13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-26, with 1,856 holding rows worth $1,079,743,000.
- Accession
- 0001415889-20-002491
- Filer
- CIK 1418539
- Filed
- 2020-10-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 1,857 entries on the cover page, a total value of $1,079,743,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,079,743,000 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 |
|---|---|---|---|---|---|---|
| ANTHEM, INCpoint 3point125percent22 DUE 05 15 22 | 94973VAX5 | cb | 15,000 | $16,000 | thousands by filing date | |
| HP INCORPORATION NOTE M/W CLBL | 428236BV4 | NOTE M/W CLBL | 15,000 | $16,000 | thousands by filing date | |
| 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 | |
| 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 | |
| FISERV INC | 337738108 | COM | 150 | $15,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 200 | $15,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 104 | $15,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 147 | $15,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 300 | $15,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 191 | $15,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 325 | $15,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 118 | $15,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 290 | $15,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 629 | $15,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 785 | $15,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 1,500 | $15,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 500 | $15,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 380 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 733 | $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 | |
| SCE Trust V | 78409W201 | SCEPRK | 661 | $15,000 | thousands by filing date | |
| CINCINNATI BELL TEL CO DEB | 171875AD9 | Fixed Income | 15,000 | $15,000 | thousands by filing date | |
| MONTSANTO CO | 61166WAH4 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| MORGAN STANLEY | 617474AA9 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| GRD FORKS ND SANI | 385493EU1 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| 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 | |
| ARIZONA BOARD REGEN | 040484MB0 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| MO ST UNIV AUX | 606377BF5 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $14,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 400 | $14,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 463 | $14,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 219 | $14,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 300 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 400 | $14,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 300 | $14,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 450 | $14,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 119 | $14,000 | thousands by filing date | |
| CENCORA INC | 03073E108 | COM | 142 | $14,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,500 | $14,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 38 | $14,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 782 | $14,000 | thousands by filing date | |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 500 | $14,000 | thousands by filing date | |
| INNOVATIVE INDUS 9percent PFD | 45781V200 | PRE | 500 | $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 | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $14,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 204 | $13,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 356 | $13,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 300 | $13,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 72 | $13,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $13,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $13,000 | thousands by filing date | |
| AVIENT CORPORATION | 05368V106 | COM | 480 | $13,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 55 | $13,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 200 | $13,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 923 | $13,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 400 | $13,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $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 | |
| THE GOLDMAN SACH | 38141EQ69 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| PORT AUTH NY & NJ | 73358WM50 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| RIO TINTO FIN | 76720AAG1 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| WISCONSIN STATE | 97705MGS8 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| TOYOTA MOTOR COR | 89236TDK8 | Convertible/ | 12,000 | $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 | |
| EBAY INC NOTE | 278642202 | Preferred Stock | 500 | $13,000 | thousands by filing date | |
| ASSOCIATED BANC PFD | 045488400 | PFDs, REITs, | 500 | $13,000 | thousands by filing date | |
| NATL GEN PFD | 636220808 | 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 | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 50 | $12,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 325 | $12,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 233 | $12,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 126 | $12,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 378 | $12,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 33 | $12,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 125 | $12,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $12,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 145 | $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 | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 575 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 211 | $12,000 | thousands by filing date | |
| Ferguson PLC ADR | 31502A204 | ADR | 1,149 | $12,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 250 | $12,000 | thousands by filing date | |
| HCA INC. | 404119BQ1 | Corporate Bond - Domestic | 10,000 | $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 | |
| LAREDO TX WWKS SWR | 517039TL7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| LOWER CO RIV AUTH T | 54811GZS2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| SHERMAN TX | 824161PN7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| STARBUCKS CORP | 855244AR0 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MARICOPA AZ SD #38 | 567184KZ8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MERCK & CO., INC | 589331AS6 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NC MUN PWR CA ELEC | 658203X82 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NM FA ST TRANS | 64711RKU9 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NY ST DORM AUTH PER | 64990EUT2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PA ST TPK COMMN TPK | 709224FX2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WST WTR | 71883PJP3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RNK5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| PIMA CN AZ USD #16 | 721863QH4 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| STRUCTURED PRODUCT PFD | 02208E209 | PFDs, REITs, | 400 | $12,000 | thousands by filing date | |
| SACRAMENTO CN C | 786091AF5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| IL FA REV | 45203HA28 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| INTERNTNL BUSINESS | 459200HF1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| APPLE INC | 037833AL4 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| THE WESTERN UNION | 959802AM1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797CG8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RLZ7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RPG5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BRD REGENTS COP | 04048PKC3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BRD REGENTS UNIV | 04048RSQ0 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TX TRANS ST HWY FD | 88283LJW7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| UNIV MA BLDG AUTH | 914440QA3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| UNIV WA | 91523NNS1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| DC INCOME TAX | 25477GNK7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NYC NY TRAN AUTH | 64972HYM8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| CONROE TX ISD | 208418UK7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 60 | $11,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 36 | $11,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 1,125 | $11,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 75 | $11,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 200 | $11,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 11 | $11,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 35 | $11,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 50 | $11,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 187 | $11,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 60 | $11,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 1,500 | $11,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 245 | $11,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $11,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 400 | $11,000 | thousands by filing date | |
| BANK OF AMERICA 6per PFD NON-CUM PERP MTY CALL 05/16/23 @ 25 | 060505229 | Preferred | 406 | $11,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 344 | $11,000 | thousands by filing date | |
| AARON'S INC | 002535201 | COMMON STOCK | 200 | $11,000 | thousands by filing date | |
| AON CORP | 037389103 | COMMON STOCK | 54 | $11,000 | thousands by filing date | |
| CHEVRON CORPORATION 3.326 11/17/2025 | 166764BD1 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| MICROSOFT CORP 3.125 11/03/2025 | 594918BJ2 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 2 02/28/2021 | 912828B90 | Govt Bond | 11,000 | $11,000 | thousands by filing date | |
| HALLIBURTON CO 3.8 11/15/2025 | 406216BG5 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E202 | S&P MIDCP LOW | 257 | $11,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001aba9 | FIXED | 10,000 | $11,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HBF1 | Fixed Income | 10,000 | $11,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BGP9 | NOTE | 10,000 | $11,000 | thousands by filing date | |
| Invesco Optm Yd Dvrs Cdty Stra No K1 ETF | 73937V106 | ETF | 770 | $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 | |
| 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 | |
| SIMON PROPERTY GR | 828807CV7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| GATX CORP PFD | 361448608 | PFDs, REITs, | 400 | $11,000 | thousands by filing date | |
| THE CHARLES SCH | 808513AG0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| THE EMPIRE DIST E | 291641AZ1 | 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 | |
| NY ST DORM AUTH S/T | 64990ADN2 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| OHIO ST | 677521ZJ8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PEORIA AZ | 712838SC6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ | 718814L61 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ | 718814P26 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA COUNTY ARIZONA | 721799E80 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ROSEMONT IL | 777543SS9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AIR PRODUCTS AND | 009158AV8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ALBEMARLE CORP | 012725AC1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AMERICAN TOWER CO | 03027XAW0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| FLAGSTAFF AZ | 338423QF6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484LM7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| 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 | |
| U.S. BANCORP | 91159HHM5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| UTAH ST | 917542TX0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CALIFORNIA ST | 13063CLV0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CIMAREX ENERGY | 171798AC5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| COMCAST CORPORA | 20030NBN0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| DANAHER CORP | 235851AQ5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| EL PASO TX | 283734WN7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| EXELON CORP | 693304AT4 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MARICOPA AZ SD #11 | 567090D36 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| CROWN CASTLE INT | 228227BD5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| LINCOLN NEBRASKA | 534272ZX0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MA ST SCH BLDG AUTH | 576000NR0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 200 | $10,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 56 | $10,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 500 | $10,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 831 | $10,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 35 | $10,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 125 | $10,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 400 | $10,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 272 | $10,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 125 | $10,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 21 | $10,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 45 | $10,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 126 | $10,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $10,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 54 | $10,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 100 | $10,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 103 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 925 | $10,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 1,349 | $10,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 5,000 | $10,000 | thousands by filing date | |
| Suncor Energy Inc. | 867229106 | COM | 779 | $10,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 375 | $10,000 | thousands by filing date | |
| ALTIUS MINERALS CORP F | 020936100 | FOREIGN CANADIAN | 1,400 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 375 | $10,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 375 | $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 | |
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| 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 | |
| OLD NTNL BANCORP | 680033AC1 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| PIMA CN AZ IDA | 72177PAZ3 | 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 W/ | 810526MT7 | 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 | |
| UNITED AIRLINES, | 90932LAA5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| BROWARD CNTY FL ARP | 114894RP5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CHANDLER AZ | 158843WL2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| CISCO SYSTEMS, I | 17275RBC5 | Convertible/ | 9,000 | $10,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663VJ8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| GILA AZ USD #10 | 375233GG2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| DRIPPING SPRING TX | 262061NX8 | 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 | |
| MO ST UNIV AUX | 606377BE8 | 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 | |
| BANCO SANTANDER, PFD | 05971K406 | PFDs, REITs, | 431 | $10,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 43 | $9,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 159 | $9,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 300 | $9,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 212 | $9,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 200 | $9,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 213 | $9,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $9,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 171 | $9,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 60 | $9,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 546 | $9,000 | thousands by filing date | |
| SYNEOS HEALTH INC | 87166B102 | CL A | 165 | $9,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 100 | $9,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 2,875 | $9,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 266 | $9,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 430 | $9,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | G7945J104 | COMMON STOCK | 186 | $9,000 | thousands by filing date | |
| COMCAST CORP NEW 3.95 10/15/2025 | 20030NCS8 | Corp Bond | 8,000 | $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 | |
| CHS INC. VAR P 7.1 PFDPFD SER 2 | 12542R506 | PREFERRED STOCK | 350 | $9,000 | thousands by filing date | |
| BOSTON PROPERTIE 2.75.26 | 10112RAY0 | CORPORATE BONDS | 8,000 | $9,000 | thousands by filing date | |
| BAT CAPITAL CORPORATION NOTE M/W CLBL | 05526DBB0 | NOTE M/W CLBL | 8,000 | $9,000 | thousands by filing date | |
| WALMART INC | 931142EK5 | COM | 8,000 | $9,000 | thousands by filing date | |
| LYB INTERNTNL FIN | 50247WAB3 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| SIMON PROPERTY GROUP | 828807CW5 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| STARBUCKS CORP | 855244AK5 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| NORDSTROM, INC | 655664AS9 | Convertible/ | 10,000 | $9,000 | thousands by filing date | |
| NORTHROP GRUMMAN | 666807BM3 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 262 | $9,000 | thousands by filing date | |
| GENERAL MOTORS FINL | 37045XBQ8 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| CVS HEALTH CORP | 126650CU2 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| FEDEX CORP | 31428XBM7 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 116 | $8,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 71 | $8,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 75 | $8,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 132 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 200 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 100 | $8,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 200 | $8,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 91 | $8,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 20 | $8,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 71 | $8,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 146 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 35 | $8,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 202 | $8,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 150 | $8,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 70 | $8,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 748 | $8,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 400 | $8,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 1,480 | $8,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 102 | $8,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 95 | $8,000 | thousands by filing date | |
| ORACLE CORP 2.4 09/15/2023 | 68389XBL8 | Corp Bond | 8,000 | $8,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC 4.493 11/15/2025 | 26078JAC4 | Corp Bond | 7,000 | $8,000 | thousands by filing date | |
| REPUBLIC SVCS INC FXD RT NT 3.375 percent 11/15/27 B/E DTD 11/16/17 CLB | 760759AS9 | COUPON BEARING BOND | 7,000 | $8,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 3,000 | $8,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 300 | $8,000 | thousands by filing date | |
| BNY MELLON | 064058209 | PFD | 301 | $8,000 | thousands by filing date | |
| INTEL CORP 3 7 25 DUE 07/29/25 | 458140AS9 | CORPORATE BONDS | 7,000 | $8,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HBJ3 | BCO | 7,000 | $8,000 | thousands by filing date | |
| Two Harbors Investment Corp Se | 90187B309 | Com | 379 | $8,000 | thousands by filing date | |
| MARSH & MCLENNAN COMPANIES INC NOTE M/W CLBL | 571748BF8 | NOTE M/W CLBL | 7,000 | $8,000 | thousands by filing date | |
| HOME DEPOT INC NOTE M/W CLBL | 437076BC5 | NOTE M/W CLBL | 7,000 | $8,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 500 | $8,000 | thousands by filing date | |
| BECTON DICKINSON & CO NOTE M/W CLBL | 075887BF5 | NOTE M/W CLBL | 7,000 | $8,000 | thousands by filing date | |
| SANTANDER HOLDINGS USA | 80282kas5 | FIXED | 8,000 | $8,000 | thousands by filing date | |
| METLIFE INC | 59156RBH0 | COM | 7,000 | $8,000 | thousands by filing date | |
| DUKE ENERGY CORP 3point75percent24 DUE 04 15 24 | 26441CAN5 | cb | 7,000 | $8,000 | thousands by filing date | |
| JOHN DEERE CAPITAL | 24422EUR8 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| JP MORGAN CHASE BK VAR 34 | 48125TRP2 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| SYSCO CORP | 871829BG1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| TARGET CORP | 87612EBD7 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| NOMURA AMERICAN FI VAR 34 | 65539ABE9 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| PEPSICO, INC | 713448DY1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 300 | $8,000 | thousands by filing date | |
| RIO TINTO FIN | 767201AS5 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| A O N PLC | 00185AAK0 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XBA1 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| INTL BK RECON & DE | 45905UPU2 | Convertible/ | 10,000 | $8,000 | thousands by filing date | |
| FISERV, INC | 337738AQ1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| VIACOM INC | 925524AX8 | Convertible/ | 6,000 | $8,000 | thousands by filing date | |
| AT&T INC | 00206RHR6 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| THE SOUTHERN CO | 842587CU9 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| THE WALT DISNEY CO | 254687CR5 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 77 | $7,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 57 | $7,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 91 | $7,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 240 | $7,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 124 | $7,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 300 | $7,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 211 | $7,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 242 | $7,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 100 | $7,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 39 | $7,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 59 | $7,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 1,400 | $7,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $7,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 5 | $7,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 350 | $7,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 150 | $7,000 | thousands by filing date | |
| Goldman Sachs Group, Inc. 3.5 11/16/26 | 38145GAH3 | Corporate Bonds | 6,000 | $7,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 200 | $7,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 800 | $7,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC 3.5 01/23/2024 | 693475AV7 | Corp Bond | 6,000 | $7,000 | thousands by filing date | |
| AT&T INC 4.125 02/17/2026 | 00206RCT7 | Corp Bond | 6,000 | $7,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 50 | $7,000 | thousands by filing date | |
| CHEMTRADE LOGISTICS INCOME | 16387P103 | COMMON STK | 2,000 | $7,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 800 | $7,000 | thousands by filing date | |
| ALLSTATE CORP PFD | 020002309 | PREFERRED | 253 | $7,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 400 | $7,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 267 | $7,000 | thousands by filing date | |
| Wells Fargo & 5.85 PFD PFD Ser Q | 949746556 | PFD | 263 | $7,000 | thousands by filing date | |
| ISTAR FINANCIAL INC 7.65 PFD SHS SERIES G | 45031U705 | Preferred | 300 | $7,000 | thousands by filing date | |
| KINDER MORGAN EN | 494550BM7 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 300 | $7,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 675 | $7,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AD6 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| AMERICAN HONDA F | 02665WDJ7 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| GILEAD SCIENCES, | 375558AW3 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| BANK OF AMERICA COR | 06051GFM6 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| UNITED PARCEL SER | 911312BK1 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Macy'S, Inc. | 55616XAN7 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| TVA | 880591EL2 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Deutsche Bank | 25152R2X0 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| EXANTAS CAPI PFD | 30068N402 | PFDs, REITs, | 400 | $7,000 | thousands by filing date | |
| DETROIT MI CITY | 251129Z47 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 40 | $6,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 94 | $6,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 137 | $6,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 100 | $6,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 100 | $6,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 55 | $6,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 27 | $6,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 100 | $6,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 400 | $6,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 607 | $6,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 104 | $6,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 58 | $6,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 402 | $6,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 542 | $6,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 96 | $6,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 208 | $6,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 25 | $6,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 11 | $6,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 700 | $6,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 732 | $6,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 71 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 600 | $6,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 240 | $6,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 700 | $6,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 736 | $6,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 551 | $6,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 32 | $6,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 130 | $6,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 1,121 | $6,000 | thousands by filing date | |
| ADECCO GROUP AG ADR | 006754204 | COM | 215 | $6,000 | thousands by filing date | |
| AGEAS SPON ADR | 00844W208 | COM | 145 | $6,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC 3.5 11/01/2024 | 92343VCR3 | Corp Bond | 5,000 | $6,000 | thousands by filing date | |
| ABBVIE INC 2.9 11/06/2022 | 00287YAL3 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| GENERAL MOTORS CO 6.6 36 DUE 04/01/36 | 37045VAK6 | CORPORATE BONDS | 5,000 | $6,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $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 | |
| Telephone & Data 6.875% Cl 11/ | 879433845 | PFD | 241 | $6,000 | thousands by filing date | |
| ACTIVISION INC | 004930202 | EQUS | 71 | $6,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW | 7591EP506 | COM | 210 | $6,000 | thousands by filing date | |
| EXXON MOBIL COR | 30231GAT9 | FIX | 5,000 | $6,000 | thousands by filing date | |
| PIMA CNTY ARIZ REGL TRANSN AU | 72178RBH7 | COM | 5,000 | $6,000 | thousands by filing date | |
| AETNA INC NOTE M/W CLBL | 008117AP8 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
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| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
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| 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 | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| PIMA CNTY AZ | 721663ZL9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| PINAL CN AZ CCD | 722035ED0 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| PUBLIC STORAGE | 74460DAC3 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| QUEEN CRK AZ EXC | 74823YBP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| FRASER COMPANIES | 655422AV5 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| WI ST TRANS | 977123S74 | Convertible/ | 5,000 | $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 | |
| THE KROGER CO. | 501044DC2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TOTAL CAPITAL | 89152UAH5 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| TUCSON AZ | 898711T97 | 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 C VAR 28 | 06051GGR4 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| BEAM INC | 349631AG6 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| DUKE ENERGY OHIO | 26442EAF7 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| FEDERAL NTNL MORTGAG | 3135G0Q22 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 100 | $5,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 129 | $5,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 40 | $5,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 185 | $5,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 183 | $5,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 126 | $5,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 89 | $5,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 57 | $5,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100 | $5,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 25 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 69 | $5,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 99 | $5,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 1,300 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $5,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 270 | $5,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 100 | $5,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 400 | $5,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 93 | $5,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 113 | $5,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 17 | $5,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $5,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 45 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 233 | $5,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,800 | $5,000 | thousands by filing date | |
| L OREAL CO ADR | 502117203 | ADUS | 77 | $5,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 153 | $5,000 | thousands by filing date | |
| MET 4 3/4 PERP | 59156R850 | PUBLIC | 195 | $5,000 | thousands by filing date | |
| KEY 6 1/8 PERP | 493267702 | PUBLIC | 161 | $5,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 78 | $5,000 | thousands by filing date | |
| US BANCORP 2.625 01/24/2022 | 91159HHP8 | Corp Bond | 5,000 | $5,000 | 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 | $5,000 | thousands by filing date | |
| FLAGSTAR FINANCIAL INC | 649445202 | Equities | 165 | $5,000 | thousands by filing date | |
| Reinsurance GRP of Amer VRN Pfd | 759351802 | PFD | 187 | $5,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 1,792 | $5,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 182 | $5,000 | thousands by filing date | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $5,000 | thousands by filing date | |
| AT&T Pfd | 00206R409 | PFD | 195 | $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 | |
| american express co | 025816bd0 | CORPORATE 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 | |
| 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 | |
| MORGAN STANLEY (VARIABLE) | 61760QEP5 | Convertible/ | 7,000 | $5,000 | thousands by filing date | |
| NC EASTERN MUNI PWR | 658196PP9 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AMERICAN ELECTRIC | 025537AL5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| FT | 30266E840 | Unit Trusts | 2,000 | $5,000 | thousands by filing date | |
| TN ENGY ACQUISIT | 880443BN5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 040484KQ9 | Convertible/ | 5,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-20-002491 | this filing | 2020-10-26 | acceptance time not in the bulk data set |