0001085146-17-002340.txt : 20171113 0001085146-17-002340.hdr.sgml : 20171110 20171113170540 ACCESSION NUMBER: 0001085146-17-002340 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONAL PLANNING CORP CENTRAL INDEX KEY: 0001492262 IRS NUMBER: 383023534 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13971 FILM NUMBER: 171196934 BUSINESS ADDRESS: STREET 1: 100 NORTH SEPULVEDA BLVD. STREET 2: SUITE 1800 CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 888-711-6720 MAIL ADDRESS: STREET 1: 100 NORTH SEPULVEDA BLVD. STREET 2: SUITE 1800 CITY: EL SEGUNDO STATE: CA ZIP: 90245 FORMER COMPANY: FORMER CONFORMED NAME: National Planning Corp DATE OF NAME CHANGE: 20100518 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001492262 XXXXXXXX 09-30-2017 09-30-2017 National Planning Corp

100 NORTH SEPULVEDA BLVD. SUITE 1800 EL SEGUNDO CA 90245

13F HOLDINGS REPORT 028-13971 N Patricia McCallop 310 899-7975 /s/ Patricia McCallop Santa Monica CA 10-13-2017 1 451 489046 false 1 0000898419 028-03582 PRUDENTIAL PLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101469421878SHDFND10021878ABBOTT LABSCOM002824100140126059SHDFND10026059ABBVIE INCCOM00287Y109453150511SHDFND10050511ABERDEEN ASIA PACIFIC INCOMCOM00300910711021565SHDFND10021565ACADIA PHARMACEUTICALS INCCOM004225108130533580SHDFND10033580ACCENTURE PLC IRELANDSHS CLASS AG1151C1015414031SHDFND1004031ADOBE SYS INCCOM00724F1014933316SHDFND1003316ADVANCED MICRO DEVICES INCCOM00790310717312890SHDFND10012890AETNA INC NEWCOM00817Y1083161937SHDFND1001937AFLAC INCCOM001055102158619292SHDFND10019292AGENUS INCCOM NEW00847G7054610000SHDFND10010000AGNC INVT CORPCOM00123Q10440318515SHDFND10018515AIR PRODS & CHEMS INCCOM0091581064432891SHDFND1002891ALEXION PHARMACEUTICALS INCCOM0153511092691903SHDFND1001903ALIBABA GROUP HLDG LTDSPONSORED ADS01609W10215348591SHDFND1008591ALLERGAN PLCSHSG0177J1082701285SHDFND1001285ALLIANCEBERNSTEIN GBL HGH INCOM01879R10646935944SHDFND10035944ALLIANCEBERNSTEIN HOLDING LPUNIT LTD PARTN01881G10628811741SHDFND10011741ALLIANT ENERGY CORPCOM0188021082285505SHDFND1005505ALLIANZGI CONV & INCOME FDCOM01882810332845920SHDFND10045920ALLIANZGI EQUITY & CONV INCOCOM01882910193845204SHDFND10045204ALLSTATE CORPCOM0200021013874201SHDFND1004201ALPHABET INCCAP STK CL A02079K30555245683SHDFND1005683ALPHABET INCCAP STK CL C02079K10735543711SHDFND1003711ALTRIA GROUP INCCOM02209S103528983466SHDFND10083466AMAZON COM INCCOM02313510680888451SHDFND1008451AMEREN CORPCOM0236081022273917SHDFND1003917AMERICAN AIRLS GROUP INCCOM02376R1022264478SHDFND1004478AMERICAN ELEC PWR INCCOM02553710192613181SHDFND10013181AMERICAN EXPRESS COCOM02581610998010714SHDFND10010714AMERICAN EXPRESS COCOM0258161091500SHPutDFND100500AMERICAN TOWER CORP NEWCOM03027X1003012206SHDFND1002206AMERICAN WTR WKS CO INC NEWCOM0304201032212702SHDFND1002702AMERIGAS PARTNERS L PUNIT L P INT0309751064049030SHDFND1009030AMERISOURCEBERGEN CORPCOM03073E1057539084SHDFND1009084AMETEK INC NEWCOM0311001002263410SHDFND1003410AMGEN INCCOM03116210015668365SHDFND1008365ANNALY CAP MGMT INCCOM0357104091908154989SHDFND100154989ANTARES PHARMA INCCOM03664210623564737SHDFND10064737APPLE INCCOM03783310027653179004SHDFND100179004APPLE INCCOM0378331005600SHPutDFND100600APPLIED MATLS INCCOM0382221052104052SHDFND1004052ARCONIC INCCOM03965L1002067900SHDFND1007900ARES COML REAL ESTATE CORPCOM04013V10828020725SHDFND10020725ASTRAZENECA PLCSPONSORED ADR04635310849114342SHDFND10014342AT&T INCCOM00206R1027107180006SHDFND100180006AT&T INCCOM00206R10211100SHPutDFND1001100ATHERSYS INCCOM04744L1062210000SHDFND10010000AUTOMATIC DATA PROCESSING INCOM0530151036215610SHDFND1005610AXIS CAPITAL HOLDINGS LTDSHSG0692U109175530676SHDFND10030676BAIDU INCSPON ADR REP A0567521085362170SHDFND1002170BANCO SANTANDER SAADR05964H10511416824SHDFND10016824BANK AMER CORPCOM060505104214082748SHDFND10082748BANK NEW YORK MELLON CORPCOM0640581003506499SHDFND1006499BARCLAYS BK PLCETN DJUBS COPR3706739F1012316874SHDFND1006874BARCLAYS BK PLCIPSP CROIL ETN06738C78635567860SHDFND10067860BCE INCCOM NEW05534B7604038593SHDFND1008593BECTON DICKINSON & COCOM0758871093521817SHDFND1001817BERKSHIRE HATHAWAY INC DELCL A0846701082791SHDFND1001BERKSHIRE HATHAWAY INC DELCL B NEW0846707021814097701SHDFND10097701BIOCRYST PHARMACEUTICALSCOM09058V10316832000SHDFND10032000BIOGEN INCCOM09062X1035601765SHDFND1001765BLACKROCK CORE BD TRSHS BEN INT09249E10127319404SHDFND10019404BLACKROCK ENH CAP & INC FD ICOM09256A10933721555SHDFND10021555BLACKROCK ENHANCED GBL DIV TCOM09250110529121397SHDFND10021397BLACKROCK HEALTH SCIENCES TRCOM09250W1073549600SHDFND1009600BLACKROCK INCCOM09247X1017341629SHDFND1001629BLACKROCK INCCOM09247X1011100SHPutDFND100100BLACKROCK INVT QUALITY MUN TCOM09247D10558739000SHDFND10039000BLACKROCK MUN 2030 TAR TERMCOM SHS BEN IN09257P10565629000SHDFND10029000BLACKROCK MUNIHOLDINGS FD INCOM09253N10436420962SHDFND10020962BLACKROCK MUNIYIELD ARIZ FDCOM09254K10923215400SHDFND10015400BLACKROCK MUNIYIELD CALI QLTCOM09254N10322114369SHDFND10014369BLACKROCK RES & COMM STRAT TSHS09257A1089510551SHDFND10010551BLACKROCK TAX MUNICPAL BD TRSHS09248X10029612607SHDFND10012607BLACKSTONE GROUP L PCOM UNIT LTD09253U108144843563SHDFND10043563BLUEBIRD BIO INCCOM09609G1006585160SHDFND1005160BOEING COCOM097023105610823910SHDFND10023910BP PLCSPONSORED ADR055622104351690861SHDFND10090861BRISTOL MYERS SQUIBB COCOM110122108174027064SHDFND10027064BRISTOL MYERS SQUIBB COCOM11012210811100SHPutDFND1001100BRITISH AMERN TOB PLCSPONSORED ADR110448107212634198SHDFND10034198BROADCOM LTDSHSY098271097523141SHDFND1003141BROADWIND ENERGY INCCOM NEW11161T207436111400SHDFND100111400CALAMOS CONV & HIGH INCOME FCOM SHS12811P10839533206SHDFND10033206CALAMOS CONV OPP AND INC FDSH BEN INT12811710880069132SHDFND10069132CALAVO GROWERS INCCOM12824610581110940SHDFND10010940CAMPBELL SOUP COCOM13442910994120370SHDFND10020370CAPSTEAD MTG CORPCOM NO PAR14067E50621822275SHDFND10022275CATCHMARK TIMBER TR INCCL A14912Y20220316043SHDFND10016043CATERPILLAR INC DELCOM1491231017255779SHDFND1005779CELGENE CORPCOM151020104172711824SHDFND10011824CELLDEX THERAPEUTICS INC NEWCOM15117B10317357600SHDFND10057600CENTRAL FD CDA LTDCL A15350110197774736SHDFND10074736CENTURYLINK INCCOM15670010624912341SHDFND10012341CENTURYLINK INCCOM1567001062500SHPutDFND100500CHEMICAL FINL CORPCOM1637311024839119SHDFND1009119CHESAPEAKE ENERGY CORPCOM1651671077818296SHDFND10018296CHEVRON CORP NEWCOM16676410019131162374SHDFND100162374CHICAGO BRIDGE & IRON CO N VCOM16725010929917935SHDFND10017935CHIMERA INVT CORPCOM NEW16934Q2084154217718SHDFND100217718CHUBB LIMITEDCOMH1467J1042101449SHDFND1001449CHURCH & DWIGHT INCCOM1713401022936193SHDFND1006193CINCINNATI FINL CORPCOM1720621015166683SHDFND1006683CISCO SYS INCCOM17275R102169350012SHDFND10050012CITIGROUP INCCOM NEW1729674243344509SHDFND1004509CLOROX CO DELCOM1890541094243263SHDFND1003263COCA COLA COCOM191216100322971453SHDFND10071453COCA COLA COCOM1912161001600SHPutDFND100600COGNEX CORPCOM1924221033302876SHDFND1002876COGNIZANT TECHNOLOGY SOLUTIOCL A1924461021500SHPutDFND100500COGNIZANT TECHNOLOGY SOLUTIOCL A1924461023024166SHDFND1004166COLGATE PALMOLIVE COCOM19416210394213002SHDFND10013002COLONY NORTHSTAR INCCL A COM19625W10458346157SHDFND10046157COLUMBIA PPTY TR INCCOM NEW19828720341819373SHDFND10019373COLUMBIA SELIGM PREM TECH GRCOM19842X10922910148SHDFND10010148COMCAST CORP NEWCL A20030N10165317037SHDFND10017037COMERICA INCCOM2003401073965201SHDFND1005201COMPASS MINERALS INTL INCCOM20451N1012083137SHDFND1003137CONOCOPHILLIPSCOM20825C104126425674SHDFND10025674CONSOLIDATED EDISON INCCOM209115104259032009SHDFND10032009CONTINENTAL RESOURCES INCCOM21201510139710360SHDFND10010360CORNING INCCOM21935010568222501SHDFND10022501COSTCO WHSL CORP NEWCOM22160K105235614274SHDFND10014274CSX CORPCOM1264081034137930SHDFND1007930CUMMINS INCCOM2310211067044124SHDFND1004124CVB FINL CORPCOM12660010536715164SHDFND10015164CVS HEALTH CORPCOM1266501000100SHPutDFND100100CVS HEALTH CORPCOM126650100128815924SHDFND10015924DANAHER CORP DELCOM2358511023484023SHDFND1004023DEERE & COCOM2441991055254097SHDFND1004097DEERE & COCOM2441991051200SHPutDFND100200DELAWARE INV MN MUN INC FD ICOM24610V103113279744SHDFND10079744DELTA AIR LINES INC DELCOM NEW2473617023486784SHDFND1006784DEUTSCHE MUN INCOMECOM25160C10678661707SHDFND10061707DIAGEO P L CSPON ADR NEW25243Q2057365586SHDFND1005586DIGITAL RLTY TR INCCOM2538681033192741SHDFND1002741DISCOVER FINL SVCSCOM2547091082403645SHDFND1003645DISNEY WALT COCOM DISNEY254687106410140686SHDFND10040686DNP SELECT INCOME FDCOM23325P10417415332SHDFND10015332DOMINION ENERGY INCCOM25746U10976310050SHDFND10010050DONALDSON INCCOM25765110955511925SHDFND10011925DOUBLELINE INCOME SOLUTIONSCOM2586221092456114455SHDFND100114455DOUBLELINE OPPORTUNISTIC CRCOM25862310768428901SHDFND10028901DOVER CORPCOM2600031082732931SHDFND1002931DOWDUPONT INCCOM26078J100144920588SHDFND10020588DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1018524000SHDFND10024000DREYFUS STRATEGIC MUN BD FDCOM26202F10726230749SHDFND10030749DTE ENERGY COCOM2333311073132940SHDFND1002940DUKE ENERGY CORP NEWCOM NEW26441C204267731929SHDFND10031929EATON CORP PLCSHSG2918310381010453SHDFND10010453EATON VANCE ENH EQTY INC FDCOM27827710832621590SHDFND10021590EATON VANCE LTD DUR INCOME FCOM27828H10563244922SHDFND10044922EATON VANCE MUN INCOME 2028SHS27829U10588143500SHDFND10043500EATON VANCE RISK MNGD DIV EQCOM27829G10625026500SHDFND10026500EATON VANCE SR FLTNG RTE TRCOM27828Q10524116234SHDFND10016234EATON VANCE TAX ADVT DIV INCCOM27828G10748321700SHDFND10021700EATON VANCE TX MNG BY WRT OPCOM27828Y10836723970SHDFND10023970EATON VANCE TXMGD GL BUYWR OCOM27829C10519516466SHDFND10016466EBAY INCCOM2786421032596685SHDFND1006685ECLIPSE RES CORPCOM27890G1001109421700SHDFND100421700ECOLAB INCCOM2788651002081595SHDFND1001595EDISON INTLCOM2810201074045242SHDFND1005242EGALET CORPCOM28226B1041310000SHDFND10010000EKSO BIONICS HLDGS INCCOM NEW282644202620520942SHDFND100520942EMERSON ELEC COCOM2910111045839199SHDFND1009199ENBRIDGE INCCOM29250N10560214338SHDFND10014338ENDEAVOUR SILVER CORPCOM29258Y103748305331SHDFND100305331ENERGY RECOVERY INCCOM29270J10014818743SHDFND10018743ENERGY TRANSFER PARTNERS LPUNIT LTD PRT INT29278N10366636540SHDFND10036540ENERPLUS CORPCOM29276610216016680SHDFND10016680ENTERPRISE PRODS PARTNERS LCOM29379210785432845SHDFND10032845EPR PPTYSCOM SH BEN INT26884U1094195974SHDFND1005974EVEREST RE GROUP LTDCOMG3223R10815146603SHDFND1006603EVERSOURCE ENERGYCOM30040W1082143557SHDFND1003557EXELIXIS INCCOM30161Q10434614170SHDFND10014170EXELIXIS INCCOM30161Q1041200SHPutDFND100200EXELON CORPCOM30161N10142811322SHDFND10011322EXPRESS SCRIPTS HLDG COCOM30219G1084867637SHDFND1007637EXXON MOBIL CORPCOM30231G102755292362SHDFND10092362FACEBOOK INCCL A30303M102632137191SHDFND10037191FASTENAL COCOM3119001042375165SHDFND1005165FEDEX CORPCOM31428X10611505156SHDFND1005156FIRST MAJESTIC SILVER CORPCOM32076V10331846523SHDFND10046523FIRST TR INTER DUR PFD & INCOM33718W10371328901SHDFND10028901FIRSTENERGY CORPCOM3379321072447862SHDFND1007862FLAHERTY&CRMN PFD SEC INCOMCOM33847810051323955SHDFND10023955FORD MTR CO DELCOM PAR $0.013453708601912154914SHDFND100154914FREEPORT-MCMORAN INCCL B35671D85739727145SHDFND10027145FS INVT CORPCOM302635107100571176289SHDFND1001176289GENERAL DYNAMICS CORPCOM3695501086873263SHDFND1003263GENERAL ELECTRIC COCOM3696041033905157440SHDFND100157440GENERAL ELECTRIC COCOM36960410311300SHPutDFND1001300GENERAL MLS INCCOM370334104183035654SHDFND10035654GENERAL MTRS COCOM37045V100112425867SHDFND10025867GILEAD SCIENCES INCCOM375558103153418437SHDFND10018437GILEAD SCIENCES INCCOM3755581032800SHPutDFND100800GLAXOSMITHKLINE PLCSPONSORED ADR37733W10549212010SHDFND10012010GLU MOBILE INCCOM3798901065915539SHDFND10015539GOLDEN STAR RES LTD CDACOM38119T104811000SHDFND10011000GOLDMAN SACHS GROUP INCCOM38141G1045032082SHDFND1002082GREAT PLAINS ENERGY INCCOM3911641002367738SHDFND1007738GUGGENHEIM STRATEGIC OPP FDCOM SBI40167F10167431734SHDFND10031734HALLIBURTON COCOM40621610192120504SHDFND10020504HANCOCK JOHN INV TRUSTTAX ADV GLB SH41013P74913915095SHDFND10015095HANCOCK JOHN PREMUIM DIV FDCOM SH BEN INT41013T10594355910SHDFND10055910HANOVER INS GROUP INCCOM4108671053613688SHDFND1003688HCP INCCOM40414L10947117427SHDFND10017427HEALTHCARE TR AMER INCCL A NEW42225P5014371146828SHDFND100146828HECLA MNG COCOM42270410620539334SHDFND10039334HENRY JACK & ASSOC INCCOM4262811013683552SHDFND1003552HERSHEY COCOM4278661082942731SHDFND1002731HOME DEPOT INCCOM437076102297518009SHDFND10018009HONEYWELL INTL INCCOM438516106154410821SHDFND10010821HOSPITALITY PPTYS TRCOM SH BEN INT44106M10246716443SHDFND10016443HUBBELL INCCOM4435106072121807SHDFND1001807HUNTINGTON BANCSHARES INCCOM44615010432223169SHDFND10023169ILLINOIS TOOL WKS INCCOM4523081093642432SHDFND1002432INCYTE CORPCOM45337C1028947928SHDFND1007928INDEPENDENT BANK CORP MASSCOM4538361083324364SHDFND1004364INTEL CORPCOM458140100366793112SHDFND10093112INTERCEPT PHARMACEUTICALS INCOM45845P108467571090SHDFND10071090INTERNATIONAL BUSINESS MACHSCOM459200101346823628SHDFND10023628INTERNATIONAL BUSINESS MACHSCOM4592001011200SHPutDFND100200INTREXON CORPCOM46122T10225212958SHDFND10012958INVESCO CALIF VALUE MUN INCCOM46132H10672955450SHDFND10055450INVESCO DYNAMIC CR OPP FDCOM46132R10416313639SHDFND10013639INVESCO PA VALUE MUN INCOMECOM46132K10934428000SHDFND10028000INVESCO TR INVT GRADE MUNSCOM46131M10684963500SHDFND10063500INVESTORS REAL ESTATE TRSH BEN INT4617301036911440SHDFND10011440JOHNSON & JOHNSONCOM478160104741556133SHDFND10056133JOHNSON & JOHNSONCOM4781601041200SHPutDFND100200JPMORGAN CHASE & COCOM46625H100324833365SHDFND10033365KIMBERLY CLARK CORPCOM494368103310426855SHDFND10026855KINDER MORGAN INC DELCOM49456B10159331476SHDFND10031476KKR & CO L P DELCOM UNITS48248M10239019255SHDFND10019255KRAFT HEINZ COCOM5007541067019009SHDFND1009009LA JOLLA PHARMACEUTICAL COCOM PAR $.0001 250345960454215650SHDFND10015650LAM RESEARCH CORPCOM5128071084012171SHDFND1002171LAMAR ADVERTISING CO NEWCL A512816109197829324SHDFND10029324LAS VEGAS SANDS CORPCOM5178341074617103SHDFND1007103LIBERTY ALL STAR EQUITY FDSH BEN INT53015810435258528SHDFND10058528LILLY ELI & COCOM532457108100211593SHDFND10011593LINCOLN NATL CORP INDCOM5341871092553450SHDFND1003450LOCKHEED MARTIN CORPCOM539830109410013105SHDFND10013105LOCKHEED MARTIN CORPCOM53983010944400SHCallDFND100400LOWES COS INCCOM548661107130916092SHDFND10016092LRAD CORPCOM50213V10919395795SHDFND10095795LTC PPTYS INCCOM50217510291019327SHDFND10019327LYONDELLBASELL INDUSTRIES NSHS - A -N53745100175717613SHDFND10017613MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP55908010682611604SHDFND10011604MALLINCKRODT PUB LTD COSHSG5785G107317984558SHDFND10084558MARATHON OIL CORPCOM56584910619213952SHDFND10013952MARSH & MCLENNAN COS INCCOM5717481023063629SHDFND1003629MASTERCARD INCORPORATEDCL A57636Q104143210010SHDFND10010010MB FINANCIAL INC NEWCOM55264U1083387397SHDFND1007397MCDONALDS CORPCOM580135101425627132SHDFND10027132MCKESSON CORPCOM58155Q1035553606SHDFND1003606MDU RES GROUP INCCOM5526901092619788SHDFND1009788MEDICAL PPTYS TRUST INCCOM58463J30464649048SHDFND10049048MEDTRONIC PLCSHSG5960L1034535804SHDFND1005804MERCK & CO INCCOM58933Y105227435321SHDFND10035321MERCURY GENL CORP NEWCOM5894001003265726SHDFND1005726METLIFE INCCOM59156R1082364500SHDFND1004500MFS HIGH YIELD MUN TRSH BEN INT59318E10216033565SHDFND10033565MFS MUN INCOME TRSH BEN INT55273810617324039SHDFND10024039MICROCHIP TECHNOLOGY INCCOM5950171042793075SHDFND1003075MICRON TECHNOLOGY INCCOM59511210396423890SHDFND10023890MICROSOFT CORPCOM594918104566876329SHDFND10076329MONDELEZ INTL INCCL A60920710556113711SHDFND10013711MONSANTO CO NEWCOM61166W1012101756SHDFND1001756MUELLER WTR PRODS INCCOM SER A62475810834026371SHDFND10026371NANTHEALTH INCCOM630104107656138700SHDFND100138700NATIONAL RETAIL PPTYS INCCOM6374171062947010SHDFND1007010NETFLIX INCCOM64110L1068224590SHDFND1004590NEW AMER HIGH INCOME FD INCCOM NEW64187680012512601SHDFND10012601NEW JERSEY RESCOM6460251063498145SHDFND1008145NEW YORK CMNTY BANCORP INCCOM64944510322317253SHDFND10017253NEWMARKET CORPCOM651587107217500SHDFND100500NEXTERA ENERGY INCCOM65339F1017224917SHDFND1004917NIKE INCCL B65410610354010497SHDFND10010497NORFOLK SOUTHERN CORPCOM6558441085404106SHDFND1004106NORTHROP GRUMMAN CORPCOM6668071027362530SHDFND1002530NOVAGOLD RES INCCOM NEW66987E206586141124SHDFND100141124NOVARTIS A GSPONSORED ADR66987V1095015782SHDFND1005782NOVAVAX INCCOM6700021041412335SHDFND10012335NUCOR CORPCOM6703461054287642SHDFND1007642NUVEEN AMT FREE MUN CR INC FCOM67071L106104367435SHDFND10067435NUVEEN AMT FREE QLTY MUN INCCOM6706571051623117610SHDFND100117610NUVEEN BUILD AMER BD FDCOM67074C1037664356609SHDFND100356609NUVEEN CA QUALTY MUN INCOMECOM67066Y10538525799SHDFND10025799NUVEEN CALIFORNIA AMT QLT MUCOM67065110818711800SHDFND10011800NUVEEN CORE EQUITY ALPHA FUNCOM67090X10716410585SHDFND10010585NUVEEN MINESOTA QLT MUN INCSHS67073410255636447SHDFND10036447NUVEEN MUN HIGH INCOME OPP FCOM67068210328120708SHDFND10020708NUVEEN MUNICIPAL CREDIT INCCOM SH BEN INT67070X10187457403SHDFND10057403NUVEEN NASDAQ 100 DYNAMIC OVCOM SHS67069910740618219SHDFND10018219NUVEEN NEW YORK AMT QLT MUNICOM67065610771354000SHDFND10054000NUVEEN PFD & INCM OPPORTNYSCOM67073B10632430681SHDFND10030681NUVEEN PFD & INCM SECURTIESCOM67072C1051338128044SHDFND100128044NUVEEN PFD & INCOME TERM FDCOM67075A1062620104428SHDFND100104428NUVEEN QUALITY MUNCP INCOMECOM67066V1012310163616SHDFND100163616NUVEEN S&P 500 BUY-WRITE INCCOM6706ER10135125126SHDFND10025126NVIDIA CORPCOM67066G10411896630SHDFND1006630NYMOX PHARMACEUTICAL CORPCOMP733981024211000SHDFND10011000OASIS PETE INC NEWCOM67421510811212350SHDFND10012350OCCIDENTAL PETE CORP DELCOM6745991052704225SHDFND1004225OCLARO INCCOM NEW67555N20645051544SHDFND10051544OLD REP INTL CORPCOM68022310440620453SHDFND10020453OMEGA HEALTHCARE INVS INCCOM681936100141944765SHDFND10044765ONEOK INC NEWCOM6826801034447894SHDFND1007894ORACLE CORPCOM68389X105135227778SHDFND10027778OTTER TAIL CORPCOM6896481033387613SHDFND1007613OXFORD LANE CAP CORPCOM69154310211511100SHDFND10011100PARAMOUNT GOLD NEV CORPCOM69924M1092114350SHDFND10014350PAYPAL HLDGS INCCOM70450Y10369410806SHDFND10010806PEMBINA PIPELINE CORPCOM70632710361217314SHDFND10017314PEOPLES UNITED FINANCIAL INCCOM71270410540022063SHDFND10022063PEPSICO INCCOM713448108213919604SHDFND10019604PFIZER INCCOM7170811033782104648SHDFND100104648PG&E CORPCOM69331C1082583779SHDFND1003779PHILIP MORRIS INTL INCCOM718172109239021694SHDFND10021694PHILLIPS 66COM7185461043623870SHDFND1003870PIEDMONT OFFICE REALTY TR INCOM CL A72019020627413588SHDFND10013588PIMCO CALIF MUN INCOME FD IICOM72200M10812312100SHDFND10012100PIMCO CORPORATE & INCOME OPPCOM72201B101116068827SHDFND10068827PIMCO CORPORATE INCOME STRATCOM72200U10076144538SHDFND10044538PIMCO DYNMIC CREDIT AND MRTCOM SHS72202D1062361101575SHDFND100101575PIMCO HIGH INCOME FDCOM SHS722014107887106909SHDFND100106909PIMCO INCOME OPPORTUNITY FDCOM72202B10047017890SHDFND10017890PIMCO INCOME STRATEGY FUNDCOM72201H1082427198917SHDFND100198917PIMCO INCOME STRATEGY FUND ICOM72201J10427425482SHDFND10025482PIMCO STRATEGIC INCOME FD INCOM72200X10419019476SHDFND10019476PIONEER FLOATING RATE TRCOM72369J10235930130SHDFND10030130PIONEER MUN HIGH INCOME TRCOM SHS72376310818815600SHDFND10015600PNC FINL SVCS GROUP INCCOM6934751054893642SHDFND1003642POLARIS INDS INCCOM7310681022922753SHDFND1002753POSCOSPONSORED ADR693483109161722853SHDFND10022853PPL CORPCOM69351T106140437475SHDFND10037475PRAXAIR INCCOM74005P1042031423SHDFND1001423PRICE T ROWE GROUP INCCOM74144T1085095597SHDFND1005597PRICE T ROWE GROUP INCCOM74144T1080500SHPutDFND100500PRICELINE GRP INCCOM NEW741503403469251SHDFND100251PRINCIPAL FINL GROUP INCCOM74251V1024366673SHDFND1006673PROCTER AND GAMBLE COCOM74271810914440156749SHDFND100156749PROGRESSIVE CORP OHIOCOM7433151034549246SHDFND1009246PROSPECT CAPITAL CORPORATIONCOM74348T10232247775SHDFND10047775PRUDENTIAL FINL INCCOM7443201024564228SHDFND1004228PS BUSINESS PKS INC CALIFCOM69360J107217215971SHDFND10015971PSYCHEMEDICS CORPCOM NEW74437520545625065SHDFND10025065PUBLIC STORAGECOM74460D1094071910SHDFND1001910PUTMAN HIGH INCOME SEC FUNDSHS BEN INT74677910710511777SHDFND10011777PUTNAM MANAGED MUN INCOM TRCOM74682310343557592SHDFND10057592QUALCOMM INCCOM7475251033900SHPutDFND100900QUALCOMM INCCOM7475251034899396SHDFND1009396QUINTILES IMS HOLDINGS INCCOM74876Y1012002100SHDFND1002100RADNET INCCOM75049110216013796SHDFND10013796RAYTHEON COCOM NEW7551115077974232SHDFND1004232RAYTHEON COCOM NEW7551115071200SHPutDFND100200REALTY INCOME CORPCOM75610910478213711SHDFND10013711REGENCY CTRS CORPCOM7588491033155052SHDFND1005052REGENERON PHARMACEUTICALSCOM75886F107247542SHDFND100542RETAIL PPTYS AMER INCCL A76131V20213810410SHDFND10010410RIO TINTO PLCSPONSORED ADR7672041002414990SHDFND1004990RITE AID CORPCOM76775410415774525SHDFND10074525ROCKWELL AUTOMATION INCCOM7739031093772083SHDFND1002083ROCKWELL COLLINS INCCOM7743411013172401SHDFND1002401ROSS STORES INCCOM7782961033164864SHDFND1004864ROYAL DUTCH SHELL PLCSPON ADR B78025910791214499SHDFND10014499ROYAL DUTCH SHELL PLCSPONS ADR A780259206111318280SHDFND10018280SALESFORCE COM INCCOM79466L3023834017SHDFND1004017SANOFISPONSORED ADR80105N10554310900SHDFND10010900SANOFISPONSORED ADR80105N10511200SHPutDFND1001200SAREPTA THERAPEUTICS INCCOM8036071002424923SHDFND1004923SCHLUMBERGER LTDCOM80685710878311334SHDFND10011334SEATTLE GENETICS INCCOM812578102536392555SHDFND10092555SELECT INCOME REITCOM SH BEN INT81618T10039316423SHDFND10016423SELECTIVE INS GROUP INCCOM816300107246344868SHDFND10044868SEMPRA ENERGYCOM8168511093382965SHDFND1002965SENIOR HSG PPTYS TRSH BEN INT81721M10933417048SHDFND10017048SHERWIN WILLIAMS COCOM824348106314840SHDFND100840SILICONWARE PRECISION INDS LSPONSD ADR SPL8270848641588200023SHDFND100200023SIRIUS XM HLDGS INCCOM82968B10341774462SHDFND10074462SKYWORKS SOLUTIONS INCCOM83088M1022802732SHDFND1002732SKYWORKS SOLUTIONS INCCOM83088M1022300SHPutDFND100300SMUCKER J M COCOM NEW8326964052552445SHDFND1002445SONOCO PRODS COCOM83549510265512690SHDFND10012690SOUTHERN COCOM842587107200841154SHDFND10041154SOUTHWEST AIRLS COCOM8447411084547755SHDFND1007755SPROTT PHYSICAL GOLD TRUSTUNIT85207H10436435140SHDFND10035140SPROTT PHYSICAL PLAT PALLADUNIT85207Q10410612593SHDFND10012593SPROTT PHYSICAL SILVER TRTR UNIT85207K107817130322SHDFND100130322STARBUCKS CORPCOM855244109362067050SHDFND10067050STARWOOD PPTY TR INCCOM85571B10546621496SHDFND10021496STRYKER CORPCOM8636671012942046SHDFND1002046SUBURBAN PROPANE PARTNERS LUNIT LTD PARTN8644821042228538SHDFND1008538SYNERGY PHARMACEUTICALS DELCOM NEW8716393083210000SHDFND10010000SYSCO CORPCOM871829107138925842SHDFND10025842TAHOE RES INCCOM8738681039217192SHDFND10017192TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR874039100221157524SHDFND10057524TARGET CORPCOM87612E1065769840SHDFND1009840TCW STRATEGIC INCOME FUND INCOM8723401047112346SHDFND10012346TEMPLETON GLOBAL INCOME FDCOM88019810618427189SHDFND10027189TESLA INCCOM88160R10113643919SHDFND1003919TEXAS INSTRS INCCOM8825081042933253SHDFND1003253THL CR INCCOM8724381069610250SHDFND10010250TJX COS INC NEWCOM8725401094025439SHDFND1005439TOTAL S ASPONSORED ADR89151E1094408170SHDFND1008170TRANSENTERIX INCCOM NEW89366M201236159250SHDFND100159250TRANSOCEAN LTDREG SHSH8817H10032931990SHDFND10031990TRAVELERS COMPANIES INCCOM89417E109229818580SHDFND10018580TREVENA INCCOM89532E1095321362SHDFND10021362TRINITY INDS INCCOM8965221092025770SHDFND1005770ULTA BEAUTY INCCOM90384S3032981309SHDFND1001309UNDER ARMOUR INCCL C90431120622414699SHDFND10014699UNILEVER PLCSPON ADR NEW9047677044377574SHDFND1007574UNION PAC CORPCOM9078181086375547SHDFND1005547UNITED PARCEL SERVICE INCCL B9113121068657225SHDFND1007225UNITED TECHNOLOGIES CORPCOM913017109156013251SHDFND10013251UNITEDHEALTH GROUP INCCOM91324P1022991507SHDFND1001507UNIVERSAL HEALTH RLTY INCM TSH BEN INT91359E1056188092SHDFND1008092US BANCORP DELCOM NEW9029733044618617SHDFND1008617V F CORPCOM9182041082503897SHDFND1003897VALERO ENERGY CORP NEWCOM91913Y1004605934SHDFND1005934VALLEY NATL BANCORPCOM91979410716313508SHDFND10013508VECTOR GROUP LTDCOM92240M108103149915SHDFND10049915VENTAS INCCOM92276F10069710938SHDFND10010938VEREIT INCCOM92339V1001600188723SHDFND100188723VERIZON COMMUNICATIONS INCCOM92343V104483196902SHDFND10096902VERTEX PHARMACEUTICALS INCCOM92532F1006714397SHDFND1004397VIRTUS GLOBAL DIVID INCOME FCOM92835W10717413203SHDFND10013203VISA INCCOM CL A92826C839245823279SHDFND10023279VODAFONE GROUP PLC NEWSPONSORED ADR92857W30844315587SHDFND10015587VOYA GLBL ADV & PREM OPP FDCOM92912R10419116855SHDFND10016855VOYA PRIME RATE TRSH BEN INT92913A10023244238SHDFND10044238W P CAREY INCCOM92936U10972810700SHDFND10010700WALGREENS BOOTS ALLIANCE INCCOM931427108150519593SHDFND10019593WAL-MART STORES INCCOM931142103188923842SHDFND10023842WASTE CONNECTIONS INCCOM94106B1012513551SHDFND1003551WASTE MGMT INC DELCOM94106L109189323877SHDFND10023877WASTE MGMT INC DELCOM94106L1090200SHPutDFND100200WEC ENERGY GROUP INCCOM92939U1063685819SHDFND1005819WELLS FARGO CO NEWCOM949746101153427596SHDFND10027596WELLTOWER INCCOM95040Q1045237536SHDFND1007536WESTERN ASSET HIGH INCM FD ICOM95766J1029813515SHDFND10013515WHEATON PRECIOUS METALS CORPCOM96287910248625058SHDFND10025058WHITING PETE CORP NEWCOM96638710247186175SHDFND10086175WILLIAMS COS INC DELCOM9694571002769127SHDFND1009127XCEL ENERGY INCCOM98389B10076916303SHDFND10016303XENIA HOTELS & RESORTS INCCOM98401710334616490SHDFND10016490ZIOPHARM ONCOLOGY INCCOM98973P10121433755SHDFND10033755