13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-07, with 852 holding rows worth $1,298,154,000.
- Accession
- 0001420506-18-000080
- Filer
- CIK 1449126
- Filed
- 2018-02-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 852 entries on the cover page, a total value of $1,298,154,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,298,154,000 with VALUE read as thousands by filing date, 13F file number 028-16541. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288489 | INTL DEV RE ETF | 13,429 | $403,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 4,547 | $400,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 11,519 | $399,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 16,273 | $399,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 19,003 | $398,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 5,426 | $398,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 6,202 | $398,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 5,625 | $396,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 16,247 | $393,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 22,034 | $393,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 24,354 | $393,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 8,068 | $392,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 18,047 | $390,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 40,506 | $390,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 2,917 | $388,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 11,811 | $387,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 18,292 | $385,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 3,485 | $384,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 7,839 | $383,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 15,259 | $381,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 2,094 | $376,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,258 | $375,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 11,003 | $375,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 5,307 | $372,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 6,690 | $369,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 6,969 | $366,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,506 | $366,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,548 | $364,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,734 | $364,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 6,498 | $362,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 7,463 | $361,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 11,761 | $361,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 4,117 | $357,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 17,662 | $357,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 3,132 | $356,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,428 | $355,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 24,868 | $354,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 10,851 | $354,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 26,343 | $354,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 8,525 | $352,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 21,974 | $351,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 3,298 | $350,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,340 | $350,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 201 | $349,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 12,454 | $348,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 54,680 | $347,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 5,961 | $345,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 2,240 | $344,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 6,497 | $344,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 5,824 | $344,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,694 | $343,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,100 | $342,000 | thousands by filing date | call |
| Schlumberger Limited | 806857108 | COM | 5,063 | $341,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,632 | $341,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,989 | $340,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 2,681 | $339,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 14,427 | $338,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 9,005 | $337,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 3,765 | $336,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,877 | $336,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 7,387 | $334,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 16,940 | $333,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 2,337 | $333,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,428 | $332,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 30,564 | $330,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 20,291 | $330,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 35,657 | $329,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,764 | $327,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 2,660 | $327,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,394 | $326,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 2,105 | $325,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 7,812 | $325,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B746 | KBW BK PORT | 5,912 | $325,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,219 | $324,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 1,800 | $323,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 11,011 | $323,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 21,590 | $322,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 6,530 | $322,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 8,516 | $321,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 3,372 | $320,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 994 | $317,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,579 | $316,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 9,164 | $316,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 5,144 | $315,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 8,891 | $313,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 7,562 | $313,000 | thousands by filing date | |
| ANDEAVOR | 03349M105 | COM | 2,735 | $313,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 6,135 | $310,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 5,528 | $310,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 5,779 | $309,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 25,702 | $309,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,455 | $308,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 5,392 | $306,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 7,057 | $306,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 6,285 | $306,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 3,569 | $306,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 12,295 | $306,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,972 | $305,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 5,805 | $305,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 1,337 | $304,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 1,363 | $303,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 8,743 | $303,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 3,315 | $301,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 15,835 | $300,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 4,957 | $300,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,214 | $299,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,362 | $299,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 6,586 | $299,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 10,843 | $299,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 4,000 | $298,000 | thousands by filing date | call |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 7,575 | $298,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 5,911 | $298,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 20,497 | $297,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 3,244 | $297,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 2,638 | $295,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,314 | $294,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 4,594 | $294,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 14,050 | $292,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,559 | $291,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 11,110 | $289,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,895 | $289,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,951 | $288,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 8,305 | $288,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 5,611 | $288,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 3,022 | $287,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,454 | $287,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 14,150 | $287,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,875 | $285,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 13,495 | $285,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 11,698 | $285,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 14,348 | $285,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,895 | $284,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 38,000 | $284,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,247 | $282,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 2,767 | $282,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,606 | $281,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,522 | $281,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 2,548 | $280,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 20,019 | $280,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 13,822 | $279,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 16,847 | $278,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 3,029 | $277,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 9,014 | $277,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 11,298 | $277,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 5,023 | $275,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 3,348 | $275,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 12,525 | $275,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,691 | $274,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 19,972 | $274,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,614 | $273,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 6,223 | $272,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 19,765 | $272,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 7,740 | $272,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 2,142 | $270,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 5,122 | $269,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 7,370 | $268,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 12,299 | $268,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 6,426 | $266,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 4,913 | $265,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 9,674 | $264,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 1,516 | $263,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 7,201 | $263,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,934 | $263,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 29,582 | $263,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 5,227 | $262,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 6,224 | $262,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 22,834 | $260,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 18,983 | $259,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,959 | $259,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 11,254 | $257,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 8,119 | $257,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,245 | $255,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 6,587 | $255,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 5,906 | $254,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 6,016 | $254,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,641 | $254,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 8,274 | $254,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 5,248 | $254,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 2,267 | $253,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 5,229 | $251,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 27,300 | $251,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 15,010 | $249,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,886 | $249,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,600 | $249,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 4,362 | $248,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 12,547 | $248,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 3,110 | $247,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 4,433 | $246,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 23,879 | $245,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 3,393 | $245,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 4,503 | $243,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 2,120 | $243,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 35,846 | $242,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 24,130 | $242,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 3,100 | $241,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 3,779 | $240,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,017 | $240,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,251 | $240,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 4,241 | $239,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 1,520 | $238,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 2,680 | $238,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 2,346 | $238,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,355 | $237,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 11,120 | $237,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 26,089 | $237,000 | thousands by filing date | |
| THOR INDS INC | 885160101 | COM | 1,563 | $236,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 4,585 | $235,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,358 | $235,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 8,980 | $234,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 11,675 | $234,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,680 | $233,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,910 | $232,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,851 | $232,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 3,576 | $231,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 1,658 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,566 | $231,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,337 | $230,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,086 | $230,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 15,027 | $230,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 1,221 | $229,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 11,774 | $229,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 6,869 | $227,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 7,818 | $227,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 15,667 | $226,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,722 | $224,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 3,473 | $224,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 3,396 | $224,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 3,495 | $223,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 6,301 | $223,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 4,496 | $222,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,011 | $221,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 3,150 | $221,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 4,265 | $220,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 3,802 | $220,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 3,185 | $220,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 3,023 | $219,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 5,500 | $219,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 17,655 | $219,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 3,725 | $218,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 10,500 | $218,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 9,730 | $218,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 16,711 | $218,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 4,520 | $217,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 16,686 | $217,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 13,662 | $217,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 2,944 | $215,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 2,799 | $215,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 15,291 | $215,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 14,076 | $215,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 1,520 | $215,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 1,897 | $214,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 11,305 | $214,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 1,889 | $213,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,599 | $212,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 162 | $212,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 157,200 | $211,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,223 | $210,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 12,810 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 7,670 | $210,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 9,237 | $210,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 18,659 | $209,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 2,986 | $209,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,226 | $208,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 6,840 | $208,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 15,203 | $207,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 3,211 | $206,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 4,660 | $205,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 14,841 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 10,153 | $203,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,017 | $203,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 10,620 | $203,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 8,825 | $203,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 8,013 | $201,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 25,323 | $201,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 3,352 | $200,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 5,106 | $200,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 23,249 | $199,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 10,075 | $197,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 22,395 | $194,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 15,670 | $191,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 38,294 | $191,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,248 | $186,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 13,781 | $184,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 10,631 | $183,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 12,662 | $183,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 13,303 | $173,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,098 | $171,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 20,645 | $166,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 16,085 | $163,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 52,017 | $162,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 16,450 | $156,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 13,881 | $155,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,325 | $153,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 12,402 | $153,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 11,355 | $152,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 12,624 | $150,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 15,552 | $148,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 65,011 | $148,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 28,200 | $147,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 27,739 | $145,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 75,400 | $144,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 18,914 | $142,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 23,868 | $139,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 155,093 | $138,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 23,367 | $137,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 11,969 | $137,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 11,768 | $136,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 10,858 | $124,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 28,565 | $123,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 18,754 | $123,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 11,220 | $122,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 11,122 | $122,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 22,614 | $121,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 11,000 | $114,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 11,493 | $113,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,581 | $112,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 13,657 | $111,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 33,344 | $109,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,755 | $109,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 11,225 | $104,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 14,104 | $102,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 50,172 | $99,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 14,236 | $96,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,340 | $93,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 15,100 | $89,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 15,110 | $87,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 10,288 | $86,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 12,892 | $84,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 11,398 | $84,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 39,400 | $84,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 43,492 | $77,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 30,000 | $76,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 11,323 | $70,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 44,463 | $69,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 17,234 | $68,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 11,130 | $66,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,109 | $62,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 20,350 | $57,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 17,529 | $55,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 11,804 | $52,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 17,523 | $50,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 10,064 | $49,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $48,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 18,621 | $44,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 14,472 | $43,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 13,514 | $42,000 | thousands by filing date | |
| AURIS MED HLDG AG | H03579101 | COM | 55,000 | $32,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 13,276 | $31,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 20,000 | $20,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,452 | $19,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 12,050 | $15,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 16,278 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-18-000080 | this filing | 2018-02-07 | acceptance time not in the bulk data set |