The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
|
COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ABBOTT LABS | COM | 002824100 | 356 | 4,099 | SH | SOLE | 0 | 0 | 4,099 | ||
ABBVIE INC | COM | 00287Y109 | 452 | 5,102 | SH | SOLE | 0 | 0 | 5,102 | ||
ACCENTURE PLC IRELAND | SHS CLASS A | G1151C101 | 928 | 4,408 | SH | SOLE | 0 | 0 | 4,408 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 8,461 | 39,890 | SH | SOLE | 0 | 0 | 39,890 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 21 | 100 | SH | Call | SOLE | 0 | 0 | 100 | |
ALLIANZGI CONV INCOME FD II | COM | 018825109 | 1,178 | 230,100 | SH | SOLE | 0 | 0 | 230,100 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 3,476 | 2,595 | SH | SOLE | 0 | 0 | 2,595 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 2,805 | 2,098 | SH | SOLE | 0 | 0 | 2,098 | ||
ALTRIA GROUP INC | COM | 02209S103 | 377 | 7,559 | SH | SOLE | 0 | 0 | 7,559 | ||
AMAZON COM INC | COM | 023135106 | 5,034 | 2,724 | SH | SOLE | 0 | 0 | 2,724 | ||
AMGEN INC | COM | 031162100 | 1,736 | 7,200 | SH | SOLE | 0 | 0 | 7,200 | ||
APOLLO TACTICAL INCOME FD IN | COM | 037638103 | 707 | 46,836 | SH | SOLE | 0 | 0 | 46,836 | ||
APPLE INC | COM | 037833100 | 4,206 | 14,324 | SH | SOLE | 0 | 0 | 14,324 | ||
AT&T INC | COM | 00206R102 | 4,831 | 123,614 | SH | SOLE | 0 | 0 | 123,614 | ||
BAIDU INC | SPON ADR REP A | 056752108 | 455 | 3,600 | SH | SOLE | 0 | 0 | 3,600 | ||
BANK AMER CORP | COM | 060505104 | 2,227 | 63,241 | SH | SOLE | 0 | 0 | 63,241 | ||
BAXTER INTL INC | COM | 071813109 | 334 | 4,000 | SH | SOLE | 0 | 0 | 4,000 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 340 | 1 | SH | SOLE | 0 | 0 | 1 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 12,539 | 55,362 | SH | SOLE | 0 | 0 | 55,362 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 3,644 | 245,869 | SH | SOLE | 0 | 0 | 245,869 | ||
BOEING CO | COM | 097023105 | 348 | 1,067 | SH | SOLE | 0 | 0 | 1,067 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 449 | 6,988 | SH | SOLE | 0 | 0 | 6,988 | ||
BRISTOL MYERS SQUIBB CO | RIGHT 99/99/9999 | 110122157 | 64 | 21,393 | SH | SOLE | 0 | 0 | 21,393 | ||
BROADCOM INC | COM | 11135F101 | 988 | 3,126 | SH | SOLE | 0 | 0 | 3,126 | ||
CALIFORNIA RES CORP | COM NEW | 13057Q206 | 722 | 80,000 | SH | Put | SOLE | 0 | 0 | 80,000 | |
CALIFORNIA RES CORP | COM NEW | 13057Q206 | 45 | 5,000 | SH | SOLE | 0 | 0 | 5,000 | ||
CALIFORNIA RES CORP | COM NEW | 13057Q206 | 2 | 200 | SH | Call | SOLE | 0 | 0 | 200 | |
CHINA MOBILE LIMITED | SPONSORED ADR | 16941M109 | 1,218 | 28,815 | SH | SOLE | 0 | 0 | 28,815 | ||
CHUBB LIMITED | COM | H1467J104 | 596 | 3,830 | SH | SOLE | 0 | 0 | 3,830 | ||
CISCO SYS INC | COM | 17275R102 | 498 | 10,393 | SH | SOLE | 0 | 0 | 10,393 | ||
CITIGROUP INC | COM NEW | 172967424 | 1,470 | 18,399 | SH | SOLE | 0 | 0 | 18,399 | ||
COCA COLA CO | COM | 191216100 | 735 | 13,275 | SH | SOLE | 0 | 0 | 13,275 | ||
COMCAST CORP NEW | CL A | 20030N101 | 533 | 11,850 | SH | SOLE | 0 | 0 | 11,850 | ||
CSX CORP | COM | 126408103 | 1,889 | 26,105 | SH | SOLE | 0 | 0 | 26,105 | ||
CVS HEALTH CORP | COM | 126650100 | 602 | 8,103 | SH | SOLE | 0 | 0 | 8,103 | ||
CYTOMX THERAPEUTICS INC | COM | 23284F105 | 787 | 94,661 | SH | SOLE | 0 | 0 | 94,661 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 4,145 | 28,662 | SH | SOLE | 0 | 0 | 28,662 | ||
DOMINOS PIZZA INC | COM | 25754A201 | 206 | 700 | SH | SOLE | 0 | 0 | 700 | ||
DOVER CORP | COM | 260003108 | 608 | 5,275 | SH | SOLE | 0 | 0 | 5,275 | ||
EATON CORP PLC | SHS | G29183103 | 275 | 2,900 | SH | SOLE | 0 | 0 | 2,900 | ||
EATON VANCE RISK MNGD DIV EQ | COM | 27829G106 | 327 | 35,000 | SH | SOLE | 0 | 0 | 35,000 | ||
EMBRAER S A | SPONSORED ADS | 29082A107 | 3,634 | 186,440 | SH | SOLE | 0 | 0 | 186,440 | ||
EMBRAER S A | SPONSORED ADS | 29082A107 | 19 | 1,000 | SH | Call | SOLE | 0 | 0 | 1,000 | |
FACEBOOK INC | CL A | 30303M102 | 4,369 | 21,287 | SH | SOLE | 0 | 0 | 21,287 | ||
GENERAL MLS INC | COM | 370334104 | 686 | 12,800 | SH | SOLE | 0 | 0 | 12,800 | ||
GILEAD SCIENCES INC | COM | 375558103 | 227 | 3,500 | SH | SOLE | 0 | 0 | 3,500 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 591 | 2,568 | SH | SOLE | 0 | 0 | 2,568 | ||
HERON THERAPEUTICS INC | COM | 427746102 | 2,661 | 113,245 | SH | SOLE | 0 | 0 | 113,245 | ||
HERON THERAPEUTICS INC | COM | 427746102 | 2 | 100 | SH | Call | SOLE | 0 | 0 | 100 | |
HOME DEPOT INC | COM | 437076102 | 614 | 2,809 | SH | SOLE | 0 | 0 | 2,809 | ||
HONEYWELL INTL INC | COM | 438516106 | 907 | 5,125 | SH | SOLE | 0 | 0 | 5,125 | ||
IDEXX LABS INC | COM | 45168D104 | 222 | 850 | SH | SOLE | 0 | 0 | 850 | ||
INTEL CORP | COM | 458140100 | 500 | 8,350 | SH | SOLE | 0 | 0 | 8,350 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 685 | 5,113 | SH | SOLE | 0 | 0 | 5,113 | ||
INTL PAPER CO | COM | 460146103 | 280 | 6,090 | SH | SOLE | 0 | 0 | 6,090 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 573 | 2,696 | SH | SOLE | 0 | 0 | 2,696 | ||
ISHARES TR | CORE S&P MCP ETF | 464287507 | 390 | 1,893 | SH | SOLE | 0 | 0 | 1,893 | ||
ISHARES TR | CORE S&P SCP ETF | 464287804 | 324 | 3,862 | SH | SOLE | 0 | 0 | 3,862 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 1,318 | 4,077 | SH | SOLE | 0 | 0 | 4,077 | ||
JOHNSON & JOHNSON | COM | 478160104 | 1,266 | 8,678 | SH | SOLE | 0 | 0 | 8,678 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 3,939 | 28,257 | SH | SOLE | 0 | 0 | 28,257 | ||
KEYCORP NEW | COM | 493267108 | 251 | 12,400 | SH | SOLE | 0 | 0 | 12,400 | ||
LOCKHEED MARTIN CORP | COM | 539830109 | 1,445 | 3,710 | SH | SOLE | 0 | 0 | 3,710 | ||
LOWES COS INC | COM | 548661107 | 226 | 1,891 | SH | SOLE | 0 | 0 | 1,891 | ||
MASCO CORP | COM | 574599106 | 456 | 9,500 | SH | SOLE | 0 | 0 | 9,500 | ||
MASTERCARD INC | CL A | 57636Q104 | 299 | 1,000 | SH | SOLE | 0 | 0 | 1,000 | ||
MCDONALDS CORP | COM | 580135101 | 540 | 2,731 | SH | SOLE | 0 | 0 | 2,731 | ||
MERCADOLIBRE INC | COM | 58733R102 | 3,352 | 5,861 | SH | SOLE | 0 | 0 | 5,861 | ||
MERCK & CO INC | COM | 58933Y105 | 753 | 8,275 | SH | SOLE | 0 | 0 | 8,275 | ||
MICROSOFT CORP | COM | 594918104 | 2,929 | 18,575 | SH | SOLE | 0 | 0 | 18,575 | ||
MONDELEZ INTL INC | CL A | 609207105 | 481 | 8,737 | SH | SOLE | 0 | 0 | 8,737 | ||
MORGAN STANLEY | COM NEW | 617446448 | 332 | 6,500 | SH | SOLE | 0 | 0 | 6,500 | ||
NATIONAL GRID PLC | SPONSORED ADR NE | 636274409 | 368 | 5,874 | SH | SOLE | 0 | 0 | 5,874 | ||
NUTRIEN LTD | COM | 67077M108 | 309 | 6,456 | SH | SOLE | 0 | 0 | 6,456 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 6,363 | 442,499 | SH | SOLE | 0 | 0 | 442,499 | ||
ORACLE CORP | COM | 68389X105 | 229 | 4,327 | SH | SOLE | 0 | 0 | 4,327 | ||
PEPSICO INC | COM | 713448108 | 741 | 5,423 | SH | SOLE | 0 | 0 | 5,423 | ||
PFIZER INC | COM | 717081103 | 331 | 8,455 | SH | SOLE | 0 | 0 | 8,455 | ||
PHILLIPS 66 | COM | 718546104 | 439 | 3,940 | SH | SOLE | 0 | 0 | 3,940 | ||
PLUG POWER INC | COM NEW | 72919P202 | 47 | 15,000 | SH | SOLE | 0 | 0 | 15,000 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 319 | 2,558 | SH | SOLE | 0 | 0 | 2,558 | ||
PRUDENTIAL FINL INC | COM | 744320102 | 339 | 3,616 | SH | SOLE | 0 | 0 | 3,616 | ||
RADIUS HEALTH INC | COM NEW | 750469207 | 938 | 46,525 | SH | SOLE | 0 | 0 | 46,525 | ||
ROSS STORES INC | COM | 778296103 | 1,356 | 11,650 | SH | SOLE | 0 | 0 | 11,650 | ||
SALESFORCE COM INC | COM | 79466L302 | 1,448 | 8,905 | SH | SOLE | 0 | 0 | 8,905 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 238 | 741 | SH | SOLE | 0 | 0 | 741 | ||
SPLUNK INC | COM | 848637104 | 911 | 6,080 | SH | SOLE | 0 | 0 | 6,080 | ||
THE TRADE DESK INC | COM CL A | 88339J105 | 4,345 | 16,726 | SH | SOLE | 0 | 0 | 16,726 | ||
TJX COS INC NEW | COM | 872540109 | 238 | 3,900 | SH | SOLE | 0 | 0 | 3,900 | ||
UBS GROUP AG | SHS | H42097107 | 1,873 | 148,850 | SH | SOLE | 0 | 0 | 148,850 | ||
UNION PACIFIC CORP | COM | 907818108 | 449 | 2,485 | SH | SOLE | 0 | 0 | 2,485 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 2,505 | 16,730 | SH | SOLE | 0 | 0 | 16,730 | ||
US BANCORP DEL | COM NEW | 902973304 | 302 | 5,100 | SH | SOLE | 0 | 0 | 5,100 | ||
VISA INC | COM CL A | 92826C839 | 2,853 | 15,183 | SH | SOLE | 0 | 0 | 15,183 | ||
WELLS FARGO CO NEW | COM | 949746101 | 587 | 10,910 | SH | SOLE | 0 | 0 | 10,910 | ||
YUM BRANDS INC | COM | 988498101 | 947 | 9,398 | SH | SOLE | 0 | 0 | 9,398 | ||
YUM CHINA HLDGS INC | COM | 98850P109 | 307 | 6,400 | SH | SOLE | 0 | 0 | 6,400 | ||
ZOETIS INC | CL A | 98978V103 | 1,882 | 14,221 | SH | SOLE | 0 | 0 | 14,221 |