Chief Compliance Officer

0001062993-16-007668.txt : 20160211 0001062993-16-007668.hdr.sgml : 20160211 20160211113410 ACCESSION NUMBER: 0001062993-16-007668 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160211 DATE AS OF CHANGE: 20160211 EFFECTIVENESS DATE: 20160211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Carnick & Kubik, LLC CENTRAL INDEX KEY: 0001555900 IRS NUMBER: 453307631 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15410 FILM NUMBER: 161409484 BUSINESS ADDRESS: STREET 1: 675 SOUTHPOINTE COURT, SUITE 102 CITY: COLORADO SPRINGS STATE: CO ZIP: 80906 BUSINESS PHONE: 719-579-8000 MAIL ADDRESS: STREET 1: POST OFFICE BOX 7 CITY: COLORADO SPRINGS STATE: CO ZIP: 80901 FORMER COMPANY: FORMER CONFORMED NAME: Carnick & Company, LLC DATE OF NAME CHANGE: 20120809 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001555900 XXXXXXXX 12-31-2015 12-31-2015 Carnick & Kubik, LLC

POST OFFICE BOX 7 COLORADO SPRINGS CO 80901

13F HOLDINGS REPORT 028-15410 N Craig Carnick Chief Compliance Officer 719-579-8000 Craig Carnick Denver CO 02-11-2016 0 135 155824 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE CENTURYLINK INC COM 156700106 984 39105 SH SOLE None 0 0 0 NUVEEN ENHANCED MUN VALUE FD COM 67074M101 193 12260 SH SOLE None 0 0 0 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 0 66080 SH SOLE None 0 0 0 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 337 16720 SH SOLE None 0 0 0 TORTOISE PWR & ENERGY INFRAS COM 89147X104 201 11950 SH SOLE None 0 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 0 40080 SH SOLE None 0 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 514 10473 SH SOLE None 0 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1673 41749 SH SOLE None 0 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1720 44604 SH SOLE None 0 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 678 10160 SH SOLE None 0 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1215 12299 SH SOLE None 0 0 0 AMPIO PHARMACEUTICALS INC COM 03209T109 513 146692 SH SOLE None 0 0 0 ANTERO RES CORP COM 03674X106 22565 1035087 SH SOLE None 0 0 0 WARREN RES INC COM 93564A100 4 17500 SH SOLE None 0 0 0 WISDOMTREE TR SMALLCAP DIVID 97717W604 387 5955 SH SOLE None 0 0 0 NUVEEN PREM INCOME MUN FD COM 67062T100 367 25997 SH SOLE None 0 0 0 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 187 12925 SH SOLE None 0 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 303 30953 SH SOLE None 0 0 0 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 351 24775 SH SOLE None 0 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 845 10616 SH SOLE None 0 0 0 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 1395 28848 SH SOLE None 0 0 0 CLAYMORE EXCHANGE TRD FD TR GUGG ENH SHT DUR 18383M654 327 6550 SH SOLE None 0 0 0 PIMCO ETF TR INTER MUN BD ACT 72201R866 302 5600 SH SOLE None 0 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1317 24900 SH SOLE None 0 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 420 4030 SH SOLE None 0 0 0 AMAZON COM INC COM 023135106 1914 2832 SH SOLE None 0 0 0 AMERICAN ELEC PWR INC COM 025537101 891 15285 SH SOLE None 0 0 0 AMGEN INC COM 031162100 1899 11699 SH SOLE None 0 0 0 APPLE INC COM 037833100 1461 13884 SH SOLE None 0 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 598 7055 SH SOLE None 0 0 0 BANK NEW YORK MELLON CORP COM 064058100 717 17388 SH SOLE None 0 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 281 4087 SH SOLE None 0 0 0 CVS HEALTH CORP COM 126650100 1798 18388 SH SOLE None 0 0 0 COLGATE PALMOLIVE CO COM 194162103 620 9308 SH SOLE None 0 0 0 DIGITAL RLTY TR INC COM 253868103 1589 21014 SH SOLE None 0 0 0 DISNEY WALT CO COM DISNEY 254687106 1305 12418 SH SOLE None 0 0 0 FASTENAL CO COM 311900104 676 16550 SH SOLE None 0 0 0 FIRST SOLAR INC COM 336433107 1013 15348 SH SOLE None 0 0 0 GENERAL ELECTRIC CO COM 369604103 602 19320 SH SOLE None 0 0 0 GENERAL MLS INC COM 370334104 658 11416 SH SOLE None 0 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 261 1900 SH SOLE None 0 0 0 ISHARES TR CORE S&P500 ETF 464287200 481 2349 SH SOLE None 0 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 4353 37589 SH SOLE None 0 0 0 ISHARES TR N AMER TECH ETF 464287549 361 3265 SH SOLE None 0 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 5526 56467 SH SOLE None 0 0 0 ISHARES TR S&P MC 400GR ETF 464287606 842 5229 SH SOLE None 0 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 346 3764 SH SOLE None 0 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 1211 8696 SH SOLE None 0 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 205 1823 SH SOLE None 0 0 0 ISHARES TR U.S. TECH ETF 464287721 2454 22932 SH SOLE None 0 0 0 ISHARES TR SP SMCP600GR ETF 464287887 823 6621 SH SOLE None 0 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 231 5500 SH SOLE None 0 0 0 JOHNSON & JOHNSON COM 478160104 367 3572 SH SOLE None 0 0 0 KEYCORP NEW PFD 7.75% SR A 493267405 1447 10909 SH SOLE None 0 0 0 LAM RESEARCH CORP COM 512807108 1235 15561 SH SOLE None 0 0 0 LILLY ELI & CO COM 532457108 710 8422 SH SOLE None 0 0 0 LOWES COS INC COM 548661107 2097 27581 SH SOLE None 0 0 0 MICROSOFT CORP COM 594918104 1627 29328 SH SOLE None 0 0 0 MOHAWK INDS INC COM 608190104 445 2350 SH SOLE None 0 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 1450 88856 SH SOLE None 0 0 0 NOVO-NORDISK A S ADR 670100205 1599 27534 SH SOLE None 0 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 919 26267 SH SOLE None 0 0 0 PAYCHEX INC COM 704326107 736 13907 SH SOLE None 0 0 0 PHILLIPS 66 COM 718546104 953 11647 SH SOLE None 0 0 0 PRICELINE GRP INC COM NEW 741503403 1216 954 SH SOLE None 0 0 0 PROCTER & GAMBLE CO COM 742718109 689 8679 SH SOLE None 0 0 0 RPM INTL INC COM 749685103 301 6822 SH SOLE None 0 0 0 REALTY INCOME CORP COM 756109104 878 17003 SH SOLE None 0 0 0 SCHWAB CHARLES CORP NEW COM 808513105 1170 35537 SH SOLE None 0 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1027 21135 SH SOLE None 0 0 0 SMITH A O COM 831865209 808 10552 SH SOLE None 0 0 0 STARBUCKS CORP COM 855244109 1516 25260 SH SOLE None 0 0 0 TJX COS INC NEW COM 872540109 1429 20152 SH SOLE None 0 0 0 US BANCORP DEL COM NEW 902973304 612 14346 SH SOLE None 0 0 0 V F CORP COM 918204108 1344 21590 SH SOLE None 0 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1107 13886 SH SOLE None 0 0 0 WAL-MART STORES INC COM 931142103 251 4100 SH SOLE None 0 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 676 7934 SH SOLE None 0 0 0 WATERS CORP COM 941848103 269 2000 SH SOLE None 0 0 0 WELLS FARGO & CO NEW COM 949746101 837 15404 SH SOLE None 0 0 0 TRAVELERS COMPANIES INC COM 89417E109 612 5424 SH SOLE None 0 0 0 AT&T INC COM 00206R102 1091 31720 SH SOLE None 0 0 0 ABBVIE INC COM 00287Y109 678 11440 SH SOLE None 0 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 749 85692 SH SOLE None 0 0 0 CENTENE CORP DEL COM 15135B101 1611 24472 SH SOLE None 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 508 27650 SH SOLE None 0 0 0 CINEMARK HOLDINGS INC COM 17243V102 584 17476 SH SOLE None 0 0 0 CISCO SYS INC COM 17275R102 620 22817 SH SOLE None 0 0 0 CONOCOPHILLIPS COM 20825C104 1570 33632 SH SOLE None 0 0 0 COSTCO WHSL CORP NEW COM 22160K105 1820 11270 SH SOLE None 0 0 0 EOG RES INC COM 26875P101 745 10524 SH SOLE None 0 0 0 ENTERGY CORP NEW COM 29364G103 564 8245 SH SOLE None 0 0 0 EXXON MOBIL CORP COM 30231G102 546 7002 SH SOLE None 0 0 0 FACEBOOK INC CL A 30303M102 1740 16624 SH SOLE None 0 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 234 1300 SH SOLE None 0 0 0 GOOGLE INC CL A 38259P508 1912 2458 SH SOLE None 0 0 0 GOOGLE INC CL A 38259P508 893 1177 SH SOLE None 0 0 0 IDEXX LABS INC COM 45168D104 685 9400 SH SOLE None 0 0 0 MEI PHARMA INC COM NEW 55279B202 49 30355 SH SOLE None 0 0 0 MASTERCARD INC CL A 57636Q104 820 8422 SH SOLE None 0 0 0 MERCK & CO INC NEW COM 58933Y105 675 12788 SH SOLE None 0 0 0 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 1789 25564 SH SOLE None 0 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3708 18188 SH SOLE None 0 0 0 SPDR SERIES TRUST S&P 500 VALUE 78464A508 1165 12142 SH SOLE None 0 0 0 SANOFI SPONSORED ADR 80105N105 459 10751 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2271 44977 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 238 3040 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3980 167027 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2223 41927 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3196 74609 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1439 33248 SH SOLE None 0 0 0 SYNERGY RES CORP COM 87164P103 94 11000 SH SOLE None 0 0 0 TELUS CORP COM 87971M103 510 18461 SH SOLE None 0 0 0 3M CO COM 88579Y101 738 4902 SH SOLE None 0 0 0 UNITEDHEALTH GROUP INC COM 91324P102 708 6015 SH SOLE None 0 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2063 20293 SH SOLE None 0 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 1153 14162 SH SOLE None 0 0 0 SHAW COMMUNICATIONS INC CL B CONV 82028K200 486 28258 SH SOLE None 0 0 0 APACHE CORP COM 037411105 567 12760 SH SOLE None 0 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 728 10770 SH SOLE None 0 0 0 CAPITAL ONE FINL CORP COM 14040H105 1032 14297 SH SOLE None 0 0 0 GILEAD SCIENCES INC NOTE 1.625% 5/0 375558AP8 1168 11538 SH SOLE None 0 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 854 13009 SH SOLE None 0 0 0 TEXTRON INC COM 883203101 1085 25821 SH SOLE None 0 0 0 AIR PRODS & CHEMS INC COM 009158106 609 4679 SH SOLE None 0 0 0 BALL CORP COM 058498106 306 4212 SH SOLE None 0 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 1858 34578 SH SOLE None 0 0 0 TEXAS INSTRS INC COM 882508104 787 14360 SH SOLE None 0 0 0 ALLIANT ENERGY CORP COM 018802108 646 10338 SH SOLE None 0 0 0 ISHARES TR U.S. FIN SVC ETF 464287770 1069 11877 SH SOLE None 0 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 630 39019 SH SOLE None 0 0 0 FIRST TR EXCHANGE TRADED FD NAS CLNEDG GREEN 33733E500 269 16730 SH SOLE None 0 0 0 FLEXSHARES TR QUALT DIVD IDX 33939L860 1523 43725 SH SOLE None 0 0 0 GLOBAL X FDS GLBL X MLP ETF 37950E473 138 13300 SH SOLE None 0 0 0 VANGUARD WORLD FDS ENERGY ETF 92204A306 0 13300 SH SOLE None 0 0 0