VP of Compliance

0001418870-16-000006.txt : 20160516 0001418870-16-000006.hdr.sgml : 20160516 20160516171201 ACCESSION NUMBER: 0001418870-16-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 EFFECTIVENESS DATE: 20160516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SMITH HAYES Advisers, Inc CENTRAL INDEX KEY: 0001418870 IRS NUMBER: 470805744 STATE OF INCORPORATION: NE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12662 FILM NUMBER: 161655073 BUSINESS ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 BUSINESS PHONE: 402-476-3000 MAIL ADDRESS: STREET 1: 1225 L STREET STREET 2: SUITE 200 CITY: LINCOLN STATE: NE ZIP: 68508 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001418870 XXXXXXXX 03-31-2016 03-31-2016 SMITH HAYES Advisers, Inc

1225 L STREET SUITE 200 LINCOLN NE 68508

13F HOLDINGS REPORT 028-12662 N Teresa O'Grady VP of Compliance 402-476-3000 Teresa O'Grady Lincoln NE 05-16-2016 0 317 491353 false INFORMATION TABLE 2 SHAI_13F_20160331.XML 13F AMAZON.COM INC Stock 023135106 725 1222 SH SOLE 0 0 0 1222 ISHARES NORTH AMERICAN NATURAL RESOURCES ETF ETF 464287374 712 23940 SH SOLE 0 0 0 23939 POWERSHARES QQQ TR ETF 73935A104 417 3822 SH SOLE 0 0 0 3822 TECHNOLOGY SELECT SECTOR SPDR FUND ETF 81369Y803 635 14305 SH SOLE 0 0 0 14305 STARBUCKS CORP Stock 855244109 847 14185 SH SOLE 0 10 0 14175 MONSANTO CO NEW COM Stock 61166W101 284 3237 SH SOLE 0 0 0 3236 BUCKEYE PARTNERS UTS L P UNIT LTD PARTNERSHIP INT MLP 118230101 313 4605 SH SOLE 0 0 0 4604 BAXALTA INC COM Stock 07177M103 331 8188 SH SOLE 0 0 0 8187 ANTHEM INC COM Stock 036752103 1671 12021 SH SOLE 0 11212 0 809 EBAY INC Stock 278642103 234 9790 SH SOLE 0 0 0 9790 JOHNSON & JOHNSON COM Stock 478160104 7401 68399 SH SOLE 0 20247 0 48151 DISCOVERY COMMUNICATNS NEW COM SER C Stock 25470F302 1308 48430 SH SOLE 0 46500 0 1930 WASTE MANAGEMENT INC Stock 94106L109 396 6713 SH SOLE 0 0 0 6713 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN MLP 01881G106 2043 87198 SH SOLE 0 3200 0 83997 VANGUARD ENERGY INDEX FUND ETF 92204A306 235 2733 SH SOLE 0 0 0 2732 CALAMOS GBL DYN INCOME FUND COM CEF 12811L107 104 14730 SH SOLE 0 0 0 14730 COSTCO WHSL CORP NEW COM Stock 22160K105 931 5909 SH SOLE 0 49 0 5860 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 212 6195 SH SOLE 0 0 0 6195 GOLDMAN SACHS GROUP INC Stock 38141G104 1005 6400 SH SOLE 0 3000 0 3399 BOSTON SCIENTIFIC CORP COM Stock 101137107 337 17910 SH SOLE 0 0 0 17910 PROCTER & GAMBLE CO COM Stock 742718109 3471 42175 SH SOLE 0 0 0 42174 COCA COLA CO COM Stock 191216100 2743 59138 SH SOLE 0 600 0 58538 GENERAL MLS INC COM Stock 370334104 410 6467 SH SOLE 0 0 0 6467 FIRST TRUST MORNINGSTAR DIVIDEND LEADERS INDEX FUND ETF 336917109 297 11597 SH SOLE 0 0 0 11597 ENTERPRISE PRODS PARTNERS L P COM MLP 293792107 317 12876 SH SOLE 0 0 0 12876 BB&T CORP 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HLDGS PLC SHS EUR Stock G6518L108 6445 122389 SH SOLE 0 25000 0 97389 ANADARKO PETE CORP COM Stock 032511107 380 8159 SH SOLE 0 1225 0 6934 POWERSHARES SENIOR LOAN PORTFOLIO ETF 73936Q769 1815 79924 SH SOLE 0 0 0 79923 ISHARES CORE HIGH DIVIDEND ETF ETF 46429B663 1018 13045 SH SOLE 0 0 0 13045 INCYTE CORP COM Stock 45337C102 217 3000 SH SOLE 0 0 0 3000 AFLAC INC COM Stock 001055102 771 12218 SH SOLE 0 0 0 12217 SYSCO Stock 871829107 1934 41396 SH SOLE 0 0 0 41396 POWERSHARES SP500 LOW VOLATILITY ETF ETF 73937B779 1900 47105 SH SOLE 0 0 0 47104 SPECTRA ENERGY CORP Stock 847560109 2165 70743 SH SOLE 0 0 0 70743 GABELLI DIVD & INCOME TR COM CEF 36242H104 222 12026 SH SOLE 0 0 0 12026 ISHARES DJ SELECT DIVIDEND ETF 464287168 278 3406 SH SOLE 0 140 0 3265 MDU RES GROUP INC COM Stock 552690109 828 42554 SH SOLE 0 0 0 42553 EVERSOURCE ENERGY COM Stock 30040W108 1493 25583 SH SOLE 0 0 0 25583 FULLER H B CO COM Stock 359694106 259 6100 SH SOLE 0 0 0 6100 SYNAPTICS INC COM Stock 87157D109 318 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0 6076 FIRST TRUST DORSEY WRIGHT INTERNATIONAL FOCUS 5 ETF ETF 33738R886 325 18958 SH SOLE 0 0 0 18958 DNP SELECT INCOME FD COM CEF 23325P104 869 86898 SH SOLE 0 0 0 86897 FIAT CHRYSLER AUTOMOBILES N V SHS Stock N31738102 2097 260167 SH SOLE 0 129190 0 130976 AMERICAN STS WTR CO COM Stock 029899101 3572 90761 SH SOLE 0 0 0 90761 BORGWARNER INC COM Stock 099724106 1686 43909 SH SOLE 0 14000 0 29908 DELTA AIR LINES INC DEL COM NEW Stock 247361702 831 17080 SH SOLE 0 17000 0 80 VANGUARD SHORT-TERM BOND INDEX FUND ETF 921937827 397 4929 SH SOLE 0 0 0 4928 LAM RESEARCH CORP COM Stock 512807108 545 6600 SH SOLE 0 6600 0 0 PHILIP MORRIS INTL INC COM Stock 718172109 621 6326 SH SOLE 0 800 0 5526 NUCOR CORP COM Stock 670346105 405 8572 SH SOLE 0 2250 0 6322 TRINITY INDS INC COM Stock 896522109 520 28389 SH SOLE 0 90 0 28298 DOW CHEM CO COM Stock 260543103 555 10922 SH SOLE 0 0 0 10921 BRISTOL MYERS SQUIBB CO COM Stock 110122108 1515 23711 SH SOLE 0 0 0 23710 BERKLEY W R CORP COM Stock 084423102 357 6355 SH SOLE 0 0 0 6354 REALTY INCOME CORP COM REIT 756109104 297 4751 SH SOLE 0 0 0 4751 ALTRIA GROUP INC COM Stock 02209S103 1362 21740 SH SOLE 0 1390 0 20350 CITIGROUP INC Stock 172967424 875 20951 SH SOLE 0 14100 0 6851 AMERICAN WTR WKS CO INC NEW COM Stock 030420103 231 3350 SH SOLE 0 0 0 3350 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 220 4450 SH SOLE 0 0 0 4450 EXXON MOBIL CORP COM Stock 30231G102 4808 57514 SH SOLE 0 0 0 57513 UNITEDHEALTH GROUP Stock 91324P102 488 3784 SH SOLE 0 1200 0 2584 PRICE T ROWE GROUP INC COM Stock 74144T108 1681 22887 SH SOLE 0 5500 0 17387 DR PEPPER SNAPPLE GROUP INC COM Stock 26138E109 377 4220 SH SOLE 0 0 0 4220 LOWES COS INC COM Stock 548661107 639 8431 SH SOLE 0 0 0 8431 EATON CORP PLC SHS Stock G29183103 1544 24675 SH SOLE 0 0 0 24674 VANECK VECTORS AMT-FREE INTERMEDIATE MUNICIPAL INDEX ETF ETF 92189F544 809 33415 SH SOLE 0 33414 0 0 DEERE & CO COM Stock 244199105 818 10629 SH SOLE 0 0 0 10629 SOUTHWEST AIRLS CO COM Stock 844741108 1340 29916 SH SOLE 0 0 0 29916 COLGATE PALMOLIVE CO COM Stock 194162103 2981 42199 SH SOLE 0 0 0 42198 AMERICAN INTL GROUP INC COM NEW Stock 026874784 2347 43419 SH SOLE 0 15300 0 28119 DEVON ENERGY CORP NEW COM Stock 25179M103 384 14006 SH SOLE 0 0 0 14006 ISHARES U.S. UTILITIES ETF ETF 464287697 569 4600 SH SOLE 0 0 0 4600 PAYPAL HLDGS INC COM Stock 70450Y103 437 11320 SH SOLE 0 0 0 11320 CHARLES SCHWAB CORP Stock 808513105 918 32775 SH SOLE 0 0 0 32775 INVESTORS REAL ESTATE TR SH BEN INT REIT 461730103 466 64228 SH SOLE 0 3132 0 61095 DENTSPLY SIRONA INC COM Stock 24906P109 237 3850 SH SOLE 0 0 0 3850 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 225 2600 SH SOLE 0 0 0 2599 BLACKROCK INC COM Stock 09247X101 2129 6253 SH SOLE 0 2000 0 4252 CBRE GROUP INC CL A Stock 12504L109 1664 57750 SH SOLE 0 23000 0 34750 ISHARES CORE S&P MID CAP ETF ETF 464287507 4852 33653 SH SOLE 0 250 0 33403 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 13874 65 SH SOLE 0 15 0 50 ISHARES MSCI EAFE ETF ETF 464287465 807 14115 SH SOLE 0 300 0 13815 APPLE INC Stock 037833100 9878 90628 SH SOLE 0 30739 0 59888 GLAXOSMITHKLINE PLC SPONSORED ADR ADR 37733W105 579 14268 SH SOLE 0 0 0 14268 WEC ENERGY GROUP INC COM Stock 92939U106 273 4551 SH SOLE 0 0 0 4551 BALLANTYNE STRONG INC COM Stock 058516105 346 75277 SH SOLE 0 0 0 75277 ABBOTT LABS COM Stock 002824100 5496 131401 SH SOLE 0 45907 0 85492 DISNEY WALT CO COM DISNEY Stock 254687106 4554 45860 SH SOLE 0 20498 0 25361 VANGUARD TOTAL WORLD STOCK INDEX FUND ETF 922042742 421 7296 SH SOLE 0 0 0 7296 ISHARES RUSSELL 1000 ETF ETF 464287622 4735 41509 SH SOLE 0 0 0 41508 MARSH & MCLENNAN COS INC COM Stock 571748102 292 4800 SH SOLE 0 0 0 4800 POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO ETF 73937B498 1169 49480 SH SOLE 0 0 0 49480 FERRARI N V COM Stock N3167Y103 516 12390 SH SOLE 0 11620 0 770