The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
AMAZON COM INC COM | Stock | 023135106 | 483 | 156 | SH | SOLE | 0 | 156 | 0 | 0 | |
INVESCO QQQ TRUST | ETF | 46090E103 | 254 | 797 | SH | SOLE | 0 | 797 | 0 | 0 | |
COHEN & STEERS CLOSED-END OPPO COM | CEF | 19248P106 | 200 | 14,941 | SH | SOLE | 0 | 14,941 | 0 | 0 | |
XPO LOGISTICS INC COM | Stock | 983793100 | 298 | 2,415 | SH | SOLE | 0 | 2,415 | 0 | 0 | |
JOHNSON & JOHNSON COM | Stock | 478160104 | 1,048 | 6,376 | SH | SOLE | 0 | 6,376 | 0 | 0 | |
WESTERN ASSET HIGH INCOME OPPO COM | CEF | 95766K109 | 53 | 10,500 | SH | SOLE | 0 | 10,500 | 0 | 0 | |
PROCTER AND GAMBLE CO COM | Stock | 742718109 | 2,642 | 19,505 | SH | SOLE | 0 | 19,505 | 0 | 0 | |
VANGUARD REAL ESTATE ETF | ETF | 922908553 | 622 | 6,769 | SH | SOLE | 0 | 6,769 | 0 | 0 | |
INTEL CORP COM | Stock | 458140100 | 806 | 12,589 | SH | SOLE | 0 | 12,589 | 0 | 0 | |
MEDTRONIC PLC SHS | Stock | G5960L103 | 470 | 3,981 | SH | SOLE | 0 | 3,981 | 0 | 0 | |
MERCK & CO. INC COM | Stock | 58933Y105 | 224 | 2,906 | SH | SOLE | 0 | 2,906 | 0 | 0 | |
EMERSON ELEC CO COM | Stock | 291011104 | 758 | 8,403 | SH | SOLE | 0 | 8,403 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS FD COM | CEF | 258622109 | 731 | 40,250 | SH | SOLE | 0 | 40,250 | 0 | 0 | |
EATON VANCE LTD DURATION INCOM COM | CEF | 27828H105 | 137 | 10,855 | SH | SOLE | 0 | 10,855 | 0 | 0 | |
VERIZON COMMUNICATIONS INC COM | Stock | 92343V104 | 382 | 6,563 | SH | SOLE | 0 | 6,563 | 0 | 0 | |
FEDEX CORP COM | Stock | 31428X106 | 234 | 825 | SH | SOLE | 0 | 825 | 0 | 0 | |
PEPSICO INC COM | Stock | 713448108 | 354 | 2,506 | SH | SOLE | 0 | 2,505 | 0 | 0 | |
NUVEEN ESG SMALL-CAP ETF | ETF | 67092P607 | 2,506 | 58,233 | SH | SOLE | 0 | 58,233 | 0 | 0 | |
FORD MTR CO DEL COM | Stock | 345370860 | 613 | 50,065 | SH | SOLE | 0 | 50,065 | 0 | 0 | |
SCHWAB U.S. LARGE-CAP ETF | ETF | 808524201 | 447 | 4,655 | SH | SOLE | 0 | 4,655 | 0 | 0 | |
PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND | ETF | 72201R833 | 1,563 | 15,334 | SH | SOLE | 0 | 15,334 | 0 | 0 | |
AVID BIOSERVICES INC COM | Stock | 05368M106 | 182 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
ISHARES S&P SMALL-CAP FUND | ETF | 464287804 | 2,541 | 23,413 | SH | SOLE | 0 | 23,413 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 084670702 | 293 | 1,145 | SH | SOLE | 0 | 1,145 | 0 | 0 | |
VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND | ETF | 92206C409 | 635 | 7,698 | SH | SOLE | 0 | 7,698 | 0 | 0 | |
GLOBAL X U.S. PREFERRED ETF | ETF | 37954Y657 | 1,110 | 43,523 | SH | SOLE | 0 | 43,523 | 0 | 0 | |
MICROSOFT CORP COM | Stock | 594918104 | 760 | 3,224 | SH | SOLE | 0 | 3,224 | 0 | 0 | |
INVESCO CEF INCOME COMPOSITE ETF | ETF | 46138E404 | 819 | 35,208 | SH | SOLE | 0 | 35,208 | 0 | 0 | |
CVS HEALTH CORP COM | Stock | 126650100 | 786 | 10,448 | SH | SOLE | 0 | 10,448 | 0 | 0 | |
SIMON PPTY GROUP INC NEW COM | REIT | 828806109 | 837 | 7,354 | SH | SOLE | 0 | 7,354 | 0 | 0 | |
ARES CAPITAL CORP COM | CEF | 04010L103 | 314 | 16,800 | SH | SOLE | 0 | 16,800 | 0 | 0 | |
NEXTERA ENERGY INC COM | Stock | 65339F101 | 333 | 4,400 | SH | SOLE | 0 | 4,400 | 0 | 0 | |
SCHWAB U.S. LARGE-CAP VALUE ETF | ETF | 808524409 | 228 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
PUTNAM PREMIER INCOME TR SH BEN INT | CEF | 746853100 | 731 | 150,158 | SH | SOLE | 0 | 150,158 | 0 | 0 | |
VANGUARD S&P 500 ETF | ETF | 922908363 | 3,554 | 9,755 | SH | SOLE | 0 | 9,755 | 0 | 0 | |
ISHARES U.S. HEALTHCARE PROVIDERS ETF | ETF | 464288828 | 227 | 900 | SH | SOLE | 0 | 900 | 0 | 0 | |
SPDR SSGA US Sector Rotation ETF | ETF | 78470P408 | 2,845 | 69,454 | SH | SOLE | 0 | 69,454 | 0 | 0 | |
PIMCO INVESTMENT GRADE CORPORATE BOND INDEX EXCHANGE-TRADED FUND | ETF | 72201R817 | 1,879 | 16,866 | SH | SOLE | 0 | 16,866 | 0 | 0 | |
NAKED BRAND GROUP LIMITED SHS NEW | Stock | Q6519T117 | 7 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
PIMCO CORPORATE & INCOME OPPOR COM | CEF | 72201B101 | 210 | 11,500 | SH | SOLE | 0 | 11,500 | 0 | 0 | |
DRAFTKINGS INC COM CL A | Stock | 26142R104 | 575 | 9,369 | SH | SOLE | 0 | 9,369 | 0 | 0 | |
DUKE ENERGY CORP NEW COM NEW | Stock | 26441C204 | 588 | 6,093 | SH | SOLE | 0 | 6,092 | 0 | 0 | |
ISHARES U.S. AEROSPACE & DEFENSE ETF | ETF | 464288760 | 270 | 2,594 | SH | SOLE | 0 | 2,594 | 0 | 0 | |
ISHARES SELECT DIVIDEND ETF | ETF | 464287168 | 360 | 3,159 | SH | SOLE | 0 | 3,159 | 0 | 0 | |
PREFERRED APT CMNTYS INC COM | REIT | 74039L103 | 98 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
VIATRIS INC COM | Stock | 92556V106 | 203 | 14,548 | SH | SOLE | 0 | 14,548 | 0 | 0 | |
ENERGY TRANSFER L P COM UT LTD PTN | Stock | 29273V100 | 139 | 18,131 | SH | SOLE | 0 | 18,130 | 0 | 0 | |
SCHWAB US DIVIDEND EQUITY ETF | ETF | 808524797 | 827 | 11,340 | SH | SOLE | 0 | 11,339 | 0 | 0 | |
VISA INC COM CL A | Stock | 92826C839 | 644 | 3,041 | SH | SOLE | 0 | 3,041 | 0 | 0 | |
ISHARES MSCI EAFE MIN VOL FACTOR ETF | ETF | 46429B689 | 2,451 | 33,577 | SH | SOLE | 0 | 33,577 | 0 | 0 | |
ISHARES MSCI USA MIN VOL FACTOR ETF | ETF | 46429B697 | 3,610 | 52,169 | SH | SOLE | 0 | 52,169 | 0 | 0 | |
PGIM HIGH YIELD BOND FUND INC COM | CEF | 69346H100 | 244 | 15,600 | SH | SOLE | 0 | 15,600 | 0 | 0 | |
IRON MTN INC NEW COM | REIT | 46284V101 | 933 | 25,208 | SH | SOLE | 0 | 25,207 | 0 | 0 | |
FACEBOOK INC CL A | Stock | 30303M102 | 459 | 1,560 | SH | SOLE | 0 | 1,560 | 0 | 0 | |
GLOBAL X MLP ETF | ETF | 37954Y343 | 1,094 | 33,062 | SH | SOLE | 0 | 33,062 | 0 | 0 | |
GLOBAL X SUPERINCOME PREFERRED ETF | ETF | 37950E333 | 137 | 11,524 | SH | SOLE | 0 | 11,524 | 0 | 0 | |
FIRST TR MLP & ENERGY INCOM FD COM | CEF | 33739B104 | 73 | 10,500 | SH | SOLE | 0 | 10,500 | 0 | 0 | |
KINDER MORGAN INC DEL COM | Stock | 49456B101 | 572 | 34,372 | SH | SOLE | 0 | 34,371 | 0 | 0 | |
ISHARES U.S. MEDICAL DEVICES ETF | ETF | 464288810 | 370 | 1,121 | SH | SOLE | 0 | 1,121 | 0 | 0 | |
ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | ETF | 464288646 | 410 | 7,491 | SH | SOLE | 0 | 7,491 | 0 | 0 | |
ABBVIE INC COM | Stock | 00287Y109 | 948 | 8,762 | SH | SOLE | 0 | 8,762 | 0 | 0 | |
Vanguard Total Bond Market Index | ETF | 921937835 | 686 | 8,095 | SH | SOLE | 0 | 8,095 | 0 | 0 | |
CYRUSONE INC COM | REIT | 23283R100 | 295 | 4,350 | SH | SOLE | 0 | 4,350 | 0 | 0 | |
VANECK VECTORS BDC INCOME ETF | ETF | 92189F411 | 1,132 | 69,864 | SH | SOLE | 0 | 69,864 | 0 | 0 | |
NUVEEN AMT FREE MUN CR INC FD COM | CEF | 67071L106 | 287 | 17,000 | SH | SOLE | 0 | 17,000 | 0 | 0 | |
STRYKER CORPORATION COM | Stock | 863667101 | 262 | 1,075 | SH | SOLE | 0 | 1,075 | 0 | 0 | |
QUALCOMM INC COM | Stock | 747525103 | 375 | 2,828 | SH | SOLE | 0 | 2,828 | 0 | 0 | |
CISCO SYS INC COM | Stock | 17275R102 | 310 | 6,004 | SH | SOLE | 0 | 6,003 | 0 | 0 | |
COHEN & STEERS INFRASTRUCTURE COM | CEF | 19248A109 | 392 | 14,035 | SH | SOLE | 0 | 14,035 | 0 | 0 | |
Ishares Russell Mid-Cap ETF | ETF | 464287499 | 2,168 | 29,325 | SH | SOLE | 0 | 29,325 | 0 | 0 | |
WISDOMTREE U.S. QUALITY DIVIDEND GROWTH FUND | ETF | 97717X669 | 699 | 12,226 | SH | SOLE | 0 | 12,226 | 0 | 0 | |
AT&T INC COM | Stock | 00206R102 | 1,150 | 37,997 | SH | SOLE | 0 | 37,996 | 0 | 0 | |
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF | ETF | 464288513 | 203 | 2,325 | SH | SOLE | 0 | 2,325 | 0 | 0 | |
PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF | ETF | 74348A467 | 302 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
CONTANGO OIL & GAS CO COM NEW | Stock | 21075N204 | 39 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
ISHARES CORE S&P 500 ETF | ETF | 464287200 | 406 | 1,021 | SH | SOLE | 0 | 1,021 | 0 | 0 | |
CIGNA CORP NEW COM | Stock | 125523100 | 213 | 881 | SH | SOLE | 0 | 881 | 0 | 0 | |
ISHARES PREFERRED AND INCOME SECURITIES ETF | ETF | 464288687 | 381 | 9,923 | SH | SOLE | 0 | 9,923 | 0 | 0 | |
JPMORGAN CHASE & CO COM | Stock | 46625H100 | 1,124 | 7,384 | SH | SOLE | 0 | 7,384 | 0 | 0 | |
INTERNATIONAL PAPER CO COM | Stock | 460146103 | 233 | 4,318 | SH | SOLE | 0 | 4,317 | 0 | 0 | |
ISHARES 5-10 YEAR INVESTMENT GRADE CORPORATE BOND ETF | ETF | 464288638 | 1,384 | 23,363 | SH | SOLE | 0 | 23,363 | 0 | 0 | |
SPDR Portfolio Emerging Markets ETF | ETF | 78463X509 | 1,915 | 43,731 | SH | SOLE | 0 | 43,731 | 0 | 0 | |
VANGUARD FTSE DEVELOPED MARKETS ETF | ETF | 921943858 | 207 | 4,224 | SH | SOLE | 0 | 4,224 | 0 | 0 | |
PIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUND | ETF | 72201R718 | 281 | 2,757 | SH | SOLE | 0 | 2,757 | 0 | 0 | |
BK OF AMERICA CORP COM | Stock | 060505104 | 257 | 6,636 | SH | SOLE | 0 | 6,636 | 0 | 0 | |
REAVES UTIL INCOME FD COM SH BEN INT | CEF | 756158101 | 676 | 20,166 | SH | SOLE | 0 | 20,166 | 0 | 0 | |
ISHARES MORTGAGE REAL ESTATE ETF | ETF | 46435G342 | 578 | 16,386 | SH | SOLE | 0 | 16,386 | 0 | 0 | |
SPDR S&P 1500 Composite | ETF | 78464A805 | 2,898 | 58,907 | SH | SOLE | 0 | 58,907 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS COM | Stock | 459200101 | 397 | 2,980 | SH | SOLE | 0 | 2,980 | 0 | 0 | |
RAYTHEON TECHNOLOGIES CORP COM | Stock | 75513E101 | 293 | 3,796 | SH | SOLE | 0 | 3,796 | 0 | 0 | |
VANGUARD HIGH DIVIDEND YIELD ETF | ETF | 921946406 | 511 | 5,050 | SH | SOLE | 0 | 5,050 | 0 | 0 | |
PFIZER INC COM | Stock | 717081103 | 378 | 10,431 | SH | SOLE | 0 | 10,431 | 0 | 0 | |
CATERPILLAR INC COM | Stock | 149123101 | 224 | 966 | SH | SOLE | 0 | 966 | 0 | 0 | |
ALPHABET INC CAP STK CL C | Stock | 02079K107 | 1,098 | 531 | SH | SOLE | 0 | 531 | 0 | 0 | |
VANGUARD DIVIDEND APPRECIATION INDEX FUND | ETF | 921908844 | 1,553 | 10,557 | SH | SOLE | 0 | 10,557 | 0 | 0 | |
HERCULES CAPITAL INC COM | CEF | 427096508 | 593 | 37,000 | SH | SOLE | 0 | 37,000 | 0 | 0 | |
BARINGS CORPORATE INVS COM | CEF | 06759X107 | 649 | 46,596 | SH | SOLE | 0 | 46,596 | 0 | 0 | |
Ishares Core Dividend Growth | ETF | 46434V621 | 596 | 12,344 | SH | SOLE | 0 | 12,343 | 0 | 0 | |
ALIBABA GROUP HLDG LTD SPONSORED ADS | ADR | 01609W102 | 473 | 2,084 | SH | SOLE | 0 | 2,084 | 0 | 0 | |
DNP SELECT INCOME FD INC COM | CEF | 23325P104 | 245 | 24,837 | SH | SOLE | 0 | 24,837 | 0 | 0 | |
BLACKROCK SCIENCE & TECHNOLOGY SHS | CEF | 09258G104 | 433 | 8,000 | SH | SOLE | 0 | 8,000 | 0 | 0 | |
JOHN HANCOCK MULTIFACTOR MID CAP ETF | ETF | 47804J206 | 2,259 | 45,990 | SH | SOLE | 0 | 45,990 | 0 | 0 | |
T Rowe Price Dividend Growth ETF | ETF | 87283Q404 | 734 | 24,746 | SH | SOLE | 0 | 24,746 | 0 | 0 | |
EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETF | ETF | 301505889 | 430 | 6,725 | SH | SOLE | 0 | 6,725 | 0 | 0 | |
CITIGROUP INC COM NEW | Stock | 172967424 | 202 | 2,775 | SH | SOLE | 0 | 2,775 | 0 | 0 | |
EXXON MOBIL CORP COM | Stock | 30231G102 | 605 | 10,828 | SH | SOLE | 0 | 10,827 | 0 | 0 | |
DEERE & CO COM | Stock | 244199105 | 488 | 1,304 | SH | SOLE | 0 | 1,304 | 0 | 0 | |
Barclays ETN Shiller CAPE ETN | ETF | 06742A669 | 2,854 | 14,879 | SH | SOLE | 0 | 14,879 | 0 | 0 | |
PAYPAL HLDGS INC COM | Stock | 70450Y103 | 243 | 1,000 | SH | SOLE | 0 | 1,000 | 0 | 0 | |
CROWN CASTLE INTL CORP NEW COM | REIT | 22822V101 | 258 | 1,500 | SH | SOLE | 0 | 1,500 | 0 | 0 | |
Wisdomtree Yield Enh US Agg Bond | ETF | 97717X511 | 1,404 | 27,426 | SH | SOLE | 0 | 27,426 | 0 | 0 | |
APPLE INC COM | Stock | 037833100 | 1,367 | 11,193 | SH | SOLE | 0 | 11,193 | 0 | 0 | |
Ishares Convertible Bond ETF | ETF | 46435G102 | 1,235 | 12,570 | SH | SOLE | 0 | 12,570 | 0 | 0 | |
DISNEY WALT CO COM | Stock | 254687106 | 456 | 2,469 | SH | SOLE | 0 | 2,469 | 0 | 0 |