President

0001737109-19-000003.txt : 20190815 0001737109-19-000003.hdr.sgml : 20190815 20190815143236 ACCESSION NUMBER: 0001737109-19-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190815 DATE AS OF CHANGE: 20190815 EFFECTIVENESS DATE: 20190815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Integrated Wealth Concepts LLC CENTRAL INDEX KEY: 0001737109 IRS NUMBER: 813433658 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18776 FILM NUMBER: 191029762 BUSINESS ADDRESS: STREET 1: 300 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-890-3045 MAIL ADDRESS: STREET 1: 300 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001737109 XXXXXXXX 06-30-2019 06-30-2019 Integrated Wealth Concepts LLC

300 FIFTH AVENUE WALTHAM MA 02451

13F HOLDINGS REPORT 028-18776 N John Cataldo President 7818903045 John Cataldo Waltham MA 08-15-2019 16 389 763418 false 1 Abner Herrman and Brock 2 Brandes Investment Partners 3 Chilton Capital Management 4 Congress Asset Mgmt 5 Davis Select Advisors 6 Eaton Vance 7 Federated 8 Federated Investors 9 LPL Research 10 Manning & Napier 11 Natixis AIA 12 Parametric Portfolio Assoc 13 Polen Capital Management 14 RNC Genter 15 Schafer Cullen Capital Mgmt 16 Zacks Investment Mgmt INFORMATION TABLE 2 IWC2019Q2_13FReport.xml IWC 2019 Q2 13F REPORT 3M COMPANY Common Stock 88579Y101 360 2169 SH OTR 4,11,12,15 0 0 2169 ABBOTT LABORATORIES Common Stock 002824100 267 3177 SH OTR 1,4,11,12 0 0 3177 ABBVIE INC Common Stock 00287Y109 431 6040 SH OTR 7,8,11,12,14,16 0 0 6040 ACCELERON PHARMA Common Stock 00434H108 205 5000 SH SOLE 0 0 5000 ACCENTURE PLC Common Stock G1151C101 467 2566 SH OTR 4,9,11,12,13 0 0 2566 ADOBE INC Common Stock 00724F101 321 1327 SH OTR 4,11,12,13 0 0 1327 AGNC INVESTMENT Common Stock 00123Q104 304 17394 SH SOLE 0 0 17394 AIR PRODUCTS Common Stock 009158106 463 2044 SH OTR 4,11,12,16 0 0 2044 ALEXION PHARMACEUTICALS Common Stock 015351109 232 1769 SH OTR 4,11 0 0 1769 ALIBABA GROUP Common Stock 01609W102 509 2977 SH SOLE 0 0 2977 ALIGN TECHNOLOGY Common Stock 016255101 327 1185 SH OTR 4,12,13 0 0 1185 ALLSTATE CORP Common Stock 020002101 269 2835 SH OTR 11,12 0 0 2835 ALPHABET INC Common Stock 02079K107 646 827 SH OTR 1,4,5,10,11,13 0 0 827 ALPHABET INC Common Stock 02079K305 1018 1485 SH OTR 4,5,9,10,11,12,13 0 0 1485 ALPS ALERIAN MF Closed and MF Open 00162Q866 333 34302 SH OTR 4 0 0 34302 ALPS SECTOR MF Closed and MF Open 00162Q858 341 7847 SH SOLE 0 0 7847 ALTRIA GROUP Common Stock 02209S103 788 16639 SH OTR 4,7,8,9,11,12,14,15,16 0 0 16639 AMAZON COM Common Stock 023135106 5771 3198 SH OTR 1,4,5,9,10,11,12 0 0 3198 AMERICAN EXPRESS Common Stock 025816109 221 1977 SH OTR 9,11,12 0 0 1977 AMERICAN TOWER Common Stock 03027X100 277 1344 SH OTR 3,10,11,12 0 0 1344 AMETEK INC Common Stock 031100100 221 2432 SH OTR 4 0 0 2432 AMGEN INC Common Stock 031162100 286 1539 SH OTR 11,12,14,16 0 0 1539 AMPHENOL CORP Common Stock 032095101 273 2860 SH OTR 4 0 0 2860 ANHEUSER BUSCH Common Stock 03524A108 290 3262 SH OTR 9,12 0 0 3262 ANNALY CAPITAL Common Stock 035710409 173 18174 SH OTR 12 0 0 18174 APPLE INC Common Stock 037833100 7642 45950 SH OTR 4,11,12 0 0 45950 ARES CAPITAL MF Closed and MF Open 04010L103 177 10959 SH SOLE 0 0 10959 ASTRAZENECA PLC Common Stock 046353108 318 7974 SH OTR 12 0 0 7974 AT&T INC Common Stock 00206R102 2071 63668 SH OTR 4,7,8,11,12,14,15,16 0 0 63668 AURORA CANNABIS Common Stock 05156X108 379 48493 SH SOLE 0 0 48493 AUTODESK INC Common Stock 052769106 211 1296 SH OTR 4,12 0 0 1296 BANK AMERICA Common Stock 060505104 2952 108407 SH OTR 1,2,4,9,11,12,15 0 0 108407 BANK NEW YORK Common Stock 064058100 462 10704 SH OTR 2,9 0 0 10704 BCE INC Common Stock 05534B760 209 4591 SH OTR 7,8,15 0 0 4591 BERKSHIRE HATHAWAY Common Stock 084670702 2654 13146 SH OTR 4,5,10,11,12 0 0 13146 BHP GROUP Common Stock 088606108 373 6409 SH OTR 12 0 0 6409 BLACKROCK MUN MF Closed and MF Open 09249X109 108 11891 SH SOLE 0 0 11891 BLACKSTONE MORTGAGE Common Stock 09257W100 379 10327 SH SOLE 0 0 10327 BOEING CO Common Stock 097023105 1145 3309 SH OTR 4,11,12,15 0 0 3309 BP PLC Common Stock 055622104 616 14607 SH OTR 2,7,8,9,12 0 0 14607 BRISTOL MYERS Common Stock 110122108 306 7079 SH OTR 11,12,14,16 0 0 7079 CANOPY GROWTH Common Stock 138035100 278 6901 SH SOLE 0 0 6901 CATERPILLAR INC Common Stock 149123101 269 2071 SH OTR 4,11,12 0 0 2071 CHEVRON CORP Common Stock 166764100 1565 12798 SH OTR 4,7,8,11,12,14,15,16 0 0 12798 CHINA MOBILE Common Stock 16941M109 236 5132 SH OTR 2 0 0 5132 CHURCH & DWIGHT Common Stock 171340102 272 3720 SH OTR 4 0 0 3720 CINTAS CORP Common Stock 172908105 409 1723 SH OTR 4 0 0 1723 CISCO SYSTEMS Common Stock 17275R102 1801 33765 SH OTR 4,9,11,12,14,15,16 0 0 33765 CITIGROUP INC Common Stock 172967424 645 9628 SH OTR 2,4,9,11,12,14 0 0 9628 CME GROUP Common Stock 12572Q105 433 2233 SH OTR 4,9,10,11,12 0 0 2233 COCA COLA COMPANY Common Stock 191216100 1065 20822 SH OTR 4,7,8,10,11,12,16 0 0 20822 COLONY CAPITAL Common Stock 19626G108 89 17262 SH OTR 12 0 0 17262 COMCAST CORP Common Stock 20030N101 1045 24680 SH OTR 4,11,12,16 0 0 24680 COMERICA INC Common Stock 200340107 317 4360 SH SOLE 0 0 4360 CONSOLIDATED EDISON Common Stock 209115104 255 2912 SH OTR 11,12 0 0 2912 CONSTELLATION BRANDS Common Stock 21036P108 377 1992 SH OTR 12 0 0 1992 CONSUMER DISCRETIONARY MF Closed and MF Open 81369Y407 259 2441 SH SOLE 0 0 2441 CORECIVIC INC Common Stock 21871N101 232 10717 SH SOLE 0 0 10717 COSTCO WHOLESALE Common Stock 22160K105 638 2420 SH OTR 4,11,12 0 0 2420 CRONOS GROUP Common Stock 22717L101 204 10248 SH SOLE 0 0 10248 CROWN CASTLE Common Stock 22822V101 416 3191 SH OTR 3,4,7,8,11,12,16 0 0 3191 CSP INC Common Stock 126389105 465 30472 SH SOLE 0 0 30472 CUMMINS INC Common Stock 231021106 221 1271 SH OTR 4,12 0 0 1271 CVS HEALTH Common Stock 126650100 314 5844 SH OTR 2,5,11,14 0 0 5844 DOLLAR GENL Common Stock 256677105 211 1695 SH OTR 4,11,12,13 0 0 1695 DOMINION ENERGY Common Stock 25746U109 1063 14666 SH OTR 7,8,11,12 0 0 14666 DUKE ENERGY Common Stock 26441C204 416 4718 SH OTR 7,8,11,12 0 0 4718 DUNKIN BRANDS Common Stock 265504100 355 7001 SH OTR 4,12 0 0 7001 DUPONT DE Common Stock 26614N102 201 2708 SH OTR 15 0 0 2708 EATON CORP Common Stock G29183103 302 3869 SH OTR 4,5,11 0 0 3869 EATON VANCE MF Closed and MF Open 27829W101 5572 589023 SH SOLE 0 0 589023 EDWARDS LIFESCIENCES Common Stock 28176E108 349 2182 SH OTR 4,12 0 0 2182 ELECTRONIC ARTS Common Stock 285512109 273 2996 SH OTR 4,10,11,12 0 0 2996 ELI LILLY Common Stock 532457108 421 3934 SH OTR 9,11,12,14,15 0 0 3934 ENTERPRISE PRODUCTS Oil & Gas, Real Estate and REIT 293792107 227 10624 SH SOLE 0 0 10624 EVERSOURCE ENERGY Common Stock 30040W108 687 9063 SH OTR 4,12 0 0 9063 EXXON MOBIL Common Stock 30231G102 1884 26240 SH OTR 1,4,7,8,11,12,15,16 0 0 26240 FACEBOOK INC Common Stock 30303M102 2157 11435 SH OTR 4,5,10,11,12,13 0 0 11435 FAIR ISAAC Common Stock 303250104 339 1078 SH OTR 4 0 0 1078 FIRST REPUBLIC Common Stock 33616C100 266 2726 SH OTR 4 0 0 2726 FIRST TRUST MF Closed and MF Open 33734K109 1081 17646 SH SOLE 0 0 17646 FIRST TRUST MF Closed and MF Open 33734X200 229 9940 SH SOLE 0 0 9940 FIRST TRUST MF Closed and MF Open 33739E108 211 10519 SH SOLE 0 0 10519 FIRST TRUST MF Closed and MF Open 336920103 491 6300 SH SOLE 0 0 6300 FIRST TRUST MF Closed and MF Open 33735K108 1206 17081 SH SOLE 0 0 17081 FIRST TRUST MF Closed and MF Open 33738R605 529 17400 SH SOLE 0 0 17400 FIRST TRUST MF Closed and MF Open 33734H106 1525 45298 SH SOLE 0 0 45298 FIRST TRUST MF Closed and MF Open 33737M300 544 11696 SH SOLE 0 0 11696 FIVE BELOW Common Stock 33829M101 250 2079 SH OTR 4 0 0 2079 FLEXSHARES MORNINGSTAR MF Closed and MF Open 33939L100 1526 13061 SH SOLE 0 0 13061 FLEXSHARES MORNINGSTAR MF Closed and MF Open 33939L803 1091 17944 SH SOLE 0 0 17944 FOMENTO ECONOMICO Common Stock 344419106 264 2701 SH SOLE 0 0 2701 FORD MOTOR Common Stock 345370860 284 45970 SH OTR 11,12,16 0 0 45970 FRANKLIN STREET Common Stock 35471R106 225 29189 SH SOLE 0 0 29189 FS KKR MF Closed and MF Open 302635107 167 28102 SH SOLE 0 0 28102 GAMING & LEISURE Common Stock 36467J108 319 7873 SH SOLE 0 0 7873 GENERAL ELECTRIC Common Stock 369604103 384 37542 SH OTR 4,9,11,12 0 0 37542 GILEAD SCIENCES Common Stock 375558103 322 5022 SH OTR 11,12,16 0 0 5022 GLAXOSMITHKLINE PLC Common Stock 37733W105 225 5634 SH OTR 2,4,7,8,12 0 0 5634 GLOBAL PAYMENTS Common Stock 37940X102 227 1415 SH OTR 4 0 0 1415 GLOBAL X MF Closed and MF Open 37950E226 2261 174724 SH SOLE 0 0 174724 GLOBAL X MF Closed and MF Open 37950E416 267 8304 SH SOLE 0 0 8304 GOLDMAN SACHS MF Closed and MF Open 381430503 5333 91333 SH SOLE 0 0 91333 GREAT PANTHER Common Stock 39115V101 32 38000 SH SOLE 0 0 38000 HARRIS CORP Common Stock 413875105 236 1250 SH OTR 4 0 0 1250 HEICO CORP Common Stock 422806109 299 2238 SH OTR 4,12 0 0 2238 HOME DEPOT Common Stock 437076102 2360 11343 SH OTR 1,4,9,11,12,14,16 0 0 11343 HONEYWELL INTL Common Stock 438516106 431 3026 SH OTR 1,4,9,11,12 0 0 3026 HOSPITALITY PROPERTIES Common Stock 44106M102 308 11819 SH SOLE 0 0 11819 HSBC HOLDINGS Common Stock 404280406 285 6767 SH OTR 2,9,12,15 0 0 6767 ILLUMINA INC Common Stock 452327109 381 1036 SH OTR 4,12 0 0 1036 INTEL CORP Common Stock 458140100 1210 27085 SH OTR 4,5,9,11,12,15,16 0 0 27085 INTL BUSINESS Common Stock 459200101 684 4985 SH OTR 4,9,11,12,16 0 0 4985 INVESCO BULLETSHARES MF Closed and MF Open 46138J304 1241 60186 SH SOLE 0 0 60186 INVESCO BULLETSHARES MF Closed and MF Open 46138J502 3546 168785 SH SOLE 0 0 168785 INVESCO BULLETSHARES MF Closed and MF Open 46138J700 6185 293805 SH SOLE 0 0 293805 INVESCO BULLETSHARES MF Closed and MF Open 46138J882 2350 110404 SH SOLE 0 0 110404 INVESCO BULLETSHARES MF Closed and MF Open 46138J866 2812 132621 SH SOLE 0 0 132621 INVESCO BULLETSHARES MF Closed and MF Open 46138J841 499 23492 SH SOLE 0 0 23492 INVESCO BULLETSHARES MF Closed and MF Open 46138J403 11632 493952 SH SOLE 0 0 493952 INVESCO BULLETSHARES MF Closed and MF Open 46138J601 13036 558055 SH SOLE 0 0 558055 INVESCO BULLETSHARES MF Closed and MF Open 46138J809 2142 97782 SH SOLE 0 0 97782 INVESCO BULLETSHARES MF Closed and MF Open 46138J874 666 27152 SH SOLE 0 0 27152 INVESCO BULLETSHARES MF Closed and MF Open 46138J858 739 28456 SH SOLE 0 0 28456 INVESCO BULLETSHARES MF Closed and MF Open 46138J833 429 16986 SH SOLE 0 0 16986 INVESCO CHINA MF Closed and MF Open 46138E800 512 11281 SH SOLE 0 0 11281 INVESCO EXCHANGE MF Closed and MF Open 46138E354 547 9937 SH SOLE 0 0 9937 INVESCO EXCHANGE MF Closed and MF Open 46138E198 525 10442 SH SOLE 0 0 10442 INVESCO FTSE MF Closed and MF Open 46137V613 523 4486 SH SOLE 0 0 4486 INVESCO HIGH Common Stock 46135X108 1570 171314 SH SOLE 0 0 171314 INVESCO NATIONAL MF Closed and MF Open 46138E537 209 7997 SH SOLE 0 0 7997 INVESCO PFD MF Closed and MF Open 46138E511 137 12403 SH SOLE 0 0 12403 INVESCO QQQ MF Closed and MF Open 46090E103 9159 59719 SH SOLE 0 0 59719 INVESCO S&P MF Closed and MF Open 46138E248 539 18997 SH SOLE 0 0 18997 INVESCO S&P MF Closed and MF Open 46138E271 135 11424 SH SOLE 0 0 11424 INVESCO S&P MF Closed and MF Open 46138G656 498 13916 SH SOLE 0 0 13916 INVESCO S&P MF Closed and MF Open 46137V357 297 2694 SH SOLE 0 0 2694 INVESCO S&P MF Closed and MF Open 46138E362 806 19147 SH SOLE 0 0 19147 INVESCO SENIOR MF Closed and MF Open 46138G508 693 30596 SH SOLE 0 0 30596 ISHARES 1-3YR MF Closed and MF Open 464287457 376 6226 SH SOLE 0 0 6226 ISHARES 20 MF Closed and MF Open 464287432 12541 99132 SH SOLE 0 0 99132 ISHARES 7-10YR MF Closed and MF Open 464287440 443 4028 SH OTR 10 0 0 4028 ISHARES CORE MF Closed and MF Open 464287226 4533 42969 SH SOLE 0 0 42969 ISHARES CORE MF Closed and MF Open 46434V621 239 6267 SH SOLE 0 0 6267 ISHARES CORE MF Closed and MF Open 46429B663 392 5976 SH SOLE 0 0 5976 ISHARES CORE MF Closed and MF Open 46432F842 7832 128187 SH SOLE 0 0 128187 ISHARES CORE MF Closed and MF Open 46434G103 10082 200975 SH SOLE 0 0 200975 ISHARES CORE MF Closed and MF Open 46434V738 223 4795 SH SOLE 0 0 4795 ISHARES CORE MF Closed and MF Open 464287507 15318 79433 SH SOLE 0 0 79433 ISHARES CORE MF Closed and MF Open 464287804 2767 40712 SH SOLE 0 0 40712 ISHARES CORE MF Closed and MF Open 46434V696 352 6320 SH SOLE 0 0 6320 ISHARES CORE MF Closed and MF Open 464287150 15895 239180 SH SOLE 0 0 239180 ISHARES CORE MF Closed and MF Open 46434V613 1578 30917 SH SOLE 0 0 30917 ISHARES CORE MF Closed and MF Open 464287663 8538 150711 SH SOLE 0 0 150711 ISHARES CORE MF Closed and MF Open 464287200 6823 25926 SH SOLE 0 0 25926 ISHARES CORE MF Closed and MF Open 46432F834 713 18568 SH SOLE 0 0 18568 ISHARES EDGE MF Closed and MF Open 464286525 384 3788 SH SOLE 0 0 3788 ISHARES EDGE MF Closed and MF Open 464286533 471 6210 SH SOLE 0 0 6210 ISHARES EDGE MF Closed and MF Open 46429B689 1221 16843 SH SOLE 0 0 16843 ISHARES EDGE MF Closed and MF Open 46434V274 35031 1334018 SH SOLE 0 0 1334018 ISHARES EDGE MF Closed and MF Open 46434V282 16523 520619 SH SOLE 0 0 520619 ISHARES EDGE MF Closed and MF Open 46432F396 24136 204234 SH SOLE 0 0 204234 ISHARES EDGE MF Closed and MF Open 46432F339 36909 416522 SH SOLE 0 0 416522 ISHARES EDGE MF Closed and MF Open 46434V290 10706 265718 SH SOLE 0 0 265718 ISHARES EDGE MF Closed and MF Open 46435G433 672 16310 SH SOLE 0 0 16310 ISHARES EDGE MF Closed and MF Open 46429B697 12005 194196 SH SOLE 0 0 194196 ISHARES EDGE MF Closed and MF Open 46432F388 11006 135561 SH SOLE 0 0 135561 ISHARES EUROPE MF Closed and MF Open 464287861 418 9838 SH SOLE 0 0 9838 ISHARES FLOATING MF Closed and MF Open 46429B655 3936 92027 SH SOLE 0 0 92027 ISHARES GLOBAL MF Closed and MF Open 464287291 2844 15916 SH SOLE 0 0 15916 ISHARES IBONDS MF Closed and MF Open 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68641 ISHARES U S MF Closed and MF Open 46431W507 1304 29448 SH SOLE 0 0 29448 ISHARES U S MF Closed and MF Open 464288687 329 16041 SH SOLE 0 0 16041 JACK HENRY Common Stock 426281101 245 1832 SH SOLE 0 0 1832 JOHNSON & JOHNSON Common Stock 478160104 1567 11373 SH OTR 1,4,10,11,12,14,15,16 0 0 11373 JP MORGAN MF Closed and MF Open 46641Q209 2412 45064 SH SOLE 0 0 45064 JPMORGAN MF Closed and MF Open 46641Q837 644 12786 SH SOLE 0 0 12786 JPMORGAN CHASE Common Stock 46625H100 1544 14810 SH OTR 1,4,9,11,12,14,15,16 0 0 14810 JPMORGAN DIVERSIFIED MF Closed and MF Open 46641Q407 4656 63702 SH SOLE 0 0 63702 KIMBERLY CLARK Common Stock 494368103 394 2954 SH OTR 7,8,11,12,15 0 0 2954 KINDER MORGAN Common Stock 49456B101 205 9825 SH OTR 16 0 0 9825 LENDINGTREE INC Common Stock 52603B107 247 589 SH OTR 4 0 0 589 LEXINGTON REALTY Common Stock 529043101 240 24516 SH SOLE 0 0 24516 LOCKHEED MARTIN Common Stock 539830109 382 1117 SH OTR 4,11,12,14,16 0 0 1117 LOWES COMPANIES Common Stock 548661107 347 3373 SH OTR 11,12 0 0 3373 MANNKIND CORP Common Stock 56400P706 68 15058 SH SOLE 0 0 15058 MASTERCARD INC Common Stock 57636Q104 1194 4509 SH OTR 1,4,10,11,12,13 0 0 4509 MC CORMICK Common Stock 579780206 406 2618 SH OTR 4 0 0 2618 MCDONALDS CORP Common Stock 580135101 849 4240 SH OTR 4,11,12 0 0 4240 MEDICAL PROPERTIES Common Stock 58463J304 229 12589 SH SOLE 0 0 12589 MEDTRONIC PLC Common Stock G5960L103 275 3056 SH OTR 10,11,12,16 0 0 3056 MERCK & COMPANY Common Stock 58933Y105 1103 14146 SH OTR 1,2,4,10,11,12,15,16 0 0 14146 MFA FINANCIAL Common Stock 55272X102 124 16897 SH OTR 12 0 0 16897 MICROSOFT CORP Common Stock 594918104 4222 35547 SH OTR 1,2,4,5,9,10,11,12,13,14,15,16 0 0 35547 MONDELEZ INTERNATIONAL Common Stock 609207105 239 4439 SH OTR 10,11,12,16 0 0 4439 NETFLIX INC Common Stock 64110L106 746 2069 SH OTR 11,12 0 0 2069 NEW RESIDENTIAL Common Stock 64828T201 202 12930 SH SOLE 0 0 12930 NEXTERA ENERGY Common Stock 65339F101 475 2320 SH OTR 1,12,15 0 0 2320 NIKE INC Common Stock 654106103 584 6954 SH OTR 4,11,12,13 0 0 6954 NORTHROP GRUMMAN Common Stock 666807102 288 890 SH OTR 4,11,12 0 0 890 NOVARTIS AG Common Stock 66987V109 430 4695 SH OTR 10,12,15 0 0 4695 NOVO NORDISK Common Stock 670100205 293 5676 SH OTR 12 0 0 5676 NUVEEN CREDIT MF Closed and MF Open 67075U102 421 44298 SH SOLE 0 0 44298 NUVEEN EMERGING MF Closed and MF Open 67077P101 438 49588 SH SOLE 0 0 49588 NUVEEN FLOATING RATE MF Closed and MF Open 67072T108 14 23140 SH SOLE 0 0 23140 NUVEEN HIGH MF Closed and MF Open 67077N106 5928 633651 SH SOLE 0 0 633651 NUVEEN HIGH MF Closed and MF Open 67076E107 445 45037 SH SOLE 0 0 45037 NUVEEN HIGH MF Closed and MF Open 67075L102 10994 1150071 SH SOLE 0 0 1150071 NUVEEN INTERMEDIATE MF Closed and MF Open 670671106 149 16458 SH SOLE 0 0 16458 NUVEEN INTERMEDIATE Common Stock 62914V106 58 20100 SH SOLE 0 0 20100 NUVEEN INTERMEDIATE MF Closed and MF Open 670677103 109 13525 SH SOLE 0 0 13525 NUVEEN MORTGAGE MF Closed and MF Open 67074R100 10998 500974 SH SOLE 0 0 500974 NUVEEN MUNICIPAL MF Closed and MF Open 670687102 108 18509 SH SOLE 0 0 18509 NUVEEN PFD MF Closed and MF Open 67075A106 434 18428 SH SOLE 0 0 18428 NUVEEN PFD MF Closed and MF Open 67075T105 1202 58391 SH SOLE 0 0 58391 ORACLE CORP Common Stock 68389X105 1091 19135 SH OTR 5,9,11,12,13 0 0 19135 OSI OSHARES MF Closed and MF Open 67110P407 212 6225 SH SOLE 0 0 6225 PAYPAL HOLDINGS Common Stock 70450Y103 622 5428 SH OTR 1,4,12,13 0 0 5428 PEPSICO INC Common Stock 713448108 1406 11153 SH OTR 1,2,4,7,8,10,11,12,16 0 0 11153 PETROCHINA CO Common Stock 71646E100 217 3859 SH SOLE 0 0 3859 PFIZER INC Common Stock 717081103 2840 68060 SH OTR 2,4,7,8,11,12,15,16 0 0 68060 PHILIP MORRIS Common Stock 718172109 763 10027 SH OTR 7,8,11,12,14,15,16 0 0 10027 PIMCO EHNANCED MF Closed and MF Open 72201R833 360 3538 SH SOLE 0 0 3538 PIMCO INTERMEDIATE MF Closed and MF Open 72201R866 486 8869 SH SOLE 0 0 8869 POOL CORP Common Stock 73278L105 224 1172 SH OTR 4 0 0 1172 PROCTER & GAMBLE Common Stock 742718109 1421 12938 SH OTR 4,7,8,9,11,12,16 0 0 12938 PROSHARES TRUST MF Closed and MF Open 74348A467 4766 71070 SH SOLE 0 0 71070 PROSPECT CAP 4.7520 Debt 74348TAQ5 20 20000 PRN SOLE 0 0 20000 PRUDENTIAL FINANCIAL Common Stock 744320102 248 2456 SH OTR 11,16 0 0 2456 PUBLIC SERVICE Common Stock 744573106 266 4518 SH OTR 11,12 0 0 4518 QUALCOMM INC Common Stock 747525103 217 2863 SH OTR 11,12,14 0 0 2863 RAYTHEON COMPANY Common Stock 755111507 447 2744 SH OTR 1,12,15 0 0 2744 REALTY INCOME Common Stock 756109104 234 3398 SH OTR 7,8,11,12 0 0 3398 REDWOOD TRUST INC Common Stock 758075402 234 13601 SH SOLE 0 0 13601 RESONANT INC Common Stock 76118L102 29 12000 SH SOLE 0 0 12000 ROCKWELL AUTOMATION Common Stock 773903109 373 2278 SH OTR 4 0 0 2278 ROYAL BANK Common Stock 780087102 269 3355 SH OTR 9 0 0 3355 ROYAL DUTCH Common Stock 780259206 747 11744 SH OTR 12,14 0 0 11744 SALESFORCE.COM INC Common Stock 79466L302 406 2663 SH OTR 4,9,11,12 0 0 2663 SANOFI Common Stock 80105N105 294 6744 SH OTR 2,12 0 0 6744 SAP SE Common Stock 803054204 313 2288 SH OTR 5,9,12 0 0 2288 SCHWAB SHORT MF Closed and MF Open 808524862 989 19547 SH SOLE 0 0 19547 SCHWAB US MF Closed and MF Open 808524102 203 2798 SH SOLE 0 0 2798 SECTOR ENERGY MF Closed and MF Open 81369Y506 411 7106 SH SOLE 0 0 7106 SECTOR FINANCIAL MF Closed and MF Open 81369Y605 6251 259805 SH SOLE 0 0 259805 SECTOR HEALTHCARE MF Closed and MF Open 81369Y209 698 8735 SH SOLE 0 0 8735 SECTOR INDUSTRIAL MF Closed and MF Open 81369Y704 3158 41536 SH SOLE 0 0 41536 SECTOR TECHNOLOGY MF Closed and MF Open 81369Y803 3841 49167 SH SOLE 0 0 49167 SELECT SECTOR MF Closed and MF Open 81369Y852 2605 52809 SH SOLE 0 0 52809 SELECT UTILITIES MF Closed and MF Open 81369Y886 6078 106857 SH SOLE 0 0 106857 SHERWIN WILLIAMS Common Stock 824348106 262 573 SH OTR 4,11 0 0 573 SIRIUS XM Common Stock 82968B103 70 12544 SH SOLE 0 0 12544 SMITH AO Common Stock 831865209 218 4612 SH OTR 4 0 0 4612 SORRENTO THERAPEUTICS Common Stock 83587F202 383 143391 SH SOLE 0 0 143391 SOUTHERN COMPANY Common Stock 842587107 464 8387 SH OTR 4,7,8,11,12,16 0 0 8387 SPDR BLACKSTONE MF Closed and MF Open 78467V608 3401 75192 SH SOLE 0 0 75192 SPDR BLOOMBERG MF Closed and MF Open 78464A516 347 11983 SH SOLE 0 0 11983 SPDR BLOOMBERG MF Closed and MF Open 78468R200 99 12398 SH SOLE 0 0 12398 SPDR BLOOMBERG MF Closed and MF Open 78468R622 1802 18419 SH SOLE 0 0 18419 SPDR DOUBLELINE MF Closed and MF Open 78467V848 421 9654 SH SOLE 0 0 9654 SPDR DOW MF Closed and MF Open 78467X109 203 766 SH SOLE 0 0 766 SPDR DOW MF Closed and MF Open 78463X749 210 6013 SH SOLE 0 0 6013 SPDR GOLD Common Stock 78463V107 905 7751 SH SOLE 0 0 7751 SPDR NUVEEN MF Closed and MF Open 78468R739 342 6989 SH SOLE 0 0 6989 SPDR PORTFOLIO MF Closed and MF Open 78464A649 60 11468 SH SOLE 0 0 11468 SPDR PORTFOLIO MF Closed and MF Open 78463X889 184 31639 SH OTR 4 0 0 31639 SPDR PORTFOLIO MF Closed and MF Open 78464A375 311 8700 SH SOLE 0 0 8700 SPDR PORTFOLIO MF Closed and MF Open 78464A854 48 12950 SH SOLE 0 0 12950 SPDR PORTFOLIO MF Closed and MF Open 78464A474 283 20527 SH OTR 4,10 0 0 20527 SPDR S&P MF Closed and MF Open 78464A698 873 20167 SH SOLE 0 0 20167 SPDR S&P MF Closed and MF Open 78467Y107 539 1684 SH SOLE 0 0 1684 SPDR S&P MF Closed and MF Open 78462F103 6436 24650 SH SOLE 0 0 24650 SPDR SERIES MF Closed and MF Open 78464A763 379 7239 SH SOLE 0 0 7239 SQUARE INC Common Stock 852234103 285 4157 SH SOLE 0 0 4157 STANLEY BLACK Common Stock 854502101 284 1965 SH OTR 11 0 0 1965 STARBUCKS CORP Common Stock 855244109 291 3474 SH OTR 4,11,12,13 0 0 3474 TAIWAN SEMICONDUCTOR Common Stock 874039100 262 6720 SH OTR 14 0 0 6720 TESLA INC Common Stock 88160R101 593 2656 SH OTR 12 0 0 2656 TEXAS INSTRUMENTS Common Stock 882508104 296 2575 SH OTR 5,11,12 0 0 2575 THERMO FISHER Common Stock 883556102 373 1268 SH OTR 1,4,11,12 0 0 1268 TJX COS Common Stock 872540109 319 6014 SH OTR 4,12 0 0 6014 TORONTO DOMINION Common Stock 891160509 291 4959 SH SOLE 0 0 4959 TOTAL S A Common Stock 89151E109 444 7922 SH OTR 2,7,8,12,14 0 0 7922 TOWNEBANK PORTSMOUTH Common Stock 89214P109 481 17643 SH SOLE 0 0 17643 TOYOTA MOTOR Common Stock 892331307 257 2052 SH OTR 2,12 0 0 2052 TRAVELERS COS Common Stock 89417E109 229 1532 SH OTR 11,12,14,15 0 0 1532 TRIMBLE INC Common Stock 896239100 226 5012 SH OTR 4 0 0 5012 U S BANCORP DE Common Stock 902973304 247 4723 SH OTR 9,11,12,16 0 0 4723 UNILEVER N V Common Stock 904784709 299 4885 SH OTR 12,15 0 0 4885 UNION PACIFIC CORP Common Stock 907818108 494 2921 SH OTR 4,11,12 0 0 2921 UNITED PARCEL Common Stock 911312106 203 1963 SH OTR 7,8,9,11,14 0 0 1963 UNITED TECHNOLOGIES Common Stock 913017109 676 5442 SH OTR 5,11,12 0 0 5442 UNITEDHEALTH GROUP Common Stock 91324P102 1027 4520 SH OTR 1,4,5,11,12 0 0 4520 VANECK VECTORS MF Closed and MF Open 92189F726 208 1617 SH SOLE 0 0 1617 VANECK VECTORS MF Closed and MF Open 92189F106 2053 76371 SH OTR 4 0 0 76371 VANECK VECTORS MF Closed and MF Open 92189F643 502 12315 SH SOLE 0 0 12315 VANECK VECTORS MF Closed and MF Open 92189F403 5948 261304 SH SOLE 0 0 261304 VANGUARD DIVIDEND MF Closed and MF Open 921908844 1399 15975 SH SOLE 0 0 15975 VANGUARD EXTENDED MF Closed and MF Open 921910709 12318 101920 SH SOLE 0 0 101920 VANGUARD EXTENDED MF Closed and MF Open 922908652 347 5287 SH SOLE 0 0 5287 VANGUARD FINANCIALS MF Closed and MF Open 92204A405 229 3313 SH SOLE 0 0 3313 VANGUARD FSTE MF Closed and MF Open 922042858 1248 38946 SH SOLE 0 0 38946 VANGUARD FTSE MF Closed and MF Open 921943858 1347 77684 SH SOLE 0 0 77684 VANGUARD FTSE MF Closed and MF Open 922042874 673 12262 SH SOLE 0 0 12262 VANGUARD FTSE MF Closed and MF Open 922042718 285 2645 SH OTR 4,6 0 0 2645 VANGUARD GROWTH MF Closed and MF Open 922908736 8839 57396 SH OTR 4,6 0 0 57396 VANGUARD HIGH MF Closed and MF Open 921946406 5470 65729 SH SOLE 0 0 65729 VANGUARD INFORMATION MF Closed and MF Open 92204A702 503 2383 SH SOLE 0 0 2383 VANGUARD INTERMEDIATE MF Closed and MF Open 921937819 825 10787 SH SOLE 0 0 10787 VANGUARD INTERMEDIATE MF Closed and MF Open 92206C870 8898 99033 SH SOLE 0 0 99033 VANGUARD LARGE MF Closed and MF Open 922908637 2364 17546 SH SOLE 0 0 17546 VANGUARD LONG MF Closed and MF Open 921937793 238 3245 SH SOLE 0 0 3245 VANGUARD LONG MF Closed and MF Open 92206C813 11555 124441 SH SOLE 0 0 124441 VANGUARD MID MF Closed and MF Open 922908629 958 5723 SH SOLE 0 0 5723 VANGUARD MID MF Closed and MF Open 922908512 382 3366 SH SOLE 0 0 3366 VANGUARD MORTGAGE MF Closed and MF Open 92206C771 356 8654 SH SOLE 0 0 8654 VANGUARD REAL MF Closed and MF Open 922908553 1166 13182 SH OTR 4,6 0 0 13182 VANGUARD S&P MF Closed and MF Open 922908363 3046 16916 SH SOLE 0 0 16916 VANGUARD SHORT MF Closed and MF Open 921937827 1264 18910 SH SOLE 0 0 18910 VANGUARD SHORT MF Closed and MF Open 92206C409 275 3342 SH SOLE 0 0 3342 VANGUARD SMALL MF Closed and MF Open 922908751 3926 25095 SH SOLE 0 0 25095 VANGUARD SMALL MF Closed and MF Open 922908595 532 2785 SH OTR 4,6 0 0 2785 VANGUARD SMALL MF Closed and MF Open 922908611 876 6636 SH OTR 6 0 0 6636 VANGUARD TOTAL MF Closed and MF Open 921937835 10134 124837 SH SOLE 0 0 124837 VANGUARD TOTAL MF Closed and MF Open 92203J407 619 18789 SH OTR 10 0 0 18789 VANGUARD TOTAL MF Closed and MF Open 922042742 1423 18932 SH SOLE 0 0 18932 VANGUARD TOTAL MF Closed and MF Open 922908769 19702 132081 SH SOLE 0 0 132081 VANGUARD TOTAL MF Closed and MF Open 921909768 406 8451 SH SOLE 0 0 8451 VANGUARD VALUE MF Closed and MF Open 922908744 3667 33756 SH OTR 4,6 0 0 33756 VENTAS INC Common Stock 92276F100 234 3421 SH OTR 7,8,11,16 0 0 3421 VEREIT INC Common Stock 92339V100 644 70260 SH SOLE 0 0 70260 VERIZON COMMUNICATIONS Common Stock 92343V104 2774 49920 SH OTR 4,7,8,11,12,14,16 0 0 49920 VERTEX PHARMACEUTICALS Common Stock 92532F100 314 1710 SH OTR 4,10,11,12 0 0 1710 VICTORYSHARES DEVELOPED MF Closed and MF Open 92647N816 1470 45849 SH SOLE 0 0 45849 VICTORYSHARES U S MF Closed and MF Open 92647N824 12129 271609 SH SOLE 0 0 271609 VICTORYSHARES US MF Closed and MF Open 92647N766 363 6924 SH SOLE 0 0 6924 VICTORYSHARES US MF Closed and MF Open 92647N782 11320 235940 SH SOLE 0 0 235940 VICTORYSHARES US MF Closed and MF Open 92647N774 1195 31627 SH SOLE 0 0 31627 VISA INC Common Stock 92826C839 2371 14151 SH OTR 4,10,11,12,13 0 0 14151 W P CAREY Common Stock 92936U109 299 3685 SH SOLE 0 0 3685 WALMART INC Common Stock 931142103 585 5293 SH OTR 1,4,11,12,16 0 0 5293 WALT DISNEY Common Stock 254687106 1605 12779 SH OTR 4,11,12 0 0 12779 WELLS FARGO Common Stock 949746101 661 14329 SH OTR 2,5,9,11,12,14,15,16 0 0 14329 WISDOMTREE JAPAN MF Closed and MF Open 97717W851 978 20081 SH SOLE 0 0 20081 WISDOMTREE TRUST MF Closed and MF Open 97717X669 205 4697 SH SOLE 0 0 4697 WISDOMTREE TRUST MF Closed and MF Open 97717X701 683 10327 SH SOLE 0 0 10327 X TRACKERS MF Closed and MF Open 233051200 449 14215 SH SOLE 0 0 14215 XILINX INC Common Stock 983919101 332 2816 SH OTR 4,12 0 0 2816 ZOETIS INC Common Stock 98978V103 562 4951 SH OTR 4,11,12,13 0 0 4951