0001415889-24-011206.txt : 20240419 0001415889-24-011206.hdr.sgml : 20240419 20240419120920 ACCESSION NUMBER: 0001415889-24-011206 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240419 DATE AS OF CHANGE: 20240419 EFFECTIVENESS DATE: 20240419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 ORGANIZATION NAME: 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: 24856430 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 03-31-2024 03-31-2024 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

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SOLE 0 0 284 CORE US AGGBD ET 464287226 151905 1551 SH SOLE 0 0 1551 MDG MSCI EAFE 46434V803 558 16 SH SOLE 0 0 16 ESG AWR MSCI USA 46435G425 6668 58 SH SOLE 0 0 58 ESG AWARE MSCI 46435U663 28994 720 SH SOLE 0 0 720 ESG SCRD S&P MID 46436E551 29578 720 SH SOLE 0 0 720 EXPND TEC SC ETF 464287549 1456614 16902 SH SOLE 0 0 16902 EXPANDED TECH 464287515 1279 15 SH SOLE 0 0 15 GLOBAL ENERG ETF 464287341 9621 224 SH SOLE 0 0 224 GLOBAL REIT ETF 46434V647 3386 143 SH SOLE 0 0 143 ISHARES NEW 464285204 149766 3565 SH SOLE 0 0 3565 IBOXX HI YD ETF 464288513 86980 1119 SH SOLE 0 0 1119 IBOXX INV CP ETF 464287242 221870 2037 SH SOLE 0 0 2037 INTRM GOV CR ETF 464288612 17677 170 SH SOLE 0 0 170 MBS ETF 464288588 65341 707 SH SOLE 0 0 707 MSCI ACWI ETF 464288257 110240 1001 SH SOLE 0 0 1001 MSCI AC ASIA ETF 464288182 419508 6192 SH SOLE 0 0 6192 MSCI AUST ETF 464286103 12281 498 SH SOLE 0 0 498 MSCI BELGIUM ETF 464286301 2624 140 SH SOLE 0 0 140 MSCI CDA ETF 464286509 15963 417 SH SOLE 0 0 417 MSCI EAFE ETF 464287465 21722 272 SH SOLE 0 0 272 EAFE GRWTH ETF 464288885 3633 35 SH SOLE 0 0 35 EAFE SML CP ETF 464288273 41734 659 SH SOLE 0 0 659 EAFE VALUE ETF 464288877 3536 65 SH SOLE 0 0 65 MSCI EM ASIA ETF 464286426 6198 91 SH SOLE 0 0 91 MSCI EMG MKT ETF 464287234 52172 1270 SH SOLE 0 0 1270 MSCI EMRG CHN 46434G764 9614 167 SH SOLE 0 0 167 MSCI EMERG MRKT 464286533 1471 26 SH SOLE 0 0 26 MSCI EURZONE ETF 464286608 93848 1838 SH SOLE 0 0 1838 MSCI FRANCE ETF 464286707 870 21 SH SOLE 0 0 21 MSCI GERMANY ETF 464286806 90519 2851 SH SOLE 0 0 2851 MSCI GBL MIN VOL 464286525 17054 162 SH SOLE 0 0 162 MSCI JPN ETF NEW 46434G822 1427 20 SH SOLE 0 0 20 MSCI MEXICO ETF 464286822 624 9 SH SOLE 0 0 9 MSCI SWITZERLAND 464286749 6664 140 SH SOLE 0 0 140 MSCI TAIWAN ETF 46434G772 11927 245 SH SOLE 0 0 245 MSCI UK ETF NEW 46435G334 42489 1242 SH SOLE 0 0 1242 MSCI USA ESG SLC 464288802 2402 22 SH SOLE 0 0 22 MSCI USA MIN VOL 46429B697 44214 529 SH SOLE 0 0 529 MSCI USA QLT FCT 46432F339 1644 10 SH SOLE 0 0 10 PFD AND INCM SEC 464288687 109099 3385 SH SOLE 0 0 3385 RESIDENTIAL MULT 464288562 793 11 SH SOLE 0 0 11 RUS 1000 GRW ETF 464287614 104486 310 SH SOLE 0 0 310 RUS 1000 VAL ETF 464287598 115347 644 SH SOLE 0 0 644 RUSSELL 2000 ETF 464287655 133254 634 SH SOLE 0 0 634 RUS 2000 GRW ETF 464287648 8936 33 SH SOLE 0 0 33 RUS 2000 VAL ETF 464287630 7623 48 SH SOLE 0 0 48 RUS MID CAP ETF 464287499 476286 5664 SH SOLE 0 0 5664 RUS MD CP GR ETF 464287481 11642 102 SH SOLE 0 0 102 RUS BDCP VAL ETF 464287473 8146 65 SH SOLE 0 0 65 S&P 100 ETF 464287101 1979 8 SH SOLE 0 0 8 S&P GRWT ETF 464287309 1773 21 SH SOLE 0 0 21 SP SMCP600VL ETF 464287879 8837 86 SH SOLE 0 0 86 SELECT DIVID ETF 464287168 90660 736 SH SOLE 0 0 736 ISHARES SEMICDTR 464287523 1356 6 SH SOLE 0 0 6 ISHARES 46428Q109 3640 160 SH SOLE 0 0 160 TIPS BD ETF 464287176 21160 197 SH SOLE 0 0 197 TRS FLT RT BD 46434V860 24939 492 SH SOLE 0 0 492 US AER DEF ETF 464288760 54883 416 SH SOLE 0 0 416 U.S. BAS MTL ETF 464287838 26591 180 SH SOLE 0 0 180 US CONSM STAPLES 464287812 27187 402 SH SOLE 0 0 402 U.S. ENERGY ETF 464287796 36556 740 SH SOLE 0 0 740 U.S. FINLS ETF 464287788 61312 641 SH SOLE 0 0 641 US HLTHCARE ETF 464287762 264004 4265 SH SOLE 0 0 4265 US INDUSTRIALS 464287754 25142 200 SH SOLE 0 0 200 US OIL GS EX ETF 464288851 21394 200 SH SOLE 0 0 200 U.S. REAL ES ETF 464287739 14923 166 SH SOLE 0 0 166 U.S. TECH ETF 464287721 1756 13 SH SOLE 0 0 13 US TREAS BD ETF 46429B267 5784 254 SH SOLE 0 0 254 US TRSPRTION 464287192 563 8 SH SOLE 0 0 8 CLO ETF 47103U845 19078 376 SH SOLE 0 0 376 COM NEW 47733C207 22260 4200 SH SOLE 0 0 4200 ORD SHS M6191J100 44 1 SH SOLE 0 0 1 COM 478160104 844842 5341 SH SOLE 0 0 5341 SHS G51502105 38931 596 SH SOLE 0 0 596 BETABULDRS JAPAN 46641Q217 23596 403 SH SOLE 0 0 403 COM 46625H100 1805508 9014 SH SOLE 0 0 9014 EQUITY PREMIUM 46641Q332 49586 857 SH SOLE 0 0 857 ULTRA SHRT INC 46641Q837 46414 920 SH SOLE 0 0 920 COM 486606106 1710808 170910 SH SOLE 0 0 170910 COM 487836108 144428 2521 SH SOLE 0 0 2521 COM 49177J102 24336 1134 SH SOLE 0 0 1134 COM 493267108 330857 20927 SH SOLE 0 0 20927 COM 49338L103 598310 3826 SH SOLE 0 0 3826 COM 494368103 429497 3320 SH SOLE 0 0 3320 COM 49446R109 3255 166 SH SOLE 0 0 166 COM 49456B101 241336 13159 SH SOLE 0 0 13159 NEW CL A 02215L209 3850585 96579 SH SOLE 0 0 96579 COM 49714P108 3148 6 SH SOLE 0 0 6 COMMON STOCK 498894104 50107 618 SH SOLE 0 0 618 SHS NEW 500472303 27578 1379 SH SOLE 0 0 1379 COM 500754106 5275 143 SH SOLE 0 0 143 COM NEW 50077B207 117632 6400 SH SOLE 0 0 6400 COMMON STOCK 50155Q100 21042 967 SH SOLE 0 0 967 COM 502431109 30686 144 SH SOLE 0 0 144 COM 512807108 210831 217 SH SOLE 0 0 217 COM 513272104 21306 200 SH SOLE 0 0 200 CL A 518439104 3237 21 SH SOLE 0 0 21 COM NEW 52187K200 11 4 SH SOLE 0 0 4 COM 526107107 4888 10 SH SOLE 0 0 10 COM 50186A108 676218 106491 SH SOLE 0 0 106491 COM SER C 530307305 10244 179 SH SOLE 0 0 179 COM LBTY LIV S C 531229722 307 7 SH SOLE 0 0 7 COM LBTY ONE S C 531229755 11218 171 SH SOLE 0 0 171 COM 532746104 1056 54 SH SOLE 0 0 54 COM 534187109 1149 36 SH SOLE 0 0 36 NEW COM NEW 53630X203 2449 471 SH SOLE 0 0 471 COM 55003T107 9 5 SH SOLE 0 0 5 COM 539830109 758723 1668 SH SOLE 0 0 1668 COM 548661107 417502 1639 SH SOLE 0 0 1639 COM 502160104 219500 25000 SH SOLE 0 0 25000 COM 549498103 2850 1000 SH SOLE 0 0 1000 COM 550241103 300 192 SH SOLE 0 0 192 COM 55024U109 142 3 SH SOLE 0 0 3 SHS - A - N53745100 5523 54 SH SOLE 0 0 54 COM CL A 558256103 196 5 SH SOLE 0 0 5 CL A 55825T103 923 5 SH SOLE 0 0 5 COM 56064Y100 160135 8818 SH SOLE 0 0 8818 COM 563420108 1171174 170725 SH SOLE 0 0 170725 COM 56501R106 47331 1894 SH SOLE 0 0 1894 COM 565849106 9551 337 SH SOLE 0 0 337 COM 56585A102 68309 339 SH SOLE 0 0 339 NEW CL A 571903202 50462 200 SH SOLE 0 0 200 COM 57164Y107 1831 17 SH SOLE 0 0 17 COM 571748102 67973 330 SH SOLE 0 0 330 COM 573874104 209380 2954 SH SOLE 0 0 2954 CL A 57636Q104 386219 802 SH SOLE 0 0 802 COM 577081102 33479 1690 SH SOLE 0 0 1690 COM NON VTG 579780206 1152 15 SH SOLE 0 0 15 COM 580135101 1072161 3803 SH SOLE 0 0 3803 COM 58155Q103 8053 15 SH SOLE 0 0 15 COM 552690109 37170 1475 SH SOLE 0 0 1475 COM 58463J304 4895 1042 SH SOLE 0 0 1042 SHS G5960L103 335353 3848 SH SOLE 0 0 3848 COM 58733R102 1512 1 SH SOLE 0 0 1 COM 58933Y105 1108776 8403 SH SOLE 0 0 8403 CL A 30303M102 1614068 3324 SH SOLE 0 0 3324 COM 59151K108 1116 25 SH SOLE 0 0 25 COM 59156R108 121985 1646 SH SOLE 0 0 1646 COM 592770101 39906 4000 SH SOLE 0 0 4000 COM 595017104 3409 38 SH SOLE 0 0 38 COM 595112103 43619 370 SH SOLE 0 0 370 COM 594918104 4188438 9955 SH SOLE 0 0 9955 COM 607828100 1793284 18839 SH SOLE 0 0 18839 CL B 60871R209 6792 101 SH SOLE 0 0 101 CL A 609207105 83720 1196 SH SOLE 0 0 1196 CL A 60937P106 2152 6 SH SOLE 0 0 6 COM NEW 617446448 98303 1044 SH SOLE 0 0 1044 MOTLEY FOOL GBL 74933W635 10851 358 SH SOLE 0 0 358 COM 553498106 6659302 34399 SH SOLE 0 0 34399 COM 55380K109 132990 4433 SH SOLE 0 0 4433 COM 631103108 189300 3000 SH SOLE 0 0 3000 SPONSORED ADR NE 636274409 2729 40 SH SOLE 0 0 40 CL A 638517102 1039511 2113 SH SOLE 0 0 2113 COM NEW 638842302 2706018 444338 SH SOLE 0 0 444338 COM 64110D104 42618 406 SH SOLE 0 0 406 COM 64110L106 39476 65 SH SOLE 0 0 65 DEPOSITORY RCPT 644206104 2325174 32339 SH SOLE 0 0 32339 COM 651639106 23188 647 SH SOLE 0 0 647 COM NEW 65340G205 207379 31421 SH SOLE 0 0 31421 COM 65341D102 1159 36 SH SOLE 0 0 36 COM 65339F101 398926 6242 SH SOLE 0 0 6242 COM NEW 65373J209 1080924 159900 SH SOLE 0 0 159900 COM 65406E102 97083 1129 SH SOLE 0 0 1129 CL B 654106103 196230 2088 SH SOLE 0 0 2088 COM 65473P105 27660 1000 SH SOLE 0 0 1000 ORD SHS G6564A105 23902 1222 SH SOLE 0 0 1222 COM 655844108 458766 1800 SH SOLE 0 0 1800 COM 664121100 157300 10000 SH SOLE 0 0 10000 COM 666762109 624657 12367 SH SOLE 0 0 12367 COM 666807102 24890 52 SH SOLE 0 0 52 COM NEW 670002401 120 25 SH SOLE 0 0 25 ADR 670100205 28505 222 SH SOLE 0 0 222 COM 670346105 460315 2326 SH SOLE 0 0 2326 COM 67058H102 15219 654 SH SOLE 0 0 654 COM 67077M108 39158 721 SH SOLE 0 0 721 COM STK 67062C107 5823 647 SH SOLE 0 0 647 COM 67072T108 22331 2558 SH SOLE 0 0 2558 COM 67073B106 195165 27144 SH SOLE 0 0 27144 COM 67066G104 463075 513 SH SOLE 0 0 513 COM 62944T105 8100 1 SH SOLE 0 0 1 COM 671807105 25 1 SH SOLE 0 0 1 COM 67401P405 73725 3750 SH SOLE 0 0 3750 COM 674599105 38149 587 SH SOLE 0 0 587 *W EXP 08/03/202 674599162 1336 31 SH SOLE 0 0 31 COM 00809L106 379 100 SH SOLE 0 0 100 COM 675234108 130689 7964 SH SOLE 0 0 7964 SHS BEN INT 67623C109 9510 4662 SH SOLE 0 0 4662 CL A 679295105 1255 12 SH SOLE 0 0 12 COM 679580100 5263 24 SH SOLE 0 0 24 COM 680033107 809426 46492 SH SOLE 0 0 46492 COM 680223104 199680 6500 SH SOLE 0 0 6500 COM 681919106 7160 74 SH SOLE 0 0 74 COM 682189105 8900 121 SH SOLE 0 0 121 NEW COM 682680103 729306 9097 SH SOLE 0 0 9097 COM 68389X105 88681 706 SH SOLE 0 0 706 COMMON STOCK 68622V106 10415 554 SH SOLE 0 0 554 COM 68629Y103 839 239 SH SOLE 0 0 239 COM 688239201 3118 25 SH SOLE 0 0 25 COM 68902V107 135603 1366 SH SOLE 0 0 1366 COM 69047Q102 75255 1450 SH SOLE 0 0 1450 NEW COM 690732102 11084 400 SH SOLE 0 0 400 COM 693718108 29114 235 SH SOLE 0 0 235 DEVELOPED MRKT 69374H873 22141 693 SH SOLE 0 0 693 PAC ASSET FLTG 69374H428 2378 50 SH SOLE 0 0 50 US CASH COWS 100 69374H881 38178 657 SH SOLE 0 0 657 PACER US SMALL 69374H857 18484 376 SH SOLE 0 0 376 COM 697435105 127290 448 SH SOLE 0 0 448 COM 698813102 5994 90 SH SOLE 0 0 90 COM 92556H206 9169 779 SH SOLE 0 0 779 COM 700885106 1710339 99294 SH SOLE 0 0 99294 COM 70319R109 190658 15373 SH SOLE 0 0 15373 COM NEW 70336F203 565879 150901 SH SOLE 0 0 150901 COM 704326107 0 0 SH SOLE 0 0 0 COM 70450Y103 17618 263 SH SOLE 0 0 263 COM 707569109 18210 1000 SH SOLE 0 0 1000 COM 70805E109 982 50 SH SOLE 0 0 50 COM 713448108 1687566 9643 SH SOLE 0 0 9643 COM 714167103 1811525 229307 SH SOLE 0 0 229307 COM 717081103 2042969 73621 SH SOLE 0 0 73621 COM 69331C108 201221 12006 SH SOLE 0 0 12006 PGIM ULTRA SH BD 69344A107 2137 43 SH SOLE 0 0 43 COM NEW 71715X104 5 2 SH SOLE 0 0 2 COM 718172109 290894 3175 SH SOLE 0 0 3175 COM 718546104 235210 1440 SH SOLE 0 0 1440 ACTIVE BD ETF 72201R775 1083344 11793 SH SOLE 0 0 11793 COM 72200M108 7028 1218 SH SOLE 0 0 1218 SHS 72201Y101 24865 1289 SH SOLE 0 0 1289 ENHNCD LW DUR AC 72201R718 663476 6994 SH SOLE 0 0 6994 ENHAN SHRT MA AC 72201R833 1609 16 SH SOLE 0 0 16 CL A 72352L106 347 10 SH SOLE 0 0 10 COM 724479100 3248 750 SH SOLE 0 0 750 UNIT LTD PARTN 726503105 170121 9688 SH SOLE 0 0 9688 COM 729273102 29432 800 SH SOLE 0 0 800 COM 693475105 258398 1599 SH SOLE 0 0 1599 COM 73278L105 2018 5 SH SOLE 0 0 5 COM 73933H101 418 550 SH SOLE 0 0 550 COM 69351T106 2670 97 SH SOLE 0 0 97 CL A 74051N102 796 36 SH SOLE 0 0 36 COM 74144T108 31821 261 SH SOLE 0 0 261 COM 742718109 888579 5477 SH SOLE 0 0 5477 COM 74316X101 370 200 SH SOLE 0 0 200 COM 74340W103 2604 20 SH SOLE 0 0 20 LARGE CAP CRE 74347R248 202253 3330 SH SOLE 0 0 3330 MSCI EMRG MKTS 74347B847 1964 45 SH SOLE 0 0 45 MSCI EUR DIV 74347B540 50607 1035 SH SOLE 0 0 1035 RUSS 2000 DIVD 74347B698 121180 1893 SH SOLE 0 0 1893 S&P 500 DV ARIST 74348A467 129298 1275 SH SOLE 0 0 1275 S&P MDCP 400 DIV 74347B680 211798 2696 SH SOLE 0 0 2696 COM 744320102 291504 2483 SH SOLE 0 0 2483 COM NEW 744375205 88 30 SH SOLE 0 0 30 COM 69370C100 567 3 SH SOLE 0 0 3 COM 745867101 8323 69 SH SOLE 0 0 69 COM 74736L109 526 10 SH SOLE 0 0 10 QUADRTC INT RT 500767736 1117 59 SH SOLE 0 0 59 COM 747525103 825842 4878 SH SOLE 0 0 4878 COM 74762E102 2598 10 SH SOLE 0 0 10 COM CL A 74767V109 786 125 SH SOLE 0 0 125 COM 75508B104 21510 4500 SH SOLE 0 0 4500 COM 754907103 14459 435 SH SOLE 0 0 435 CL A 755408101 1840 1000 SH SOLE 0 0 1000 COM 756109104 495123 9152 SH SOLE 0 0 9152 COM 758075402 16372 2570 SH SOLE 0 0 2570 SPONSORED ADR 759530108 4935 114 SH SOLE 0 0 114 COM 759720105 3160 2000 SH SOLE 0 0 2000 COM 76118Y104 18676 833 SH SOLE 0 0 833 COM 761152107 396 2 SH SOLE 0 0 2 COM 76131D103 189965 2391 SH SOLE 0 0 2391 SPONSORED ADR 767204100 2550 40 SH SOLE 0 0 40 COM 767754872 1 7 SH SOLE 0 0 7 COM 769397100 87320 18500 SH SOLE 0 0 18500 COM CL A 76954A103 2486 227 SH SOLE 0 0 227 CUM CONV PFD A 74965L200 88164 3600 SH SOLE 0 0 3600 CL A 74967R106 102888 4287 SH SOLE 0 0 4287 COM CL A 770700102 101 5 SH SOLE 0 0 5 CL A 771049103 955 25 SH SOLE 0 0 25 COM 773903109 2622 9 SH SOLE 0 0 9 COM CL A 77543R102 6517 100 SH SOLE 0 0 100 COM 776696106 5608 10 SH SOLE 0 0 10 COM 778296103 3522 24 SH SOLE 0 0 24 ROUNDHILL BALL 53656F417 30951 2490 SH SOLE 0 0 2490 COM 780087102 37830 375 SH SOLE 0 0 375 COM 780287108 2436 20 SH SOLE 0 0 20 COM 75513E101 322239 3304 SH SOLE 0 0 3304 COM 78349D107 11348 220 SH SOLE 0 0 220 COM 79466L302 55718 185 SH SOLE 0 0 185 SPONSORED ADR 80105N105 3013 62 SH SOLE 0 0 62 COM STK 806857108 337082 6150 SH SOLE 0 0 6150 COM 808513105 25608 354 SH SOLE 0 0 354 INT-TRM U.S TRES 808524854 540 11 SH SOLE 0 0 11 INTERNL DIVID 808524672 31392 1294 SH SOLE 0 0 1294 US REIT ETF 808524847 2436 120 SH SOLE 0 0 120 US DIVIDEND EQ 808524797 125783 1560 SH SOLE 0 0 1560 US TIPS ETF 808524870 1408 27 SH SOLE 0 0 27 COM 808625107 782 6 SH SOLE 0 0 6 NEW COM 81211K100 12871 346 SH SOLE 0 0 346 COM 816851109 6034 84 SH SOLE 0 0 84 NEW CL A 817070501 1290777 22685 SH SOLE 0 0 22685 COM 817565104 3785 51 SH SOLE 0 0 51 COM 81762P102 27446 36 SH SOLE 0 0 36 SPON ADS 780259305 49543 739 SH SOLE 0 0 739 COM 82489T104 3256 10 SH SOLE 0 0 10 CL A 82509L107 3087 40 SH SOLE 0 0 40 COM 82657M105 10560 2000 SH SOLE 0 0 2000 SPONSORED ADR 82706C108 2462 32 SH SOLE 0 0 32 NEW COM 828806109 76837 491 SH SOLE 0 0 491 COM 82968B103 4 1 SH SOLE 0 0 1 COM CL A 83067L208 65 10 SH SOLE 0 0 10 COM NEW 83190L208 599041 28431 SH SOLE 0 0 28431 COM 832156103 341639 7272 SH SOLE 0 0 7272 COM NEW 832696405 6294 50 SH SOLE 0 0 50 CL A 83304A106 1148 100 SH SOLE 0 0 100 CL A 833445109 970 6 SH SOLE 0 0 6 CLASS A COM 83422N105 3045 1500 SH SOLE 0 0 1500 COM 83600C103 1907 1315 SH SOLE 0 0 1315 COM 842587107 90679 1264 SH SOLE 0 0 1264 COM 843878307 634884 24494 SH SOLE 0 0 24494 COM 844741108 25979 890 SH SOLE 0 0 890 BLOOMBERG 1-3 MO 78468R663 23134 252 SH SOLE 0 0 252 BBG CONV SEC ETF 78464A359 10956 150 SH SOLE 0 0 150 BLOOMBERG INVT 78468R200 17296 561 SH SOLE 0 0 561 SPDR TR TACTIC 78467V848 46458 1160 SH SOLE 0 0 1160 GOLD SHS 78463V107 31064 151 SH SOLE 0 0 151 ICE PFD SEC ETF 78464A292 4812 138 SH SOLE 0 0 138 SPDR MSCI USA GE 78468R747 1905 18 SH SOLE 0 0 18 NUVEEN BLOOMBERG 78464A284 3597 140 SH SOLE 0 0 140 PORTFOLIO DEVLPD 78463X889 21755 607 SH SOLE 0 0 607 COMPOSITE STOCK MARKET ETF 78464A805 19502 304 SH SOLE 0 0 304 PORTFOLIO S&P400 78464A847 1280 24 SH SOLE 0 0 24 PORTFOLIO S&P500 78464A854 45963 747 SH SOLE 0 0 747 PORTFLO S&P500 GW 78464A409 73150 1000 SH SOLE 0 0 1000 PRTFLO S&P500 HI 78468R788 13964 343 SH SOLE 0 0 343 PORTFOLIO S&P500 78468R853 29568 687 SH SOLE 0 0 687 PORTFOLIO SHORT 78464A474 17177 577 SH SOLE 0 0 577 TR UNIT 78462F103 239043 457 SH SOLE 0 0 457 S&P BK ETF 78464A797 22918 487 SH SOLE 0 0 487 S&P BIOTECH 78464A870 5029 53 SH SOLE 0 0 53 S&P DIVID ETF 78464A763 141083 1075 SH SOLE 0 0 1075 S&P HOMEBUILD 78464A888 781 7 SH SOLE 0 0 7 S&P INS ETF 78464A789 573 11 SH SOLE 0 0 11 S&P METALS MNG 78464A755 52805 876 SH SOLE 0 0 876 UTSER1 S&PDCRP 78467Y107 3895 7 SH SOLE 0 0 7 CL A 55826T102 245 5 SH SOLE 0 0 5 COM 84920Y106 15550 5000 SH SOLE 0 0 5000 SHS L8681T102 72309 274 SH SOLE 0 0 274 COM NEW 852066208 12936 350 SH SOLE 0 0 350 TR UNIT 85208R101 103734 5100 SH SOLE 0 0 5100 TR UNIT 85207K107 85387 10300 SH SOLE 0 0 10300 COM 85209E109 786 1000 SH SOLE 0 0 1000 COM 101507101 194756 12932 SH SOLE 0 0 12932 COM 85254J102 923 24 SH SOLE 0 0 24 COM CL A 85256A109 386884 62200 SH SOLE 0 0 62200 COM 854502101 71587 731 SH SOLE 0 0 731 COM 855244109 632023 6916 SH SOLE 0 0 6916 CL A 855668109 3178 200 SH SOLE 0 0 200 COM 85571B105 2480 122 SH SOLE 0 0 122 COM 857477103 409796 5300 SH SOLE 0 0 5300 LTD PRTRSHIP U 85814R107 341426 8611 SH SOLE 0 0 8611 COM 858912108 2110 40 SH SOLE 0 0 40 COM 863667101 6084 17 SH SOLE 0 0 17 COM 864159108 371784 8056 SH SOLE 0 0 8056 COM 866264203 2271209 209328 SH SOLE 0 0 209328 COM 866674104 771 6 SH SOLE 0 0 6 COM 867652406 1800 600 SH SOLE 0 0 600 NEW COM 867892101 155960 14000 SH SOLE 0 0 14000 COMMON STOCK 871332102 13167 213 SH SOLE 0 0 213 COM 871829107 8118 100 SH SOLE 0 0 100 SPONSORED ADS 874039100 14149 104 SH SOLE 0 0 104 COM 87538X105 9 2 SH SOLE 0 0 2 COM 876030107 3798 80 SH SOLE 0 0 80 COM 87612E106 152755 862 SH SOLE 0 0 862 COM 87807B107 6392 159 SH SOLE 0 0 159 SHS H84989104 3921 27 SH SOLE 0 0 27 TECHNOLOGY 81369Y803 299909 1440 SH SOLE 0 0 1440 COM NEW 878739200 2708 750 SH SOLE 0 0 750 CL B 878742204 29574 646 SH SOLE 0 0 646 COM 879360105 3864 9 SH SOLE 0 0 9 ADR 87936R205 2034 202 SH SOLE 0 0 202 COM 88076W103 1547 40 SH SOLE 0 0 40 COM 880770102 903 8 SH SOLE 0 0 8 COM 88160R101 85258 485 SH SOLE 0 0 485 COM 882508104 199819 1147 SH SOLE 0 0 1147 COM 88262P102 9835 17 SH SOLE 0 0 17 COM 882681109 772 5 SH SOLE 0 0 5 COM 883203101 767 8 SH SOLE 0 0 8 COM 125523100 38135 105 SH SOLE 0 0 105 COM CL A 88339J105 9616 110 SH SOLE 0 0 110 COM 883556102 48240 83 SH SOLE 0 0 83 COM 88677Q109 105450 15000 SH SOLE 0 0 15000 COM 88688T100 2969 1202 SH SOLE 0 0 1202 COM 887389104 67758 775 SH SOLE 0 0 775 COM NEW 888314705 7 1 SH SOLE 0 0 1 NEW COM 872540109 6592 65 SH SOLE 0 0 65 CL A 87256C101 2160 25 SH SOLE 0 0 25 COM 872590104 34410 211 SH SOLE 0 0 211 COM 891092108 916 10 SH SOLE 0 0 10 COM NEW 891160509 62252 1031 SH SOLE 0 0 1031 SPONSORED ADS 89151E109 12596 183 SH SOLE 0 0 183 ADS 892331307 31963 127 SH SOLE 0 0 127 COM 892356106 31145 119 SH SOLE 0 0 119 SHS G8994E103 7505 25 SH SOLE 0 0 25 COM NEW 893617209 169425 4500 SH SOLE 0 0 4500 SHS H8817H100 703 112 SH SOLE 0 0 112 COMPANIES INC COM 89417E109 292278 1270 SH SOLE 0 0 1270 COM 896095106 100005 2719 SH SOLE 0 0 2719 COM 896239100 579 9 SH SOLE 0 0 9 COM 89832Q109 138106 3543 SH SOLE 0 0 3543 COM 25400Q105 3098 50 SH SOLE 0 0 50 COM 90353T100 63517 825 SH SOLE 0 0 825 COM 90278Q108 257829 2096 SH SOLE 0 0 2096 CL A 90364P105 133708 5898 SH SOLE 0 0 5898 COM 90384S303 1046 2 SH SOLE 0 0 2 COM 90400D108 5743 123 SH SOLE 0 0 123 COM 903002103 1494421 92021 SH SOLE 0 0 92021 CL C 904311206 107 15 SH SOLE 0 0 15 ADR NEW 904767704 31620 630 SH SOLE 0 0 630 COM 907818108 1520339 6182 SH SOLE 0 0 6182 COM 90984P303 1053 40 SH SOLE 0 0 40 CL B 911312106 500120 3365 SH SOLE 0 0 3365 COM 911363109 15143 21 SH SOLE 0 0 21 COM 911460103 77601 10065 SH SOLE 0 0 10065 NEW COM 912909108 118262 2900 SH SOLE 0 0 2900 COM 91324P102 517951 1047 SH SOLE 0 0 1047 COM 91332U101 66750 2500 SH SOLE 0 0 2500 COM 91680M107 672 25 SH SOLE 0 0 25 COM NEW 902973304 470614 10528 SH SOLE 0 0 10528 COM 912008109 5721 106 SH SOLE 0 0 106 COM 918204108 568 37 SH SOLE 0 0 37 COM 91879Q109 4902 22 SH SOLE 0 0 22 *W EXP 04/29/202 G9460G119 26600 2000 SH SOLE 0 0 2000 COM 91913Y100 7169 42 SH SOLE 0 0 42 COM 92047W101 3298 74 SH SOLE 0 0 74 DIV APP ETF 921908844 2384472 13058 SH SOLE 0 0 13058 ENERGY ETF 92204A306 689713 5237 SH SOLE 0 0 5237 ESG US STK ETF 921910733 43520 467 SH SOLE 0 0 467 ALLWRLD EX US 922042775 2346 40 SH SOLE 0 0 40 FTSE SMCAP ETF 922042718 4674 40 SH SOLE 0 0 40 VAN FTSE DEV MKT 921943858 239972 4783 SH SOLE 0 0 4783 FTSE EMR MKT ETF 922042858 125087 2995 SH SOLE 0 0 2995 GLB EX US ETF 922042676 4551 108 SH SOLE 0 0 108 GROWTH ETF 922908736 1079333 3136 SH SOLE 0 0 3136 HIGH DIV YLD 921946406 177855 1470 SH SOLE 0 0 1470 INF TECH ETF 92204A702 34606 66 SH SOLE 0 0 66 INTERMED TERM 921937819 6786 90 SH SOLE 0 0 90 INT-TERM CORP 92206C870 16102 200 SH SOLE 0 0 200 INTER TERM TREAS 92206C706 2576 44 SH SOLE 0 0 44 LARGE CAP ETF 922908637 212667 887 SH SOLE 0 0 887 LONG TERM TREAS 92206C847 2133 36 SH SOLE 0 0 36 MEGA GRWTH IND 921910816 13757 48 SH SOLE 0 0 48 MID CAP ETF 922908629 345664 1383 SH SOLE 0 0 1383 MCAP VL IDXVIP 922908512 7640 49 SH SOLE 0 0 49 REAL ESTATE ETF 922908553 27587 319 SH SOLE 0 0 319 VNG RUS1000GRW 92206C680 5200 60 SH SOLE 0 0 60 VNG RUS1000VAL 92206C714 3303 42 SH SOLE 0 0 42 S&P 500 ETF SHS 922908363 370620 771 SH SOLE 0 0 771 SHORT TRM BOND 921937827 20471 267 SH SOLE 0 0 267 SHRT TRM CORP BD 92206C409 104214 1348 SH SOLE 0 0 1348 STRM INFPROIDX 922020805 5507 115 SH SOLE 0 0 115 SM CP VAL ETF 922908611 27439 143 SH SOLE 0 0 143 SMALL CP ETF 922908751 200630 878 SH SOLE 0 0 878 SML CP GRW ETF 922908595 53187 204 SH SOLE 0 0 204 TOTAL BND MRKT 921937835 21716 299 SH SOLE 0 0 299 VG TL INTL STK F 921909768 44924 745 SH SOLE 0 0 745 TOTAL STK MKT 922908769 1631652 6278 SH SOLE 0 0 6278 VALUE ETF 922908744 646201 3968 SH SOLE 0 0 3968 COM 92243G108 25889 379 SH SOLE 0 0 379 COM 92276F100 5399 124 SH SOLE 0 0 124 SHS 92338C103 95930 1082 SH SOLE 0 0 1082 COM 92345Y106 2829 12 SH SOLE 0 0 12 COMMUNICATIONS INC COM 92343V104 983216 23432 SH SOLE 0 0 23432 COM 92532F100 9196 22 SH SOLE 0 0 22 COM 92556V106 23684 1984 SH SOLE 0 0 1984 COM 925550105 164 18 SH SOLE 0 0 18 COM CL A 92645B103 249404 5878 SH SOLE 0 0 5878 SHORT TRM BD ETF 92647N535 8272 166 SH SOLE 0 0 166 COM CL A 92826C839 4572257 16383 SH SOLE 0 0 16383 SPONSORED ADR 92857W308 11054 1242 SH SOLE 0 0 1242 COM 928881101 58741 1295 SH SOLE 0 0 1295 COM 929089100 1700 23 SH SOLE 0 0 23 COM 929160109 27019 99 SH SOLE 0 0 99 COM 929740108 2332 16 SH SOLE 0 0 16 COM 938824109 2409 83 SH SOLE 0 0 83 COM 931427108 23859 1100 SH SOLE 0 0 1100 COM 931142103 516740 8588 SH SOLE 0 0 8588 COM SER A 934423104 28835 3303 SH SOLE 0 0 3303 COM 94106B101 3784 22 SH SOLE 0 0 22 COM 94106L109 773308 3628 SH SOLE 0 0 3628 COM 92939U106 8212 100 SH SOLE 0 0 100 NEW COM 949746101 294242 5077 SH SOLE 0 0 5077 COM 95040Q104 250886 2685 SH SOLE 0 0 2685 COM 95058W100 1884 100 SH SOLE 0 0 100 COM 957638109 3081 48 SH SOLE 0 0 48 COM 958102105 1638 24 SH SOLE 0 0 24 COM 959802109 2447 175 SH SOLE 0 0 175 COM 96145D105 71356 1443 SH SOLE 0 0 1443 COM NEW 962166104 5710 159 SH SOLE 0 0 159 COM 962879102 3535 75 SH SOLE 0 0 75 CL A 968223206 1505688 39488 SH SOLE 0 0 39488 CL B 968223305 650123 17104 SH SOLE 0 0 17104 COM 969457100 554894 14239 SH SOLE 0 0 14239 ARTIFICIAL INTEL 97717Y543 2077 100 SH SOLE 0 0 100 EM EX ST-OWNED 97717X578 1296 44 SH SOLE 0 0 44 EUROPE HEDGED EQ 97717X701 392969 8136 SH SOLE 0 0 8136 FLOATING RAT TREA 97717Y527 436254 8675 SH SOLE 0 0 8675 US HIGH DIVIDEND 97717W208 91946 1061 SH SOLE 0 0 1061 SHS 92942W107 6787 361 SH SOLE 0 0 361 SPONSORED ADR 980228308 60 3 SH SOLE 0 0 3 CL A 98138H101 252294 925 SH SOLE 0 0 925 COM NEW 98138J206 5 22 SH SOLE 0 0 22 COM 98419M100 2973 23 SH SOLE 0 0 23 COM 98850P109 7839 197 SH SOLE 0 0 197 COM 98942X102 240 200 SH SOLE 0 0 200 COM 98956P102 2376 18 SH SOLE 0 0 18 COM 989701107 1693 39 SH SOLE 0 0 39 CL A 98978V103 8461 50 SH SOLE 0 0 50 COM 98980G102 1926 10 SH SOLE 0 0 10