13F-HR filed by NewSquare Capital LLC
NewSquare Capital LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-15, with 300 holding rows worth $551,993,000.
- Accession
- 0001546989-19-000004
- Filer
- CIK 1546989
- Filed
- 2019-10-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 300 entries on the cover page, a total value of $551,993,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $551,994,000 with VALUE read as thousands by filing date, 13F file number 028-15123. 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 |
|---|---|---|---|---|---|---|
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 656,207 | $37,994,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 608,697 | $37,070,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 84,926 | $25,203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 268,890 | $23,536,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 168,885 | $22,739,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 327,711 | $21,350,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 397,243 | $21,320,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 642,489 | $19,050,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 165,008 | $18,674,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 165,116 | $17,955,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 294,116 | $17,035,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 510,011 | $16,223,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 312,569 | $15,388,000 | thousands by filing date | |
| VTI | 922908769 | COM | 83,595 | $12,623,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 286,168 | $11,756,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 132,079 | $11,203,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 219,365 | $11,120,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 101,464 | $10,989,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 129,673 | $10,948,000 | thousands by filing date | |
| IJH | 464287507 | COM | 54,261 | $10,485,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 279,120 | $9,847,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 238,260 | $9,776,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 93,453 | $6,629,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 219,568 | $5,792,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E867 | DORSEY WRGT EMRG | 320,241 | $5,604,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 60,658 | $5,338,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 86,713 | $4,327,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 89,855 | $3,618,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 20,480 | $3,370,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 88,035 | $3,304,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 231,240 | $3,260,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 150,290 | $2,822,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 18,425 | $2,617,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 42,592 | $2,571,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 107,821 | $2,498,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 39,765 | $2,389,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 36,825 | $2,373,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 20,605 | $2,351,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 37,707 | $2,329,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 21,741 | $2,324,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 60,386 | $2,285,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 58,075 | $2,259,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 18,612 | $2,246,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 27,726 | $2,233,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 13,629 | $2,217,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 44,861 | $2,191,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 24,342 | $2,178,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 25,277 | $2,155,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 14,761 | $2,147,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 37,283 | $2,130,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 50,135 | $2,112,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 14,115 | $2,083,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 26,163 | $2,037,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 17,032 | $1,999,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 15,764 | $1,961,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 11,743 | $1,931,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 14,069 | $1,929,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 18,126 | $1,856,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 22,293 | $1,854,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 31,435 | $1,850,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 9,516 | $1,841,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 51,237 | $1,841,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 15,299 | $1,833,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 39,531 | $1,831,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 20,430 | $1,812,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 95,605 | $1,809,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 30,659 | $1,804,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 33,284 | $1,790,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 25,161 | $1,777,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 32,004 | $1,764,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 34,359 | $1,698,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 13,858 | $1,644,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 39,896 | $1,639,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 23,084 | $1,543,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 173,769 | $1,529,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 29,265 | $1,518,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 25,469 | $1,484,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 70,362 | $1,428,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 22,369 | $1,418,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 30,883 | $1,249,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 28,711 | $1,175,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 6,501 | $758,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 14,631 | $741,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 7,982 | $706,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 2,436 | $653,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 11,569 | $652,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 11,955 | $641,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 22,645 | $638,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 4,737 | $595,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,550 | $581,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 27,435 | $580,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 19,502 | $577,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 21,705 | $576,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 15,115 | $575,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 7,945 | $564,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 5,635 | $560,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 6,255 | $550,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 4,880 | $541,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 1,305 | $538,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 3,540 | $527,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 11,490 | $515,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 3,092 | $492,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 19,200 | $436,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 4,068 | $415,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 12,980 | $367,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 3,209 | $320,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 3,447 | $278,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 2,650 | $270,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 17,457 | $262,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,079 | $242,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,504 | $209,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,191 | $202,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 949 | $198,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 1,580 | $182,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 7,270 | $181,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 403 | $153,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 644 | $138,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 1,153 | $136,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,163 | $120,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,381 | $116,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 694 | $112,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,240 | $104,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 1,851 | $103,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 330 | $100,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 1,091 | $90,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 1,750 | $83,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 1,331 | $81,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 597 | $77,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 2,648 | $76,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 171 | $76,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 69,548 | $72,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 637 | $69,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 351 | $68,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 832 | $66,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 1,746 | $65,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,218 | $63,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 310 | $63,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 160 | $62,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 1,055 | $62,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 2,435 | $62,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 336 | $60,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 220 | $59,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 3,179 | $59,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 1,154 | $58,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 1,120 | $57,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 310 | $53,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 478 | $45,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 600 | $43,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 705 | $43,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 350 | $41,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 265 | $40,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 701 | $39,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 835 | $39,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 876 | $39,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 275 | $34,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 500 | $34,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 416 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 400 | $30,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 330 | $28,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 1,750 | $28,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 22 | $27,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 4,000 | $26,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 150 | $25,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 251 | $25,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 883 | $25,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 300 | $24,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 581 | $23,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 100 | $22,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 267 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 1,071 | $21,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 700 | $20,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 152 | $20,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 420 | $19,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 355 | $19,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 190 | $18,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 67 | $18,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 400 | $17,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 358 | $17,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 140 | $16,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 295 | $16,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 571 | $16,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 550 | $15,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 534 | $14,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 11 | $13,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 50 | $13,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 200 | $13,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 261 | $13,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 40 | $12,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 47 | $12,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 50 | $11,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 125 | $11,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 134 | $10,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 45 | $10,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 44 | $10,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 234 | $10,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 24 | $9,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 345 | $9,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 100 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 812 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 322 | $8,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 25 | $7,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 57 | $7,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 67 | $7,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 100 | $7,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 110 | $6,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 50 | $6,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 28 | $6,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 172 | $6,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 500 | $6,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 41 | $6,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 99 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 60 | $6,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 159 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 152 | $6,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3 | $5,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 75 | $5,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 109 | $5,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 150 | $5,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 60 | $5,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 334 | $5,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 85 | $5,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 200 | $5,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 47 | $5,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 100 | $5,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 68 | $5,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 59 | $5,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 40 | $5,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 74 | $5,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 117 | $5,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 500 | $5,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 90 | $4,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 78 | $4,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 100 | $4,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 50 | $4,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 12 | $4,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 260 | $4,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 267 | $4,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 26 | $4,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 86 | $4,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 105 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 93 | $4,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 80 | $3,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 50 | $3,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 36 | $3,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 200 | $3,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 117 | $3,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 86 | $3,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 667 | $3,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 12 | $2,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 18 | $2,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 6 | $2,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 10 | $2,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 25 | $2,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 40 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 20 | $2,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 50 | $2,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 17 | $2,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 53 | $2,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 100 | $2,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 20 | $1,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 10 | $1,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 5 | $1,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 16 | $1,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 11 | $1,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 22 | $1,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 5 | $1,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 14 | $1,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 50 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 10 | $1,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 132 | $1,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 8 | $1,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 8 | $1,000 | thousands by filing date | |
| CHARDAN HEALTHCARE ACQUISITI | 15957A207 | UNIT 12/13/2023 | 100 | $1,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Schlumberger Limited | 806857108 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab US REIT ETF | 808524847 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FORD MTR CO COM | 345370860 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCON AG ORD SHS | H01301128 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| IVERIC BIO INC | 46583P102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COTT CORP QUE | 22163N106 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BK PLC | 06746P449 | FUND | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001546989-19-000004 | this filing | 2019-10-15 | acceptance time not in the bulk data set |