0001415889-23-011316.txt : 20230719 0001415889-23-011316.hdr.sgml : 20230719 20230719160101 ACCESSION NUMBER: 0001415889-23-011316 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230719 DATE AS OF CHANGE: 20230719 EFFECTIVENESS DATE: 20230719 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 IRS NUMBER: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22901 FILM NUMBER: 231096692 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INC DATE OF NAME CHANGE: 20100708 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000702007 XXXXXXXX 06-30-2023 06-30-2023 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

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0 644 S&P500 EQL WGT 46137V357 7632 51 SH SOLE 0 0 51 SOLAR ETF 46138G706 4285 60 SH SOLE 0 0 60 TAXABLE MUN BD 46138G805 11948 450 SH SOLE 0 0 450 WATER RES ETF 46137V142 5075 90 SH SOLE 0 0 90 COM 461804106 426758 2923 SH SOLE 0 0 2923 COM 44980X109 1222 9 SH SOLE 0 0 9 COM 46266C105 4720 21 SH SOLE 0 0 21 COM 46284V101 2841 50 SH SOLE 0 0 50 0-5YR HI YL CP 46434V407 7834 189 SH SOLE 0 0 189 0-5YR INVT GR CP 46434V100 3616 75 SH SOLE 0 0 75 10+ YR INVST GRD 464289511 4743 92 SH SOLE 0 0 92 10-20 YR TRS ETF 464288653 10523 95 SH SOLE 0 0 95 1 3 YR TREAS BD 464287457 287996 3552 SH SOLE 0 0 3552 ISHS 1-5YR INVS 464288646 43999 877 SH SOLE 0 0 877 20 YR TR BD ETF 464287432 323657 3144 SH SOLE 0 0 3144 3 7 YR TREAS BD 464288661 173927 1509 SH SOLE 0 0 1509 ISHS 5-10YR INVT 464288638 21998 435 SH SOLE 0 0 435 7-10 YR TRSY BD 464287440 101623 1052 SH SOLE 0 0 1052 ISHARES BIOTECH 464287556 298483 2351 SH SOLE 0 0 2351 BROAD USD HIGH 46435U853 7872 223 SH SOLE 0 0 223 COHEN STEER REIT 464287564 16115 290 SH SOLE 0 0 290 CORE HIGH DV ETF 46429B663 35881 356 SH SOLE 0 0 356 CORE MSCI EAFE 46432F842 55418 821 SH SOLE 0 0 821 CORE MSCI EMKT 46434G103 12569 255 SH SOLE 0 0 255 CORE S&P500 ETF 464287200 1914770 4296 SH SOLE 0 0 4296 CORE S&P MCP ETF 464287507 11505 44 SH SOLE 0 0 44 CORE S&P SCP ETF 464287804 5182 52 SH SOLE 0 0 52 CORE S&P TTL STK 464287150 45006 460 SH SOLE 0 0 460 CORE S&P US GWT 464287671 11522 118 SH SOLE 0 0 118 CORE S&P US VLU 464287663 22226 284 SH SOLE 0 0 284 CORE US AGGBD ET 464287226 88155 900 SH SOLE 0 0 900 EXPND TEC SC ETF 464287549 960174 2444 SH SOLE 0 0 2444 GLOBAL ENERG ETF 464287341 7258 195 SH SOLE 0 0 195 GLOBAL REIT ETF 46434V647 3285 143 SH SOLE 0 0 143 ISHARES NEW 464285204 100254 2755 SH SOLE 0 0 2755 IBOXX HI YD ETF 464288513 51273 683 SH SOLE 0 0 683 IBOXX INV CP ETF 464287242 131931 1220 SH SOLE 0 0 1220 INTRM GOV CR ETF 464288612 17493 170 SH SOLE 0 0 170 MBS ETF 464288588 65938 707 SH SOLE 0 0 707 MSCI ACWI ETF 464288257 26384 275 SH SOLE 0 0 275 MSCI AC ASIA ETF 464288182 365221 5497 SH SOLE 0 0 5497 MSCI AUST ETF 464286103 6179 274 SH SOLE 0 0 274 MSCI BELGIUM ETF 464286301 2481 140 SH SOLE 0 0 140 MSCI CDA ETF 464286509 10532 301 SH SOLE 0 0 301 MSCI EAFE ETF 464287465 14138 195 SH SOLE 0 0 195 EAFE SML CP ETF 464288273 295 5 SH SOLE 0 0 5 EAFE VALUE ETF 464288877 245 5 SH SOLE 0 0 5 MSCI EM ASIA ETF 464286426 5980 91 SH SOLE 0 0 91 MSCI EMG MKT ETF 464287234 13213 334 SH SOLE 0 0 334 MSCI EMRG CHN 46434G764 6446 124 SH SOLE 0 0 124 MSCI EURZONE ETF 464286608 21444 468 SH SOLE 0 0 468 MSCI GERMANY ETF 464286806 46312 1621 SH SOLE 0 0 1621 MSCI GBL MIN VOL 464286525 15885 162 SH SOLE 0 0 162 MSCI SWITZERLAND 464286749 6469 140 SH SOLE 0 0 140 MSCI TAIWAN ETF 46434G772 11520 245 SH SOLE 0 0 245 MSCI UK ETF NEW 46435G334 20025 619 SH SOLE 0 0 619 MSCI USA ESG SLC 464288802 2060 22 SH SOLE 0 0 22 MSCI USA MIN VOL 46429B697 39321 529 SH SOLE 0 0 529 PFD AND INCM SEC 464288687 42838 1385 SH SOLE 0 0 1385 RUS 1000 GRW ETF 464287614 96313 350 SH SOLE 0 0 350 RUS 1000 VAL ETF 464287598 121529 770 SH SOLE 0 0 770 RUSSELL 2000 ETF 464287655 107306 573 SH SOLE 0 0 573 RUS 2000 GRW ETF 464287648 8008 33 SH SOLE 0 0 33 RUS 2000 VAL ETF 464287630 6758 48 SH SOLE 0 0 48 RUS MID CAP ETF 464287499 352881 4832 SH SOLE 0 0 4832 RUS MD CP GR ETF 464287481 9856 102 SH SOLE 0 0 102 RUS BDCP VAL ETF 464287473 7140 65 SH SOLE 0 0 65 SP SMCP600VL ETF 464287879 9699 102 SH SOLE 0 0 102 SELECT DIVID ETF 464287168 33990 300 SH SOLE 0 0 300 ISHARES 46428Q109 3342 160 SH SOLE 0 0 160 TIPS BD ETF 464287176 23892 222 SH SOLE 0 0 222 TRS FLT RT BD 46434V860 28882 570 SH SOLE 0 0 570 US AER DEF ETF 464288760 46668 400 SH SOLE 0 0 400 U.S. BAS MTL ETF 464287838 23949 180 SH SOLE 0 0 180 US CONSM STAPLES 464287812 54679 273 SH SOLE 0 0 273 U.S. ENERGY ETF 464287796 34272 800 SH SOLE 0 0 800 U.S. FINLS ETF 464287788 47825 641 SH SOLE 0 0 641 US HLTHCARE ETF 464287762 253348 904 SH SOLE 0 0 904 US INDUSTRIALS 464287754 21208 200 SH SOLE 0 0 200 US OIL GS EX ETF 464288851 16986 200 SH SOLE 0 0 200 U.S. REAL ES ETF 464287739 14366 166 SH SOLE 0 0 166 CLO ETF 47103U845 18744 376 SH SOLE 0 0 376 COM NEW 47733C207 18469 4200 SH SOLE 0 0 4200 COM 478160104 890167 5378 SH SOLE 0 0 5378 SHS G51502105 47017 690 SH SOLE 0 0 690 COM 48020Q107 1558 10 SH SOLE 0 0 10 BETABULDRS JAPAN 46641Q217 11442 222 SH SOLE 0 0 222 COM 46625H100 1395351 9594 SH SOLE 0 0 9594 EQUITY PREMIUM 46641Q332 25064 453 SH SOLE 0 0 453 COM 486606106 1508554 185326 SH SOLE 0 0 185326 COM 48242W106 65060 1000 SH SOLE 0 0 1000 COM 487836108 292920 4346 SH SOLE 0 0 4346 COM 493267108 167438 18121 SH SOLE 0 0 18121 COM 49338L103 951283 5681 SH SOLE 0 0 5681 COM 494368103 484038 3506 SH SOLE 0 0 3506 COM 49446R109 3274 166 SH SOLE 0 0 166 COM 49456B101 184237 10699 SH SOLE 0 0 10699 NEW CL A 02215L209 3126501 88973 SH SOLE 0 0 88973 COMMON STOCK 498894104 16008 368 SH SOLE 0 0 368 SHS NEW 500472303 29908 1379 SH SOLE 0 0 1379 COM 500754106 12141 342 SH SOLE 0 0 342 COM NEW 50077B207 100380 7000 SH SOLE 0 0 7000 COMMON STOCK 50155Q100 15949 1201 SH SOLE 0 0 1201 COM 502431109 28191 144 SH SOLE 0 0 144 COM 512807108 172286 268 SH SOLE 0 0 268 COM 513272104 22990 200 SH SOLE 0 0 200 CL A 518439104 4124 21 SH SOLE 0 0 21 COM NEW 52187K200 13 4 SH SOLE 0 0 4 COM 526107107 3261 10 SH SOLE 0 0 10 COM 50186A108 272724 57295 SH SOLE 0 0 57295 COM SER C 530307305 14340 179 SH SOLE 0 0 179 COM SER C FRMLA 531229854 12873 171 SH SOLE 0 0 171 COM 532457108 71285 152 SH SOLE 0 0 152 COM 532746104 840 54 SH SOLE 0 0 54 COM 534187109 927 36 SH SOLE 0 0 36 NEW COM NEW 53630X203 2374 471 SH SOLE 0 0 471 COM 538034109 3644 40 SH SOLE 0 0 40 COM 55003T107 19 5 SH SOLE 0 0 5 COM 539830109 743974 1616 SH SOLE 0 0 1616 COM 548661107 374436 1659 SH SOLE 0 0 1659 COM 549498103 6890 1000 SH SOLE 0 0 1000 COM 550241103 434 192 SH SOLE 0 0 192 COM 55024U109 170 3 SH SOLE 0 0 3 COM 550550107 2230 250 SH SOLE 0 0 250 SHS - A - N53745100 2204 24 SH SOLE 0 0 24 COM UNIT RP LP 559080106 469581 7535 SH SOLE 0 0 7535 COM 56064Y100 199816 8818 SH SOLE 0 0 8818 COM 563420108 945064 173725 SH SOLE 0 0 173725 COM 56501R106 2610 138 SH SOLE 0 0 138 COM 565849106 7758 337 SH SOLE 0 0 337 COM 56585A102 39527 339 SH SOLE 0 0 339 NEW CL A 571903202 36738 200 SH SOLE 0 0 200 COM 57164Y107 2086 17 SH SOLE 0 0 17 COM 571748102 76737 408 SH SOLE 0 0 408 COM 573874104 294656 4929 SH SOLE 0 0 4929 COM 575385109 2561 25 SH SOLE 0 0 25 CL A 57636Q104 358690 912 SH SOLE 0 0 912 COM 577081102 33023 1690 SH SOLE 0 0 1690 COM 580135101 1187970 3981 SH SOLE 0 0 3981 COM 58155Q103 6410 15 SH SOLE 0 0 15 COM 552690109 30887 1475 SH SOLE 0 0 1475 COM 58463J304 9260 1000 SH SOLE 0 0 1000 SHS G5960L103 306500 3479 SH SOLE 0 0 3479 COM 58733R102 1185 1 SH SOLE 0 0 1 COM 58933Y105 1076127 9326 SH SOLE 0 0 9326 CL A 30303M102 959374 3343 SH SOLE 0 0 3343 COM 59151K108 1034 25 SH SOLE 0 0 25 COM 59156R108 84173 1489 SH SOLE 0 0 1489 COM 552953101 39967 910 SH SOLE 0 0 910 COM 595017104 3404 38 SH SOLE 0 0 38 COM 595112103 35026 555 SH SOLE 0 0 555 COM 594918104 3764584 11055 SH SOLE 0 0 11055 SPONSORED ADS 606822104 4488 609 SH SOLE 0 0 609 COM 607828100 798159 24172 SH SOLE 0 0 24172 CL B 60871R209 21530 327 SH SOLE 0 0 327 CL A 609207105 135668 1860 SH SOLE 0 0 1860 COM NEW 617446448 82753 969 SH SOLE 0 0 969 COM CL A 553368101 3432 150 SH SOLE 0 0 150 COM 553498106 6244990 35899 SH SOLE 0 0 35899 COM 55380K109 34776 3133 SH SOLE 0 0 3133 COM 631103108 149550 3000 SH SOLE 0 0 3000 CL A 638517102 997344 2400 SH SOLE 0 0 2400 COM NEW 638842302 3308717 459544 SH SOLE 0 0 459544 NEW COM 62886E108 504 20 SH SOLE 0 0 20 COM 640491106 131153 6030 SH SOLE 0 0 6030 COM 64110D104 57147 748 SH SOLE 0 0 748 COM 64110L106 31715 72 SH SOLE 0 0 72 COM 64128C106 502339 67068 SH SOLE 0 0 67068 DEPOSITORY RCPT 644206104 2476529 33939 SH SOLE 0 0 33939 COM 651639106 29094 682 SH SOLE 0 0 682 COM NEW 65340G205 421160 33639 SH SOLE 0 0 33639 COM 65341D102 3002 66 SH SOLE 0 0 66 COM 65339F101 317576 4280 SH SOLE 0 0 4280 COM 65342T106 3713 250 SH SOLE 0 0 250 COM NEW 65373J209 803480 160696 SH SOLE 0 0 160696 COM 65406E102 76670 1129 SH SOLE 0 0 1129 CL B 654106103 291708 2643 SH SOLE 0 0 2643 COM 65473P105 27350 1000 SH SOLE 0 0 1000 SHS G6564A105 21409 1222 SH SOLE 0 0 1222 COM 655844108 408168 1800 SH SOLE 0 0 1800 COM 664121100 148800 10000 SH SOLE 0 0 10000 COM 666762109 486394 12367 SH SOLE 0 0 12367 COM 666807102 23702 52 SH SOLE 0 0 52 COM NEW 670002401 186 25 SH SOLE 0 0 25 ADR 670100205 17963 111 SH SOLE 0 0 111 COM 670346105 403227 2459 SH SOLE 0 0 2459 COM 67058H102 12615 736 SH SOLE 0 0 736 COM 67077M108 40685 689 SH SOLE 0 0 689 COM STK 67062C107 9405 1100 SH SOLE 0 0 1100 COM 67072T108 20183 2558 SH SOLE 0 0 2558 COM 67072C105 218541 34254 SH SOLE 0 0 34254 COM 67066G104 214260 507 SH SOLE 0 0 507 COM 62944T105 6351 1 SH SOLE 0 0 1 COM N6596X109 2047 10 SH SOLE 0 0 10 COM 671807105 25 1 SH SOLE 0 0 1 COM 674599105 46333 788 SH SOLE 0 0 788 *W EXP 08/03/202 674599162 1157 31 SH SOLE 0 0 31 COM 675234108 124398 7964 SH SOLE 0 0 7964 SHS BEN INT 67623C109 41865 5437 SH SOLE 0 0 5437 COM 679580100 4437 12 SH SOLE 0 0 12 COM 680033107 783038 56172 SH SOLE 0 0 56172 COM 680223104 163605 6500 SH SOLE 0 0 6500 COM 681919106 6470 68 SH SOLE 0 0 68 COM 682189105 11444 121 SH SOLE 0 0 121 NEW COM 682680103 241449 3912 SH SOLE 0 0 3912 COM 68389X105 83006 697 SH SOLE 0 0 697 COMMON STOCK 68622V106 15524 746 SH SOLE 0 0 746 COM 68629Y103 3444 521 SH SOLE 0 0 521 COM 688239201 2165 25 SH SOLE 0 0 25 COM 68902V107 121944 1370 SH SOLE 0 0 1370 COM 69047Q102 55202 1450 SH SOLE 0 0 1450 NEW COM 690732102 7616 400 SH SOLE 0 0 400 COM 693718108 18821 225 SH SOLE 0 0 225 PAC ASSET FLTG 69374H428 1839 40 SH SOLE 0 0 40 US CASH COWS 100 69374H881 12207 255 SH SOLE 0 0 255 COM 697435105 105526 413 SH SOLE 0 0 413 COM 698813102 6645 90 SH SOLE 0 0 90 COM 92556H206 15576 979 SH SOLE 0 0 979 COM 70014A104 4554 330 SH SOLE 0 0 330 COM 700885106 1724536 101503 SH SOLE 0 0 101503 COM 70319R109 214300 15373 SH SOLE 0 0 15373 COM NEW 70336F203 1189888 151001 SH SOLE 0 0 151001 COM 70450Y103 19685 295 SH SOLE 0 0 295 COM 70805E109 614 50 SH SOLE 0 0 50 COM 713448108 1864181 10065 SH SOLE 0 0 10065 COM 714167103 2263922 238057 SH SOLE 0 0 238057 COM 717081103 2546692 69430 SH SOLE 0 0 69430 COM 69331C108 211766 12255 SH SOLE 0 0 12255 COM NEW 71715X104 6 2 SH SOLE 0 0 2 COM 718172109 292177 2993 SH SOLE 0 0 2993 COM 718546104 149174 1564 SH SOLE 0 0 1564 ACTIVE BD ETF 72201R775 945335 10318 SH SOLE 0 0 10318 COM 72200M108 17850 3000 SH SOLE 0 0 3000 SHS 72201Y101 24169 1289 SH SOLE 0 0 1289 ENHNCD LW DUR AC 72201R718 579882 6186 SH SOLE 0 0 6186 CL A 72352L106 273 10 SH SOLE 0 0 10 COM 724479100 2655 750 SH SOLE 0 0 750 UNIT LTD PARTN 726503105 153803 10908 SH SOLE 0 0 10908 COM 729273102 28552 800 SH SOLE 0 0 800 COM 693475105 156556 1243 SH SOLE 0 0 1243 COM 73278L105 749 2 SH SOLE 0 0 2 COM 73933H101 902 550 SH SOLE 0 0 550 COM 69351T106 979 37 SH SOLE 0 0 37 CL A 74051N102 996 36 SH SOLE 0 0 36 COM 74144T108 26661 238 SH SOLE 0 0 238 COM 742718109 783889 5166 SH SOLE 0 0 5166 COM NPV 74319R101 257 8 SH SOLE 0 0 8 COM 743315103 12310 93 SH SOLE 0 0 93 COM 74340W103 2453 20 SH SOLE 0 0 20 LARGE CAP CRE 74347R248 180118 3530 SH SOLE 0 0 3530 MSCI EMRG MKTS 74347B847 1395 30 SH SOLE 0 0 30 MSCI EUR DIV 74347B540 41864 938 SH SOLE 0 0 938 RUSS 2000 DIVD 74347B698 75640 1279 SH SOLE 0 0 1279 S&P 500 DV ARIST 74348A467 104179 1105 SH SOLE 0 0 1105 S&P MDCP 400 DIV 74347B680 125502 1786 SH SOLE 0 0 1786 COM 744320102 202200 2292 SH SOLE 0 0 2292 COM NEW 744375205 2631 577 SH SOLE 0 0 577 COM 74460D109 30064 103 SH SOLE 0 0 103 COM 745867101 5360 69 SH SOLE 0 0 69 COM 74736K101 3163 31 SH SOLE 0 0 31 COM 747525103 563330 4732 SH SOLE 0 0 4732 COM 74762E102 1965 10 SH SOLE 0 0 10 COM CL A 74767V109 8989 1125 SH SOLE 0 0 1125 COM 75508B104 19260 4500 SH SOLE 0 0 4500 COM 754907103 14130 450 SH SOLE 0 0 450 COM 75513E101 340803 3479 SH SOLE 0 0 3479 CL A 755408101 2650 1000 SH SOLE 0 0 1000 COM 756109104 888360 14858 SH SOLE 0 0 14858 COM 758075402 11020 1730 SH SOLE 0 0 1730 SPONSORED ADR 759530108 3811 114 SH SOLE 0 0 114 COM 760416107 1297 1441 SH SOLE 0 0 1441 COM 76118Y104 14711 833 SH SOLE 0 0 833 COM 76131D103 205506 2651 SH SOLE 0 0 2651 SPONSORED ADR 767204100 2554 40 SH SOLE 0 0 40 COM 767754872 11 7 SH SOLE 0 0 7 COM 769397100 93240 18500 SH SOLE 0 0 18500 COM CL A 76954A103 5031 302 SH SOLE 0 0 302 CUM CONV PFD A 74965L200 86724 3600 SH SOLE 0 0 3600 CL A 74967R106 111146 4797 SH SOLE 0 0 4797 CL A 771049103 282 7 SH SOLE 0 0 7 COM 773903109 2965 9 SH SOLE 0 0 9 COM CL A 77543R102 7675 120 SH SOLE 0 0 120 COM 775711104 428 10 SH SOLE 0 0 10 COM 776696106 4808 10 SH SOLE 0 0 10 COM 778296103 2691 24 SH SOLE 0 0 24 ROUNDHILL BALL 53656F417 25846 2490 SH SOLE 0 0 2490 COM 780087102 37726 395 SH SOLE 0 0 395 COM 780287108 2296 20 SH SOLE 0 0 20 COM 79466L302 41196 195 SH SOLE 0 0 195 SPONSORED ADR 80105N105 4851 90 SH SOLE 0 0 90 COM STK 806857108 302088 6150 SH SOLE 0 0 6150 COM 808513105 26526 468 SH SOLE 0 0 468 US REIT ETF 808524847 2344 120 SH SOLE 0 0 120 COM 808625107 675 6 SH SOLE 0 0 6 CL A 810186106 752 12 SH SOLE 0 0 12 NEW COM 81211K100 13840 346 SH SOLE 0 0 346 COM 816851109 4804 33 SH SOLE 0 0 33 NEW CL A 817070501 10490 321 SH SOLE 0 0 321 COM 817565104 3294 51 SH SOLE 0 0 51 COM 81762P102 3372 6 SH SOLE 0 0 6 SPON ADS 780259305 86887 1439 SH SOLE 0 0 1439 COM 82489T104 2854 10 SH SOLE 0 0 10 SPONSORED ADR 82706C108 2300 32 SH SOLE 0 0 32 CL A 82837P408 87500 125000 SH SOLE 0 0 125000 NEW COM 828806109 41111 356 SH SOLE 0 0 356 COM NEW 83190L208 611551 28431 SH SOLE 0 0 28431 COM 832156103 433003 18410 SH SOLE 0 0 18410 CL A 83304A106 1184 100 SH SOLE 0 0 100 COM 833034101 2306 8 SH SOLE 0 0 8 CL A 833445109 4400 25 SH SOLE 0 0 25 CLASS A COM 83422N105 3810 1500 SH SOLE 0 0 1500 COM 83600C103 2485 1315 SH SOLE 0 0 1315 COM 842587107 78259 1114 SH SOLE 0 0 1114 COM 843878307 516823 24494 SH SOLE 0 0 24494 COM 844741108 50803 1403 SH SOLE 0 0 1403 BLOOMBERG 1-3 MO 78468R663 23139 252 SH SOLE 0 0 252 BBG CONV SEC ETF 78464A359 10493 150 SH SOLE 0 0 150 BLOOMBERG INVT 78468R200 17217 561 SH SOLE 0 0 561 SPDR TR TACTIC 78467V848 16707 412 SH SOLE 0 0 412 GOLD SHS 78463V107 62038 348 SH SOLE 0 0 348 ICE PFD SEC ETF 78464A292 4619 138 SH SOLE 0 0 138 SPDR MSCI USA GE 78468R747 1585 18 SH SOLE 0 0 18 NUVEEN BLOOMBERG 78464A284 3501 140 SH SOLE 0 0 140 PORTFOLIO DEVLPD 78463X889 18320 563 SH SOLE 0 0 563 COMPOSITE STOCK MARKET ETF 78464A805 16550 304 SH SOLE 0 0 304 PORTFOLIO S&P400 78464A847 1101 24 SH SOLE 0 0 24 PORTFOLIO S&P500 78464A854 37623 722 SH SOLE 0 0 722 PORTFLO S&P500 GW 78464A409 61010 1000 SH SOLE 0 0 1000 PRTFLO S&P500 HI 78468R788 12718 343 SH SOLE 0 0 343 PORTFOLIO S&P500 78468R853 26683 687 SH SOLE 0 0 687 PORTFOLIO SHORT 78464A474 16987 577 SH SOLE 0 0 577 TR UNIT 78462F103 122345 276 SH SOLE 0 0 276 S&P BK ETF 78464A797 17100 475 SH SOLE 0 0 475 S&P BIOTECH 78464A870 4410 53 SH SOLE 0 0 53 S&P DIVID ETF 78464A763 131774 1075 SH SOLE 0 0 1075 S&P METALS MNG 78464A755 44518 876 SH SOLE 0 0 876 UTSER1 S&PDCRP 78467Y107 3352 7 SH SOLE 0 0 7 COM 848637104 2016 19 SH SOLE 0 0 19 COM NEW 852066208 11340 350 SH SOLE 0 0 350 TR UNIT 85208R101 91902 5100 SH SOLE 0 0 5100 TR UNIT 85207K107 80237 10300 SH SOLE 0 0 10300 COM 85209E109 2150 1000 SH SOLE 0 0 1000 COM 101507101 186504 14044 SH SOLE 0 0 14044 COM CL A 85256A109 511189 70900 SH SOLE 0 0 70900 COM 854502101 72906 778 SH SOLE 0 0 778 COM 855244109 909238 9179 SH SOLE 0 0 9179 CL A 855668109 2090 200 SH SOLE 0 0 200 COM 85569C107 3650 1250 SH SOLE 0 0 1250 COM 85571B105 2367 122 SH SOLE 0 0 122 COM 857477103 387854 5300 SH SOLE 0 0 5300 LTD PRTRSHIP U 85814R107 423273 8911 SH SOLE 0 0 8911 COM 858912108 929 20 SH SOLE 0 0 20 COM 863667101 5187 17 SH SOLE 0 0 17 COM 864159108 426646 8056 SH SOLE 0 0 8056 COM 866264203 2996615 198320 SH SOLE 0 0 198320 COM 866674104 783 6 SH SOLE 0 0 6 COM 867652406 5880 600 SH SOLE 0 0 600 NEW COM 867892101 161920 16000 SH SOLE 0 0 16000 COMMON STOCK 871332102 16463 407 SH SOLE 0 0 407 CL A 87166B102 1138 27 SH SOLE 0 0 27 COM 871829107 7420 100 SH SOLE 0 0 100 SPONSORED ADS 874039100 9890 98 SH SOLE 0 0 98 COM 87612E106 95364 723 SH SOLE 0 0 723 SPONSORED ADR 876568502 0 100 SH SOLE 0 0 100 COM 87807B107 4364 108 SH SOLE 0 0 108 SHS H84989104 3784 27 SH SOLE 0 0 27 COM G87110105 1363 82 SH SOLE 0 0 82 TECHNOLOGY 81369Y803 250358 1440 SH SOLE 0 0 1440 CL B 878742204 27197 646 SH SOLE 0 0 646 COM 879360105 2878 7 SH SOLE 0 0 7 ADR 87936R205 1844 202 SH SOLE 0 0 202 COM 88076W103 7477 140 SH SOLE 0 0 140 COM 88160R101 44763 171 SH SOLE 0 0 171 COM 882508104 162198 901 SH SOLE 0 0 901 COMPANY INC COM 00258W108 57 4 SH SOLE 0 0 4 COM 125523100 91195 325 SH SOLE 0 0 325 COM CL A 88339J105 1931 25 SH SOLE 0 0 25 COM 883556102 43305 83 SH SOLE 0 0 83 COM 88677Q109 83100 15000 SH SOLE 0 0 15000 COM 88688T100 1875 1202 SH SOLE 0 0 1202 COM NEW 888314606 1 2 SH SOLE 0 0 2 NEW COM 872540109 4918 58 SH SOLE 0 0 58 COM 872590104 29169 210 SH SOLE 0 0 210 COM NEW 891160509 49174 793 SH SOLE 0 0 793 SPONSORED ADS 89151E109 6398 111 SH SOLE 0 0 111 ADS 892331307 19612 122 SH SOLE 0 0 122 COM 892356106 22110 100 SH SOLE 0 0 100 SHS G8994E103 4782 25 SH SOLE 0 0 25 COM NEW 893617209 183150 5000 SH SOLE 0 0 5000 SHS H8817H100 785 112 SH SOLE 0 0 112 COMPANIES INC COM 89417E109 215686 1242 SH SOLE 0 0 1242 COM 896095106 90271 2719 SH SOLE 0 0 2719 COM 89832Q109 70503 2323 SH SOLE 0 0 2323 COM 90353T100 29140 675 SH SOLE 0 0 675 COM 90278Q108 97050 1000 SH SOLE 0 0 1000 CL A 90364P105 139155 8398 SH SOLE 0 0 8398 COM 90400D108 5674 123 SH SOLE 0 0 123 COM 903002103 1486476 93021 SH SOLE 0 0 93021 COM 904607108 2659 21709 SH SOLE 0 0 21709 ADR NEW 904767704 38472 738 SH SOLE 0 0 738 COM 907818108 1270281 6208 SH SOLE 0 0 6208 CL B 911312106 550835 3073 SH SOLE 0 0 3073 COM 911363109 9798 22 SH SOLE 0 0 22 COM 911460103 67033 10065 SH SOLE 0 0 10065 NEW COM 912909108 97539 3900 SH SOLE 0 0 3900 COM 91324P102 912255 1898 SH SOLE 0 0 1898 COM 91347P105 144 1 SH SOLE 0 0 1 COM 91680M107 895 25 SH SOLE 0 0 25 COM NEW 902973304 359046 10867 SH SOLE 0 0 10867 COM 912008109 4664 106 SH SOLE 0 0 106 COM 918204108 1184 62 SH SOLE 0 0 62 COM 91879Q109 3525 14 SH SOLE 0 0 14 COM 91913Y100 4927 42 SH SOLE 0 0 42 COM 92047W101 2776 74 SH SOLE 0 0 74 GOLD MINERS ETF 92189F106 10298 342 SH SOLE 0 0 342 DIV APP ETF 921908844 1663283 10240 SH SOLE 0 0 10240 ENERGY ETF 92204A306 609832 5402 SH SOLE 0 0 5402 ESG US STK ETF 921910733 10264 131 SH SOLE 0 0 131 ALLWRLD EX US 922042775 2176 40 SH SOLE 0 0 40 FTSE SMCAP ETF 922042718 4419 40 SH SOLE 0 0 40 VAN FTSE DEV MKT 921943858 170358 3689 SH SOLE 0 0 3689 FTSE EMR MKT ETF 922042858 90106 2215 SH SOLE 0 0 2215 GLB EX US ETF 922042676 4341 108 SH SOLE 0 0 108 GROWTH ETF 922908736 903276 3192 SH SOLE 0 0 3192 HIGH DIV YLD 921946406 80825 762 SH SOLE 0 0 762 INF TECH ETF 92204A702 26530 60 SH SOLE 0 0 60 INTERMED TERM 921937819 5040 67 SH SOLE 0 0 67 INT-TERM CORP 92206C870 15411 195 SH SOLE 0 0 195 LARGE CAP ETF 922908637 46626 230 SH SOLE 0 0 230 MID CAP ETF 922908629 250762 1139 SH SOLE 0 0 1139 MCAP VL IDXVIP 922908512 6781 49 SH SOLE 0 0 49 MTG-BKD SECS ETF 92206C771 9152 199 SH SOLE 0 0 199 REAL ESTATE ETF 922908553 40109 480 SH SOLE 0 0 480 VNG RUS1000GRW 92206C680 4246 60 SH SOLE 0 0 60 VNG RUS1000VAL 92206C714 2907 42 SH SOLE 0 0 42 S&P 500 ETF SHS 922908363 314013 771 SH SOLE 0 0 771 SHORT TRM BOND 921937827 7330 97 SH SOLE 0 0 97 SHRT TRM CORP BD 92206C409 51222 677 SH SOLE 0 0 677 STRM INFPROIDX 922020805 5216 110 SH SOLE 0 0 110 SM CP VAL ETF 922908611 23652 143 SH SOLE 0 0 143 SMALL CP ETF 922908751 131267 660 SH SOLE 0 0 660 SML CP GRW ETF 922908595 46867 204 SH SOLE 0 0 204 TOTAL BND MRKT 921937835 24351 335 SH SOLE 0 0 335 VG TL INTL STK F 921909768 4094 73 SH SOLE 0 0 73 TOTAL STK MKT 922908769 1216606 5523 SH SOLE 0 0 5523 VALUE ETF 922908744 483708 3404 SH SOLE 0 0 3404 COM 92243G108 17928 359 SH SOLE 0 0 359 COM 92276F100 5861 124 SH SOLE 0 0 124 COM 92345Y106 2712 12 SH SOLE 0 0 12 COM 923454102 3140 25 SH SOLE 0 0 25 COMMUNICATIONS INC COM 92343V104 984600 26475 SH SOLE 0 0 26475 COM 92532F100 7742 22 SH SOLE 0 0 22 COM 92556V106 29134 2919 SH SOLE 0 0 2919 COM 925550105 204 18 SH SOLE 0 0 18 COM CL A 92645B103 191700 6078 SH SOLE 0 0 6078 SHORT TRM BD ETF 92647N535 8114 166 SH SOLE 0 0 166 COM CL A 92826C839 4318909 18186 SH SOLE 0 0 18186 CL A COM 928563402 7616 53 SH SOLE 0 0 53 SPONSORED ADR 92857W308 12058 1276 SH SOLE 0 0 1276 COM 928881101 57817 1795 SH SOLE 0 0 1795 SH BEN INT 929042109 290 16 SH SOLE 0 0 16 COM 929089100 1649 23 SH SOLE 0 0 23 COM 929160109 22319 99 SH SOLE 0 0 99 COM 929740108 2303 21 SH SOLE 0 0 21 COM 931427108 51880 1821 SH SOLE 0 0 1821 COM 931142103 461166 2934 SH SOLE 0 0 2934 COM SER A 934423104 57195 4561 SH SOLE 0 0 4561 COM 94106B101 3144 22 SH SOLE 0 0 22 COM 94106L109 83588 482 SH SOLE 0 0 482 COM 92939U106 8824 100 SH SOLE 0 0 100 NEW COM 949746101 214851 5034 SH SOLE 0 0 5034 COM 95040Q104 194540 2405 SH SOLE 0 0 2405 COM 95058W100 2175 100 SH SOLE 0 0 100 COM 957638109 1751 48 SH SOLE 0 0 48 COM 958102105 910 24 SH SOLE 0 0 24 COM 959802109 2053 175 SH SOLE 0 0 175 COM 96145D105 41948 1443 SH SOLE 0 0 1443 COM NEW 962166104 7774 232 SH SOLE 0 0 232 COM 962879102 4322 100 SH SOLE 0 0 100 CL A 968223206 1343786 39488 SH SOLE 0 0 39488 CL B 968223305 580168 17104 SH SOLE 0 0 17104 COM 969457100 478388 14661 SH SOLE 0 0 14661 ARTIFICIAL INTEL 97717Y543 1907 100 SH SOLE 0 0 100 EM EX ST-OWNED 97717X578 1230 44 SH SOLE 0 0 44 EUROPE HEDGED EQ 97717X701 263785 3222 SH SOLE 0 0 3222 FLOATING RAT TREA 97717Y527 30242 601 SH SOLE 0 0 601 SPONSORED ADR 980228308 696 30 SH SOLE 0 0 30 CL A 98138H101 219565 972 SH SOLE 0 0 972 COM NEW 98138J206 19 22 SH SOLE 0 0 22 CL A 98156Q108 2712 25 SH SOLE 0 0 25 COM 98389B100 75101 1208 SH SOLE 0 0 1208 COM 98419M100 2590 23 SH SOLE 0 0 23 COM 988498101 19258 139 SH SOLE 0 0 139 COM 98850P109 12148 215 SH SOLE 0 0 215 COM 98942X102 314 200 SH SOLE 0 0 200 COM 98956P102 2621 18 SH SOLE 0 0 18 COM 98888T107 11 1 SH SOLE 0 0 1 COM 989701107 1048 39 SH SOLE 0 0 39 CL A 98978V103 15843 92 SH SOLE 0 0 92