13F-HR filed by Prospera Financial Services Inc
Prospera Financial Services Inc filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-11, with 384 holding rows worth $510,433,000.
- Accession
- 0001541625-17-000006
- Filer
- CIK 1541625
- Filed
- 2017-01-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 384 entries on the cover page, a total value of $510,433,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $510,433,000 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 | 3,480,253 | $82,266,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 686,486 | $28,722,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 658,985 | $27,903,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 110,183 | $11,970,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 355,050 | $10,801,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 34,840 | $7,819,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 168,126 | $7,738,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 58,447 | $6,789,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 156,058 | $6,641,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 177,722 | $6,526,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 144,147 | $6,180,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 173,575 | $5,910,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 85,932 | $5,813,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 153,327 | $5,748,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 58,060 | $4,802,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 75,910 | $4,758,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 94,803 | $4,640,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 196,057 | $4,594,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 60,193 | $4,559,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 35,697 | $4,249,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 17,813 | $4,055,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 71,180 | $3,820,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 71,806 | $3,626,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 129,907 | $3,354,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 41,567 | $3,305,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B399 | DWA TACT MLT | 118,987 | $3,258,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 243,493 | $3,070,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 30,983 | $3,060,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 95,607 | $3,018,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 49,541 | $2,932,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 110,233 | $2,776,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 31,213 | $2,767,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 97,943 | $2,722,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 174,539 | $2,640,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,404 | $2,597,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 135,987 | $2,444,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 111,269 | $2,431,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 26,891 | $2,405,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 30,786 | $2,390,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 19,707 | $2,383,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 26,668 | $2,244,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 21,896 | $2,228,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 17,404 | $2,133,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 6,989 | $2,114,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 28,181 | $2,068,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 32,394 | $2,016,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 55,187 | $2,002,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 92,050 | $1,987,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 16,824 | $1,949,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 15,826 | $1,860,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 76,850 | $1,856,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 21,984 | $1,835,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 83,903 | $1,748,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 74,049 | $1,741,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 11,025 | $1,722,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 146,150 | $1,691,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 14,338 | $1,677,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 23,730 | $1,641,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 18,610 | $1,616,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 17,763 | $1,531,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 180,360 | $1,511,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 7,422 | $1,471,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 17,440 | $1,412,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 9,285 | $1,404,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 51,796 | $1,404,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 11,652 | $1,403,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 6,587 | $1,369,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 22,820 | $1,351,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 40,312 | $1,335,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 18,280 | $1,326,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 123,935 | $1,310,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 17,205 | $1,303,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 26,555 | $1,289,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 57,134 | $1,287,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 15,230 | $1,282,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 14,606 | $1,276,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 34,736 | $1,247,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 11,612 | $1,244,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 17,693 | $1,234,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 10,727 | $1,219,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 14,412 | $1,217,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 48,464 | $1,203,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,347 | $1,198,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 23,940 | $1,195,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 20,763 | $1,171,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 11,724 | $1,158,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,469 | $1,144,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 29,801 | $1,088,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 58,100 | $1,071,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 31,265 | $1,063,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 25,944 | $1,062,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 16,720 | $1,058,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 16,535 | $1,048,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 55,577 | $1,045,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 6,000 | $1,044,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 61,495 | $1,042,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 9,952 | $1,041,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 9,815 | $1,040,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 9,304 | $1,035,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 29,762 | $1,032,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 10,421 | $1,006,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 13,363 | $993,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 30,618 | $990,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 54,357 | $974,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 11,219 | $961,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 12,470 | $940,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 14,376 | $929,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 22,808 | $921,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 5,162 | $920,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 17,517 | $915,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 11,940 | $913,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 23,707 | $905,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 25,620 | $902,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 16,181 | $892,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 24,331 | $890,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 15,082 | $875,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 50,026 | $870,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 5,380 | $866,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 25,772 | $837,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 34,100 | $828,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 86,450 | $811,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 21,115 | $789,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 8,495 | $788,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 46,615 | $785,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 974 | $776,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 16,923 | $775,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 66,988 | $760,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 39,100 | $740,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 18,822 | $735,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 18,380 | $734,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 10,422 | $726,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 11,495 | $716,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 23,613 | $713,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 4,218 | $704,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 7,630 | $697,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 46,600 | $692,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 12,324 | $689,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 21,050 | $689,000 | thousands by filing date | |
| PIMCO DIVERSIFIED INCOME ACTIVE EXCHANGE-TRADED FUND | 72201R726 | ETF | 14,017 | $689,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 17,499 | $688,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 34,600 | $669,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 24,778 | $669,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,275 | $668,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 17,062 | $667,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 6,587 | $667,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 24,451 | $667,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 8,789 | $666,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 24,108 | $649,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 13,096 | $644,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 12,962 | $636,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 13,949 | $634,000 | thousands by filing date | |
| VTI | 922908769 | COM | 5,380 | $623,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 4,215 | $621,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 4,097 | $599,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 25,606 | $598,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 42,025 | $597,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 47,942 | $590,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,657 | $589,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 23,266 | $588,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 14,071 | $584,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 5,247 | $581,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 12,904 | $577,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,291 | $576,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 5,365 | $569,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,502 | $567,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 10,419 | $555,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 14,650 | $553,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 8,202 | $552,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 16,382 | $552,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 2,910 | $548,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 54,415 | $535,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 7,206 | $526,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 101,807 | $525,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 6,240 | $524,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q585 | SPROTT JR GLD | 13,900 | $517,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,230 | $512,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 5,877 | $508,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 4,687 | $508,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 6,379 | $507,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 14,220 | $506,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,720 | $503,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 6,318 | $502,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 6,870 | $500,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 10,626 | $499,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 4,199 | $497,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 5,704 | $495,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 13,650 | $495,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,050 | $494,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 5,829 | $494,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,291 | $492,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 11,222 | $490,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 9,678 | $487,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 49,200 | $482,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 4,672 | $480,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 73,220 | $480,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 5,907 | $478,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 8,411 | $470,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 7,136 | $467,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 4,062 | $467,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,846 | $459,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 11,327 | $456,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 21,216 | $450,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 6,220 | $450,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 12,472 | $450,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 22,065 | $446,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 18,275 | $443,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 11,799 | $442,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,748 | $440,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 4,400 | $438,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 4,765 | $435,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 3,830 | $422,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 13,957 | $415,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 5,756 | $409,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 27,309 | $408,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 27,700 | $400,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,843 | $396,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 6,811 | $395,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 50,172 | $395,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 17,599 | $394,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 5,397 | $393,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 11,522 | $392,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 8,108 | $390,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 15,901 | $390,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 5,442 | $385,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 12,541 | $385,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 14,225 | $385,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 6,813 | $383,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 279 | $383,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,665 | $380,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 40,457 | $380,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 4,417 | $377,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 10,332 | $377,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 17,530 | $370,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 3,492 | $369,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,186 | $369,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 4,208 | $367,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,535 | $364,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,653 | $362,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 5,778 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 8,589 | $359,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 13,480 | $356,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 22,850 | $354,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,079 | $352,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,720 | $348,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,990 | $346,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 13,625 | $342,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 8,166 | $341,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 4,558 | $339,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 147,125 | $338,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 10,457 | $337,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 5,831 | $337,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 5,421 | $329,000 | thousands by filing date | |
| IJH | 464287507 | COM | 1,964 | $327,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 2,418 | $324,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 17,034 | $323,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 5,383 | $323,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 9,750 | $322,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 6,135 | $316,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,147 | $312,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 40,300 | $311,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 2,249 | $310,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,370 | $310,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 3,495 | $310,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,071 | $309,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 21,840 | $309,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 5,014 | $306,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 386 | $305,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 9,205 | $305,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 5,226 | $305,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,662 | $304,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 28,805 | $300,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 13,573 | $298,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,102 | $297,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 2,599 | $296,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 5,527 | $295,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,266 | $293,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 14,560 | $292,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,003 | $291,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 19,302 | $291,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 7,274 | $287,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 7,786 | $286,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 5,923 | $286,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,540 | $284,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 22,207 | $280,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 5,040 | $280,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 7,570 | $278,000 | thousands by filing date | |
| ARCONIC INC | 03965L308 | PREFERRED STOCK | 8,561 | $278,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 5,142 | $273,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 2,029 | $272,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 6,297 | $272,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 2,048 | $269,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 6,474 | $269,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 982 | $268,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 12,515 | $265,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 15,400 | $259,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,211 | $255,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,566 | $255,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,519 | $251,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 45,475 | $251,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 11,108 | $251,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 3,017 | $249,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 9,797 | $249,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 4,323 | $248,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 4,109 | $245,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $245,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 4,770 | $244,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 4,388 | $243,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,113 | $243,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,975 | $241,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 3,000 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 13,856 | $239,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 7,380 | $239,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 12,084 | $238,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 3,535 | $237,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 4,949 | $236,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 184,100 | $236,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 12,380 | $235,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 3,764 | $234,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 25,820 | $233,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 36,131 | $231,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 15,343 | $231,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 16,971 | $231,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 89,085 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,116 | $229,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 5,137 | $228,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,880 | $227,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,932 | $227,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 12,298 | $227,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,056 | $227,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 24,483 | $225,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 40,190 | $224,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,156 | $222,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 2,765 | $220,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 19,000 | $220,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 5,313 | $220,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 7,972 | $219,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 8,000 | $218,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 17,051 | $217,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 5,718 | $216,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 1,867 | $215,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 22,915 | $214,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 10,114 | $214,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 3,062 | $213,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 1,689 | $211,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 1,205 | $211,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 14,580 | $208,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 6,565 | $208,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 3,000 | $208,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 175 | $207,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 2,502 | $207,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,968 | $207,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,765 | $206,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,052 | $206,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 40,000 | $206,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 3,580 | $204,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 8,000 | $203,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 8,000 | $203,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 8,000 | $202,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 8,000 | $202,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 854 | $200,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 9,728 | $200,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 13,991 | $200,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 10,208 | $174,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 26,750 | $174,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 23,610 | $169,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 12,507 | $159,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 11,250 | $157,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 25,330 | $156,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 15,962 | $153,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 15,177 | $152,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,431 | $142,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 40,500 | $142,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,505 | $136,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 10,270 | $112,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 75,977 | $108,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 10,200 | $105,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 120,000 | $104,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 100,000 | $101,000 | thousands by filing date | principal |
| NOKIA CORP | 654902204 | SPONSORED ADR | 19,994 | $98,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 10,467 | $82,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,000 | $57,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 12,200 | $56,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,800 | $37,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 30,000 | $16,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001541625-17-000006 | this filing | 2017-01-11 | acceptance time not in the bulk data set |