Managing Principal

0001616026-22-000005.txt : 20221018 0001616026-22-000005.hdr.sgml : 20221018 20221018142803 ACCESSION NUMBER: 0001616026-22-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221018 DATE AS OF CHANGE: 20221018 EFFECTIVENESS DATE: 20221018 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tradewinds Capital Management, LLC CENTRAL INDEX KEY: 0001616026 IRS NUMBER: 352429157 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16264 FILM NUMBER: 221315752 BUSINESS ADDRESS: STREET 1: 2211 RIMLAND DRIVE STREET 2: SUITE 401 CITY: BELLINGHAM STATE: WA ZIP: 98226 BUSINESS PHONE: 360-715-9000 MAIL ADDRESS: STREET 1: 2211 RIMLAND DRIVE STREET 2: SUITE 401 CITY: BELLINGHAM STATE: WA ZIP: 98226 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001616026 XXXXXXXX 09-30-2022 09-30-2022 Tradewinds Capital Management, LLC

2211 RIMLAND DRIVE SUITE 401 BELLINGHAM WA 98226

13F HOLDINGS REPORT 028-16264 N Bryant J. Engebretson Managing Principal 360-715-9000 Bryant J. 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66 COM 718546104 25 305 SH SOLE 0 0 305 PHILLIPS EDISON & CO INC COMMON STOCK 71844V201 28 1000 SH SOLE 0 0 1000 PIEDMONT LITHIUM INC COM 72016P105 2 40 SH SOLE 0 0 40 PIMCO ETF TR INV GRD CRP BD 72201R817 184 2013 SH SOLE 0 0 2013 PINTEREST INC CL A 72352L106 1 60 SH SOLE 0 0 60 PIONEER NAT RES CO COM 723787107 8 35 SH SOLE 0 0 35 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 6 607 SH SOLE 0 0 607 PLANET LABS PBC COM CL A 72703X106 35 6400 SH SOLE 0 0 6400 PLUG POWER INC COM NEW 72919P202 4 180 SH SOLE 0 0 180 PROCTER AND GAMBLE CO COM 742718109 157 1245 SH SOLE 0 0 1245 PROGRESSIVE CORP COM 743315103 13 115 SH SOLE 0 0 115 PROTERRA INC COM 74374T109 0 55 SH SOLE 0 0 55 PRUDENTIAL FINL INC COM 744320102 4 47 SH SOLE 0 0 47 PUBMATIC INC COM CL A 74467Q103 2 104 SH SOLE 0 0 104 PYROGENESIS CDA INC COM 74734T104 0 230 SH SOLE 0 0 230 QUALCOMM INC COM 747525103 79 698 SH SOLE 0 0 698 QUANTA SVCS INC COM 74762E102 53 415 SH SOLE 0 0 415 RAMBUS INC DEL COM 750917106 8 296 SH SOLE 0 0 296 RAYTHEON TECHNOLOGIES CORP COM 75513E101 96 1167 SH SOLE 0 0 1167 REALTY INCOME CORP COM 756109104 3 47 SH SOLE 0 0 47 REDFIN CORP COM 75737F108 2 400 SH SOLE 0 0 400 REDWOOD TR INC COM 758075402 1 253 SH SOLE 0 0 253 REE AUTOMOTIVE LTD CLASS A ORD SHS M8287R103 3 5000 SH SOLE 0 0 5000 REGENXBIO INC COM 75901B107 0 1 SH SOLE 0 0 1 REPUBLIC SVCS INC COM 760759100 12 85 SH SOLE 0 0 85 RESIDEO TECHNOLOGIES INC COM 76118Y104 30 1583 SH SOLE 0 0 1583 RIOT BLOCKCHAIN INC COM 767292105 1 140 SH SOLE 0 0 140 RITHM CAPITAL CORP COM NEW 64828T201 20 2703 SH SOLE 0 0 2703 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 4 112 SH SOLE 0 0 112 ROBLOX CORP CL A 771049103 11 305 SH SOLE 0 0 305 ROCKET LAB USA INC COM 773122106 0 40 SH SOLE 0 0 40 ROKU INC COM CL A 77543R102 2 30 SH SOLE 0 0 30 ROYAL CARIBBEAN GROUP COM V7780T103 4 113 SH SOLE 0 0 113 SABRA HEALTH CARE REIT INC COM 78573L106 5 350 SH SOLE 0 0 350 SALESFORCE INC COM 79466L302 24 169 SH SOLE 0 0 169 SCHWAB CHARLES CORP COM 808513105 12 171 SH SOLE 0 0 171 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 86 3825 SH SOLE 0 0 3825 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 0 7 SH SOLE 0 0 7 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 1701 34609 SH SOLE 0 0 34609 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 383 7944 SH SOLE 0 0 7944 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 0 4 SH SOLE 0 0 4 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 55 988 SH SOLE 0 0 988 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 15 263 SH SOLE 0 0 263 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 377 8897 SH SOLE 0 0 8897 SCHWAB STRATEGIC TR US REIT ETF 808524847 257 13764 SH SOLE 0 0 13764 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 218 5776 SH SOLE 0 0 5776 SCHWAB STRATEGIC TR US TIPS ETF 808524870 308 5944 SH SOLE 0 0 5944 SEA LTD SPONSORD ADS 81141R100 5 85 SH SOLE 0 0 85 SEABRIDGE GOLD INC COM 811916105 4 344 SH SOLE 0 0 344 SELECT SECTOR SPDR TR ENERGY 81369Y506 109 1514 SH SOLE 0 0 1514 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 72 2367 SH SOLE 0 0 2367 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 6 40 SH SOLE 0 0 40 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 25536 382678 SH SOLE 0 0 382678 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 26173 216107 SH SOLE 0 0 216107 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 8430 101757 SH SOLE 0 0 101757 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 25409 387861 SH SOLE 0 0 387861 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 23570 346568 SH SOLE 0 0 346568 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 419 3525 SH SOLE 0 0 3525 SHELL PLC SPON ADS 780259305 2 43 SH SOLE 0 0 43 SHOPIFY INC CL A 82509L107 3 100 SH SOLE 0 0 100 SILVERCREST METALS INC COM 828363101 1 200 SH SOLE 0 0 200 SILVERGATE CAP CORP CL A 82837P408 2 30 SH SOLE 0 0 30 SIREN ETF TR NSD NXGN ECO ETF 829658202 0 12 SH SOLE 0 0 12 SKILLZ INC COM 83067L109 0 120 SH SOLE 0 0 120 SM ENERGY CO COM 78454L100 0 6 SH SOLE 0 0 6 SMARTSHEET INC COM CL A 83200N103 0 6 SH SOLE 0 0 6 SNAP INC CL A 83304A106 0 1 SH SOLE 0 0 1 SNDL INC COM 83307B101 4 2000 SH SOLE 0 0 2000 SNOWFLAKE INC CL A 833445109 23 135 SH SOLE 0 0 135 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 1 50 SH SOLE 0 0 50 SOFI TECHNOLOGIES INC COM 83406F102 0 50 SH SOLE 0 0 50 SOLAREDGE TECHNOLOGIES INC COM 83417M104 6 24 SH SOLE 0 0 24 SONOS INC COM 83570H108 1 50 SH SOLE 0 0 50 SOUTHWEST AIRLS CO COM 844741108 5 152 SH SOLE 0 0 152 SPDR GOLD TR GOLD SHS 78463V107 68 437 SH SOLE 0 0 437 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 7 177 SH SOLE 0 0 177 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 39 780 SH SOLE 0 0 780 SPDR INDEX SHS FDS PORTFLO EURP ETF 78463X103 38 1336 SH SOLE 0 0 1336 SPDR S&P 500 ETF TR TR UNIT 78462F103 73 204 SH SOLE 0 0 204 SPDR SER TR BBG CONV SEC ETF 78464A359 5 74 SH SOLE 0 0 74 SPDR SER TR BLOOMBERG INVT 78468R200 20576 679084 SH SOLE 0 0 679084 SPDR SER TR ICE PFD SEC ETF 78464A292 372 10682 SH SOLE 0 0 10682 SPDR SER TR NUVEEN BLOOMBERG 78464A284 5 97 SH SOLE 0 0 97 SPDR SER TR PORTFLI INTRMDIT 78464A672 6 230 SH SOLE 0 0 230 SPDR SER TR PORTFOLIO LN TSR 78464A664 163 5485 SH SOLE 0 0 5485 SPDR SER TR PORTFOLIO SH TSR 78468R101 3 113 SH SOLE 0 0 113 SPDR SER TR PRTFLO S&P500 GW 78464A409 7 144 SH SOLE 0 0 144 SPDR SER TR PRTFLO S&P500 VL 78464A508 134 3871 SH SOLE 0 0 3871 SPDR SER TR S&P 400 MDCP VAL 78464A839 14215 245851 SH SOLE 0 0 245851 SPDR SER TR S&P 600 SMCP VAL 78464A300 78 1160 SH SOLE 0 0 1160 SPROTT INC COM NEW 852066208 3 75 SH SOLE 0 0 75 SPROTT PHYSICAL GOLD TR UNIT 85207H104 9 681 SH SOLE 0 0 681 SPROUTS FMRS MKT INC COM 85208M102 17 600 SH SOLE 0 0 600 STARBUCKS CORP COM 855244109 800 9490 SH SOLE 0 0 9490 STARWOOD PPTY TR INC COM 85571B105 36 2000 SH SOLE 0 0 2000 STERIS PLC SHS USD G8473T100 0 3 SH SOLE 0 0 3 STRONGHOLD DIGITAL MINING IN CLASS A COM 86337R103 0 150 SH SOLE 0 0 150 STRYKER CORPORATION COM 863667101 17 85 SH SOLE 0 0 85 SUNCOR ENERGY INC NEW COM 867224107 8 268 SH SOLE 0 0 268 SUPER MICRO COMPUTER INC COM 86800U104 72 1300 SH SOLE 0 0 1300 SYSCO CORP COM 871829107 19 266 SH SOLE 0 0 266 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1 8 SH SOLE 0 0 8 TANGER FACTORY OUTLET CTRS I COM 875465106 9 640 SH SOLE 0 0 640 TARGET CORP COM 87612E106 16 108 SH SOLE 0 0 108 TASKUS INC CLASS A COM 87652V109 1 50 SH SOLE 0 0 50 TATTOOED CHEF INC COM CL A 87663X102 0 10 SH SOLE 0 0 10 TELADOC HEALTH INC COM 87918A105 1 50 SH SOLE 0 0 50 TESLA INC COM 88160R101 310 1167 SH SOLE 0 0 1167 TEXAS INSTRS INC COM 882508104 21 136 SH SOLE 0 0 136 THE NECESSITY RETAIL REIT IN COM CLASS A 02607T109 1 192 SH SOLE 0 0 192 THE REAL BROKERAGE INC COM NEW 75585H206 4 2940 SH SOLE 0 0 2940 THE TRADE DESK INC COM CL A 88339J105 30 500 SH SOLE 0 0 500 TILRAY BRANDS INC COM CL 2 88688T100 70 25290 SH SOLE 0 0 25290 TIZIANA LIFE SCIENCES LTD COM G88912103 0 250 SH SOLE 0 0 250 TONIX PHARMACEUTICALS HLDG C COM NEW 890260862 0 1 SH SOLE 0 0 1 TORONTO DOMINION BK ONT COM NEW 891160509 2 33 SH SOLE 0 0 33 TOYOTA MOTOR CORP ADS 892331307 1 10 SH SOLE 0 0 10 TRAVELERS COMPANIES INC COM 89417E109 4 27 SH SOLE 0 0 27 TRINITY INDS INC COM 896522109 2 100 SH SOLE 0 0 100 TRONOX HOLDINGS PLC SHS G9087Q102 0 10 SH SOLE 0 0 10 TWILIO INC CL A 90138F102 3 50 SH SOLE 0 0 50 TWIST BIOSCIENCE CORP COM 90184D100 4 100 SH SOLE 0 0 100 TWITTER INC COM 90184L102 1 15 SH SOLE 0 0 15 UBER TECHNOLOGIES INC COM 90353T100 51 1910 SH SOLE 0 0 1910 UIPATH INC CL A 90364P105 1 50 SH SOLE 0 0 50 UNDER ARMOUR INC CL C 904311206 1 212 SH SOLE 0 0 212 UNILEVER PLC SPON ADR NEW 904767704 0 3 SH SOLE 0 0 3 UNION PAC CORP COM 907818108 15 75 SH SOLE 0 0 75 UNITED PARCEL SERVICE INC CL B 911312106 975 6033 SH SOLE 0 0 6033 UNITED STATES STL CORP NEW COM 912909108 1 48 SH SOLE 0 0 48 UNITED THERAPEUTICS CORP DEL COM 91307C102 7 32 SH SOLE 0 0 32 UNITEDHEALTH GROUP INC COM 91324P102 147 291 SH SOLE 0 0 291 UNITI GROUP INC COM 91325V108 1 100 SH SOLE 0 0 100 UNITY SOFTWARE INC COM 91332U101 9 285 SH SOLE 0 0 285 UPSTART HLDGS INC COM 91680M107 1 50 SH SOLE 0 0 50 URANIUM ENERGY CORP COM 916896103 4 1257 SH SOLE 0 0 1257 US BANCORP DEL COM NEW 902973304 72 1792 SH SOLE 0 0 1792 UWM HOLDINGS CORPORATION COM CL A 91823B109 1 200 SH SOLE 0 0 200 VALERO ENERGY CORP COM 91913Y100 25 234 SH SOLE 0 0 234 VALMONT INDS INC COM 920253101 752 2800 SH SOLE 0 0 2800 VANGUARD INDEX FDS GROWTH ETF 922908736 72 335 SH SOLE 0 0 335 VANGUARD INDEX FDS MID CAP ETF 922908629 207 1102 SH SOLE 0 0 1102 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 533 1622 SH SOLE 0 0 1622 VANGUARD INDEX FDS TOTAL STK MKT 922908769 106 593 SH SOLE 0 0 593 VANGUARD INDEX FDS VALUE ETF 922908744 29 232 SH SOLE 0 0 232 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 0 5 SH SOLE 0 0 5 VANGUARD WORLD FDS ENERGY ETF 92204A306 19 184 SH SOLE 0 0 184 VERIZON COMMUNICATIONS INC COM 92343V104 74 1942 SH SOLE 0 0 1942 VERTEX PHARMACEUTICALS INC COM 92532F100 1 2 SH SOLE 0 0 2 VIATRIS INC COM 92556V106 1 112 SH SOLE 0 0 112 VIMEO INC COMMON STOCK 92719V100 0 12 SH SOLE 0 0 12 VIRNETX HLDG CORP COM 92823T108 0 100 SH SOLE 0 0 100 VISA INC COM CL A 92826C839 77 432 SH SOLE 0 0 432 VMWARE INC CL A COM 928563402 1 6 SH SOLE 0 0 6 WABTEC COM 929740108 1 9 SH SOLE 0 0 9 WALGREENS BOOTS ALLIANCE INC COM 931427108 13 414 SH SOLE 0 0 414 WALMART INC COM 931142103 60 459 SH SOLE 0 0 459 WARNER BROS DISCOVERY INC COM SER A 934423104 7 606 SH SOLE 0 0 606 WASHINGTON FED INC COM 938824109 570 19000 SH SOLE 0 0 19000 WASTE MGMT INC DEL COM 94106L109 112 701 SH SOLE 0 0 701 WELLS FARGO CO NEW COM 949746101 32 795 SH SOLE 0 0 795 WENDYS CO COM 95058W100 2 88 SH SOLE 0 0 88 WEYERHAEUSER CO MTN BE COM NEW 962166104 6 214 SH SOLE 0 0 214 WILLIAMS COS INC COM 969457100 6 225 SH SOLE 0 0 225 WIX COM LTD SHS M98068105 2 25 SH SOLE 0 0 25 WOLFSPEED INC COM 977852102 2 20 SH SOLE 0 0 20 WYNN RESORTS LTD COM 983134107 3 50 SH SOLE 0 0 50 XCEL ENERGY INC COM 98389B100 43 672 SH SOLE 0 0 672 XPO LOGISTICS INC COM 983793100 1 20 SH SOLE 0 0 20 YUM BRANDS INC COM 988498101 76 717 SH SOLE 0 0 717 YUM CHINA HLDGS INC COM 98850P109 13 266 SH SOLE 0 0 266 ZIMMER BIOMET HOLDINGS INC COM 98956P102 11 101 SH SOLE 0 0 101 ZIMVIE INC COM 98888T107 0 10 SH SOLE 0 0 10 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 3 35 SH SOLE 0 0 35 ZSCALER INC COM 98980G102 9 55 SH SOLE 0 0 55