0001743413-19-000004.txt : 20191105 0001743413-19-000004.hdr.sgml : 20191105 20191105081158 ACCESSION NUMBER: 0001743413-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20191105 DATE AS OF CHANGE: 20191105 EFFECTIVENESS DATE: 20191105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Principle Wealth Partners LLC CENTRAL INDEX KEY: 0001743413 IRS NUMBER: 822283737 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19590 FILM NUMBER: 191191831 BUSINESS ADDRESS: STREET 1: 99 DURHAM ROAD CITY: MADISON STATE: CT ZIP: 06443 BUSINESS PHONE: 2033188892 MAIL ADDRESS: STREET 1: 99 DURHAM ROAD CITY: MADISON STATE: CT ZIP: 06443 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001743413 XXXXXXXX 06-30-2019 06-30-2019 Principle Wealth Partners LLC

99 DURHAM ROAD MADISON CT 06443

13F HOLDINGS REPORT 028-19590 N Michael Castiello (203) 318-8892 Michael Castiello Madison CT 11-05-2019 1 139 194378 false 1 Gilman Hill INFORMATION TABLE 2 13F-PWPQ22019.xml 3M CO COM Stock 88579Y101 327 1884 SH SOLE 0 0 1884 ABBOTT LABS COM Stock 002824100 272 3234 SH SOLE 0 0 3234 ABBVIE INC COM Stock 00287Y109 226 3107 SH DFND 1 0 2077 1030 ADOBE INC COM Stock 00724F101 255 867 SH SOLE 0 0 867 ALEXION PHARMACEUTICALS INC COM Stock 015351109 219 1672 SH SOLE 0 0 1672 ALLY FINL INC COM Stock 02005N100 288 9300 SH DFND 1 0 9300 0 ALPHABET INC CAP STK CL A Stock 02079K305 2721 2513 SH SOLE 0 0 2513 ALPHABET INC CAP STK CL C Stock 02079K107 2748 2542 SH SOLE 0 0 2542 ALTRIA GROUP INC COM Stock 02209S103 496 10481 SH SOLE 0 0 10481 AMAZON COM INC COM Stock 023135106 5514 2912 SH SOLE 0 0 2912 AMERICAN ELEC PWR CO INC COM Stock 025537101 248 2814 SH SOLE 0 0 2814 AMERICAN EXPRESS CO COM Stock 025816109 443 3585 SH DFND 1 0 2167 1418 AMERICAN TOWER CORP NEW COM REIT 03027X100 555 2716 SH SOLE 0 0 2716 AMGEN INC COM Stock 031162100 1583 8590 SH SOLE 0 0 8590 APPLE INC COM Stock 037833100 10131 51185 SH DFND 1 0 175 51010 ARK GENOMIC REVOLUTION ETF ETF 00214Q302 220 6395 SH SOLE 0 0 6395 ARK INNOVATION ETF ETF 00214Q104 983 20489 SH SOLE 0 0 20488 AT&T INC COM Stock 00206R102 395 11802 SH DFND 1 0 7138 4664 AVANGRID INC COM Stock 05351W103 472 9340 SH SOLE 0 0 9340 BANK AMER CORP 7.25 CNV PFD L Convertible Preferred 060505682 796 580 SH SOLE 0 0 580 BANK AMER CORP COM Stock 060505104 1652 56970 SH SOLE 0 0 56969 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 637 2 SH SOLE 0 0 2 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 3853 18077 SH DFND 1 0 225 17852 BLACKROCK INC COM Stock 09247X101 326 694 SH SOLE 0 0 694 BOEING CO COM Stock 097023105 3231 8877 SH SOLE 0 0 8876 BORGWARNER INC COM Stock 099724106 336 8000 SH SOLE 0 0 8000 CELGENE CORP COM Stock 151020104 542 5863 SH SOLE 0 0 5863 CENTURYLINK INC COM Stock 156700106 125 10615 SH DFND 1 0 10615 0 CHEVRON CORP NEW COM Stock 166764100 612 4918 SH DFND 1 0 16 4793 CISCO SYS INC COM Stock 17275R102 893 16312 SH SOLE 0 0 16312 CITIGROUP INC COM NEW Stock 172967424 206 2942 SH SOLE 0 0 2942 CME GROUP INC COM Stock 12572Q105 514 2650 SH SOLE 0 0 2650 COCA COLA CO COM Stock 191216100 543 10670 SH SOLE 0 0 10670 COSTCO WHSL CORP NEW COM Stock 22160K105 317 1200 SH SOLE 0 0 1200 CUMMINS INC COM Stock 231021106 322 1880 SH SOLE 0 0 1880 DANAHER CORPORATION COM Stock 235851102 396 2770 SH SOLE 0 0 2770 DISNEY WALT CO COM DISNEY Stock 254687106 1649 11810 SH SOLE 0 0 11810 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 203 2300 SH DFND 1 0 995 1305 DUNKIN BRANDS GROUP INC COM Stock 265504100 299 3750 SH DFND 1 0 3750 0 EOG RES INC COM Stock 26875P101 328 3522 SH SOLE 0 0 3522 EXXON MOBIL CORP COM Stock 30231G102 1164 15184 SH DFND 1 0 333 14851 FACEBOOK INC CL A Stock 30303M102 1949 10097 SH SOLE 0 0 10097 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 403 14585 SH SOLE 0 0 14585 FORD MTR CO DEL COM Stock 345370860 115 11230 SH DFND 1 0 10730 500 GENERAL DYNAMICS CORP COM Stock 369550108 2473 13603 SH SOLE 0 0 13603 GOLDMAN SACHS GROUP INC COM Stock 38141G104 1995 9751 SH SOLE 0 0 9750 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 205 2215 SH SOLE 0 0 2215 HOLOGIC INC COM Stock 436440101 264 5500 SH SOLE 0 0 5500 HOME DEPOT INC COM Stock 437076102 1548 7441 SH SOLE 0 0 7441 HONEYWELL INTL INC COM Stock 438516106 612 3505 SH DFND 1 0 167 3338 INTEL CORP COM Stock 458140100 1125 23508 SH SOLE 0 0 23508 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 593 4299 SH DFND 1 0 1297 3002 INTUIT COM Stock 461202103 235 900 SH SOLE 0 0 900 INVESCO DWA MOMENTUM ETF ETF 46137V837 304 5045 SH SOLE 0 0 5045 INVESCO FTSE RAFI US 1000 ETF ETF 46137V613 2520 21604 SH SOLE 0 0 21604 INVESCO FTSE RAFI US 1500A SMALL-MIDA ETF ETF 46137V597 1539 12056 SH SOLE 0 0 12056 INVESCO INTERNATIONAL BUYBACK ACHIEVERSA ETF ETF 46138E644 214 6720 SH SOLE 0 0 6720 INVESCO QQQ TRUST ETF 46090E103 1267 6787 SH SOLE 0 0 6787 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 755 7003 SH SOLE 0 0 7003 IQVIA HLDGS INC COM Stock 46266C105 309 1920 SH SOLE 0 0 1920 ISHARES COMEX GOLD TRUST ETF 464285105 432 32000 SH SOLE 0 0 32000 ISHARES CORE S&P 500 ETF ETF 464287200 523 1773 SH SOLE 0 0 1773 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 247 4000 SH SOLE 0 0 4000 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 235 2153 SH SOLE 0 0 2153 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 288 2260 SH SOLE 0 0 2260 ISHARES S&P MIDCAP FUND ETF 464287507 504 2593 SH SOLE 0 0 2593 ISHARES S&P SMALL-CAP FUND ETF 464287804 745 9516 SH SOLE 0 0 9516 ISHARES U.S. TECHNOLOGY ETF ETF 464287721 606 3064 SH SOLE 0 0 3064 JOHNSON & JOHNSON COM Stock 478160104 1963 14094 SH DFND 1 0 75 14019 JPMORGAN CHASE & CO COM Stock 46625H100 2900 25938 SH SOLE 0 0 25938 KIMBERLY CLARK CORP COM Stock 494368103 485 3640 SH SOLE 0 0 3640 LOCKHEED MARTIN CORP COM Stock 539830109 784 2156 SH SOLE 0 0 2156 LOWES COS INC COM Stock 548661107 873 8650 SH SOLE 0 0 8650 M & T BK CORP COM Stock 55261F104 298 1751 SH SOLE 0 0 1751 MARKEL CORP COM Stock 570535104 739 678 SH SOLE 0 0 678 MASTERCARD INC CL A Stock 57636Q104 930 3516 SH SOLE 0 0 3516 MCDONALDS CORP COM Stock 580135101 1161 5592 SH SOLE 0 0 5592 MERCK & CO INC COM Stock 58933Y105 646 7708 SH SOLE 0 0 7708 MICROSOFT CORP COM Stock 594918104 2921 21803 SH DFND 1 0 375 21428 MONDELEZ INTL INC CL A Stock 609207105 285 5279 SH SOLE 0 0 5278 MORGAN STANLEY COM NEW Stock 617446448 462 10540 SH SOLE 0 0 10540 MSA SAFETY INC COM Stock 553498106 306 2900 SH DFND 1 0 2900 0 NETFLIX INC COM Stock 64110L106 350 952 SH SOLE 0 0 952 NEXTERA ENERGY INC COM Stock 65339F101 413 2016 SH SOLE 0 0 2016 NIKE INC CL B Stock 654106103 497 5924 SH SOLE 0 0 5924 NORFOLK SOUTHERN CORP COM Stock 655844108 228 1145 SH SOLE 0 0 1145 NORTHROP GRUMMAN CORP COM Stock 666807102 567 1755 SH SOLE 0 0 1755 OMEGA FLEX INC COM Stock 682095104 31196 406145 SH SOLE 0 0 406145 PAYPAL HLDGS INC COM Stock 70450Y103 208 1813 SH SOLE 0 0 1813 PEPSICO INC COM Stock 713448108 558 4255 SH SOLE 0 0 4255 PFIZER INC COM Stock 717081103 3452 79681 SH DFND 1 0 348 79333 PHILIP MORRIS INTL INC COM Stock 718172109 493 6280 SH SOLE 0 0 6280 PHILLIPS 66 COM Stock 718546104 252 2693 SH SOLE 0 0 2693 PNC FINL SVCS GROUP INC COM Stock 693475105 610 4443 SH SOLE 0 0 4443 PROCTER & GAMBLE CO COM Stock 742718109 1976 18020 SH SOLE 0 0 18020 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 74348A467 443 6381 SH SOLE 0 0 6381 S&P GLOBAL INC COM Stock 78409V104 221 969 SH SOLE 0 0 969 SALESFORCE COM INC COM Stock 79466L302 479 3158 SH SOLE 0 0 3158 SCHWAB U.S. REIT ETF ETF 808524847 463 10411 SH SOLE 0 0 10411 SCHWAB U.S. SMALL-CAP ETF ETF 808524607 2939 41117 SH SOLE 0 0 41117 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 1400 26376 SH SOLE 0 0 26375 SOUTHERN CO COM Stock 842587107 586 10597 SH SOLE 0 0 10597 SPDR S&P 500 ETF ETF 78462F103 1371 4680 SH DFND 1 0 65 4615 SPDR S&P AEROSPACE & DEFENSE ETF ETF 78464A631 501 4825 SH SOLE 0 0 4825 SPDR S&P BIOTECH ETF ETF 78464A870 207 2360 SH SOLE 0 0 2360 SPDR S&P DIVIDEND ETF ETF 78464A763 333 3301 SH SOLE 0 0 3301 STARBUCKS CORP COM Stock 855244109 370 4411 SH SOLE 0 0 4411 STRYKER CORP COM Stock 863667101 283 1378 SH SOLE 0 0 1378 TE CONNECTIVITY LTD REG SHS Stock H84989104 250 2607 SH SOLE 0 0 2607 TESLA INC COM Stock 88160R101 239 1071 SH SOLE 0 0 1071 THERMO FISHER SCIENTIFIC INC COM Stock 883556102 776 2641 SH SOLE 0 0 2641 TJX COS INC NEW COM Stock 872540109 207 3910 SH SOLE 0 0 3910 UNITED PARCEL SERVICE INC CL B Stock 911312106 324 3133 SH DFND 1 0 2083 1050 UNITED TECHNOLOGIES CORP COM Stock 913017109 1710 13137 SH SOLE 0 0 13137 UNITEDHEALTH GROUP INC COM Stock 91324P102 786 3222 SH SOLE 0 0 3222 US BANCORP DEL COM NEW Stock 902973304 205 3920 SH SOLE 0 0 3920 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 8194 71149 SH SOLE 0 0 71149 VANGUARD ENERGY INDEX FUND ETF 92204A306 260 3057 SH SOLE 0 0 3057 VANGUARD FINANCIALS INDEX FUND ETF 92204A405 3883 56266 SH SOLE 0 0 56266 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1793 42168 SH SOLE 0 0 42168 VANGUARD GROWTH INDEX FUND ETF 922908736 3781 23143 SH SOLE 0 0 23143 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 2070 11903 SH SOLE 0 0 11903 VANGUARD INFORMATION TECHNOLOGY INDEX FUND ETF 92204A702 2644 12537 SH SOLE 0 0 12537 VANGUARD INTERNATIONAL DIVIDEND APPRECIATION ETF ETF 921946810 7605 111762 SH SOLE 0 0 111762 VANGUARD MID-CAP INDEX FUND ETF 922908629 359 2145 SH SOLE 0 0 2145 VANGUARD REAL ESTATE ETF ETF 922908553 2857 32685 SH SOLE 0 0 32685 VANGUARD S&P 500 GROWTH ETF ETF 921932505 4700 29175 SH SOLE 0 0 29175 VANGUARD SHORT-TERM GOVERNMENT BOND ETF ETF 92206C102 1638 26885 SH SOLE 0 0 26885 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 5789 36952 SH SOLE 0 0 36951 VANGUARD TOTAL INTERNATIONAL STOCK ETF ETF 921909768 240 4546 SH SOLE 0 0 4546 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 1922 12803 SH SOLE 0 0 12802 VANGUARD TOTAL WORLD STOCK INDEX FUND ETF 922042742 329 4381 SH SOLE 0 0 4381 VANGUARD VALUE INDEX FUND ETF 922908744 506 4559 SH SOLE 0 0 4559 VERIZON COMMUNICATIONS INC COM Stock 92343V104 520 9102 SH DFND 1 0 6152 2950 VISA INC COM CL A Stock 92826C839 4768 27476 SH SOLE 0 0 27476 WASHINGTON TR BANCORP COM Stock 940610108 564 10814 SH SOLE 0 0 10814 WELLS FARGO CO NEW COM Stock 949746101 403 8515 SH SOLE 0 0 8515 WELLS FARGO CO NEW PERP PFD CNV A Convertible Preferred 949746804 690 506 SH SOLE 0 0 506 WESTERN ASSET HGH YLD DFNDFD COM CEF 95768B107 172 11464 SH SOLE 0 0 11464