13F-HR filed by Quad-Cities Investment Group, LLC
Quad-Cities Investment Group, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-17, with 871 holding rows worth $107,666,000.
- Accession
- 0001741426-18-000002
- Filer
- CIK 1741426
- Filed
- 2018-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 439,620 entries on the cover page, a total value of $107,666,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $107,666,000 with VALUE read as thousands by filing date, 13F file number 028-18795. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 500 | $22,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 224 | $22,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 330 | $22,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 551 | $22,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 2,134 | $22,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,845 | $22,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 4,859 | $22,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,606 | $22,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 300 | $22,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 323 | $21,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 201 | $21,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 300 | $21,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 400 | $21,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 365 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 143 | $21,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 1,091 | $21,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 1,529 | $21,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 300 | $21,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 380 | $21,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 654 | $21,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 157 | $20,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 206 | $20,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 272 | $20,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 300 | $20,000 | thousands by filing date | |
| SUN CMNTYS INC COM | 866674104 | REIT | 200 | $20,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 1,531 | $20,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,555 | $20,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 1,544 | $20,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 1,521 | $20,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 6,700 | $20,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 3,529 | $20,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 400 | $19,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 150 | $19,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 2,000 | $19,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 270 | $19,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 953 | $19,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 512 | $19,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 430 | $19,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 160 | $19,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 2,800 | $19,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 378 | $18,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 425 | $18,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 1,441 | $18,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 1,100 | $18,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 1,621 | $18,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 804 | $18,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 624 | $18,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,858 | $18,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 979 | $18,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 3,234 | $18,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 160 | $17,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 105 | $17,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 215 | $17,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 374 | $17,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 340 | $17,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 805 | $17,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 1,075 | $17,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 200 | $17,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 945 | $17,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 149 | $16,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 298 | $16,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 300 | $16,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 921 | $16,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 250 | $16,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 244 | $16,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,360 | $16,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 200 | $16,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 1,304 | $16,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 1,667 | $16,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 230 | $15,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 300 | $15,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 222 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 541 | $15,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 200 | $15,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 1,000 | $15,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 434 | $14,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 119 | $14,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 645 | $14,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 750 | $14,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 243 | $14,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 200 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 300 | $14,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 400 | $14,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 1,260 | $14,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 166 | $14,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 145 | $13,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 119 | $13,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 339 | $13,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 644 | $13,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 177 | $13,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 464 | $13,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 204 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 258 | $13,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 1,496 | $13,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 75 | $13,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 4,100 | $13,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 231 | $12,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 100 | $12,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 256 | $12,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 100 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 113 | $12,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 334 | $12,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 200 | $12,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 200 | $12,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 200 | $12,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 200 | $12,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 227 | $12,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 200 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 230 | $12,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 300 | $12,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 700 | $12,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 60 | $12,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,000 | $12,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 100 | $12,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,700 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 300 | $12,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 143 | $11,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 100 | $11,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 781 | $11,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 500 | $11,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 982 | $11,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 623 | $11,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 220 | $10,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 236 | $10,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 195 | $10,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 126 | $10,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 140 | $10,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 200 | $10,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 717 | $10,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 1,097 | $10,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 400 | $10,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 450 | $10,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 1,128 | $10,000 | thousands by filing date | |
| CHANTICLEER HLDGS INCORPORATED UNIT EXP 122923 | 15930P701 | COM | 1,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 146 | $9,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 400 | $9,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 412 | $9,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 152 | $9,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 100 | $9,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 106 | $9,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 4,000 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 150 | $9,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 818 | $9,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 500 | $9,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 166 | $9,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 400 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 96 | $8,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 127 | $8,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 98 | $8,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 147 | $8,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 103 | $8,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 115 | $8,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 600 | $8,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 350 | $8,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 530 | $8,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 700 | $8,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,063 | $8,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 200 | $8,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 200 | $8,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 500 | $8,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 500 | $7,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 62 | $7,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 200 | $7,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 258 | $7,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 100 | $7,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 105 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 55 | $7,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 135 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 103 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 145 | $7,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 400 | $7,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 500 | $7,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 731 | $7,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 700 | $7,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 500 | $7,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 980 | $7,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 500 | $7,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 400 | $7,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 231 | $6,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 38 | $6,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 1,000 | $6,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 300 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 210 | $6,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 400 | $6,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 375 | $6,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 600 | $6,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 893 | $6,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 34 | $6,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 100 | $6,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 200 | $6,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 300 | $6,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 362 | $6,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 80 | $5,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 59 | $5,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 356 | $5,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 104 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 176 | $5,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 200 | $5,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 1,000 | $5,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 400 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 200 | $5,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 1,052 | $5,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 408 | $5,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 500 | $5,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626g207 | CV PFD | 200 | $5,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 76 | $4,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 100 | $4,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 31 | $4,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 100 | $4,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 200 | $4,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 111 | $4,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 400 | $4,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 200 | $4,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 400 | $4,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 100 | $4,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 300 | $4,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 200 | $4,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 200 | $4,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 200 | $4,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 400 | $4,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 700 | $4,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 184 | $4,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 320 | $4,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 69 | $4,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 200 | $4,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 200 | $4,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 100 | $4,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 400 | $4,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 327 | $4,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 325 | $4,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 400 | $4,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 400 | $4,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 200 | $4,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 1,389 | $4,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 400 | $4,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 400 | $4,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 100 | $4,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 200 | $4,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 100 | $4,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 1,416 | $4,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 168 | $3,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 29 | $3,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,500 | $3,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 548 | $3,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 100 | $3,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 200 | $3,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 334 | $3,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 100 | $3,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 200 | $3,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 145 | $3,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 312 | $3,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 107 | $3,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 500 | $3,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 33 | $3,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 300 | $3,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 300 | $3,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 400 | $3,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 300 | $3,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 268 | $3,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 300 | $3,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 300 | $3,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 100 | $3,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 108 | $3,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 200 | $3,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 300 | $3,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 300 | $3,000 | thousands by filing date | |
| LASALLE HOTEL PROPERTIES | 517942108 | COM | 100 | $3,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 400 | $3,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 100 | $3,000 | thousands by filing date | |
| ISTAR INC. 8 PFD | 45031U408 | PREFERRED STOCK | 100 | $3,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 200 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 600 | $3,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CORPORAION PFD A 8.625 | 037347200 | REIT/LP | 100 | $3,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 32 | $2,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 36 | $2,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 81 | $2,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 100 | $2,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 10 | $2,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 500 | $2,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 100 | $2,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 100 | $2,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 200 | $2,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 100 | $2,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 32 | $2,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 206 | $2,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 100 | $2,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 100 | $2,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 300 | $2,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 200 | $2,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 100 | $2,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 100 | $2,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 100 | $2,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 100 | $2,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 100 | $2,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 100 | $2,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 100 | $2,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 100 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 63 | $2,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 400 | $2,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 274 | $2,000 | thousands by filing date | |
| Mkt Vctrs J P Mrgn Em | 92189F494 | COM | 117 | $2,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 100 | $2,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 100 | $2,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 100 | $2,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 400 | $2,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 111 | $2,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 118 | $2,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 12,600 | $2,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 200 | $2,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 100 | $2,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 300 | $2,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 400 | $2,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 400 | $2,000 | thousands by filing date | |
| NuStar Energy LP | 67058H201 | COM | 100 | $2,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 100 | $2,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 400 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 500 | $2,000 | thousands by filing date | |
| MAN WAH HOLDINGS LIMITED NEW SHS | G5800U107 | COM | 2,500 | $2,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 25 | $1,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 25 | $1,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 100 | $1,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 100 | $1,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 100 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 100 | $1,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 100 | $1,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 100 | $1,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 100 | $1,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 15 | $1,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 100 | $1,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 83 | $1,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 200 | $1,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 100 | $1,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 112 | $1,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 100 | $1,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 60 | $1,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 10,600 | $1,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 100 | $1,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 200 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,500 | $1,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 200 | $1,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 70 | $1,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PJT PARTNERS INC | 69343T107 | COM CL A | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOGO INC | 38046C109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATTEL INC | 577081102 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INGERSOLL-RAND PLC | G47791101 | SHS | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RENTECH INC | 760112201 | COMMON STOCK | 106 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Xcelera Inc Com Stk | G31611109 | Common / Ordinary Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIER 1 IMPORTS INC | 720279108 | COM | 117 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAYSTREAM INC | 75509Q100 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PUDA COAL INC XXX | 744674300 | Common Stock | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 76 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Harvest Oil & Gas Warrants | 41755V110 | WT | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Harvest Oil & Gas Corp | 41755V102 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Royce Value Trust Rights Exp 7 | 780991808 | WT | 11,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Premier Information Management Inc | 740513106 | COMMON STOCK | 30,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTURION GOLD HLDGS INC COM | 15643F107 | Stock | 1,600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTH ATLANTIC DRI ORDF | g6613p129 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUMATECH INCORPORATED | 444886105 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPEED COMM INCORPORATED COM NEW | 84764T304 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIFY ENERGY CORP WT EXP 050422 | 032113110 | Common Stock | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMPLIFY ENERGY CORP | 032113102 | COMMON | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOMES FOR AMER HLDGS INCORPORATED | 437600109 | COM | 6,333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GEOVAX LABS INC | 373678200 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORNERSTONE TOTAL RETURN FUND RIGHTS 06/28/18 | 21924U862 | COM | 228 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001741426-18-000002 | this filing | 2018-10-17 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001741426-18-000003 | base | 2018-10-18 | acceptance time not in the bulk data set |