13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-04-28, with 1,797 holding rows worth $1,269,934,000.
- Accession
- 0001415889-21-002180
- Filer
- CIK 1418539
- Filed
- 2021-04-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,799 entries on the cover page, a total value of $1,269,934,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,269,934,000 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 |
|---|---|---|---|---|---|---|
| YUM CHINA HLDGS INC | 98850P109 | COM | 1,137 | $67,000 | thousands by filing date | |
| MORGAN STANLEY | 61747YDU6 | Convertible/ | 63,000 | $67,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 831 | $66,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 203 | $66,000 | thousands by filing date | |
| N TX TWY AUTH | 66285WSG2 | Convertible/ | 55,000 | $66,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 6,035 | $65,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 216 | $65,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,000 | $65,000 | thousands by filing date | |
| MCDONALD'S CORP 3point25percent24 DUE 06 10 24 | 58013MES9 | cb | 60,000 | $65,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 230 | $64,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 227 | $64,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 2,689 | $64,000 | thousands by filing date | |
| RAYTHEON CO | 755111AF8 | Convertible/ | 50,000 | $64,000 | thousands by filing date | |
| ROCKWELL COLLINS | 774341AE1 | Convertible/ | 60,000 | $64,000 | thousands by filing date | |
| AMERICAN EXPRESS | 025816BW8 | Convertible/ | 60,000 | $64,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RGJ9 | Convertible/ | 60,000 | $64,000 | thousands by filing date | |
| BB&T CORP | 05531FBB8 | Convertible/ | 60,000 | $64,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 1,875 | $63,000 | thousands by filing date | |
| AT&T Inc Depositary Shs Perp Pfd Shs Series C | 00206R706 | PFD | 2,500 | $63,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAP3 | Convertible/ | 50,000 | $63,000 | thousands by filing date | |
| GENERAL ELECTRIC | 36966R6K7 | Convertible/ | 60,000 | $63,000 | thousands by filing date | |
| CITIGROUP INC | 172967GK1 | Convertible/ | 60,000 | $63,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 600 | $62,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 236 | $62,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 560 | $62,000 | thousands by filing date | |
| HP INC 6 41 DUE 09/15/41 | 428236BR3 | CORPORATE BONDS | 50,000 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E306 | DJ INTERNT IDX | 278 | $61,000 | thousands by filing date | |
| COLORADO HEALTH FACS AUTH REV BDS CLBL | 19648FAJ3 | REV BDS CLBL | 50,000 | $61,000 | thousands by filing date | |
| HOWMET AEROSPACE INC COM | 443201108 | Stock | 1,872 | $60,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 175 | $60,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 716 | $60,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 1,775 | $60,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 60,000 | $60,000 | thousands by filing date | |
| MIAMI-DADE COUNTY FL REV | 59334DHY3 | Convertible/ | 50,000 | $60,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 1,350 | $59,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 1,200 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 540 | $59,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 3,700 | $59,000 | thousands by filing date | |
| JOHNSON CONTRO | 478375AG3 | Convertible/ | 55,000 | $59,000 | thousands by filing date | |
| FIRSTMERIT CORP | 337915AA0 | Convertible/ | 55,000 | $59,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 040484MH7 | Convertible/ | 50,000 | $59,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 734 | $58,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,100 | $58,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 371 | $58,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 194 | $58,000 | thousands by filing date | |
| BANK NEW YORK MELLON CORP MEDIUM TERM SR SUB NT ENTRY FIXED RATE NOTE SER J 3.000 percent 10/30/28 B/E DTD 10/31/16 CLB | 06406GAA9 | MEDIUM TERM NOTE | 55,000 | $58,000 | thousands by filing date | |
| ORACLE CORP NOTE M/W CLBL | 68389XBM6 | NOTE M/W CLBL | 55,000 | $58,000 | thousands by filing date | |
| METLIFE INC DEBENTURE - UNSECURED M/W QTRL | 59156RBB3 | DEBENTURE - UNSECURED M/W QTRL | 53,000 | $58,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAK4 | Convertible/ | 50,000 | $58,000 | thousands by filing date | |
| HARRIS CNTY TX MET | 41422EET6 | Convertible/ | 50,000 | $58,000 | thousands by filing date | |
| HEWLETT PACKARD STEP 22 | 42824CAN9 | Convertible/ | 55,000 | $58,000 | thousands by filing date | |
| APPLE INC. | 037833CR9 | Convertible/ | 53,000 | $58,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 573 | $57,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 560 | $57,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 600 | $57,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 5,975 | $57,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 360 | $57,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 96 | $57,000 | thousands by filing date | |
| NJ ST TPK AUTH | 6461394Y8 | Convertible/ | 50,000 | $57,000 | thousands by filing date | |
| PENNSYLVANIA | 70914PVR0 | Convertible/ | 50,000 | $57,000 | thousands by filing date | |
| PORT SEATTLE WA REV | 735389VH8 | Convertible/ | 50,000 | $57,000 | thousands by filing date | |
| HARRIS CN TX CULT ED | 414009HZ6 | Convertible/ | 50,000 | $57,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,775 | $56,000 | thousands by filing date | |
| BANK NEW YORK MEL VAR 23 | 06406RAC1 | Convertible/ | 55,000 | $56,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 1,900 | $55,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 1,132 | $55,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 1,000 | $55,000 | thousands by filing date | |
| MORGAN STANLEY 3.7 10/23/2024 | 61761JVL0 | Corp Bond | 50,000 | $55,000 | thousands by filing date | |
| NORFOLK SOUTHERN CORP | 655844CA4 | Convertible/ | 50,000 | $55,000 | thousands by filing date | |
| Pima Cn Az Regl Tra | 72178RAW5 | Convertible/ | 55,000 | $55,000 | thousands by filing date | |
| ACTIVISION BLIZZA | 00507VAM1 | Convertible/ | 50,000 | $55,000 | thousands by filing date | |
| Az St Transn Brd | 040647EG0 | Convertible/ | 50,000 | $55,000 | thousands by filing date | |
| UNION PACIFIC CORP | 907818ES3 | Convertible/ | 50,000 | $55,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 3,000 | $54,000 | thousands by filing date | |
| INGERSOLL-RAND GL HLD CO | 45687AAJ1 | CORPORATE BONDS | 50,000 | $54,000 | thousands by filing date | |
| SOUTHWEST GAS H | 844895AV4 | Convertible/ | 53,000 | $54,000 | thousands by filing date | |
| PACKAGING CORP O | 695156AR0 | Convertible/ | 50,000 | $54,000 | thousands by filing date | |
| PSEG POWER LLC | 69362BBA9 | Convertible/ | 50,000 | $54,000 | thousands by filing date | |
| OHIO ST | 677521E56 | Convertible/ | 50,000 | $54,000 | thousands by filing date | |
| ASPEN INSURANCE | 04530DAD4 | Convertible/ | 50,000 | $54,000 | thousands by filing date | |
| CORNING INC | 219350AZ8 | Convertible/ | 50,000 | $54,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 1,200 | $53,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 2,450 | $53,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 4,000 | $53,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 949746SH5 | NOTE | 50,000 | $53,000 | thousands by filing date | |
| WELLS FARGO & COMPANY NOTE | 94974BFJ4 | NOTE | 50,000 | $53,000 | thousands by filing date | |
| Marana Az Excise Ta | 56574CBD2 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| MARKEL CORP | 570535AK0 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| EATON VANCE COR | 278265AD5 | Convertible/ | 50,000 | $53,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,797 | $52,000 | thousands by filing date | |
| Streettracks Gold TRUST | 863307104 | Common Stock | 327 | $52,000 | thousands by filing date | |
| WESTLAKE CORPORATION NOTE M/W CLBL | 960413AF9 | NOTE M/W CLBL | 50,000 | $52,000 | thousands by filing date | |
| HSBC HOLDINGS 4point875percent 22F DUE 01 14 22 | 404280AL3 | cb | 50,000 | $52,000 | thousands by filing date | |
| WOODMOOR CO W/S | 97989DAX0 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| EVERGY, INC. | 30034WAA4 | Convertible/ | 50,000 | $52,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 101 | $51,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,500 | $51,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 2,566 | $51,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 533 | $51,000 | thousands by filing date | |
| O'Reilly Automotive Inc. | 67103hab3 | COM | 50,000 | $51,000 | thousands by filing date | |
| JOHNSON CONTROLS | 478366BA4 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| MONSANTO CO | 61166WAW1 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| AMPHENOL CORP | 032095AB7 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| EXPRESS SCRIPTS HOLDINGS CO | 30219GAF5 | Convertible/ | 50,000 | $51,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 355 | $50,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 300 | $50,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 980 | $50,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 125 | $50,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 1,198 | $50,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 3,700 | $50,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 1,113 | $50,000 | thousands by filing date | |
| SOUTHWESTERN PUB SV 6 36 DUE 10/01/36 | 845743BL6 | CORPORATE BONDS | 40,000 | $50,000 | thousands by filing date | |
| WELLS FARGO | 94974BEV8 | cb | 50,000 | $50,000 | thousands by filing date | |
| SOUTHERN NATURAL | 84345PAB8 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| WHIRLPOOL CORP | 96332HCD9 | Convertible/ | 50,000 | $50,000 | thousands by filing date | |
| AT&T INC. | 00206RBA9 | Convertible/ | 40,000 | $50,000 | thousands by filing date | |
| DOVER CORP | 260003AC2 | Convertible/ | 40,000 | $50,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 852 | $49,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 250 | $49,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 4,124 | $49,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 4,000 | $49,000 | thousands by filing date | |
| TRANE INC | 892893108 | COM | 298 | $49,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 715 | $49,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GFB0 | cb | 45,000 | $49,000 | thousands by filing date | |
| COMCAST CORP | 20030NBL4 | Convertible/ | 45,000 | $49,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 700 | $48,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 796 | $48,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 551 | $48,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 500 | $48,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 3,000 | $48,000 | thousands by filing date | |
| CHEVRON CORP | 166764BL3 | Bond | 45,000 | $48,000 | thousands by filing date | |
| LENNOX INTERNTNL IN | 526107AD9 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851AU3 | Convertible/ | 45,000 | $48,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 3,400 | $47,000 | thousands by filing date | |
| TOTAL S A ADR F | 89151E113 | cs | 1,000 | $47,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 2,012 | $47,000 | thousands by filing date | |
| SARA LEE CORPORATION | 803111AM5 | Corp Bonds - Non-Convert | 40,000 | $47,000 | thousands by filing date | |
| HSBC HOLDINGS PLC | 404280AN9 | Convertible/ | 45,000 | $47,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 993 | $46,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 303 | $46,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 400 | $46,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 61 | $46,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 2,100 | $46,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 2,500 | $46,000 | thousands by filing date | |
| BOARDWALK PIPEL | 096630AC2 | Convertible/ | 45,000 | $46,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 250 | $45,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 601 | $45,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 700 | $45,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 2,540 | $45,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 897 | $45,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 1,200 | $45,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 1,100 | $45,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 860 | $45,000 | thousands by filing date | |
| SILVANA MINES | 380956AF9 | cb | 45,000 | $45,000 | thousands by filing date | |
| MDRNA | 55276N100 | Equities | 340 | $45,000 | thousands by filing date | |
| NY ST TWY AUTH GEN | 650009ZU0 | Convertible/ | 40,000 | $45,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 150 | $44,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 200 | $44,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 244 | $44,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 400 | $44,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 312 | $44,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 13,100 | $44,000 | thousands by filing date | |
| AMER AIRLN 15-1 A | 023770aa8 | FIXED | 45,000 | $44,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS OPER | 161175BK9 | Corporate Bond - Domestic | 40,000 | $44,000 | thousands by filing date | |
| FAIRFAX FINANCIAL HLDGS LTD NOTE | 303901AB8 | NOTE | 35,000 | $44,000 | thousands by filing date | |
| MORGAN STANLEY | 6174468C6 | Convertible/ | 40,000 | $44,000 | thousands by filing date | |
| CONSOLIDATED EDISON | 209111FP3 | Convertible/ | 40,000 | $44,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 402 | $43,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 880 | $43,000 | thousands by filing date | |
| MET TRAN AUTH NY | 59259N2H5 | Convertible/ | 35,000 | $43,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 380 | $42,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 313 | $42,000 | thousands by filing date | |
| PFIZER INC. | 717081DH3 | Corp Bonds - Non-Convert | 40,000 | $42,000 | thousands by filing date | |
| Pima Cn Az Usd #1 | 721799E72 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| HALLIBURTON CO | 406216AY7 | Convertible/ | 30,000 | $42,000 | thousands by filing date | |
| FL ST B/E PUB ED | 34153PZ92 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| WI ST AAAA | 97705MHX6 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EM63 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| Yuma Arizona Munici | 98851CAG2 | Convertible/ | 40,000 | $42,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 288 | $41,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 2,000 | $41,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 700 | $41,000 | thousands by filing date | |
| ORANGE CN FL S/T REV | 684515PX1 | Convertible/ | 40,000 | $41,000 | thousands by filing date | |
| FORD MOTOR CO | 345397VU4 | Convertible/ | 40,000 | $41,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 317 | $40,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 4,280 | $40,000 | thousands by filing date | |
| PINAL CN AZ ELEC | 722021BL5 | Convertible/ | 40,000 | $40,000 | thousands by filing date | |
| VERIZON PENNSYLVANI | 07786DAA4 | Convertible/ | 35,000 | $40,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 124 | $39,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 417 | $39,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,094 | $39,000 | thousands by filing date | |
| AUTOMATIC DATA 3point375percent25 DUE 09 15 25 | 053015AE3 | cb | 35,000 | $39,000 | thousands by filing date | |
| SALT VERDE AZ FC | 79575EAJ7 | Convertible/ | 35,000 | $39,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 769 | $38,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 500 | $38,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 2,000 | $38,000 | thousands by filing date | |
| WELLS FARGO 6.625 PFD PFD SER | 949746465 | PFD | 1,316 | $38,000 | thousands by filing date | |
| ABBOTT LABORATORI | 002824BE9 | Convertible/ | 36,000 | $38,000 | thousands by filing date | |
| COMCAST CORPORA | 20030NBN0 | Convertible/ | 35,000 | $38,000 | thousands by filing date | |
| XPENG INC ADS | 98422D105 | ADR | 1,000 | $37,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 200 | $37,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 1,402 | $37,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 2,000 | $37,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 1,500 | $37,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 900 | $37,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 100 | $36,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 312 | $36,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 950 | $36,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 1,200 | $36,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 500 | $36,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 294 | $36,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 754 | $36,000 | thousands by filing date | |
| SOUTHERN COPPER | 84265VAG0 | Convertible/ | 30,000 | $36,000 | thousands by filing date | |
| MICROSOFT CORP | 594918BH6 | Convertible/ | 35,000 | $36,000 | thousands by filing date | |
| VIACOM INC | 925524AV2 | Convertible/ | 30,000 | $36,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 47 | $35,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 486 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 301 | $35,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 460 | $35,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 1,100 | $35,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 250 | $35,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 760 | $35,000 | thousands by filing date | |
| SHELL INTERNATIONAL FIN BV 3.25 05/11/2025 | 822582BD3 | Corp Bond | 32,000 | $35,000 | thousands by filing date | |
| SAFEWAY INC NT | 786514BA6 | Fixed Income | 30,000 | $35,000 | thousands by filing date | |
| NEXTERA EN | 65339K100 | Preferred Stock | 1,375 | $35,000 | thousands by filing date | |
| NEWMONT GOLDCORP | 651639AM8 | Convertible/ | 25,000 | $35,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 555 | $34,000 | thousands by filing date | |
| BARCLAYS PLC | 06738E207 | ADR | 3,310 | $34,000 | thousands by filing date | |
| ARCONIC INC NOTE M/W CLBL | 013817AJ0 | NOTE M/W CLBL | 30,000 | $34,000 | thousands by filing date | |
| ARIZONA BRD REGENTS UNIV ARIZ REV BDS CLBL | 040484MA2 | REV BDS CLBL | 30,000 | $34,000 | thousands by filing date | |
| VERIZON COMMUNICATIONS INC | 362320BA0 | Convertible/ | 27,000 | $34,000 | thousands by filing date | |
| THE KROEGER CO. | 501044DG3 | Convertible/ | 30,000 | $34,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 83 | $33,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 300 | $33,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 1,025 | $33,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 1,200 | $33,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 560 | $33,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC FXD RT | 693475AP0 | Fixed Income | 30,000 | $33,000 | thousands by filing date | |
| JPMORGAN CHASE & | 46625HMN7 | Convertible/ | 30,000 | $33,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 250 | $32,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 2,168 | $32,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $32,000 | thousands by filing date | |
| Morgan Stanley 4.875 Perp Pfd | 61762V804 | PFD | 1,200 | $32,000 | thousands by filing date | |
| Nthrn Ariz Univ | 6647543A4 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| PENNSBURY PA SD | 708553PU0 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| REPUBLIC SERVICES | 760759AQ3 | Convertible/ | 30,000 | $32,000 | thousands by filing date | |
| H. J. HEINZ FIN | 42307TAG3 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| VA ST PUB BLDG AUTH | 928172Z81 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| CELGENE CORP | 151020AL8 | Convertible/ | 25,000 | $32,000 | thousands by filing date | |
| FEDERAL NTNL MORTGAG | 3135G0Q22 | Convertible/ | 31,000 | $32,000 | thousands by filing date | |
| SUMMER ENERGY HLDG INC | 865634109 | Equities | 35,218 | $32,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 190 | $31,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 300 | $31,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 562 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 535 | $31,000 | thousands by filing date | |
| CAPITAL ONE FINANCIAL CO PFD | 14040H865 | Preferred Stock | 1,200 | $31,000 | thousands by filing date | |
| CBOA FINANCIAL INC | 01248E111 | Equities | 12,000 | $31,000 | thousands by filing date | |
| AMGEN INC | 031162BX7 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| UNION PACIFIC CO | 907818DM7 | Convertible/ | 30,000 | $31,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 380 | $30,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 199 | $30,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 200 | $30,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 150 | $30,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 780 | $30,000 | thousands by filing date | |
| VALERO ENERGY CORP NOTE M/W CLBL | 91913YAU4 | NOTE M/W CLBL | 28,000 | $30,000 | thousands by filing date | |
| DISTRICT COLUMBIA WTR & SWR AUTH PUB UTIL REV, PUB UTIL SUB LIEN REV BDS, | 254845LN8 | Revenue Supported Bonds - non-taxable | 25,000 | $30,000 | thousands by filing date | |
| THE GOLDMAN SACHS | 38141EX20 | Convertible/ | 25,000 | $30,000 | thousands by filing date | |
| NYC NY MUN FA W/S | 64972GQX5 | Convertible/ | 25,000 | $30,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 246 | $29,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 133 | $29,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 611 | $29,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 378 | $29,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL 3.125 03/15/2026 | 084670BS6 | Corp Bond | 27,000 | $29,000 | thousands by filing date | |
| CONOCOPHILLIPS COMPANY 4.95 03/15/2026 | 20826FAQ9 | Corp Bond | 25,000 | $29,000 | thousands by filing date | |
| HOWMET AEROSPACE INC | 022249AU0 | Corporate Bond - Domestic | 25,000 | $29,000 | thousands by filing date | |
| johnson & johnson | 478160af1 | CORPORATE BOND | 25,000 | $29,000 | thousands by filing date | |
| WEYERHAEUSER COMPANY DEBENTURE - UNSECURED | 962166AS3 | DEBENTURE - UNSECURED | 25,000 | $29,000 | thousands by filing date | |
| JOHNSON CONTROL | 478375AK4 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| SOUTHERN POWER C | 843646AH3 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| Pinal Cn Az Ccd | 722042GN2 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| VERIZON NEW YORK | 650094CJ2 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| VIACOM INC | 925524AX8 | Convertible/ | 21,000 | $29,000 | thousands by filing date | |
| WI ST CLEAN WTR | 977092WT8 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141ED48 | Convertible/ | 25,000 | $29,000 | thousands by filing date | |
| BROWN & BROWN INC | 115236AA9 | Convertible/ | 26,000 | $29,000 | thousands by filing date | |
| COMCASE CORPORATI | 20030NBY6 | Convertible/ | 27,000 | $29,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 210 | $28,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 175 | $28,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 300 | $28,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 100 | $28,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 935 | $28,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 1,182 | $28,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 3,200 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 110 | $28,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,410 | $28,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 696 | $28,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 176 | $28,000 | thousands by filing date | |
| KOHL S CORP 6 33 DUE 01/15/33 | 500255AN4 | CORPORATE BONDS | 25,000 | $28,000 | thousands by filing date | |
| UNITED STATES TREAS NTS 3.125 11/15/2028 | 9128285M8 | Govt Bond | 25,000 | $28,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 15,000 | $28,000 | thousands by filing date | |
| MAPLE LEAF FOODS INC | 564905107 | COMMON | 1,240 | $28,000 | thousands by filing date | |
| CROWN CASTLE INC NOTE M/W CLBL | 22822VAE1 | NOTE M/W CLBL | 25,000 | $28,000 | thousands by filing date | |
| MA ST TRANS FD | 57604TFU5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| THE CLOROX CO | 189054AW9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| MARICOPA AZ HOSP | 566761MY5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| NORTHERN ARIZONA UN | 664754Z43 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| PETROBLAS GLOBA | 71647NAM1 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| Phoenix Az Cvc Imp | 71884AA58 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| HUTCHINSON MN PUR | 44835EDE5 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| FHLB | 3130AFFX0 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| THE WESTERN UNION | 959802AM1 | Convertible/ | 23,000 | $28,000 | thousands by filing date | |
| Az Bd Regents Univ | 04048RLB0 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| AZ SCH FAC BRD COP | 04057PJW9 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| UNIV AZ MED CTR | 914062EC4 | Convertible/ | 25,000 | $28,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 85 | $27,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 41 | $27,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 200 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 400 | $27,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 700 | $27,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 400 | $27,000 | thousands by filing date | |
| BANK AMERICA CORP 4 04/01/2024 | 06051GFF1 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| ORACLE CORP 3.4 07/08/2024 | 68389XAU9 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| WELLS FARGO CO NEW PFD SER X CL A | 94988U672 | Preferred | 1,060 | $27,000 | thousands by filing date | |
| AMPHENOL CORP 3.2 04/01/2024 | 032095AG6 | Corp Bond | 25,000 | $27,000 | thousands by filing date | |
| UNIVERSAL HEALTH/REALTY SBI | 91359E109 | COM | 395 | $27,000 | thousands by filing date | |
| APPLE INC | 037833BG4 | Bond | 25,000 | $27,000 | thousands by filing date | |
| FREEPORT MCMORAN INC | 35671DBL8 | Corporate Bond - Domestic | 25,000 | $27,000 | thousands by filing date | |
| KS ST DEV FA REV | 485429S39 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| Maricopa Az Usd #80 | 567389UY5 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571903BA0 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| RPM INTERNTNL IN | 749685AV5 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| GENERAL ELECTRIC CO | 36966TEP3 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141EQ51 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149YBA5 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| COCA-COLA CO | 191219AP9 | Convertible/ | 25,000 | $27,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 400 | $26,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 224 | $26,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $26,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 2,000 | $26,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,891 | $26,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $26,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC | 89417E113 | COM | 175 | $26,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 750 | $26,000 | thousands by filing date | |
| CITIGROUP INC 2.75 04/25/2022 | 172967LG4 | 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 | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 945 | $26,000 | thousands by filing date | |
| CAN APARTMENT PROP REAL ESTA | 134921105 | FOR | 600 | $26,000 | thousands by filing date | |
| HYATT HOTELS | 448579ae2 | FIXED | 25,000 | $26,000 | thousands by filing date | |
| BLOCK FINL LLC 5point5percent22 DUE 11 01 22 | 093662AE4 | cb | 25,000 | $26,000 | thousands by filing date | |
| NEWELL BRANDS INC NT | 651229AM8 | Fixed Income | 25,000 | $26,000 | thousands by filing date | |
| KING CNTY WA SD | 495278R62 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| MARKEL CORP | 570535AM6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| Phoenix Az Wtr | 71883RNF6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| VERIZON COMMUNICATIO | 92343VBJ2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| VERIZON MARYLAN | 92344WAB7 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GILEAD SCIENCES | 375558BC6 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| Glaxosmithkline C | 377372AH0 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| GOLDMAN SACHS GRO VAR 26 | 38148TMB2 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| WISCONSIN STATE AAA | 97705MHY4 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| CONSTELLATION BRANDS | 21036PBE7 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| FEDERAL NTNL MO | 3135G0K36 | Convertible/ | 25,000 | $26,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 706 | $25,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 456 | $25,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 500 | $25,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 508 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 470 | $25,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 3 04/26/2022 | 38141GWC4 | Corp Bond | 25,000 | $25,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,000 | $25,000 | thousands by filing date | |
| ACTIVISION INC | 004930202 | EQUS | 271 | $25,000 | thousands by filing date | |
| INTERNTNL BUSINESS 7-25 | 459200AM3 | CORPORATE BONDS | 20,000 | $25,000 | thousands by filing date | |
| Fifth Third Bancorp Perp Sub G | 316773CR9 | Com | 25,000 | $25,000 | thousands by filing date | |
| PHILIP MORRIS INTL INC NOTE M/W CLBL | 718172AL3 | NOTE M/W CLBL | 25,000 | $25,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC NOTE M/W CLBL | 931427AF5 | NOTE M/W CLBL | 25,000 | $25,000 | thousands by filing date | |
| LAS VEGAS VY NV WTR | 5178404K7 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| NEW YORK NY | 64966JN36 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| OH ST TPK COMM | 67760HLE9 | Convertible/ | 20,000 | $25,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RMB6 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| PLANO TEXAS INDE | 727199KH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| HOLLAND MICHIGAN EL | 435182FK1 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| HSBC HOLDINGS PLS | 404280AK5 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| WASHINGTON COUNTY O | 938240DT2 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| AVERY DENNISON CORP | 053611AB5 | Convertible/ | 20,000 | $25,000 | thousands by filing date | |
| U.S. BANCORP | 91159HHA1 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| UNITEDHEALTH GR | 91324PCH3 | Convertible/ | 25,000 | $25,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 341 | $24,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 325 | $24,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 6,000 | $24,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 90 | $24,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 1,295 | $24,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 2,584 | $24,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 456 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 635 | $24,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 200 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 348 | $24,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 445 | $24,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 2,000 | $24,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 1,000 | $24,000 | thousands by filing date | |
| GENERAL ELECTRIC COMPANY | 369604BQ5 | Common Stock | 25,000 | $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 | |
| Texas Capital Bancshares 6.5 percent Pfd | 882228406 | com | 950 | $24,000 | thousands by filing date | |
| NY ST URB DEV CORP | 650035T99 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| OH ST INFRA PROJ | 677581GK0 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| FLORIDA ST BOARD ED | 34153QCV6 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797ED3 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| DUKE ENERGY OHIO, | 172070CP7 | Convertible/ | 20,000 | $24,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 115 | $23,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 203 | $23,000 | thousands by filing date | |
| YETI HLDGS INC COM | 98585X104 | Stock | 325 | $23,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 1,000 | $23,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 723 | $23,000 | thousands by filing date | |
| Pennymac Mtg Invt Tr Pfd Ser A | 70931T301 | PRD | 900 | $23,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 1,500 | $23,000 | thousands by filing date | |
| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 885 | $23,000 | thousands by filing date | |
| PHOENIX AZ RFDG G/O | 718814Q25 | Bond | 20,000 | $23,000 | thousands by filing date | |
| TOLL BROS FINANCE CORP | 88947EAS9 | COM | 20,000 | $23,000 | thousands by filing date | |
| Innergex Renewable Energy Inc | 45790B104 | COMMON | 1,314 | $23,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370BY5 | Corporate Bond - Domestic | 20,000 | $23,000 | thousands by filing date | |
| DTE ENERGY CO PFD J | 233331800 | PFDs, REITs, | 900 | $23,000 | thousands by filing date | |
| GLADSTONE COML C | 376536603 | PFDs, REITs, | 900 | $23,000 | thousands by filing date | |
| PIMA CN AZ SWR | 721876TD2 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL | 74348YEG2 | Convertible/ | 25,000 | $23,000 | thousands by filing date | |
| ALAMEDA CORRIDOR | 010869CD5 | Convertible/ | 19,000 | $23,000 | thousands by filing date | |
| HOUSTON TX UTIL SYS | 4424354B6 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141E2V0 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| EVERSOURCE ENERG | 30040WAF5 | Convertible/ | 20,000 | $23,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 530 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 700 | $22,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,000 | $22,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 120 | $22,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 487 | $22,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 350 | $22,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 100 | $22,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 165 | $22,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $22,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 412 | $22,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 478 | $22,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 500 | $22,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 862 | $22,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 89 | $22,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 733 | $22,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 197 | $22,000 | thousands by filing date | |
| Luckin Coffee Inc | 54951L109 | Equity | 2,550 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 384 | $22,000 | thousands by filing date | |
| ANHEUSER BUSCH I 3point65percent26 DUE 02 01 26 | 035242AP1 | cb | 20,000 | $22,000 | thousands by filing date | |
| Archer-Daniels-Midland Co | 039483AR3 | Corp Bond | 17,000 | $22,000 | thousands by filing date | |
| MARICOPA AZ SD #83 | 567405GC3 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| Pinal Cn Az | 72205RBC5 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| HALIBURTON CO | 406216BJ9 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AMERICAN EXPRESS CO | 025816CF4 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| GARDEN GROVE CA | 365250AK5 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| WI ST TRANS | 977123T24 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| Glendale Az Uhsd 20 | 378334LK0 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| AT&T INC. | 00206RDD1 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| THE PROCTER & GA | 742718BH1 | Convertible/ | 18,000 | $22,000 | thousands by filing date | |
| DR PEPPER SNAPPL | 26138EAX7 | Convertible/ | 20,000 | $22,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 92 | $21,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 98 | $21,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 440 | $21,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 200 | $21,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 700 | $21,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 160 | $21,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,200 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 500 | $21,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 546 | $21,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 70 | $21,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,130 | $21,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 1,200 | $21,000 | thousands by filing date | |
| FORD MOTOR CO 4 346 26 DUE 12/08/26 | 345370CR9 | CORPORATE BONDS | 20,000 | $21,000 | thousands by filing date | |
| BAC 5 PERP | 06055H202 | PUBLIC | 779 | $21,000 | thousands by filing date | |
| TEXAS STATE B7 | 882724AZ0 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| MARRIOTT INTL INC | 571900BB4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| QUALCOMM INC | 747525AR4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 03027XAT7 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| IA ST SPL OBLIG | 46257TDZ9 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| INTEL CORP | 458140AU4 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| WILLIAMS PARTNER | 96950FAJ3 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| BAKER HUGHES HOL | 05723KAF7 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| UNIV TX | 91514AER2 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| CHUBB CORP | 00440EAS6 | Convertible/ | 20,000 | $21,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 831 | $20,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 275 | $20,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 116 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 171 | $20,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 629 | $20,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 300 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 300 | $20,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 400 | $20,000 | thousands by filing date | |
| Pitney Bowes Inc. Notes Sr | 724479506 | PFD | 800 | $20,000 | thousands by filing date | |
| CHS Inc | 12542R803 | Preferred Stock | 700 | $20,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATEGI | 76882g206 | PFD | 800 | $20,000 | thousands by filing date | |
| PITNEY BOWES INC GLOBAL MEDIUM TERM NTS | 72447XAB3 | Fixed Income | 22,000 | $20,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U304 | DEP SHS REPSTG | 900 | $20,000 | thousands by filing date | |
| JPMorgan Chase & VAR 99 Due 1 | 48127FAA1 | COM | 20,000 | $20,000 | 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 | $20,000 | thousands by filing date | |
| VERIZON NEW YORK INC DEBENTURE - UNSECURED M/W CLBL | 92344XAB5 | DEBENTURE - UNSECURED M/W CLBL | 16,000 | $20,000 | thousands by filing date | |
| JPMORGAN CHASE & CO (VARIABLE) | 46647PAW6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| SUNTRUST PREFERRE VAR | 86800XAA6 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PNC BANK (VARIABLE) | 69353RFF0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| PUBLIC SERVICE E | 74456QAP1 | Convertible/ | 16,000 | $20,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001415889-21-002180 | this filing | 2021-04-28 | acceptance time not in the bulk data set |