0001214659-21-004080.txt : 20210409
0001214659-21-004080.hdr.sgml : 20210409
20210409142108
ACCESSION NUMBER: 0001214659-21-004080
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210409
DATE AS OF CHANGE: 20210409
EFFECTIVENESS DATE: 20210409
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: 21817457
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
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0000107136
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03-31-2021
03-31-2021
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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
04-09-2021
0
156
137434
INFORMATION TABLE
2
infotable.xml
CHERRY HILL MTG INVT CORP
COM
164651101
1689
187969
SH
SOLE
187969
0
0
ALPHABET INC
CAP STK CL A
02079K305
489
237
SH
SOLE
237
0
0
NEXSTAR MEDIA GROUP INC
CL A
65336K103
275
1960
SH
SOLE
1960
0
0
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
211
7545
SH
SOLE
7545
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
2135
189743
SH
SOLE
189743
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1317
5155
SH
SOLE
5155
0
0
BLACKROCK CR ALLOCATION INCO
COM
092508100
215
14615
SH
SOLE
14615
0
0
DOCUSIGN INC
COM
256163106
1019
5035
SH
SOLE
5035
0
0
USA COMPRESSION PARTNERS LP
COMUNIT LTDPAR
90290N109
242
15798
SH
SOLE
15798
0
0
ANNALY CAPITAL MANAGEMENT IN
COM
035710409
1212
140920
SH
SOLE
140920
0
0
ASANA INC
CL A
04342Y104
298
10410
SH
SOLE
10410
0
0
GRANITE PT MTG TR INC
COM STK
38741L107
2012
168060
SH
SOLE
168060
0
0
ARLINGTON ASSET INVST CORP
CL A NEW
041356205
890
220375
SH
SOLE
220375
0
0
DELL TECHNOLOGIES INC
CL C
24703L202
1406
15955
SH
SOLE
15955
0
0
HOME PT CAPITAL INCORPORATED
COM
43734L106
233
25090
SH
SOLE
25090
0
0
CSI COMPRESSCO LP
COM UNIT
12637A103
706
387894
SH
SOLE
387894
0
0
FIRST TR EXCHANGE TRADED FD
CLOUD COMPUTING
33734X192
673
7028
SH
SOLE
7028
0
0
ALTERYX INC
COM CL A
02156B103
474
5711
SH
SOLE
5711
0
0
GLOBAL X FDS
CLOUD COMPUTNG
37954Y442
501
19470
SH
SOLE
19470
0
0
BRIGHTHOUSE FINL INC
COM
10922N103
563
12715
SH
SOLE
12715
0
0
TEKLA HEALTHCARE OPPORTUNITI
SHS
879105104
328
15090
SH
SOLE
15090
0
0
JAMF HLDG CORP
COM
47074L105
297
8405
SH
SOLE
8405
0
0
KRANESHARES TR
QUADRTC INT RT
500767736
477
16700
SH
SOLE
16700
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
1061
7048
SH
SOLE
7048
0
0
EATON VANCE TAX MNGD BUY WRI
COM SH BEN INT
27829M103
396
36850
SH
SOLE
36850
0
0
OXFORD LANE CAP CORP
COM
691543102
1669
264901
SH
SOLE
264901
0
0
INVESCO EXCH TRADED FD TR II
VAR RATE PFD
46138G870
370
14307
SH
SOLE
14307
0
0
BLACKSTONE GROUP INC
COM
09260D107
2025
27166
SH
SOLE
27166
0
0
OPENDOOR TECHNOLOGIES INC
COM
683712103
381
17975
SH
SOLE
17975
0
0
FORD MTR CO DEL
COM
345370860
346
28225
SH
SOLE
28225
0
0
PRUDENTIAL FINL INC
COM
744320102
406
4461
SH
SOLE
4461
0
0
CONSTELLIUM SE
CL A SHS
F21107101
1975
134325
SH
SOLE
134325
0
0
UNITED RENTALS INC
COM
911363109
1959
5950
SH
SOLE
5950
0
0
NATIONAL HEALTH INVS INC
COM
63633D104
821
11352
SH
SOLE
11352
0
0
TWO HBRS INVT CORP
COM NEW
90187B408
1267
172784
SH
SOLE
172784
0
0
AMAZON COM INC
COM
023135106
2132
689
SH
SOLE
689
0
0
INVESCO EXCHANGE TRADED FD T
S&P500 EQL HLT
46137V332
969
3612
SH
SOLE
3612
0
0
COMMSCOPE HLDG CO INC
COM
20337X109
227
14765
SH
SOLE
14765
0
0
VOYA FINANCIAL INC
COM
929089100
272
4275
SH
SOLE
4275
0
0
WISDOMTREE TR
CLOUD COMPUTNG
97717Y691
655
13600
SH
SOLE
13600
0
0
PENNYMAC FINL SVCS INC NEW
COM
70932M107
1319
19725
SH
SOLE
19725
0
0
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
211
10191
SH
SOLE
10191
0
0
AGNC INVT CORP
COM
00123Q104
1002
59779
SH
SOLE
59779
0
0
TRIPLEPOINT VENTURE GROWTH B
COM
89677Y100
201
13895
SH
SOLE
13895
0
0
PAYLOCITY HLDG CORP
COM
70438V106
294
1635
SH
SOLE
1635
0
0
UNISYS CORP
COM NEW
909214306
699
27500
SH
SOLE
27500
0
0
ISHARES TR
U.S. MED DVC ETF
464288810
1100
3330
SH
SOLE
3330
0
0
MR COOPER GROUP INC
COM
62482R107
642
18475
SH
SOLE
18475
0
0
BLACKROCK MULTI-SECTOR INC T
COM
09258A107
257
14266
SH
SOLE
14266
0
0
APPLE INC
COM
037833100
7461
61084
SH
SOLE
61084
0
0
MCDONALDS CORP
COM
580135101
206
919
SH
SOLE
919
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
387
4010
SH
SOLE
4010
0
0
AMERICA FIRST MULTIFAMILY IN
BEN UNIT CTF
02364V107
144
24370
SH
SOLE
24370
0
0
FIRST HORIZON CORPORATION
COM
320517105
293
17318
SH
SOLE
17318
0
0
VISA INC
COM CL A
92826C839
1297
6023
SH
SOLE
6023
0
0
MICRON TECHNOLOGY INC
COM
595112103
434
4925
SH
SOLE
4925
0
0
CRACKER BARREL OLD CTRY STOR
COM
22410J106
2480
14348
SH
SOLE
14348
0
0
ABBOTT LABS
COM
002824100
262
2182
SH
SOLE
2182
0
0
TPG RE FIN TR INC
COM
87266M107
225
20100
SH
SOLE
20100
0
0
GENERAL ELECTRIC CO
COM
369604103
195
15367
SH
SOLE
15367
0
0
PAYPAL HLDGS INC
COM
70450Y103
1161
4780
SH
SOLE
4780
0
0
GLOBAL PMTS INC
COM
37940X102
226
1119
SH
SOLE
1119
0
0
COTY INC
COM CL A
222070203
438
48600
SH
SOLE
48600
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
849
2142
SH
SOLE
2142
0
0
EQUIFAX INC
COM
294429105
217
1200
SH
SOLE
1200
0
0
TALEND S A
ADS
874224207
445
6995
SH
SOLE
6995
0
0
EQUITABLE HLDGS INC
COM
29452E101
803
24303
SH
SOLE
24303
0
0
ZOOMINFO TECHNOLOGIES INC
COM CL A
98980F104
279
5700
SH
SOLE
5700
0
0
HCA HEALTHCARE INC
COM
40412C101
615
3267
SH
SOLE
3267
0
0
FIDELITY NATL INFORMATION SV
COM
31620M106
475
3376
SH
SOLE
3376
0
0
LOWES COS INC
COM
548661107
754
3963
SH
SOLE
3963
0
0
VISTRA CORP
COM
92840M102
338
19130
SH
SOLE
19130
0
0
CACI INTL INC
CL A
127190304
640
2595
SH
SOLE
2595
0
0
OFS CAP CORP
COM
67103B100
149
17000
SH
SOLE
17000
0
0
VANGUARD WORLD FD
MEGA GRWTH IND
921910816
326
1575
SH
SOLE
1575
0
0
ARES CAPITAL CORP
COM
04010L103
192
10285
SH
SOLE
10285
0
0
JOHNSON & JOHNSON
COM
478160104
1033
6285
SH
SOLE
6285
0
0
PROCTER AND GAMBLE CO
COM
742718109
693
5114
SH
SOLE
5114
0
0
HOME DEPOT INC
COM
437076102
484
1587
SH
SOLE
1587
0
0
MICROSOFT CORP
COM
594918104
1143
4850
SH
SOLE
4850
0
0
GLOBAL MED REIT INC
COM NEW
37954A204
398
30397
SH
SOLE
30397
0
0
SPDR SER TR
S&P BIOTECH
78464A870
789
5815
SH
SOLE
5815
0
0
DISNEY WALT CO
COM
254687106
789
4275
SH
SOLE
4275
0
0
AT&T INC
COM
00206R102
486
16066
SH
SOLE
16066
0
0
WISDOMTREE TR
US DIVID EX FNCL
97717W406
394
4183
SH
SOLE
4183
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
328
3600
SH
SOLE
3600
0
0
STARBUCKS CORP
COM
855244109
409
3747
SH
SOLE
3747
0
0
JPMORGAN CHASE & CO
COM
46625H100
689
4524
SH
SOLE
4524
0
0
TETRA TECHNOLOGIES INC DEL
COM
88162F105
223
92719
SH
SOLE
92719
0
0
VALVOLINE INC
COM
92047W101
213
8167
SH
SOLE
8167
0
0
SPDR GOLD TR
GOLD SHS
78463V107
202
1265
SH
SOLE
1265
0
0
APPLIED MATLS INC
COM
038222105
397
2975
SH
SOLE
2975
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
339
2543
SH
SOLE
2543
0
0
ASHLAND GLOBAL HLDGS INC
COM
044186104
264
2975
SH
SOLE
2975
0
0
FEDEX CORP
COM
31428X106
325
1145
SH
SOLE
1145
0
0
3M CO
COM
88579Y101
249
1293
SH
SOLE
1293
0
0
ISHARES TR
CORE S&P500 ETF
464287200
3984
10014
SH
SOLE
10014
0
0
PINNACLE FINL PARTNERS INC
COM
72346Q104
679
7653
SH
SOLE
7653
0
0
CATERPILLAR INC
COM
149123101
314
1354
SH
SOLE
1354
0
0
ABBVIE INC
COM
00287Y109
298
2753
SH
SOLE
2753
0
0
CHEVRON CORP NEW
COM
166764100
263
2513
SH
SOLE
2513
0
0
FACEBOOK INC
CL A
30303M102
669
2270
SH
SOLE
2270
0
0
ALPHABET INC
CAP STK CL C
02079K107
205
99
SH
SOLE
99
0
0
TRUIST FINL CORP
COM
89832Q109
366
6270
SH
SOLE
6270
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
10976
101135
SH
SOLE
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SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
274
575
SH
SOLE
575
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0
ISHARES TR
SELECT DIVID ETF
464287168
1989
17301
SH
SOLE
17301
0
0
NEXTERA ENERGY INC
COM
65339F101
307
4060
SH
SOLE
4060
0
0
ORACLE CORP
COM
68389X105
286
4071
SH
SOLE
4071
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
342
1550
SH
SOLE
1550
0
0
INTEL CORP
COM
458140100
286
4471
SH
SOLE
4471
0
0
CISCO SYS INC
COM
17275R102
221
4266
SH
SOLE
4266
0
0
DEERE & CO
COM
244199105
509
1360
SH
SOLE
1360
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
4894
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ENTERPRISE PRODS PARTNERS L
COM
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VANGUARD SPECIALIZED FUNDS
DIV APP ETF
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COM
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0
BK OF AMERICA CORP
COM
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394
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SH
SOLE
10191
0
0
TRANSDIGM GROUP INC
COM
893641100
344
585
SH
SOLE
585
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
10592
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SH
SOLE
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0
0
STRYKER CORPORATION
COM
863667101
738
3031
SH
SOLE
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0
0
UNITEDHEALTH GROUP INC
COM
91324P102
233
626
SH
SOLE
626
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
365
800
SH
SOLE
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0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
4964
95366
SH
SOLE
95366
0
0
NUVEEN MUN VALUE FD INC
COM
670928100
566
50830
SH
SOLE
50830
0
0
EXXON MOBIL CORP
COM
30231G102
491
8799
SH
SOLE
8799
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
305
4830
SH
SOLE
4830
0
0
ILLINOIS TOOL WKS INC
COM
452308109
1063
4797
SH
SOLE
4797
0
0
CSX CORP
COM
126408103
220
2285
SH
SOLE
2285
0
0
NUVEEN MUN INCOME FD INC
COM
67062J102
468
40907
SH
SOLE
40907
0
0
COCA COLA CO
COM
191216100
726
13768
SH
SOLE
13768
0
0
SALESFORCE COM INC
COM
79466L302
253
1195
SH
SOLE
1195
0
0
HONEYWELL INTL INC
COM
438516106
223
1026
SH
SOLE
1026
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
234
4768
SH
SOLE
4768
0
0
PIMCO MUN INCOME FD II
COM
72200W106
243
16362
SH
SOLE
16362
0
0
AUBURN NATL BANCORP
COM
050473107
253
6600
SH
SOLE
6600
0
0
TEXTRON INC
COM
883203101
243
4340
SH
SOLE
4340
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
454
2409
SH
SOLE
2409
0
0
ATMOS ENERGY CORP
COM
049560105
445
4502
SH
SOLE
4502
0
0
FASTENAL CO
COM
311900104
629
12500
SH
SOLE
12500
0
0
ETSY INC
COM
29786A106
202
1000
SH
SOLE
1000
0
0
UGI CORP NEW
COM
902681105
258
6300
SH
SOLE
6300
0
0
SPOTIFY TECHNOLOGY S A
SHS
L8681T102
268
1000
SH
SOLE
1000
0
0
FIRST TR EXCHANGE TRADED FD
CONSUMR DISCRE
33734X101
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12232
SH
SOLE
12232
0
0
FIRST TR EXCHANGE-TRADED FD
FST LOW OPPT EFT
33739Q200
1213
23758
SH
SOLE
23758
0
0
FIRST TR EXCHANGE TRADED FD
UTILITIES ALPH
33734X184
364
12210
SH
SOLE
12210
0
0
FIRST TR EXCHANGE-TRADED FD
SENIOR LN FD
33738D309
1572
32834
SH
SOLE
32834
0
0
FIRST TR EXCHNG TRADED FD VI
TCW OPPORTUNIS
33740F805
1385
26215
SH
SOLE
26215
0
0
FIRST TR EXCHANGE-TRADED FD
DORSEY WRIGHT
33738R886
1474
64186
SH
SOLE
64186
0
0
FIRST TR EXCHANGE TRADED FD
TECH ALPHADEX
33734X176
1595
14036
SH
SOLE
14036
0
0
FIRST TR EXCH TRADED FD III
MANAGD MUN ETF
33739N108
1458
25829
SH
SOLE
25829
0
0
AMGEN INC
COM
031162100
1639
6589
SH
SOLE
6589
0
0
FIRST TR EXCHANGE TRADED FD
HLTH CARE ALPH
33734X143
614
5653
SH
SOLE
5653
0
0
FIRST TRUST LRGCP GWT ALPHAD
COM SHS
33735K108
310
3171
SH
SOLE
3171
0
0
TENCENT MUSIC ENTMT GROUP
SPON ADS
88034P109
225
11000
SH
SOLE
11000
0
0
FIRST TR NASDAQ 100 TECH IND
SHS
337345102
208
1443
SH
SOLE
1443
0
0