0001666179-17-000008.txt : 20171114
0001666179-17-000008.hdr.sgml : 20171114
20171114164737
ACCESSION NUMBER: 0001666179-17-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Laurel Wealth Advisors, Inc.
CENTRAL INDEX KEY: 0001666179
IRS NUMBER: 452299422
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-17401
FILM NUMBER: 171202400
BUSINESS ADDRESS:
STREET 1: 8008 GIRARD AVENUE
STREET 2: SUITE 330
CITY: LA JOLLA
STATE: CA
ZIP: 92037
BUSINESS PHONE: 858-459-1101
MAIL ADDRESS:
STREET 1: 8008 GIRARD AVENUE
STREET 2: SUITE 330
CITY: LA JOLLA
STATE: CA
ZIP: 92037
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001666179
XXXXXXXX
09-30-2017
09-30-2017
Laurel Wealth Advisors, Inc.
8008 GIRARD AVENUE
SUITE 330
LA JOLLA
CA
92037
13F HOLDINGS REPORT
028-17401
N
Mark Welsh
Managing Director
858-459-1101
Mark Welsh
La Jolla
CA
11-14-2017
0
347
297442
false
INFORMATION TABLE
2
13f3rdQtr.xml
3M CO
COMMON STOCK
88579Y101
5606
26711
SH
SOLE
0
26711
0
0
3M CO
CALL
88579Y101
20
100
SH
SOLE
0
100
0
0
AAON INC COM PAR $0.004
COMMON STOCK
000360206
413
12000
SH
SOLE
0
12000
0
0
ABBOTT LABS
COMMON STOCK
002824100
445
8346
SH
SOLE
0
8346
0
0
ABBVIE INC
COMMON STOCK
00287Y109
1367
15386
SH
SOLE
0
15386
0
0
AETNA INC NEW COM
COMMON STOCK
00817Y108
214
1348
SH
SOLE
0
1327
0
21
ALERIAN MLP
ETF
00162Q866
203
18098
SH
SOLE
0
18098
0
0
ALIBABA GROUP HLDG LTD SPONSORED ADS
ADR
01609W102
376
2180
SH
SOLE
0
2180
0
0
ALLERGAN PLC SHS
COMMON STOCK
G0177J108
262
1280
SH
SOLE
0
1135
0
145
ALPHABET INC CAPT STK CL A
STOCK
02079K305
1207
1240
SH
SOLE
0
1001
0
239
ALPHABET INC CAPT STK CL C
COMMON STOCK
02079K107
4279
4462
SH
SOLE
0
4415
0
47
ALPS SECTOR DIVIDEND DOGS
ETF
00162Q858
3316
75265
SH
SOLE
0
75265
0
0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS
COMMON STOCK
L0175J104
1518
58686
SH
SOLE
0
58686
0
0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS
CALL
L0175J104
90
3500
SH
SOLE
0
3500
0
0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS
CALL
L0175J104
46
1800
SH
SOLE
0
1800
0
0
ALTISOURCE RESIDENTIAL CORP CL B
REIT
02153W100
666
60023
SH
SOLE
0
60023
0
0
ALTRIA GROUP INC
COMMON STOCK
02209S103
2559
40361
SH
SOLE
0
40361
0
0
AMAZON COM INC
COMMON STOCK
023135106
3140
3267
SH
SOLE
0
3252
0
15
AMEREN CORP COM
COMMON STOCK
023608102
488
8437
SH
SOLE
0
8437
0
0
AMERICAN ELEC PWR INC
COMMON STOCK
025537101
1653
23541
SH
SOLE
0
23318
0
223
AMERICAN EXPRESS CO
COMMON STOCK
025816109
395
4372
SH
SOLE
0
4372
0
0
AMERICAN TOWER CORP NEW COM
REIT
03027X100
202
1478
SH
SOLE
0
1478
0
0
AMERIGAS PARTNERS LP
COMMON STOCK
030975106
1664
37033
SH
SOLE
0
37033
0
0
AMGEN INC
COMMON STOCK
031162100
886
4755
SH
SOLE
0
3200
0
1555
ANNALY CAP MGMT INC
COMMON STOCK
035710409
199
16378
SH
SOLE
0
16378
0
0
ANTHEM INC COM
COMMON STOCK
036752103
295
1557
SH
SOLE
0
1557
0
0
AON PLC SHS CL A
COMMON STOCK
G0408V102
510
3495
SH
SOLE
0
3495
0
0
APPLE INC
COMMON STOCK
037833100
18796
121956
SH
SOLE
0
119634
0
2322
APPLE INC
CALL
037833100
77
500
SH
SOLE
0
500
0
0
APPLE INC
PUT
037833100
15
100
SH
SOLE
0
100
0
0
ARCHER DANIELS MIDLAND CO
COMMON STOCK
039483102
263
6210
SH
SOLE
0
1621
0
4589
AT&T INC
COMMON STOCK
00206R102
3812
97340
SH
SOLE
0
97340
0
0
AUTOMATIC DATA PROCESSING
COMMON STOCK
053015103
202
1851
SH
SOLE
0
1851
0
0
AVISTA CORP
COMMON STOCK
05379B107
766
14803
SH
SOLE
0
14803
0
0
AXON ENTERPRISE INC COM
COMMON STOCK
05464C101
275
12142
SH
SOLE
0
5615
0
6527
BANK AMER CORP
7.25%CNV PFD L
060505682
671
516
SH
SOLE
0
516
0
0
BANK AMER CORP
COMMON STOCK
060505104
1566
61836
SH
SOLE
0
61836
0
0
BANK N S HALIFAX COM
COMMON STOCK
064149107
556
8665
SH
SOLE
0
8665
0
0
BANK NEW YORK MELLON CORP COM
COMMON STOCK
064058100
218
4124
SH
SOLE
0
4124
0
0
BARRICK GOLD CORP COM
COMMON STOCK
067901108
73
4546
SH
SOLE
0
4546
0
0
BARRICK GOLD CORP COM
CALL
067901108
241
15000
SH
SOLE
0
15000
0
0
BB&T CORP COM
COMMON STOCK
054937107
412
8786
SH
SOLE
0
8786
0
0
BCE INC COM NEW
COMMON STOCK
05534B760
1883
40224
SH
SOLE
0
40224
0
0
BERKSHIRE HATHAWAY INC DEL CL A
COMMON STOCK
084670108
274
1
SH
SOLE
0
1
0
0
BERKSHIRE HATHAWAY INC DEL CL B NEW
COMMON STOCK
084670702
2434
13280
SH
SOLE
0
13280
0
0
BIOGEN INC COM
COMMON STOCK
09062X103
369
1181
SH
SOLE
0
1181
0
0
BLACKROCK CALIF MUN INCOME TR SH BEN INT
CEF
09248E102
151
10426
SH
SOLE
0
10426
0
0
BLACKROCK MUNIHLDNGS CALI QLTY COM
CEF
09254L107
166
11234
SH
SOLE
0
11234
0
0
BLACKROCK MUNIYIELD CALI QLTY COM
CEF
09254N103
438
28370
SH
SOLE
0
28370
0
0
BLACKROCK MUNIYIELD QUALITY FD COM
CEF
09254F100
173
11220
SH
SOLE
0
11220
0
0
BLACKROCK TAX MUNICIPAL BOND TRUST
CEF
09248X100
553
23680
SH
SOLE
0
23680
0
0
BLACKSTONE GROUP LP
COMMON STOCK
09253U108
307
9201
SH
SOLE
0
2701
0
6500
BLUEROCK RESIDENTIAL GRW REIT COM CL A
REIT
09627J102
115
10400
SH
SOLE
0
10400
0
0
BOEING CO COM
COMMON STOCK
097023105
1912
7524
SH
SOLE
0
7524
0
0
BP PLC SPONSORED ADR
ADR
055622104
597
15538
SH
SOLE
0
15538
0
0
BRISTOL MYERS SQUIBB CO COM
COMMON STOCK
110122108
402
6318
SH
SOLE
0
6318
0
0
BROADCOM LTD SHS
COMMON STOCK
Y09827109
439
1812
SH
SOLE
0
1795
0
17
BROOKFIELD ASSET MGMT INC CL A LTD VT SH
REIT
112585104
268
6504
SH
SOLE
0
6504
0
0
BROOKFIELD INFRAST PARTNERS LP LP INT UNIT
MLP
G16252101
1978
45865
SH
SOLE
0
45865
0
0
CALAMOS CONV OPP AND INC FD SH BEN INT
CEF
128117108
193
16810
SH
SOLE
0
16810
0
0
CANADIAN PAC RY LTD COM
COMMON STOCK
13645T100
224
1338
SH
SOLE
0
1338
0
0
CARNIVAL CORP PAIRED CTF
COMMON STOCK
143658300
356
5519
SH
SOLE
0
5519
0
0
CARNIVAL PLC ADR
ADR
14365C103
296
4600
SH
SOLE
0
4600
0
0
CATERPILLAR INC DEL COM
COMMON STOCK
149123101
385
3090
SH
SOLE
0
3090
0
0
CDN IMPERIAL BK COMM TORONTO O COM
COMMON STOCK
136069101
525
6000
SH
SOLE
0
6000
0
0
CELGENE CORP COM
COMMON STOCK
151020104
318
2184
SH
SOLE
0
2156
0
28
CELGENE CORP COM
CALL
151020104
29
200
SH
SOLE
0
200
0
0
CERNER CORP COM
COMMON STOCK
156782104
278
3909
SH
SOLE
0
334
0
3575
CHEVRON CORP NEW COM
COMMON STOCK
166764100
5175
44050
SH
SOLE
0
43340
0
710
CISCO SYS INC
COMMON STOCK
17275R102
3145
93520
SH
SOLE
0
93520
0
0
CITIGROUP INC COM NEW
COMMON STOCK
172967424
1795
24682
SH
SOLE
0
19982
0
4700
CLEARBRIDGE ENERGY MLP FD INC COM
CEF
184692101
768
51779
SH
SOLE
0
51779
0
0
CLEARBRIDGE ENERGY MLP OPP FD COM
CEF
18469P100
585
48103
SH
SOLE
0
48103
0
0
COCA COLA CO COM
COMMON STOCK
191216100
1659
36868
SH
SOLE
0
36168
0
700
COMCAST CORP NEW CL A
COMMON STOCK
20030N101
472
12286
SH
SOLE
0
11986
0
300
COMPASS MINERALS INTC INC COM
COMMON STOCK
20451N101
223
3441
SH
SOLE
0
3441
0
0
CONOCOPHILLIPS COM
COMMON STOCK
20825C104
433
8660
SH
SOLE
0
4536
0
4124
CONSOLIDATED EDISON INC COM
COMMON STOCK
209115104
4265
52870
SH
SOLE
0
52870
0
0
CONSTELLATION BRANDS INC CL A
COMMON STOCK
21036P108
1972
9888
SH
SOLE
0
9888
0
0
CONSUMER STAPLES SELECT SECTOR SPDR FUND
ETF
81369Y308
6027
111656
SH
SOLE
0
111656
0
0
CORE LABORATORIES N V COM
COMMON STOCK
N22717107
201
2041
SH
SOLE
0
100
0
1941
CORNING INC COM
COMMON STOCK
219350105
208
6971
SH
SOLE
0
6971
0
0
COSTCO WHSL CORP NEW COM
COMMON STOCK
22160K105
433
2636
SH
SOLE
0
2636
0
0
CVS HEALTH CORP COM
COMMON STOCK
126650100
288
3549
SH
SOLE
0
3549
0
0
DEERE & CO COM
COMMON STOCK
244199105
327
2610
SH
SOLE
0
530
0
2080
DELTA AIR LINES INC DEL COM NEW
COMMON STOCK
247361702
303
6301
SH
SOLE
0
6301
0
0
DIAGEO PLC
ADR
25243Q205
1424
10784
SH
SOLE
0
10784
0
0
DIREXION NASDAQ-100 EQUAL WEIGHTED INDEX SHARES
ETF
25459Y207
929
22453
SH
SOLE
0
22453
0
0
DISNEY WALT CO COM DISNEY
COMMON STOCK
254687106
2531
25681
SH
SOLE
0
25220
0
461
DISNEY WALT CO COM DISNEY
CALL
254687106
19
200
SH
SOLE
0
200
0
0
DISNEY WALT CO COM DISNEY
CALL
254687106
9
100
SH
SOLE
0
100
0
0
DISNEY WALT CO COM DISNEY
CALL
254687106
19
200
SH
SOLE
0
200
0
0
DISNEY WALT CO COM DISNEY
PUT
254687106
9
100
SH
SOLE
0
100
0
0
DOUBLELINE OPPORTUNISTIC CR FD COM
CEF
258623107
250
10413
SH
SOLE
0
10413
0
0
DREYFUS STRATEGIC MUN BD FD COM
CEF
26202F107
385
45570
SH
SOLE
0
45570
0
0
DUKE ENERGY CORP NEW COM NEW
COMMON STOCK
26441C204
1047
12488
SH
SOLE
0
12488
0
0
EATON VANCE TAX ADVT DIV INCM COM
CEF
27828G107
533
24110
SH
SOLE
0
24110
0
0
EATON VANCE TX MNG BY WRT OPP CVOM
CEF
27828Y108
468
30552
SH
SOLE
0
30552
0
0
EATON VANCE TXMGD DL BUYWR OPP COM
CEF
27829C105
490
41450
SH
SOLE
0
41450
0
0
EDISON INTL COM
COMMON STOCK
281020107
483
6270
SH
SOLE
0
6270
0
0
EMERSON ELEC CO COM
COMMON STOCK
291011104
879
13988
SH
SOLE
0
13988
0
0
ENERGY TRANSFER EQUITY L P COM UT LTD PTN
COMMON STOCK
29273V100
542
31237
SH
SOLE
0
31237
0
0
ENERGY TRANSFER PRTNRS L P UNIT LTD PRT INT
COMMON STOCK
29278N103
190
10411
SH
SOLE
0
10411
0
0
ENTERPRISE PRODS PARTNERS L P COM
COMMON STOCK
293792107
557
21387
SH
SOLE
0
21387
0
0
EPR PPTYS
PFD C CNV 5.75%
26884U208
376
13600
SH
SOLE
0
13600
0
0
EXPRESS SCRIPTS HLDG CO COM
COMMON STOCK
30219G108
598
9457
SH
SOLE
0
9457
0
0
EXPRESS SCRIPTS HLDG CO COMM
PUT
30219G108
6
100
SH
SOLE
0
100
0
0
EXXON MOBIL CORPORATION
COMMON STOCK
30231G102
3448
42065
SH
SOLE
0
41861
0
204
FACEBOOK INC CL A
COMMON STOCK
30303M102
3139
18372
SH
SOLE
0
18148
0
224
FIDELITY NATIONAL FINANCIAL IN FNF GROUP COM
COMMON STOCK
31620R303
231
4879
SH
SOLE
0
4879
0
0
FIDELITY NATL INFORMATION SVCS COM
COMMON STOCK
31620M106
304
3260
SH
SOLE
0
3260
0
0
FIFTH THIRD BANCORP COM
COMMON STOCK
316773100
321
11500
SH
SOLE
0
0
0
11500
FINANCIAL SELECT SECTOR SPDR FUND
ETF
81369Y605
211
8177
SH
SOLE
0
8177
0
0
FIRST TRUST DOW JONES STOXX EUROPEAN SELECT
ETF
33735T109
140
10300
SH
SOLE
0
10300
0
0
FIRST TRUST EMERGING MARKETS ALPHADEX FUND
ETF
33737J182
273
9992
SH
SOLE
0
9992
0
0
FIRST TRUST ENHANCED SHORT MATURITY ETF
ETF
33739Q408
1133
18885
SH
SOLE
0
18885
0
0
FIRST TRUST FINANCIALS ALPHADEX FUND
ETF
33734X135
302
10204
SH
SOLE
0
10204
0
0
FIRST TRUST LARGE CAP CORE ALPHADEX FUND
ETF
33734K109
833
15178
SH
SOLE
0
15178
0
0
FIRST TRUST MORNINGSTAR DIVIDEND LEADERS
ETF
336917109
281
9709
SH
SOLE
0
9709
0
0
FIRST TRUST NASDAQ ABA COMMUNITY BANK INDEX FUND
ETF
33736Q104
258
4900
SH
SOLE
0
4900
0
0
FIRST TRUST PREFERRED SECURITIES AND INCOME ETF
ETF
33739E108
332
16534
SH
SOLE
0
16534
0
0
FIRST TRUST SENIOR LOAN FUND
ETF
33738D309
216
4502
SH
SOLE
0
4502
0
0
FIRST TRUST SMALL CAP CORE ALPHADEX FUND
ETF
33734Y109
360
6109
SH
SOLE
0
6109
0
0
FIRST TRUST VALUE LINE DIVIDEND INDEX FUND
ETF
33734H106
594
19971
SH
SOLE
0
19971
0
0
FORD MTR CO DEL COM PAR $0.01
COMMON STOCK
345370860
846
70757
SH
SOLE
0
70757
0
0
GALECTIN THERAPEUTICS INC COM
COMMON STOCK
363225202
34
16000
SH
SOLE
0
16000
0
0
GENERAL DYNAMICS CORP COM
COMMON STOCK
369550108
185
902
SH
SOLE
0
902
0
0
GENERAL DYNAMICS CORP COM
CALL
369550108
20
100
SH
SOLE
0
100
0
0
GENERAL ELECTRIC CO COM
COMMON STOCK
369604103
4426
183063
SH
SOLE
0
176414
0
6649
GENUINE PARTS CO COM
COMMON STOCK
372460105
201
2109
SH
SOLE
0
2109
0
0
GILEAD SCIENCES INC COM
COMMON STOCK
375558103
643
7946
SH
SOLE
0
5195
0
2751
GILEAD SCIENCES INC COM
CALL
375558103
32
400
SH
SOLE
0
400
0
0
GILEAD SCIENCES INC COM
CALL
375558103
16
200
SH
SOLE
0
200
0
0
GILEAD SCIENCES INC COM
CALL
375558103
8
100
SH
SOLE
0
100
0
0
GLAXOSMITHKLINE PLC SPONSORED ADR
ADR
37733W105
1175
28951
SH
SOLE
0
28951
0
0
GLOBAL X SUPERDIVIDEND ETF
ETF
37950E549
224
10200
SH
SOLE
0
10200
0
0
GLOBALSTAR INC COM
COMMON STOCK
378973408
17
10700
SH
SOLE
0
10700
0
0
GOLDMAN SACHS ACTIVEBETA INTERNATIONAL EQUITY
ETF
381430107
226
7798
SH
SOLE
0
7798
0
0
GOLDMAN SACHS ACTIVEBETA U.S.
ETF
381430503
1332
26697
SH
SOLE
0
26697
0
0
GOLDMAN SACHS GROUP INC COM
COMMON STOCK
38141G104
233
985
SH
SOLE
0
985
0
0
HANCOCK JOHN TAX-ADV DIC INCM COM
CEF
41013V100
252
9760
SH
SOLE
0
9760
0
0
HCP INC COM
REIT
40414L109
573
20589
SH
SOLE
0
20589
0
0
HEALTH CARE SELECT SECTOR SPDR FUND
ETF
81369Y209
394
4829
SH
SOLE
0
4829
0
0
HOME DEPOT INC COM
COMMON STOCK
437076102
1395
8532
SH
SOLE
0
8498
0
34
HOME DEPOT INC COM
CALL
437076102
65
400
SH
SOLE
0
400
0
0
HONEYWELL INTL INC COM
COMMON STOCK
438516106
304
2150
SH
SOLE
0
2125
0
25
HORMEL FOODS CORP COM
COMMON STOCK
440452100
1194
37176
SH
SOLE
0
37176
0
0
ILLINOIS TOOL WORKS INC
COMMON STOCK
452308109
541
3659
SH
SOLE
0
3659
0
0
INTEL CORP COM
COMMON STOCK
458140100
794
20859
SH
SOLE
0
19659
0
1200
INTL BUSINESS MACHINES
COMMON STOCK
459200101
1571
10834
SH
SOLE
0
10684
0
150
INTL BUSINESS MACHINES
CALL
459200101
0
242610
SH
SOLE
0
0
0
0
INTL PAPER CO COM
COMMON STOCK
460146103
342
6032
SH
SOLE
0
6032
0
0
ISHARES COMEX GOLD TRUST
ETF
464285105
398
32337
SH
SOLE
0
32071
0
266
ISHARES CORE S&P 500 ETF
ETF
464287200
4338
17154
SH
SOLE
0
17154
0
0
ISHARES GLOBAL INFRASTRUCTURE ETF
ETF
464288372
248
5500
SH
SOLE
0
5500
0
0
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND
ETF
464287242
491
4057
SH
SOLE
0
4057
0
0
ISHARES J.P. MORGAN USD EMERGING MARKETS BOND
ETF
464288281
738
6340
SH
SOLE
0
6340
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
936
13678
SH
SOLE
0
13357
0
321
ISHARES MSCI EAFE VALUE ETF
ETF
464288877
444
8140
SH
SOLE
0
8140
0
0
ISHARES MSCI EMERGING MARKETS ETF
ETF
464287234
248
5999
SH
SOLE
0
5999
0
0
ISHARES AMT-FREE MUNI BOND ETF
ETF
464288414
1234
11138
SH
SOLE
0
11138
0
0
ISHARES RUSSELL 1000 VALUE ETF
ETF
464287598
228
1928
SH
SOLE
0
1866
0
62
ISHARES RUSSELL 2000 ETF
ETF
464287655
1649
11135
SH
SOLE
0
11135
0
0
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
586
4727
SH
SOLE
0
4727
0
0
ISHARES S&P 500 GROWTH ETF
ETF
464287309
293
2047
SH
SOLE
0
2047
0
0
ISHARES S&P 500 VALUE ETF
ETF
464287408
655
6071
SH
SOLE
0
6071
0
0
ISHARES S&P MID-CAP 400 VALUE ETF
ETF
464287705
524
3435
SH
SOLE
0
3435
0
0
ISHARES S&P MIDCAP FUND
ETF
464287507
1451
8112
SH
SOLE
0
8112
0
0
ISHARES SELECT DIVIDEND ETF
ETF
464287168
219
2342
SH
SOLE
0
2342
0
0
ISHARES U.S. AEROSPACE & DEFENSE ETF
ETF
464288760
273
10917
SH
SOLE
0
1536
0
0
ISHARES U.S. CONSUMER SERVICES ETF
ETF
464287580
272
1660
SH
SOLE
0
1660
0
0
ISHARES U.S. HEALTHCARE ETF
ETF
464287762
301
1754
SH
SOLE
0
1754
0
0
ISHARES U.S. PREFERRED STOCK ETF
ETF
464288687
546
14075
SH
SOLE
0
14075
0
0
JOHNSON & JOHNSON COM
COMMON STOCK
478160104
6551
50388
SH
SOLE
0
50338
0
50
JOHNNSON & JOHNSON COM
CALL
478160104
26
200
SH
SOLE
0
200
0
0
JPMORGAN CHASE & CO COM
COMMON STOCK
46625H100
2179
22816
SH
SOLE
0
22816
0
0
JPMORGAN DIVERSIFIED RETURN U.S. EQUITY ETF
ETF
46641Q407
366
5452
SH
SOLE
0
5452
0
0
KB HOME COM
COMMON STOCK
48666K109
702
29109
SH
SOLE
0
29109
0
0
KELLOGG CO
COMMON STOCK
487836108
266
4276
SH
SOLE
0
4276
0
0
KEYCORP NEW
COMMON STOCK
493267108
900
47870
SH
SOLE
0
47870
0
0
KIMBERLY CLARK CORP COM
COMMON STOCK
494368103
1836
15609
SH
SOLE
0
15609
0
0
KINDER MORGAN INC
COMMON STOCK
49456B101
668
34873
SH
SOLE
0
26680
0
8193
KINGSTONE COS INC COM
COMMON STOCK
496719105
1416
86900
SH
SOLE
0
86900
0
0
KLONDEX MNS LTD COM
COMMON STOCK
498696103
40
11000
SH
SOLE
0
11000
0
0
KRAFT HEINZ CO COM
COMMON STOCK
500754106
1412
18213
SH
SOLE
0
18080
0
133
KRAFT HEINZ CO COM
PUT
500754106
15
200
SH
SOLE
0
200
0
0
LASALLE HOTEL PPTYS COM SH BEN INT
REIT
517942108
901
31050
SH
SOLE
0
31050
0
0
LIBERTY ALL STAR EQUITY FD SH BEN INT
CEF
530158104
116
19244
SH
SOLE
0
19244
0
0
LIBERTY ALL-STAR GROWTH FD INC COM
CEF
529900102
121
23165
SH
SOLE
0
23165
0
0
LILLY ELI & CO COM
COMMON STOCK
532457108
406
4756
SH
SOLE
0
4711
0
45
LILLY ELI & CO COM
CALL
532457108
17
200
SH
SOLE
0
200
0
0
LOCKHEED MARTIN CORP
COMMON STOCK
539830109
513
1656
SH
SOLE
0
1656
0
0
LOWES COS INC COM
COMMON STOCK
548661107
284
3559
SH
SOLE
0
3559
0
0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP
MLP
559080106
1593
22425
SH
SOLE
0
22425
0
0
MAGNA INTL INC COM
COMMON STOCK
559222401
289
5415
SH
SOLE
0
5415
0
0
MANULIFE FINL CORP COM
COMMON STOCK
56501R106
304
15000
SH
SOLE
0
15000
0
0
MCDONALD'S CORP
COMMON STOCK
580135101
2302
14694
SH
SOLE
0
14694
0
0
MERCK & CO INC
COMMON STOCK
58933Y105
1540
24060
SH
SOLE
0
20502
0
3558
MERCK & CO INC
CALL
58933Y105
19
300
SH
SOLE
0
300
0
0
MGM RESORTS INTERNATIONAL COM
COMMON STOCK
552953101
244
7500
SH
SOLE
0
7500
0
0
MICRON TECHNOLOGY INC COM
COMMON STOCK
595112103
232
5899
SH
SOLE
0
5770
0
129
MICROSOFT CORP
COMMON STOCK
594918104
5599
75172
SH
SOLE
0
73943
0
0
MITSUBISHI UFJ FINL GROUP INC SPONSORED ADR
ADR
606822104
145
22658
SH
SOLE
0
22658
0
0
MONDELEZ INTL INC CL A
COMMON STOCK
609207105
592
14576
SH
SOLE
0
14105
0
471
MONMOUTH REAL ESTATE INVT CORP CL A
REIT
609720107
1514
93558
SH
SOLE
0
93558
0
0
MONSANTO CO NEW COM
COMMON STOCK
61166W101
499
4166
SH
SOLE
0
4166
0
0
MONSTER BEVERAGE CORP NEW COM
COMMON STOCK
61174X109
253
4594
SH
SOLE
0
4594
0
0
NATIONAL GRID PLC SPON ADR NEW
ADR
636274409
344
5493
SH
SOLE
0
5493
0
0
NAVIGATOR HOLDINGS LTD SHS
COMMON STOCK
Y62132108
128
11607
SH
SOLE
0
200
0
11407
NETFLIX INC COM
COMMON STOCK
64110L106
633
3492
SH
SOLE
0
3492
0
0
NEW YORK REIT INC COM
REIT
64976L109
102
13100
SH
SOLE
0
13100
0
0
NEXTERA ENERGY INC COM
COMMON STOCK
65339F101
298
2035
SH
SOLE
0
1628
0
407
NIKE INC CL B
COMMON STOCK
654106103
215
4152
SH
SOLE
0
4152
0
0
NORWEGIAN CRUISE LINE HLDGS LT SHS
COMMON STOCK
G66721104
284
5260
SH
SOLE
0
5260
0
0
NOVARTIS AG ADR
ADR
66987V109
1620
18876
SH
SOLE
0
18876
0
0
NU SKIN ENTERPRISES INC CL A
COMMON STOCK
67018T105
307
5000
SH
SOLE
0
5000
0
0
NUVECTRA CORP COM
COMMON STOCK
67075N108
942
71095
SH
SOLE
0
71095
0
0
NUVEEN AMT FREE QLTY MUN INCME COM
CEF
670657105
227
16398
SH
SOLE
0
16398
0
0
NUVEEN CA QUALTY MUN INCOME FD COM
CEF
67066Y105
458
30712
SH
SOLE
0
30712
0
0
NUVEEN CALIF MUN VALUE FD COM
CEF
67062C107
280
26657
SH
SOLE
0
26657
0
0
NUVEEN S&P 500 BUY-WRITE INC COM
CEF
6706ER101
223
16000
SH
SOLE
0
16000
0
0
NVIDIA CORP COM
COMMON STOCK
67066G104
487
2729
SH
SOLE
0
2729
0
0
NVIDIA CORP COM
CALL
67066G104
178
1000
SH
SOLE
0
1000
0
0
OCCIDENTAL PETE CORP DEL COM
COMMON STOCK
674599105
289
4507
SH
SOLE
0
4507
0
0
OCEANEERING INTL INC COM
COMMON STOCK
675232102
225
8568
SH
SOLE
0
2751
0
5817
ONEOK INC NEW COM
COMMON STOCK
682680103
209
3786
SH
SOLE
0
3786
0
0
OPPENHEIMER ULTRA DIVIDEND REVENUE ETF
ETF
68386C401
669
19200
SH
SOLE
0
19200
0
0
PARKER DRILLING CO COM
COMMON STOCK
701081101
11
10000
SH
SOLE
0
10000
0
0
PAYCHEX INC
COMMON STOCK
704326107
378
6309
SH
SOLE
0
6309
0
0
PAYPAL HLDGS INC COM
COMMON STOCK
704Y10350
299
4681
SH
SOLE
0
4681
0
0
PEPSICO INC COM
COMMON STOCK
713448108
2289
20551
SH
SOLE
0
20551
0
0
PFIZER INC COM
COMMON STOCK
717081103
2025
56738
SH
SOLE
0
51345
0
5393
PG&E CORP COM
COMMON STOCK
69331C108
223
3276
SH
SOLE
0
3276
0
0
PHILIP MORRIS INTL INC
COMMON STOCK
718172109
1859
16748
SH
SOLE
0
16701
0
47
PHILLIPS 66
COMMON STOCK
718546104
1740
19001
SH
SOLE
0
17423
0
1578
PINNACLE WEST CAP CORP COM
COMMON STOCK
723484101
478
5661
SH
SOLE
0
5661
0
0
POTLATCH CORP NEW COM
REIT
737630103
1082
21219
SH
SOLE
0
21219
0
0
POWERSHARES FTSE RAFI US 1000 PORTFOLIO
ETF
73935X583
363
3395
SH
SOLE
0
3395
0
0
POWERSHARES QQQ ETF
ETF
73935A104
2020
13888
SH
SOLE
0
13888
0
0
POWERSHARES S&P 500 HIGH DIVIDEND LOW VOLATILITY PORTFOLIO
ETF
73937B654
538
13125
SH
SOLE
0
13125
0
0
POWERSHARES S&P 500 LOW VOLATILITY PORTFOLIO
ETF
73937B779
380
8305
SH
SOLE
0
8305
0
0
POWERSHARES BUILD AMERICA BOND PORTFOLIO
ETF
73937B407
282
9283
SH
SOLE
0
9283
0
0
PPL CORP COM
COMMON STOCK
69351T106
806
21240
SH
SOLE
0
21240
0
0
PRAXAIR INC
COMMON STOCK
74005P104
471
3371
SH
SOLE
0
3398
0
0
PROCTER & GAMBLE CO COM
COMMON STOCK
742718109
5294
58192
SH
SOLE
0
58092
0
100
PUBLIC STORAGE COM
REIT
74460D109
1301
6081
SH
SOLE
0
6081
0
0
PUBLIC SVC ENTERPRISE GROUP COM
COMMON STOCK
744573106
294
6364
SH
SOLE
0
6364
0
0
QUALCOMM INC COM
COMMON STOCK
747525103
3153
60829
SH
SOLE
0
60829
0
0
QUALCOMM INC
COMMON STOCK
747525103
518
10000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
CALL
747525103
518
10000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
CALL
747525103
518
10000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
CALL
747525103
518
10000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
CALL
747525103
129
2500
SH
SOLE
0
2500
0
0
QUALCOMM INC COM
PUT
747525103
207
4000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
PUT
747525103
155
3000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
PUT
747525103
207
4000
SH
SOLE
0
0
0
0
QUALCOMM INC COM
PUT
747525103
207
4000
SH
SOLE
0
0
0
0
RAYTHEON CO COM NEW
COMMON STOCK
755111507
250
1342
SH
SOLE
0
1342
0
0
REALTY INCOME CORP COM
REIT
756109104
2085
36461
SH
SOLE
0
36461
0
0
ROYAL CARIBBEAN CRUISES LTD COM
COMMON STOCK
V7780T103
1199
10115
SH
SOLE
0
10115
0
0
ROYAL DUTCH SHELL PLC SPON ADR B
ADR
780259107
575
9195
SH
SOLE
0
9195
0
0
SALESFORCE COM INC COM
COMMON STOCK
79466L302
107
1146
SH
SOLE
0
1113
0
33
SALESFORCE COM INC COM
CALL
79466L302
93
1000
SH
SOLE
0
1000
0
0
ROYAL DUTCH SHELL PLC SPONS ADR A
ADR
780259206
238
3943
SH
SOLE
0
3943
0
0
SCHLUMBERGER LTD COM
COMMON STOCK
806857108
535
7682
SH
SOLE
0
2812
0
4870
SCHWAB CHARLES CORP NEW COM
COMMON STOCK
808513105
343
7859
SH
SOLE
0
2731
0
5128
SCHWAB INTERNATIONAL EQUITY ETF
ETF
808524805
316
9463
SH
SOLE
0
9463
0
0
SCHWAB SHORT-TERM U.S. TREASURY ETF
ETF
808524862
1378
27353
SH
SOLE
0
27353
0
0
SCHWAB U.S. BROAD MARKET ETF
ETF
808524102
283
4657
SH
SOLE
0
4657
0
0
SCHWAB U.S. LARGE-CAP ETF
ETF
808524201
415
6912
SH
SOLE
0
6912
0
0
SCHWAB U.S. LARGE-CAP GROWTH ETF
ETF
808524300
299
4526
SH
SOLE
0
4526
0
0
SCHWAB U.S. LARGE-CAP VALUE ETF
ETF
808524409
276
5340
SH
SOLE
0
5340
0
0
SCHWAB US AGGREGATE BOND ETF
ETF
808524839
215
4112
SH
SOLE
0
4112
0
0
SEMPRA ENERGY COM
COMMON STOCK
816851109
1608
14090
SH
SOLE
0
14090
0
0
SOCIEDAD QUIMICA MINERA DE CH SPON ADR SER B
ADR
833635105
1325
23821
SH
SOLE
0
23821
0
0
SOPHIRIS BIO INC COM NEW
COMMON STOCK
83578Q209
21
10000
SH
SOLE
0
10000
0
0
SOTHERLY HOTELS INC COM
REIT
83600C103
798
135800
SH
SOLE
0
135600
0
0
SOUTHERN CO COM
COMMON STOCK
842587107
1403
28555
SH
SOLE
0
28555
0
0
SPDR GOLD SHARES
ETF
78463V107
274
2254
SH
SOLE
0
2054
0
200
SPDR MFS SYSTEMATIC GROWTH EQUITY ETF
ETF
78467V889
840
11169
SH
SOLE
0
11169
0
0
SPDR S&P 500 ETF
ETF
78462F103
1648
6562
SH
SOLE
0
6562
0
0
SPDR S&P 500 VALUE ETF
ETF
78464A508
248
2188
SH
SOLE
0
2188
0
0
SPDR S&P BIOTECH ETF
ETF
78464A870
1951
22547
SH
SOLE
0
22547
0
0
SPDR S&P DIVIDEND ETF
ETF
78464A763
1490
16322
SH
SOLE
0
16322
0
0
SPECTRA ENERGY PARTNERS LP COM
MLP
84756N109
1285
28965
SH
SOLE
0
28965
0
0
STARBUCKS CORP COM
COMMON STOCK
855244109
834
15542
SH
SOLE
0
15542
0
0
STATOIL ASA SPONSORED ADR
ADR
85771P102
339
16885
SH
SOLE
0
16885
0
0
SUNCOR ENERGY INC NEW COM
COMMON STOCK
867224107
244
6979
SH
SOLE
0
936
0
6030
SYSCO CORP COM
COMMON STOCK
871829107
555
10300
SH
SOLE
0
10300
0
0
TAIWAN SEMICONDUCTOR MGF LTD SPONSORED ADR
ADR
874039100
454
12098
SH
SOLE
0
12098
0
0
TARGET CORP COM
COMMON STOCK
87612E106
387
6565
SH
SOLE
0
6565
0
0
TARGET CORP COM
CALL
87612E106
23
400
SH
SOLE
0
400
0
0
TC PIPELINES LP UT COM LTD PRT
MLP
87233Q108
696
13313
SH
SOLE
0
13313
0
0
TEKLA HEALTHCARE INVS SH BEN INT
CEF
87911J103
209
8316
SH
SOLE
0
8316
0
0
TELEFONICA S A SPONSORED ADR
ADR
879382208
123
11439
SH
SOLE
0
11439
0
0
TESLA INC COM
COMMON STOCK
88160R101
411
1207
SH
SOLE
0
1207
0
0
TEXAS INSTRS INC COM
COMMON STOCK
882508104
335
3745
SH
SOLE
0
3745
0
0
THERMO FISHER SCIENTIFIC INC COM
COMMON STOCK
883556102
214
1135
SH
SOLE
0
1135
0
0
THOMSON REUTERS CORP COM
COMMON STOCK
884903105
229
5000
SH
SOLE
0
5000
0
0
TORONTO DOMINION BK ONT COM NEW
COMMON STOCK
891160509
573
10200
SH
SOLE
0
10220
0
0
TOWN SPORTS INTL HLDGS INC COM
COMMON STOCK
89214A102
136
19500
SH
SOLE
0
19500
0
0
TRANSCANADA CORP COM
COMMON STOCK
89353D107
358
7250
SH
SOLE
0
7250
0
0
TRAVELERS COMPANIES INC COM
COMMON STOCK
89417E109
259
2115
SH
SOLE
0
2115
0
0
UNITED PARCEL SERVICE INC CL B
COMMON STOCK
911312106
2312
19255
SH
SOLE
0
19255
0
0
UNITED PARCEL SERVICE INC CL B
CALL
911312106
24
200
SH
SOLE
0
200
0
0
UNITED PARCEL SERVICE INC CL B
CALL
911312106
24
200
SH
SOLE
0
200
0
0
UNITED TECHNOLOGIES CORP COM.
COMMON STOCK
913017109
835
7197
SH
SOLE
0
7151
0
46
UNITEDHEALTH GROUP INC COM
COMMON STOCK
91324P102
477
2440
SH
SOLE
0
2407
0
33
US BANCORP DEL COM NEW
COMMON STOCK
902973304
517
9651
SH
SOLE
0
9583
0
68
UTILITIES SELECT SECTOR SPDR ETF
ETF
81369Y886
1315
24789
SH
SOLE
0
24789
0
0
V F CORP COM
COMMON STOCK
918204108
313
4925
SH
SOLE
0
4925
0
0
VALIDUS HOLDINGS LTD COM SHS
COMMON STOCK
G9319H102
464
9430
SH
SOLE
0
9430
0
0
VANECK VECTORS HIGH-YIELD MUNICIPAL INDEX ETF
ETF
92189F361
524
16748
SH
SOLE
0
16748
0
0
VANECK VECTORS INVESTMENT GRADE FLOATING
ETF
92189F486
587
23232
SH
SOLE
0
23232
0
0
VANECK VECTORS MORNINGSTAR WIDE MOAT ETF
ETF
92189F643
280
6950
SH
SOLE
0
6950
0
0
VANGUARD CONSUMER STAPLES FUND
ETF
92204A207
395
2854
SH
SOLE
0
2854
0
0
VANGUARD DIVIDEND APPRECIATION INDEX FUND
ETF
921908844
428
4522
SH
SOLE
0
4485
0
37
VANGUARD EXTENDED MARKET INDEX FUND
ETF
922908652
293
2735
SH
SOLE
0
2735
0
0
VANGUARD FTSE ALL-WORLD EX US INDEX FUND
ETF
922042775
642
12192
SH
SOLE
0
12192
0
0
VANGUARD FTSE DEVELOPED MARKETS ETF
ETF
921943858
512
11801
SH
SOLE
0
11801
0
0
VANGUARD FTSE EMERGING MARKETS ETF
ETF
922042858
326
7489
SH
SOLE
0
7489
0
0
VANGUARD HIGH DIVIDEND YIELD INDEX FUND
ETF
921946406
1268
15649
SH
SOLE
0
15649
0
0
VANGUARD INFORMATION TECHNOLOGY INDEX FUND
ETF
92204A702
443
2919
SH
SOLE
0
2919
0
0
VANGUARD MID-CAP INDEX FUND
ETF
922908629
272
1855
SH
SOLE
0
1809
0
46
VANGUARD REIT ETF
ETF
922908553
1055
12707
SH
SOLE
0
12707
0
0
VANGUARD S&P 500 ETF
ETF
922908363
2126
9215
SH
SOLE
0
9215
0
0
VANGUARD SHORT-TERM BOND INDEX FUND
ETF
921937827
211
2645
SH
SOLE
0
2645
0
0
VANGUARD SMALL-CAP INDEX FUND
ETF
922908751
593
4198
SH
SOLE
0
4198
0
0
VANGUARD TOTAL BOND MARKET ETF
ETF
921937835
1258
15356
SH
SOLE
0
15356
0
0
VANGUARD TOTAL INTERNATIONAL BOND ETF
ETF
92203J407
236
4341
SH
SOLE
0
4341
0
0
VANGUARD TOTAL STOCK MARKET INDEX FUND
ETF
922908769
4335
33473
SH
SOLE
0
33473
0
0
VECTRUS INC COM
COMMON STOCK
92242T101
567
18392
SH
SOLE
0
19419
0
0
VENTAS INC COM
REIT
92276F100
477
7335
SH
SOLE
0
7335
0
0
VERIZON COMMUNICATIONS
COMMON STOCK
92343V104
4350
87910
SH
SOLE
0
87910
0
0
VIRNETX HLDG CORP COM
COMMON STOCK
92823T108
215
55200
SH
SOLE
0
55200
0
0
VISA INC COM CL A
COMMON STOCK
92826C839
589
5599
SH
SOLE
0
5567
0
32
VMWARE INC CL A COM
COMMON STOCK
928563402
421
4574
SH
SOLE
0
4574
0
0
WP CAREY INC COM
REIT
92936U109
551
8189
SH
SOLE
0
8189
0
0
WAL-MART STORES INC COM
COMMON STOCK
931142103
753
9648
SH
SOLE
0
9648
0
0
WEATHERFORD INTL PLC ORD SHS
COMMON STOCK
G48833100
56
12308
SH
SOLE
0
12308
0
0
WEC ENERGY GROUP INC COM
COMMON STOCK
92939U106
468
7465
SH
SOLE
0
7465
0
0
WELLS FARGO & CO NEW COM
COMMON STOCK
949746101
2478
44945
SH
SOLE
0
44945
0
0
WELLS FARGO & CO NEW COM
CALL
949746101
27
500
SH
SOLE
0
500
0
0
WELLTOWER INC COM
REIT
95040Q104
1356
19308
SH
SOLE
0
19308
0
0
WESTAR ENERGY INC COM
COMMON STOCK
95709T100
221
4460
SH
SOLE
0
4460
0
0
WESTROCK CO COM
COMMON STOCK
96145D105
655
11550
SH
SOLE
0
11550
0
0
WEYERHAEUSER CO COM
REIT
962166104
1402
41206
SH
SOLE
0
41206
0
0
WISDOMTREE EUROPE HEDGED EQUITY FUND
ETF
97717X701
2187
33806
SH
SOLE
0
33806
0
0
X-TRACKERS MSCI EUROPE HEDGED EQUITY ETF
ETF
233051853
234
8283
SH
SOLE
0
8283
0
0
ZEDGE INC CL B
COMMON STOCK
98923T104
463
241215
SH
SOLE
0
241215
0
0