Chief Compliance Officer

0001606587-19-000973.txt : 20191106 0001606587-19-000973.hdr.sgml : 20191106 20191106112936 ACCESSION NUMBER: 0001606587-19-000973 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191106 DATE AS OF CHANGE: 20191106 EFFECTIVENESS DATE: 20191106 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Harvest Investment Services, LLC CENTRAL INDEX KEY: 0001591097 IRS NUMBER: 453681885 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19357 FILM NUMBER: 191195533 BUSINESS ADDRESS: STREET 1: 1 TRANSAM PLAZA DRIVE STREET 2: SUITE 230 CITY: OAKBROOK TERRACE STATE: IL ZIP: 60181 BUSINESS PHONE: 630-613-9230 MAIL ADDRESS: STREET 1: 1 TRANSAM PLAZA DRIVE STREET 2: SUITE 230 CITY: OAKBROOK TERRACE STATE: IL ZIP: 60181 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001591097 XXXXXXXX 09-30-2019 09-30-2019 false Harvest Investment Services, LLC

1 Transam Plaza Drive Suite 230 Oakbrook Terrace IL 60181

13F HOLDINGS REPORT 028-19357 N Frederick A. Newell Chief Compliance Officer 630-613-9230 Frederick A. Newell Oakbrook Terrace IL 10-21-2019 0 154 199307 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABORATORIES COM COM 002824100 219 2678 SH SOLE NONE 0 0 2678 ABBVIE INC COM COM 00287Y109 751 10261 SH SOLE NONE 0 0 10261 ABERDEEN ASIA PACI COM COM 003009107 327 77864 SH SOLE NONE 0 0 77864 ABIOMED INC COM COM 003654100 388 2284 SH SOLE NONE 0 0 2284 ACCENTURE PLC COM SHS CLASS A G1151C101 288 1519 SH SOLE NONE 0 0 1519 ADOBE INC COM COM 00724F101 1461 5360 SH SOLE NONE 0 0 5360 ALIGN TECHNOLOGY INC COM COM 016255101 582 3194 SH SOLE NONE 0 0 3194 ALPHABET INC COM CL C CAP STK CL C 02079K107 1305 1083 PRN SOLE NONE 0 0 1083 ALPS ETF TRUST SECTR DIV DOGS ETF SECTR DIV DOGS 00162Q858 520 12057 SH SOLE NONE 0 0 12057 AMAZON COM INC COM COM 023135106 1615 931 SH SOLE NONE 0 0 931 AMERICAN ELECTRIC POWER CO INC COM COM 025537101 286 3072 SH SOLE NONE 0 0 3072 AMERICAN STATES WATER CO COM COM 029899101 202 2253 SH SOLE NONE 0 0 2253 AMERICAN WATER WOR COM COM 030420103 330 2670 SH SOLE NONE 0 0 2670 AMPIO PHARMACEUTICALS INC COM COM 03209T109 52 109443 PRN SOLE NONE 0 0 109443 APPLE INC COM COM 037833100 1140 5076 SH SOLE NONE 0 0 5076 AQUA AMERICA INC COM COM 03836W103 265 5907 SH SOLE NONE 0 0 5907 ARISTA NETWORKS INC COM COM 040413106 995 4321 SH SOLE NONE 0 0 4321 AT&T INC COM COM 00206R102 568 15187 SH SOLE NONE 0 0 15187 BANK OF MONTREAL MICROSECTRS IDX ETN MICROSECTRS IDX 063679872 699 20847 SH SOLE NONE 0 0 20847 BERKSHIRE HATHAWAY INC COM CL B CL B NEW 084670702 259 1254 SH SOLE NONE 0 0 1254 BWX TECHNOLOGIES INC COM COM 05605H100 239 4289 SH SOLE NONE 0 0 4289 CARDIOVASCULAR SYSTEMS INC DEL COM COM 141619106 227 4944 SH SOLE NONE 0 0 4944 CHEVRON CORPORATION COM COM 166764100 508 4378 SH SOLE NONE 0 0 4378 DANAHER CORP COM COM 235851102 356 2513 SH SOLE NONE 0 0 2513 DIREXION SHARES ETF TRUST DALY HOM B&S BUL ETF DALY HOM B&S BUL 25490K596 441 7007 SH SOLE NONE 0 0 7007 DIREXION SHARES ETF TRUST DL FTSE BLL 3X ETF DL FTSE BLL 3X 25459W771 324 19944 SH SOLE NONE 0 0 19944 DIREXION SHARES ETF TRUST DLY EMG MK BL 3X ETF DLY EMG MK BL 3X 25490K281 307 4819 SH SOLE NONE 0 0 4819 DIREXION SHARES ETF TRUST DLY ENRGY BULL3X ETF DLY ENRGY BULL3X 25459W888 919 63271 SH SOLE NONE 0 0 63271 DIREXION SHARES ETF TRUST DLY FIN BULL NEW ETF DLY FIN BULL NEW 25459Y694 1647 22279 SH SOLE NONE 0 0 22279 DIREXION SHARES ETF TRUST DLY MIDCAP ETF3X DLY MIDCAP ETF3X 25459W730 370 9491 SH SOLE NONE 0 0 9491 DIREXION SHARES ETF TRUST DLY R/E BULL3X ETF DLY R/E BULL3X 25459W755 504 17246 SH SOLE NONE 0 0 17246 DIREXION SHARES ETF TRUST DLY SCOND 3XBU ETF DLY SCOND 3XBU 25459W458 737 4456 SH SOLE NONE 0 0 4456 DIREXION SHARES ETF TRUST DLY SMCAP BULL3X ETF DLY SMCAP BULL3X 25459W847 3586 68426 SH SOLE NONE 0 0 68426 DIREXION SHARES ETF TRUST DLY TECH BULL 3X ETF DLY TECH BULL 3X 25459W102 1633 10059 SH SOLE NONE 0 0 10059 DIREXION SHARES ETF TRUST SP BIOTCH BL NEW ETF SP BIOTCH BL NEW 25490K323 2176 75154 SH SOLE NONE 0 0 75154 DUKE ENERGY CORP COM COM NEW 26441C204 305 3173 SH SOLE NONE 0 0 3173 ECOLAB INC COM COM 278865100 1140 5821 SH SOLE NONE 0 0 5821 ESSEX PROPERTY TRUST INC COM COM 297178105 269 829 SH SOLE NONE 0 0 829 FACEBOOK INC COM CL A CL A 30303M102 1285 7310 SH SOLE NONE 0 0 7310 FIRST TR EXCHANGE TRADED FD IV FIRST TR ENH NEW ETF FIRST TR ENH NEW 33739Q408 43136 717861 SH SOLE NONE 0 0 717861 FIRST TR EXCHANGE TRADED FD IV FIRST TR TA HIYL ETF FIRST TR TA HIYL 33738D408 5131 106397 SH SOLE NONE 0 0 106397 FIRST TR EXCHANGE TRADED FD IV FST LOW OPPT EFT ETF FST LOW OPPT EFT 33739Q200 346 6667 SH SOLE NONE 0 0 6667 FIRST TR EXCHANGE TRADED FD IV NO AMER ENERGY ETF NO AMER ENERGY 33738D101 283 11129 SH SOLE NONE 0 0 11129 FIRST TR EXCHANGE TRADED FD IV SENIOR LN FD ETF SENIOR LN FD 33738D309 1187 25047 SH SOLE NONE 0 0 25047 FIRST TR EXCHANGE TRADED FD VI MULTI ASSET DI ETF MULTI ASSET DI 33738R100 2392 130516 SH SOLE NONE 0 0 130516 FIRST TR EXCHANGE TRADED FD VI NASD TECH DIV ETF NASD TECH DIV 33738R118 2568 64792 SH SOLE NONE 0 0 64792 FIRST TR EXCHANGE TRADED FD VI RISNG DIVD ACHIV ETF RISNG DIVD ACHIV 33738R506 646 20665 SH SOLE NONE 0 0 20665 FIRST TR EXCHANGE-TRADED FD II PFD SECS INC ETF PFD SECS INC ETF 33739E108 6008 304251 SH SOLE NONE 0 0 304251 FIRST TR LRG CP GRWTH ALPHADEX COM SHS ETF COM SHS 33735K108 925 13390 SH SOLE NONE 0 0 13390 FIRST TRUST EXCH TRADED FUND 2 DJ GLBL DIVID ETF DJ GLBL DIVID 33734X200 1297 57054 SH SOLE NONE 0 0 57054 FIRST TRUST EXCH TRADED FUND 2 TECH ALPHADEX ETF TECH ALPHADEX 33734X176 400 6216 SH SOLE NONE 0 0 6216 FIRST TRUST PORTFOLIOS COM ETF COM 33734G108 1334 50670 PRN SOLE NONE 0 0 50670 FIRST TST MORNINGS SHS ETF SHS 336917109 2730 89264 SH SOLE NONE 0 0 89264 FIRST TST VALUE LI SHS ETF SHS 33734H106 3110 90382 SH SOLE NONE 0 0 90382 FS KKR CAPITAL CORP COM COM 302635107 419 73137 SH SOLE NONE 0 0 73137 GDS HOLDINGS LTD ADR SPONSORED ADS 36165L108 201 5012 SH SOLE NONE 0 0 5012 GLOBAL PAYMENTS INC COM COM 37940X102 258 1633 SH SOLE NONE 0 0 1633 GLOBAL X FDS GLB X SUPERDIV ETF GLB X SUPERDIV 37950E549 953 56850 SH SOLE NONE 0 0 56850 GRUBHUB INC COM COM 400110102 373 6625 SH SOLE NONE 0 0 6625 HCP INC COM COM 40414L109 284 7972 SH SOLE NONE 0 0 7972 INVESCO EXCHANGE TRADED FUND T 1 30 LADER TRE ETF 1 30 LADER TRE 46138E107 305 8574 SH SOLE NONE 0 0 8574 INVESCO EXCHANGE TRADED FUND T EMRNG MKT SVRG ETF EMRNG MKT SVRG 46138E784 290 9990 SH SOLE NONE 0 0 9990 INVESCO EXCHANGE TRADED FUND T KBW HIG DV YLD ETF KBW HIG DV YLD 46138E610 1413 68862 SH SOLE NONE 0 0 68862 INVESCO EXCHANGE TRADED FUND T S&P MIDCP LOW ETF S&P MIDCP LOW 46138E198 1290 24803 SH SOLE NONE 0 0 24803 INVESCO EXCHANGE TRADED FUND T S&P SMLCP LOW ETF S&P SMLCP LOW 46138G102 468 9716 SH SOLE NONE 0 0 9716 INVESCO EXCHANGE TRADED FUND T S&P500 LOW VOL ETF S&P500 LOW VOL 46138E354 4384 76377 SH SOLE NONE 0 0 76377 INVESCO QQQ TRUST UNIT SER 1 ETF UNIT SER 1 46090E103 6003 32056 SH SOLE NONE 0 0 32056 ISHARES INC MSCI GBL GOLD MN ETF MSCI GBL GOLD MN 46434G855 220 10106 SH SOLE NONE 0 0 10106 ISHARES TRUST 1 3 YR TREAS BD ETF 1 3 YR TREAS BD 464287457 240 2839 SH SOLE NONE 0 0 2839 ISHARES TRUST COHEN STEER REIT ETF COHEN STEER REIT 464287564 220 1856 SH SOLE NONE 0 0 1856 ISHARES TRUST CORE S&P TTL STK ETF CORE S&P TTL STK 464287150 376 5691 SH SOLE NONE 0 0 5691 ISHARES TRUST IBOXX INV CP ETF IBOXX INV CP ETF 464287242 400 3144 SH SOLE NONE 0 0 3144 ISHARES TRUST MORTGE REL ETF MORTGE REL ETF 46435G342 595 14295 SH SOLE NONE 0 0 14295 ISHARES TRUST MSCI EAFE ETF MSCI EAFE ETF 464287465 214 3323 SH SOLE NONE 0 0 3323 ISHARES TRUST PFD AND INCM SEC ETF PFD AND INCM SEC 464288687 550 14743 SH SOLE NONE 0 0 14743 ISHARES TRUST PHLX SEMICND ETF PHLX SEMICND ETF 464287523 207 991 SH SOLE NONE 0 0 991 ISHARES TRUST RESIDNL REAL EST ETF RESIDNL REAL EST 464288562 215 2728 SH SOLE NONE 0 0 2728 ISHARES TRUST RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 3925 26457 SH SOLE NONE 0 0 26457 ISHARES TRUST S&P 500 GRWT ETF S&P 500 GRWT ETF 464287309 7172 40284 SH SOLE NONE 0 0 40284 ISHARES TRUST S&P MC 400GR ETF S&P MC 400GR ETF 464287606 2234 10151 SH SOLE NONE 0 0 10151 ISHARES TRUST S&P SML 600 GWT ETF S&P SML 600 GWT 464287887 2796 15979 SH SOLE NONE 0 0 15979 ISHARES TRUST SHORT TREAS BD ETF SHORT TREAS BD 464288679 289 2621 SH SOLE NONE 0 0 2621 ISHARES TRUST U.S. FINLS ETF U.S. FINLS ETF 464287788 389 3075 SH SOLE NONE 0 0 3075 ISHARES TRUST U.S. INSRNCE ETF U.S. INSRNCE ETF 464288786 206 2926 SH SOLE NONE 0 0 2926 ISHARES TRUST U.S. MED DVC ETF U.S. MED DVC ETF 464288810 279 1148 SH SOLE NONE 0 0 1148 ISHARES TRUST U.S. REAL ES ETF U.S. REAL ES ETF 464287739 590 6376 SH SOLE NONE 0 0 6376 ISHARES TRUST U.S. TECH ETF U.S. TECH ETF 464287721 233 1153 SH SOLE NONE 0 0 1153 ISHARES TRUST U.S. UTILITS ETF U.S. UTILITS ETF 464287697 408 2515 SH SOLE NONE 0 0 2515 ISHARES TRUST US HOME CONS ETF US HOME CONS ETF 464288752 267 6240 SH SOLE NONE 0 0 6240 JPMORGAN CHASE & CO. COM COM 46625H100 427 3702 SH SOLE NONE 0 0 3702 KIRKLAND LAKE GOLD COM COM 49741E100 310 6899 SH SOLE NONE 0 0 6899 L3 HARRIS TECHNOLOGIES INC COM COM 502431109 276 1359 SH SOLE NONE 0 0 1359 LIGAND PHARMACEUTICAL INC COM COM NEW 53220K504 368 3784 SH SOLE NONE 0 0 3784 MARTIN MARIETTA MATERIALS INC COM COM 573284106 244 912 SH SOLE NONE 0 0 912 MASTERCARD INCORPORATED COM CL A CL A 57636Q104 1584 5849 SH SOLE NONE 0 0 5849 MICROCHIP TECHNOLOGY COM COM 595017104 298 3210 SH SOLE NONE 0 0 3210 MICRON TECHNOLOGY INC COM COM 595112103 254 6010 SH SOLE NONE 0 0 6010 MICROSOFT CORP COM COM 594918104 743 5427 SH SOLE NONE 0 0 5427 MONDELEZ INTL INC COM CL A CL A 609207105 265 4857 SH SOLE NONE 0 0 4857 NIKE INC COM CL B CL B 654106103 258 2801 SH SOLE NONE 0 0 2801 NORTHERN DYNASTY MINERALS LTD COM COM NEW 66510M204 8 15000 SH SOLE NONE 0 0 15000 NUVEEN QUALITY PFD INCOME FUND COM COM 67072C105 177 17887 SH SOLE NONE 0 0 17887 NVIDIA CORP COM COM 67066G104 771 4434 SH SOLE NONE 0 0 4434 PAYCOM SOFTWARE INC COM COM 70432V102 1287 6190 SH SOLE NONE 0 0 6190 PEPSICO INC COM COM 713448108 818 5961 SH SOLE NONE 0 0 5961 PROCTER & GAMBLE CO COM COM 742718109 1379 11136 SH SOLE NONE 0 0 11136 PROLOGIS INC COM COM 74340W103 267 3180 SH SOLE NONE 0 0 3180 PROSHARES TRUST PSHS ULT MCAP400 ETF PSHS ULT MCAP400 74347R404 649 16867 SH SOLE NONE 0 0 16867 PROSHARES TRUST PSHS ULT S&P 500 ETF PSHS ULT S&P 500 74347R107 791 6310 SH SOLE NONE 0 0 6310 PROSHARES TRUST PSHS ULTRA DOW30 ETF PSHS ULTRA DOW30 74347R305 749 15513 SH SOLE NONE 0 0 15513 PROSHARES TRUST PSHS ULTRA QQQ ETF PSHS ULTRA QQQ 74347R206 1532 16109 SH SOLE NONE 0 0 16109 PROSHARES TRUST PSHS ULTRA TECH ETF PSHS ULTRA TECH 74347R693 315 2613 SH SOLE NONE 0 0 2613 PROSHARES TRUST PSHS ULTRUSS2000 ETF PSHS ULTRUSS2000 74347R842 1006 16223 SH SOLE NONE 0 0 16223 PROSHARES TRUST RUSS 2000 DIVD ETF RUSS 2000 DIVD 74347B698 825 14110 SH SOLE NONE 0 0 14110 PROSHARES TRUST S&P 500 DV ARIST ETF S&P 500 DV ARIST 74348A467 2998 42500 SH SOLE NONE 0 0 42500 PROSHARES TRUST S&P MDCP 400 DIV ETF S&P MDCP 400 DIV 74347B680 945 16557 SH SOLE NONE 0 0 16557 PROSHARES TRUST ULTRAPRO QQQ ETF ULTRAPRO QQQ 74347X831 1433 23831 SH SOLE NONE 0 0 23831 PROSHARES TRUST ULTRPRO DOW30 ETF ULTRPRO DOW30 74347X823 1644 16289 SH SOLE NONE 0 0 16289 PROSHARES TRUST ULTRPRO S&P500 ETF ULTRPRO S&P500 74347X864 1674 31417 SH SOLE NONE 0 0 31417 RETAIL PROP OF AMERICA INC CL A CL A 76131V202 426 34655 SH SOLE NONE 0 0 34655 SELECT SECTOR SPDR TRUST TECHNOLOGY ETF TECHNOLOGY 81369Y803 464 5818 SH SOLE NONE 0 0 5818 SOUTHERN CO. COM COM 842587107 401 6483 SH SOLE NONE 0 0 6483 SPDR DOW JONES IND UT SER 1 ETF UT SER 1 78467X109 5131 19328 SH SOLE NONE 0 0 19328 SPDR GOLD TRUST GOLD SHS ETF GOLD SHS 78463V107 659 4723 SH SOLE NONE 0 0 4723 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP ETF UTSER1 S&PDCRP 78467Y107 3899 11279 SH SOLE NONE 0 0 11279 SPDR S&P500 ETF TRUST TR UNIT ETF TR UNIT 78462F103 5408 18445 SH SOLE NONE 0 0 18445 SPDR SERIES TRUST BLOMBERG BRC INV ETF BLOMBERG BRC INV 78468R200 372 12153 SH SOLE NONE 0 0 12153 SPDR SERIES TRUST PORTFOLIO INTRMD ETF PORTFOLIO INTRMD 78464A375 366 10403 SH SOLE NONE 0 0 10403 SPDR SERIES TRUST SSGA US LRG ETF SSGA US LRG ETF 78468R804 2454 22265 SH SOLE NONE 0 0 22265 SSGA ACTIVE ETF TR SPDR TR TACTIC ETF SPDR TR TACTIC 78467V848 858 17470 SH SOLE NONE 0 0 17470 STAMPS.COM INC COM COM NEW 852857200 426 5897 SH SOLE NONE 0 0 5897 STARBUCKS CORP COM COM 855244109 350 4049 SH SOLE NONE 0 0 4049 TARGET CORP COM COM 87612E106 283 2671 SH SOLE NONE 0 0 2671 TEXAS INSTRUMENTS INC COM COM 882508104 308 2400 PRN SOLE NONE 0 0 2400 TRI CONTL CORP COM COM 895436103 303 11241 SH SOLE NONE 0 0 11241 UBS AG JERSEY ETRAC WELLS BDCI ETN ETRAC WELLS BDCI 902641588 547 27488 SH SOLE NONE 0 0 27488 UBS AG LONDON ETRAC 2X LEV LNG ETN ETRAC 2X LEV LNG 90267B765 2643 183812 SH SOLE NONE 0 0 183812 UNILEVER PLC ADR SPONSORED SPON ADR NEW 904767704 268 4456 SH SOLE NONE 0 0 4456 VANGUARD UTILITIES ETF UTILITIES ETF 92204A876 231 1615 PRN SOLE NONE 0 0 1615 VERIZON COMMUNICATIONS COM COM 92343V104 325 5437 SH SOLE NONE 0 0 5437 VISA INC COM CL A COM CL A 92826C839 288 1655 SH SOLE NONE 0 0 1655 VULCAN MATERIALS CO COM COM 929160109 235 1582 SH SOLE NONE 0 0 1582 WEC ENERGY GROUP INC COM COM 92939U106 339 3564 SH SOLE NONE 0 0 3564 WELLTOWER INC COM COM 95040Q104 340 3808 SH SOLE NONE 0 0 3808 WESTERN DIGITAL CORP COM COM 958102105 246 4207 SH SOLE NONE 0 0 4207 WHEATON PRECIOUS METALS CORP COM COM 962879102 285 10754 SH SOLE NONE 0 0 10754 WISDOMTREE TRUST US HIGH DIVIDEND ETF US HIGH DIVIDEND 97717W208 2020 27472 SH SOLE NONE 0 0 27472 WISDOMTREE TRUST US MIDCAP DIVID ETF US MIDCAP DIVID 97717W505 2255 63085 SH SOLE NONE 0 0 63085 WISDOMTREE TRUST US MIDCAP FUND ETF US MIDCAP FUND 97717W570 443 11454 SH SOLE NONE 0 0 11454 WISDOMTREE TRUST US SMALLCAP DIVD ETF US SMALLCAP DIVD 97717W604 1439 53600 SH SOLE NONE 0 0 53600 WISDOMTREE TRUST US SMALLCAP FUND ETF US SMALLCAP FUND 97717W562 515 14751 SH SOLE NONE 0 0 14751 WP CAREY INC COM COM 92936U109 286 3175 SH SOLE NONE 0 0 3175 XENIA HOTELS & RESORTS INC COM COM 984017103 487 23323 SH SOLE NONE 0 0 23323 YUM BRANDS INC COM COM 988498101 328 2906 SH SOLE NONE 0 0 2906