13F-HR filed by Golden State Wealth Management, LLC
Golden State Wealth Management, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 425 holding rows worth $299,214,000.
- Accession
- 0001776033-20-000006
- Filer
- CIK 1776033
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 425 entries on the cover page, a total value of $299,214,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $299,214,000 with VALUE read as thousands by filing date, 13F file number 028-19519. 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 |
|---|---|---|---|---|---|---|
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 261,013 | $30,815,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 66,522 | $22,355,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 149,130 | $17,270,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 41,438 | $13,877,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,709 | $8,530,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 135,189 | $8,114,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 238,066 | $7,490,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 228,334 | $7,035,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 108,487 | $6,864,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 136,039 | $6,855,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 56,680 | $5,478,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 18,627 | $5,175,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 22,061 | $4,887,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,791 | $4,090,000 | thousands by filing date | |
| IJH | 464287507 | COM | 21,233 | $3,935,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 18,230 | $3,834,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 89,279 | $3,692,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 63,749 | $3,457,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 63,323 | $3,305,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 40,637 | $3,250,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 41,349 | $2,904,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 82,817 | $2,734,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X511 | YIELD ENHANCD US | 50,569 | $2,721,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 8,417 | $2,336,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 5,796 | $2,222,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 63,831 | $2,178,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 9,967 | $2,122,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,794 | $2,057,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 22,063 | $1,779,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 18,483 | $1,771,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 87,974 | $1,767,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 6,150 | $1,708,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 18,194 | $1,681,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 63,797 | $1,650,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 8,895 | $1,575,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 49,820 | $1,555,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 4,567 | $1,424,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 7,475 | $1,292,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 3,510 | $1,246,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 51,416 | $1,238,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 12,779 | $1,230,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 10,510 | $1,227,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,206 | $1,184,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 12,284 | $1,075,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 8,786 | $1,034,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 20,472 | $1,026,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 25,548 | $1,016,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,834 | $993,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 15,295 | $991,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 15,316 | $982,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 33,603 | $971,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 12,034 | $962,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 3,612 | $946,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 18,254 | $943,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,546 | $936,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 2,998 | $922,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 618 | $908,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 6,022 | $885,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 6,933 | $870,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,739 | $864,000 | thousands by filing date | |
| VTI | 922908769 | COM | 4,945 | $842,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 8,876 | $830,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 12,977 | $827,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 6,063 | $817,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 27,175 | $811,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 13,577 | $808,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 8,982 | $773,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 4,520 | $747,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 70,179 | $747,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 2,149 | $728,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,420 | $710,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 6,584 | $688,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,662 | $648,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 23,161 | $647,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 16,678 | $644,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,459 | $644,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 9,943 | $629,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 7,581 | $620,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 14,964 | $612,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,777 | $609,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 5,715 | $603,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 7,336 | $601,000 | thousands by filing date | |
| ISHARES TR | 46435G425 | COM | 7,869 | $600,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 20,410 | $582,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,864 | $575,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 2,600 | $574,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 5,990 | $567,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 15,406 | $565,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 5,186 | $564,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 14,840 | $560,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 16,985 | $556,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 23,019 | $555,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 12,672 | $548,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 36,314 | $534,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,084 | $532,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 12,116 | $530,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 13,336 | $525,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,309 | $523,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 5,916 | $508,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 7,938 | $505,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 11,082 | $489,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 2,951 | $482,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 5,336 | $480,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,399 | $476,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,837 | $467,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,565 | $460,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 2,432 | $459,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 6,086 | $438,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 21,015 | $435,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,234 | $417,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 12,072 | $414,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 10,495 | $413,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 5,209 | $409,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 2,170 | $409,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 4,008 | $402,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 2,728 | $402,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 7,975 | $401,000 | thousands by filing date | |
| Apollo Global Management Inc | 03768E105 | COM CL A | 8,850 | $396,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,214 | $390,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 15,379 | $390,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 8,209 | $380,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 1,502 | $377,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 2,449 | $377,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 6,577 | $361,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 3,716 | $356,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 18,606 | $355,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 970 | $353,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 4,242 | $351,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 3,006 | $346,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 5,000 | $335,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,745 | $334,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 3,972 | $331,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 10,812 | $331,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,328 | $328,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 11,818 | $327,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 3,687 | $325,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 11,643 | $319,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 444 | $315,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 10,244 | $315,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,095 | $312,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 5,653 | $307,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 5,386 | $299,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 4,903 | $298,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,123 | $296,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,972 | $295,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,474 | $290,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 2,244 | $289,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 1,736 | $288,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 5,266 | $286,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 9,063 | $285,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 7,780 | $284,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,048 | $284,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 55,390 | $282,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 6,515 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,711 | $269,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 4,663 | $268,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 2,260 | $267,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 4,582 | $266,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,301 | $261,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,090 | $261,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 3,258 | $260,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,460 | $259,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,907 | $258,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 1,784 | $258,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 8,760 | $256,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 9,148 | $251,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,358 | $250,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 4,100 | $247,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,039 | $247,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,483 | $247,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,078 | $244,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 3,157 | $238,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 1,210 | $238,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,057 | $237,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 3,950 | $235,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 4,599 | $234,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 6,543 | $233,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,421 | $228,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,512 | $226,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 742 | $226,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,335 | $222,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 4,709 | $221,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 2,585 | $221,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 4,900 | $219,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 8,132 | $218,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 3,883 | $213,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,074 | $212,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 2,905 | $210,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 898 | $208,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 8,842 | $208,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 941 | $204,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 1,395 | $203,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 2,397 | $199,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 2,400 | $196,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,219 | $192,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 4,845 | $192,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 6,998 | $191,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,507 | $188,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 12,972 | $182,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 4,550 | $180,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 2,976 | $179,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 1,517 | $179,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 1,468 | $179,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 2,368 | $175,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 3,086 | $172,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 8,536 | $172,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 3,845 | $171,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 1,609 | $170,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 3,840 | $169,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 2,878 | $167,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 5,646 | $167,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,884 | $158,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,136 | $156,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 1,400 | $156,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 3,581 | $155,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 10,448 | $154,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 7,931 | $152,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 1,836 | $150,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 1,891 | $150,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 3,945 | $149,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 1,920 | $148,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 6,600 | $148,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 6,600 | $146,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 2,660 | $144,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 6,600 | $144,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 6,581 | $144,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 2,176 | $142,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 5,068 | $141,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 6,617 | $141,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 2,825 | $140,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 1,336 | $139,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 2,510 | $138,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2020 CORP | 46138J502 | BULSHS 2020 CB | 6,492 | $138,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 1,971 | $136,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E362 | S&P500 HDL VOL | 4,070 | $134,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,700 | $132,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 3,329 | $125,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 2,490 | $123,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 4,405 | $121,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 4,743 | $118,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 1,401 | $113,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 10,000 | $112,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 2,192 | $111,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 3,400 | $111,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,014 | $110,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 2,181 | $109,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 3,003 | $108,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 1,396 | $108,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,774 | $106,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 2,000 | $106,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 2,005 | $105,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 1,660 | $105,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 3,425 | $105,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 3,725 | $105,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 9,550 | $103,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 6,480 | $102,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,400 | $101,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 3,975 | $101,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 3,045 | $101,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 1,151 | $100,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 4,950 | $100,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,689 | $99,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 1,902 | $96,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 2,000 | $96,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 1,899 | $95,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 3,461 | $93,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,137 | $92,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 1,673 | $91,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 3,100 | $91,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,107 | $90,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 6,308 | $90,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 1,062 | $89,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,694 | $88,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 1,900 | $88,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 1,391 | $87,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 1,900 | $87,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 2,490 | $86,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 5,435 | $86,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 1,815 | $85,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 13,500 | $85,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 3,000 | $84,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 1,408 | $82,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 9,750 | $82,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 2,635 | $82,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 2,983 | $82,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 1,031 | $81,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 7,514 | $80,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 2,754 | $79,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,894 | $77,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 1,600 | $77,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 1,006 | $77,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 2,105 | $77,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 1,484 | $77,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 3,050 | $75,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,578 | $74,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,975 | $74,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 1,970 | $72,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 11,417 | $71,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 1,744 | $71,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 1,167 | $71,000 | thousands by filing date | |
| O'Shares Global Internet | 67110P704 | COM | 1,610 | $71,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 2,091 | $70,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 1,706 | $69,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 1,095 | $68,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 2,262 | $66,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 1,040 | $66,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 4,744 | $66,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 1,011 | $65,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,022 | $63,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,500 | $63,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 1,762 | $63,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 1,133 | $60,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 6,377 | $60,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 3,700 | $60,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 4,737 | $59,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 2,215 | $58,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 5,291 | $57,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 2,321 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 4,000 | $56,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 1,080 | $55,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 1,846 | $55,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 9,016 | $54,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y888 | SPECTRUM PFD | 2,665 | $54,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 1,705 | $53,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 2,750 | $51,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 1,654 | $50,000 | thousands by filing date | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 2,800 | $50,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 2,274 | $50,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 1,047 | $49,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 2,000 | $49,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,045 | $49,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 5,920 | $49,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 1,828 | $48,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 6,759 | $48,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 1,401 | $47,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 12,000 | $46,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 1,283 | $45,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 2,567 | $44,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 5,568 | $44,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 3,653 | $44,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 1,571 | $44,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 5,950 | $44,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 1,600 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 1,118 | $42,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 1,094 | $40,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 4,000 | $40,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 1,321 | $40,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 5,814 | $39,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 2,454 | $39,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 8,150 | $37,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 2,383 | $36,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 1,050 | $36,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 2,659 | $36,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 1,229 | $36,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,875 | $34,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 1,160 | $34,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 2,577 | $34,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 1,079 | $32,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 1,500 | $32,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 1,600 | $30,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 4,133 | $30,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 3,198 | $29,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 2,671 | $29,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 1,000 | $29,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,310 | $28,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 1,125 | $28,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 2,176 | $27,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 1,029 | $26,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 1,000 | $26,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 1,781 | $26,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 1,862 | $24,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 1,379 | $24,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 1,731 | $21,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 1,215 | $21,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 1,050 | $20,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 20,476 | $20,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 4,000 | $20,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 4,430 | $20,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,214 | $19,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 1,166 | $19,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 2,300 | $19,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,811 | $19,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 2,068 | $18,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 1,500 | $18,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,077 | $18,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 1,087 | $17,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 1,150 | $16,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 1,414 | $16,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 1,413 | $15,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,100 | $14,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 1,026 | $14,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 2,729 | $14,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 1,000 | $13,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 2,088 | $13,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 2,056 | $13,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 1,084 | $12,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,872 | $12,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 1,000 | $11,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,830 | $11,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 1,708 | $10,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 1,722 | $10,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 1,025 | $10,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 1,595 | $9,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 1,058 | $8,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 2,000 | $8,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 1,400 | $8,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 1,380 | $8,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 1,400 | $7,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 1,000 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 1,600 | $7,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 1,786 | $7,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 1,000 | $6,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,446 | $6,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 1,394 | $5,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 1,000 | $5,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 1,065 | $5,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,003 | $4,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 1,000 | $4,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 12,645 | $4,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 3,000 | $4,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 1,250 | $3,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 1,000 | $3,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001776033-20-000006 | this filing | 2020-11-12 | acceptance time not in the bulk data set |