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 | 495 | 144 | SH | SOLE | 0 | 144 | 0 | 0 | |
INVESCO QQQ TRUST | ETF | 46090E103 | 287 | 809 | SH | SOLE | 0 | 809 | 0 | 0 | |
COHEN & STEERS CLOSED-END OPPO COM | CEF | 19248P106 | 217 | 14,941 | SH | SOLE | 0 | 14,941 | 0 | 0 | |
XPO LOGISTICS INC COM | Stock | 983793100 | 338 | 2,415 | SH | SOLE | 0 | 2,415 | 0 | 0 | |
JOHNSON & JOHNSON COM | Stock | 478160104 | 1,104 | 6,703 | SH | SOLE | 0 | 6,703 | 0 | 0 | |
WESTERN ASSET HIGH INCOME OPPO COM | CEF | 95766K109 | 55 | 10,500 | SH | SOLE | 0 | 10,500 | 0 | 0 | |
PROCTER AND GAMBLE CO COM | Stock | 742718109 | 3,114 | 23,080 | SH | SOLE | 0 | 23,080 | 0 | 0 | |
VANGUARD REAL ESTATE ETF | ETF | 922908553 | 657 | 6,450 | SH | SOLE | 0 | 6,450 | 0 | 0 | |
INTEL CORP COM | Stock | 458140100 | 1,218 | 21,702 | SH | SOLE | 0 | 21,702 | 0 | 0 | |
MEDTRONIC PLC SHS | Stock | G5960L103 | 528 | 4,251 | SH | SOLE | 0 | 4,251 | 0 | 0 | |
MERCK & CO INC COM | Stock | 58933Y105 | 226 | 2,906 | SH | SOLE | 0 | 2,906 | 0 | 0 | |
EMERSON ELEC CO COM | Stock | 291011104 | 796 | 8,267 | SH | SOLE | 0 | 8,267 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS FD COM | CEF | 258622109 | 728 | 40,250 | SH | SOLE | 0 | 40,250 | 0 | 0 | |
EATON VANCE LTD DURATION INCOM COM | CEF | 27828H105 | 155 | 11,726 | SH | SOLE | 0 | 11,726 | 0 | 0 | |
VERIZON COMMUNICATIONS INC COM | Stock | 92343V104 | 368 | 6,571 | SH | SOLE | 0 | 6,571 | 0 | 0 | |
FEDEX CORP COM | Stock | 31428X106 | 261 | 875 | SH | SOLE | 0 | 875 | 0 | 0 | |
PEPSICO INC COM | Stock | 713448108 | 410 | 2,770 | SH | SOLE | 0 | 2,770 | 0 | 0 | |
NUVEEN ESG SMALL-CAP ETF | ETF | 67092P607 | 1,769 | 39,176 | SH | SOLE | 0 | 39,176 | 0 | 0 | |
FORD MTR CO DEL COM | Stock | 345370860 | 818 | 55,047 | SH | SOLE | 0 | 55,047 | 0 | 0 | |
SCHWAB INTERNATIONAL EQUITY ETF | ETF | 808524805 | 2,549 | 64,602 | SH | SOLE | 0 | 64,602 | 0 | 0 | |
SCHWAB U.S. LARGE-CAP ETF | ETF | 808524201 | 228 | 2,193 | SH | SOLE | 0 | 2,193 | 0 | 0 | |
PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND | ETF | 72201R833 | 1,349 | 13,230 | SH | SOLE | 0 | 13,230 | 0 | 0 | |
AVID BIOSERVICES INC COM | Stock | 05368M106 | 205 | 8,000 | SH | SOLE | 0 | 8,000 | 0 | 0 | |
ISHARES S&P SMALL-CAP FUND | ETF | 464287804 | 1,599 | 14,154 | SH | SOLE | 0 | 14,154 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 084670702 | 318 | 1,145 | SH | SOLE | 0 | 1,145 | 0 | 0 | |
VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND | ETF | 92206C409 | 521 | 6,296 | SH | SOLE | 0 | 6,296 | 0 | 0 | |
GLOBAL X U.S. PREFERRED ETF | ETF | 37954Y657 | 1,150 | 43,941 | SH | SOLE | 0 | 43,940 | 0 | 0 | |
MICROSOFT CORP COM | Stock | 594918104 | 924 | 3,411 | SH | SOLE | 0 | 3,411 | 0 | 0 | |
INVESCO CEF INCOME COMPOSITE ETF | ETF | 46138E404 | 883 | 36,060 | SH | SOLE | 0 | 36,060 | 0 | 0 | |
CVS HEALTH CORP COM | Stock | 126650100 | 872 | 10,450 | SH | SOLE | 0 | 10,449 | 0 | 0 | |
SIMON PPTY GROUP INC NEW COM | REIT | 828806109 | 960 | 7,357 | SH | SOLE | 0 | 7,357 | 0 | 0 | |
ARES CAPITAL CORP COM | CEF | 04010L103 | 329 | 16,800 | SH | SOLE | 0 | 16,800 | 0 | 0 | |
PROSHARES ONLINE RETAIL ETF | ETF | 74347B169 | 1,074 | 13,281 | SH | SOLE | 0 | 13,281 | 0 | 0 | |
MACQUARIE INFRASTRUCTURE CORP COM | Stock | 55608B105 | 230 | 6,000 | SH | SOLE | 0 | 6,000 | 0 | 0 | |
NEXTERA ENERGY INC COM | Stock | 65339F101 | 335 | 4,572 | SH | SOLE | 0 | 4,572 | 0 | 0 | |
SCHWAB U.S. LARGE-CAP VALUE ETF | ETF | 808524409 | 239 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
PUTNAM PREMIER INCOME TR SH BEN INT | CEF | 746853100 | 778 | 166,854 | SH | SOLE | 0 | 166,854 | 0 | 0 | |
VANGUARD S&P 500 ETF | ETF | 922908363 | 3,197 | 8,123 | SH | SOLE | 0 | 8,123 | 0 | 0 | |
ISHARES U.S. HEALTHCARE PROVIDERS ETF | ETF | 464288828 | 240 | 900 | SH | SOLE | 0 | 900 | 0 | 0 | |
SPDR SSGA US Sector Rotation ETF | ETF | 78470P408 | 1,698 | 38,233 | SH | SOLE | 0 | 38,233 | 0 | 0 | |
PIMCO INVESTMENT GRADE CORPORATE BOND INDEX EXCHANGE-TRADED FUND | ETF | 72201R817 | 1,902 | 16,614 | SH | SOLE | 0 | 16,614 | 0 | 0 | |
NAKED BRAND GROUP LIMITED SHS NEW | Stock | Q6519T117 | 6 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
PIMCO CORPORATE & INCOME OPPOR COM | CEF | 72201B101 | 228 | 11,500 | SH | SOLE | 0 | 11,500 | 0 | 0 | |
DRAFTKINGS INC COM CL A | Stock | 26142R104 | 640 | 12,269 | SH | SOLE | 0 | 12,269 | 0 | 0 | |
APOLLO GLOBAL MGMT INC COM CL A | Stock | 03768E105 | 249 | 4,000 | SH | SOLE | 0 | 4,000 | 0 | 0 | |
DUKE ENERGY CORP NEW COM NEW | Stock | 26441C204 | 602 | 6,097 | SH | SOLE | 0 | 6,096 | 0 | 0 | |
ISHARES U.S. AEROSPACE & DEFENSE ETF | ETF | 464288760 | 280 | 2,554 | SH | SOLE | 0 | 2,554 | 0 | 0 | |
ISHARES SELECT DIVIDEND ETF | ETF | 464287168 | 368 | 3,159 | SH | SOLE | 0 | 3,159 | 0 | 0 | |
GLOBAL X TELEMEDICINE & DIGITAL HEALTH ETF | ETF | 37954Y285 | 1,000 | 51,807 | SH | SOLE | 0 | 51,807 | 0 | 0 | |
PREFERRED APT CMNTYS INC COM | REIT | 74039L103 | 98 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
VIATRIS INC COM | Stock | 92556V106 | 208 | 14,548 | SH | SOLE | 0 | 14,548 | 0 | 0 | |
ENERGY TRANSFER L P COM UT LTD PTN | Stock | 29273V100 | 193 | 18,193 | SH | SOLE | 0 | 18,193 | 0 | 0 | |
SCHWAB US DIVIDEND EQUITY ETF | ETF | 808524797 | 879 | 11,630 | SH | SOLE | 0 | 11,629 | 0 | 0 | |
ETFMG Travel Tech ETF | ETF | 26924G771 | 1,009 | 33,869 | SH | SOLE | 0 | 33,869 | 0 | 0 | |
VISA INC COM CL A | Stock | 92826C839 | 702 | 3,002 | SH | SOLE | 0 | 3,002 | 0 | 0 | |
ISHARES MSCI EAFE MIN VOL FACTOR ETF | ETF | 46429B689 | 334 | 4,421 | SH | SOLE | 0 | 4,421 | 0 | 0 | |
ISHARES MSCI USA MIN VOL FACTOR ETF | ETF | 46429B697 | 470 | 6,387 | SH | SOLE | 0 | 6,387 | 0 | 0 | |
PGIM HIGH YIELD BOND FUND INC COM | CEF | 69346H100 | 254 | 15,600 | SH | SOLE | 0 | 15,600 | 0 | 0 | |
IRON MTN INC NEW COM | REIT | 46284V101 | 1,068 | 25,241 | SH | SOLE | 0 | 25,241 | 0 | 0 | |
FACEBOOK INC CL A | Stock | 30303M102 | 542 | 1,560 | SH | SOLE | 0 | 1,560 | 0 | 0 | |
GLOBAL X MLP ETF | ETF | 37954Y343 | 1,386 | 35,849 | SH | SOLE | 0 | 35,849 | 0 | 0 | |
Vaneck Vectors MS Wide Moat | ETF | 92189F643 | 3,126 | 42,209 | SH | SOLE | 0 | 42,209 | 0 | 0 | |
GLOBAL X SUPERINCOME PREFERRED ETF | ETF | 37950E333 | 139 | 11,524 | SH | SOLE | 0 | 11,524 | 0 | 0 | |
FIRST TR MLP & ENERGY INCOM FD COM | CEF | 33739B104 | 83 | 10,500 | SH | SOLE | 0 | 10,500 | 0 | 0 | |
KINDER MORGAN INC DEL COM | Stock | 49456B101 | 631 | 34,608 | SH | SOLE | 0 | 34,607 | 0 | 0 | |
ISHARES U.S. MEDICAL DEVICES ETF | ETF | 464288810 | 405 | 1,121 | SH | SOLE | 0 | 1,121 | 0 | 0 | |
ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | ETF | 464288646 | 381 | 6,946 | SH | SOLE | 0 | 6,946 | 0 | 0 | |
ABBVIE INC COM | Stock | 00287Y109 | 988 | 8,769 | SH | SOLE | 0 | 8,768 | 0 | 0 | |
Vanguard Total Bond Market Index | ETF | 921937835 | 1,893 | 22,042 | SH | SOLE | 0 | 22,042 | 0 | 0 | |
CYRUSONE INC COM | REIT | 23283R100 | 275 | 3,850 | SH | SOLE | 0 | 3,850 | 0 | 0 | |
VANECK BDC INCOME ETF | ETF | 92189F411 | 1,264 | 73,659 | SH | SOLE | 0 | 73,659 | 0 | 0 | |
NUVEEN AMT FREE MUN CR INC FD COM | CEF | 67071L106 | 304 | 17,000 | SH | SOLE | 0 | 17,000 | 0 | 0 | |
STRYKER CORPORATION COM | Stock | 863667101 | 227 | 875 | SH | SOLE | 0 | 875 | 0 | 0 | |
QUALCOMM INC COM | Stock | 747525103 | 461 | 3,225 | SH | SOLE | 0 | 3,225 | 0 | 0 | |
CISCO SYS INC COM | Stock | 17275R102 | 300 | 5,659 | SH | SOLE | 0 | 5,658 | 0 | 0 | |
COHEN & STEERS INFRASTRUCTURE COM | CEF | 19248A109 | 409 | 14,265 | SH | SOLE | 0 | 14,265 | 0 | 0 | |
Ishares Russell Mid-Cap ETF | ETF | 464287499 | 2,442 | 30,813 | SH | SOLE | 0 | 30,813 | 0 | 0 | |
WISDOMTREE U.S. QUALITY DIVIDEND GROWTH FUND | ETF | 97717X669 | 774 | 12,967 | SH | SOLE | 0 | 12,966 | 0 | 0 | |
AT&T INC COM | Stock | 00206R102 | 804 | 27,932 | SH | SOLE | 0 | 27,932 | 0 | 0 | |
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF | ETF | 464288513 | 205 | 2,325 | SH | SOLE | 0 | 2,325 | 0 | 0 | |
PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF | ETF | 74348A467 | 317 | 3,500 | SH | SOLE | 0 | 3,500 | 0 | 0 | |
CONTANGO OIL & GAS CO COM NEW | Stock | 21075N204 | 43 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
ISHARES CORE S&P 500 ETF | ETF | 464287200 | 439 | 1,021 | SH | SOLE | 0 | 1,021 | 0 | 0 | |
CIGNA CORP NEW COM | Stock | 125523100 | 209 | 881 | SH | SOLE | 0 | 881 | 0 | 0 | |
ISHARES PREFERRED AND INCOME SECURITIES ETF | ETF | 464288687 | 384 | 9,750 | SH | SOLE | 0 | 9,750 | 0 | 0 | |
JPMORGAN CHASE & CO COM | Stock | 46625H100 | 1,044 | 6,713 | SH | SOLE | 0 | 6,713 | 0 | 0 | |
INTERNATIONAL PAPER CO COM | Stock | 460146103 | 265 | 4,320 | SH | SOLE | 0 | 4,320 | 0 | 0 | |
ISHARES 5-10 YEAR INVESTMENT GRADE CORPORATE BOND ETF | ETF | 464288638 | 1,656 | 27,364 | SH | SOLE | 0 | 27,364 | 0 | 0 | |
SPDR Portfolio Emerging Markets ETF | ETF | 78463X509 | 1,889 | 41,519 | SH | SOLE | 0 | 41,519 | 0 | 0 | |
VANGUARD FTSE DEVELOPED MARKETS ETF | ETF | 921943858 | 218 | 4,224 | SH | SOLE | 0 | 4,224 | 0 | 0 | |
PIMCO ENHANCED LOW DURATION ACTIVE EXCHANGE-TRADED FUND | ETF | 72201R718 | 1,158 | 11,381 | SH | SOLE | 0 | 11,381 | 0 | 0 | |
BK OF AMERICA CORP COM | Stock | 060505104 | 274 | 6,640 | SH | SOLE | 0 | 6,640 | 0 | 0 | |
REAVES UTIL INCOME FD COM SH BEN INT | CEF | 756158101 | 692 | 20,166 | SH | SOLE | 0 | 20,166 | 0 | 0 | |
ISHARES MORTGAGE REAL ESTATE ETF | ETF | 46435G342 | 656 | 17,666 | SH | SOLE | 0 | 17,666 | 0 | 0 | |
SPDR S&P 1500 Composite | ETF | 78464A805 | 3,793 | 71,610 | SH | SOLE | 0 | 71,610 | 0 | 0 | |
WALMART INC COM | Stock | 931142103 | 201 | 1,425 | SH | SOLE | 0 | 1,425 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS COM | Stock | 459200101 | 437 | 2,983 | SH | SOLE | 0 | 2,982 | 0 | 0 | |
RAYTHEON TECHNOLOGIES CORP COM | Stock | 75513E101 | 332 | 3,889 | SH | SOLE | 0 | 3,889 | 0 | 0 | |
VANGUARD HIGH DIVIDEND YIELD ETF | ETF | 921946406 | 529 | 5,050 | SH | SOLE | 0 | 5,050 | 0 | 0 | |
PFIZER INC COM | Stock | 717081103 | 409 | 10,432 | SH | SOLE | 0 | 10,432 | 0 | 0 | |
CATERPILLAR INC COM | Stock | 149123101 | 209 | 960 | SH | SOLE | 0 | 960 | 0 | 0 | |
ALPHABET INC CAP STK CL C | Stock | 02079K107 | 1,331 | 531 | SH | SOLE | 0 | 531 | 0 | 0 | |
VANGUARD DIVIDEND APPRECIATION INDEX FUND | ETF | 921908844 | 1,654 | 10,684 | SH | SOLE | 0 | 10,684 | 0 | 0 | |
HERCULES CAPITAL INC COM | CEF | 427096508 | 631 | 37,000 | SH | SOLE | 0 | 37,000 | 0 | 0 | |
BARINGS CORPORATE INVS COM | CEF | 06759X107 | 776 | 51,069 | SH | SOLE | 0 | 51,069 | 0 | 0 | |
Ishares Core Dividend Growth | ETF | 46434V621 | 917 | 18,214 | SH | SOLE | 0 | 18,213 | 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 | 273 | 26,097 | SH | SOLE | 0 | 26,097 | 0 | 0 | |
BLACKROCK SCIENCE & TECHNOLOGY SHS | CEF | 09258G104 | 417 | 7,000 | SH | SOLE | 0 | 7,000 | 0 | 0 | |
JOHN HANCOCK MULTIFACTOR MID CAP ETF | ETF | 47804J206 | 2,456 | 47,367 | SH | SOLE | 0 | 47,367 | 0 | 0 | |
T Rowe Price Dividend Growth ETF | ETF | 87283Q404 | 835 | 26,350 | SH | SOLE | 0 | 26,350 | 0 | 0 | |
EMQQ THE EMERGING MARKETS INTERNET AND ECOMMERCE ETF | ETF | 301505889 | 426 | 6,725 | SH | SOLE | 0 | 6,725 | 0 | 0 | |
EXXON MOBIL CORP COM | Stock | 30231G102 | 685 | 10,862 | SH | SOLE | 0 | 10,862 | 0 | 0 | |
ARK INNOVATION ETF | ETF | 00214Q104 | 1,217 | 9,307 | SH | SOLE | 0 | 9,307 | 0 | 0 | |
ROYAL DUTCH SHELL PLC SPON ADR B | ADR | 780259107 | 202 | 5,200 | SH | SOLE | 0 | 5,200 | 0 | 0 | |
PACWEST BANCORP DEL COM | Stock | 695263103 | 207 | 5,022 | SH | SOLE | 0 | 5,021 | 0 | 0 | |
DEERE & CO COM | Stock | 244199105 | 460 | 1,304 | SH | SOLE | 0 | 1,304 | 0 | 0 | |
Barclays ETN Shiller CAPE ETN | ETF | 06742A669 | 1,417 | 67,628 | SH | SOLE | 0 | 67,628 | 0 | 0 | |
PAYPAL HLDGS INC COM | Stock | 70450Y103 | 291 | 1,000 | SH | SOLE | 0 | 1,000 | 0 | 0 | |
Wisdomtree Yield Enh US Agg Bond | ETF | 97717X511 | 1,931 | 37,001 | SH | SOLE | 0 | 37,001 | 0 | 0 | |
ISHARES S&P GLOBAL CLEAN ENERGY INDEX FUND | ETF | 464288224 | 1,065 | 45,383 | SH | SOLE | 0 | 45,383 | 0 | 0 | |
APPLE INC COM | Stock | 037833100 | 1,564 | 11,420 | SH | SOLE | 0 | 11,420 | 0 | 0 | |
Ishares Convertible Bond ETF | ETF | 46435G102 | 1,641 | 16,092 | SH | SOLE | 0 | 16,092 | 0 | 0 | |
DISNEY WALT CO COM | Stock | 254687106 | 443 | 2,519 | SH | SOLE | 0 | 2,519 | 0 | 0 |