Senior Associate

0001569655-19-000004.txt : 20191017 0001569655-19-000004.hdr.sgml : 20191017 20191017121145 ACCESSION NUMBER: 0001569655-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191017 DATE AS OF CHANGE: 20191017 EFFECTIVENESS DATE: 20191017 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 191154569 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 09-30-2019 09-30-2019 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Associate 216-241-2575 Christophe Jambon Cleveland OH 10-17-2019 0 145 204590 false INFORMATION TABLE 2 Winfield13F2019Q3.xml 3M CO COM Stock 88579Y101 924 5620 SH SOLE 5620 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 265 9150 SH SOLE 9150 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 682 3075 SH SOLE 3075 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 6467 5305 SH SOLE 5305 0 0 ALTRIA GROUP INC COM Stock 02209S103 236 5761 SH SOLE 5761 0 0 AMAZON.COM INC Stock 023135106 11752 6770 SH SOLE 6770 0 0 AMERICAN TOWER CORP REIT 03027X100 2441 11037 SH SOLE 11037 0 0 APPLE INC Stock 037833100 9554 42656 SH SOLE 42655 0 0 APTIV PLC SHS Stock G6095L109 1002 11460 SH SOLE 11460 0 0 ARISTA NETWORKS INC COM Stock 040413106 1479 6190 SH SOLE 6190 0 0 ATHERSYS INC NEW COM Stock 04744L106 47 35600 SH SOLE 35600 0 0 BANK AMER CORP COM Stock 060505104 160 5500 SH SOLE 5500 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 950 4567 SH SOLE 4567 0 0 BIOSPECIFICS TECHNOLOGIES CORP COM Stock 090931106 268 5000 SH SOLE 5000 0 0 BLUEBIRD BIO INC COM Stock 09609G100 236 2570 SH SOLE 2570 0 0 BOEING CO COM Stock 097023105 886 2330 SH SOLE 2330 0 0 BOOKING HLDGS INC COM Stock 09857L108 1963 1000 SH SOLE 1000 0 0 BP PLC SPONSORED ADR ADR 055622104 257 6760 SH SOLE 6760 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 1393 23875 SH SOLE 23875 0 0 CISCO SYS INC Stock 17275R102 356 7200 SH SOLE 7200 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 632 24700 SH SOLE 24700 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 1088 21975 SH SOLE 21975 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 5413 44846 SH SOLE 44846 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 1500 24427 SH SOLE 24427 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 187 59470 SH SOLE 59470 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2935 21112 SH SOLE 21112 0 0 CYRUSONE INC COM REIT 23283R100 2276 28773 SH SOLE 28773 0 0 DIGITAL REALTY TRUST INC REIT 253868103 796 6130 SH SOLE 6130 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 564 4330 SH SOLE 4330 0 0 DNP SELECT INCOME FD COM CEF 23325P104 173 13485 SH SOLE 13485 0 0 DOUBLELINE OPPORTUNISTIC CR FD COM CEF 258623107 218 10525 SH SOLE 10525 0 0 EKSO BIONICS HLDGS INC COM NEW Stock 282644202 6 10804 SH SOLE 10804 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 424 7170 SH SOLE 7170 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 333 25446 SH SOLE 25446 0 0 ENTERPRISE PRODS PARTNERS L P Stock 293792107 407 14250 SH SOLE 14250 0 0 FACEBOOK INC CL A Stock 30303M102 1295 7270 SH SOLE 7270 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 1408 50300 SH SOLE 50300 0 0 FIRST SOLAR INC Stock 336433107 307 5300 SH SOLE 5300 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 196 18605 SH SOLE 18605 0 0 FIRST TRUST SSI STRATEGIC CONVERTIBLE SECURITIES ETF ETF 33739Q507 220 7050 SH SOLE 7050 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 345 3851 SH SOLE 3851 0 0 GLOBAL X MLP ETF ETF 37950E473 230 27500 SH SOLE 27500 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 233 7430 SH SOLE 7430 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 265 4425 SH SOLE 4425 0 0 GOOGLE INC Stock 02079K305 2273 1861 SH SOLE 1861 0 0 GRAFTECH INTL LTD COM Stock 384313508 336 26250 SH SOLE 26250 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1101 12211 SH SOLE 12211 0 0 HOME DEPOT Stock 437076102 1923 8286 SH SOLE 8286 0 0 HUNTINGTON INGALLS INDS INC COM Stock 446413106 312 1475 SH SOLE 1475 0 0 II VI INC COM Stock 902104108 861 24462 SH SOLE 24462 0 0 ILLUMINA INC Stock 452327109 598 1965 SH SOLE 1965 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1269 16345 SH SOLE 16345 0 0 INTEL CORP COM Stock 458140100 145 2823 SH SOLE 2823 0 0 IRON MTN INC NEW COM REIT 46284V101 275 8485 SH SOLE 8485 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2732 50901 SH SOLE 50901 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 945 11140 SH SOLE 11140 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 485 3825 SH SOLE 3825 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2091 18592 SH SOLE 18592 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 5451 48165 SH SOLE 48165 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 271 2375 SH SOLE 2375 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 383 7810 SH SOLE 7810 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 310 1603 SH SOLE 1603 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 635 6227 SH SOLE 6227 0 0 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 3905 60923 SH SOLE 60923 0 0 ISHARES EDGE MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 1108 9291 SH SOLE 9291 0 0 ISHARES IBOXX CORPORATE BOND ETF ETF 464287242 280 2200 SH SOLE 2200 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 1101 12625 SH SOLE 12625 0 0 ISHARES MBS BOND ETF ETF 464288588 957 8835 SH SOLE 8835 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 1600 16077 SH SOLE 16077 0 0 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 711 5545 SH SOLE 5545 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 312 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 540 4525 SH SOLE 4525 0 0 ISHARES S&P 500 INDEX ETF 464287200 4478 15001 SH SOLE 15001 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5158 23042 SH SOLE 23042 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 1538 19760 SH SOLE 19760 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1152 10815 SH SOLE 10815 0 0 ISHARES TR HIGH DIVID EQUITY FD ETF 46429B663 2916 30965 SH SOLE 30965 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 1316 11895 SH SOLE 11895 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 599 9775 SH SOLE 9775 0 0 J M SMUCKER CO NEW Stock 832696405 491 4465 SH SOLE 4465 0 0 JOHNSON & JOHNSON COM Stock 478160104 486 3755 SH SOLE 3755 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 370 3143 SH SOLE 3143 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 3433 68090 SH SOLE 68090 0 0 KEYCORP NEW COM Stock 493267108 310 17355 SH SOLE 17355 0 0 LOCKHEED MARTIN CORP Stock 539830109 2019 5177 SH SOLE 5177 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 323 12948 SH SOLE 12948 0 0 MASTERCARD INC CL A Stock 57636Q104 147 540 SH SOLE 540 0 0 MCDONALDS CORP COM Stock 580135101 157 730 SH SOLE 730 0 0 MICROSOFT Stock 594918104 8820 63439 SH SOLE 63439 0 0 MONDELEZ INTL INC CL A Stock 609207105 250 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 1741 14450 SH SOLE 14450 0 0 NEW MEDIA INV GRP INC Stock 64704V106 333 37750 SH SOLE 37750 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 1397 89100 SH SOLE 89100 0 0 NEXTERA ENERGY INC COM Stock 65339F101 186 800 SH SOLE 800 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 262 700 SH SOLE 700 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 232 15500 SH SOLE 15500 0 0 NUVEEN CA SELECT TAX FREE PRTF SH BEN INT CEF 67063R103 252 16000 SH SOLE 16000 0 0 NUVEEN CALIF MUN VALUE FD COM CEF 67062C107 482 45500 SH SOLE 45500 0 0 NUVEEN MUN VALUE FD CEF 670928100 560 53250 SH SOLE 53250 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 267 16900 SH SOLE 16900 0 0 NUVEEN PFD & INCM OPPORTNYS FD COM CEF 67073B106 260 25863 SH SOLE 25863 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 147 14902 SH SOLE 14902 0 0 NUVEEN SELECT MAT MUN FD SH BEN INT CEF 67061T101 114 11000 SH SOLE 11000 0 0 NVIDIA CORP COM Stock 67066G104 662 3805 SH SOLE 3805 0 0 PAYPAL HLDGS INC COM Stock 70450Y103 337 3250 SH SOLE 3250 0 0 PEPSICO INC COM Stock 713448108 483 3525 SH SOLE 3524 0 0 PFIZER INC COM Stock 717081103 423 11772 SH SOLE 11772 0 0 PHILIP MORRIS INTL INC Stock 718172109 213 2805 SH SOLE 2805 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2543 23356 SH SOLE 23356 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 9776 96095 SH SOLE 96095 0 0 PIONEER NAT RES CO COM Stock 723787107 232 1844 SH SOLE 1844 0 0 PORTOLA PHARMACEUTICALS INC COM Stock 737010108 307 11445 SH SOLE 11445 0 0 PROCTER & GAMBLE CO COM Stock 742718109 167 1339 SH SOLE 1339 0 0 PROGRESSIVE CORP OHIO COM Stock 743315103 1964 25430 SH SOLE 25430 0 0 PROSHARES TR SHORT S&P 500 PROSHARES ETF 74347B425 227 8689 SH SOLE 8689 0 0 RAYTHEON CO COM NEW Stock 755111507 2625 13378 SH SOLE 13378 0 0 RPM INTL INC COM Stock 749685103 234 3396 SH SOLE 3396 0 0 SALESFORCE COM Stock 79466L302 1491 10045 SH SOLE 10045 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 303 11755 SH SOLE 11755 0 0 SHOPIFY INC CL A Stock 82509L107 461 1480 SH SOLE 1480 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 3969 75665 SH SOLE 75664 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 3580 72730 SH SOLE 72730 0 0 SPDR HIGH YIELD BOND ETF ETF 78468R622 250 2303 SH SOLE 2303 0 0 SPDR S&P 500 ETF ETF 78462F103 9034 30441 SH SOLE 30440 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 2695 35338 SH SOLE 35338 0 0 SPLUNK INC COM Stock 848637104 1648 13980 SH SOLE 13980 0 0 STARBUCKS CORP Stock 855244109 314 3555 SH SOLE 3555 0 0 TCF FINANCIAL CORPORATION NEW COM Stock 872307103 203 5327 SH SOLE 5327 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 2881 35771 SH SOLE 35771 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 635 4268 SH SOLE 4268 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 207 3200 SH SOLE 3200 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 2996 72927 SH SOLE 72927 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1830 45448 SH SOLE 45448 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 1060 11619 SH SOLE 11619 0 0 VANGUARD REIT INDEX ETF ETF 922908553 1569 16822 SH SOLE 16822 0 0 VANGUARD S&P 500 ETF ETF 922908363 508 1865 SH SOLE 1865 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 449 5536 SH SOLE 5536 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4336 28717 SH SOLE 28716 0 0 VANGUARD VALUE INDEX FUND ETF 922908744 715 6405 SH SOLE 6405 0 0 VERIZON COMMUNICATIONS Stock 92343V104 817 13537 SH SOLE 13537 0 0 VISA INC Stock 92826C839 5573 32399 SH SOLE 32399 0 0 WELLS FARGO UTILITIES AND HIGH WF UTILITIES INC CEF 94987E109 143 10378 SH SOLE 10378 0 0 WESTERN ASSET EMRG MKT DEBT FD COM CEF 95766A101 144 10375 SH SOLE 10375 0 0 WESTERN ASSET HIGH INCM OPP FD COM CEF 95766K109 129 25450 SH SOLE 25450 0 0 WORKDAY INC CL A Stock 98138H101 582 3425 SH SOLE 3425 0 0