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 |
|---|---|---|---|---|---|---|
| SANTA FE CN NM | 801889NK8 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| FORD HLDG LLC | 345277AE7 | Convertible/ | 15,000 | $20,000 | thousands by filing date | |
| AUSTIN TX COD | 052403DR0 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| THE VALSPAR CORP | 920355AG9 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| BNSF, LLC | 12189LAF8 | Convertible/ | 20,000 | $20,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 200 | $19,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 66 | $19,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 875 | $19,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 387 | $19,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 465 | $19,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 100 | $19,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 450 | $19,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 122 | $19,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 522 | $19,000 | thousands by filing date | |
| US TREASU NT | 912828YS3 | NOT | 19,000 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 445 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP FIXED RT SR DEB | 530715AJ0 | Fixed Income | 17,000 | $19,000 | thousands by filing date | |
| BAT CAPITAL CORPORATION NOTE M/W CLBL | 05526DBB0 | NOTE M/W CLBL | 18,000 | $19,000 | thousands by filing date | |
| GRAND RV DAM AUTH O | 386442WM5 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| TRIBOROUGH BRIDGE & | 89602REH4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| UTAH ST | 917542VG4 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| EDISON INTERNTNL | 842400EB5 | Convertible/ | 15,000 | $19,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 152 | $18,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 127 | $18,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $18,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 10 | $18,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 750 | $18,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 200 | $18,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP NT | 655844AW8 | Fixed Income | 15,000 | $18,000 | thousands by filing date | |
| MICHIGAN ST HOSP FIN AUTH REV REF BDS REV | 59465HUL8 | REF BDS REV | 15,000 | $18,000 | thousands by filing date | |
| KKR & CO INC PRF STK SER A USD25 | 48251W203 | 6.75% PRF STK SER A USD25 | 700 | $18,000 | thousands by filing date | |
| THE ALLSTAR COR | 020002AQ4 | Convertible/ | 14,000 | $18,000 | thousands by filing date | |
| NORTHROP GRUMMAN | 872649AQ1 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| AMERICAN AIRLINES | 02378AAA5 | Convertible/ | 20,000 | $18,000 | thousands by filing date | |
| VERIZON COMMUNI | 92343VCK8 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| WASHINGTON ST | 93974DUK2 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| CHICAGO ILLINOIS O | 167593A28 | Convertible/ | 15,000 | $18,000 | thousands by filing date | |
| EXCELON GENERATION | 30161MAN3 | Convertible/ | 16,000 | $18,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 135 | $17,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 233 | $17,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 300 | $17,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 257 | $17,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 758 | $17,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 700 | $17,000 | thousands by filing date | |
| CENCORA INC | 03073E108 | COM | 142 | $17,000 | thousands by filing date | |
| RF 5.7 PERP | 7591EP704 | PUBLIC | 600 | $17,000 | thousands by filing date | |
| ORACLE CORP 2.4 09/15/2023 | 68389XBL8 | Corp Bond | 16,000 | $17,000 | thousands by filing date | |
| THE GOLDMAN SACH 5.35 32 DUE 02/15/32 | 38141EM48 | CORPORATE BONDS | 15,000 | $17,000 | thousands by filing date | |
| WELLS FARGO & COMPANY | 94974BFY1 | US94974BFY11 | 15,000 | $17,000 | thousands by filing date | |
| ALTIUS MINERALS CORP F | 020936100 | FOREIGN CANADIAN | 1,400 | $17,000 | thousands by filing date | |
| AMERICAN TOWER CO 4.4 26 | 03027XAJ9 | CORPORATE BONDS | 15,000 | $17,000 | thousands by filing date | |
| CION INVESTMENT CORPORAT ION | 17259u105 | COM | 2,220 | $17,000 | thousands by filing date | |
| DISCOVERY COMMUNICATIONS LLC NOTE M/W CLBL | 25470DAR0 | NOTE M/W CLBL | 16,000 | $17,000 | thousands by filing date | |
| NORTH TX TWY AUTH REV, FIRST TIER REF BDS | 66285WSF4 | Revenue Supported Bonds - non-taxable | 15,000 | $17,000 | thousands by filing date | |
| AZ ST CTFS PART | 040588E31 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| VIACOMCBS INC. | 124857AN3 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| BEDFORD TX | 0764653L5 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| CONSOLIDATED EDIS | 209111ED1 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| Delaware St | 246381CC9 | Convertible/ | 15,000 | $17,000 | thousands by filing date | |
| FEDEX CORP | 31428XBM7 | Convertible/ | 16,000 | $17,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 90 | $16,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 425 | $16,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 204 | $16,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 300 | $16,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 52 | $16,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 150 | $16,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 400 | $16,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 400 | $16,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 1,388 | $16,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 167 | $16,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 500 | $16,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 245 | $16,000 | thousands by filing date | |
| AON CORP | 037389103 | COMMON STOCK | 68 | $16,000 | thousands by filing date | |
| THE HOME DEPOT, 2.125 26 DUE 09/15/26 | 437076BN1 | CORPORATE BONDS | 15,000 | $16,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 1,349 | $16,000 | thousands by filing date | |
| Suncor Energy Inc. | 867229106 | COM | 779 | $16,000 | thousands by filing date | |
| INNOVATIVE INDUS 9percent PFD | 45781V200 | PRE | 500 | $16,000 | thousands by filing date | |
| BOSTON PROPERTIE 2.75.26 | 10112RAY0 | CORPORATE BONDS | 15,000 | $16,000 | thousands by filing date | |
| CINCINNATI BELL TEL CO DEB | 171875AD9 | Fixed Income | 15,000 | $16,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION NOTE | 06053FAA7 | NOTE | 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 | |
| AMERICAN HONDA F | 02665WDJ7 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| IHS INC | 451734AC1 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| WACO TX | 929831JN6 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| AUSTIN TX ISD | 052430KT1 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| CITY OF SAN ANTONIO | 7962533W0 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| CORPUS CHRISTI TX | 2201125R3 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| DELAWARE ST | 246381FV4 | Convertible/ | 15,000 | $16,000 | thousands by filing date | |
| ZOOMINFO TECHNOLOGIES INC COMMON STOCK | 98980F104 | Stock | 300 | $15,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 200 | $15,000 | thousands by filing date | |
| AVIENT CORPORATION | 05368V106 | COM | 310 | $15,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 1,500 | $15,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 384 | $15,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 55 | $15,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC 4.493 11/15/2025 | 26078JAC4 | Corp Bond | 13,000 | $15,000 | thousands by filing date | |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 500 | $15,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 450 | $15,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 600 | $15,000 | thousands by filing date | |
| SCE Trust V | 78409W201 | SCEPRK | 600 | $15,000 | thousands by filing date | |
| SANTANDER HOLDINGS USA | 80282kas5 | FIXED | 14,000 | $15,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC NOTE M/W CLBL | 98956PAL6 | NOTE M/W CLBL | 15,000 | $15,000 | thousands by filing date | |
| ANTHEM, INCpoint 3point125percent22 DUE 05 15 22 | 94973VAX5 | cb | 15,000 | $15,000 | thousands by filing date | |
| HP INCORPORATION NOTE M/W CLBL | 428236BV4 | NOTE M/W CLBL | 15,000 | $15,000 | thousands by filing date | |
| Hancock Whitney Pfd | 410120307 | PFDs, REITs, | 600 | $15,000 | thousands by filing date | |
| MARICOPA AZ SD #4 | 567137F25 | Convertible/ | 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 | |
| FORD MOTOR CREDIT C | 34540TLH3 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| WAL-MART STORES INC | 931142DD2 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| BENTON CNTY WA SD#1 | 082887NB2 | Convertible/ | 15,000 | $15,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 255 | $14,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 406 | $14,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 189 | $14,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 378 | $14,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 177 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 191 | $14,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 929 | $14,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 202 | $14,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 187 | $14,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 500 | $14,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 1,500 | $14,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 1,500 | $14,000 | thousands by filing date | |
| INTEL CORP 3 7 25 DUE 07/29/25 | 458140AS9 | CORPORATE BONDS | 13,000 | $14,000 | thousands by filing date | |
| Two Harbors Investment Corp Se | 90187B309 | Com | 550 | $14,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 250 | $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 | |
| DUKE ENERGY CORP 3point75percent24 DUE 04 15 24 | 26441CAN5 | cb | 13,000 | $14,000 | thousands by filing date | |
| THE BOEING CO | 097023CE3 | Convertible/ | 15,000 | $14,000 | thousands by filing date | |
| AT&T INC. | 00206RKD3 | Convertible/ | 15,000 | $14,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 60 | $13,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 36 | $13,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 500 | $13,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 213 | $13,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 11 | $13,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 3,000 | $13,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 45 | $13,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 35 | $13,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 1,250 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 261 | $13,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 785 | $13,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $13,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 60 | $13,000 | thousands by filing date | |
| SYNEOS HEALTH INC | 87166B102 | CL A | 165 | $13,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 624 | $13,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 575 | $13,000 | thousands by filing date | |
| LVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 502441306 | AMERICAN DEPOSITORY | 96 | $13,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 211 | $13,000 | thousands by filing date | |
| Waste Connections | 941053100 | COM | 125 | $13,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS 5.375% | G7498P119 | PUBLIC | 493 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E202 | S&P MIDCP LOW | 257 | $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 | |
| PORT AUTH NY & NJ | 73358WM50 | Convertible/ | 10,000 | $13,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 262 | $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 | |
| FERRARI N V | N3167Y103 | COM | 56 | $12,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 75 | $12,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 169 | $12,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 100 | $12,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 70 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 126 | $12,000 | thousands by filing date | |
| FERGUSON PLC NEW | G3421J106 | SHS | 97 | $12,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A103 | COM CL A | 200 | $12,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 103 | $12,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 3,000 | $12,000 | thousands by filing date | |
| US Treasury 1.625 02/15/26 02/15/2026 1.625 | 912828P46 | Fixed Income | 12,000 | $12,000 | thousands by filing date | |
| UNIVERSITY TX UNIV REVS, REV FIN SYS BDS | 91514AGP4 | Revenue Supported Bonds - non-taxable | 10,000 | $12,000 | thousands by filing date | |
| LAREDO TX | 516824DS5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| LAREDO TX | 516824GF0 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| LAREDO TX WWKS SWR | 517039TL7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| LINCOLN NE ELEC SYS | 534272J75 | 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 | |
| THE GOLDMAN SACH | 38141EQ69 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| NC MUN PWR CA ELEC | 658203X82 | 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 | |
| PIMA CN AZ USD #16 | 721863QH4 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| US CELLULAR COR PFD | 911684603 | PFDs, REITs, | 475 | $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 | |
| HUSKY ENERGY INC | 448055AD5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| IL FA REV | 45203HA28 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| FIRST TR COMBINED SER | 33735N730 | Unit Trusts | 30 | $12,000 | thousands by filing date | |
| WISCONSIN STATE | 97705MGS8 | 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 | 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 | |
| EL PASO CNTY TX | 283497T96 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 75 | $11,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 35 | $11,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 41 | $11,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 100 | $11,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 105 | $11,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 1,000 | $11,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 400 | $11,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 700 | $11,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 171 | $11,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 1,426 | $11,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 400 | $11,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 1,480 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 102 | $11,000 | thousands by filing date | |
| PUBLIC STORAG 5 05 PFDPFD SER G | 74460W669 | PREFERRED STOCK | 400 | $11,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 430 | $11,000 | thousands by filing date | |
| APARTMENT INCOME REIT CORP | 03750L109 | COM | 264 | $11,000 | thousands by filing date | |
| SOUTHERN CO JR 2017B | 842587404 | Common Stock | 400 | $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 | |
| TOTAL CAP INTL 3.7 01/15/2024 | 89153VAG4 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| HALLIBURTON CO 3.8 11/15/2025 | 406216BG5 | Corp Bond | 10,000 | $11,000 | thousands by filing date | |
| CHEMTRADE LOGISTICS INCOME | 16387P103 | COMMON STK | 2,000 | $11,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001aba9 | FIXED | 10,000 | $11,000 | thousands by filing date | |
| Brunswick Corp 6.625 Pfd | 117043505 | PFD | 400 | $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 | |
| HCA INC. | 404119BQ1 | Corporate Bond - Domestic | 10,000 | $11,000 | thousands by filing date | |
| US TREASU NT 2point125 percent 12 21 UST NOTE DUE 12 31 21 | 912828G87 | tn | 11,000 | $11,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC NOTE M/W CLBL | 237194AE5 | NOTE M/W CLBL | 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 | |
| STARBUCKS CORP | 855244AR0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| THE EMPIRE DIST E | 291641AZ1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MARICOPA AZ SD #38 | 567184KZ8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MERCK & CO., INC | 589331AS6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MESA AZ | 590485ZP6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MONTANA STATE B | 61212WAH8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| NEW YORK N Y | 64966LS77 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| NM FA ST TRANS | 64711RKU9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| OHIO ST | 677521ZJ8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| OLD NTNL BANCORP | 680033AC1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PEORIA AZ | 712838SC6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ | 718814L61 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ | 718814P26 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ WST WTR | 71883PJP3 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RNK5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PIMA COUNTY ARIZONA | 721799E80 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| RIO TINTO FIN | 76720AAG1 | 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 | |
| INTERNTNL BUSINESS | 459200HF1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| APPLE INC | 037833AL4 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| FLAGSTAFF AZ | 338423QF6 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| GENERAL MOTORS CO | 37045VAJ9 | 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 BD REGENTS UNIV | 04048RLZ7 | 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 | |
| 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 | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 384 | $10,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 240 | $10,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 211 | $10,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 74 | $10,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 200 | $10,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 607 | $10,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $10,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 100 | $10,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 100 | $10,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 400 | $10,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 150 | $10,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $10,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 546 | $10,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 1,100 | $10,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 748 | $10,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 200 | $10,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 250 | $10,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 150 | $10,000 | thousands by filing date | |
| BANK OF AMERICA 6per PFD NON-CUM PERP MTY CALL 05/16/23 @ 25 | 060505229 | Preferred | 350 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 461 | $10,000 | thousands by filing date | |
| Highland Opps & Income Fund 5.375 pct. Sr A Pfd | 43010E503 | PFD | 400 | $10,000 | thousands by filing date | |
| U S BANCORP | 902973734 | US Preferred Equity, Perpetual | 400 | $10,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY | G7945J104 | COMMON STOCK | 132 | $10,000 | thousands by filing date | |
| CHS INC. VAR P 7.1 PFDPFD SER 2 | 12542R506 | PREFERRED STOCK | 350 | $10,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $10,000 | thousands by filing date | |
| Acres Commercial Realty Corp | 00489Q201 | PFD | 400 | $10,000 | thousands by filing date | |
| DUKE ENERGY CORP $1.281 PFD | 26441C303 | PREFERRED | 400 | $10,000 | thousands by filing date | |
| TEXAS CAPITAL BK 6.50% 9/1/42 SER | 882228307 | PREFERRED STOCK | 400 | $10,000 | thousands by filing date | |
| BOSTON PROPERTIES | 101121408 | PFD | 400 | $10,000 | thousands by filing date | |
| THE GABELLI 5 125 PFDPFD SER E | 36239Q505 | PREFERRED STOCK | 400 | $10,000 | thousands by filing date | |
| SCE TRUST IV 5.375 PFD | 78409G206 | PFD | 400 | $10,000 | thousands by filing date | |
| DIVERSIFIED HEA 6.25 | 25525P305 | PRD | 400 | $10,000 | thousands by filing date | |
| ALBERTSONS INC MEDIUM TERM NTS MED | 01310QCY9 | Fixed Income | 10,000 | $10,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 400 | $10,000 | thousands by filing date | |
| SCE TR VI PFD SHS | 78410V200 | EQU | 400 | $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 | |
| DALLAS TEX WTRWKS & SWR SYS RE WTRWKS AND SWR SYS REV BD CLBL | 23542JCS2 | WTRWKS AND SWR SYS REV BD CLBL | 10,000 | $10,000 | thousands by filing date | |
| KL | 49741E104 | Equity | 290 | $10,000 | 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 | $10,000 | thousands by filing date | |
| ARIZONA WTR INFRASTRUCTURE FIN AUTH REV, WTR QUALITY REV REF BDS | 040688MM2 | Revenue Supported Bonds - non-taxable | 10,000 | $10,000 | thousands by filing date | |
| LEGG MASON INCORPORATED JR SUB NT 56 | 524901600 | Preferred Securities (MIDS, QIDS, TOPRS...) | 400 | $10,000 | thousands by filing date | |
| W R Berkley Corp 5.750 Due 06/01/56 Callable | 084423607 | Preferred Stock | 400 | $10,000 | thousands by filing date | |
| OFFICE PROPERTIES INCOME SNR NTS | 38376A202 | SNR NTS | 399 | $10,000 | thousands by filing date | |
| Ellsworth Gro Pfd | 289074205 | PFDs, REITs, | 400 | $10,000 | thousands by filing date | |
| GATX CORP PFD | 361448608 | PFDs, REITs, | 400 | $10,000 | thousands by filing date | |
| THE CHARLES SCH | 808513AG0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MARICOPA AZ CCD | 566795LL2 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MARICOPA AZ COD | 566795LV0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MI ST BLDG AUTH | 594615BA3 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| Morgan Stanley Var 26 | 6174468Q5 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| NORDSTROM, INC | 655664AS9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| NY ST DORM AUTH S/T | 64990ADN2 | 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 | |
| Pr Elec Pwr Auth | 74526QLW0 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| ROSEMONT IL | 777543SS9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| SCOTTSDALE AZ | 8104537G9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| SCOTTSDALE AZ W/ | 810526MT7 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| Global Partne Pfd | 37946R208 | PFDs, REITs, | 400 | $10,000 | thousands by filing date | |
| ARIZONA BOARD REGEN | 040484MB0 | 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 | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 77 | $9,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 15 | $9,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 75 | $9,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 124 | $9,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 126 | $9,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 295 | $9,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 300 | $9,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 100 | $9,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 100 | $9,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 22 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 146 | $9,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $9,000 | thousands by filing date | |
| PROG HOLDINGS INC | 74319R101 | COM NPV | 200 | $9,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 60 | $9,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 400 | $9,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 95 | $9,000 | thousands by filing date | |
| GENERAL MOTORS CORP | 370442105 | COMMON STOCK | 153 | $9,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 320 | $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 | |
| ATHERSYS INC | 04744L106 | COM | 5,000 | $9,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HBK0 | FIX | 8,000 | $9,000 | thousands by filing date | |
| WALMART INC | 931142EK5 | COM | 8,000 | $9,000 | thousands by filing date | |
| JP MORGAN CHASE BK VAR 34 | 48125TRP2 | Convertible/ | 10,000 | $9,000 | thousands by filing date | |
| LYB INTERNTNL FIN | 50247WAB3 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| Simon Property | 828807CS4 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| SIMON PROPERTY GROUP | 828807CW5 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| NOMURA AMERICAN FI VAR 34 | 65539ABE9 | Convertible/ | 10,000 | $9,000 | thousands by filing date | |
| Fifth Third Banc | 316773CX6 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| GENERAL MOTORS FINL | 37045XBQ8 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| Autozone, Inc. | 053332AV4 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 43 | $8,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 120 | $8,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 132 | $8,000 | thousands by filing date | |
| ROBLOX CORP CL A | 771049103 | Stock | 125 | $8,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 100 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 233 | $8,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 104 | $8,000 | thousands by filing date | |
| Bayer AG Spons ADR | 072730302 | COM | 500 | $8,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 32 | $8,000 | thousands by filing date | |
| ANHEUSER BUSCH COS INC | 035229103 | COMMON STOCK | 134 | $8,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 334 | $8,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 800 | $8,000 | thousands by filing date | |
| ALLY FINL INC | 361860208 | COM | 300 | $8,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 158 | $8,000 | thousands by filing date | |
| PANAMA REP GLOBAL BD ISIN US698299AD63 8.875 percent 09/30/27 B/E DTD 09/26/97 | 698299AD6 | COUPON BEARING - FOREIGN | 6,000 | $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 | |
| UNITED STATES CELLULAR | 911684405 | PRF | 300 | $8,000 | thousands by filing date | |
| MCDONALD'S CORP | 58013MEU4 | FIX | 7,000 | $8,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HBJ3 | BCO | 7,000 | $8,000 | thousands by filing date | |
| AT&T Pfd | 00206R409 | PFD | 312 | $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 | |
| BECTON DICKINSON & CO NOTE M/W CLBL | 075887BF5 | NOTE M/W CLBL | 7,000 | $8,000 | thousands by filing date | |
| WALT DISNEY COMPANY (THE) NOTE M/W CLBL | 254687FN1 | NOTE M/W CLBL | 7,000 | $8,000 | thousands by filing date | |
| METLIFE INC | 59156RBH0 | COM | 7,000 | $8,000 | thousands by filing date | |
| ISTAR FINANCIAL INC 7.65 PFD SHS SERIES G | 45031U705 | Preferred | 300 | $8,000 | thousands by filing date | |
| KBS REIT II MD | 002344715 | PFDs, REITs, | 3,750 | $8,000 | thousands by filing date | |
| JOHN DEERE CAPITAL | 24422EUR8 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 300 | $8,000 | thousands by filing date | |
| STARBUCKS CORP | 855244AK5 | Convertible/ | 8,000 | $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 | |
| NORTHROP GRUMMAN | 666807BM3 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| PEPSICO, INC | 713448DY1 | Convertible/ | 7,000 | $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 | |
| Amgen Inc. | 031162CQ1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| FISERV, INC | 337738AQ1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| VERIZON COMMUNI | 92343VDD3 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| Apple Inc. | 037833DB3 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| AT&T INC | 00206RHR6 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| THE PROCTER & GA | 742718EV7 | 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 | |
| BALTIMORE GAS AND | 059165DX5 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| CVS HEALTH CORP | 126650CU2 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 300 | $7,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 57 | $7,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 100 | $7,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 55 | $7,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 27 | $7,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 51 | $7,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 57 | $7,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 20 | $7,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 542 | $7,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 114 | $7,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 71 | $7,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 100 | $7,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 54 | $7,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 600 | $7,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 700 | $7,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 100 | $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 | |
| Deutsche Post AG | 25157Y202 | Equity | 130 | $7,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 1,121 | $7,000 | thousands by filing date | |
| Grayscale Bitcoin Trust (BTC) | 09173T108 | Exchange Traded Fund | 140 | $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 | |
| GENERAL MOTORS CO 6.6 36 DUE 04/01/36 | 37045VAK6 | CORPORATE BONDS | 5,000 | $7,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 800 | $7,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 267 | $7,000 | thousands by filing date | |
| EXCELSIOR MINING CORP | 300763208 | COM | 12,300 | $7,000 | thousands by filing date | |
| PRUDENTIAL FINL | 74432QBZ7 | cb | 6,000 | $7,000 | thousands by filing date | |
| John Deere Capit | 24422EUE7 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| KINDER MORGAN EN | 494550BM7 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Lockheed Martin | 539830BH1 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 247 | $7,000 | thousands by filing date | |
| MICROSOFT CORP | 594918AD6 | Convertible/ | 5,000 | $7,000 | thousands by filing date | |
| Nextera Energy C | 65339KBQ2 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Pepsico, Inc. | 713448CM8 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| Abbott Laborator | 002824BF6 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| At&T Inc. | 00206RDC3 | 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 | |
| Equinor Asa | 29446MAJ1 | Convertible/ | 7,000 | $7,000 | thousands by filing date | |
| Exelon Corp | 30161NAN1 | Convertible/ | 6,000 | $7,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 25 | $6,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 70 | $6,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 85 | $6,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 20 | $6,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 119 | $6,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 100 | $6,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 39 | $6,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 63 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 69 | $6,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 96 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 155 | $6,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 11 | $6,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 200 | $6,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 732 | $6,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 45 | $6,000 | thousands by filing date | |
| WW INTL INC | 98262P101 | COM | 200 | $6,000 | thousands by filing date | |
| GREEN THUMB INDS INC F | 39342L108 | FGC | 200 | $6,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 240 | $6,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC 3.5 01/23/2024 | 693475AV7 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| ABBVIE INC 2.9 11/06/2022 | 00287YAL3 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| MARSH & MCLENNAN COS INC SR NT 4.375 percent 03/15/29 B/E DTD 01/15/19 CLB | 571748BG6 | COUPON BEARING BOND | 5,000 | $6,000 | thousands by filing date | |
| THE HOME DEPOT, INC 3XXX | 437076BM3 | BCO | 6,000 | $6,000 | thousands by filing date | |
| Prudential PLC 6.75% PrpCl 9/0 | g7293h114 | PFD | 200 | $6,000 | thousands by filing date | |
| Telephone & Data 6.875% Cl 11/ | 879433845 | PFD | 241 | $6,000 | thousands by filing date | |
| ACE INA HOLDINGS NOTE M/W CLBL | 00440EAR8 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 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 | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| Lincoln Ntnl Cor | 534187BE8 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| TEMPE AZ | 8797094M2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| MARICOPA AZ USD #41 | 567219XY1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| MASSACHUSETTS ST | 57582PAD2 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| MORGAN STANLEY (VARIABLE) | 61760QEP5 | Convertible/ | 7,000 | $6,000 | thousands by filing date | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| PINAL CN AZ CCD | 722035ED0 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| QUEEN CRK AZ EXC | 74823YBP9 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| 3m Co | 88579YAV3 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| FRASER COMPANIES | 655422AV5 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| Frontier Communi | 177342AP7 | Convertible/ | 8,913 | $6,000 | thousands by filing date | |
| General Motors F | 37045XCL8 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| WI ST TRANS | 977123S74 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| GILEAD SCIENCES, | 375558AW3 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| Astrazeneca Plc | 046353AR9 | Convertible/ | 6,000 | $6,000 | thousands by filing date | |
| AUSTIN TX CCLG DIST | 052404MW7 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| YUMA ARIZONA MUNICIP | 988516BM1 | Convertible/ | 5,000 | $6,000 | thousands by filing date | |
| THERMO FISHER SC | 883556BR2 | Convertible/ | 6,000 | $6,000 | 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 |