0001214659-20-006163.txt : 20200707
0001214659-20-006163.hdr.sgml : 20200707
20200707135239
ACCESSION NUMBER: 0001214659-20-006163
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200707
DATE AS OF CHANGE: 20200707
EFFECTIVENESS DATE: 20200707
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WILEY BROS.-AINTREE CAPITAL, LLC
CENTRAL INDEX KEY: 0000107136
IRS NUMBER: 621627736
STATE OF INCORPORATION: TN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19034
FILM NUMBER: 201015868
BUSINESS ADDRESS:
STREET 1: 40 BURTON HILLS BLVD.
STREET 2: SUITE 350
CITY: NASHVILLE
STATE: TN
ZIP: 37215
BUSINESS PHONE: 615 255 6431
MAIL ADDRESS:
STREET 1: 40 BURTON HILLS BLVD.
STREET 2: SUITE 350
CITY: NASHVILLE
STATE: TN
ZIP: 37215
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS AINTREE CAPITAL LLC /BD
DATE OF NAME CHANGE: 20000209
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS AINTREE CAPITAL LLC /BD
DATE OF NAME CHANGE: 20000101
FORMER COMPANY:
FORMER CONFORMED NAME: WILEY BROS AINTREE CAPITAL LLC
DATE OF NAME CHANGE: 19980416
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0000107136
XXXXXXXX
06-30-2020
06-30-2020
false
WILEY BROS.-AINTREE CAPITAL, LLC
40 Burton Hills Blvd.
Suite 350
Nashville
TN
37215
13F HOLDINGS REPORT
028-19034
N
Alyson Mencio Stevens
Compliance Officer - Advisory Services
615-252-6120
/s/ Alyson Mencio Stevens
Nashville
TN
07-06-2020
0
128
82789
INFORMATION TABLE
2
infotable.xml
DOCUSIGN INC
COM
256163106
2086
12115
SH
SOLE
12115
0
0
CONSTELLIUM SE
CL A SHS
F21107101
949
123555
SH
SOLE
123555
0
0
CSI COMPRESSCO LP
COM UNIT
12637A103
325
428894
SH
SOLE
428894
0
0
NOKIA CORP
SPONSORED ADR
654902204
187
42500
SH
SOLE
42500
0
0
PAYLOCITY HLDG CORP
COM
70438V106
1897
13002
SH
SOLE
13002
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
1414
190375
SH
SOLE
190375
0
0
LOWES COS INC
COM
548661107
426
3150
SH
SOLE
3150
0
0
ALPHABET INC
CAP STK CL A
02079K305
218
154
SH
SOLE
154
0
0
VANGUARD WORLD FD
MEGA GRWTH IND
921910816
356
2175
SH
SOLE
2175
0
0
UNITED RENTALS INC
COM
911363109
940
6310
SH
SOLE
6310
0
0
MR COOPER GROUP INC
COM
62482R107
903
72625
SH
SOLE
72625
0
0
DISCOVERY INC
COM SER C
25470F302
257
13325
SH
SOLE
13325
0
0
METLIFE INC
COM
59156R108
449
12285
SH
SOLE
12285
0
0
OXFORD LANE CAP CORP
COM
691543102
964
234471
SH
SOLE
234471
0
0
TWO HBRS INVT CORP
COM NEW
90187B408
772
153109
SH
SOLE
153109
0
0
BLACKROCK CR ALLOCATION INCO
COM
092508100
189
14346
SH
SOLE
14346
0
0
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
1596
87569
SH
SOLE
87569
0
0
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
238
16537
SH
SOLE
16537
0
0
VISA INC
COM CL A
92826C839
1727
8942
SH
SOLE
8942
0
0
CRACKER BARREL OLD CTRY STOR
COM
22410J106
1651
14888
SH
SOLE
14888
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
1010
7388
SH
SOLE
7388
0
0
ANNALY CAPITAL MANAGEMENT IN
COM
035710409
682
103930
SH
SOLE
103930
0
0
INVESCO EXCHANGE TRADED FD T
S&P500 EQL HLT
46137V332
798
3591
SH
SOLE
3591
0
0
COMMSCOPE HLDG CO INC
COM
20337X109
350
42010
SH
SOLE
42010
0
0
GRANITE PT MTG TR INC
COM STK
38741L107
954
132878
SH
SOLE
132878
0
0
ISHARES TR
U.S. MED DVC ETF
464288810
863
3260
SH
SOLE
3260
0
0
USA COMPRESSION PARTNERS LP
COMUNIT LTDPAR
90290N109
172
15798
SH
SOLE
15798
0
0
CHERRY HILL MTG INVT CORP
COM
164651101
1562
173187
SH
SOLE
173187
0
0
EPR PPTYS
COM SH BEN INT
26884U109
217
6550
SH
SOLE
6550
0
0
DELL TECHNOLOGIES INC
CL C
24703L202
762
13865
SH
SOLE
13865
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
1621
28606
SH
SOLE
28606
0
0
AT&T INC
COM
00206R102
588
19435
SH
SOLE
19435
0
0
HCA HEALTHCARE INC
COM
40412C101
295
3040
SH
SOLE
3040
0
0
SPDR SER TR
S&P BIOTECH
78464A870
676
6040
SH
SOLE
6040
0
0
GLOBAL X FDS
CLOUD COMPUTNG
37954Y442
366
17095
SH
SOLE
17095
0
0
INTEL CORP
COM
458140100
293
4903
SH
SOLE
4903
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1006
6087
SH
SOLE
6087
0
0
JOHNSON & JOHNSON
COM
478160104
721
5125
SH
SOLE
5125
0
0
UBS AG LONDON BRANCH
ETRACS WF BUS DE
90274D416
164
11697
SH
SOLE
11697
0
0
ORACLE CORP
COM
68389X105
249
4511
SH
SOLE
4511
0
0
AMAZON COM INC
COM
023135106
1680
609
SH
SOLE
609
0
0
ARLINGTON ASSET INVST CORP
CL A NEW
041356205
257
86700
SH
SOLE
86700
0
0
FACEBOOK INC
CL A
30303M102
709
3124
SH
SOLE
3124
0
0
INVESCO EXCHANGE-TRADED FD T
VAR RATE PFD
46138G870
298
12720
SH
SOLE
12720
0
0
CIGNA CORP NEW
COM
125523100
289
1542
SH
SOLE
1542
0
0
APPLE INC
COM
037833100
5763
15798
SH
SOLE
15798
0
0
MICRON TECHNOLOGY INC
COM
595112103
249
4825
SH
SOLE
4825
0
0
TEKLA HEALTHCARE OPPORTUNITI
SHS
879105104
282
15841
SH
SOLE
15841
0
0
NATIONAL HEALTH INVS INC
COM
63633D104
698
11499
SH
SOLE
11499
0
0
ARES CAPITAL CORP
COM
04010L103
169
11695
SH
SOLE
11695
0
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
225
13515
SH
SOLE
13515
0
0
PGIM HIGH YIELD BOND FUND IN
COM
69346H100
139
10502
SH
SOLE
10502
0
0
TPG RE FIN TR INC
COM
87266M107
231
26878
SH
SOLE
26878
0
0
HOME DEPOT INC
COM
437076102
230
918
SH
SOLE
918
0
0
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
133
12944
SH
SOLE
12944
0
0
PAYPAL HLDGS INC
COM
70450Y103
805
4620
SH
SOLE
4620
0
0
EATON VANCE TAX MNGD BUY WRI
COM SH BEN INT
27829M103
330
36850
SH
SOLE
36850
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
228
4137
SH
SOLE
4137
0
0
AMERICA FIRST MULTIFAMILY IN
BEN UNIT CTF
02364V107
48
11540
SH
SOLE
11540
0
0
INVESCO DYNAMIC CR OPPORTUNI
COM
46132R104
130
14590
SH
SOLE
14590
0
0
FIDELITY NATL INFORMATION SV
COM
31620M106
453
3376
SH
SOLE
3376
0
0
BARRICK GOLD CORPORATION
COM
067901108
213
7900
SH
SOLE
7900
0
0
FIRST HORIZON NATL CORP
COM
320517105
256
25692
SH
SOLE
25692
0
0
MICROSOFT CORP
COM
594918104
596
2928
SH
SOLE
2928
0
0
CISCO SYS INC
COM
17275R102
445
9545
SH
SOLE
9545
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
2589
65112
SH
SOLE
65112
0
0
ENBRIDGE INC
COM
29250N105
314
10328
SH
SOLE
10328
0
0
SALESFORCE COM INC
COM
79466L302
392
2090
SH
SOLE
2090
0
0
DISNEY WALT CO
COM DISNEY
254687106
384
3443
SH
SOLE
3443
0
0
FORD MTR CO DEL
COM
345370860
85
14049
SH
SOLE
14049
0
0
COCA COLA CO
COM
191216100
569
12746
SH
SOLE
12746
0
0
VISTRA ENERGY CORP
COM
92840M102
277
14900
SH
SOLE
14900
0
0
FIRST TR EXCHANGE TRADED FD
CLOUD COMPUTING
33734X192
585
7850
SH
SOLE
7850
0
0
ENERGY TRANSFER LP
COM UT LTD PTN
29273V100
282
39663
SH
SOLE
39663
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
590
1912
SH
SOLE
1912
0
0
EXXON MOBIL CORP
COM
30231G102
397
8874
SH
SOLE
8874
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
731
40250
SH
SOLE
40250
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
262
3277
SH
SOLE
3277
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
236
1648
SH
SOLE
1648
0
0
JPMORGAN CHASE & CO
COM
46625H100
466
4954
SH
SOLE
4954
0
0
ISHARES TR
CORE S&P500 ETF
464287200
3054
9860
SH
SOLE
9860
0
0
STRYKER CORPORATION
COM
863667101
577
3201
SH
SOLE
3201
0
0
PROCTER AND GAMBLE CO
COM
742718109
555
4643
SH
SOLE
4643
0
0
GLOBAL MED REIT INC
COM NEW
37954A204
343
30311
SH
SOLE
30311
0
0
PINNACLE FINL PARTNERS INC
COM
72346Q104
333
7934
SH
SOLE
7934
0
0
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
281
2398
SH
SOLE
2398
0
0
WISDOMTREE TR
US DIVID EX FNCL
97717W406
308
4183
SH
SOLE
4183
0
0
ILLINOIS TOOL WKS INC
COM
452308109
926
5297
SH
SOLE
5297
0
0
GENERAL ELECTRIC CO
COM
369604103
157
23016
SH
SOLE
23016
0
0
ASHLAND GLOBAL HLDGS INC
COM
044186104
244
3525
SH
SOLE
3525
0
0
ABBVIE INC
COM
00287Y109
231
2353
SH
SOLE
2353
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
2590
54199
SH
SOLE
54199
0
0
BK OF AMERICA CORP
COM
060505104
213
8988
SH
SOLE
8988
0
0
DEERE & CO
COM
244199105
214
1360
SH
SOLE
1360
0
0
VEREIT INC
COM
92339V100
373
58031
SH
SOLE
58031
0
0
NEXTERA ENERGY INC
COM
65339F101
223
928
SH
SOLE
928
0
0
ATLANTIC POWER CORP
COM NEW
04878Q863
25
12533
SH
SOLE
12533
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
290
800
SH
SOLE
800
0
0
TRANSDIGM GROUP INC
COM
893641100
258
585
SH
SOLE
585
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
3789
54848
SH
SOLE
54848
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
4096
22790
SH
SOLE
22790
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
426
41716
SH
SOLE
41716
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
309
2077
SH
SOLE
2077
0
0
NUVEEN MUN INCOME FD INC
COM
67062J102
385
35908
SH
SOLE
35908
0
0
UGI CORP NEW
COM
902681105
200
6300
SH
SOLE
6300
0
0
PIMCO MUN INCOME FD II
COM
72200W106
204
15198
SH
SOLE
15198
0
0
EVERSOURCE ENERGY
COM
30040W108
227
2732
SH
SOLE
2732
0
0
FASTENAL CO
COM
311900104
643
15000
SH
SOLE
15000
0
0
REGIONS FINANCIAL CORP NEW
COM
7591EP100
152
13644
SH
SOLE
13644
0
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
258
1000
SH
SOLE
1000
0
0
FIRST TR EXCHANGE-TRADED FD
DORSEY WRIGHT
33738R886
495
29376
SH
SOLE
29376
0
0
AUBURN NATL BANCORP
COM
050473107
377
6600
SH
SOLE
6600
0
0
AMGEN INC
COM
031162100
1530
6489
SH
SOLE
6489
0
0
FIRST TR EXCHANGE-TRADED FD
FST LOW OPPT EFT
33739Q200
442
8557
SH
SOLE
8557
0
0
FIRST TR EXCHNG TRADED FD VI
TCW OPPORTUNIS
33740F805
613
11186
SH
SOLE
11186
0
0
FIRST TR EXCHANGE-TRADED FD
SENIOR LN FD
33738D309
642
14225
SH
SOLE
14225
0
0
FIRST TR EXCHANGE TRADED FD
CONSUMR DISCRE
33734X101
233
6240
SH
SOLE
6240
0
0
TENCENT MUSIC ENTMT GROUP
SPON ADS
88034P109
148
11000
SH
SOLE
11000
0
0
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
208
2305
SH
SOLE
2305
0
0
FIRST TR EXCHANGE TRADED FD
TECH ALPHADEX
33734X176
592
7105
SH
SOLE
7105
0
0
FIRST TR EXCH TRADED FD III
MANAGD MUN ETF
33739N108
604
10971
SH
SOLE
10971
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
290
4930
SH
SOLE
4930
0
0
BLACKSTONE MTG TR INC
NOTE 4.375% 5/0
09257WAB6
94
100000
SH
SOLE
100000
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
166
31000
SH
SOLE
31000
0
0
US BANCORP DEL
COM NEW
902973304
258
7000
SH
SOLE
7000
0
0
TEMPLETON EMERGING MKTS INCO
COM
880192109
86
11000
SH
SOLE
11000
0
0
TEEKAY LNG PARTNERS L P
PRTNRSP UNITS
Y8564M105
152
13000
SH
SOLE
13000
0
0
STARWOOD PPTY TR INC
NOTE 4.375% 4/0
85571BAH8
67
70000
SH
SOLE
70000
0
0