SONORA INVESTMENT MANAGEMENT, LLC

13F filer, CIK 1418539, TUCSON, AZ

SONORA INVESTMENT MANAGEMENT, LLC reported $1,079,743,000 across 1,856 holdings for the quarter ended 2020-09-30, in a 13F-HR filed 2020-10-26. Its ten largest share positions make up 20.47% of the portfolio.

Filed 2020-10-26 (acceptance time not in the bulk data set), ingested 2026-10-07 18:48:21 UTC13F-HR 0001415889-20-002491

Period: 2020-09-30
Reported value: $1.08B
Holdings: 1,856
Top 10 weight: 20.47%
New: 200
Sold out: 239

Largest buys vs the previous quarter

Security	Shares change	Approx. value
AAPLadded	+225,379	$26.1M
EXACT SCIENCES CORPadded	+3,935,000	$4.63M
DIGITAL RLTY TR INC PFD SER…new	+157,378	$4.28M
NEW RELIC INCadded	+4,420,000	$4.22M
OMEROS CORPnew	+4,445,000	$3.71M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
ISIS PHARMACEUTICALS INC DELreduced	-8,798,000	-$9.02M
ZILLOW GROUP INCreduced	-2,250,000	-$4.36M
BIOMARIN PHARMACEUTICAL INCreduced	-3,650,000	-$3.63M
TWITTER INCreduced	-1,405,000	-$1.4M
ADBEreduced	-1,315	-$645K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2020

Share positions as resolved from 13F-HR 0001415889-20-002491, largest first. % of portfolio is the value over $1,079,743,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Latest event	Timeline
BB&T CORPBB&T CORP	5,000	$5K	<0.01%	0
CALIFORNIA STCALIFORNIA ST	5,000	$5K	<0.01%	0
FREMONT NEBRASKA COFREMONT NEBRASKA CO	5,000	$5K	<0.01%	0
CALIFORNIA STCALIFORNIA ST	5,000	$5K	<0.01%	0
BERKSHIRE HATHAWAY FINBERKSHIRE HATHAWAY FIN	5,000	$5K	<0.01%	0
EVEREN CAPITALEVEREN CAPITAL	69	$5K	<0.01%	0
GENERAL ELECTRICGENERAL ELECTRIC	5,000	$5K	<0.01%	0
FRELFIDELITY COVINGTON TRUST	182	$4K	<0.01%	new		Timeline
SHYGISHARES TR	99	$4K	<0.01%	-178		Timeline
IGFISHARES TR	100	$4K	<0.01%	0		Timeline
SPYGSPDR SERIES TRUST	70	$4K	<0.01%	0		Timeline
VOVANGUARD INDEX FDS	25	$4K	<0.01%	0		Timeline
VBRVANGUARD INDEX FDS	35	$4K	<0.01%	new		Timeline
NXPINXP SEMICONDUCTORS N V	31	$4K	<0.01%	-12		Timeline
BHPBHP BILLITON LIMITED	87	$4K	<0.01%	0		Timeline
TROWPRICE T ROWE GROUP INC	35	$4K	<0.01%	0		Timeline
LENLENNAR CORP	50	$4K	<0.01%	new		Timeline
CBRECBRE GROUP INC	81	$4K	<0.01%	0		Timeline
TEVATEVA PHARMACEUTICAL INDS LTD	400	$4K	<0.01%	new		Timeline
SCISERVICE CORP INTL	99	$4K	<0.01%	0		Timeline
DLBDOLBY LABORATORIES INC	63	$4K	<0.01%	0		Timeline
BF-BBROWN FORMAN CORP	50	$4K	<0.01%	0		Timeline
DISCOVER FINL SVCSDISCOVER FINL SVCS	76	$4K	<0.01%	0
SNAPSNAP INC	170	$4K	<0.01%	0		Timeline
ILFISHARES TR	192	$4K	<0.01%	new		Timeline
PBRPETROLEO BRASILEIRO S A	500	$4K	<0.01%	new		Timeline
FSTAFIDELITY COVINGTON TRUST	96	$4K	<0.01%	new		Timeline
USRTISHARES TR	83	$4K	<0.01%	-39		Timeline
WHWYNDHAM HOTELS & RESORTS INC	75	$4K	<0.01%	-204		Timeline
VIRGIN GALACTIC HLDGS INCVIRGIN GALACTIC HLDGS INC	200	$4K	<0.01%	0
HESS CORPHESS CORP	100	$4K	<0.01%	0
CMBSISHARES TR	69	$4K	<0.01%	new		Timeline
BROOKFIELD RENEWABLE COR-ABROOKFIELD RENEWABLE COR-A	75	$4K	<0.01%	new
VERINT SYS INCVERINT SYS INC	85	$4K	<0.01%	0
WW INTL INCWW INTL INC	200	$4K	<0.01%	0
CLOUDERA INCCLOUDERA INC	353	$4K	<0.01%	0
KGFHYKINGFISHER PLC-SPONS ADR	540	$4K	<0.01%	-1,189		Timeline
Keyence CorpKeyence Corp	8	$4K	<0.01%	0
ALTAGAS LTDALTAGAS LTD	300	$4K	<0.01%	0
US BANCORP 2.35 01/29/2021US BANCORP 2.35 01/29/2021	4,000	$4K	<0.01%	0
GILEAD SCIENCES INC 4.5 04/…GILEAD SCIENCES INC 4.5 04/01/2021	4,000	$4K	<0.01%	0
Aspen Insurance 5.95% Cl 7/…Aspen Insurance 5.95% Cl 7/23	146	$4K	<0.01%	0
AMERN AIRLINE 16-2 A PTTAMERN AIRLINE 16-2 A PTT	5,000	$4K	<0.01%	0
STATE STREET C 5.9 PFDPFD …STATE STREET C 5.9 PFDPFD SER D	142	$4K	<0.01%	0
CEL SCI CORPCEL SCI CORP	289	$4K	<0.01%	0
GOLDMAN SACH 6.375 PFDGOLDMAN SACH 6.375 PFD	158	$4K	<0.01%	0
ENBRIDGE IENBRIDGE I	169	$4K	<0.01%	0
MCDONALD'S CORPMCDONALD'S CORP	4,000	$4K	<0.01%	0
COSTCO WHOLESALE 2point75pe…COSTCO WHOLESALE 2point75percent2…	4,000	$4K	<0.01%	0
LOCKHEED MARTIN CORP NOTE M…LOCKHEED MARTIN CORP NOTE M/W CLBL	4,000	$4K	<0.01%	0
KBS REIT II MDKBS REIT II MD	1,500	$4K	<0.01%	0
SUNTRUST BANK (A)SUNTRUST BANK (A)	4,000	$4K	<0.01%	0
TD AMERITRADE HOLTD AMERITRADE HOL	4,000	$4K	<0.01%	0
MDRNAMDRNA	50	$4K	<0.01%	new
MICROSOFT CORPMICROSOFT CORP	3,000	$4K	<0.01%	0
QUALCOMM INCQUALCOMM INC	4,000	$4K	<0.01%	0
Global X SuperdividendGlobal X Superdividend	500	$4K	<0.01%	0
INTERCONTINENTALINTERCONTINENTAL	4,000	$4K	<0.01%	0
INTL BK RECON &INTL BK RECON &	4,000	$4K	<0.01%	0
VAN KAMPEN INSD INCMVAN KAMPEN INSD INCM	9	$4K	<0.01%	0
US TREASUR NTUS TREASUR NT	4,000	$4K	<0.01%	0
BNSF, LLCBNSF, LLC	4,000	$4K	<0.01%	0
BP CAPITAL MKTBP CAPITAL MKT	4,000	$4K	<0.01%	0
DEDEERE & CO	13	$3K	<0.01%	-4		Timeline
XLESELECT SECTOR SPDR TR	100	$3K	<0.01%	-100		Timeline
ONEQFIDELITY COMWLTH TR	7	$3K	<0.01%	0		Timeline
USHYISHARES TR	85	$3K	<0.01%	new		Timeline
SPTMSPDR SERIES TRUST	83	$3K	<0.01%	-325		Timeline
VOXVANGUARD WORLD FD	28	$3K	<0.01%	0		Timeline
NUENUCOR CORP	70	$3K	<0.01%	0		Timeline
FASTFASTENAL CO	58	$3K	<0.01%	0		Timeline
CDECOEUR MNG INC	400	$3K	<0.01%	0		Timeline
WABWABTEC	46	$3K	<0.01%	0		Timeline
LLOEWS CORP	73	$3K	<0.01%	0		Timeline
DTEDTE ENERGY CO	25	$3K	<0.01%	0		Timeline
PEGPUBLIC SVC ENTERPRISE GROUP	60	$3K	<0.01%	0		Timeline
XYZBLOCK INC	17	$3K	<0.01%	0		Timeline
CTRECARETRUST REIT INC	171	$3K	<0.01%	0		Timeline
SPYVSPDR SERIES TRUST	87	$3K	<0.01%	0		Timeline
OVVOVINTIV INC	400	$3K	<0.01%	0		Timeline
BDNBRANDYWINE RLTY TR	307	$3K	<0.01%	0		Timeline
NVCRNOVOCURE LTD	25	$3K	<0.01%	new		Timeline
AAPADVANCE AUTO PARTS INC	18	$3K	<0.01%	0		Timeline
BANRBANNER CORP	78	$3K	<0.01%	0		Timeline
INNSUMMIT HOTEL PPTYS	621	$3K	<0.01%	0		Timeline
CRANE COCRANE CO	51	$3K	<0.01%	0
ABBNYABB LTD-SPON ADR	104	$3K	<0.01%	0		Timeline
SPIPSPDR SERIES TRUST	102	$3K	<0.01%	-332		Timeline
WPX ENERGY INCWPX ENERGY INC	600	$3K	<0.01%	0
IHAKISHARES TR	90	$3K	<0.01%	0		Timeline
AMERICAN INTLAMERICAN INTL	92	$3K	<0.01%	-28
FANUYFANUC CORP-UNSP ADR	175	$3K	<0.01%	0		Timeline
CAPITAL ONE FINL CORP DEP S…CAPITAL ONE FINL CORP DEP SHS	124	$3K	<0.01%	0
Sandstorm Gold LtdSandstorm Gold Ltd	335	$3K	<0.01%	-65
PING IDENTITY HOLDING CORPPING IDENTITY HOLDING CORP	100	$3K	<0.01%	0
VLKAFVOLKSWAGEN AG	20	$3K	<0.01%	0		Timeline
NLYANNALY CAP MGMT INC PFD SER I	119	$3K	<0.01%	0		Timeline
CIT GROUP INC COM NEWCIT GROUP INC COM NEW	158	$3K	<0.01%	0
SIRIUS XM HOLDINGS INC COMSIRIUS XM HOLDINGS INC COM	614	$3K	<0.01%	0
BT Group PLCBT Group PLC	2,500	$3K	<0.01%	0
Etfmg Prime MobileEtfmg Prime Mobile	62	$3K	<0.01%	0
CREE INCCREE INC	50	$3K	<0.01%	0
RIOCFRIOCAN REAL ESTATE TRUST UT	300	$3K	<0.01%	0		Timeline
WINTRUST FINANCIAL CORP-CAL…WINTRUST FINANCIAL CORP-CALLABLE	132	$3K	<0.01%	0
AMR INV 1000 DS RP SRS A NO…AMR INV 1000 DS RP SRS A NON CUM …	120	$3K	<0.01%	0
ASPEN INSURANCE HOLDINGS LI…ASPEN INSURANCE HOLDINGS LIMIT	117	$3K	<0.01%	0
Brightsphere I 5125PFD Due …Brightsphere I 5125PFD Due 08/01/…	124	$3K	<0.01%	0
Ntnl Rural UtiliNtnl Rural Utili	2,000	$3K	<0.01%	0
US CELLULAR COR PFDUS CELLULAR COR PFD	131	$3K	<0.01%	0
Frontier CommuniFrontier Communi	8,913	$3K	<0.01%	new
WILLIS TOWERS WWILLIS TOWERS W	3,000	$3K	<0.01%	0
US TREASURYUS TREASURY	3,000	$3K	<0.01%	0
THE COCA-COLA COTHE COCA-COLA CO	3,000	$3K	<0.01%	0
FHNFIRST HORIZON CORPORATION	245	$2K	<0.01%	0		Timeline
IIPRINNOVATIVE INDL PPTYS INC	20	$2K	<0.01%	new		Timeline
BWABORGWARNER INC	61	$2K	<0.01%	0		Timeline
DRDDRDGOLD LIMITED	200	$2K	<0.01%	0		Timeline
DKDELEK US HLDGS INC NEW	221	$2K	<0.01%	0		Timeline
EPREPR PPTYS	86	$2K	<0.01%	0		Timeline
OMCOMNICOM GROUP INC	35	$2K	<0.01%	-54		Timeline
NCLHNORWEGIAN CRUISE LINE HLDGS	100	$2K	<0.01%	0		Timeline
NFGNATIONAL FUEL GAS CO	50	$2K	<0.01%	0		Timeline
SWKSTANLEY BLACK & DECKER INC	15	$2K	<0.01%	0		Timeline
UALUNITED AIRLS HLDGS INC	46	$2K	<0.01%	0		Timeline
HASHASBRO INC	30	$2K	<0.01%	0		Timeline
CDNSCADENCE DESIGN SYSTEM INC	20	$2K	<0.01%	-46		Timeline
DVNDEVON ENERGY CORP NEW	200	$2K	<0.01%	new		Timeline
TXTTEXTRON INC	50	$2K	<0.01%	-2		Timeline
PUKPRUDENTIAL PLC	64	$2K	<0.01%	-55		Timeline
ESSESSEX PPTY TR INC	12	$2K	<0.01%	0		Timeline
DXCDXC TECHNOLOGY CO	128	$2K	<0.01%	new		Timeline
TELFYTELEFONICA SA-SPON ADR	539	$2K	<0.01%	+21		Timeline
EMLPFIRST TR EXCHANGE-TRADED FD	92	$2K	<0.01%	0		Timeline
ALBALBEMARLE CORP	25	$2K	<0.01%	new		Timeline
BBHVANECK ETF TRUST	15	$2K	<0.01%	0		Timeline
PJTPJT PARTNERS INC	25	$2K	<0.01%	0		Timeline
GLNGGOLAR LNG LTD	300	$2K	<0.01%	0		Timeline
XIFRXPLR INFRASTRUCTURE LP	40	$2K	<0.01%	0		Timeline
BUNGE LTDBUNGE LTD	52	$2K	<0.01%	0
CHINA PETROLEUM AND CHEMICA…CHINA PETROLEUM AND CHEMICAL-A	56	$2K	<0.01%	0
STERICYCLE INCSTERICYCLE INC	34	$2K	<0.01%	0
NUSTAR ENERGY LPNUSTAR ENERGY LP	200	$2K	<0.01%	0
OPITQOFFICE PPTYS INCOME TR COM SHS	75	$2K	<0.01%	0		Timeline
WYNDHAM DESTINATIONS INCWYNDHAM DESTINATIONS INC	75	$2K	<0.01%	-100
NOBLE ENERGY INCNOBLE ENERGY INC	200	$2K	<0.01%	0
FTCHQFARFETCH LTD ORD SH CL A (CYM)	85	$2K	<0.01%	0		Timeline
ARLOARLO TECHNOLOGIES INC	475	$2K	<0.01%	0		Timeline
PDNINVESCO EXCH TRADED FD TR II	51	$2K	<0.01%	0		Timeline
SRVRPACER FDS TR	50	$2K	<0.01%	new		Timeline
TCEHYTENCENT HOLDINGS LTD-UNS ADR	32	$2K	<0.01%	0		Timeline
SFTBYSOFTBANK GROUP CORP-UNSP ADR	52	$2K	<0.01%	0		Timeline
TPRCAT&T INC DEP SHS REPSTG 1/1000	63	$2K	<0.01%	0		Timeline
CABGYCARLSBERG AS SPONSORED ADR CL	65	$2K	<0.01%	0		Timeline
EBIX INCEBIX INC	87	$2K	<0.01%	0
BANK AMER CORPBANK AMER CORP	66	$2K	<0.01%	0
THE HARTFORD INSURANCE GROU…THE HARTFORD INSURANCE GROUP,	55	$2K	<0.01%	0
SOSOUTHERN CO SER 2020A JR SUB N	92	$2K	<0.01%	0		Timeline
ATHATHENE HLDG LTD DEP SHS REPSTG	60	$2K	<0.01%	0		Timeline
ALTABA INCALTABA INC	100	$2K	<0.01%	0
WELLTOWER INCWELLTOWER INC	38	$2K	<0.01%	0
XEROX CORPXEROX CORP	94	$2K	<0.01%	0
FITBFIFTH THIRD BANCORP DEP SHS RE	65	$2K	<0.01%	0		Timeline
STERLING BANCORP DELSTERLING BANCORP DEL	198	$2K	<0.01%	0
AEGON NV PFDAEGON NV PFD	64	$2K	<0.01%	0
JPMORGAN CHASE 5.5% PFDJPMORGAN CHASE 5.5% PFD	65	$2K	<0.01%	0
ASSURED GUARANTY MUNIASSURED GUARANTY MUNI	84	$2K	<0.01%	0
HILTON HOTELS CORPHILTON HOTELS CORP	24	$2K	<0.01%	new
RENAISSANCERE HOLDINGS 5.37…RENAISSANCERE HOLDINGS 5.375%	93	$2K	<0.01%	0
GENERAL ELECTRI 587538 …GENERAL ELECTRI 587538 …	2,000	$2K	<0.01%	0
TWO HBRS INVT CORP CUM RED …TWO HBRS INVT CORP CUM RED PFD	88	$2K	<0.01%	0
LIGHTINGSCIENCEGROUPLIGHTINGSCIENCEGROUP	5,000	$2K	<0.01%	0
CORBUS PHARMACEUTICALS HLDGSCORBUS PHARMACEUTICALS HLDGS	1,200	$2K	<0.01%	0
MOTOROLA SOLUTIONS INCMOTOROLA SOLUTIONS INC	2,000	$2K	<0.01%	0
FITBIT INCFITBIT INC	300	$2K	<0.01%	0
ATHENE HOLDING LTD 6.35 SER…ATHENE HOLDING LTD 6.35 SER A	56	$2K	<0.01%	0
CITIZENS FCITIZENS F	83	$2K	<0.01%	0
AIR LEASE COR 6.15 PFDPFD…AIR LEASE COR 6.15 PFDPFD SER A	85	$2K	<0.01%	0
ENSTAR GROENSTAR GRO	85	$2K	<0.01%	0
Wells Fargo Co Pfd Non-Cuml…Wells Fargo Co Pfd Non-Cumlative …	68	$2K	<0.01%	0
HTG MOLECULAR DIAGNOSTICS INHTG MOLECULAR DIAGNOSTICS IN	7,000	$2K	<0.01%	0
FARMLAND PARTNERS INCFARMLAND PARTNERS INC	63	$2K	<0.01%	0
HUNTINGTON BANCSHARES INCOR…HUNTINGTON BANCSHARES INCORPORTED…	85	$2K	<0.01%	0
COLONY CAPITAL INCCOLONY CAPITAL INC	87	$2K	<0.01%	0
JPMORGAN CHASE & CO (VARIAB…JPMORGAN CHASE & CO (VARIABLE)	2,000	$2K	<0.01%	0
ALPHABET INC.ALPHABET INC.	2,000	$2K	<0.01%	0
CITIGROUP INC (VARIABLE)CITIGROUP INC (VARIABLE)	2,000	$2K	<0.01%	0
CNA FINL CORPCNA FINL CORP	2,000	$2K	<0.01%	0
CONEJO VY CA USDCONEJO VY CA USD	2,000	$2K	<0.01%	0
GLOBAL INDEMNIGLOBAL INDEMNI	85	$2K	<0.01%	0
LOS ANGELES CA MUNILOS ANGELES CA MUNI	2,000	$2K	<0.01%	0
EQUITABLE HLD PFDEQUITABLE HLD PFD	63	$2K	<0.01%	0
Fresno Ca Wtr SysFresno Ca Wtr Sys	2,000	$2K	<0.01%	0
DGROISHARES TR	31	$1K	<0.01%	new		Timeline
IEOISHARES TR	25	$1K	<0.01%	0		Timeline
SHWSHERWIN WILLIAMS CO	2	$1K	<0.01%	0		Timeline
XLUSELECT SECTOR SPDR TR	21	$1K	<0.01%	-78		Timeline
SLQDISHARES TR	1,773	$1K	<0.01%	-2,428		Timeline
EPACENERPAC TOOL GROUP CORP	61	$1K	<0.01%	0		Timeline
KRKROGER CO	16	$1K	<0.01%	0		Timeline
HBANHUNTINGTON BANCSHARES INC	77	$1K	<0.01%	0		Timeline
LSTRLANDSTAR SYS INC	7	$1K	<0.01%	0		Timeline
RFREGIONS FINANCIAL CORP NEW	127	$1K	<0.01%	0		Timeline
WSOWATSCO INC	6	$1K	<0.01%	0		Timeline
BENFRANKLIN TEMPLETON INC	73	$1K	<0.01%	0		Timeline
PRGOPERRIGO CO PLC	17	$1K	<0.01%	0		Timeline
TAPMOLSON COORS BEVERAGE CO	37	$1K	<0.01%	0		Timeline
IDVISHARES TR	41	$1K	<0.01%	0		Timeline
OSISKO GOLD ROYALTIES LTDOSISKO GOLD ROYALTIES LTD	61	$1K	<0.01%	0
OCOWENS CORNING NEW	10	$1K	<0.01%	0		Timeline
SCHVSCHWAB STRATEGIC TR	20	$1K	<0.01%	0		Timeline
ABRARBOR REALTY TRUST INC	76	$1K	<0.01%	+4		Timeline
KSSKOHLS CORP	40	$1K	<0.01%	0		Timeline
POSTPOST HLDGS INC	11	$1K	<0.01%	0		Timeline
UAAUNDER ARMOUR INC	100	$1K	<0.01%	new		Timeline
Concho Resources Inc.Concho Resources Inc.	22	$1K	<0.01%	-100
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INC	5	$1K	<0.01%	0
AVALARA INCAVALARA INC	8	$1K	<0.01%	0
DRAFTKINGS INCDRAFTKINGS INC	10	$1K	<0.01%	-123
TORTOISE MIDSTRM ENERGY FD ITORTOISE MIDSTRM ENERGY FD I	100	$1K	<0.01%	0
MNROMONRO INC	35	$1K	<0.01%	0		Timeline
SLISTANDARD LITHIUM CORP	1,000	$1K	<0.01%	0		Timeline
MICRO FOCUS INTL PLC NPV ADRMICRO FOCUS INTL PLC NPV ADR	170	$1K	<0.01%	new
SLSRSOLARIS RES INC	354	$1K	<0.01%	0		Timeline
MTRMESA RTY TR	215	$1K	<0.01%	0		Timeline
ANNALY CAP MGMT INC PFD SER…ANNALY CAP MGMT INC PFD SER F	58	$1K	<0.01%	0
AGNCOAGNC INVT CORP DEP SH REP 1/10	30	$1K	<0.01%	0		Timeline
AGNCNAGNC INVT CORP DEP SHS REPSTG	58	$1K	<0.01%	0		Timeline
REPYYREPSOL SA SPONSORED ADR	200	$1K	<0.01%	0		Timeline
ASPEN INSURANCE HOLD LIM DE…ASPEN INSURANCE HOLD LIM DEP S	31	$1K	<0.01%	0
DIAMONDS TRUST SERIES IDIAMONDS TRUST SERIES I	5	$1K	<0.01%	0
ETFMGETFMG	134	$1K	<0.01%	0
BDRFYBeiersdorf A G Unsponsored ADR	34	$1K	<0.01%	0		Timeline
KRYAYKERRY GROUP PLC SPONSORED ADR	10	$1K	<0.01%	0		Timeline
SFBSTIFEL FINL CORP SR NT (DE)	30	$1K	<0.01%	0		Timeline
AGNCAGNC INVT CORP CUM RED PFD SER	29	$1K	<0.01%	0		Timeline
Grayscale Bitcoin Trust (BT…Grayscale Bitcoin Trust (BTC)	90	$1K	<0.01%	new
FIRST REPUBLIC BANKFIRST REPUBLIC BANK	32	$1K	<0.01%	0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL	40	$1K	<0.01%	0
LIBERTY MEDIA CORP DELLIBERTY MEDIA CORP DEL	20	$1K	<0.01%	0
AMERICAN INTL GROUP INCAMERICAN INTL GROUP INC	3,410	$1K	<0.01%	0
AERIE PHARMACEUTICALS INCAERIE PHARMACEUTICALS INC	85	$1K	<0.01%	0
YAMANA GOLD INCYAMANA GOLD INC	237	$1K	<0.01%	0
Hartford Financial ServHartford Financial Serv	26	$1K	<0.01%	0
NuStar Logistics 7.625%Nts …NuStar Logistics 7.625%Nts Cl	58	$1K	<0.01%	0
SYNOVUS FINL 5.875 PFDSYNOVUS FINL 5.875 PFD	29	$1K	<0.01%	0
SCE TRUST IV 5.375 PFDSCE TRUST IV 5.375 PFD	31	$1K	<0.01%	0
Ballard Power SystemsBallard Power Systems	90	$1K	<0.01%	new
Synovus Financial Corp.Synovus Financial Corp.	28	$1K	<0.01%	0
AKCEA THERAPEUTICS INCAKCEA THERAPEUTICS INC	50	$1K	<0.01%	0
PSBZPLINK PARKS INC DEPOSITARY SH R	31	$1K	<0.01%	0		Timeline
VLYVALLEY NATL BANCORP NON CUM PE	29	$1K	<0.01%	0		Timeline
INVSC 7.75 FX FL SRS B CUM …INVSC 7.75 FX FL SRS B CUM RDM PRF	28	$1K	<0.01%	0
SOUTH JERSSOUTH JERS	30	$1K	<0.01%	0
AGNCPAGNC INVT CORP DEP SHS REPSTG	63	$1K	<0.01%	0		Timeline
TRUIST FINL CORP DEPSHSTRUIST FINL CORP DEPSHS	51	$1K	<0.01%	0
STIFEL FINANCIAL CORPORATIO…STIFEL FINANCIAL CORPORATION DSHS…	56	$1K	<0.01%	0
UNITED STATES CELLULAR SR N…UNITED STATES CELLULAR SR NT 1201…	28	$1K	<0.01%	0
URSTADT BIDDL PFDURSTADT BIDDL PFD	23	$1K	<0.01%	0
CONNECTOR 2000 SCCONNECTOR 2000 SC	1,427	$1K	<0.01%	0
CONNECTOR 2000 SCCONNECTOR 2000 SC	1,350	$1K	<0.01%	0
TCF FINL CORP PFDTCF FINL CORP PFD	29	$1K	<0.01%	0
Rivulet Media IncRivulet Media Inc	3,938	$1K	<0.01%	new
FNDESCHWAB STRATEGIC TR	4	$0	0%	-3	Value filed as zero, left out of ratios.	Timeline
REZIRESIDEO TECHNOLOGIES INC	20	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
RGAREINSURANCE GROUP AMER INC	3	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
EQNREQUINOR ASA	32	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CTRACOTERRA ENERGY INC	24	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
ARCOARCOS DORADOS HLDGS INC	101	$0	0%	+1	Value filed as zero, left out of ratios.	Timeline
HAUZDBX ETF TR	2	$0	0%	-2	Value filed as zero, left out of ratios.	Timeline
BHFBRIGHTHOUSE FINL INC	9	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
GTXGARRETT MOTION INC	12	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SSLSASOL LTD	50	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SCHCSCHWAB STRATEGIC TR	3	$0	0%	-2	Value filed as zero, left out of ratios.	Timeline
FNDCSCHWAB STRATEGIC TR	5	$0	0%	-4	Value filed as zero, left out of ratios.	Timeline
ASIXADVANSIX INC	1	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
CNDTCONDUENT INC	72	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
EOLSEVOLUS INC	100	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
KTBKONTOOR BRANDS INC	15	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
HPHELMERICH & PAYNE INC	15	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
WLKWESTLAKE CORPORATION	0	$0	0%	0	Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios.	Timeline
Mallinckrodt PlcMallinckrodt Plc	200	$0	0%	0	Value filed as zero, left out of ratios.
APACHE CORPAPACHE CORP	43	$0	0%	0	Value filed as zero, left out of ratios.
AMC ENTMT HLDGS INCAMC ENTMT HLDGS INC	100	$0	0%	new	Value filed as zero, left out of ratios.
RMRRMR GROUP INC	5	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
ARCONIC INCARCONIC INC	18	$0	0%	0	Value filed as zero, left out of ratios.
SNFCASECURITY NATL FINL CORP	24	$0	0%	+1	Value filed as zero, left out of ratios.	Timeline
OXY/WSOCCIDENTAL PETE CORP	59	$0	0%	new	Value filed as zero, left out of ratios.	Timeline
SOUHYSOUTH32 - ADR	11	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
FIRST TR EXCH TRADED FD IIIFIRST TR EXCH TRADED FD III	8	$0	0%	0	Value filed as zero, left out of ratios.
E DIGITAL CORPORATNE DIGITAL CORPORATN	300	$0	0%	0	Value filed as zero, left out of ratios.
AQUABOUNTY TECHNOLOGIES INCAQUABOUNTY TECHNOLOGIES INC	4	$0	0%	0	Value filed as zero, left out of ratios.
THORNBURG MORTGAGE INCTHORNBURG MORTGAGE INC	105	$0	0%	-60	Value filed as zero, left out of ratios.
BBUBROOKFIELD BUSINESS PARTNERS L	14	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
WASHINGTON MUTUAL INC COMMONWASHINGTON MUTUAL INC COMMON	3,550	$0	0%	0	Value filed as zero, left out of ratios.
AURORA CANNABIS INCAURORA CANNABIS INC	2	$0	0%	0	Value filed as zero, left out of ratios.
NORTEL NETWORKS CORPNORTEL NETWORKS CORP	10	$0	0%	0	Value filed as zero, left out of ratios.
SODASTREAM INTERNATIONALSODASTREAM INTERNATIONAL	200	$0	0%	0	Value filed as zero, left out of ratios.
AMARIN CORP PLCAMARIN CORP PLC	33	$0	0%	0	Value filed as zero, left out of ratios.
mPhase Technologies IncmPhase Technologies Inc	1	$0	0%	0	Value filed as zero, left out of ratios.
WELLS FARGO CO NEW DEP PFD …WELLS FARGO CO NEW DEP PFD V 1/10…	11	$0	0%	0	Value filed as zero, left out of ratios.
Novo Nordisk A/S ADRNovo Nordisk A/S ADR	250	$0	0%	0	Value filed as zero, left out of ratios.
VASOVASO CORP	2,000	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
WAVE SYS CORP CL A NEWWAVE SYS CORP CL A NEW	1	$0	0%	0	Value filed as zero, left out of ratios.
INTERNATIONAL PWR GROUP LTDINTERNATIONAL PWR GROUP LTD	2,000	$0	0%	0	Value filed as zero, left out of ratios.
Notis Global IncNotis Global Inc	100	$0	0%	0	Value filed as zero, left out of ratios.
APHRIA INCAPHRIA INC	100	$0	0%	0	Value filed as zero, left out of ratios.
NCR VOYIX CORPORATIONNCR VOYIX CORPORATION	20	$0	0%	0	Value filed as zero, left out of ratios.
LEHMAN BROTHELEHMAN BROTHE	92	$0	0%	0	Value filed as zero, left out of ratios.
ENERGOUS CORPENERGOUS CORP	100	$0	0%	0	Value filed as zero, left out of ratios.
GOL LINHAS AEREAS INTLG S AGOL LINHAS AEREAS INTLG S A	20	$0	0%	0	Value filed as zero, left out of ratios.
REGULUS THERAPEUTICS INCREGULUS THERAPEUTICS INC	16	$0	0%	0	Value filed as zero, left out of ratios.
DEAN FOODS CO NEWDEAN FOODS CO NEW	300	$0	0%	0	Value filed as zero, left out of ratios.
Polo Ralph Lauren Cl APolo Ralph Lauren Cl A	2	$0	0%	0	Value filed as zero, left out of ratios.
FUELCELL ENERGY INC COMFUELCELL ENERGY INC COM	4	$0	0%	0	Value filed as zero, left out of ratios.
ECOTALITY INCECOTALITY INC	833	$0	0%	0	Value filed as zero, left out of ratios.
HYPERDYNAMICS CORPHYPERDYNAMICS CORP	13	$0	0%	0	Value filed as zero, left out of ratios.
TEL OFFSHORE TRUSTTEL OFFSHORE TRUST	7	$0	0%	0	Value filed as zero, left out of ratios.
ABAKAN INCABAKAN INC	50,000	$0	0%	0	Value filed as zero, left out of ratios.
Conseco IncConseco Inc	7	$0	0%	0	Value filed as zero, left out of ratios.
AMERICAN POWER ORDAMERICAN POWER ORD	4,000	$0	0%	new	Value filed as zero, left out of ratios.
GLOBAL NET LEASE INCGLOBAL NET LEASE INC	18	$0	0%	0	Value filed as zero, left out of ratios.
CALIFORNIA RES CORP COMCALIFORNIA RES CORP COM	12	$0	0%	+10	Value filed as zero, left out of ratios.
PAIUTE OIL & MNG CORPPAIUTE OIL & MNG CORP	1,000	$0	0%	0	Value filed as zero, left out of ratios.
Cv Sciences Inc ComCv Sciences Inc Com	333	$0	0%	0	Value filed as zero, left out of ratios.
FSD PHARMA INCFSD PHARMA INC	161	$0	0%	-200	Value filed as zero, left out of ratios.
AMR Corp EscrowAMR Corp Escrow	800	$0	0%	0	Value filed as zero, left out of ratios.
Linnco LLC XXX Escrow Pendi…Linnco LLC XXX Escrow Pending Pos…	980	$0	0%	+200	Value filed as zero, left out of ratios.
Seventy Seven Energy-EscrowSeventy Seven Energy-Escrow	60	$0	0%	0	Value filed as zero, left out of ratios.
CORTS TR JCP 7.625per PFD …CORTS TR JCP 7.625per PFD BACKED…	700	$0	0%	0	Value filed as zero, left out of ratios.
CPI CARD GROUP INCCPI CARD GROUP INC	40	$0	0%	0	Value filed as zero, left out of ratios.
VITRO TECHVITRO TECH	500	$0	0%	0	Value filed as zero, left out of ratios.
ACTUA CORPORATIONACTUA CORPORATION	1	$0	0%	0	Value filed as zero, left out of ratios.
AKAOQACHAOGEN INC	1,000	$0	0%	0	Value filed as zero, left out of ratios.	Timeline
SIGMA LABS INCSIGMA LABS INC	2	$0	0%	0	Value filed as zero, left out of ratios.
VEREIT INCORPORATION PFD SE…VEREIT INCORPORATION PFD SER F	10	$0	0%	-7	Value filed as zero, left out of ratios.
CANNONAU CORP COMCANNONAU CORP COM	100	$0	0%	0	Value filed as zero, left out of ratios.
ALCOA INCALCOA INC	23	$0	0%	0	Value filed as zero, left out of ratios.
UNITY ONE CAPITALUNITY ONE CAPITAL	1	$0	0%	0	Value filed as zero, left out of ratios.
LEHMAN BROS HLDGSLEHMAN BROS HLDGS	20,000	$0	0%	0	Value filed as zero, left out of ratios.
ESECURESOFT COESECURESOFT CO	148	$0	0%	0	Value filed as zero, left out of ratios.
SPECTRA7 MICROSYSTEMS INCSPECTRA7 MICROSYSTEMS INC	1,000	$0	0%	0	Value filed as zero, left out of ratios.
NEUROGENESIS INCNEUROGENESIS INC	200	$0	0%	0	Value filed as zero, left out of ratios.
NEXPRISE INCNEXPRISE INC	1	$0	0%	0	Value filed as zero, left out of ratios.
CUIDAO HLDG CORPCUIDAO HLDG CORP	150	$0	0%	0	Value filed as zero, left out of ratios.
RENTECH NITROGEN LP XXXRENTECH NITROGEN LP XXX	500	$0	0%	0	Value filed as zero, left out of ratios.
YELLOW MEDIA INC 22 WTSYELLOW MEDIA INC 22 WTS	827	$0	0%	0	Value filed as zero, left out of ratios.
LEHMAN BRO HLDG PFDLEHMAN BRO HLDG PFD	600	$0	0%	0	Value filed as zero, left out of ratios.
Africo Resources Ltd XxxAfrico Resources Ltd Xxx	249	$0	0%	0	Value filed as zero, left out of ratios.
GOLDEN ARCH RESOURCESGOLDEN ARCH RESOURCES	4,000	$0	0%	0	Value filed as zero, left out of ratios.
AVANT DIAGNOSTICS INCAVANT DIAGNOSTICS INC	46	$0	0%	-90,954	Value filed as zero, left out of ratios.
CARDAX INCCARDAX INC	67,843	$0	0%	0	Value filed as zero, left out of ratios.
COUGAR OIL & GAS CANADA INCCOUGAR OIL & GAS CANADA INC	2,000	$0	0%	0	Value filed as zero, left out of ratios.
GENERAL MOTORS 8.25XXXESCRO…GENERAL MOTORS 8.25XXXESCROW P	15,000	$0	0%	0	Value filed as zero, left out of ratios.
NOBLE HOLDING INNOBLE HOLDING IN	31,000	$0	0%	0	Value filed as zero, left out of ratios.
GENERAL MOTORS CORP 9.25GENERAL MOTORS CORP 9.25	15,000	$0	0%	0	Value filed as zero, left out of ratios.
ALPINE 4 TECHNOLOGIESALPINE 4 TECHNOLOGIES	2,220	$0	0%	0	Value filed as zero, left out of ratios.

Sold out in Q3 2020

Positions in the previous quarter's report that this quarter's report no longer lists.

The largest 100 of 239. All 239

Security	Shares before	Value before	Type
US TREASU NTUS TREASU NT	300,000	$301K	shares
Waste Management,Waste Management,	205,000	$210K	shares
IWFISHARES TR	845	$162K	shares
IWDISHARES TR	1,058	$119K	shares
CROWN CASTLE INTCROWN CASTLE INT	100,000	$102K	shares
EBAY INC.EBAY INC.	100,000	$102K	shares
SCHOSCHWAB STRATEGIC TR	1,790	$92K	shares
PUBLIC STORAGE SER WPUBLIC STORAGE SER W	3,250	$81K	shares
Public Storage 5.3Public Storage 5.3	3,092	$77K	shares
DONWISDOMTREE TR	2,692	$76K	shares
JPSTJ P MORGAN EXCHANGE TRADED F	1,485	$75K	shares
ECOLAB INCECOLAB INC	69,000	$73K	shares
DESWISDOMTREE TR	3,215	$68K	shares
AT&T INCAT&T INC	60,000	$64K	shares
ASTRAZENECA PLASTRAZENECA PL	50,000	$56K	shares
HP INC.HP INC.	50,000	$52K	shares
GOLDMAN SACHS GRGOLDMAN SACHS GR	50,000	$50K	shares
HSBC USA INC.HSBC USA INC.	50,000	$50K	shares
KY ST MUN PWR AGKY ST MUN PWR AG	50,000	$50K	shares
SYMANTEC CORPSYMANTEC CORP	50,000	$50K	shares
CONAGRA BRANDS,CONAGRA BRANDS,	50,000	$50K	shares
FARMINGTON NM POLFARMINGTON NM POL	50,000	$50K	shares
AUTOZONE, INC.AUTOZONE, INC.	50,000	$50K	shares
SUPNSUPERNUS PHARMACEUTICALS	1,838	$44K	shares
SPABSPDR SERIES TRUST	1,376	$42K	shares
MET NASHVILE ARPT TNMET NASHVILE ARPT TN	40,000	$40K	shares
HORIZON PHARMA INVT LTDHORIZON PHARMA INVT LTD	20,000	$39K	shares
SHOPSHOPIFY INC	40	$38K	shares
IEFAISHARES TR	640	$37K	shares
JPMORGAN CHASE & COJPMORGAN CHASE & CO	32,000	$34K	shares
GENERAL MOLY INC COMGENERAL MOLY INC COM	162,807	$33K	shares
Illinois Fin Auth RIllinois Fin Auth R	25,000	$33K	shares
TRAVELERS COMPANIES INC COM…TRAVELERS COMPANIES INC COM STK N…	277	$32K	shares
New York St Dorm AuNew York St Dorm Au	25,000	$32K	shares
Texas StTexas St	25,000	$32K	shares
Fl St B/E Pub EdFl St B/E Pub Ed	30,000	$31K	shares
IJRISHARES TR	419	$29K	shares
Trinity Riv Tx WwTrinity Riv Tx Ww	20,000	$26K	shares
ARIZONA ST TRANSN BRD 5 07/…ARIZONA ST TRANSN BRD 5 07/01/2023	25,000	$25K	shares
SANTA MONICA-MA 6.434SANTA MONICA-MA 6.434	25,000	$25K	shares
WELLS FARGO & COWELLS FARGO & CO	25,000	$25K	shares
American ExpressAmerican Express	20,000	$21K	shares
DAVITA HEALTHCARE PARTNERS …DAVITA HEALTHCARE PARTNERS INC	20,000	$20K	shares
General ElectricGeneral Electric	20,000	$20K	shares
PHOENIX AZPHOENIX AZ	20,000	$20K	shares
PIMA CN AZ USD #1PIMA CN AZ USD #1	20,000	$20K	shares
SPDWSPDR INDEX SHS FDS	652	$18K	shares
MTUMISHARES TR	121	$16K	shares
The Toronto-DomiThe Toronto-Domi	16,000	$16K	shares
FRFHFFAIRFAX FINANCIAL HLDGS LTD	50	$15K	shares
HILLENBRAND INCHILLENBRAND INC	15,000	$15K	shares
NEW MEXICO FIN ANEW MEXICO FIN A	15,000	$15K	shares
PHOENIX AZ CVC ARPTPHOENIX AZ CVC ARPT	15,000	$15K	shares
SPSBSPDR SERIES TRUST	456	$14K	shares
Viacom Inc.Viacom Inc.	13,000	$14K	shares
POLYONE CORPPOLYONE CORP	480	$13K	shares
COMCAST CORP NEW 2.75 03/01…COMCAST CORP NEW 2.75 03/01/2023	12,000	$13K	shares
Hanover Insurance 6.35% Cl …Hanover Insurance 6.35% Cl 3/1	500	$13K	shares
Florida St TurnpikeFlorida St Turnpike	10,000	$13K	shares
Illinois Fin Auth RIllinois Fin Auth R	10,000	$13K	shares
MORGAN STANLEYMORGAN STANLEY	13,000	$13K	shares
GRAND RIVER DAM AUTH OK REV…GRAND RIVER DAM AUTH OK REV, REF …	10,000	$12K	shares
Nj St Tpk AuthNj St Tpk Auth	10,000	$12K	shares
Exelon Generation CExelon Generation C	12,000	$12K	shares
TESCO PLC SPONSORED ADRTESCO PLC SPONSORED ADR	1,271	$11K	shares
Lewis Cnty Wa PuLewis Cnty Wa Pu	10,000	$11K	shares
FLRNSPDR SERIES TRUST	322	$10K	shares
NEW YORK MTG TR INCNEW YORK MTG TR INC	500	$10K	shares
PHOENIX AZ CVC ARPTPHOENIX AZ CVC ARPT	10,000	$10K	shares
PHOENIX AZ CVC IMPPHOENIX AZ CVC IMP	10,000	$10K	shares
SCOTTSDALE AZ W/SCOTTSDALE AZ W/	10,000	$10K	shares
AZ ST TRANSN BRDAZ ST TRANSN BRD	10,000	$10K	shares
AZ TRANS EXCISE TAXAZ TRANS EXCISE TAX	10,000	$10K	shares
EWLISHARES INC	229	$9K	shares
SSPSCRIPPS E W CO OHIO	1,000	$9K	shares
CMECME GROUP INC	48	$8K	shares
TMTOYOTA MOTOR CORP	64	$8K	shares
SK TELECOM LTDSK TELECOM LTD	409	$8K	shares
DELL INCDELL INC	153	$8K	shares
VWAPYVOLKSWAGEN A G (GERMANY, FR)	518	$8K	shares
PBPINVESCO EXCHANGE TRADED FD T	391	$7K	shares
RETAIL PPTYS AMER INCRETAIL PPTYS AMER INC	1,009	$7K	shares
DNPLYDAI NIPPON PRINTING LTD JAPAN	625	$7K	shares
SVNDYSEVEN & I HOLDINGS-UNSPN ADR	436	$7K	shares
BANK AMER CORP 5.625 07/01/…BANK AMER CORP 5.625 07/01/2020	7,000	$7K	shares
WASTE MGMT INC DEL 2.95 06/…WASTE MGMT INC DEL 2.95 06/15/2024	7,000	$7K	shares
EXPEDIA INCEXPEDIA INC	7,000	$7K	shares
BKNGBOOKING HOLDINGS INC	4	$6K	shares
PTONPELOTON INTERACTIVE INC	100	$6K	shares
AXSAXIS CAP HLDGS LTD	148	$6K	shares
MARICOPA AZ USD #60MARICOPA AZ USD #60	5,000	$6K	shares
UNIV NMUNIV NM	5,000	$6K	shares
IWVISHARES TR	25	$5K	shares
TAKTAKEDA PHARMACEUTICAL CO LTD	270	$5K	shares
HSBCHSBC HLDGS PLC	205	$5K	shares
ULTAULTA BEAUTY INC	23	$5K	shares
QUALISHARES TR	48	$5K	shares
FLEXFLEX LTD	509	$5K	shares
INDAISHARES TR	156	$5K	shares
EWHISHARES INC	219	$5K	shares

How Q3 2020 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001415889-20-002491	base		2020-10-26	acceptance time not in the bulk data set	2026-10-07 18:48:21 UTC