13F-HR filed by Prospera Financial Services Inc
Prospera Financial Services Inc filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-10-16, with 274 holding rows worth $371,004,000.
- Accession
- 0001541625-14-000009
- Filer
- CIK 1541625
- Filed
- 2014-10-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 274 entries on the cover page, a total value of $371,004,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $371,004,000 with VALUE read as thousands by filing date, 13F file number 028-14903. 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 1,213,713 | $24,672,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 133,613 | $17,951,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 769,705 | $17,834,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 391,457 | $17,659,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 173,911 | $17,523,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 172,793 | $17,475,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 261,003 | $17,406,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 349,617 | $17,338,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 279,751 | $9,707,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 81,292 | $8,278,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 217,854 | $8,159,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 128,919 | $5,095,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 23,949 | $4,748,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 102,031 | $4,687,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 121,500 | $4,245,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 44,888 | $3,903,000 | thousands by filing date | |
| IJH | 464287507 | COM | 28,553 | $3,855,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 47,283 | $3,786,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 184,913 | $3,516,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 125,073 | $3,307,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 124,935 | $3,296,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 29,815 | $3,253,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 33,576 | $3,087,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 47,693 | $3,026,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 56,245 | $2,793,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 30,503 | $2,590,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 42,251 | $2,487,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 91,283 | $2,432,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 100,185 | $2,401,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 34,640 | $2,284,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 29,635 | $2,129,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 40,976 | $2,023,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 111,068 | $2,000,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 16,600 | $1,954,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 30,647 | $1,874,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 45,908 | $1,859,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 27,412 | $1,854,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 16,898 | $1,848,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 22,685 | $1,731,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 17,305 | $1,726,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 173,900 | $1,722,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 88,224 | $1,647,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 15,663 | $1,632,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 63,470 | $1,535,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 35,555 | $1,487,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 15,574 | $1,371,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 43,722 | $1,356,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,841 | $1,348,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 23,876 | $1,325,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 65,479 | $1,287,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 87,941 | $1,247,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 13,100 | $1,227,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 18,878 | $1,210,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 12,163 | $1,111,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 16,803 | $1,103,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 10,736 | $1,061,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 41,867 | $1,043,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 8,699 | $995,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 37,585 | $899,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 22,183 | $894,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 15,516 | $889,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 8,720 | $864,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 11,811 | $843,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 31,851 | $838,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 56,046 | $831,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 4,795 | $826,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 12,063 | $816,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 30,426 | $814,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 20,367 | $813,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 18,483 | $812,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 12,174 | $808,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 49,212 | $800,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 7,655 | $793,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 6,785 | $789,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 4,783 | $781,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 34,504 | $779,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 36,958 | $766,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 8,036 | $760,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 7,178 | $756,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 8,587 | $744,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 30,978 | $725,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 11,220 | $708,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 6,364 | $698,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 20,551 | $691,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 6,450 | $686,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 9,430 | $674,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 22,921 | $673,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 8,844 | $670,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 7,140 | $666,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 20,203 | $663,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 25,915 | $663,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 7,669 | $641,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,271 | $640,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 8,896 | $639,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 6,988 | $634,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 7,018 | $626,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 12,732 | $616,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 11,167 | $614,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 45,000 | $611,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 6,078 | $605,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 12,310 | $597,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 6,565 | $595,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 24,362 | $592,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 15,373 | $583,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 13,301 | $577,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 26,363 | $573,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 6,342 | $571,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 12,568 | $571,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 38,761 | $571,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 25,096 | $568,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 11,949 | $559,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 18,100 | $557,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 26,000 | $557,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 47,835 | $554,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 13,547 | $544,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 20,287 | $540,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 22,925 | $538,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 8,680 | $535,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 9,571 | $530,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 10,166 | $529,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 17,473 | $528,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 11,600 | $528,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 17,243 | $525,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,754 | $520,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 62,997 | $520,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 22,531 | $508,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 23,339 | $492,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 6,755 | $486,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 4,704 | $485,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 22,120 | $483,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 11,473 | $479,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 6,808 | $475,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 11,909 | $463,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 5,934 | $462,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 20,640 | $461,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 7,666 | $458,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 8,021 | $453,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 6,829 | $451,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 5,580 | $451,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,237 | $439,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 11,045 | $439,000 | thousands by filing date | |
| VTI | 922908769 | COM | 4,310 | $436,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 7,897 | $434,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,768 | $429,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 13,311 | $428,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 19,348 | $425,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 13,059 | $423,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 15,042 | $417,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 4,502 | $405,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 4,084 | $405,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 4,570 | $403,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 4,768 | $398,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 11,979 | $394,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 4,193 | $393,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 3,591 | $393,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 15,706 | $392,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,137 | $390,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 47,003 | $386,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 8,278 | $381,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 2,100 | $374,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,921 | $371,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 279 | $370,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 9,385 | $369,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 6,682 | $369,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 3,702 | $367,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 11,069 | $360,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 14,919 | $356,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 8,500 | $354,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 10,457 | $351,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 8,842 | $351,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,925 | $348,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 7,493 | $348,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 4,464 | $347,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 5,595 | $344,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 333,000 | $343,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 4,500 | $342,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 8,344 | $341,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 12,700 | $337,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 20,620 | $337,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 12,910 | $336,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 4,524 | $334,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,539 | $331,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 3,750 | $330,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 56,640 | $330,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 5,139 | $328,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 4,162 | $327,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,888 | $327,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,859 | $326,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 13,600 | $325,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,325 | $322,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 12,466 | $322,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,956 | $321,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 3,037 | $320,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,069 | $319,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 9,771 | $312,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 10,530 | $311,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 9,683 | $310,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 8,750 | $310,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 2,951 | $308,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 4,441 | $307,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 7,766 | $306,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 15,750 | $306,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 40,050 | $302,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 9,041 | $295,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 6,530 | $294,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 4,476 | $292,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 26,320 | $289,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 5,447 | $289,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 10,956 | $283,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 10,457 | $279,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 3,722 | $278,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,844 | $276,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 8,025 | $274,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 97,158 | $274,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 5,970 | $273,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,874 | $271,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 12,000 | $270,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 5,290 | $267,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 5,000 | $264,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 36,345 | $263,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 8,580 | $263,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 639 | $262,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 10,401 | $261,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 8,175 | $259,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 4,801 | $258,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 2,080 | $250,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,652 | $250,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,000 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,362 | $247,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 1,925 | $246,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 5,640 | $245,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 3,172 | $239,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 2,000 | $237,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 4,000 | $236,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 6,062 | $235,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 5,150 | $234,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,563 | $234,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 11,989 | $234,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,350 | $233,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,099 | $232,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,642 | $231,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 7,521 | $227,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,687 | $226,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 4,850 | $225,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 30,253 | $225,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 195 | $224,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,757 | $223,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 15,090 | $223,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 7,800 | $222,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 9,653 | $220,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,957 | $218,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,804 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 4,481 | $212,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 15,000 | $212,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 14,185 | $211,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,181 | $208,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $207,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 4,025 | $207,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 3,474 | $206,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,601 | $196,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 20,462 | $184,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 26,379 | $151,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 13,125 | $136,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 11,730 | $130,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 135,000 | $95,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 37,520 | $90,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 36,223 | $60,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 14,460 | $47,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 20,973 | $44,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 17,500 | $35,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 138,762 | $28,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 20,000 | $21,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 30,000 | $18,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 10,000 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001541625-14-000009 | this filing | 2014-10-16 | acceptance time not in the bulk data set |