13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-07, with 1,112 holding rows worth $4,351,549,000.
- Accession
- 0001697723-20-000002
- Filer
- CIK 1697723
- Filed
- 2020-05-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 1,216 entries on the cover page, a total value of $4,351,549,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,351,549,000 with VALUE read as thousands by filing date, 13F file number 028-17779. 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 | 33738R506 | RISNG DIVD ACHIV | 8,035 | $206,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 2,261 | $205,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 220 | $204,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 13,541 | $203,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,406 | $203,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 5,183 | $203,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 9,328 | $203,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,741 | $202,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,144 | $202,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,653 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 10,579 | $188,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 27,262 | $187,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 14,149 | $181,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 10,149 | $179,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 18,977 | $177,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 6,600 | $172,000 | thousands by filing date | put |
| WILLIAMS COS INC COM | 969457100 | Stock | 12,081 | $171,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 11,311 | $170,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 26,772 | $163,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 40,591 | $162,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 21,691 | $161,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 37,462 | $159,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 30,228 | $156,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 11,849 | $155,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 17,250 | $152,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 19,766 | $151,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 14,275 | $149,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 12,516 | $148,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 14,475 | $148,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 15,821 | $147,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 33,205 | $144,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 17,264 | $140,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 42,371 | $139,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,401 | $130,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 15,337 | $130,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,018 | $127,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 10,331 | $126,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 16,612 | $122,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 16,970 | $122,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 18,371 | $120,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 20,311 | $115,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 12,086 | $114,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 40,194 | $112,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 33,924 | $109,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,734 | $108,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,649 | $98,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 35,108 | $97,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 12,173 | $91,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 12,189 | $91,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 52,496 | $86,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 15,365 | $81,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,333 | $81,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 20,684 | $79,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 11,000 | $78,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 20,021 | $69,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,020 | $68,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 16,537 | $68,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 15,431 | $65,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 10,970 | $62,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 19,745 | $59,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 27,335 | $58,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 24,786 | $58,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 11,311 | $57,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 16,876 | $57,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 12,748 | $54,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,384 | $51,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $51,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 53,114 | $50,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 15,934 | $49,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 29,428 | $47,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 50,491 | $43,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $39,000 | thousands by filing date | principal |
| NOKIA CORP | 654902204 | SPONSORED ADR | 12,236 | $38,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 41,633 | $38,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,075 | $38,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 13,515 | $36,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $35,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $35,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,000 | $35,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 40,000 | $35,000 | thousands by filing date | principal |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 10,931 | $33,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 21,000 | $28,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 10,744 | $28,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 11,840 | $27,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,700 | $26,000 | thousands by filing date | put |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 10,630 | $25,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 16,142 | $24,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $23,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,343 | $21,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,609 | $19,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 11,668 | $19,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 500 | $13,000 | thousands by filing date | put |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 13,321 | $11,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 56,821 | $10,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,000 | $10,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 18,912 | $7,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 10,289 | $7,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 10,000 | $6,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 25,400 | $5,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 11,990 | $5,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 22,128 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,551 | $3,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 200 | $1,000 | thousands by filing date | call |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 200 | $1,000 | thousands by filing date | call |
| DOW HLDGS INC COM | 260557103 | Stock | 400 | $1,000 | thousands by filing date | call |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 400 | $1,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Procter & Gamble Co | 742718109 | COM | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| GENERAL ELEC CO | 369604103 | COM | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| FORD MTR CO COM | 345370860 | Stock | 5 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-20-000002 | this filing | 2020-05-07 | acceptance time not in the bulk data set |