0001743413-19-000005.txt : 20191105 0001743413-19-000005.hdr.sgml : 20191105 20191105091057 ACCESSION NUMBER: 0001743413-19-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 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: 191191931 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 09-30-2019 09-30-2019 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 1 165 289265 false 1 Gilman Hill INFORMATION TABLE 2 13F-PWPQ32019.xml 3M CO COM Stock 88579Y101 560 3405 SH SOLE 0 0 3404 ABBOTT LABS COM Stock 002824100 263 3145 SH SOLE 0 0 3145 ABBVIE INC COM Stock 00287Y109 244 3222 SH DFND 1 0 2077 1145 ADOBE INC COM Stock 00724F101 240 867 SH SOLE 0 0 867 ALLSTATE CORP COM Stock 020002101 2725 25073 SH SOLE 0 0 25073 ALLY FINL INC COM Stock 02005N100 424 12800 SH DFND 1 0 9300 3500 ALPHABET INC CAP STK CL A Stock 02079K305 3245 2657 SH SOLE 0 0 2657 ALPHABET INC CAP STK CL C Stock 02079K107 3468 2845 SH SOLE 0 0 2845 ALTRIA GROUP INC COM Stock 02209S103 526 12854 SH SOLE 0 0 12853 AMAZON COM INC COM Stock 023135106 5479 3156 SH SOLE 0 0 3156 AMERICAN ELEC PWR CO INC COM Stock 025537101 285 3044 SH SOLE 0 0 3044 AMERICAN EXPRESS CO COM Stock 025816109 570 4819 SH DFND 1 0 2167 2652 AMERICAN INTL GROUP INC COM NEW Stock 026874784 264 4732 SH DFND 1 0 3366 1366 AMERICAN TOWER CORP NEW COM REIT 03027X100 601 2716 SH SOLE 0 0 2716 AMGEN INC COM Stock 031162100 11205 57902 SH SOLE 0 0 57902 APPLE INC COM Stock 037833100 13045 58246 SH DFND 1 0 175 58071 ARK INNOVATION ETF ETF 00214Q104 896 20889 SH SOLE 0 0 20888 AT&T INC COM Stock 00206R102 917 24224 SH DFND 1 0 7138 17086 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 240 1484 SH SOLE 0 0 1484 AVANGRID INC COM Stock 05351W103 488 9340 SH SOLE 0 0 9340 BANK AMER CORP 7.25 CNV PFD L Convertible Preferred 060505682 870 580 SH SOLE 0 0 580 BANK AMER CORP COM Stock 060505104 3456 118484 SH SOLE 0 0 118484 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 2806 9 SH SOLE 0 0 9 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 4028 19362 SH DFND 1 0 225 19137 BLACKROCK INC COM Stock 09247X101 425 953 SH SOLE 0 0 953 BLACKSTONE GROUP INC COM CL A Stock 09260D107 647 13250 SH SOLE 0 0 13250 BOEING CO COM Stock 097023105 13879 36478 SH SOLE 0 0 36477 BORGWARNER INC COM Stock 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DANAHER CORPORATION COM Stock 235851102 400 2770 SH SOLE 0 0 2770 DISNEY WALT CO COM DISNEY Stock 254687106 1604 12310 SH SOLE 0 0 12310 DOUBLELINE INCOME SOLUTIONS FD COM CEF 258622109 216 10850 SH SOLE 0 0 10850 DOW INC COM Stock 260557103 702 14732 SH DFND 1 0 2436 12296 DUNKIN BRANDS GROUP INC COM Stock 265504100 423 5325 SH DFND 1 0 3750 1575 DUPONT DE NEMOURS INC COM Stock 26614N102 947 13285 SH DFND 1 0 989 12296 EOG RES INC COM Stock 26875P101 385 5190 SH SOLE 0 0 5190 EVERSOURCE ENERGY COM Stock 30040W108 313 3662 SH SOLE 0 0 3662 EXXON MOBIL CORP COM Stock 30231G102 1399 19809 SH DFND 1 0 333 19476 FACEBOOK INC CL A Stock 30303M102 1851 10397 SH SOLE 0 0 10397 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 562 20085 SH SOLE 0 0 20085 FIRST TRUST CAPITAL STRENGTH ETF ETF 33733E104 330 5804 SH SOLE 0 0 5804 FISERV INC COM Stock 337738108 207 2000 SH SOLE 0 0 2000 FORD MTR CO DEL COM Stock 345370860 128 13930 SH DFND 1 0 10730 3200 GENERAL DYNAMICS CORP COM Stock 369550108 2546 13933 SH SOLE 0 0 13933 GENERAL ELECTRIC CO COM Stock 369604103 1269 141948 SH SOLE 0 0 141948 GENERAL MTRS CO COM Stock 37045V100 243 6475 SH DFND 1 0 2645 3830 GOLDMAN SACHS GROUP INC COM Stock 38141G104 2332 11252 SH SOLE 0 0 11252 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 353 3920 SH SOLE 0 0 3920 HOLOGIC INC COM Stock 436440101 278 5500 SH SOLE 0 0 5500 HOME DEPOT INC COM Stock 437076102 2210 9524 SH SOLE 0 0 9523 HONEYWELL INTL INC COM Stock 438516106 748 4422 SH DFND 1 0 167 4255 INTEL CORP COM Stock 458140100 6690 129833 SH SOLE 0 0 129833 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 2674 18385 SH DFND 1 0 1297 17088 INTUIT COM Stock 461202103 239 900 SH SOLE 0 0 900 INVESCO DWA MOMENTUM ETF ETF 46137V837 307 5045 SH SOLE 0 0 5045 INVESCO FTSE RAFI US 1000 ETF ETF 46137V613 2755 23378 SH SOLE 0 0 23378 INVESCO FTSE RAFI US 1500A SMALL-MIDA ETF ETF 46137V597 1230 9693 SH SOLE 0 0 9693 INVESCO INTERNATIONAL BUYBACK ACHIEVERSA ETF ETF 46138E644 330 10655 SH SOLE 0 0 10655 INVESCO PREFERRED ETF ETF 46138E511 192 12764 SH SOLE 0 0 12764 INVESCO QQQ TRUST ETF 46090E103 1324 7010 SH SOLE 0 0 7010 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 1150 10643 SH SOLE 0 0 10643 IQVIA HLDGS INC COM Stock 46266C105 287 1920 SH SOLE 0 0 1920 ISHARES COMEX GOLD TRUST ETF 464285105 451 32000 SH SOLE 0 0 32000 ISHARES CORE S&P 500 ETF ETF 464287200 541 1813 SH SOLE 0 0 1813 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 256 4000 SH SOLE 0 0 4000 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 214 2153 SH SOLE 0 0 2153 ISHARES PREFERRED AND INCOME SECURITIES ETF ETF 464288687 272 7241 SH SOLE 0 0 7241 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 290 2260 SH SOLE 0 0 2260 ISHARES S&P MIDCAP FUND ETF 464287507 642 3325 SH SOLE 0 0 3325 ISHARES S&P SMALL-CAP FUND ETF 464287804 930 11953 SH SOLE 0 0 11953 ISHARES U.S. AEROSPACE & DEFENSE ETF ETF 464288760 395 1760 SH SOLE 0 0 1760 ISHARES U.S. TECHNOLOGY ETF ETF 464287721 626 3064 SH SOLE 0 0 3064 JOHNSON & JOHNSON COM Stock 478160104 7413 57300 SH DFND 1 0 75 57225 JPMORGAN CHASE & CO COM Stock 46625H100 3943 33504 SH SOLE 0 0 33504 KIMBERLY CLARK CORP COM Stock 494368103 545 3840 SH SOLE 0 0 3840 LILLY ELI & CO COM Stock 532457108 275 2460 SH SOLE 0 0 2460 LOCKHEED MARTIN CORP COM Stock 539830109 1288 3303 SH SOLE 0 0 3302 LOWES COS INC COM Stock 548661107 951 8650 SH SOLE 0 0 8650 M & T BK CORP COM Stock 55261F104 277 1751 SH SOLE 0 0 1751 MARKEL CORP COM Stock 570535104 801 678 SH SOLE 0 0 678 MASTERCARD INC CL A Stock 57636Q104 1323 4871 SH SOLE 0 0 4871 MCDONALDS CORP COM Stock 580135101 1308 6092 SH SOLE 0 0 6092 MEDTRONIC PLC SHS Stock G5960L103 213 1960 SH SOLE 0 0 1960 MERCK & CO INC COM Stock 58933Y105 771 9164 SH SOLE 0 0 9164 MICROSOFT CORP COM Stock 594918104 4634 33332 SH DFND 1 0 375 32957 MONDELEZ INTL INC CL A Stock 609207105 306 5525 SH SOLE 0 0 5524 MORGAN STANLEY COM NEW Stock 617446448 583 13673 SH SOLE 0 0 13673 MOTOROLA SOLUTIONS INC COM NEW Stock 620076307 1461 8571 SH SOLE 0 0 8571 MSA SAFETY INC COM Stock 553498106 398 3650 SH DFND 1 0 2900 750 NETFLIX INC COM Stock 64110L106 247 924 SH SOLE 0 0 924 NEXTERA ENERGY INC COM Stock 65339F101 470 2016 SH SOLE 0 0 2016 NIKE INC CL B Stock 654106103 607 6464 SH SOLE 0 0 6464 NORFOLK SOUTHERN CORP COM Stock 655844108 1014 5645 SH SOLE 0 0 5645 NORTHROP GRUMMAN CORP COM Stock 666807102 784 2091 SH SOLE 0 0 2090 OMEGA FLEX INC COM Stock 682095104 41528 406145 SH SOLE 0 0 406145 PEPSICO INC COM Stock 713448108 664 4840 SH SOLE 0 0 4839 PFIZER INC COM Stock 717081103 7692 214071 SH DFND 1 0 2003 212068 PHILIP MORRIS INTL INC COM Stock 718172109 637 8388 SH SOLE 0 0 8387 PHILLIPS 66 COM Stock 718546104 2687 26244 SH SOLE 0 0 26244 PNC FINL SVCS GROUP INC COM Stock 693475105 586 4183 SH SOLE 0 0 4183 PROCTER & GAMBLE CO COM Stock 742718109 2578 20725 SH SOLE 0 0 20724 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 74348A467 503 7031 SH SOLE 0 0 7031 PROSPECT CAPITAL CORPORATION COM CEF 74348T102 153 23182 SH SOLE 0 0 23181 REALTY INCOME CORP COM REIT 756109104 289 3770 SH SOLE 0 0 3770 S&P GLOBAL INC COM Stock 78409V104 237 969 SH SOLE 0 0 969 SALESFORCE COM INC COM Stock 79466L302 484 3258 SH SOLE 0 0 3258 SCHLUMBERGER LTD COM Stock 806857108 214 6529 SH SOLE 1 0 2400 4129 SCHWAB U.S. REIT ETF ETF 808524847 491 10411 SH SOLE 0 0 10411 SCHWAB U.S. SMALL-CAP ETF ETF 808524607 3035 43529 SH SOLE 0 0 43528 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 1964 35847 SH SOLE 0 0 35847 SOUTHERN CO COM Stock 842587107 685 11082 SH SOLE 0 0 11082 SPDR S&P 500 ETF ETF 78462F103 1510 5088 SH DFND 1 0 65 5023 SPDR S&P AEROSPACE & DEFENSE ETF ETF 78464A631 515 4825 SH SOLE 0 0 4825 SPDR S&P DIVIDEND ETF ETF 78464A763 335 3269 SH SOLE 0 0 3269 STARBUCKS CORP COM Stock 855244109 629 7111 SH SOLE 0 0 7111 STRYKER CORP COM Stock 863667101 298 1378 SH SOLE 0 0 1378 TARGET CORP COM Stock 87612E106 254 2380 SH SOLE 0 0 2380 TE CONNECTIVITY LTD REG SHS Stock H84989104 243 2607 SH SOLE 0 0 2607 TESLA INC COM Stock 88160R101 282 1171 SH SOLE 0 0 1171 TEXAS INSTRS INC COM Stock 882508104 201 1558 SH SOLE 0 0 1558 THERMO FISHER SCIENTIFIC INC COM Stock 883556102 698 2396 SH SOLE 0 0 2396 TJX COS INC NEW COM Stock 872540109 218 3910 SH SOLE 0 0 3910 TRAVELERS COMPANIES INC COM Stock 89417E109 203 1367 SH SOLE 0 0 1367 UNION PACIFIC CORP COM Stock 907818108 429 2648 SH SOLE 0 0 2648 UNITED PARCEL SERVICE INC CL B Stock 911312106 595 4967 SH DFND 1 0 2083 2884 UNITED TECHNOLOGIES CORP COM Stock 913017109 2014 14750 SH SOLE 0 0 14750 UNITEDHEALTH GROUP INC COM Stock 91324P102 813 3741 SH SOLE 0 0 3741 US BANCORP DEL COM NEW Stock 902973304 764 13803 SH SOLE 0 0 13803 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 10075 84255 SH SOLE 0 0 84254 VANGUARD FINANCIALS INDEX FUND ETF 92204A405 3117 44523 SH SOLE 0 0 44523 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1570 39002 SH SOLE 0 0 39002 VANGUARD GROWTH INDEX FUND ETF 922908736 4496 27039 SH SOLE 0 0 27039 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 1776 10593 SH SOLE 0 0 10593 VANGUARD INFORMATION TECHNOLOGY INDEX FUND ETF 92204A702 2586 11996 SH SOLE 0 0 11996 VANGUARD INTERNATIONAL DIVIDEND APPRECIATION ETF ETF 921946810 8417 126435 SH SOLE 0 0 126435 VANGUARD MID-CAP INDEX FUND ETF 922908629 360 2145 SH SOLE 0 0 2145 VANGUARD REAL ESTATE ETF ETF 922908553 3288 35259 SH SOLE 0 0 35258 VANGUARD S&P 500 GROWTH ETF ETF 921932505 5769 35688 SH SOLE 0 0 35687 VANGUARD SHORT-TERM GOVERNMENT BOND ETF ETF 92206C102 1432 23502 SH SOLE 0 0 23502 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 6187 40204 SH SOLE 0 0 40204 VANGUARD TOTAL INTERNATIONAL STOCK ETF ETF 921909768 280 5413 SH SOLE 0 0 5413 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 2194 14528 SH SOLE 0 0 14527 VANGUARD TOTAL WORLD STOCK INDEX FUND ETF 922042742 257 3434 SH SOLE 0 0 3434 VANGUARD VALUE INDEX FUND ETF 922908744 566 5073 SH SOLE 0 0 5073 VERIZON COMMUNICATIONS INC COM Stock 92343V104 999 16546 SH DFND 1 0 6152 10394 VISA INC COM CL A 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