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 |
AT&T INC | COM | 00206R102 | 399 | 14,001 | SH | SOLE | 0 | 14,001 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 205 | 2,339 | SH | SOLE | 0 | 2,339 | 0 | ||
ABERDEEN STD PRECIOUS METALS | PHYSCL PM BASKET | 003263100 | 690 | 7,347 | SH | SOLE | 0 | 7,347 | 0 | ||
ADITX THERAPEUTICS INC | COM | 007025109 | 75 | 38,500 | SH | SOLE | 0 | 38,500 | 0 | ||
ALLISON TRANSMISSION HLDGS I | COM | 01973R101 | 606 | 17,251 | SH | SOLE | 0 | 17,251 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q452 | 373 | 18,674 | SH | SOLE | 0 | 18,674 | 0 | ||
ALTRIA GROUP INC | COM | 02209S103 | 216 | 5,468 | SH | SOLE | 0 | 5,468 | 0 | ||
AMAZON COM INC | COM | 023135106 | 230 | 73 | SH | SOLE | 0 | 73 | 0 | ||
AMERICAN ELEC PWR CO INC | COM | 025537101 | 647 | 7,919 | SH | SOLE | 0 | 7,919 | 0 | ||
APPLE INC | COM | 037833100 | 1,122 | 9,686 | SH | SOLE | 0 | 9,686 | 0 | ||
AVERY DENNISON CORP | COM | 053611109 | 304 | 2,379 | SH | SOLE | 0 | 2,379 | 0 | ||
AVINGER INC | COM | 053734604 | 4 | 11,410 | SH | SOLE | 0 | 11,410 | 0 | ||
B RILEY PRIN MERGER CORP II | CL A | 05600U106 | 100 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | ||
BK OF AMERICA CORP | 7.25%CNV PFD L | 060505682 | 252 | 167 | SH | SOLE | 0 | 167 | 0 | ||
BK OF AMERICA CORP | COM | 060505104 | 147 | 6,111 | SH | SOLE | 0 | 6,111 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 450 | 2,111 | SH | SOLE | 0 | 2,111 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 250 | 21,729 | SH | SOLE | 0 | 21,729 | 0 | ||
BLACKROCK MUN INCOME QUALITY | COM | 092479104 | 660 | 46,178 | SH | SOLE | 0 | 46,178 | 0 | ||
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 282 | 5,411 | SH | SOLE | 0 | 5,411 | 0 | ||
BNY MELLON STRATEGIC MUNS IN | COM | 05588W108 | 283 | 34,147 | SH | SOLE | 0 | 34,147 | 0 | ||
BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 395 | 6,544 | SH | SOLE | 0 | 6,544 | 0 | ||
BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 861 | 26,044 | SH | SOLE | 0 | 26,044 | 0 | ||
BROOKFIELD PPTY REIT INC | CL A | 11282X103 | 226 | 18,483 | SH | SOLE | 0 | 18,483 | 0 | ||
CABLE ONE INC | COM | 12685J105 | 1,423 | 755 | SH | SOLE | 0 | 755 | 0 | ||
CARMAX INC | COM | 143130102 | 752 | 8,179 | SH | SOLE | 0 | 8,179 | 0 | ||
LUMEN TECHNOLOGIES INC | COM | 156700106 | 127 | 12,550 | SH | SOLE | 0 | 12,550 | 0 | ||
SCHWAB CHARLES CORP | COM | 808513105 | 424 | 11,714 | SH | SOLE | 0 | 11,714 | 0 | ||
CHENIERE ENERGY PARTNERS LP | COM UNIT | 16411Q101 | 210 | 6,315 | SH | SOLE | 0 | 6,315 | 0 | ||
CINEDIGM CORP | COM NEW | 172406209 | 23 | 40,000 | SH | SOLE | 0 | 40,000 | 0 | ||
CISCO SYS INC | COM | 17275R102 | 422 | 10,718 | SH | SOLE | 0 | 10,718 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 399 | 5,127 | SH | SOLE | 0 | 5,127 | 0 | ||
DRAFTKINGS INC | COM CL A | 26142R104 | 313 | 5,321 | SH | SOLE | 0 | 5,321 | 0 | ||
EATON VANCE LTD DURATION INC | COM | 27828H105 | 256 | 22,639 | SH | SOLE | 0 | 22,639 | 0 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 184 | 6,149 | SH | SOLE | 0 | 6,149 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 231 | 6,720 | SH | SOLE | 0 | 6,720 | 0 | ||
FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 316188309 | 338 | 6,170 | SH | SOLE | 0 | 6,170 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 238 | 9,888 | SH | SOLE | 0 | 9,888 | 0 | ||
FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 33738D408 | 229 | 4,855 | SH | SOLE | 0 | 4,855 | 0 | ||
FORD MTR CO DEL | COM | 345370860 | 189 | 28,356 | SH | SOLE | 0 | 28,356 | 0 | ||
GENERAL MLS INC | COM | 370334104 | 524 | 8,493 | SH | SOLE | 0 | 8,493 | 0 | ||
GENIUS BRANDS INTL INC | COM | 37229T301 | 36 | 30,000 | SH | SOLE | 0 | 30,000 | 0 | ||
GOLDMAN SACHS ETF TR | ACTIVEBETA US LG | 381430503 | 322 | 4,728 | SH | SOLE | 0 | 4,728 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 2,447 | 12,175 | SH | SOLE | 0 | 12,175 | 0 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 362 | 3,436 | SH | SOLE | 0 | 3,436 | 0 | ||
HEICO CORP NEW | COM | 422806109 | 209 | 2,000 | SH | SOLE | 0 | 2,000 | 0 | ||
HOME DEPOT INC | COM | 437076102 | 264 | 952 | SH | SOLE | 0 | 952 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 224 | 1,841 | SH | SOLE | 0 | 1,841 | 0 | ||
INDIA GLOBALIZATION CAP INC | COM NEW | 45408X308 | 26 | 25,000 | SH | SOLE | 0 | 25,000 | 0 | ||
INVESCO MUN TR | COM | 46131J103 | 568 | 47,276 | SH | SOLE | 0 | 47,276 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 3,846 | 13,824 | SH | SOLE | 0 | 13,824 | 0 | ||
ISHARES TR | CORE S&P MCP ETF | 464287507 | 155 | 834 | SH | SOLE | 0 | 834 | 0 | ||
ISHARES TR | CORE S&P SCP ETF | 464287804 | 154 | 2,195 | SH | SOLE | 0 | 2,195 | 0 | ||
ISHARES TR | MSCI EAFE MIN VL | 46429B689 | 25 | 370 | SH | SOLE | 0 | 370 | 0 | ||
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 301 | 5,938 | SH | SOLE | 0 | 5,938 | 0 | ||
ISHARES TR | GLOBAL 100 ETF | 464287572 | 106 | 1,882 | SH | SOLE | 0 | 1,882 | 0 | ||
ISHARES TR | GLOBAL ENERG ETF | 464287341 | 19 | 1,154 | SH | SOLE | 0 | 1,154 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 366 | 4,357 | SH | SOLE | 0 | 4,357 | 0 | ||
ISHARES TR | IBOXX INV CP ETF | 464287242 | 24 | 181 | SH | SOLE | 0 | 181 | 0 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 208 | 1,874 | SH | SOLE | 0 | 1,874 | 0 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 5,331 | 83,748 | SH | SOLE | 0 | 83,748 | 0 | ||
ISHARES TR | EAFE VALUE ETF | 464288877 | 26 | 641 | SH | SOLE | 0 | 641 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 124 | 2,808 | SH | SOLE | 0 | 2,808 | 0 | ||
ISHARES TR | NATIONAL MUN ETF | 464288414 | 36 | 312 | SH | SOLE | 0 | 312 | 0 | ||
ISHARES TR | RUS 2000 VAL ETF | 464287630 | 7,115 | 71,628 | SH | SOLE | 0 | 71,628 | 0 | ||
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 8,566 | 38,669 | SH | SOLE | 0 | 38,669 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 271 | 1,808 | SH | SOLE | 0 | 1,808 | 0 | ||
ISHARES TR | RUS MD CP GR ETF | 464287481 | 2,670 | 15,446 | SH | SOLE | 0 | 15,446 | 0 | ||
ISHARES TR | RUS MDCP VAL ETF | 464287473 | 2,198 | 27,194 | SH | SOLE | 0 | 27,194 | 0 | ||
ISHARES TR | S&P 500 GRWT ETF | 464287309 | 15,412 | 66,694 | SH | SOLE | 0 | 66,694 | 0 | ||
ISHARES TR | S&P 500 VAL ETF | 464287408 | 12,729 | 113,199 | SH | SOLE | 0 | 113,199 | 0 | ||
ISHARES TR | SELECT DIVID ETF | 464287168 | 6,494 | 79,643 | SH | SOLE | 0 | 79,643 | 0 | ||
ISHARES TR | U.S. TECH ETF | 464287721 | 186 | 618 | SH | SOLE | 0 | 618 | 0 | ||
ISHARES TR | PFD AND INCM SEC | 464288687 | 5,590 | 153,362 | SH | SOLE | 0 | 153,362 | 0 | ||
ISHARES TR | US HLTHCR PR ETF | 464288828 | 31 | 155 | SH | SOLE | 0 | 155 | 0 | ||
HANCOCK JOHN TAX-ADVANTAGED | COM | 41013V100 | 239 | 12,522 | SH | SOLE | 0 | 12,522 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 329 | 2,210 | SH | SOLE | 0 | 2,210 | 0 | ||
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 78 | 7,260 | SH | SOLE | 0 | 7,260 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 317 | 3,295 | SH | SOLE | 0 | 3,295 | 0 | ||
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 48 | 12,000 | SH | SOLE | 0 | 12,000 | 0 | ||
LIBERTY BROADBAND CORP | COM SER C | 530307305 | 1,711 | 11,974 | SH | SOLE | 0 | 11,974 | 0 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 273 | 713 | SH | SOLE | 0 | 713 | 0 | ||
MARSH & MCLENNAN COS INC | COM | 571748102 | 270 | 2,350 | SH | SOLE | 0 | 2,350 | 0 | ||
MCDONALDS CORP | COM | 580135101 | 512 | 2,331 | SH | SOLE | 0 | 2,331 | 0 | ||
MERCK & CO. INC | COM | 58933Y105 | 330 | 3,950 | SH | SOLE | 0 | 3,950 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 456 | 2,167 | SH | SOLE | 0 | 2,167 | 0 | ||
MORGAN STANLEY EMERGING MKTS | COM | 617477104 | 114 | 20,100 | SH | SOLE | 0 | 20,100 | 0 | ||
NEXTERA ENERGY INC | COM | 65339F101 | 752 | 2,710 | SH | SOLE | 0 | 2,710 | 0 | ||
NUVEEN TAXABLE MUNICPAL INM | COM | 67074C103 | 731 | 32,487 | SH | SOLE | 0 | 32,487 | 0 | ||
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 951 | 65,212 | SH | SOLE | 0 | 65,212 | 0 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 509 | 34,525 | SH | SOLE | 0 | 34,525 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 1,168 | 74,251 | SH | SOLE | 0 | 74,251 | 0 | ||
OWL ROCK CAPITAL CORPORATION | COM | 69121K104 | 152 | 12,215 | SH | SOLE | 0 | 12,215 | 0 | ||
PAYCHEX INC | COM | 704326107 | 240 | 3,006 | SH | SOLE | 0 | 3,006 | 0 | ||
PFIZER INC | COM | 717081103 | 481 | 13,096 | SH | SOLE | 0 | 13,096 | 0 | ||
PGIM HIGH YIELD BOND FUND IN | COM | 69346H100 | 281 | 20,326 | SH | SOLE | 0 | 20,326 | 0 | ||
PHILIP MORRIS INTL INC | COM | 718172109 | 243 | 3,186 | SH | SOLE | 0 | 3,186 | 0 | ||
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 1,117 | 10,957 | SH | SOLE | 0 | 10,957 | 0 | ||
PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 746922103 | 749 | 57,540 | SH | SOLE | 0 | 57,540 | 0 | ||
SALIENT MIDSTREAM & MLP FD | SH BEN INT | 79471V105 | 57 | 16,322 | SH | SOLE | 0 | 16,322 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 620 | 10,445 | SH | SOLE | 0 | 10,445 | 0 | ||
SENSATA TECHNOLOGIES HLDNG P | SHS | G8060N102 | 326 | 7,561 | SH | SOLE | 0 | 7,561 | 0 | ||
SONOCO PRODS CO | COM | 835495102 | 838 | 16,408 | SH | SOLE | 0 | 16,408 | 0 | ||
SOUTHERN COPPER CORP | COM | 84265V105 | 284 | 6,268 | SH | SOLE | 0 | 6,268 | 0 | ||
SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 2,320 | 33,680 | SH | SOLE | 0 | 33,680 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 653 | 1,941 | SH | SOLE | 0 | 1,941 | 0 | ||
TEKLA LIFE SCIENCES INVS | SH BEN INT | 87911K100 | 259 | 14,731 | SH | SOLE | 0 | 14,731 | 0 | ||
TOP SHIPS INC | COM | Y8897Y180 | 27 | 25,000 | SH | SOLE | 0 | 25,000 | 0 | ||
TYLER TECHNOLOGIES INC | COM | 902252105 | 455 | 1,305 | SH | SOLE | 0 | 1,305 | 0 | ||
UNILEVER PLC | SPON ADR NEW | 904767704 | 234 | 3,800 | SH | SOLE | 0 | 3,800 | 0 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 5,264 | 121,748 | SH | SOLE | 0 | 121,748 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 589 | 7,109 | SH | SOLE | 0 | 7,109 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 347 | 5,835 | SH | SOLE | 0 | 5,835 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 55 | 12,000 | SH | SOLE | 0 | 12,000 | 0 | ||
WASTE MGMT INC DEL | COM | 94106L109 | 336 | 2,969 | SH | SOLE | 0 | 2,969 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 44 | 1,881 | SH | SOLE | 0 | 1,881 | 0 | ||
WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 306 | 228 | SH | SOLE | 0 | 228 | 0 |