InvestorFocused Wealth Management, Inc
Portfolio Value $ 311,857,000
Current Positions720
Opened Positions5
Closed Positions69


Latest Holdings, Performance, AUM (from 13F, 13D)

Focused Wealth Management, Inc has disclosed 720 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 311,857,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed).

Top Holdings

Focused Wealth Management, Inc's top holdings are Vanguard High Dividend Yield ETF (NYSE:VYM) , Vanguard Mega Cap 300 Growth ETF (NYSE:MGK) , SPDR Euro STOXX 50 ETF (NYSE:FEZ) , SPDR Portfolio Aggregate Bond ET (NYSE:SPAB) , and Vanguard Total Stock Market Index Fund (NYSE:VTI) . Focused Wealth Management, Inc's new positions include SPDR Portfolio Aggregate Bond ET (NYSE:SPAB) , SPDR Barclays TIPS ETF (NYSE:IPE) , SPDR Portfolio Emerging Markets (NYSE:SPEM) , First Trust Exchange-Traded AlphaDEX Fund (NYSE:FXR) , and JD.com, Inc. (NASDAQ:JD) .

All Focused Wealth Management, Inc holdings are listed in the following tables. Data is sourced from 13D/13G, 13F, and N-Q filings. Green rows indicate new positions. Red rows indicate closed positions.

This form was filed on February 13, 2018. Click the link icon to see the full transaction history.

Reporting PeriodFormSecurity Imputed
Share Price
Prev SharesCurrent SharesChange
(Percent)
Prev Value ($K)Current Value ($K)Change
(Percent)
2017-12-31 13F-HR MNE / BlackRock Muni New York Intermediate Duration Fund, Inc. 13.60 9,631 131
2017-12-31 13F-HR LXP / Lexington Corporate Properties Trust 9.68 310 310 0.00 3 3 0.00
2017-12-31 13F-HR ACM / AECOM 40.00 100 100 0.00 4 4 0.00
2017-12-31 13F-HR BLACKROCK N Y MUN INCOME TR / SH BEN INT (09248L106) 14.30 71,248 1,019
2017-12-31 13F-HR CELG / Celgene Corp. 104.35 8,253 9,554 15.76 1,203 997 -17.12
2017-12-31 13F-HR DOUBLELINE OPPORTUNISTIC CR / (258623107) 22.17 9,787 217
2017-12-31 13F-HR FACTORSHARES TR ISE CYBER SEC ADDED / DED (30304R407) 32.18 870 28
2017-12-31 13F-HR INVESCO TR INVT GRADE NY MUN / (46131T101) 13.56 1,917 26
2017-12-31 13F-HR ISHARES MSCI SINGAP ETF / ETF (464286673) 25.64 117 3
2017-12-31 13F-HR MARKET VECTORS ETF TR GOLD MINER ETF / ETF (57060U100) 22.86 700 16
2017-12-31 13F-HR POWERSHARES ETF TRUST / WNDRHLL CLN EN (73935X500) 32.26 31 1
2017-12-31 13F-HR XLE / SPDR Energy Select Sector ETF 72.27 668 595 -10.93 46 43 -6.52
2017-12-31 13F-HR MMM / 3M Co. 235.15 2,355 2,054 -12.78 494 483 -2.23
2017-12-31 13F-HR WESTERN ASSET INVT GRADE DEF / (95790A101) 23.35 728 17
2017-12-31 13F-HR JNP / Juniper Pharmaceuticals, Inc. 8.00 125 125 0.00 1 1 0.00
2017-12-31 13F-HR NUVEEN NEW YORK QLT MUN INC / (67066X107) 13.86 2,597 36
2017-12-31 13F-HR VIAV / Viavi Solutions Inc. 8.29 674 362 -46.29 4 3 -25.00
2017-12-31 13F-HR BLACKROCK CALIF MUN INCOME T / SH BEN INT (09248E102) 13.70 2,700 37
2017-12-31 13F-HR ISHARES TR MSCI UTD KNGDM / GDM (46434V548) 35.79 13,438 481
2017-12-31 13F-HR BMYMP / Bristol-Myers Squibb Co. Call 0.79 11,400 9
2017-12-31 13F-HR JNPR / Juniper Networks, Inc. Call 0.30 10,000 3
2017-12-31 13F-HR UAA / Under Armour, Inc. Put 2.11 1,900 4
2017-12-31 13F-HR GBT / Global Blood Therapeutics, Inc. 39.38 6,400 252
2017-12-31 13F-HR EWZ / iShares MSCI Brazil Capped ETF 41.24 208 194 -6.73 9 8 -11.11
2017-12-31 13F-HR PIO / PowerShares Global Exchange Traded Fund Trust 18.18 110 55 -50.00 3 1 -66.67
2017-12-31 13F-HR LSXMK / Liberty Media, Sirius XM Group Series C 41.67 24 24 0.00 1 1 0.00
2017-12-31 13F-HR ADXS / Advaxis, Inc. 3.64 275 275 0.00 1 1 0.00
2017-12-31 13F-HR AWK / American Water Works Co., Inc. 91.47 4,390 13,381 204.81 355 1,224 244.79
2017-12-31 13F-HR TSM / Taiwan Semiconductor Manufacturing Co. Ltd. 38.96 616 308 -50.00 23 12 -47.83
2017-12-31 13F-HR EDIV / SPDR S&P Emerging Markets Dividend ETF 33.27 511 511 0.00 16 17 6.25
2017-12-31 13F-HR BX / Blackstone Group L.P. (The) 32.02 119,865 94,373 -21.27 4,000 3,022 -24.45
2017-12-31 13F-HR SWKS / Skyworks Solutions, Inc. 95.65 689 690 0.15 70 66 -5.71
2017-12-31 13F-HR ONVO / Organovo Holdings, Inc. 1.50 2,000 2,000 0.00 4 3 -25.00
2017-12-31 13F-HR DE / Deere & Co. 156.69 119 919 672.27 15 144 860.00
2017-12-31 13F-HR FLEX / Flextronics International Ltd. 17.97 612 612 0.00 10 11 10.00
2017-12-31 13F-HR FUL / Fuller (H.B.) Co. 53.35 731 731 0.00 42 39 -7.14
2017-12-31 13F-HR CLNE / Clean Energy Fuels Corp. 2.12 1,816 1,416 -22.03 5 3 -40.00
2017-12-31 13F-HR APC / Anadarko Petroleum Corp. 50.00 100 100 0.00 5 5 0.00
2017-12-31 13F-HR FAX / Aberdeen Asia-Pacific Prime Income Fund, Inc. 4.35 460 460 0.00 2 2 0.00
2017-12-31 13F-HR BIF / Boulder Growth & Income Fund, Inc. 10.94 724 731 0.97 7 8 14.29
2017-12-31 13F-HR LXRX / Lexicon Pharmaceuticals, Inc. 0.00 7 7 0.00 0 0
2017-12-31 13F-HR ENZ / Enzo Biochem, Inc. 9.09 110 110 0.00 1 1 0.00
2017-12-31 13F-HR CDE / Coeur Mining, Inc. 0.00 10 10 0.00 0 0
2017-12-31 13F-HR MO / Altria Group, Inc. 71.48 5,882 4,477 -23.89 373 320 -14.21
2017-12-31 13F-HR EXI / iShares S&P Global Industrials Sector Index Fund 92.50 400 400 0.00 36 37 2.78
2017-12-31 13F-HR ARNC / Arconic Inc. 68.97 29 29 0.00 1 2 100.00
2017-12-31 13F-HR AAV / Advantage Oil & Gas Ltd. 4.44 900 450 -50.00 6 2 -66.67
2017-12-31 13F-HR APD / Air Products & Chemicals, Inc. 160.38 106 106 0.00 16 17 6.25
2017-12-31 13F-HR IYW / iShares U.S. Technology ETF 162.50 240 240 0.00 36 39 8.33
2017-12-31 13F-HR BABA / Alibaba Group Holding Limited 172.42 11,133 9,523 -14.46 1,923 1,642 -14.61
2017-12-31 13F-HR TRST / TrustCo Bank Corp. NY 6.67 150 150 0.00 1 1 0.00
2017-12-31 13F-HR AMZN / Amazon.com, Inc. 1,169.43 525 543 3.43 505 635 25.74
2017-12-31 13F-HR CNQ / Canadian Natural Resources Limited 35.00 200 200 0.00 7 7 0.00
2017-12-31 13F-HR DBD / Diebold, Inc. 20.00 100 100 0.00 2 2 0.00
2017-12-31 13F-HR ABB / ABB Ltd. 24.51 204 204 0.00 5 5 0.00
2017-12-31 13F-HR BLACKROCK NY MUNICIPAL BOND / (09249P106) 14.73 64,307 947
2017-12-31 13F-HR BLACKROCK NY MUN INCOME TR I / (09249R102) 14.81 49,492 733
2017-12-31 13F-HR AMT / American Tower Corp. (REIT) 142.61 466 575 23.39 64 82 28.13
2017-12-31 13F-HR BAX / Baxter International, Inc. 66.27 166 166 0.00 10 11 10.00
2017-12-31 13F-HR APU / AmeriGas Partners, L.P. 48.61 141 144 2.13 6 7 16.67
2017-12-31 13F-HR ARI / Apollo Commercial Real Estate Finance, Inc. 18.45 63,526 54,426 -14.32 1,150 1,004 -12.70
2017-12-31 13F-HR BDJ / BlackRock Enhanced Equity Dividend Trust 9.50 1,789 1,789 0.00 16 17 6.25
2017-12-31 13F-HR SAN / Banco Santander S.A. 0.00 23 23 0.00 0 0
2017-12-31 13F-HR BLKB / Blackbaud, Inc. 90.16 122 122 0.00 11 11 0.00
2017-12-31 13F-HR AMGN / Amgen Inc. 174.09 951 1,752 84.23 177 305 72.32
2017-12-31 13F-HR BK / Bank of New York Mellon Corp. (The) 53.79 3,681 3,681 0.00 195 198 1.54
2017-12-31 13F-HR AIG / American International Group, Inc. 59.53 2,149 5,527 157.19 132 329 149.24
2017-12-31 13F-HR BBK / BlackRock Municipal Bond Investment Trust 15.17 1,223 923 -24.53 19 14 -26.32
2017-12-31 13F-HR AINV / Apollo Investment Corp. 5.50 545 545 0.00 3 3 0.00
2017-12-31 13F-HR BDX / Becton Dickinson & Co. 212.60 354 254 -28.25 69 54 -21.74
2017-12-31 13F-HR AEP / American Electric Power Company, Inc. 73.30 914 914 0.00 64 67 4.69
2017-12-31 13F-HR AAPL / Apple, Inc. 169.23 29,759 25,687 -13.68 4,586 4,347 -5.21
2017-12-31 13F-HR BSE / BlackRock New York Insured Municipal Income Quality Trust 13.17 78,435 71,697 -8.59 1,051 944 -10.18
2017-12-31 13F-HR ABX / Barrick Gold Corp. 10.00 300 100 -66.67 5 1 -80.00
2017-12-31 13F-HR AZN / AstraZeneca Plc 34.69 23,029 26,288 14.15 780 912 16.92
2017-12-31 13F-HR AEE / Ameren Corp. 58.93 0 2,800 0 165
2017-12-31 13F-HR BIDU / Baidu, Inc. 237.50 80 80 0.00 20 19 -5.00
2017-12-31 13F-HR BRK.B / Berkshire Hathaway, Inc. 198.21 10,333 8,844 -14.41 1,894 1,753 -7.44
2017-12-31 13F-HR BHP / BHP Billiton Ltd. 0.00 1 1 0.00 0 0
2017-12-31 13F-HR CLX / Clorox Company (The) 148.15 405 405 0.00 53 60 13.21
2017-12-31 13F-HR CNP / CenterPoint Energy, Inc. 28.67 279 279 0.00 8 8 0.00
2017-12-31 13F-HR CASI / CASI Pharmaceuticals, Inc. 0.00 45 45 0.00 0 0
2017-12-31 13F-HR CMO / Capstead Mortgage Corp. 7.50 400 400 0.00 4 3 -25.00
2017-12-31 13F-HR CHK / Chesapeake Energy Corp. 4.00 10,000 10,000 0.00 43 40 -6.98
2017-12-31 13F-HR CVS / CVS Health Corporation 72.43 935 1,781 90.48 76 129 69.74
2017-12-31 13F-HR BPL / Buckeye Partners, L.P. 49.41 1,275 425 -66.67 73 21 -71.23
2017-12-31 13F-HR CAT / Caterpillar, Inc. 157.63 8,068 7,118 -11.77 1,006 1,122 11.53
2017-12-31 13F-HR CTL / CenturyLink, Inc. 16.67 639 11,758 1,740.06 12 196 1,533.33
2017-12-31 13F-HR CHL / China Mobile Ltd. 47.62 139 147 5.76 7 7 0.00
2017-12-31 13F-HR CI / Cigna Corp. 202.63 760 760 0.00 142 154 8.45
2017-12-31 13F-HR C / Citigroup, Inc. 74.41 57,794 53,891 -6.75 4,204 4,010 -4.61
2017-12-31 13F-HR CSX / CSX Corp. 53.33 450 150 -66.67 24 8 -66.67
2017-12-31 13F-HR BR / Broadridge Financial Solutions, Inc. 96.77 31 31 0.00 3 3 0.00
2017-12-31 13F-HR CSCO / Cisco Systems, Inc. 38.29 56,701 25,387 -55.23 1,907 972 -49.03
2017-12-31 13F-HR EV / Eaton Vance Corp. 11.46 37,094 785 -97.88 570 9 -98.42
2017-12-31 13F-HR EV / Eaton Vance Corp. 15.37 535 37,094 6,833.46 6 570 9,400.00
2017-12-31 13F-HR FMC / FMC Corp. 100.00 80 80 0.00 7 8 14.29
2017-12-31 13F-HR ES / Eversource Energy 63.46 1,783 1,765 -1.01 108 112 3.70
2017-12-31 13F-HR DRI / Darden Restaurants, Inc. 92.86 140 140 0.00 11 13 18.18
2017-12-31 13F-HR CNS / Cohen & Steers Inc. 12.59 2,382 2,382 0.00 30 30 0.00
2017-12-31 13F-HR DSL / DoubleLine Income Solutions Fund 19.84 504 504 0.00 11 10 -9.09
2017-12-31 13F-HR EXC / Exelon Corp. 39.44 3,892 2,637 -32.25 147 104 -29.25
2017-12-31 13F-HR EQR / Equity Residential 63.76 0 298 0 19
2017-12-31 13F-HR SXL / Sunoco Logistics Partners L.P. 18.08 1,852 1,217 -34.29 34 22 -35.29
2017-12-31 13F-HR DUK / Duke Energy Corp. (Holding Co.) 84.07 477 452 -5.24 40 38 -5.00
2017-12-31 13F-HR CRIS / Curis, Inc. 0.70 185,513 184,490 -0.55 276 129 -53.26
2017-12-31 13F-HR EMAN / eMagin Corp. 0.00 30 30 0.00 0 0
2017-12-31 13F-HR D / Dominion Resources, Inc. 80.00 425 325 -23.53 33 26 -21.21
2017-12-31 13F-HR COP / ConocoPhillips 54.84 2,258 1,860 -17.63 113 102 -9.73
2017-12-31 13F-HR EPD / Enterprise Products Partners L.P. 26.49 19,170 10,153 -47.04 500 269 -46.20
2017-12-31 13F-HR DHR / Danaher Corp. 90.00 106 100 -5.66 9 9 0.00
2017-12-31 13F-HR XOM / Exxon Mobil Corp. 83.65 24,556 25,225 2.72 2,013 2,110 4.82
2017-12-31 13F-HR KO / Coca Cola Co. 45.87 13,482 20,491 51.99 607 940 54.86
2017-12-31 13F-HR BBP / BioShares Biotechnology Products Fund 41.00 1,000 1,000 0.00 42 41 -2.38
2017-12-31 13F-HR DOV / Dover Corp. 101.19 168 168 0.00 15 17 13.33
2017-12-31 13F-HR DVN / Devon Energy Corp. 41.04 351 536 52.71 13 22 69.23
2017-12-31 13F-HR ETY / Eaton Vance Tax-Managed Diversified Income Fund 12.19 38,232 40,018 4.67 446 488 9.42
2017-12-31 13F-HR EVV / Eaton Vance Limited Duration Income Fund 17.86 0 112 0 2
2017-12-31 13F-HR CCE / Coca-Cola European Partners Plc. 39.47 1,133 1,140 0.62 47 45 -4.26
2017-12-31 13F-HR EEA / European Equity Fund, Inc. (The) 9.88 405 405 0.00 4 4 0.00
2017-12-31 13F-HR CLGX / CoreLogic, Inc. 50.00 100 100 0.00 5 5 0.00
2017-12-31 13F-HR CL / Colgate-Palmolive Co. 75.50 7,142 6,742 -5.60 520 509 -2.12
2017-12-31 13F-HR DAL / Delta Air Lines, Inc. 56.00 9,317 7,197 -22.75 449 403 -10.24
2017-12-31 13F-HR EMN / Eastman Chemical Company 92.70 33 2,233 6,666.67 3 207 6,800.00
2017-12-31 13F-HR ETFC / E*TRADE Financial, Inc. 0.00 10 5 -50.00 0 0
2017-12-31 13F-HR HANCOCK JOHN PREMUIM DIV FD / COM SH BEN INT (41013T105) 17.11 4,033 69
2017-12-31 13F-HR GILD / Gilead Sciences, Inc. 71.66 24,968 23,012 -7.83 2,023 1,649 -18.49
2017-12-31 13F-HR GXP / Great Plains Energy, Inc. 30.00 600 200 -66.67 18 6 -66.67
2017-12-31 13F-HR FTR / Frontier Communications Corp. 4.63 815 216 -73.50 10 1 -90.00
2017-12-31 13F-HR ILMN / Illumina, Inc. 218.55 1,791 1,423 -20.55 357 311 -12.89
2017-12-31 13F-HR INFY / Infosys Limited 21.74 92 46 -50.00 1 1 0.00
2017-12-31 13F-HR IP / International Paper Company 57.14 350 350 0.00 20 20 0.00
2017-12-31 13F-HR FB / Facebook, Inc. 176.48 24,688 22,428 -9.15 4,218 3,958 -6.16
2017-12-31 13F-HR INAP / Internap Corporation 0.00 100 25 -75.00 0 0
2017-12-31 13F-HR FTI / FMC Technologies, Inc. 29.41 136 136 0.00 4 4 0.00
2017-12-31 13F-HR FSIC / FS Investment Corporation 6.93 1,010 1,010 0.00 9 7 -22.22
2017-12-31 13F-HR FLR / Fluor Corp. 51.20 332 332 0.00 14 17 21.43
2017-12-31 13F-HR GOOG / Alphabet Inc. Class C 1,048.03 229 229 0.00 220 240 9.09
2017-12-31 13F-HR HON / Honeywell International, Inc. 153.30 1,647 848 -48.51 233 130 -44.21
2017-12-31 13F-HR HCLP / Hi-Crush Partners LP 10.37 675 675 0.00 6 7 16.67
2017-12-31 13F-HR GPS / Gap, Inc. (The) 35.71 112 112 0.00 3 4 33.33
2017-12-31 13F-HR FNSR / Finisar Corporation 16.13 62 62 0.00 1 1 0.00
2017-12-31 13F-HR GS / Goldman Sachs Group, Inc. (The) 254.73 10,057 8,134 -19.12 2,385 2,072 -13.12
2017-12-31 13F-HR GDV / Gabelli Dividend & Income Trust (The) 23.58 1,051 1,060 0.86 24 25 4.17
2017-12-31 13F-HR GM / General Motors Company 40.96 1,871 10,548 463.76 76 432 468.42
2017-12-31 13F-HR HCN / Welltower Inc. 63.82 8,640 9,355 8.28 607 597 -1.65
2017-12-31 13F-HR FCX / Freeport-McMoRan Inc. 18.94 28,407 21,643 -23.81 399 410 2.76
2017-12-31 13F-HR IPI / Intrepid Potash, Inc. 0.00 50 50 0.00 0 0
2017-12-31 13F-HR HPQ / HP Inc. 20.00 100 100 0.00 2 2 0.00
2017-12-31 13F-HR GG / Goldcorp, Inc. 0.00 124 32 -74.19 2 0 -100.00
2017-12-31 13F-HR HBAN / Huntington Bancshares, Inc. 15.32 457 457 0.00 6 7 16.67
2017-12-31 13F-HR HAL / Halliburton Co. (Holding Company) 48.76 1,554 1,128 -27.41 72 55 -23.61
2017-12-31 13F-HR GSK / GlaxoSmithKline plc 35.75 1,007 1,007 0.00 41 36 -12.20
2017-12-31 13F-HR IMDZ / Immune Design Corp. 3.76 13,065 2,395 -81.67 135 9 -93.33
2017-12-31 13F-HR IMAX / Imax Corp. 33.33 30 30 0.00 1 1 0.00
2017-12-31 13F-HR HOG / Harley-Davidson, Inc. 50.51 297 297 0.00 14 15 7.14
2017-12-31 13F-HR GIS / General Mills, Inc. 59.43 400 3,500 775.00 21 208 890.48
2017-12-31 13F-HR ISHARES MSCI MALAYSI ETF / ETF (464286830) 34.29 175 6
2017-12-31 13F-HR CSJ / iShares 1-3 Year Credit Bond ETF 104.09 807 807 0.00 85 84 -1.18
2017-12-31 13F-HR JNJ / Johnson & Johnson 139.73 17,421 13,419 -22.97 2,265 1,875 -17.22
2017-12-31 13F-HR IAU / iShares Gold Trust 12.57 4,533 4,533 0.00 56 57 1.79
2017-12-31 13F-HR IWS / iShares Russell Mid-Cap Value ETF 88.46 517 260 -49.71 44 23 -47.73
2017-12-31 13F-HR LQD / iShares iBoxx $ Investment Grade Corporate Bond ETF 121.15 520 520 0.00 63 63 0.00
2017-12-31 13F-HR JKJ / iShares Morningstar Small-Cap ETF 171.17 111 111 0.00 18 19 5.56
2017-12-31 13F-HR IWF / iShares Russell 1000 Growth ETF 134.64 10,066 10,480 4.11 1,259 1,411 12.07
2017-12-31 13F-HR PFF / iShares U.S. Preferred Stock ETF 38.06 7,997 7,278 -8.99 310 277 -10.65
2017-12-31 13F-HR OEF / iShares S&P 100 ETF 118.64 37,517 39,345 4.87 4,176 4,668 11.78
2017-12-31 13F-HR HYG / iShares iBoxx $ High Yield Corporate Bond ETF 86.89 867 702 -19.03 77 61 -20.78
2017-12-31 13F-HR HDV / iShares Core High Dividend ETF 90.12 1,731 577 -66.67 149 52 -65.10
2017-12-31 13F-HR GBF / iShares Government/Credit Bond ETF 111.11 63 63 0.00 7 7 0.00
2017-12-31 13F-HR AOA / iShares Core Aggressive Allocation ETF 53.23 263 263 0.00 14 14 0.00
2017-12-31 13F-HR IYM / iShares U.S. Basic Materials ETF 102.52 1,065 556 -47.79 102 57 -44.12
2017-12-31 13F-HR SLV / iShares Silver Trust 15.95 761 3,261 328.52 12 52 333.33
2017-12-31 13F-HR IYR / iShares U.S. Real Estate ETF 80.76 709 681 -3.95 57 55 -3.51
2017-12-31 13F-HR AGG / iShares Core U.S. Aggregate Bond ETF 109.44 4,048 4,048 0.00 444 443 -0.23
2017-12-31 13F-HR IXJ / iShares Global Healthcare ETF 112.90 62 62 0.00 7 7 0.00
2017-12-31 13F-HR IEO / iShares U.S. Oil & Gas Exploration & Production ETF 65.90 696 349 -49.86 41 23 -43.90
2017-12-31 13F-HR JKD / iShares Morningstar Large Cap ETF 150.00 40 40 0.00 6 6 0.00
2017-12-31 13F-HR NYF / iShares New York Muni Bond ETF 55.66 710 1,114 56.90 80 62 -22.50
2017-12-31 13F-HR JPM / JPMorgan Chase & Co. 107.00 6,073 5,561 -8.43 580 595 2.59
2017-12-31 13F-HR AOR / iShares Core Growth Allocation ETF 45.80 130 131 0.77 6 6 0.00
2017-12-31 13F-HR CIU / iShares Intermediate Credit Bond ETF 109.21 758 760 0.26 83 83 0.00
2017-12-31 13F-HR ICF / iShares Cohen & Steers REIT ETF 96.77 31 31 0.00 3 3 0.00
2017-12-31 13F-HR EFA / iShares MSCI EAFE ETF 68.44 521 263 -49.52 36 18 -50.00
2017-12-31 13F-HR IWN / iShares Russell 2000 Value ETF 125.69 2,746 1,448 -47.27 341 182 -46.63
2017-12-31 13F-HR EWC / iShares MSCI Canada ETF 31.01 284 258 -9.15 8 8 0.00
2017-12-31 13F-HR IVW / iShares S&P 500 Growth ETF 152.70 5,293 4,715 -10.92 759 720 -5.14
2017-12-31 13F-HR IVE / iShares S&P 500 Value ETF 113.74 421 211 -49.88 45 24 -46.67
2017-12-31 13F-HR MRO / Marathon Oil Corp. 16.93 3,481 2,481 -28.73 47 42 -10.64
2017-12-31 13F-HR KMI / Kinder Morgan, Inc. 18.66 22,609 804 -96.44 434 15 -96.54
2017-12-31 13F-HR MDLZ / Mondelez International, Inc. 42.80 7,180 5,771 -19.62 292 247 -15.41
2017-12-31 13F-HR DNOW / NOW Inc. 0.00 17 8 -52.94 0 0
2017-12-31 13F-HR MSFT / Microsoft Corp. 85.53 7,334 11,867 61.81 546 1,015 85.90
2017-12-31 13F-HR MAT / Mattel, Inc. 27.78 72 36 -50.00 1 1 0.00
2017-12-31 13F-HR MFA / MFA Financial, Inc. 8.00 500 500 0.00 4 4 0.00
2017-12-31 13F-HR MET / MetLife, Inc. 51.28 152 195 28.29 8 10 25.00
2017-12-31 13F-HR MCD / McDonald's Corp. 172.74 621 521 -16.10 97 90 -7.22
2017-12-31 13F-HR NOK / Nokia Corp. 3.39 295 295 0.00 2 1 -50.00
2017-12-31 13F-HR MRK / Merck & Co., Inc. 56.33 11,537 7,278 -36.92 739 410 -44.52
2017-12-31 13F-HR MMP / Magellan Midstream Partners, L.P. 70.09 428 214 -50.00 30 15 -50.00
2017-12-31 13F-HR LLY / Eli Lilly & Co. 84.60 689 591 -14.22 59 50 -15.25
2017-12-31 13F-HR LOW / Lowe's Companies, Inc. 92.64 1,142 842 -26.27 91 78 -14.29
2017-12-31 13F-HR NVS / Novartis AG 83.98 1,205 905 -24.90 103 76 -26.21
2017-12-31 13F-HR JPS / Nuveen Preferred Securities Income Fund 10.32 775 775 0.00 8 8 0.00
2017-12-31 13F-HR LVS / Las Vegas Sands Corp. 69.81 1,133 573 -49.43 73 40 -45.21
2017-12-31 13F-HR JLS / Nuveen Mortgage Opportunity Fund 25.10 478 478 0.00 12 12 0.00
2017-12-31 13F-HR NCR / NCR Corp. 27.78 36 36 0.00 1 1 0.00
2017-12-31 13F-HR NVDA / NVIDIA Corp. 195.12 164 164 0.00 29 32 10.34
2017-12-31 13F-HR L / Loews Corp. 50.00 800 2,300 187.50 38 115 202.63
2017-12-31 13F-HR MPW / Medical Properties Trust Inc. 15.00 2,400 400 -83.33 32 6 -81.25
2017-12-31 13F-HR JWN / Nordstrom, Inc. 46.95 426 426 0.00 20 20 0.00
2017-12-31 13F-HR JDD / Nuveen Diversified Dividend and Income Fund 12.68 810 473 -41.60 10 6 -40.00
2017-12-31 13F-HR MON / Monsanto Co. 116.59 657 446 -32.12 79 52 -34.18
2017-12-31 13F-HR LKQ / LKQ Corp. 41.03 390 390 0.00 14 16 14.29
2017-12-31 13F-HR NSC / Norfolk Southern Corp. 144.60 296 1,397 371.96 39 202 417.95
2017-12-31 13F-HR MU / Micron Technology, Inc. 41.14 600 10,500 1,650.00 24 432 1,700.00
2017-12-31 13F-HR LMT / Lockheed Martin Corp. 321.84 303 174 -42.57 94 56 -40.43
2017-12-31 13F-HR LBRDK / Liberty Broadband Corporation, Class C 166.67 6 6 0.00 1 1 0.00
2017-12-31 13F-HR MSI / Motorola Solutions, Inc. 142.86 14 7 -50.00 1 1 0.00
2017-12-31 13F-HR MLI / Mueller Industries, Inc. 34.68 519 519 0.00 18 18 0.00
2017-12-31 13F-HR PFG / Principal Financial Group, Inc. 72.73 620 110 -82.26 40 8 -80.00
2017-12-31 13F-HR PTLA / Portola Pharmaceuticals, Inc. 48.00 125 125 0.00 7 6 -14.29
2017-12-31 13F-HR STPZ / PIMCO 1-5 Year U.S. TIPS Index Exchange-Traded Fund 51.99 78,513 11,271 -85.64 4,098 586 -85.70
2017-12-31 13F-HR ORAN / Orange 17.92 614 614 0.00 10 11 10.00
2017-12-31 13F-HR DBA / PowerShares DB Agriculture Fund 19.00 1,000 1,000 0.00 19 19 0.00
2017-12-31 13F-HR PGH / Pengrowth Energy Corp. 0.89 1,121 1,121 0.00 1 1 0.00
2017-12-31 13F-HR PPG / PPG Industries, Inc. 120.00 300 100 -66.67 33 12 -63.64
2017-12-31 13F-HR OCLR / Oclaro, Inc 0.00 20 20 0.00 0 0
2017-12-31 13F-HR PEP / PepsiCo, Inc. 119.98 315 1,617 413.33 35 194 454.29
2017-12-31 13F-HR XPDIX / PIMCO Dynamic Income Fund 30.00 500 500 0.00 15 15 0.00
2017-12-31 13F-HR HYS / PIMCO 0-5 Year High Yield Corporate Bond Index Fund 100.63 1,929 1,590 -17.57 196 160 -18.37
2017-12-31 13F-HR SSO / ProShares Ultra S&P500 110.00 600 600 0.00 58 66 13.79
2017-12-31 13F-HR PGX / PowerShares Preferred Portfolio 14.85 797 808 1.38 12 12 0.00
2017-12-31 13F-HR PXH / PowerShares Exchange-Traded Fund Trust II 21.98 91 91 0.00 2 2 0.00
2017-12-31 13F-HR PPL / PPL Corp. 30.95 2,466 7,366 198.70 94 228 142.55
2017-12-31 13F-HR PCAR / PACCAR, Inc. 62.50 64 32 -50.00 5 2 -60.00
2017-12-31 13F-HR PLUG / Plug Power, Inc. 2.21 1,360 1,360 0.00 4 3 -25.00
2017-12-31 13F-HR PBI / Pitney Bowes, Inc. 10.00 100 100 0.00 1 1 0.00
2017-12-31 13F-HR POWL / Powell Industries, Inc. 30.00 600 300 -50.00 18 9 -50.00
2017-12-31 13F-HR PVCT / Provectus Biopharmaceuticals, Inc. 0.11 0 9,250 0 1
2017-12-31 13F-HR PRU / Prudential Financial, Inc. 114.76 1,493 2,344 57.00 159 269 69.18
2017-12-31 13F-HR PFE / Pfizer, Inc. 36.21 30,716 31,011 0.96 1,097 1,123 2.37
2017-12-31 13F-HR PUK / Prudential PLC 50.00 300 300 0.00 14 15 7.14
2017-12-31 13F-HR OMC / Omnicom Group, Inc. 73.12 1,600 1,600 0.00 119 117 -1.68
2017-12-31 13F-HR PWV / PowerShares Dynamic Large Cap Value Portfolio 39.07 1,629 1,638 0.55 61 64 4.92
2017-12-31 13F-HR PAA / Plains All American Pipeline, L.P. 19.75 405 405 0.00 9 8 -11.11
2017-12-31 13F-HR QQQ / PowerShares QQQ Trust 155.71 4,226 2,479 -41.34 615 386 -37.24
2017-12-31 13F-HR PCY / PowerShares Emerging Markets Sovereign Debt Portfolio 21.28 47 47 0.00 1 1 0.00
2017-12-31 13F-HR OXY / Occidental Petroleum Corp. 73.65 100 3,150 3,050.00 6 232 3,766.67
2017-12-31 13F-HR PFLT / PennantPark Floating Rate Capital Ltd. 13.33 750 750 0.00 11 10 -9.09
2017-12-31 13F-HR PNF / PIMCO New York Municipal Income Fund 12.38 1,050 1,050 0.00 14 13 -7.14
2017-12-31 13F-HR ORLY / O'Reilly Automotive, Inc. 266.67 15 15 0.00 3 4 33.33
2017-12-31 13F-HR RHP / Ryman Hospitality Properties, Inc. 68.57 175 175 0.00 11 12 9.09
2017-12-31 13F-HR XLF / SPDR Financial Select Sector ETF 27.91 281,412 284,443 1.08 7,277 7,939 9.10
2017-12-31 13F-HR XLU / SPDR Utilities Select Sector ETF 52.95 1,490 1,492 0.13 79 79 0.00
2017-12-31 13F-HR TSLA / Tesla Motors, Inc. 311.37 2,579 2,701 4.73 880 841 -4.43
2017-12-31 13F-HR CWB / SPDR Barclays Convertible Securities ETF 50.58 27,041 27,381 1.26 1,381 1,385 0.29
2017-12-31 13F-HR TICC / TICC Capital Corp. 5.77 866 866 0.00 6 5 -16.67
2017-12-31 13F-HR RPM / RPM International, Inc. 53.76 279 279 0.00 14 15 7.14
2017-12-31 13F-HR SJM / Smucker (J.M.) Co. 0.00 2 2 0.00 0 0
2017-12-31 13F-HR GLD / SPDR Gold Shares 123.84 1,397 1,397 0.00 170 173 1.76
2017-12-31 13F-HR SAL / Salisbury Bancorp, Inc. 44.53 4,022 2,942 -26.85 187 131 -29.95
2017-12-31 13F-HR STL / Sterling Bancorp 24.97 721 721 0.00 18 18 0.00
2017-12-31 13F-HR SDY / SPDR S&P Dividend ETF 95.24 147 147 0.00 13 14 7.69
2017-12-31 13F-HR SYT / Syngenta AG 90.00 200 100 -50.00 18 9 -50.00
2017-12-31 13F-HR SO / Southern Co. (The) 48.21 2,309 2,261 -2.08 113 109 -3.54
2017-12-31 13F-HR REGI / Renewable Energy Group, Inc. 0.00 24 24 0.00 0 0
2017-12-31 13F-HR SYNA / Synaptics, Inc. 40.00 0 200 0 8
2017-12-31 13F-HR O / Realty Income Corp. 56.94 7,266 5,831 -19.75 416 332 -20.19
2017-12-31 13F-HR SON / Sonoco Products Co. 53.03 924 924 0.00 47 49 4.26
2017-12-31 13F-HR SPY / SPDR S&P 500 ETF Trust 272.73 278 44 -84.17 70 12 -82.86
2017-12-31 13F-HR TCP / TC Pipelines, LP 50.69 213 217 1.88 11 11 0.00
2017-12-31 13F-HR RVLT / Revolution Lighting Technologies, Inc. 3.64 1,210 1,100 -9.09 8 4 -50.00
2017-12-31 13F-HR SLB / Schlumberger Ltd. 67.39 9,431 14,157 50.11 658 954 44.98
2017-12-31 13F-HR DIA / SPDR Dow Jones Industrial Average ETF 247.64 2,690 2,011 -25.24 602 498 -17.28
2017-12-31 13F-HR SCHN / Schnitzer Steel Industries, Inc. 31.75 63 63 0.00 2 2 0.00
2017-12-31 13F-HR SIRI / Sirius XM Holdings Inc. 5.41 7,433 4,438 -40.29 41 24 -41.46
2017-12-31 13F-HR RTN / Raytheon Co. 187.55 1,578 1,317 -16.54 294 247 -15.99
2017-12-31 13F-HR SU / Suncor Energy Inc. 38.79 230 232 0.87 8 9 12.50
2017-12-31 13F-HR SCG / SCANA Corp. 40.08 1,597 1,597 0.00 77 64 -16.88
2017-12-31 13F-HR SMCI / Super Micro Computer, Inc. 20.89 2,250 2,250 0.00 50 47 -6.00
2017-12-31 13F-HR RSP / Guggenheim S&P 500 Equal Weight ETF 100.00 349 350 0.29 33 35 6.06
2017-12-31 13F-HR TOT / Total S.A. 55.00 1,100 1,000 -9.09 59 55 -6.78
2017-12-31 13F-HR USNA / USANA Health Sciences, Inc. 71.43 112 112 0.00 6 8 33.33
2017-12-31 13F-HR MGK / Vanguard Mega Cap 300 Growth ETF 111.33 216,905 220,750 1.77 22,714 24,576 8.20
2017-12-31 13F-HR TRP / TransCanada Corp. 50.00 200 200 0.00 10 10 0.00
2017-12-31 13F-HR VIG / Vanguard Dividend Appreciation ETF 102.01 4,262 3,980 -6.62 404 406 0.50
2017-12-31 13F-HR VGT / Vanguard Information Technology ETF 164.73 87,767 78,627 -10.41 13,340 12,952 -2.91
2017-12-31 13F-HR VIS / Vanguard Industrials ETF 141.54 1,032 325 -68.51 139 46 -66.91
2017-12-31 13F-HR VEU / Vanguard FTSE All-World ex-US ETF 54.79 861 876 1.74 45 48 6.67
2017-12-31 13F-HR VFH / Vanguard Financials ETF 70.04 76,006 63,548 -16.39 4,968 4,451 -10.41
2017-12-31 13F-HR VHT / Vanguard Health Care ETF 154.14 68,490 66,427 -3.01 10,430 10,239 -1.83
2017-12-31 13F-HR SLCA / U.S. Silica Holdings, Inc. 32.00 125 125 0.00 4 4 0.00
2017-12-31 13F-HR TWTR / Twitter, Inc. 23.77 1,869 1,262 -32.48 32 30 -6.25
2017-12-31 13F-HR BSV / Vanguard Short-Term Bond ETF 79.15 1,315 1,276 -2.97 105 101 -3.81
2017-12-31 13F-HR VTR / Ventas, Inc. 60.00 3,212 1,600 -50.19 209 96 -54.07
2017-12-31 13F-HR VTV / Vanguard Value ETF 106.31 31,945 34,108 6.77 3,189 3,626 13.70
2017-12-31 13F-HR TWX / Time Warner, Inc. 91.51 1,038 907 -12.62 106 83 -21.70
2017-12-31 13F-HR VCIT / Vanguard Intermediate-Term Corporate Bond Index Fund 87.49 1,463 1,463 0.00 129 128 -0.78
2017-12-31 13F-HR TIME / Time Inc. 22.06 151 136 -9.93 2 3 50.00
2017-12-31 13F-HR VT / Vanguard Total World Stock ETF 74.63 67 67 0.00 5 5 0.00
2017-12-31 13F-HR UNP / Union Pacific Corp. 133.33 300 375 25.00 35 50 42.86
2017-12-31 13F-HR BND / Vanguard Total Bond Market ETF 81.57 166,236 48,045 -71.10 13,625 3,919 -71.24
2017-12-31 13F-HR VO / Vanguard Mid-Cap ETF 154.67 225 1,681 647.11 33 260 687.88
2017-12-31 13F-HR VWO / Vanguard FTSE Emerging Markets ETF 45.73 348 1,640 371.26 15 75 400.00
2017-12-31 13F-HR TCAP / Triangle Capital Corp. 0.00 7 7 0.00 0 0
2017-12-31 13F-HR UNM / Unum Group 71.43 28 28 0.00 1 2 100.00
2017-12-31 13F-HR VLO / Valero Energy Corp. 91.82 392 3,692 841.84 30 339 1,030.00
2017-12-31 13F-HR VXF / Vanguard Extended Market ETF 112.15 628 428 -31.85 67 48 -28.36
2017-12-31 13F-HR VB / Vanguard Small-Cap ETF 148.02 854 1,412 65.34 121 209 72.73
2017-12-31 13F-HR USB / U.S. Bancorp 53.53 10,276 8,650 -15.82 551 463 -15.97
2017-12-31 13F-HR VNQ / Vanguard REIT ETF 83.33 810 804 -0.74 67 67 0.00
2017-12-31 13F-HR PRTA / Prothena Corp plc 37.56 9,250 6,150 -33.51 599 231 -61.44
2017-12-31 13F-HR HEDJ / WisdomTree International Hedged Equity Fund 64.52 59 155 162.71 4 10 150.00
2017-12-31 13F-HR CPLP / Capital Product Partners L.P. 3.03 659 659 0.00 2 2 0.00
2017-12-31 13F-HR VOD / Vodafone Group Plc 31.79 16,868 692 -95.90 480 22 -95.42
2017-12-31 13F-HR AUY / Yamana Gold Inc. 2.61 383 383 0.00 1 1 0.00
2017-12-31 13F-HR ACN / Accenture plc 155.00 319 200 -37.30 43 31 -27.91
2017-12-31 13F-HR ZF / Zweig Fund, Inc. 12.15 988 494 -50.00 13 6 -53.85
2017-12-31 13F-HR IR / Ingersoll-Rand plc 83.33 100 72 -28.00 9 6 -33.33
2017-12-31 13F-HR APLE / Apple Hospitality REIT, Inc. 21.74 226 230 1.77 4 5 25.00
2017-12-31 13F-HR DFE / WisdomTree Europe SmallCap Dividend Fund 76.92 65 65 0.00 5 5 0.00
2017-12-31 13F-HR WR / Westar Energy, Inc. 50.00 119 120 0.84 6 6 0.00
2017-12-31 13F-HR WYN / Wyndham Worldwide Corp. 100.00 40 20 -50.00 4 2 -50.00
2017-12-31 13F-HR BEP / Brookfield Renewable Partners L.P. 34.29 700 700 0.00 23 24 4.35
2017-12-31 13F-HR DGS / WisdomTree Emerging Markets SmallCap Dividend Fund 58.82 17 17 0.00 1 1 0.00
2017-12-31 13F-HR VRTX / Vertex Pharmaceuticals Inc. 153.85 65 65 0.00 10 10 0.00
2017-12-31 13F-HR WBA / Walgreens Boots Alliance, Inc. 71.43 559 308 -44.90 43 22 -48.84
2017-12-31 13F-HR IBB / iShares Nasdaq Biotechnology ETF 106.67 303 375 23.76 101 40 -60.40
2017-12-31 13F-HR ZBH / Zimmer Biomet Holdings, Inc 116.50 143 103 -27.97 17 12 -29.41
2017-12-31 13F-HR AGN / Allergan plc 163.81 18 818 4,444.44 4 134 3,250.00
2017-12-31 13F-HR WEN / The Wendy's Company 16.36 1,650 1,650 0.00 26 27 3.85
2017-12-31 13F-HR VRTV / Veritiv Corporation 0.00 23 14 -39.13 1 0 -100.00
2017-12-31 13F-HR CS / Credit Suisse Group 17.85 44,737 78,487 75.44 707 1,401 98.16
2017-12-31 13F-HR KWKAQ / Quicksilver Resources Inc. 0.00 18 18 0.00 0 0
2017-12-31 13F-HR WMT / Wal-Mart Stores, Inc. 98.85 2,060 3,915 90.05 161 387 140.37
2017-12-31 13F-HR WM / Waste Management, Inc. 88.24 204 102 -50.00 16 9 -43.75
2017-12-31 13F-HR ASA / ASA Gold and Precious Metals Ltd. 10.00 100 100 0.00 1 1 0.00
2017-12-31 13F-HR VTI / Vanguard Total Stock Market Index Fund 137.25 99,726 95,097 -4.64 12,917 13,052 1.05
2017-12-31 13F-HR LAZ / Lazard Ltd. 51.05 796 333 -58.17 36 17 -52.78
2017-12-31 13F-HR LUV / Southwest Airlines Co. 63.29 79 79 0.00 4 5 25.00
2017-12-31 13F-HR SDRL / Seadrill Limited 0.00 4,400 200 -95.45 2 0 -100.00
2017-12-31 13F-HR JNK / SPDR Barclays High Yield Bond ETF 36.73 11,688 13,533 15.79 436 497 13.99
2017-12-31 13F-HR XL / XL Group Ltd. 35.16 4 5,489 137,125.00 0 193
2017-12-31 13F-HR DB / Deutsche Bank AG 18.95 8,161 5,645 -30.83 141 107 -24.11
2017-12-31 13F-HR GNL / Global Net Lease Inc. 20.83 1,911 1,200 -37.21 42 25 -40.48
2017-12-31 13F-HR SQ / Square, Inc. 34.18 525 907 72.76 15 31 106.67
2017-12-31 13F-HR CLVS / Clovis Oncology, Inc. 67.98 1,100 1,015 -7.73 91 69 -24.18
2017-12-31 13F-HR DDD / 3 D Systems Corp. 0.00 0 30 0 0
2017-12-31 13F-HR POT / Potash Corp. of Saskatchewan, Inc. 20.80 2,455 1,442 -41.26 47 30 -36.17
2017-12-31 13F-HR STAG / STAG Industrial, Inc. 27.60 665 797 19.85 18 22 22.22
2017-12-31 13F-HR HES / Hess Corp. 46.56 730 494 -32.33 34 23 -32.35
2017-12-31 13F-HR NKE / Nike, Inc. 62.38 1,058 1,058 0.00 55 66 20.00
2017-12-31 13F-HR ETG / Eaton Vance Tax-Advantaged Global Dividend Income Fund 17.33 90,872 43,731 -51.88 1,563 758 -51.50
2017-12-31 13F-HR LITE / Lumentum Holdings Inc. 44.78 102 67 -34.31 6 3 -50.00
2017-12-31 13F-HR BMO / Bank of Montreal (PQ) 80.00 150 150 0.00 11 12 9.09
2017-12-31 13F-HR PJT / PJT Partners Inc. 55.56 58 36 -37.93 2 2 0.00
2017-12-31 13F-HR TXT / Textron, Inc. 0.00 1 1 0.00 0 0
2017-12-31 13F-HR V / Visa, Inc. 112.99 354 354 0.00 37 40 8.11
2017-12-31 13F-HR TGH / Textainer Group Holdings, Ltd. 23.70 211 211 0.00 4 5 25.00
2017-12-31 13F-HR EIS / iShares, Inc. 50.97 562 569 1.25 28 29 3.57
2017-12-31 13F-HR KHC / Kraft Heinz Company 77.70 1,753 1,673 -4.56 136 130 -4.41
2017-12-31 13F-HR MKC / McCormick & Co., Inc. 105.26 0 38 0 4
2017-12-31 13F-HR CC / Chemours Company (The) 50.00 1,238 560 -54.77 63 28 -55.56
2017-12-31 13F-HR NDRM / NeuroDerm Ltd. 31.25 0 32 0 1
2017-12-31 13F-HR EA / Electronic Arts Inc. 100.00 80 80 0.00 9 8 -11.11
2017-12-31 13F-HR FEYE / FireEye, Inc. 13.33 450 375 -16.67 8 5 -37.50
2017-12-31 13F-HR SDIV / Global X SuperDividend ETF 20.00 250 250 0.00 6 5 -16.67
2017-12-31 13F-HR SPH / Suburban Propane Partners, L.P. 25.00 120 120 0.00 3 3 0.00
2017-12-31 13F-HR VER / VEREIT, Inc. 7.40 1,216 1,216 0.00 10 9 -10.00
2017-12-31 13F-HR SBH / Sally Beauty Holdings, Inc. 18.31 437 437 0.00 9 8 -11.11
2017-12-31 13F-HR NEWR / New Relic, Inc. 57.91 3,540 3,540 0.00 176 205 16.48
2017-12-31 13F-HR K / Kellogg Co. 68.12 0 3,450 0 235
2017-12-31 13F-HR VIAV / Viavi Solutions Inc. 5.93 537 674 25.51 5 4 -20.00
2017-12-31 13F-HR VOYA / Voya Financial, Inc. 49.42 0 5,200 0 257
2017-12-31 13F-HR LEA / Lear Corp. 176.30 0 1,055 0 186
2017-12-31 13F-HR PNC / PNC Financial Services Group, Inc. (The) 160.00 0 25 0 4
2017-12-31 13F-HR BPZRQ / BPZ Resources, Inc. 1.75 196,875 36,095 -81.67 272 63 -76.84
2017-12-31 13F-HR RY / Royal Bank of Canada (Montreal, PQ) 80.57 209 211 0.96 16 17 6.25
2017-12-31 13F-HR M / Macy's, Inc. 25.19 0 5,400 0 136
2017-12-31 13F-HR TRXC / TransEnterix, Inc. 2.00 1,000 1,000 0.00 1 2 100.00
2017-12-31 13F-HR TOTL / SPDR Doubleline Total Return Tactical ETF 50.00 0 320 0 16
2017-12-31 13F-HR AAL / American Airlines Group Inc. 52.03 0 2,902 0 151
2017-12-31 13F-HR TMV / Direxion Daily 20+ Year Treasury 20.00 100 100 0.00 2 2 0.00
2017-12-31 13F-HR SAFM / Sanderson Farms, Inc. 138.05 297 297 0.00 48 41 -14.58
2017-12-31 13F-HR IYE / iShares U.S. Energy ETF 71.43 14 14 0.00 1 1 0.00
2017-12-31 13F-HR SPPI / Spectrum Pharmaceuticals, Inc. 19.00 4,000 4,000 0.00 56 76 35.71
2017-12-31 13F-HR WYNN / Wynn Resorts Ltd. 168.00 500 500 0.00 74 84 13.51
2017-12-31 13F-HR RE / Everest RE Group, Ltd. (Holding Co.) 222.00 0 500 0 111
2017-12-31 13F-HR CRBN / iShares MSCI ACWI Low Carbon Target ETF 120.00 50 50 0.00 6 6 0.00
2017-12-31 13F-HR LRCX / Lam Research Corp. 183.97 0 761 0 140
2017-12-31 13F-HR TKR / Timken Co. (THE) 50.00 200 200 0.00 10 10 0.00
2017-12-31 13F-HR IEP / Icahn Enterprises L.P. 50.00 100 100 0.00 5 5 0.00
2017-12-31 13F-HR BCS / Barclays Bank Plc 10.96 3,833 3,833 0.00 40 42 5.00
2017-12-31 13F-HR AFL / AFLAC, Inc. 88.00 0 2,250 0 198
2017-12-31 13F-HR HIG / Hartford Financial Services Group, Inc. (The) 56.42 0 3,350 0 189
2017-12-31 13F-HR UAL / United Continental Holdings, Inc. 67.50 0 2,000 0 135
2017-12-31 13F-HR SHPG / Shire Plc. 166.67 12 12 0.00 2 2 0.00
2017-12-31 13F-HR KSS / Kohl's Corp. 54.32 0 3,700 0 201
2017-12-31 13F-HR MCHP / Microchip Technology Inc. 90.23 100 133 33.00 9 12 33.33
2017-12-31 13F-HR EUFN / iShares MSCI Europe Financials ETF 28.57 0 70 0 2
2017-12-31 13F-HR MSCC / Microsemi Corp. 0.00 2 2 0.00 0 0
2017-12-31 13F-HR AMAT / Applied Materials, Inc. 50.00 0 100 0 5
2017-12-31 13F-HR FOX / Twenty-First Century Fox, Inc. 34.64 0 2,800 0 97
2017-12-31 13F-HR WY / Weyerhaeuser Co. 37.19 242 242 0.00 8 9 12.50
2017-12-31 13F-HR XLRE / Real Estate Select Sector SPDR Fund 0.00 8 4 -50.00 0 0
2017-12-31 13F-HR HCA / HCA Holdings Inc. 87.71 0 2,930 0 257
2017-12-31 13F-HR JBLU / JetBlue Airways Corp. 22.37 0 8,450 0 189
2017-12-31 13F-HR CME / CME Group, Inc. 142.86 0 35 0 5
2017-12-31 13F-HR CREDIT SUISSE AG NASSAU BRH / VEL SH 3X LG NAT (22539T324) 73.00 1,000 73
2017-12-31 13F-HR ISHARES MSCI JAPAN ETF / ETF (464286848) 59.86 852 51
2017-12-31 13F-HR HASI / Hannon Armstrong Sustainable Infrastructure Capital, Inc. 24.21 413 413 0.00 10 10 0.00
2017-12-31 13F-HR UTHR / United Therapeutics Corp. 147.87 0 940 0 139
2017-12-31 13F-HR LII / Lennox International, Inc. 208.77 0 570 0 119
2017-12-31 13F-HR BURL / Burlington Stores, Inc. 122.42 0 825 0 101
2017-12-31 13F-HR SBNYW / Signature Bank 140.00 150 150 0.00 19 21 10.53
2017-12-31 13F-HR ASIX / AdvanSix Inc. 38.46 58 26 -55.17 2 1 -50.00
2017-12-31 13F-HR MGM / MGM Resorts International 33.33 750 750 0.00 24 25 4.17
2017-12-31 13F-HR AMP / Ameriprise Financial, Inc. 169.23 0 1,300 0 220
2017-12-31 13F-HR BATRK / Liberty Media Corporation 0.00 2 2 0.00 0 0
2017-12-31 13F-HR BATRA / Liberty Media Corporation 0.00 1 1 0.00 0 0
2017-12-31 13F-HR LSXMA / Liberty Media, Sirius XM Group Series A 0.00 12 12 0.00 1 0 -100.00
2017-12-31 13F-HR STLD / Steel Dynamics, Inc. 43.11 1,400 2,250 60.71 48 97 102.08
2017-12-31 13F-HR FITB / Fifth Third Bancorp 30.31 0 6,500 0 197
2017-12-31 13F-HR OC / Owens Corning, Inc. 92.11 0 1,900 0 175
2017-12-31 13F-HR AMD / Advanced Micro Devices, Inc. 11.49 0 87 0 1
2017-12-31 13F-HR DVMT / Dell Technologies Inc. 78.95 108 76 -29.63 8 6 -25.00
2017-12-31 13F-HR CAVM / Cavium, Inc. 88.61 5 79 1,480.00 0 7
2017-12-31 13F-HR STT / State Street Corp. 97.50 0 1,200 0 117
2017-12-31 13F-HR LYB / LyondellBasell Industries NV 110.40 0 2,500 0 276
2017-12-31 13F-HR DFS / Discover Financial Services 76.96 0 2,300 0 177
2017-12-31 13F-HR RGA / Reinsurance Group of America, Inc. 156.00 0 1,000 0 156
2017-12-31 13F-HR SNAP / Snapchat, Inc. 14.63 1,325 820 -38.11 19 12 -36.84
2017-12-31 13F-HR BIVV / Bioverativ Inc. 53.48 424 187 -55.90 24 10 -58.33
2017-12-31 13F-HR AATDF / AA LTD 27.31 90 3,003 3,236.67 2 82 4,000.00
2017-12-31 13F-HR FEZ / SPDR Euro STOXX 50 ETF 40.71 522,592 510,466 -2.32 21,557 20,781 -3.60
2017-12-31 13F-HR STM / STMicroelectronics N.V. 20.00 250 250 0.00 5 5 0.00
2017-12-31 13F-HR AVP / Avon Products, Inc. 0.00 100 100 0.00 0 0
2017-12-31 13F-HR MBOT / Microbot Medical Inc 0.00 4 4 0.00 0 0
2017-12-31 13F-HR VGR / Vector Group, Ltd. 23.36 214 214 0.00 4 5 25.00
2017-12-31 13F-HR RF / Regions Financial Corp. 17.27 0 5,500 0 95
2017-12-31 13F-HR VSM / Versum Materials, Inc. 37.74 53 53 0.00 2 2 0.00
2017-12-31 13F-HR ANTM / Anthem, Inc. 225.56 0 900 0 203
2017-12-31 13F-HR MS / Morgan Stanley 52.44 0 4,500 0 236
2017-12-31 13F-HR BBY / Best Buy Co., Inc. 68.53 0 3,400 0 233
2017-12-31 13F-HR IJH / iShares Core S&P MidCap ETF 189.74 8,758 9,360 6.87 1,567 1,776 13.34
2017-12-31 13F-HR ORCL / Oracle Corp. Call 0.30 10,000 3
2017-12-31 13F-HR TPX / Tempur Sealy International, Inc. Call 0.91 2,200 2
2017-12-31 13F-HR ZTS / Zoetis Inc. 70.00 200 200 0.00 13 14 7.69
2017-12-31 13F-HR CB / Chubb Ltd 146.25 0 800 0 117
2017-12-31 13F-HR GILD / Gilead Sciences, Inc. Put 9.38 0 1,600 0 15
2017-12-31 13F-HR DOX / Amdocs Ltd. 65.42 0 2,400 0 157
2017-12-31 13F-HR CNDT / Conduent 0.00 111 2 -98.20 2 0 -100.00
2017-12-31 13F-HR PCG / PG&E Corp. 45.00 0 2,400 0 108
2017-12-31 13F-HR SIVB / SVB Financial Group 244.44 45 45 0.00 8 11 37.50
2017-12-31 13F-HR GMRE / Global Medical REIT, Inc. 8.00 500 500 0.00 4 4 0.00
2017-12-31 13F-HR SYF / Synchrony Financial 38.64 0 5,900 0 228
2017-12-31 13F-HR GD / General Dynamics Corp. 196.43 56 56 0.00 12 11 -8.33
2017-12-31 13F-HR BGEPF / Bunge Ltd., 4.875% Cumulative Convertible Perpetual Preference Call 0.40 24,000 25,000 4.17 2 10 400.00
2017-12-31 13F-HR MGM / MGM Resorts International Call 1.40 0 20,000 0 28
2017-12-31 13F-HR PF / Pinnacle Foods, Inc. 57.14 175 175 0.00 10 10 0.00
2017-12-31 13F-HR TWTR / Twitter, Inc. Call 2.83 0 24,000 0 68
2017-12-31 13F-HR CNC / Centene Corp. 101.00 100 1,000 900.00 10 101 910.00
2017-12-31 13F-HR FENY / Fidelity MSCI Energy Index ETF 0.00 2 2 0.00 0 0
2017-12-31 13F-HR FWONA / Liberty Media, Formula One Group Series A 0.00 3 3 0.00 0 0
2017-12-31 13F-HR ARLP / Alliance Resource Partners, L.P. 20.00 200 200 0.00 4 4 0.00
2017-12-31 13F-HR ACOR / Acorda Therapeutics, Inc. 21.00 1,000 1,000 0.00 24 21 -12.50
2017-12-31 13F-HR AXP / American Express Co. 99.29 0 1,400 0 139
2017-12-31 13F-HR IPFF / iShares S&P International Preferred Stock Index Fund 18.15 600 606 1.00 11 11 0.00
2017-12-31 13F-HR CLDT / Chatham Lodging Trust 22.50 400 400 0.00 9 9 0.00
2017-12-31 13F-HR CCI / Crown Castle International Corp. 115.38 0 26 0 3
2017-12-31 13F-HR STIP / iShares 0-5 Year TIPS Bond ETF 99.88 0 50,322 0 5,026
2017-12-31 13F-HR HAS / Hasbro, Inc. 100.00 10 10 0.00 1 1 0.00
2017-12-31 13F-HR MPC / Marathon Petroleum Corp. 65.92 0 3,550 0 234
2017-12-31 13F-HR PANW / Palo Alto Networks, Inc. 144.94 4,349 4,119 -5.29 627 597 -4.78
2017-12-31 13F-HR CHKP / Check Point Software Technologies Ltd. 106.67 75 75 0.00 9 8 -11.11
2017-12-31 13F-HR RGLD / Royal Gold, Inc. 80.00 100 100 0.00 9 8 -11.11
2017-12-31 13F-HR FWONK / Liberty Media, Formula One Group Series C 0.00 6 6 0.00 0 0
2017-12-31 13F-HR VNTV / Vantiv, Inc. 75.00 200 200 0.00 14 15 7.14
2017-12-31 13F-HR TLT / iShares 20+ Year Treasury Bond ETF 126.67 300 300 0.00 37 38 2.70
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 0.00 300 0
2017-12-31 13F-HR LEN.B / Lennar Corp. 0.00 8 0
2017-12-31 13F-HR SPEM / SPDR Portfolio Emerging Markets 38.15 110,432 4,213
2017-12-31 13F-HR SPAB / SPDR Portfolio Aggregate Bond ET 28.74 545,774 15,686
2017-12-31 13F-HR IPE / SPDR Barclays TIPS ETF 56.25 131,254 7,383
2017-12-31 13F-HR JD / JD.com, Inc. 41.44 13,683 567
2017-12-31 13F-HR FXR / First Trust Exchange-Traded AlphaDEX Fund 40.58 30,604 1,242
2017-12-31 13F-HR LADR / Ladder Capital Corp 13.64 12,903 176
2017-12-31 13F-HR DBJP / db-X MSCI Japan Currency-Hedged Equity Fund 42.78 187 8
2017-12-31 13F-HR FC GLOBAL RLTY INC / (30258F102) 0.77 2,593 2
2017-12-31 13F-HR VXUS / Vanguard Total International Stock ETF 56.76 969 55
2017-12-31 13F-HR ACWI / iShares MSCI ACWI ETF 95.24 21 2
2017-12-31 13F-HR AVY / Avery Dennison Corp. 115.00 1,600 184
2017-12-31 13F-HR HRB / Block (H.&R.), Inc. 26.40 2,500 66
2017-12-31 13F-HR CCL / Carnival Corp. 66.50 2,000 133
2017-12-31 13F-HR GLPI / Gaming and Leisure Properties, Inc. 37.04 2,700 100
2017-12-31 13F-HR HFC / HollyFrontier Corp. 51.25 4,800 246
2017-12-31 13F-HR IQV / IQVIA Holdings Inc. 97.65 1,700 166
2017-12-31 13F-HR PHM / PulteGroup, Inc. 33.24 3,400 113
2017-12-31 13F-HR TER / Teradyne, Inc. 41.79 3,900 163
2017-12-31 13F-HR WDC / Western Digital Corp. 79.44 1,800 143
2017-12-31 13F-HR RCL / Royal Caribbean Cruises Ltd. 118.75 800 95
2017-12-31 13F-HR FXB / CurrencyShares British Pound Sterling Trust 131.58 38 38 0.00 5 5 0.00
2017-12-31 13F-HR TTC / Toro Company (The) 60.24 83 83 0.00 5 5 0.00
2017-12-31 13F-HR MEOH / Methanex Corp. 100.00 20 10 -50.00 1 1 0.00
2017-12-31 13F-HR PCSB / PCSB Financial Corporation 20.00 100 100 0.00 2 2 0.00
2017-12-31 13F-HR GEO / Geo Group, Inc. (The) 26.32 112 114 1.79 3 3 0.00
2017-12-31 13F-HR BHF / Brighthouse Financial, Inc. 62.50 13 16 23.08 1 1 0.00
2017-12-31 13F-HR ETR / Entergy Corp. 81.85 812 843 3.82 62 69 11.29
2017-12-31 13F-HR RWLK / ReWalk Robotics Ltd 1.00 1,500 3,000 100.00 2 3 50.00
2017-12-31 13F-HR GM / General Motors Company Call 0.00 0 1,100 0 0
2017-12-31 13F-HR NYLD / NRG Yield, Inc. 18.00 500 500 0.00 10 9 -10.00
2017-12-31 13F-HR VYGR / Voyager Therapeutics, Inc 16.50 2,000 4,000 100.00 41 66 60.98
2017-12-31 13F-HR EDIT / Editas Medicine, Inc. 30.68 9,725 10,820 11.26 233 332 42.49
2017-12-31 13F-HR IMN / Imation Corp. 0.00 1 1 0.00 0 0
2017-12-31 13F-HR 98474TAB3 / Yandex N.V. Bond 1.13% Due 12/15/2018 Call 1.40 2,600 15,000 476.92 11 21 90.91
2017-12-31 13F-HR AMBA / Ambarella, Inc. 63.29 79 79 0.00 4 5 25.00
2017-12-31 13F-HR SBRAP / Sabra Healthcare REIT, Inc. 18.76 1,434 533 -62.83 31 10 -67.74
2017-12-31 13F-HR DOW / Dow Chemical Co. (The) 71.25 10,913 13,740 25.90 756 979 29.50
2017-12-31 13F-HR CLDX / Celldex Therapeutics, Inc. 2.86 350 1
2017-12-31 13F-HR ZIOP / ZIOPHARM Oncology, Inc. 4.00 250 1
2017-12-31 13F-HR NUE / Nucor Corp. 60.00 50 3
2017-12-31 13F-HR HECO / Huntington EcoLogical Strategy ETF 40.00 150 6
2017-12-31 13F-HR BAC.WS.B / Bank of America Corp. B Warrants 2.11 9,500 9,500 0.00 7 20 185.71
2017-12-31 13F-HR RAD / Rite Aid Corp. 2.00 1,000 1,000 0.00 2 2 0.00
2017-12-31 13F-HR LNT / Alliant Energy Corp. 43.20 625 625 0.00 26 27 3.85
2017-12-31 13F-HR IDV / iShares International Select Dividend ETF 33.10 725 725 0.00 24 24 0.00
2017-12-31 13F-HR PSTI / Pluristem Therapeutics, Inc. 1.40 20,000 10,000 -50.00 30 14 -53.33
2017-12-31 13F-HR OGS / ONE Gas, Inc. 0.00 5 4 -20.00 0 0
2017-12-31 13F-HR ALL / Allstate Corp. (The) 104.62 0 1,950 0 204
2017-12-31 13F-HR VALE / Vale S.A. 13.39 224 224 0.00 2 3 50.00
2017-12-31 13F-HR MNK / Maillinckrodt plc. 38.46 78 26 -66.67 3 1 -66.67
2017-12-31 13F-HR FE / FirstEnergy Corp. 31.11 550 450 -18.18 17 14 -17.65
2017-12-31 13F-HR CBS / CBS Corp. 0.00 10 5 -50.00 1 0 -100.00
2017-12-31 13F-HR TRV / Travelers Companies, Inc. (The) 135.72 1 2,063 206,200.00 0 280
2017-12-31 13F-HR AFGE / American Financial Group, Inc. (Holding Co.) 108.89 0 900 0 98
2017-12-31 13F-HR EMR / Emerson Electric Co. 68.97 406 203 -50.00 26 14 -46.15
2017-12-31 13F-HR ED / Consolidated Edison, Inc. 85.06 3,296 3,421 3.79 266 291 9.40
2017-12-31 13F-HR AIG.WS / American International Group, Inc. Warrants 31.25 40 32 -20.00 1 1 0.00
2017-12-31 13F-HR TDC / Teradata Corp. 39.47 76 76 0.00 3 3 0.00
2017-12-31 13F-HR BGS / B&G Foods, Inc. 36.67 300 300 0.00 10 11 10.00
2017-12-31 13F-HR JNJ / Johnson & Johnson Call 0.88 11,000 16,000 45.45 3 14 366.67
2017-12-31 13F-HR SNY / Sanofi 43.19 1,804 1,204 -33.26 90 52 -42.22
2017-12-31 13F-HR SYY / SYSCO Corp. 59.83 468 468 0.00 25 28 12.00
2017-12-31 13F-HR RGC / Regal Entertainment Group 0.00 2 2 0.00 0 0
2017-12-31 13F-HR HDYN / HyperDynamics Corp. 0.00 100 100 0.00 0 0
2017-12-31 13F-HR GWW / Grainger (W.W.), Inc. 238.10 62 63 1.61 11 15 36.36
2017-12-31 13F-HR BIV / Vanguard Intermediate-Term Bond ETF 83.86 200 954 377.00 17 80 370.59
2017-12-31 13F-HR JBT / John Bean Technologies Corp. 142.86 14 14 0.00 1 2 100.00
2017-12-31 13F-HR JPC / Nuveen Preferred Income Opportunities Fund 10.13 1,580 1,580 0.00 17 16 -5.88
2017-12-31 13F-HR DTE / DTE Energy Co. 109.33 0 1,500 0 164
2017-12-31 13F-HR INTC / Intel Corp. 46.16 42,120 45,650 8.38 1,604 2,107 31.36
2017-12-31 13F-HR BXMX / Nuveen S&P 500 Buy-Write Income Fund 14.25 179,730 146,629 -18.42 2,513 2,089 -16.87
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. 18.94 61,297 37,161 -39.38 1,079 704 -34.75
2017-12-31 13F-HR AET / Aetna, Inc. 180.15 355 655 84.51 56 118 110.71
2017-12-31 13F-HR GM.WS.B / General Motors Company - Warrants 07/10/2019 24.05 291 291 0.00 7 7 0.00
2017-12-31 13F-HR PTY / PIMCO Corporate & Income Opportunity Fund 16.50 16,382 11,210 -31.57 275 185 -32.73
2017-12-31 13F-HR XETWX / Eaton Vance Tax-Managed Global 9.38 220,537 192,565 -12.68 2,062 1,806 -12.42
2017-12-31 13F-HR USMV / iShares Edge MSCI Min Vol USA ETF 52.72 5,550 5,482 -1.23 279 289 3.58
2017-12-31 13F-HR ADM / Archer-Daniels-Midland Co. 40.00 175 175 0.00 7 7 0.00
2017-12-31 13F-HR VEA / Vanguard FTSE Developed Markets ETF 44.86 490 2,608 432.24 21 117 457.14
2017-12-31 13F-HR UTX / United Technologies Corp. 127.37 1,100 1,900 72.73 128 242 89.06
2017-12-31 13F-HR ARDM / Aradigm Corp. 0.00 2 2 0.00 0 0
2017-12-31 13F-HR MFC / Manulife Financial Corp. 20.46 782 391 -50.00 16 8 -50.00
2017-12-31 13F-HR HTA / Healthcare Trust of America, Inc. 30.00 500 500 0.00 15 15 0.00
2017-12-31 13F-HR VZ / Verizon Communications, Inc. 52.91 14,480 11,605 -19.85 717 614 -14.37
2017-12-31 13F-HR F / Ford Motor Co. 12.49 77,833 102,144 31.23 932 1,276 36.91
2017-12-31 13F-HR NEE / NextEra Energy, Inc. 155.97 685 1,885 175.18 100 294 194.00
2017-12-31 13F-HR CLNS / Colony NorthStar, Inc. 11.98 334 334 0.00 4 4 0.00
2017-12-31 13F-HR TIP / iShares TIPS Bond ETF 114.10 51,848 8,694 -83.23 5,889 992 -83.16
2017-12-31 13F-HR MTB / M & T Bank Corp. 171.52 618 618 0.00 100 106 6.00
2017-12-31 13F-HR CG / The Carlyle Group L.P. 22.92 16,991 12,917 -23.98 401 296 -26.18
2017-12-31 13F-HR DNKN / Dunkin' Brands Group, Inc. 63.83 140 141 0.71 7 9 28.57
2017-12-31 13F-HR KMB / Kimberly-Clark Corp. 119.72 1,514 426 -71.86 178 51 -71.35
2017-12-31 13F-HR CNXC / CNX Coal Resources LP 63.83 235 235 0.00 15 15 0.00
2017-12-31 13F-HR KEY / KeyCorp 20.13 5,814 5,514 -5.16 109 111 1.83
2017-12-31 13F-HR CMI / Cummins, Inc. 175.00 200 200 0.00 34 35 2.94
2017-12-31 13F-HR CVX / Chevron Corp. 125.09 14,141 4,061 -71.28 1,662 508 -69.43
2017-12-31 13F-HR TSN / Tyson Foods, Inc. 81.97 549 549 0.00 39 45 15.38
2017-12-31 13F-HR RDS.B / Royal Dutch Shell Plc 67.86 501 501 0.00 31 34 9.68
2017-12-31 13F-HR ORCL / Oracle Corp. 47.26 9,209 15,553 68.89 445 735 65.17
2017-12-31 13F-HR AJG / Gallagher (ARTHUR J.) & Co. 63.79 580 580 0.00 36 37 2.78
2017-12-31 13F-HR CMCSA / Comcast Corp. 39.94 1,766 4,231 139.58 68 169 148.53
2017-12-31 13F-HR NS / NuStar Energy L.P. 31.96 219 219 0.00 9 7 -22.22
2017-12-31 13F-HR GWPH / GW Pharmaceuticals Plc. 150.00 0 20 0 3
2017-12-31 13F-HR CNI / Canadian National Railway Co. 88.24 0 34 0 3
2017-12-31 13F-HR QCOM / QUALCOMM Incorporated 64.18 210 2,680 1,176.19 11 172 1,463.64
2017-12-31 13F-HR ETN / Eaton Corporation 79.14 2,285 2,843 24.42 175 225 28.57
2017-12-31 13F-HR ABT / Abbott Laboratories 57.08 2,416 1,384 -42.72 129 79 -38.76
2017-12-31 13F-HR PG / Procter & Gamble Co. (The) 91.90 11,459 13,830 20.69 1,043 1,271 21.86
2017-12-31 13F-HR DSU / BlackRock Debt Strategies Fund, Inc. 11.70 98,246 63,527 -35.34 1,147 743 -35.22
2017-12-31 13F-HR ESLT / Elbit Systems Ltd. 130.00 100 100 0.00 15 13 -13.33
2017-12-31 13F-HR VOO / Vanguard S&P 500 ETF 245.01 351 351 0.00 81 86 6.17
2017-12-31 13F-HR 83416TAA8 / SolarCity Corp 2.75% Bond due 2018-11-01 1.00 14,000 14,000 0.00 14 14 0.00
2017-12-31 13F-HR SUSA / iShares MSCI USA ESG Select ETF 111.54 520 520 0.00 54 58 7.41
2017-12-31 13F-HR VGK / Vanguard FTSE Europe ETF 59.15 27,237 22,452 -17.57 1,589 1,328 -16.43
2017-12-31 13F-HR SRE / Sempra Energy 106.67 0 1,500 0 160
2017-12-31 13F-HR VDE / Vanguard Energy ETF 99.33 428 745 74.07 40 74 85.00
2017-12-31 13F-HR INGR / Ingredion, Inc. 140.00 0 1,000 0 140
2017-12-31 13F-HR FCEL / FuelCell Energy, Inc. 0.00 81 81 0.00 0 0
2017-12-31 13F-HR BGEPF / Bunge Ltd., 4.875% Cumulative Convertible Perpetual Preference Put 0.29 12,000 7,000 -41.67 19 2 -89.47
2017-12-31 13F-HR PYPL / PayPal Holdings, Inc. 74.19 620 647 4.35 40 48 20.00
2017-12-31 13F-HR FCAU / Fiat Chrysler Automobiles N.V 16.67 0 300 0 5
2017-12-31 13F-HR SPR / Spirit Aerosystems Holdings, Inc. 87.41 0 2,700 0 236
2017-12-31 13F-HR NYNY / Empire Resorts, Inc. 26.61 830 714 -13.98 19 19 0.00
2017-12-31 13F-HR NRE / NorthStar Realty Europe Corp. 13.44 2,311 1,042 -54.91 30 14 -53.33
2017-12-31 13F-HR BSX / Boston Scientific Corp. 20.00 100 100 0.00 3 2 -33.33
2017-12-31 13F-HR GOOGL / Alphabet Inc. 1,052.42 236 248 5.08 230 261 13.48
2017-12-31 13F-HR MCK / McKesson Corp. 155.83 160 1,200 650.00 25 187 648.00
2017-12-31 13F-HR AKS / AK Steel Holding Corp. 5.65 27,000 26,000 -3.70 151 147 -2.65
2017-12-31 13F-HR BMY / Bristol-Myers Squibb Co. 61.32 14,403 9,410 -34.67 918 577 -37.15
2017-12-31 13F-HR FGP / Ferrellgas Partners, L.P. 3.50 565 572 1.24 3 2 -33.33
2017-12-31 13F-HR R / Ryder System, Inc. 80.00 200 100 -50.00 17 8 -52.94
2017-12-31 13F-HR PSX / Phillips 66 101.14 232 2,452 956.90 21 248 1,080.95
2017-12-31 13F-HR IWP / iShares Russell Midcap Growth ETF 119.05 418 210 -49.76 47 25 -46.81
2017-12-31 13F-HR DSXN / Diana Shipping inc. 0.00 300 100 -66.67 1 0 -100.00
2017-12-31 13F-HR VCSH / Vanguard Short-Term Corporate Bond Index Fund 79.29 2,581 2,535 -1.78 207 201 -2.90
2017-12-31 13F-HR KKR / KKR & CO. L.P. 21.05 99,194 78,798 -20.56 2,017 1,659 -17.75
2017-12-31 13F-HR SCHD / Schwab US Dividend Equity ETF 51.19 26,934 13,558 -49.66 1,260 694 -44.92
2017-12-31 13F-HR NFLX / Netflix, Inc. 192.69 735 602 -18.10 133 116 -12.78
2017-12-31 13F-HR CFX / Colfax Corp. 39.55 6,755 6,725 -0.44 281 266 -5.34
2017-12-31 13F-HR FANG / Diamondback Energy, Inc. 128.00 125 125 0.00 12 16 33.33
2017-12-31 13F-HR DSI / iShares MSCI KLD 400 Social ETF 98.69 687 689 0.29 64 68 6.25
2017-12-31 13F-HR PEG / Public Service Enterprise Group, Inc. 51.49 505 505 0.00 23 26 13.04
2017-12-31 13F-HR ADSK / Autodesk, Inc. 100.00 100 100 0.00 11 10 -9.09
2017-12-31 13F-HR CGNT / Cogentix Medical, Inc. 3.27 3,360 3,360 0.00 9 11 22.22
2017-12-31 13F-HR IVV / iShares Core S&P 500 ETF 268.95 4,253 3,272 -23.07 1,076 880 -18.22
2017-12-31 13F-HR CIT / CIT Group, Inc. (The) 49.17 0 5,450 0 268
2017-12-31 13F-HR PJC / Piper Jaffray Companies, Inc. 0.00 2 2 0.00 0 0
2017-12-31 13F-HR VYM / Vanguard High Dividend Yield ETF 85.63 406,789 367,510 -9.66 32,978 31,470 -4.57
2017-12-31 13F-HR EWW / iShares MSCI Mexico Capped ETF 50.00 100 100 0.00 5 5 0.00
2017-12-31 13F-HR UA / Under Armour, Inc., Class C 14.01 8,913 5,994 -32.75 143 84 -41.26
2017-12-31 13F-HR COF / Capital One Financial Corp. 99.77 115 2,215 1,826.09 10 221 2,110.00
2017-12-31 13F-HR GLW / Corning, Inc. 31.98 962 12,506 1,200.00 29 400 1,279.31
2017-12-31 13F-HR IWD / iShares Russell 1000 Value ETF 120.00 500 100 -80.00 59 12 -79.66
2017-12-31 13F-HR XUTGX / Reaves Utility Income Fund 30.94 4,308 27,178 530.87 2 841 41,950.00
2017-12-31 13F-HR ESRX / Express Scripts Holding Co. 74.56 960 3,380 252.08 61 252 313.11
2017-12-31 13F-HR IDU / iShares U.S. Utilities ETF 132.43 515 370 -28.16 69 49 -28.99
2017-12-31 13F-HR BP / BP Plc 42.40 2,378 967 -59.34 91 41 -54.95
2017-12-31 13F-HR IIVI / II-VI Inc. 47.50 400 400 0.00 16 19 18.75
2017-12-31 13F-HR SYK / Stryker Corp. 155.27 1,408 1,082 -23.15 200 168 -16.00
2017-12-31 13F-HR MDCO / Medicines Company 27.14 5,850 700 -88.03 217 19 -91.24
2017-12-31 13F-HR EFT / Eaton Vance Floating-Rate Income Trust 15.00 2,000 200 -90.00 29 3 -89.66
2017-12-31 13F-HR BAC.PRL / Bank of America Corp. 7.25% Preferred Perpetual Convertible Series L 1,323.53 34 34 0.00 44 45 2.27
2017-12-31 13F-HR PNW / Pinnacle West Capital Corp. 83.33 216 216 0.00 18 18 0.00
2017-12-31 13F-HR FDX / FedEx Corp. 250.00 40 40 0.00 9 10 11.11
2017-12-31 13F-HR BAC / Bank of America Corp. 29.52 256,128 226,318 -11.64 6,490 6,681 2.94
2017-12-31 13F-HR TU / TELUS Corp. 38.33 1,800 600 -66.67 65 23 -64.62
2017-12-31 13F-HR ENB / Enbridge Inc. 38.85 1,831 1,802 -1.58 77 70 -9.09
2017-12-31 13F-HR DIS / The Walt Disney Co. 107.49 6,530 5,954 -8.82 644 640 -0.62
2017-12-31 13F-HR OKE / ONEOK, Inc. 53.26 2,272 2,272 0.00 126 121 -3.97
2017-12-31 13F-HR IWR / iShares Russell Mid-Cap ETF 209.30 257 129 -49.81 51 27 -47.06
2017-12-31 13F-HR NTNX / Nutanix, Inc. 35.23 1,959 4,059 107.20 44 143 225.00
2017-12-31 13F-HR DBC / PowerShares DB Commodity Index Tracking Fund 16.67 240 240 0.00 4 4 0.00
2017-12-31 13F-HR CHTR / Charter Communications, Inc. 0.00 35 3 -91.43 12 0 -100.00
2017-12-31 13F-HR CHTR / Charter Communications, Inc. 342.86 3 35 1,066.67 0 12
2017-12-31 13F-HR TVIA / TerraVia Holdings, Inc. 0.00 1,500 500 -66.67 0 0
2017-12-31 13F-HR VFC / V.F. Corp. 75.00 400 400 0.00 25 30 20.00
2017-12-31 13F-HR XEL / Xcel Energy, Inc. 40.00 100 50 -50.00 5 2 -60.00
2017-12-31 13F-HR TARO / Taro Pharmaceutical Industries, Ltd. 90.91 66 33 -50.00 7 3 -57.14
2017-12-31 13F-HR NCZ / AGIC Convertible & Income Fund II 6.69 707 897 26.87 4 6 50.00
2017-12-31 13F-HR SKT / Tanger Factory Outlet Centers, Inc. 26.67 375 375 0.00 9 10 11.11
2017-12-31 13F-HR IBM / International Business Machines Corp. 153.43 14,273 13,452 -5.75 2,071 2,064 -0.34
2017-12-31 13F-HR TGT / Target Corp. 65.40 300 3,303 1,001.00 18 216 1,100.00
2017-12-31 13F-HR MT / ArcelorMittal 30.30 33 33 0.00 1 1 0.00
2017-12-31 13F-HR MANU / Manchester United Ltd. 20.00 100 100 0.00 2 2 0.00
2017-12-31 13F-HR INDY / iShares India 50 ETF 35.60 309 309 0.00 11 11 0.00
2017-12-31 13F-HR KGC / Kinross Gold Corp. 0.00 100 100 0.00 0 0
2017-12-31 13F-HR LYG / Lloyds Banking Group plc 3.75 83,402 43,229 -48.17 305 162 -46.89
2017-12-31 13F-HR ABBV / AbbVie Inc. 97.03 2,217 1,412 -36.31 197 137 -30.46
2017-12-31 13F-HR HYT / BlackRock Corporate High Yield Fund, Inc. 10.94 451,948 529,941 17.26 5,107 5,798 13.53
2017-12-31 13F-HR EPI / WisdomTree India Earnings Fund 27.81 27,526 16,755 -39.13 693 466 -32.76
2017-12-31 13F-HR KSU / Kansas City Southern 103.77 106 106 0.00 12 11 -8.33
2017-12-31 13F-HR CDK / CDK Global, Inc. 73.17 41 41 0.00 3 3 0.00
2017-12-31 13F-HR CCJ / Cameco Corp. 9.33 7,233 1,500 -79.26 70 14 -80.00
2017-12-31 13F-HR CBI / Chicago Bridge & Iron Co., N.V. 16.00 2,250 2,250 0.00 38 36 -5.26
2017-12-31 13F-HR GE / General Electric Co. 17.45 254,356 155,432 -38.89 6,150 2,712 -55.90
2017-12-31 13F-HR XRAY / DENTSPLY SIRONA Inc. 65.77 1,451 2,600 79.19 87 171 96.55
2017-12-31 13F-HR MINT / PIMCO Enhanced Short Maturity Strategy Fund 101.56 60,922 52,688 -13.52 6,202 5,351 -13.72
2017-12-31 13F-HR BHGE / Baker Hughes, a GE company 32.68 712 306 -57.02 26 10 -61.54
2017-12-31 13F-HR SBUX / Starbucks Corp. 0.00 1,033 1 -99.90 55 0 -100.00
2017-12-31 13F-HR ERC / Evergreen Multi-Sector Income Fund 13.33 1,500 1,500 0.00 20 20 0.00
2017-12-31 13F-HR IMGN / Immunogen, Inc. 10.00 100 100 0.00 1 1 0.00
2017-12-31 13F-HR PM / Philip Morris International, Inc. 105.47 2,866 2,342 -18.28 318 247 -22.33
2017-12-31 13F-HR FTNT / Fortinet, Inc. 43.80 1,735 1,735 0.00 62 76 22.58
2017-12-31 13F-HR XNBBX / Nuveen Build America Bond Fund 22.00 1,500 1,500 0.00 32 33 3.13
2017-12-31 13F-HR JFR / Nuveen Floating Rate Income Fund 10.95 1,005 1,005 0.00 12 11 -8.33
2017-12-31 13F-HR LNC.WS / Lincoln National Corp. 76.82 0 2,200 0 169
2017-12-31 13F-HR VCLT / Vanguard Long-Term Corporate Bond Index Fund 95.00 400 400 0.00 38 38 0.00
2017-12-31 13F-HR LTS / Ladenburg Thalmann Financial Services, Inc. 3.27 14,265 4,278 -70.01 41 14 -65.85
2017-12-31 13F-HR HD / Home Depot, Inc. (The) 196.97 66 66 0.00 11 13 18.18
2017-12-31 13F-HR VBR / Vanguard Small-Cap Value ETF 142.86 0 35 0 5
2017-12-31 13F-HR GGZ / Gabelli Global Small and Mid Cap Value Trust (The) 14.71 68 68 0.00 1 1 0.00
2017-12-31 13F-HR SWIR / Sierra Wireless, Inc. 20.00 900 500 -44.44 19 10 -47.37
2017-12-31 13F-HR RACE / Ferrari N.V. 109.09 25 55 120.00 3 6 100.00
2017-12-31 13F-HR PHO / PowerShares Water Resources Portfolio 29.98 1,201 1,201 0.00 34 36 5.88
2017-12-31 13F-HR SPWR / SunPower Corp. 9.84 0 305 0 3
2017-12-31 13F-HR UPS / United Parcel Service, Inc. 118.97 0 891 0 106
2017-12-31 13F-HR USO / United States Oil Fund, LP 12.00 5,250 5,250 0.00 55 63 14.55
2017-12-31 13F-HR WFC / Wells Fargo & Co. 61.30 1,079 522 -51.62 60 32 -46.67
2017-12-31 13F-HR RIG / Transocean, Inc. 10.67 47,464 21,642 -54.40 511 231 -54.79
2017-12-31 13F-HR BAB / PowerShares Build America Bond Portfolio 30.63 2,775 2,775 0.00 84 85 1.19
2017-12-31 13F-HR DVY / iShares Select Dividend ETF 98.63 3,913 3,498 -10.61 366 345 -5.74
2017-12-31 13F-HR BA / Boeing Company (The) 295.19 1,424 1,372 -3.65 362 405 11.88
2017-12-31 13F-HR EWG / iShares MSCI Germany ETF 33.27 2,039 1,022 -49.88 66 34 -48.48
2017-12-31 13F-HR OHI / Omega HealthCare Investors, Inc. 25.00 156 160 2.56 5 4 -20.00
2017-12-31 13F-HR RSG / Republic Services, Inc. 67.46 0 2,950 0 199
2017-12-31 13F-HR PHG / Koninklijke Philips N.V 38.00 1,000 1,000 0.00 41 38 -7.32
2017-12-31 13F-HR EEM / iShares MSCI Emerging Markets ETF 46.91 928 469 -49.46 42 22 -47.62
2017-12-31 13F-HR AMLP / Alerian ETF 10.83 8,100 7,667 -5.35 91 83 -8.79
2017-12-31 13F-HR VPU / Vanguard Utilities ETF 125.00 8 8 0.00 1 1 0.00
2017-12-31 13F-HR CMG / Chipotle Mexican Grill, Inc. 333.33 9 9 0.00 3 3 0.00
2017-12-31 13F-HR MAIN / Main Street Capital Corp. 39.73 19,210 16,763 -12.74 764 666 -12.83
2017-12-31 13F-HR PH / Parker-Hannifin Corp. 192.98 169 57 -66.27 30 11 -63.33
2017-12-31 13F-HR T / AT & T, Inc. 38.86 16,812 14,824 -11.82 659 576 -12.59
2017-12-31 13F-HR TSI / TCW Strategic Income Fund, Inc. 5.84 14,030 9,924 -29.27 81 58 -28.40
2017-12-31 13F-HR UNH / UnitedHealth Group Inc. 220.30 416 404 -2.88 81 89 9.88
2017-12-31 13F-HR COST / Costco Wholesale Corp. 200.00 25 25 0.00 4 5 25.00
2017-12-31 13F-HR BIIB / Biogen Inc. 317.89 850 475 -44.12 266 151 -43.23
2017-12-31 13F-HR IJR / iShares Core S&P Small-Cap ETF 76.92 114 78 -31.58 8 6 -25.00
2017-12-31 13F-HR CX / Cemex S.A.B de C.V. 33 0 -100.00 0 0
2017-12-31 13F-HR LVLT / Level 3 Communications, Inc. 4 0 -100.00 0 0
2017-12-31 13F-HR NGG / National Grid Plc 654 0 -100.00 41 0 -100.00
2017-12-31 13F-HR NP / Neenah Paper, Inc. 19 0 -100.00 2 0 -100.00
2017-12-31 13F-HR NYMTP / New York Mortgage Trust, Inc. 8,271 0 -100.00 51 0 -100.00
2017-12-31 13F-HR TTM / Tata Motors Ltd. 300 0 -100.00 9 0 -100.00
2017-12-31 13F-HR LCI / Lannett Co., Inc. 4,200 0 -100.00 77 0 -100.00
2017-12-31 13F-HR PERI / Perion Network Ltd. 131 0 -100.00 0 0
2017-12-31 13F-HR PHMD / PhotoMedex, Inc. 2,593 0 -100.00 3 0 -100.00
2017-12-31 13F-HR NYCB / New York Community Bancorp, Inc. 500 0 -100.00 6 0 -100.00
2017-12-31 13F-HR EVC / Entravision Communications Corp. 2,400 0 -100.00 14 0 -100.00
2017-12-31 13F-HR YUMC / Yum China Holdings, Inc. 600 0 -100.00 24 0 -100.00
2017-12-31 13F-HR CLMT / Calumet Specialty Products Partners, L.P. 275 0 -100.00 2 0 -100.00
2017-12-31 13F-HR ARNC.PRB / Arconic Inc., 5.375% Dep Shares Class B Mand Convertible Preferred Stock Series 1 200 0 -100.00 8 0 -100.00
2017-12-31 13F-HR ONCE / Spark Therapeutics, Inc. 750 0 -100.00 67 0 -100.00
2017-12-31 13F-HR ARCC / Ares Capital Corp. 174 0 -100.00 3 0 -100.00
2017-12-31 13F-HR ATI / Allegheny Technologies, Inc. 3,400 0 -100.00 81 0 -100.00
2017-12-31 13F-HR FAS / Direxion Daily Financial Bull 3X Shares 100 0 -100.00 6 0 -100.00
2017-12-31 13F-HR ABX / Barrick Gold Corp. Call 14,000 0 -100.00 6 0 -100.00
2017-12-31 13F-HR ADSK / Autodesk, Inc. Call 2,400 0 -100.00 23 0 -100.00
2017-12-31 13F-HR CMCSK / Comcast Corporation Put 1,500 0 -100.00 0 0
2017-12-31 13F-HR CY / Cypress Semiconductor Corp. Call 18,000 0 -100.00 29 0 -100.00
2017-12-31 13F-HR DE / Deere & Co. Call 1,000 0 -100.00 13 0 -100.00
2017-12-31 13F-HR GLW / Corning, Inc. Call 13,000 0 -100.00 19 0 -100.00
2017-12-31 13F-HR ONCE / Spark Therapeutics, Inc. Call 700 0 -100.00 4 0 -100.00
2017-12-31 13F-HR ETN / Eaton Corporation Call 6,600 0 -100.00 0 0
2017-12-31 13F-HR PANW / Palo Alto Networks, Inc. Call 2,000 0 -100.00 12 0 -100.00
2017-12-31 13F-HR WDAY / Workday, Inc. Call 4,400 0 -100.00 31 0 -100.00
2017-12-31 13F-HR WYN / Wyndham Worldwide Corp. Call 6,000 0 -100.00 25 0 -100.00
2017-12-31 13F-HR CRDS / Crossroads Systems, Inc. 6 0 -100.00 0 0
2017-12-31 13F-HR GLNG / Golar LNG Ltd. 500 0 -100.00 11 0 -100.00
2017-12-31 13F-HR TNK / Teekay Tankers, Ltd. 5,000 0 -100.00 8 0 -100.00
2017-12-31 13F-HR DIS / The Walt Disney Co. Call 14,600 0 -100.00 13 0 -100.00
2017-12-31 13F-HR TV / Grupo Televisa S.A. 700 0 -100.00 17 0 -100.00
2017-12-31 13F-HR MXIM / Maxim Integrated Products, Inc 5 0 -100.00 0 0
2017-12-31 13F-HR CAG / ConAgra Foods, Inc. 96 0 -100.00 3 0 -100.00
2017-12-31 13F-HR YUM / Yum! Brands, Inc. 600 0 -100.00 44 0 -100.00
2017-12-31 13F-HR INTU / Intuit Inc. 600 0 -100.00 85 0 -100.00
2017-12-31 13F-HR PHK / PIMCO High Income Fund 6,109 0 -100.00 51 0 -100.00
2017-12-31 13F-HR LEN / Lennar Corp. 400 0 -100.00 21 0 -100.00
2017-12-31 13F-HR RS / Reliance Steel & Aluminum Co., Inc. 900 0 -100.00 69 0 -100.00
2017-12-31 13F-HR ESP / Espey Manufacturing & Electronics Corp. 800 0 -100.00 18 0 -100.00
2017-12-31 13F-HR GBDC / Golub Capital BDC, Inc. 1,000 0 -100.00 19 0 -100.00
2017-12-31 13F-HR OPK / Opko Health, Inc. 1,000 0 -100.00 7 0 -100.00
2017-12-31 13F-HR CYTR / CytRx Corp. 5,700 0 -100.00 2 0 -100.00
2017-12-31 13F-HR GOOG / Alphabet Inc. Class C Call 1,000 0 -100.00 25 0 -100.00
2017-12-31 13F-HR GILD / Gilead Sciences, Inc. Call 10,000 0 -100.00 5 0 -100.00
2017-12-31 13F-HR INCY / Incyte Corp. Call 6,000 0 -100.00 1 0 -100.00
2017-12-31 13F-HR LLL / L-3 Communications Holdings, Inc. 300 0 -100.00 57 0 -100.00
2017-12-31 13F-HR FCPT / Four Corners Property Trust, Inc. 19 0 -100.00 0 0
2017-12-31 13F-HR PXD / Pioneer Natural Resources Co. 300 0 -100.00 44 0 -100.00
2017-12-31 13F-HR ADP / Automatic Data Processing, Inc. 158 0 -100.00 17 0 -100.00
2017-12-31 13F-HR EGL / Engility Holdings, Inc. New 50 0 -100.00 2 0 -100.00
2017-12-31 13F-HR ATI / Allegheny Technologies, Inc. Call 3,400 0 -100.00 14 0 -100.00
2017-12-31 13F-HR SCHW / Schwab Charles Corp 3 0 -100.00 0 0
2017-12-31 13F-HR MDT / Medtronic plc 320 0 -100.00 25 0 -100.00
2017-12-31 13F-HR BHLB / Berkshire Hills Bancorp, Inc. 104 0 -100.00 4 0 -100.00
2017-12-31 13F-HR FNHC / Federated National Holding Co. 800 0 -100.00 12 0 -100.00
2017-12-31 13F-HR MGA / Magna International Inc. 300 0 -100.00 16 0 -100.00
2017-12-31 13F-HR XRX / Xerox Corp. 139 0 -100.00 5 0 -100.00
2017-12-31 13F-HR ETO / Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund 520 0 -100.00 13 0 -100.00
2017-12-31 13F-HR WAVXQ / Wave Systems Corp. 3 0 -100.00 0 0
2017-12-31 13F-HR GDXJ / VanEck Vectors Junior Gold Miners ETF 164 0 -100.00 6 0 -100.00
2017-12-31 13F-HR LW / Lamb Weston Holdings, Inc. 32 0 -100.00 2 0 -100.00
2017-12-31 13F-HR APA / Apache Corp. 70 0 -100.00 3 0 -100.00
2017-12-31 13F-HR WLL / Whiting Petroleum Corp. 62 0 -100.00 0 0
2017-12-31 13F-HR TYL / Tyler Technologies, Inc. 1,000 0 -100.00 174 0 -100.00
2017-12-31 13F-HR CLF / Cliffs Natural Resources Inc. 11,300 0 -100.00 81 0 -100.00
2017-12-31 13F-HR ALLE / Allegion Public Limited 33 0 -100.00 3 0 -100.00