13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-05, with 1,263 holding rows worth $6,470,195,000.
- Accession
- 0001697723-20-000003
- Filer
- CIK 1697723
- Filed
- 2020-08-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 1,369 entries on the cover page, a total value of $6,470,195,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,470,195,000 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 |
|---|---|---|---|---|---|---|
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,849 | $319,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 15,230 | $318,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 9,000 | $316,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 9,848 | $315,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 13,911 | $314,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 11,886 | $313,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 1,043 | $311,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 11,771 | $309,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 2,086 | $309,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 3,214 | $308,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 8,536 | $308,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 13,809 | $308,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 5,032 | $307,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 22,436 | $307,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 13,658 | $305,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 20,400 | $305,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 5,876 | $303,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G656 | S&P ULTRA DIVIDE | 10,975 | $302,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 3,208 | $301,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 5,137 | $300,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 7,791 | $300,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 3,426 | $298,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 2,687 | $297,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,824 | $297,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 4,637 | $294,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 7,114 | $294,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 4,616 | $293,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 100,000 | $293,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 6,110 | $292,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 11,610 | $292,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,205 | $291,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 35,600 | $290,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 13,593 | $290,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 53,177 | $290,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 4,758 | $289,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 4,540 | $289,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 13,252 | $289,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,574 | $288,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 1,106 | $286,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 6,047 | $286,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 21,452 | $285,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 5,663 | $282,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 8,092 | $280,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 4,786 | $280,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,744 | $280,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 20,369 | $280,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,861 | $279,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,879 | $278,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,762 | $275,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,540 | $275,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 3,530 | $275,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 9,061 | $274,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 5,307 | $274,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 4,338 | $273,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 4,135 | $273,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,314 | $272,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 10,238 | $272,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 5,000 | $272,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 5,629 | $271,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,205 | $271,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 2,082 | $270,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 7,034 | $270,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 11,010 | $268,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,919 | $268,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 2,621 | $266,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 24,259 | $264,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,141 | $263,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 23,781 | $262,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,743 | $261,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 6,044 | $261,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 2,243 | $260,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 2,571 | $259,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 8,165 | $258,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 1,429 | $258,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 12,221 | $258,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 1,976 | $257,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 741 | $257,000 | thousands by filing date | |
| ENCOMPASS HEALTH CORP COM | 29261A100 | Stock | 4,152 | $257,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 3,932 | $257,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,819 | $255,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,395 | $255,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 1,179 | $254,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 8,456 | $254,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,452 | $253,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,947 | $253,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 3,903 | $253,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,968 | $253,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,210 | $253,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 14,097 | $252,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 1,055 | $251,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,943 | $250,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 566 | $250,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 30,355 | $250,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 4,409 | $248,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,250 | $248,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 33,829 | $248,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 5,163 | $247,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 14,839 | $246,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 18,991 | $244,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 680 | $244,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 6,185 | $243,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 7,344 | $243,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,437 | $242,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 22,938 | $240,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F748 | FT VEST US EQT | 7,531 | $240,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 4,376 | $239,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 5,498 | $236,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 3,687 | $236,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 2,814 | $235,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 2,136 | $235,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 9,296 | $234,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 3,378 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,033 | $231,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 2,146 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,360 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 5,420 | $226,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 1,623 | $225,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 6,549 | $225,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 8,151 | $225,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 2,509 | $221,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 8,594 | $221,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 2,973 | $221,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 43,812 | $221,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 15,878 | $221,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 11,136 | $221,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 1,857 | $220,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 8,024 | $219,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,617 | $218,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 23,196 | $216,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 12,491 | $216,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT HEALTHCARE MOMENTUM ETF | 46137V852 | ETF | 1,771 | $216,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 14,082 | $215,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 3,629 | $215,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,070 | $213,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 16,643 | $213,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 15,444 | $212,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 4,179 | $211,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 3,436 | $211,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 7,740 | $211,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 5,885 | $209,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 3,958 | $208,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 5,947 | $208,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 9,872 | $207,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 5,315 | $207,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,746 | $206,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 6,297 | $206,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 20,022 | $205,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 17,599 | $205,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L508 | DIVERSIFID FXD | 9,727 | $205,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 3,989 | $204,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 26,424 | $204,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 11,160 | $204,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,663 | $204,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 3,933 | $204,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 10,059 | $201,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 5,671 | $201,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 10,494 | $200,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 5,847 | $200,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDI | 83012A109 | COM | 12,093 | $199,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 19,853 | $198,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 38,487 | $197,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 15,415 | $196,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 16,939 | $195,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 10,954 | $192,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 12,439 | $191,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 18,715 | $174,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 11,857 | $170,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 33,092 | $166,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 46,451 | $161,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 12,625 | $160,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 14,425 | $159,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 11,171 | $152,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 10,446 | $137,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 16,072 | $135,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 12,328 | $134,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 18,150 | $133,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,950 | $133,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 10,686 | $126,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 11,305 | $124,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,522 | $122,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 15,684 | $121,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,234 | $121,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 12,046 | $121,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 33,915 | $117,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 12,239 | $112,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 12,008 | $106,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 12,237 | $106,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 14,676 | $105,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 14,381 | $104,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 11,118 | $104,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 10,760 | $103,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 13,470 | $102,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 13,649 | $100,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 11,734 | $98,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 20,415 | $97,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 11,680 | $95,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,022 | $93,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,260 | $90,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 18,919 | $90,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,116 | $86,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 11,752 | $85,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 13,500 | $81,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,153 | $80,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,492 | $80,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 26,844 | $77,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 13,258 | $77,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 15,600 | $67,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 53,114 | $66,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 12,770 | $65,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 14,538 | $64,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 26,738 | $61,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,384 | $60,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 29,642 | $60,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,465 | $59,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 13,684 | $59,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 20,266 | $56,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 20,000 | $56,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 10,534 | $49,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 13,586 | $46,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $45,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $45,000 | thousands by filing date | principal |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 14,755 | $44,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 11,782 | $43,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 18,702 | $42,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $39,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 11,307 | $38,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 40,000 | $38,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,397 | $37,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 41,000 | $37,000 | thousands by filing date | principal |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,744 | $36,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,031 | $34,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 13,060 | $33,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 12,182 | $33,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 20,533 | $31,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,674 | $25,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 15,912 | $23,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,249 | $23,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 65,317 | $19,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 6,600 | $17,000 | thousands by filing date | put |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,000 | $16,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,700 | $10,000 | thousands by filing date | put |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 12,006 | $9,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 30,626 | $8,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 8,900 | $7,000 | thousands by filing date | put |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 4,100 | $6,000 | thousands by filing date | put |
| YUM CHINA HLDGS INC | 98850P109 | COM | 1,000 | $5,000 | thousands by filing date | call |
| POLYMET MINING CORP | 731916102 | COM | 10,551 | $4,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 11,990 | $4,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 200 | $3,000 | thousands by filing date | call |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 300 | $3,000 | thousands by filing date | call |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 16,704 | $3,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 500 | $2,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 500 | $1,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464288687 | COM | 7,200 | $0 | thousands by filing date | putValue 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. |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 100 | $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. |
| EXELON CORP COM | 30161N101 | Stock | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| HALLIBURTON CO COM | 406216101 | Stock | 300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| United States Oil Fund LP | 91232N207 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-20-000003 | this filing | 2020-08-05 | acceptance time not in the bulk data set |