13F-HR filed by Sargent Investment Group, LLC
Sargent Investment Group, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-29, with 138 holding rows worth $222,691,000.
- Accession
- 0001766157-19-000002
- Filer
- CIK 1766157
- Filed
- 2019-10-29
- 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, 138 entries on the cover page, a total value of $222,691,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $222,691,000 with VALUE read as thousands by filing date, 13F file number 028-19098. 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 |
|---|---|---|---|---|---|---|
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 70,523 | $11,841,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 3,324,890 | $11,122,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 407,927 | $10,427,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 198,061 | $9,673,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 39,736 | $8,900,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 465,620 | $8,234,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 4,494 | $7,801,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 360,139 | $6,711,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 680,675 | $6,569,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 186,696 | $5,163,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 98,250 | $4,954,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 54,051 | $4,522,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 32,319 | $4,493,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 535,645 | $4,443,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 82,725 | $4,152,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 61,506 | $3,810,000 | thousands by filing date | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 177,195 | $3,774,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 355,105 | $3,690,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 637,111 | $3,377,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 88,290 | $3,344,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 209,121 | $3,315,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 2,451 | $2,988,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 19,850 | $2,568,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 44,452 | $2,524,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 91,492 | $2,492,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 18,851 | $2,237,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 111,775 | $2,216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 15,651 | $2,107,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 82,394 | $1,996,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 88,660 | $1,860,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 53,247 | $1,653,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 6,892 | $1,599,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 10,885 | $1,583,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 4,225 | $1,583,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 151,975 | $1,581,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 5,291 | $1,524,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 295,915 | $1,488,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 28,465 | $1,480,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 11,725 | $1,458,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 28,088 | $1,447,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 26,370 | $1,436,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 152,855 | $1,367,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 11,338 | $1,334,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 7,311 | $1,302,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 74,855 | $1,233,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 59,100 | $1,220,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 27,249 | $1,186,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 51,580 | $1,182,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 5,409 | $1,125,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 15,767 | $1,113,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 51,750 | $1,113,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 21,032 | $1,113,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 240,800 | $1,031,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 32,541 | $963,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 73,195 | $959,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 30,070 | $951,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 19,590 | $946,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 36,769 | $940,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 31,795 | $907,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 10,332 | $904,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 3,195 | $883,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 22,210 | $876,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 9,176 | $856,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 41,535 | $841,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,169 | $825,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,936 | $797,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 54,600 | $751,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 4,474 | $736,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,310 | $728,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,930 | $703,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 4,700 | $698,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 67,500 | $668,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 5,000 | $644,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 11,366 | $625,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 504 | $615,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,828 | $615,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 20,911 | $610,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 17,115 | $597,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,975 | $587,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 9,550 | $582,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 8,855 | $577,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 4,523 | $564,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 9,150 | $550,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 9,125 | $533,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 5,106 | $524,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,180 | $515,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 8,100 | $514,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 5,685 | $503,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,192 | $500,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 14,810 | $499,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 4,000 | $497,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 13,054 | $494,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 13,705 | $492,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 6,970 | $481,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 20,745 | $450,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 20,495 | $430,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 17,658 | $420,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 16,874 | $412,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,850 | $391,000 | thousands by filing date | |
| WORLD GOLD TR | 98149E209 | SPDR GLD MINIS | 26,425 | $388,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 3,485 | $377,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 3,954 | $371,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 12,812 | $366,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,080 | $364,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,604 | $344,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,679 | $343,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,570 | $322,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,355 | $310,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,290 | $310,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 23,000 | $309,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,845 | $295,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 4,627 | $292,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 219,705 | $286,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 10,110 | $281,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 548,900 | $280,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 3,615 | $276,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,700 | $274,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,952 | $274,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,050 | $263,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 9,500 | $254,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 66,505 | $251,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,898 | $247,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,187 | $242,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 4,225 | $230,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,326 | $223,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,157 | $223,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 2,700 | $223,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 4,345 | $215,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,715 | $214,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 2,731 | $208,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,430 | $207,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 2,314 | $204,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 15,000 | $203,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 3,060 | $202,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 47,500 | $152,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 20,000 | $150,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 20,686 | $104,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,200 | $7,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001766157-19-000002 | this filing | 2019-10-29 | acceptance time not in the bulk data set |