Deputy CCO

0000891943-20-000001.txt : 20200212 0000891943-20-000001.hdr.sgml : 20200212 20200212141212 ACCESSION NUMBER: 0000891943-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CENTAURUS FINANCIAL, INC. CENTRAL INDEX KEY: 0000891943 IRS NUMBER: 330530236 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18315 FILM NUMBER: 20603271 BUSINESS ADDRESS: STREET 1: 2300 E. KATELLA AVENUE STREET 2: SUITE #200 CITY: ANAHEIM STATE: CA ZIP: 92806 BUSINESS PHONE: 714-456-1790 MAIL ADDRESS: STREET 1: 2300 E. KATELLA AVENUE STREET 2: SUITE #200 CITY: ANAHEIM STATE: CA ZIP: 92806 FORMER COMPANY: FORMER CONFORMED NAME: CENTAURUS FINANCIAL INC /BD DATE OF NAME CHANGE: 19920922 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000891943 XXXXXXXX 12-31-2019 12-31-2019 CENTAURUS FINANCIAL, INC.

2300 E. KATELLA AVENUE SUITE #200 ANAHEIM CA 92806

13F HOLDINGS REPORT 028-18315 N Kevin Lee Deputy CCO 714-456-1790 Kevin Lee Anaheim CA 02-12-2020 0 630 714169 false INFORMATION TABLE 2 2019_Q4_CENTAURUS_13F.xml ABBOTT LABS COM 002824100 135 1557 SH SOLE 0 0 11161 ADVANCED MICRO DEVICES INC COM 007903107 1968 42921 SH SOLE 0 0 53287 AEGON N V NY REGISTRY SHS 007924103 48 10663 SH SOLE 0 0 10663 ALARM COM HLDGS INC COM 011642105 11007 256154 SH SOLE 0 0 259404 ALASKA AIR GROUP INC COM 011659109 912 13460 SH SOLE 0 0 15334 ALLSTATE CORP COM 020002101 113 1005 SH SOLE 0 0 1045 AMAZON COM INC COM 023135106 4688 2537 SH SOLE 0 0 4858 AMERCO COM 023586100 763 2030 SH SOLE 0 0 2030 AMERICAN ELEC PWR CO INC COM 025537101 259 2742 SH SOLE 0 0 5083 AMERICAN EXPRESS CO COM 025816109 155 1244 SH SOLE 0 0 2870 AMGEN INC COM 031162100 324 1344 SH SOLE 0 0 7588 AMPLIFY ETF TR HIGH INCOME 032108847 2529 141783 SH SOLE 0 0 141783 ANNALY CAP MGMT INC COM 035710409 340 36090 SH SOLE 0 0 63514 ANTHEM INC COM 036752103 624 2065 SH SOLE 0 0 3257 APPLE INC COM 037833100 11308 38508 SH SOLE 0 0 70818 ARBOR RLTY TR INC COM 038923108 1046 72915 SH SOLE 0 0 72915 ARISTA NETWORKS INC COM 040413106 1323 6504 SH SOLE 0 0 6541 AUTOMATIC DATA PROCESSING IN COM 053015103 494 2897 SH SOLE 0 0 3736 AUTOZONE INC COM 053332102 100 84 SH SOLE 0 0 84 BP PLC SPONSORED ADR 055622104 749 19846 SH SOLE 0 0 47551 BANK AMER CORP COM 060505104 1917 54431 SH SOLE 0 0 114501 BANK AMER CORP 7.25%CNV PFD L 060505682 1002 691 SH SOLE 0 0 691 BANK NEW YORK MELLON CORP COM 064058100 178 3533 SH SOLE 0 0 6177 BECTON DICKINSON & CO COM 075887109 112 412 SH SOLE 0 0 1383 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2249 9929 SH SOLE 0 0 12652 BEST BUY INC COM 086516101 280 3190 SH SOLE 0 0 3215 BOEING CO COM 097023105 2146 6588 SH SOLE 0 0 9053 BOSTON BEER INC CL A 100557107 492 1301 SH SOLE 0 0 1329 BRISTOL MYERS SQUIBB CO COM 110122108 2133 33228 SH SOLE 0 0 44909 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 134 2310 SH SOLE 0 0 2310 BROOKFIELD REAL ASSETS INCOM SHS BEN INT 112830104 2264 106060 SH SOLE 0 0 106060 CF INDS HLDGS INC COM 125269100 894 18734 SH SOLE 0 0 18734 CIGNA CORP NEW COM 125523100 530 2593 SH SOLE 0 0 3027 CSX CORP COM 126408103 229 3158 SH SOLE 0 0 5129 CVS HEALTH CORP COM 126650100 1258 16937 SH SOLE 0 0 31725 CAPITAL SOUTHWEST CORP COM 140501107 166 7965 SH SOLE 0 0 7965 CATERPILLAR INC DEL COM 149123101 509 3449 SH SOLE 0 0 6049 CENTER COAST BRKFLD MLP ENRG SHS BEN INT 151461100 1582 249597 SH SOLE 0 0 250097 CENTURYLINK INC COM 156700106 1052 79608 SH SOLE 0 0 79830 CEVA INC COM 157210105 477 17700 SH SOLE 0 0 19450 CHESAPEAKE ENERGY CORP COM 165167107 16 19259 SH SOLE 0 0 19760 CHEVRON CORP NEW COM 166764100 2442 20267 SH SOLE 0 0 41306 CITIGROUP INC COM NEW 172967424 486 6081 SH SOLE 0 0 7428 CLOROX CO DEL COM 189054109 604 3932 SH SOLE 0 0 5578 COCA COLA CO COM 191216100 633 11435 SH SOLE 0 0 25996 COLGATE PALMOLIVE CO COM 194162103 166 2413 SH SOLE 0 0 5247 COMMERCIAL METALS CO COM 201723103 1228 55138 SH SOLE 0 0 55138 CONSOLIDATED EDISON INC COM 209115104 905 10005 SH SOLE 0 0 14839 COUSINS PPTYS INC COM NEW 222795502 234 5691 SH SOLE 0 0 6525 CUSHING RENAISSANCE FD COM 231647108 744 54983 SH SOLE 0 0 55928 DBX ETF TR XTRACK MSCI EMRG 233051101 3246 136610 SH SOLE 0 0 138000 DBX ETF TR XTRACK MSCI EURP 233051853 336 10803 SH SOLE 0 0 10980 DANAHER CORPORATION COM 235851102 329 2146 SH SOLE 0 0 3670 DARLING INGREDIENTS INC COM 237266101 203 7235 SH SOLE 0 0 7328 DELAWARE ENHANCED GBL DIV & COM 246060107 317 30446 SH SOLE 0 0 30446 DESCARTES SYS GROUP INC COM 249906108 4216 98697 SH SOLE 0 0 98697 DISNEY WALT CO COM DISNEY 254687106 2680 18528 SH SOLE 0 0 25967 DOCUSIGN INC COM 256163106 271 3663 SH SOLE 0 0 3678 DOLLAR GEN CORP NEW COM 256677105 118 755 SH SOLE 0 0 855 DOLLAR TREE INC COM 256746108 596 6335 SH SOLE 0 0 6531 DOW INC COM 260557103 941 17185 SH SOLE 0 0 18587 EAGLE PT CR CO LLC COM 269808101 399 27300 SH SOLE 0 0 45995 EBAY INC COM 278642103 289 8009 SH SOLE 0 0 9773 ENTERPRISE PRODS PARTNERS L COM 293792107 126 4477 SH SOLE 0 0 32613 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 964 22949 SH SOLE 0 0 22949 FS KKR CAPITAL CORP COM 302635107 295 48111 SH SOLE 0 0 249277 FAIR ISAAC CORP COM 303250104 276 737 SH SOLE 0 0 737 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 620 1775 SH SOLE 0 0 1918 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 4511 138469 SH SOLE 0 0 140806 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 204 2545 SH SOLE 0 0 3445 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 100 1355 SH SOLE 0 0 1605 FIRST TR NASDAQ100 TECH INDE SHS 337345102 122 1223 SH SOLE 0 0 1297 FISERV INC COM 337738108 419 3623 SH SOLE 0 0 3626 FIRSTENERGY CORP COM 337932107 128 2630 SH SOLE 0 0 9794 FLAHERTY & CRUMRIN PFD & INM COM 338478100 374 17233 SH SOLE 0 0 17233 FLOOR & DECOR HLDGS INC CL A 339750101 11934 234874 SH SOLE 0 0 234874 FORD MTR CO DEL COM 345370860 351 37698 SH SOLE 0 0 111348 FRANKLIN COVEY CO COM 353469109 173 5374 SH SOLE 0 0 5374 GALECTIN THERAPEUTICS INC COM NEW 363225202 44 15263 SH SOLE 0 0 15263 GENERAL ELECTRIC CO COM 369604103 425 38068 SH SOLE 0 0 95192 GENERAL MLS INC COM 370334104 179 3347 SH SOLE 0 0 18934 GILEAD SCIENCES INC COM 375558103 463 7122 SH SOLE 0 0 9376 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 324 9449 SH SOLE 0 0 9449 GRIFOLS S A SP ADR REP B NVT 398438408 114 4901 SH SOLE 0 0 4901 GROUPON INC COM 399473107 258 107957 SH SOLE 0 0 107957 HSBC HLDGS PLC SPON ADR NEW 404280406 517 13231 SH SOLE 0 0 15520 HARTFORD FINL SVCS GROUP INC COM 416515104 309 5085 SH SOLE 0 0 5639 HERCULES CAPITAL INC COM 427096508 11499 820171 SH SOLE 0 0 822611 HERSHEY CO COM 427866108 463 3150 SH SOLE 0 0 4640 HOLLYFRONTIER CORP COM 436106108 278 5474 SH SOLE 0 0 5624 HOME DEPOT INC COM 437076102 745 3413 SH SOLE 0 0 10075 HONEYWELL INTL INC COM 438516106 1092 6172 SH SOLE 0 0 7227 HUNTINGTON INGALLS INDS INC COM 446413106 849 3384 SH SOLE 0 0 3940 ICAHN ENTERPRISES LP DEPOSITARY UNIT 451100101 529 8606 SH SOLE 0 0 8606 INTEL CORP COM 458140100 1019 17021 SH SOLE 0 0 30161 INTERNATIONAL BUSINESS MACHS COM 459200101 242 1808 SH SOLE 0 0 3609 ISHARES GOLD TRUST ISHARES 464285105 809 55764 SH SOLE 0 0 58277 ISHARES INC MIN VOL GBL ETF 464286525 5185 54111 SH SOLE 0 0 54906 ISHARES INC MSCI THAILND ETF 464286624 642 7328 SH SOLE 0 0 7328 ISHARES TR SELECT DIVID ETF 464287168 1388 13133 SH SOLE 0 0 16258 ISHARES TR TIPS BD ETF 464287176 274 2350 SH SOLE 0 0 11533 ISHARES TR CORE S&P500 ETF 464287200 1434 4436 SH SOLE 0 0 27015 ISHARES TR CORE US AGGBD ET 464287226 431 3838 SH SOLE 0 0 15201 ISHARES TR MSCI EMG MKT ETF 464287234 533 11882 SH SOLE 0 0 14556 ISHARES TR IBOXX INV CP ETF 464287242 595 4649 SH SOLE 0 0 10108 ISHARES TR GLOBAL TECH ETF 464287291 111 529 SH SOLE 0 0 3137 ISHARES TR S&P 500 GRWT ETF 464287309 1627 8401 SH SOLE 0 0 9531 ISHARES TR S&P 500 VAL ETF 464287408 845 6498 SH SOLE 0 0 7359 ISHARES TR 20 YR TR BD ETF 464287432 452 3337 SH SOLE 0 0 8922 ISHARES TR MSCI EAFE ETF 464287465 725 10439 SH SOLE 0 0 13261 ISHARES TR RUS MD CP GR ETF 464287481 209 1370 SH SOLE 0 0 2551 ISHARES TR CORE S&P MCP ETF 464287507 996 4841 SH SOLE 0 0 31617 ISHARES TR EXPANDED TECH 464287515 153 656 SH SOLE 0 0 842 ISHARES TR PHLX SEMICND ETF 464287523 2524 10051 SH SOLE 0 0 10642 ISHARES TR NASDAQ BIOTECH 464287556 434 3604 SH SOLE 0 0 5929 ISHARES TR RUS 1000 VAL ETF 464287598 149 1093 SH SOLE 0 0 2722 ISHARES TR S&P MC 400GR ETF 464287606 200 838 SH SOLE 0 0 927 ISHARES TR RUS 1000 GRW ETF 464287614 516 2933 SH SOLE 0 0 4433 ISHARES TR RUS 1000 ETF 464287622 200 1122 SH SOLE 0 0 1268 ISHARES TR RUSSELL 2000 ETF 464287655 556 3357 SH SOLE 0 0 8935 ISHARES TR S&P MC 400VL ETF 464287705 1047 6133 SH SOLE 0 0 6695 ISHARES TR U.S. TECH ETF 464287721 332 1427 SH SOLE 0 0 2238 ISHARES TR U.S. REAL ES ETF 464287739 554 5949 SH SOLE 0 0 6510 ISHARES TR US INDUSTRIALS 464287754 145 867 SH SOLE 0 0 1213 ISHARES TR US HLTHCARE ETF 464287762 256 1187 SH SOLE 0 0 2250 ISHARES TR U.S. FIN SVC ETF 464287770 451 2971 SH SOLE 0 0 3500 ISHARES TR U.S. FINLS ETF 464287788 213 1546 SH SOLE 0 0 1778 ISHARES TR CORE S&P SCP ETF 464287804 2247 26796 SH SOLE 0 0 42635 ISHARES TR DOW JONES US ETF 464287846 121 760 SH SOLE 0 0 1505 ISHARES TR S&P SML 600 GWT 464287887 357 1846 SH SOLE 0 0 2200 ISHARES TR GL TIMB FORE ETF 464288174 109 1621 SH SOLE 0 0 1621 ISHARES TR MSCI ACWI ETF 464288257 9109 114937 SH SOLE 0 0 116373 ISHARES TR JPMORGAN USD EMG 464288281 1030 8987 SH SOLE 0 0 14157 ISHARES TR NATIONAL MUN ETF 464288414 112 987 SH SOLE 0 0 6619 ISHARES TR INTL SEL DIV ETF 464288448 159 4726 SH SOLE 0 0 6237 ISHARES TR IBOXX HI YD ETF 464288513 1464 16645 SH SOLE 0 0 26037 ISHARES TR RESIDNL REAL EST 464288562 197 2618 SH SOLE 0 0 2618 ISHARES TR MBS ETF 464288588 177 1639 SH SOLE 0 0 7451 ISHARES TR 3 7 YR TREAS BD 464288661 152 1209 SH SOLE 0 0 2963 ISHARES TR PFD AND INCM SEC 464288687 2731 72644 SH SOLE 0 0 87406 ISHARES TR US HOME CONS ETF 464288752 136 3056 SH SOLE 0 0 3426 ISHARES TR US AER DEF ETF 464288760 168 757 SH SOLE 0 0 3543 ISHARES TR U.S. MED DVC ETF 464288810 2107 7972 SH SOLE 0 0 9321 ISHARES TR US HLTHCR PR ETF 464288828 1172 5836 SH SOLE 0 0 6247 ISHARES TR MSCI EURO FL ETF 464289180 106 5450 SH SOLE 0 0 5450 ISHARES TR RUS TOP 200 ETF 464289446 1007 13404 SH SOLE 0 0 13782 ISHARES TR AGGRES ALLOC ETF 464289859 129 2232 SH SOLE 0 0 5009 ISHARES TR MODERT ALLOC ETF 464289875 228 5694 SH SOLE 0 0 6824 ISHARES TR CONSER ALLOC ETF 464289883 6145 169573 SH SOLE 0 0 170088 JOHNSON & JOHNSON COM 478160104 592 4059 SH SOLE 0 0 15302 KANSAS CITY SOUTHERN COM NEW 485170302 153 1000 SH SOLE 0 0 1009 KEMET CORP COM NEW 488360207 114 4219 SH SOLE 0 0 4219 KEMPER CORP DEL COM 488401100 188 2420 SH SOLE 0 0 2420 KIMBERLY CLARK CORP COM 494368103 226 1645 SH SOLE 0 0 4825 KRAFT HEINZ CO COM 500754106 2089 65017 SH SOLE 0 0 66662 L3HARRIS TECHNOLOGIES INC COM 502431109 127 642 SH SOLE 0 0 2909 LAM RESEARCH CORP COM 512807108 454 1552 SH SOLE 0 0 1654 LENNOX INTL INC COM 526107107 383 1571 SH SOLE 0 0 1571 LOCKHEED MARTIN CORP COM 539830109 477 1225 SH SOLE 0 0 4383 LULULEMON ATHLETICA INC COM 550021109 110 8000 SH Call SOLE 0 0 8000 MFS CHARTER INCOME TR SH BEN INT 552727109 943 111963 SH SOLE 0 0 113676 MARSH & MCLENNAN COS INC COM 571748102 238 2134 SH SOLE 0 0 2571 MATTEL INC COM 577081102 752 55478 SH SOLE 0 0 55478 MCDONALDS CORP COM 580135101 580 2935 SH SOLE 0 0 5580 MELCO RESORTS AND ENTMT LTD ADR 585464100 231 9571 SH SOLE 0 0 9571 MICROSOFT CORP COM 594918104 3849 24404 SH SOLE 0 0 60207 MICRON TECHNOLOGY INC COM 595112103 195 3620 SH SOLE 0 0 5059 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 2202 195729 SH SOLE 0 0 195729 MONDELEZ INTL INC CL A 609207105 585 10619 SH SOLE 0 0 12407 NMI HLDGS INC CL A 629209305 1216 36647 SH SOLE 0 0 36647 NATIONAL RETAIL PPTYS INC COM 637417106 138 2576 SH SOLE 0 0 2787 NATIONAL STORAGE AFFILIATES COM SHS BEN IN 637870106 444 13211 SH SOLE 0 0 13711 NEWELL BRANDS INC COM 651229106 570 29649 SH SOLE 0 0 29757 NIKE INC CL B 654106103 259 2560 SH SOLE 0 0 7880 NORDSTROM INC COM 655664100 694 16944 SH SOLE 0 0 16944 NORFOLK SOUTHERN CORP COM 655844108 212 1093 SH SOLE 0 0 2480 NORTHROP GRUMMAN CORP COM 666807102 162 471 SH SOLE 0 0 1178 NORTONLIFELOCK INC COM 668771108 108 4218 SH SOLE 0 0 4218 OKTA INC CL A 679295105 507 4391 SH SOLE 0 0 4676 OMEGA HEALTHCARE INVS INC COM 681936100 134 3154 SH SOLE 0 0 13635 ON SEMICONDUCTOR CORP COM 682189105 250 10269 SH SOLE 0 0 10269 PNC FINL SVCS GROUP INC COM 693475105 530 3320 SH SOLE 0 0 4092 PATRICK INDS INC COM 703343103 2295 43769 SH SOLE 0 0 44569 PAYCHEX INC COM 704326107 112 1320 SH SOLE 0 0 1975 PEPSICO INC COM 713448108 560 4095 SH SOLE 0 0 7857 PFIZER INC COM 717081103 1822 46504 SH SOLE 0 0 86557 PHILIP MORRIS INTL INC COM 718172109 327 3846 SH SOLE 0 0 14059 PHILLIPS 66 COM 718546104 235 2106 SH SOLE 0 0 8788 POST HLDGS INC COM 737446104 168 1537 SH SOLE 0 0 1537 PROCTER & GAMBLE CO COM 742718109 1304 10439 SH SOLE 0 0 24863 PROSPERITY BANCSHARES INC COM 743606105 711 9891 SH SOLE 0 0 9891 PRUDENTIAL FINL INC COM 744320102 581 6202 SH SOLE 0 0 10082 QUALCOMM INC COM 747525103 229 2600 SH SOLE 0 0 9701 REALTY INCOME CORP COM 756109104 159 2165 SH SOLE 0 0 12546 REAVES UTIL INCOME FD COM SH BEN INT 756158101 176 4739 SH SOLE 0 0 4739 REDWOOD TR INC COM 758075402 1164 70377 SH SOLE 0 0 70377 REPUBLIC FIRST BANCORP INC COM 760416107 110 26244 SH SOLE 0 0 27244 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 141 2398 SH SOLE 0 0 7117 ROYCE VALUE TR INC COM 780910105 1347 91189 SH SOLE 0 0 92060 SCHLUMBERGER LTD COM 806857108 1087 27036 SH SOLE 0 0 27823 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 347 4509 SH SOLE 0 0 4525 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 377 4055 SH SOLE 0 0 23054 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1656 27530 SH SOLE 0 0 28389 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 226 2994 SH SOLE 0 0 2994 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1061 18321 SH SOLE 0 0 37347 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 130 2428 SH SOLE 0 0 2428 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 231 4569 SH SOLE 0 0 5483 SEMPRA ENERGY COM 816851109 107 708 SH SOLE 0 0 3601 SHARPSPRING INC COM 820054104 4320 376610 SH SOLE 0 0 376610 SHERWIN WILLIAMS CO COM 824348106 688 1179 SH SOLE 0 0 1868 SOUTH JERSEY INDS INC COM 838518108 108 3274 SH SOLE 0 0 3274 SOUTHERN CO COM 842587107 1127 17694 SH SOLE 0 0 38139 SOUTHWEST AIRLS CO COM 844741108 489 9056 SH SOLE 0 0 10041 SPARTAN MTRS INC COM 846819100 13025 720387 SH SOLE 0 0 720387 SQUARE INC CL A 852234103 167 2663 SH SOLE 0 0 4883 STARBUCKS CORP COM 855244109 1032 11740 SH SOLE 0 0 17613 STORE CAP CORP COM 862121100 956 25684 SH SOLE 0 0 25708 TJX COS INC NEW COM 872540109 102 1670 SH SOLE 0 0 5541 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 210 1712 SH SOLE 0 0 1712 TASEKO MINES LTD COM 876511106 9 17739 SH SOLE 0 0 17739 TENNECO INC CL A VTG COM STK 880349105 249 19010 SH SOLE 0 0 19010 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 106 10789 SH SOLE 0 0 56928 TEXAS INSTRS INC COM 882508104 262 2046 SH SOLE 0 0 3153 THERMO FISHER SCIENTIFIC INC COM 883556102 161 495 SH SOLE 0 0 1012 TORONTO DOMINION BK ONT COM NEW 891160509 289 5141 SH SOLE 0 0 6049 TYSON FOODS INC CL A 902494103 492 5405 SH SOLE 0 0 6547 US BANCORP DEL COM NEW 902973304 108 1827 SH SOLE 0 0 3797 UNION PACIFIC CORP COM 907818108 816 4512 SH SOLE 0 0 10129 UNITED PARCEL SERVICE INC CL B 911312106 1070 9137 SH SOLE 0 0 13004 UNITED STATES STL CORP NEW COM 912909108 660 57842 SH SOLE 0 0 57842 UNITED TECHNOLOGIES CORP COM 913017109 286 1911 SH SOLE 0 0 4322 V F CORP COM 918204108 105 1056 SH SOLE 0 0 1219 VANGUARD GROUP DIV APP ETF 921908844 1664 13352 SH SOLE 0 0 23273 VANGUARD STAR FD VG TL INTL STK F 921909768 199 3579 SH SOLE 0 0 24805 VANGUARD WORLD FD MEGA GRWTH IND 921910816 2799 19219 SH SOLE 0 0 19770 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 2246 25764 SH SOLE 0 0 26048 VANGUARD WORLD FD MEGA CAP INDEX 921910873 182 1626 SH SOLE 0 0 5127 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 185 1060 SH SOLE 0 0 1060 VANGUARD ADMIRAL FDS INC SMLCP 600 VAL 921932778 104 750 SH SOLE 0 0 750 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 129 846 SH SOLE 0 0 1152 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1403 16082 SH SOLE 0 0 37368 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1114 13821 SH SOLE 0 0 60628 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1129 13464 SH SOLE 0 0 56316 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1710 38804 SH SOLE 0 0 169628 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2850 30415 SH SOLE 0 0 37603 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 1134 17784 SH SOLE 0 0 18034 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 145 1785 SH SOLE 0 0 4660 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 518 9630 SH SOLE 0 0 11658 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6286 141358 SH SOLE 0 0 182858 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1143 16428 SH SOLE 0 0 17772 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 185 3157 SH SOLE 0 0 4972 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3451 11668 SH SOLE 0 0 19171 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 446 3746 SH SOLE 0 0 6457 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 349 2199 SH SOLE 0 0 3584 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1069 11526 SH SOLE 0 0 27396 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1137 5724 SH SOLE 0 0 6379 VANGUARD INDEX FDS SM CP VAL ETF 922908611 547 3992 SH SOLE 0 0 5599 VANGUARD INDEX FDS MID CAP ETF 922908629 1305 7325 SH SOLE 0 0 10333 VANGUARD INDEX FDS LARGE CAP ETF 922908637 167 1130 SH SOLE 0 0 1345 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 7547 59899 SH SOLE 0 0 63463 VANGUARD INDEX FDS GROWTH ETF 922908736 1806 9916 SH SOLE 0 0 48202 VANGUARD INDEX FDS VALUE ETF 922908744 2027 16914 SH SOLE 0 0 61115 VANGUARD INDEX FDS SMALL CP ETF 922908751 1212 7316 SH SOLE 0 0 19176 VANGUARD INDEX FDS TOTAL STK MKT 922908769 347 2119 SH SOLE 0 0 32475 VICI PPTYS INC COM 925652109 204 7982 SH SOLE 0 0 7982 VMWARE INC CL A COM 928563402 977 6434 SH SOLE 0 0 6434 WALMART INC COM 931142103 616 5188 SH SOLE 0 0 10776 WALGREENS BOOTS ALLIANCE INC COM 931427108 145 2466 SH SOLE 0 0 7486 WATTS WATER TECHNOLOGIES INC CL A 942749102 126 1260 SH SOLE 0 0 1260 WELLS FARGO CO NEW COM 949746101 199 3705 SH SOLE 0 0 16449 WELLS FARGO CO NEW PERP PFD CNV A 949746804 1001 690 SH SOLE 0 0 690 WINGSTOP INC COM 974155103 1788 20735 SH SOLE 0 0 20741 XILINX INC COM 983919101 165 1684 SH SOLE 0 0 2009 QUANTA SVCS INC COM 74762E102 127 3118 SH SOLE 0 0 3118 INVESCO QQQ TR UNIT SER 1 46090E103 4744 22315 SH SOLE 0 0 32748 FIRST TR EXCHANGE TRADED FD CAP STRENGTH ETF 33733E104 123 2038 SH SOLE 0 0 28075 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 494 52336 SH SOLE 0 0 52336 TARGET CORP COM 87612E106 395 3081 SH SOLE 0 0 5109 INVESCO EXCHNG TRADED FD TR 1 30 LADER TRE 46138E107 155 4488 SH SOLE 0 0 4488 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 112 5586 SH SOLE 0 0 39729 EVENTBRITE INC COM CL A 29975E109 144 7150 SH SOLE 0 0 7150 TRAVELERS COMPANIES INC COM 89417E109 196 1430 SH SOLE 0 0 3108 GLOBAL X FDS REIT ETF 37950E127 249 16230 SH SOLE 0 0 43680 INVESCO EXCHNG TRADED FD TR S&P SMLCP HELT 46138E149 464 3590 SH SOLE 0 0 3656 INVESCO EXCHNG TRADED FD TR S&P SMLCP FINL 46138E156 101 1795 SH SOLE 0 0 1795 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 138 2561 SH SOLE 0 0 18574 FIRSTSERVICE CORP NEW COM 33767E202 294 3155 SH SOLE 0 0 3558 GLOBAL X FDS GLOBX SUPDV US 37950E291 120 5057 SH SOLE 0 0 10442 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 3447 24776 SH SOLE 0 0 28997 ALPS ETF TR ALERIAN MLP 00162Q866 626 73666 SH SOLE 0 0 152537 AT&T INC COM 00206R102 2424 62039 SH SOLE 0 0 167933 ARK ETF TR INNOVATION ETF 00214Q104 109 2184 SH SOLE 0 0 4395 ABBVIE INC COM 00287Y109 369 4170 SH SOLE 0 0 23657 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 321 35888 SH SOLE 0 0 35888 ACTIVISION BLIZZARD INC COM 00507V109 146 2455 SH SOLE 0 0 3685 ADVENT CONVERTIBLE & INCOME COM 00764C109 238 15321 SH SOLE 0 0 16149 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 702 3310 SH SOLE 0 0 3994 ALKALINE WTR CO INC COM NEW 01643A207 41 32100 SH SOLE 0 0 32100 ALLISON TRANSMISSION HLDGS I COM 01973R101 130 2697 SH SOLE 0 0 2697 ALPHABET INC CAP STK CL C 02079K107 1570 1174 SH SOLE 0 0 1928 ALPHABET INC CAP STK CL A 02079K305 3134 2340 SH SOLE 0 0 2872 ALTERYX INC COM CL A 02156B103 564 5640 SH SOLE 0 0 5643 ALTRIA GROUP INC COM 02209S103 1106 22164 SH SOLE 0 0 69678 AMERICAN AIRLS GROUP INC COM 02376R102 190 6624 SH SOLE 0 0 9550 AMERICAN FIN TR INC COM CLASS A 02607T109 852 64239 SH SOLE 0 0 140819 AMERICAN TOWER CORP NEW COM 03027X100 208 907 SH SOLE 0 0 3520 APOLLO INVT CORP COM NEW 03761U502 596 34158 SH SOLE 0 0 34299 APOLLO COML REAL EST FIN INC COM 03762U105 173 9459 SH SOLE 0 0 25971 AQUA AMERICA INC COM 03836W103 233 4957 SH SOLE 0 0 4957 ARES CAP CORP COM 04010L103 1953 104692 SH SOLE 0 0 115225 ARES CAP CORP NOTE 4.625% 3/0 04010LAW3 53 50000 PRN SOLE 0 0 50000 BARCLAYS BK PLC BARC ETN+SHILL 06742A669 127 850 SH SOLE 0 0 850 BIOMARIN PHARMACEUTICAL INC COM 09061G101 121 1430 SH SOLE 0 0 1431 BIOGEN INC COM 09062X103 198 667 SH SOLE 0 0 844 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 405 16647 SH SOLE 0 0 35730 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 212 15165 SH SOLE 0 0 15165 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 534 34168 SH SOLE 0 0 34168 BLACKSTONE MTG TR INC COM CL A 09257W100 396 10647 SH SOLE 0 0 20452 BLACKSTONE GROUP INC COM CL A 09260D107 2501 44702 SH SOLE 0 0 97594 BLUEROCK RESIDENTIAL GRW REI COM CL A 09627J102 900 74683 SH SOLE 0 0 84083 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 108 875 SH SOLE 0 0 1412 BROADCOM INC COM 11135F101 151 478 SH SOLE 0 0 980 CBRE CLARION GLOBAL REAL EST COM 12504G100 1608 200554 SH SOLE 0 0 202207 CBRE GROUP INC CL A 12504L109 581 9486 SH SOLE 0 0 9721 CENTENE CORP DEL COM 15135B101 955 15189 SH SOLE 0 0 15329 CHIMERA INVT CORP COM NEW 16934Q208 823 40014 SH SOLE 0 0 52142 CISCO SYS INC COM 17275R102 864 18016 SH SOLE 0 0 28157 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 909 108111 SH SOLE 0 0 108111 COHEN & STEERS MLP INC & ENR COM SHS 19249B106 235 29254 SH SOLE 0 0 29254 COLONY CR REAL ESTATE INC COM CL A 19625T101 12378 940594 SH SOLE 0 0 1013083 COMCAST CORP NEW CL A 20030N101 155 3438 SH SOLE 0 0 17206 CONOCOPHILLIPS COM 20825C104 171 2631 SH SOLE 0 0 10623 CORNERSTONE STRATEGIC VALUE COM 21924B302 5208 464552 SH SOLE 0 0 464552 COSTCO WHSL CORP NEW COM 22160K105 961 3268 SH SOLE 0 0 5267 CROWN CASTLE INTL CORP NEW COM 22822V101 124 875 SH SOLE 0 0 1280 DOMINION ENERGY INC COM 25746U109 170 2056 SH SOLE 0 0 7587 DUKE ENERGY CORP NEW COM NEW 26441C204 235 2575 SH SOLE 0 0 9746 DYNEX CAP INC COM 26817Q886 10040 592693 SH SOLE 0 0 592693 EPR PPTYS COM SH BEN INT 26884U109 163 2312 SH SOLE 0 0 2366 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 627 15094 SH SOLE 0 0 15244 EATON VANCE TX MGD DIV EQ IN COM 27828N102 663 52922 SH SOLE 0 0 52922 EATON VANCE TX ADV GLBL DIV COM 27828S101 301 16678 SH SOLE 0 0 17525 EATON VANCE TX MNG BY WRT OP COM 27828Y108 479 32065 SH SOLE 0 0 32315 EATON VANCE TXMGD GL BUYWR O COM 27829C105 212 20476 SH SOLE 0 0 20476 EATON VANCE TAX MNGD GBL DV COM 27829F108 628 71482 SH SOLE 0 0 72357 EATON VANCE RISK MNGD DIV EQ COM 27829G106 142 15227 SH SOLE 0 0 15227 ELANCO ANIMAL HEALTH INC COM 28414H103 128 4350 SH SOLE 0 0 4350 ELDORADO RESORTS INC COM 28470R102 4980 83505 SH SOLE 0 0 83505 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 137 10713 SH SOLE 0 0 43757 EQUITY RESIDENTIAL SH BEN INT 29476L107 783 9673 SH SOLE 0 0 9673 EXELON CORP COM 30161N101 182 3986 SH SOLE 0 0 5289 EXXON MOBIL CORP COM 30231G102 1183 16948 SH SOLE 0 0 35225 FACEBOOK INC CL A 30303M102 3438 16751 SH SOLE 0 0 22922 FEDEX CORP COM 31428X106 186 1232 SH SOLE 0 0 2676 FIRST TR INTER DUR PFD & IN COM 33718W103 859 36425 SH SOLE 0 0 40717 FIRST TR VALUE LINE DIVID IN SHS 33734H106 2069 57428 SH SOLE 0 0 78022 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 3978 87750 SH SOLE 0 0 89459 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 205 4105 SH SOLE 0 0 4205 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 424 9395 SH SOLE 0 0 10378 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 241 6006 SH SOLE 0 0 6597 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 682 9402 SH SOLE 0 0 10197 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 245 8385 SH SOLE 0 0 9515 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 188 3110 SH SOLE 0 0 4513 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 209 8218 SH SOLE 0 0 9565 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 5456 113857 SH SOLE 0 0 119684 FIRST TR EXCHANGE TRADED FD RISNG DIVD ACHIV 33738R506 1968 54854 SH SOLE 0 0 56404 FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 33739P103 758 17744 SH SOLE 0 0 17757 FIRST TR EXCH TRADED FD III CALIF MUN INCM 33739P863 112 2100 SH SOLE 0 0 2100 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1460 28192 SH SOLE 0 0 41887 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 716 47934 SH SOLE 0 0 47934 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 1259 24287 SH SOLE 0 0 32915 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 539 20148 SH SOLE 0 0 20148 FLEXSHARES TR QLT DIV DEF IDX 33939L845 2530 52927 SH SOLE 0 0 52927 FRANKLIN LTD DURATION INC TR COM 35472T101 827 86226 SH SOLE 0 0 86226 GAMING & LEISURE PPTYS INC COM 36467J108 146 3400 SH SOLE 0 0 3457 GANNETT CO INC NEW COM 36472T109 155 24320 SH SOLE 0 0 24320 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 866 18436 SH SOLE 0 0 27584 GLOBAL X FDS GLBX SUPRINC ETF 37950E333 150 12762 SH SOLE 0 0 15775 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 381 16148 SH SOLE 0 0 42413 GLOBAL X FDS X YIELDCO RENE 37954Y707 237 15910 SH SOLE 0 0 15910 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 991 45329 SH SOLE 0 0 45329 GOLDMAN SACHS GROUP INC COM 38141G104 893 3882 SH SOLE 0 0 4608 GOLDMAN SACHS BDC INC SHS 38147U107 227 10673 SH SOLE 0 0 10673 GUGGENHEIM STRATEGIC OPP FD COM SBI 40167F101 194 10703 SH SOLE 0 0 13004 HCA HEALTHCARE INC COM 40412C101 294 1991 SH SOLE 0 0 2158 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 313 17418 SH SOLE 0 0 21418 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 217 7951 SH SOLE 0 0 11591 HEALTHCARE TR AMER INC CL A NEW 42225P501 107 3530 SH SOLE 0 0 6475 HIGHLAND INCOME FUND HIGHLAND INCOME 43010E404 253 20343 SH SOLE 0 0 30598 ISTAR INC COM 45031U101 2880 198462 SH SOLE 0 0 198462 INDEXIQ ETF TR IQ ENCH COR PL 45409B479 1484 75190 SH SOLE 0 0 75410 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 1645 49551 SH SOLE 0 0 49551 INNOVATIVE SOLUTIONS & SUPPO COM 45769N105 197 33650 SH SOLE 0 0 33650 INTERCONTINENTAL EXCHANGE IN COM 45866F104 127 1375 SH SOLE 0 0 2030 INVESCO ACTIVELY MANAGD ETF ACTIVE US REAL 46090A101 599 6253 SH SOLE 0 0 6268 INVESCO MUN OPPORTUNITY TR COM 46132C107 199 16135 SH SOLE 0 0 16135 INVESCO QUALITY MUNI INC TRS COM 46133G107 495 39355 SH SOLE 0 0 48755 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 443 1896 SH SOLE 0 0 1926 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 849 6696 SH SOLE 0 0 7027 INVESCO EXCHANGE TRADED FD T S&P500 EQL UTL 46137V274 702 6608 SH SOLE 0 0 7102 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 518 7511 SH SOLE 0 0 7802 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 133 602 SH SOLE 0 0 811 INVESCO EXCHANGE TRADED FD T S&P500 EQL ENR 46137V365 786 16414 SH SOLE 0 0 16414 INVESCO EXCHANGE TRADED FD T GBL LISTED PVT 46137V589 505 39504 SH SOLE 0 0 47832 INVESCO EXCHANGE TRADED FD T DYNMC LRG GWTH 46137V746 106 2064 SH SOLE 0 0 2064 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 4815 82536 SH SOLE 0 0 103313 INVESCO EXCHNG TRADED FD TR CEF INM COMPSI 46138E404 270 11585 SH SOLE 0 0 13695 INVESCO EXCHNG TRADED FD TR PURBTA 0 5 YR 46138E495 834 33358 SH SOLE 0 0 33358 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 1097 73096 SH SOLE 0 0 87811 INVESCO EXCHNG TRADED FD TR NATL AMT MUNI 46138E537 193 7297 SH SOLE 0 0 9297 INVESCO EXCHNG TRADED FD TR KBW HIG DV YLD 46138E610 111 5047 SH SOLE 0 0 12112 INVESCO EXCHNG TRADED FD TR GBL SRT TRM HY 46138E669 9057 397246 SH SOLE 0 0 398141 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 278 14459 SH SOLE 0 0 15461 INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG 46138E727 826 37059 SH SOLE 0 0 38891 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 2749 92948 SH SOLE 0 0 103237 INVESCO EXCHNG TRADED FD TR DWA SMLCP MENT 46138E842 972 17020 SH SOLE 0 0 17020 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 146 6410 SH SOLE 0 0 8326 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1499 37984 SH SOLE 0 0 37984 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 165 6371 SH SOLE 0 0 6557 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 CB 46138J502 1067 50094 SH SOLE 0 0 50794 IRON MTN INC NEW COM 46284V101 132 4157 SH SOLE 0 0 14396 ISHARES SILVER TRUST ISHARES 46428Q109 472 28325 SH SOLE 0 0 33333 ISHARES TR GNMA BOND ETF 46429B333 809 16120 SH SOLE 0 0 16120 ISHARES TR MSCI INDIA ETF 46429B598 1181 33592 SH SOLE 0 0 33592 ISHARES TR FLTG RATE NT ETF 46429B655 112 2203 SH SOLE 0 0 3736 ISHARES TR CORE HIGH DV ETF 46429B663 210 2140 SH SOLE 0 0 4381 ISHARES TR MIN VOL EAFE ETF 46429B689 4154 55724 SH SOLE 0 0 60524 ISHARES TR MSCI MIN VOL ETF 46429B697 3962 60390 SH SOLE 0 0 90422 ISHARES TR 0-5 YR TIPS ETF 46429B747 703 6985 SH SOLE 0 0 7041 ISHARES US ETF TR SHT MAT BD ETF 46431W507 595 11836 SH SOLE 0 0 17841 ISHARES TR USA QUALITY FCTR 46432F339 7477 74030 SH SOLE 0 0 82356 ISHARES TR USA MOMENTUM FCT 46432F396 14170 112851 SH SOLE 0 0 116281 ISHARES TR CORE MSCI EAFE 46432F842 851 13043 SH SOLE 0 0 39796 ISHARES INC CORE MSCI EMKT 46434G103 3753 69819 SH SOLE 0 0 95126 ISHARES TR MULTIFACTOR INTL 46434V274 248 9182 SH SOLE 0 0 9299 ISHARES TR INTL QLTY FACTOR 46434V456 2500 77409 SH SOLE 0 0 78457 ISHARES TR CORE DIV GRWTH 46434V621 1192 28336 SH SOLE 0 0 33234 ISHARES TR YLD OPTIM BD 46434V787 103 4013 SH SOLE 0 0 4013 ISHARES TR ULTR SH TRM BD 46434V878 691 13737 SH SOLE 0 0 35137 ISHARES TR IBONDS DEC23 ETF 46434VAX8 197 7692 SH SOLE 0 0 7932 ISHARES TR FALN ANGLS USD 46435G474 784 28895 SH SOLE 0 0 30795 ISHARES TR BROAD USD HIGH 46435U853 180 4369 SH SOLE 0 0 4873 JPMORGAN CHASE & CO COM 46625H100 3561 25549 SH SOLE 0 0 31715 JP MORGAN EXCHANGE TRADED FD DIV RTN GLB EQ 46641Q100 2882 46322 SH SOLE 0 0 46831 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 1707 33843 SH SOLE 0 0 34054 KIMCO RLTY CORP COM 49446R109 2174 104969 SH SOLE 0 0 105803 KINDER MORGAN INC DEL COM 49456B101 774 36552 SH SOLE 0 0 45827 LAZARD GLB TTL RET&INCM FD I COM 52106W103 140 8431 SH SOLE 0 0 8431 LIVE OAK BANCSHARES INC COM 53803X105 252 13275 SH SOLE 0 0 13275 MACYS INC COM 55616P104 424 24947 SH SOLE 0 0 26647 MAIN STREET CAPITAL CORP COM 56035L104 1597 37046 SH SOLE 0 0 61489 MARATHON PETE CORP COM 56585A102 757 12558 SH SOLE 0 0 14365 MARKETAXESS HLDGS INC COM 57060D108 358 943 SH SOLE 0 0 1350 MASTERCARD INC CL A 57636Q104 1419 4753 SH SOLE 0 0 10666 MERCK & CO INC COM 58933Y105 485 5333 SH SOLE 0 0 14158 MONEYGRAM INTL INC COM NEW 60935Y208 85 40550 SH SOLE 0 0 40550 MONGODB INC CL A 60937P106 842 6400 SH SOLE 0 0 6400 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 146 12870 SH SOLE 0 0 12870 NEPTUNE WELLNESS SOLUTIONS I COM 64079L105 176 64000 SH SOLE 0 0 64000 NETFLIX INC COM 64110L106 677 2091 SH SOLE 0 0 3198 NEUBERGER BERMAN MUNI FD INC COM 64124P101 433 28106 SH SOLE 0 0 28106 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 13809 857171 SH SOLE 0 0 882897 NEXTERA ENERGY INC COM 65339F101 727 3004 SH SOLE 0 0 4878 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 343 19340 SH SOLE 0 0 19340 NOVARTIS A G SPONSORED ADR 66987V109 1193 12594 SH SOLE 0 0 14387 NVIDIA CORP COM 67066G104 599 2544 SH SOLE 0 0 3587 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 199 13392 SH SOLE 0 0 18494 NUVEEN REAL ESTATE INCOME FD COM 67071B108 118 11069 SH SOLE 0 0 11069 NUVEEN AMT FREE MUN CR INC F COM 67071L106 120 7207 SH SOLE 0 0 14003 NUVEEN PFD & INCM SECURTIES COM 67072C105 123 12267 SH SOLE 0 0 13281 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 111 6764 SH SOLE 0 0 6764 OAKTREE SPECIALTY LENDING CO COM 67401P108 10821 1981859 SH SOLE 0 0 1981859 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 241 7504 SH SOLE 0 0 9854 ORACLE CORP COM 68389X105 211 3990 SH SOLE 0 0 10722 ORGANOVO HLDGS INC COM 68620A104 9 25006 SH SOLE 0 0 25006 PPL CORP COM 69351T106 118 3296 SH SOLE 0 0 4703 PAYCOM SOFTWARE INC COM 70432V102 151 572 SH SOLE 0 0 642 PAYPAL HLDGS INC COM 70450Y103 860 7954 SH SOLE 0 0 10067 PENNYMAC MTG INVT TR COM 70931T103 537 24085 SH SOLE 0 0 24085 PIMCO CORPORATE & INCOME OPP COM 72201B101 1065 56073 SH SOLE 0 0 87225 PIMCO INCOME STRATEGY FUND COM 72201H108 664 56067 SH SOLE 0 0 58547 PIMCO ETF TR ACTIVE BD ETF 72201R775 381 3531 SH SOLE 0 0 7838 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 146 1467 SH SOLE 0 0 2697 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 18928 186317 SH SOLE 0 0 193578 PIMCO DYNAMIC INCOME FD SHS 72201Y101 428 13201 SH SOLE 0 0 14201 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 1202 47697 SH SOLE 0 0 51400 PINTEREST INC CL A 72352L106 109 5858 SH SOLE 0 0 5908 PREFERRED APT CMNTYS INC COM 74039L103 138 10375 SH SOLE 0 0 47532 PROSHARES TR LARGE CAP CRE 74347R248 848 10992 SH SOLE 0 0 12164 PROSPECT CAPITAL CORPORATION COM 74348T102 480 74512 SH SOLE 0 0 74614 PROSPECT CAPITAL CORPORATION NOTE 4.950% 7/1 74348TAR3 51 50000 PRN SOLE 0 0 50000 PUBLIC STORAGE COM 74460D109 607 2848 SH SOLE 0 0 3978 SPDR S&P 500 ETF TR TR UNIT 78462F103 9695 30120 SH SOLE 0 0 45365 SPDR GOLD TRUST GOLD SHS 78463V107 505 3536 SH SOLE 0 0 8025 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 133 2584 SH SOLE 0 0 2777 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 210 5230 SH SOLE 0 0 5230 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 2198 56669 SH SOLE 0 0 58835 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 173 5516 SH SOLE 0 0 44333 SPDR SERIES TRUST NYSE TECH ETF 78464A102 270 3308 SH SOLE 0 0 4172 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 538 8343 SH SOLE 0 0 9164 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 517 7863 SH SOLE 0 0 8700 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 1164 20980 SH SOLE 0 0 23387 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 259 8590 SH SOLE 0 0 10013 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 185 5247 SH SOLE 0 0 12123 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 408 9739 SH SOLE 0 0 14097 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 206 6695 SH SOLE 0 0 7983 SPDR SERIES TRUST FTSE INT GVT ETF 78464A490 291 5272 SH SOLE 0 0 5568 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 1994 57119 SH SOLE 0 0 73187 SPDR SERIES TRUST HLTH CARE SVCS 78464A573 2065 28437 SH SOLE 0 0 28606 SPDR SERIES TRUST HLTH CR EQUIP 78464A581 156 1817 SH SOLE 0 0 3120 SPDR SERIES TRUST COMP SOFTWARE 78464A599 109 1075 SH SOLE 0 0 1337 SPDR SERIES TRUST DJ REIT ETF 78464A607 1147 11246 SH SOLE 0 0 12361 SPDR SERIES TRUST AEROSPACE DEF 78464A631 242 2219 SH SOLE 0 0 8266 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 1646 56013 SH SOLE 0 0 140048 SPDR SERIES TRUST S&P REGL BKG 78464A698 286 4918 SH SOLE 0 0 12626 SPDR SERIES TRUST S&P PHARMAC 78464A722 652 14270 SH SOLE 0 0 14270 SPDR SERIES TRUST S&P DIVID ETF 78464A763 231 2147 SH SOLE 0 0 6399 SPDR SERIES TRUST S&P BK ETF 78464A797 1984 41964 SH SOLE 0 0 41964 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 118 2156 SH SOLE 0 0 2940 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 1303 35975 SH SOLE 0 0 38623 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 262 6927 SH SOLE 0 0 7172 SPDR SERIES TRUST S&P BIOTECH 78464A870 904 9509 SH SOLE 0 0 12382 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 965 15714 SH SOLE 0 0 15714 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 251 5387 SH SOLE 0 0 9213 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 397 8108 SH SOLE 0 0 37208 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 6645 23309 SH SOLE 0 0 24165 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5641 15026 SH SOLE 0 0 16045 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 892 29032 SH SOLE 0 0 29943 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 1424 13004 SH SOLE 0 0 15726 SPDR SERIES TRUST S&P1500MOMTILT 78468R705 242 1755 SH SOLE 0 0 1865 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 2614 66235 SH SOLE 0 0 68371 SPDR SERIES TRUST SSGA US LRG ETF 78468R804 147 1290 SH SOLE 0 0 1290 SPDR SERIES TRUST PORTFOLIO SM ETF 78468R853 1123 34406 SH SOLE 0 0 36997 SPDR SERIES TRUST SSGA US SMAL ETF 78468R887 114 1137 SH SOLE 0 0 1366 SAIA INC COM 78709Y105 1155 12402 SH SOLE 0 0 12402 SALESFORCE COM INC COM 79466L302 818 5029 SH SOLE 0 0 6060 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 3890 63338 SH SOLE 0 0 65555 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 670 6579 SH SOLE 0 0 19495 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 789 12522 SH SOLE 0 0 28273 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1388 11067 SH SOLE 0 0 15724 SELECT SECTOR SPDR TR ENERGY 81369Y506 103 1721 SH SOLE 0 0 7737 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1382 44886 SH SOLE 0 0 70405 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4222 51824 SH SOLE 0 0 59374 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 7008 76449 SH SOLE 0 0 97262 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 282 5260 SH SOLE 0 0 6038 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 1500 38796 SH SOLE 0 0 40964 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5500 85116 SH SOLE 0 0 90881 SERVICE PPTYS TR COM SH BEN INT 81761L102 213 8750 SH SOLE 0 0 21005 SHOPIFY INC CL A 82509L107 161 404 SH SOLE 0 0 601 SIRIUS XM HLDGS INC COM 82968B103 76 10644 SH SOLE 0 0 11224 SKYWORKS SOLUTIONS INC COM 83088M102 146 1208 SH SOLE 0 0 1516 SLACK TECHNOLOGIES INC COM CL A 83088V102 401 17843 SH SOLE 0 0 18443 SOLAR CAP LTD COM 83413U100 144 6966 SH SOLE 0 0 6966 SORRENTO THERAPEUTICS INC COM NEW 83587F202 78 23000 SH SOLE 0 0 23000 STARWOOD PPTY TR INC COM 85571B105 311 12491 SH SOLE 0 0 18051 STONE HBR EMERG MKTS TL INC COM 86164W100 3117 261743 SH SOLE 0 0 262243 SUTTER ROCK CAP CORP COM 86944Q100 96 14700 SH SOLE 0 0 14700 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 630 45507 SH SOLE 0 0 45507 TELADOC HEALTH INC COM 87918A105 131 1570 SH SOLE 0 0 1870 TESLA INC COM 88160R101 351 840 SH SOLE 0 0 1195 TEUCRIUM COMMODITY TR CORN FD SHS 88166A102 140 9445 SH SOLE 0 0 9445 TEUCRIUM COMMODITY TR SOYBEAN FD 88166A607 140 8836 SH SOLE 0 0 8836 TG THERAPEUTICS INC COM 88322Q108 111 10000 SH SOLE 0 0 10000 3M CO COM 88579Y101 214 1216 SH SOLE 0 0 1843 TRUIST FINL CORP COM 89832Q109 898 15945 SH SOLE 0 0 18734 TURNING PT BRANDS INC COM 90041L105 231 8088 SH SOLE 0 0 8088 TWILIO INC CL A 90138F102 2806 28550 SH SOLE 0 0 28610 TWO HBRS INVT CORP COM NEW 90187B408 179 12225 SH SOLE 0 0 16654 ULTA BEAUTY INC COM 90384S303 1044 4124 SH SOLE 0 0 4169 UNITEDHEALTH GROUP INC COM 91324P102 1124 3824 SH SOLE 0 0 6186 VALERO ENERGY CORP NEW COM 91913Y100 102 1088 SH SOLE 0 0 2521 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 628 21455 SH SOLE 0 0 29464 VANECK VECTORS ETF TRUST BDC INCOME ETF 92189F411 520 31022 SH SOLE 0 0 35374 VANECK VECTORS ETF TRUST FALLEN ANGEL HG 92189F437 1152 38597 SH SOLE 0 0 39346 VANECK VECTORS ETF TRUST MORNINGSTAR WIDE 92189F643 906 16548 SH SOLE 0 0 20018 VANECK VECTORS ETF TRUST SEMICONDUCTOR ET 92189F676 305 2155 SH SOLE 0 0 2262 VANECK VECTORS ETF TRUST VIETNAM ETF 92189F817 170 10642 SH SOLE 0 0 10642 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 782 12209 SH SOLE 0 0 15110 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 798 14113 SH SOLE 0 0 77171 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1568 8277 SH SOLE 0 0 12433 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 595 3688 SH SOLE 0 0 10166 VANGUARD WORLD FDS ENERGY ETF 92204A306 1077 13211 SH SOLE 0 0 19749 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 839 11003 SH SOLE 0 0 21261 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1796 9367 SH SOLE 0 0 17083 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 777 5052 SH SOLE 0 0 10258 VANGUARD WORLD FDS INF TECH ETF 92204A702 1920 7840 SH SOLE 0 0 11437 VANGUARD WORLD FDS MATERIALS ETF 92204A801 480 3581 SH SOLE 0 0 9603 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1602 11212 SH SOLE 0 0 18467 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 450 4789 SH SOLE 0 0 12426 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 608 10000 SH SOLE 0 0 10202 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1666 20564 SH SOLE 0 0 31176 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 790 5935 SH SOLE 0 0 5975 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 202 1118 SH SOLE 0 0 1588 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 588 8928 SH SOLE 0 0 14532 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 124 2332 SH SOLE 0 0 36671 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 458 5011 SH SOLE 0 0 19760 VEREIT INC COM 92339V100 1005 108733 SH SOLE 0 0 134366 VERIZON COMMUNICATIONS INC COM 92343V104 1497 24381 SH SOLE 0 0 75304 VERTEX PHARMACEUTICALS INC COM 92532F100 269 1228 SH SOLE 0 0 1229 VERTICAL CAP INCOME FUND SHS BEN INT 92535C104 397 38167 SH SOLE 0 0 68187 VIACOMCBS INC CL B 92556H206 1406 33509 SH SOLE 0 0 33968 VISA INC COM CL A 92826C839 2860 15219 SH SOLE 0 0 24072 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 6938 555025 SH SOLE 0 0 556025 VIRTUS TOTAL RETURN FUND INC COM 92835W107 6173 541489 SH SOLE 0 0 541489 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 483 24972 SH SOLE 0 0 29179 VOYA INFRASTRUCTURE INDLS & COM 92912X101 111 9605 SH SOLE 0 0 9605 W P CAREY INC COM 92936U109 2238 27964 SH SOLE 0 0 36005 WASTE MGMT INC DEL COM 94106L109 663 5814 SH SOLE 0 0 7673 WESTERN ASSET MTG DEF OPPTY COM 95790B109 6224 306599 SH SOLE 0 0 306599 WISDOMTREE TR INTRST RATE HDGE 97717W380 1616 33619 SH SOLE 0 0 33619 WISDOMTREE TR US DIVID EX FNCL 97717W406 135 1464 SH SOLE 0 0 1556 WISDOMTREE TR HEDGED HI YLD BD 97717W430 4206 181549 SH SOLE 0 0 182286 WISDOMTREE TR US MIDCAP DIVID 97717W505 877 23065 SH SOLE 0 0 40141 WISDOMTREE TR US SMALLCAP FUND 97717W562 1998 51970 SH SOLE 0 0 52342 WISDOMTREE TR US MIDCAP FUND 97717W570 2432 57787 SH SOLE 0 0 58882 WISDOMTREE TR INTL EQUITY FD 97717W703 105 1970 SH SOLE 0 0 2598 WISDOMTREE TR YIELD ENHANCD US 97717X511 220 4202 SH SOLE 0 0 4397 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 573 8112 SH SOLE 0 0 8693 WW INTL INC COM 98262P101 587 15351 SH SOLE 0 0 15351 XCEL ENERGY INC COM 98389B100 136 2137 SH SOLE 0 0 7601 XYLEM INC COM 98419M100 325 4123 SH SOLE 0 0 4171 ZIMMER BIOMET HLDGS INC COM 98956P102 204 1363 SH SOLE 0 0 4289 ZOETIS INC CL A 98978V103 331 2498 SH SOLE 0 0 2548 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 158 2315 SH SOLE 0 0 2315 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1621 7696 SH SOLE 0 0 8036 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 436 16410 SH SOLE 0 0 16410 MEDTRONIC PLC SHS G5960L103 127 1119 SH SOLE 0 0 2574 STRONGBRIDGE BIOPHARMA PLC SHS USD G85347105 21 10000 SH SOLE 0 0 10000 MELLANOX TECHNOLOGIES LTD SHS M51363113 137 1170 SH SOLE 0 0 1170 NXP SEMICONDUCTORS N V COM N6596X109 110 867 SH SOLE 0 0 944