | $27,000 | thousands by filing date | |
| TRANE INC | 892893108 | COM | 298 | $27,000 | thousands by filing date | |
| AMPHENOL CORP 3.2 04/01/2024 | 032095AG6 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,094 | $27,000 | thousands by filing date | |
| KING CNTY WA SD | 495278R62 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| MARKEL CORP | 570535AM6 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EQ51 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| WISCONSIN STATE AAA | 97705MHY4 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149YBA5 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| WA FED WY GRNT | 938823BC4 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500 | $26,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 689 | $26,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 2,000 | $26,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $26,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 750 | $26,000 | thousands by filing date | |
| MEDTRONIC INC 3.15 03/15/2022 | 585055BR6 | Corp Bond | 25,000 | $26,000 | thousands by filing date | |
| AETNA INC. 7.625 26 DUE 08/15/26 | 008117AH6 | CORPORATE BONDS | 20,000 | $26,000 | thousands by filing date | |
| Streettracks Gold TRUST | 863307104 | Common Stock | 157 | $26,000 | thousands by filing date | |
| INTERNTNL BUSINESS 7-25 | 459200AM3 | CORPORATE BONDS | 20,000 | $26,000 | thousands by filing date | |
| AUTOMATIC DATA 3point375percent25 DUE 09 15 25 | 053015AE3 | cb | 23,000 | $26,000 | thousands by filing date | |
| NEWELL BRANDS INC NT | 651229AM8 | Fixed Income | 25,000 | $26,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC NOTE M/W CLBL | 718172AL3 | NOTE M/W CLBL | 25,000 | $26,000 | thousands by filing date | |
| LAS VEGAS VY NV WTR | 5178404K7 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571903BA0 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| NEW YORK NY | 64966JN36 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RMB6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| RPM INTERNTNL IN | 749685AV5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| HOLLAND MICHIGAN EL | 435182FK1 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| HSBC HOLDINGS PLS | 404280AK5 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GENERAL ELECTRIC CO | 36966TEP3 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WASHINGTON COUNTY O | 938240DT2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GILEAD SCIENCES | 375558BC6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| UNITEDHEALTH GR | 91324PCH3 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GENERAL ELECTRIC CO NOTE | 369622SM8 | NOTE | 25,000 | $26,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AL8 | cb | 25,000 | $26,000 | thousands by filing date | |
| LINCOLN NEB | 534239BS6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| Trinity Riv Tx Ww | 89658HVX5 | Convertible/ | 20,000 | $26,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 258 | $25,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 300 | $25,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 454 | $25,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 162 | $25,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 800 | $25,000 | thousands by filing date | |
| ARIZONA ST TRANSN BRD 5 07/01/2023 | 040647DQ9 | Muni Bond | 25,000 | $25,000 | thousands by filing date | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 945 | $25,000 | thousands by filing date | |
| HYATT HOTELS | 448579ae2 | FIXED | 25,000 | $25,000 | thousands by filing date | |
| OH ST INFRA PROJ | 677581GK0 | Convertible/ | 20,000 | $25,000 | thousands by filing date | |
| PLANO TEXAS INDE | 727199KH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| GOLDMAN SACHS GRO VAR 26 | 38148TMB2 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| ADVANCED FIBRE COMMUNICATIONS INC | 00754A105 | Equities | 985 | $25,000 | thousands by filing date | |
| SEDWICK CN KS SD259 | 815626MJ2 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| ST CHARLES COUN | 78775RAB5 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| Transcanada Corp | 893526DK6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| SANTA MONICA-MA 6.434 | 802498KS3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| WELLS FARGO & CO | 94974BGM6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 687 | $24,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 250 | $24,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $24,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,198 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 657 | $24,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,891 | $24,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 1,200 | $24,000 | thousands by filing date | |
| DIGITAL RLTY TR - PFD G | 253868889 | EQPFD | 945 | $24,000 | thousands by filing date | |
| PHOENIX AZ RFDG G/O | 718814Q25 | Bond | 20,000 | $24,000 | thousands by filing date | |
| CONNECTICUT ST SPL TAX OBLIG REV, SPL TAX OBLIG BDS | 207758TX1 | Revenue Supported Bonds - non-taxable | 20,000 | $24,000 | thousands by filing date | |
| NEW MEXICO ST HOSP EQUIP LN COUNCIL HOSP REV, REV BDS, PRESBYTERIAN | 647370GP4 | Revenue Supported Bonds - non-taxable | 20,000 | $24,000 | thousands by filing date | |
| CAPITAL ONE FINANCIAL CO PFD | 14040H865 | Preferred Stock | 1,000 | $24,000 | thousands by filing date | |
| Texas Capital Bancshares 6.5 percent Pfd | 882228406 | com | 950 | $24,000 | thousands by filing date | |
| ALAMEDA CORRIDOR | 010869CD5 | Convertible/ | 19,000 | $24,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E2V0 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797ED3 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 237 | $23,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 486 | $23,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 255 | $23,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 2,000 | $23,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,587 | $23,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 2,584 | $23,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 2,000 | $23,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 185 | $23,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 980 | $23,000 | thousands by filing date | |
| NEXTERA EN | 65339K100 | Preferred Stock | 900 | $23,000 | thousands by filing date | |
| DTE ENERGY CO PFD J | 233331800 | PFDs, REITs, | 900 | $23,000 | thousands by filing date | |
| CBOA FINANCIAL INC | 01248E111 | Equities | 12,000 | $23,000 | thousands by filing date | |
| FIRST TR COMBINED SER | 33735N730 | Unit Trusts | 30 | $23,000 | thousands by filing date | |
| GARDEN GROVE CA | 365250AK5 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| WI ST TRANS | 977123T24 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| UNIV AZ MED CTR | 914062EC4 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| EVERSOURCE ENERG | 30040WAF5 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 199 | $22,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 380 | $22,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 350 | $22,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 146 | $22,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 200 | $22,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 780 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,000 | $22,000 | thousands by filing date | |
| CHEVRON CORP | 166764BL3 | Bond | 20,000 | $22,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP | 88947EAS9 | COM | 20,000 | $22,000 | thousands by filing date | |
| ANHEUSER BUSCH I 3point65percent26 DUE 02 01 26 | 035242AP1 | cb | 20,000 | $22,000 | thousands by filing date | |
| GLADSTONE COML C | 376536603 | PFDs, REITs, | 900 | $22,000 | thousands by filing date | |
| TEXAS STATE B7 | 882724AZ0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| MARICOPA AZ SD #83 | 567405GC3 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AMERICAN EXPRESS CO | 025816CF4 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 03027XAT7 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| INTEL CORP | 458140AU4 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AT&T INC. | 00206RDD1 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| CHUBB CORP | 00440EAS6 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| COMCASE CORPORATI | 20030NBY6 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| DR PEPPER SNAPPL | 26138EAX7 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 700 | $21,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 333 | $21,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 124 | $21,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 251 | $21,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 400 | $21,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,182 | $21,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 500 | $21,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 218 | $21,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $21,000 | thousands by filing date | |
| US TREASU NT | 912828YS3 | NOT | 19,000 | $21,000 | thousands by filing date | |
| MAPLE LEAF FOODS INC | 564905107 | COMMON | 1,000 | $21,000 | thousands by filing date | |
| CAN APARTMENT PROP REAL ESTA | 134921105 | FOR | 600 | $21,000 | thousands by filing date | |
| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 885 | $21,000 | thousands by filing date | |
| DALLAS TEX WTRWKS & SWR SYS RE WTRWKS AND SWR SYS REV BDS | 23542JBW4 | WTRWKS AND SWR SYS REV BDS | 20,000 | $21,000 | thousands by filing date | |
| VERIZON NEW YORK INC DEBENTURE - UNSECURED M/W CLBL | 92344XAB5 | DEBENTURE - UNSECURED M/W CLBL | 16,000 | $21,000 | thousands by filing date | |
| CALIFORNIA ST, VAR PURP GO REF BDS | 13063BRD6 | General Obligations - non-taxable | 20,000 | $21,000 | thousands by filing date | |
| QUALCOMM INC | 747525AR4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| WILLIAMS PARTNER | 96950FAJ3 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AUSTIN TX COD | 052403DR0 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| THE VALSPAR CORP | 920355AG9 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| BNSF, LLC | 12189LAF8 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| American Express | 025816BY4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 700 | $20,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 616 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 470 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 110 | $20,000 | thousands by filing date | |
| CENCORA INC | 03073E108 | COM | 199 | $20,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 400 | $20,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 1,000 | $20,000 | thousands by filing date | |
| GENERAL ELECTRIC COMPANY | 369604BQ5 | Common Stock | 25,000 | $20,000 | thousands by filing date | |
| Fifth Third Bancorp Perp Sub G | 316773CR9 | Com | 25,000 | $20,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370BY5 | Corporate Bond - Domestic | 20,000 | $20,000 | thousands by filing date | |
| JPMORGAN CHASE & CO (VARIABLE) | 46647PAW6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571900BB4 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PNC BANK (VARIABLE) | 69353RFF0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| UNITED PARCEL S | 911312AM8 | cb | 20,000 | $20,000 | thousands by filing date | |
| SALINE COUNTY NEB | 79517RCV0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| 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 | |
| DAVITA HEALTHCARE PARTNERS INC | 23918KAQ1 | Fixed Income | 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 | |
| AMPHENOL CORP NEW | 032095101 | COM | 200 | $19,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 116 | $19,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 536 | $19,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,025 | $19,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 165 | $19,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 1,200 | $19,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,200 | $19,000 | thousands by filing date | |
| FORD MOTOR CO 4 346 26 DUE 12/08/26 | 345370CR9 | CORPORATE BONDS | 20,000 | $19,000 | thousands by filing date | |
| Pennymac Mtg Invt Tr Pfd Ser A | 70931T301 | PRD | 900 | $19,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 1,500 | $19,000 | thousands by filing date | |
| HOWMET AEROSPACE INC | 013817AK7 | GLOBAL | 19,000 | $19,000 | thousands by filing date | |
| SARA LEE CORPORATION | 803111AM5 | Corp Bonds - Non-Convert | 15,000 | $19,000 | thousands by filing date | |
| GRAND RV DAM AUTH O | 386442WM5 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| TRIBOROUGH BRIDGE & | 89602REH4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| AZ BRD REGENTS UNIV | 04048RSQ0 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| UTAH ST | 917542VG4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| WSTN MARICOPA ED #2 | 95855RCR5 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 652 | $18,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 135 | $18,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 484 | $18,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 200 | $18,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 10 | $18,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 500 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 733 | $18,000 | thousands by filing date | |
| CHS Inc | 12542R803 | Preferred Stock | 700 | $18,000 | thousands by filing date | |
| THE GOLDMAN SACH 5.35 32 DUE 02/15/32 | 38141EM48 | CORPORATE BONDS | 15,000 | $18,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP NT | 655844AW8 | Fixed Income | 15,000 | $18,000 | thousands by filing date | |
| MICHIGAN ST HOSP FIN AUTH REV REF BDS REV | 59465HUL8 | REF BDS REV | 15,000 | $18,000 | thousands by filing date | |
| DISCOVERY COMMUNICATIONS LLC NOTE M/W CLBL | 25470DAR0 | NOTE M/W CLBL | 16,000 | $18,000 | thousands by filing date | |
| Innergex Renewable Energy Inc | 45790B104 | COMMON | 1,314 | $18,000 | thousands by filing date | |
| JPMorgan Chase & VAR 99 Due 1 | 48127FAA1 | COM | 20,000 | $18,000 | thousands by filing date | |
| AZ ST CTFS PART | 040588E31 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| WASHINGTON ST | 93974DUK2 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CHICAGO ILLINOIS O | 167593A28 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| EDISON INTERNTNL | 842400EB5 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| EXCELON GENERATION | 30161MAN3 | Convertible/ | 16,000 | $18,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 155 | $17,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 325 | $17,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 203 | $17,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 141 | $17,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 201 | $17,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 500 | $17,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 456 | $17,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 500 | $17,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 321 | $17,000 | thousands by filing date | |
| Bayer AG Spons ADR | 072730302 | COM | 934 | $17,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 1,500 | $17,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 450 | $17,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94974BFY1 | US94974BFY11 | 15,000 | $17,000 | thousands by filing date | |
| AMERICAN TOWER CO 4.4 26 | 03027XAJ9 | CORPORATE BONDS | 15,000 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP FIXED RT SR DEB | 530715AJ0 | Fixed Income | 17,000 | $17,000 | thousands by filing date | |
| CION INVESTMENT CORPORAT ION | 17259u105 | COM | 2,220 | $17,000 | thousands by filing date | |
| NORTH TX TWY AUTH REV, FIRST TIER REF BDS | 66285WSF4 | Revenue Supported Bonds - non-taxable | 15,000 | $17,000 | thousands by filing date | |
| SUNTRUST PREFERRE VAR | 86800XAA6 | Convertible/ | 20,000 | $17,000 | thousands by filing date | |
| AMERICAN AIRLINES | 02378AAA5 | Convertible/ | 20,000 | $17,000 | thousands by filing date | |
| FORD HLDG LLC | 345277AE7 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| WACO TX | 929831JN6 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| BEDFORD TX | 0764653L5 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| CITY OF SAN ANTONIO | 7962533W0 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| Delaware St | 246381CC9 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| DELAWARE ST | 246381FV4 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 121 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 450 | $16,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 1,100 | $16,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 1,426 | $16,000 | thousands by filing date | |
| THE HOME DEPOT, 2.125 26 DUE 09/15/26 | 437076BN1 | CORPORATE BONDS | 15,000 | $16,000 | thousands by filing date | |
| ALLY FINL INC | 361860208 | COM | 718 | $16,000 | thousands by filing date | |
| Novo Nordisk A/S ADR | K7314N152 | NVO | 250 | $16,000 | thousands by filing date | |
| Truist Financial Corp Pfd Ser R | 89832q844 | PFD | 655 | $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 | |
| BANK OF AMERICA CORPORATION NOTE | 06053FAA7 | NOTE | 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 | |
| FT BEND CTY TEX | 34681MMG8 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484MB0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| AUSTIN TX ISD | 052430KT1 | 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 | |
| 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 | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 312 | $15,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 408 | $15,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 490 | $15,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 101 | $15,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 61 | $15,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $15,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 191 | $15,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $15,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 1,500 | $15,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 923 | $15,000 | thousands by filing date | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 50 | $15,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,500 | $15,000 | thousands by filing date | |
| RF 5.7 PERP | 7591EP704 | PUBLIC | 600 | $15,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 445 | $15,000 | thousands by filing date | |
| WELLS FARGO | 949746655 | PFD | 598 | $15,000 | thousands by filing date | |
| APPLE INC | 037833BG4 | Bond | 13,000 | $15,000 | thousands by filing date | |
| CINCINNATI BELL TEL CO DEB | 171875AD9 | Fixed Income | 15,000 | $15,000 | thousands by filing date | |
| GRD FORKS ND SANI | 385493EU1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| IHS INC | 451734AC1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| WAL-MART STORES INC | 931142DD2 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| APPLE INC. | 037833CR9 | Convertible/ | 13,000 | $15,000 | thousands by filing date | |
| MO ST UNIV AUX | 606377BF5 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| HILLENBRAND INC | 431571AA6 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| NEW MEXICO FIN A | 64711NNT8 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| PHOENIX AZ CVC ARPT | 71883MHL1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 233 | $14,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $14,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 325 | $14,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 100 | $14,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 629 | $14,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 300 | $14,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 785 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 456 | $14,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 450 | $14,000 | thousands by filing date | |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 500 | $14,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 150 | $14,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,000 | $14,000 | thousands by filing date | |
| SCE Trust V | 78409W201 | SCEPRK | 661 | $14,000 | thousands by filing date | |
| BIOGEN INC NOTE M/W CLBL | 09062XAE3 | NOTE M/W CLBL | 13,000 | $14,000 | thousands by filing date | |
| MORGAN STANLEY | 617474AA9 | Convertible/ | 15,000 | $14,000 | thousands by filing date | |
| Viacom Inc. | 92553PAJ1 | Convertible/ | 13,000 | $14,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 23 | $13,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 80 | $13,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 598 | $13,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 1,325 | $13,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 126 | $13,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 463 | $13,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 500 | $13,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 356 | $13,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $13,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 125 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 300 | $13,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 108 | $13,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,500 | $13,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 434 | $13,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 200 | $13,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 380 | $13,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 480 | $13,000 | thousands by filing date | |
| COMCAST CORP NEW 2.75 03/01/2023 | 20030NBR1 | Corp Bond | 12,000 | $13,000 | thousands by filing date | |
| Suncor Energy Inc. | 867229106 | COM | 779 | $13,000 | thousands by filing date | |
| Hanover Insurance 6.35% Cl 3/1 | 410867204 | PFD | 500 | $13,000 | thousands by filing date | |
| US Treasury 1.625 02/15/26 02/15/2026 1.625 | 912828P46 | Fixed Income | 12,000 | $13,000 | thousands by filing date | |
| WISCONSIN ST, GO REF BDS | 97705MGR0 | General Obligations - non-taxable | 10,000 | $13,000 | thousands by filing date | |
| Digital Rlty Tr Inc 6.625 Pfd Ser C | 253868848 | Preferred Stock | 500 | $13,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505260 | COMMON STOCK | 500 | $13,000 | thousands by filing date | |
| LAREDO TX | 516824GF0 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| LINCOLN NE ELEC SYS | 534272J75 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| PORT AUTH NY & NJ | 73358WM50 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $13,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| WISCONSIN STATE | 97705MGS8 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| UNIV UT | 915183YM3 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| EL PASO CNTY TX | 283497T96 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| ASSOCIATED BANC PFD | 045488400 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| NY ST DORM AUTH S/T | 64990AGA7 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| FIRST REPUBLIC BAN ORD | 33616C852 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| Florida St Turnpike | 343137DP7 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| Illinois Fin Auth R | 45204EX60 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| MORGAN STANLEY | 61760LFF7 | Convertible/ | 13,000 | $13,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 121 | $12,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 277 | $12,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 189 | $12,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 72 | $12,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $12,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $12,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 191 | $12,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 300 | $12,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 122 | $12,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 70 | $12,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 279 | $12,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 57 | $12,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 400 | $12,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 575 | $12,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 400 | $12,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 282 | $12,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 38 | $12,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $12,000 | thousands by filing date | |
| GRAND RIVER DAM AUTH OK REV, REF REV BDS | 386442WQ6 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC NOTE M/W CLBL | 931427AF5 | NOTE M/W CLBL | 12,000 | $12,000 | thousands by filing date | |
| UNIVERSITY TX UNIV REVS, REV FIN SYS BDS | 91514AGP4 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| LAREDO TX | 516824DS5 | Convertible/ | 10,000 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-20-002091 | this filing | 2020-08-13 | acceptance time not in the bulk data set |