0001397424-20-000004.txt : 20200508
0001397424-20-000004.hdr.sgml : 20200508
20200508134613
ACCESSION NUMBER: 0001397424-20-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200508
DATE AS OF CHANGE: 20200508
EFFECTIVENESS DATE: 20200508
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WBI INVESTMENTS, INC.
CENTRAL INDEX KEY: 0001397424
IRS NUMBER: 222566011
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12525
FILM NUMBER: 20859864
BUSINESS ADDRESS:
STREET 1: 1 RIVER CENTRE
STREET 2: 331 NEWMAN SPRINGS ROAD SUITE 122
CITY: RED BANK
STATE: NJ
ZIP: 07701
BUSINESS PHONE: 732-842-4920
MAIL ADDRESS:
STREET 1: 1 RIVER CENTRE
STREET 2: 331 NEWMAN SPRINGS ROAD SUITE 122
CITY: RED BANK
STATE: NJ
ZIP: 07701
FORMER COMPANY:
FORMER CONFORMED NAME: WBI INVESTMENTS
DATE OF NAME CHANGE: 20100211
FORMER COMPANY:
FORMER CONFORMED NAME: Wealth Builders
DATE OF NAME CHANGE: 20070424
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001397424
XXXXXXXX
03-31-2020
03-31-2020
WBI INVESTMENTS, INC.
1 RIVER CENTRE
331 NEWMAN SPRINGS ROAD SUITE 122
RED BANK
NJ
07701
13F HOLDINGS REPORT
028-12525
N
ALYSON KEST
CHIEF COMPLIANCE OFFICER
732-842-4920
ALYSON KEST
RED BANK
NJ
05-08-2020
1
112
529113
false
1
0001449088
028-16338
MILLINGTON SECURITIES, INC.
INFORMATION TABLE
2
13F_Q120_043020113713.xml
ALPS ETF TR
ALERIAN MLP
00162q866
679
197506
SH
SOLE
197506
0
0
AT&T INC
COM
00206R102
2533
86899
SH
DFND
1
0
86899
0
AT&T INC
COM
00206R102
1
24
SH
SOLE
24
0
0
ABSOLUTE SHS TR
WBI BBR RNG 3000
00400R502
25957
1020806
SH
SOLE
1020806
0
0
ABSOLUTE SHS TR
WBI BBR VAL 3000
00400R601
23180
925410
SH
SOLE
925410
0
0
ABSOLUTE SHS TR
WBI BBR YLD 3000
00400R700
34613
1565584
SH
SOLE
1565584
0
0
ABSOLUTE SHS TR
WBI BBR QTY 3000
00400R809
30023
1193516
SH
SOLE
1193516
0
0
ABSOLUTE SHS TR
WBI BULBEAR TR
00400R833
8119
501807
SH
SOLE
501807
0
0
ABSOLUTE SHS TR
WBI BULBEAR TR
00400R841
11100
661296
SH
SOLE
661296
0
0
ABSOLUTE SHS TR
WBI PWR FCTR ETF
00400R858
14423
949337
SH
SOLE
949337
0
0
ABSOLUTE SHS TR
WBI BBR GBL INME
00400R874
33296
1452057
SH
SOLE
1452057
0
0
ADOBE INC
COM
00724F101
2084
6550
SH
DFND
1
0
6550
0
ADOBE INC
COM
00724F101
1040
3267
SH
SOLE
3267
0
0
AMERICAN EAGLE OUTFITTERS IN
COM
02553E106
265
33306
SH
DFND
1
0
33306
0
AMGEN INC
COM
031162100
2152
10616
SH
DFND
1
0
10616
0
AMGEN INC
COM
031162100
1120
5524
SH
SOLE
5524
0
0
ARTISAN PARTNERS ASSET MGMT
CL A
04316a108
253
11765
SH
DFND
1
0
11765
0
BERRY CORP
COM
08579X101
100
41678
SH
DFND
1
0
41678
0
BIG LOTS INC
COM
089302103
511
35951
SH
DFND
1
0
35951
0
BIOGEN INC
COM
09062X103
2186
6909
SH
DFND
1
0
6909
0
BIOGEN INC
COM
09062X103
1096
3464
SH
SOLE
3464
0
0
BLOCK H & R INC
COM
093671105
1069
75931
SH
DFND
1
0
75931
0
BLOCK H & R INC
COM
093671105
3
213
SH
SOLE
213
0
0
BOSTON PRIVATE FINL HLDGS IN
COM
101119105
195
27301
SH
DFND
1
0
27301
0
CVR ENERGY INC
COM
12662P108
268
16206
SH
DFND
1
0
16206
0
CVR ENERGY INC
COM
12662P108
41
2497
SH
SOLE
2497
0
0
CADENCE BANCORPORATION
CL A
12739A100
1024
156392
SH
DFND
1
0
156392
0
CHEMOURS CO
COM
163851108
545
61400
SH
DFND
1
0
61400
0
CHEVRON CORP NEW
COM
166764100
344
4750
SH
DFND
1
0
4750
0
CINEMARK HOLDINGS INC
COM
17243V102
374
36725
SH
DFND
1
0
36725
0
CINEMARK HOLDINGS INC
COM
17243V102
1
140
SH
SOLE
140
0
0
COLGATE PALMOLIVE CO
COM
194162103
204
3080
SH
SOLE
3080
0
0
COMERICA INC
COM
200340107
1296
44185
SH
DFND
1
0
44185
0
COMERICA INC
COM
200340107
109
3714
SH
SOLE
3714
0
0
DOMTAR CORP
COM NEW
257559203
397
18342
SH
DFND
1
0
18342
0
EBAY INC
COM
278642103
2095
69694
SH
DFND
1
0
69694
0
EBAY INC
COM
278642103
1148
38191
SH
SOLE
38191
0
0
ELLINGTON FINANCIAL INC
COM
28852N109
102
17850
SH
DFND
1
0
17850
0
FOOT LOCKER INC
COM
344849104
1786
81011
SH
DFND
1
0
81011
0
FOOT LOCKER INC
COM
344849104
3
136
SH
SOLE
136
0
0
GAP INC
COM
364760108
695
98651
SH
DFND
1
0
98651
0
GENERAL MTRS CO
COM
37045V100
1803
86750
SH
DFND
1
0
86750
0
GREIF INC
CL A
397624107
223
7182
SH
DFND
1
0
7182
0
HANESBRANDS INC
COM
410345102
1077
136876
SH
DFND
1
0
136876
0
HANESBRANDS INC
COM
410345102
47
6022
SH
SOLE
6022
0
0
HOPE BANCORP INC
COM
43940t109
197
23954
SH
DFND
1
0
23954
0
HUMANA INC
COM
444859102
2244
7147
SH
DFND
1
0
7147
0
HUMANA INC
COM
444859102
1192
3795
SH
SOLE
3795
0
0
HUNTINGTON BANCSHARES INC
COM
446150104
557
67856
SH
DFND
1
0
67856
0
HUNTINGTON BANCSHARES INC
COM
446150104
40
4833
SH
SOLE
4833
0
0
INNOVATOR ETFS TR II
LUNT LOW VOL HIG
45783G102
772
31127
SH
SOLE
31127
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
2658
23959
SH
DFND
1
0
23959
0
INTL PAPER CO
COM
460146103
1068
34308
SH
DFND
1
0
34308
0
INTERPUBLIC GROUP COS INC
COM
460690100
678
41908
SH
DFND
1
0
41908
0
INTERPUBLIC GROUP COS INC
COM
460690100
4
220
SH
SOLE
220
0
0
INVESCO EXCHANGE TRADED FD T
S&P500 EQL HLT
46137V332
1673
8845
SH
SOLE
8845
0
0
INVESCO EXCHANGE-TRADED FD T
S&P MIDCP LOW
46138E198
1006
25268
SH
SOLE
25268
0
0
INVESCO EXCHANGE-TRADED FD T
S&P500 HDL VOL
46138e362
937
31231
SH
SOLE
31231
0
0
INVESCO EXCHANGE-TRADED FD T
S&P SMLCP LOW
46138G102
239
7204
SH
SOLE
7204
0
0
ISHARES TR
20 YR TR BD ETF
464287432
9381
56863
SH
DFND
1
0
56863
0
ISHARES TR
20 YR TR BD ETF
464287432
17357
105211
SH
SOLE
105211
0
0
ISHARES TR
SHORT TREAS BD
464288679
16605
149567
SH
SOLE
149567
0
0
KEYCORP
COM
493267108
492
47463
SH
DFND
1
0
47463
0
KEYCORP
COM
493267108
32
3112
SH
SOLE
3112
0
0
KOHLS CORP
COM
500255104
603
41304
SH
DFND
1
0
41304
0
KRONOS WORLDWIDE INC
COM
50105F105
220
26020
SH
DFND
1
0
26020
0
MSC INDL DIRECT INC
CL A
553530106
740
13457
SH
DFND
1
0
13457
0
MERCURY GENL CORP NEW
COM
589400100
331
8128
SH
DFND
1
0
8128
0
MEREDITH CORP
COM
589433101
275
22540
SH
DFND
1
0
22540
0
MOVADO GROUP INC
COM
624580106
197
16702
SH
DFND
1
0
16702
0
NAVIENT CORPORATION
COM
63938c108
357
47050
SH
DFND
1
0
47050
0
NEW YORK CMNTY BANCORP INC
COM
649445103
1074
114398
SH
DFND
1
0
114398
0
NORTHROP GRUMMAN CORP
COM
666807102
1983
6555
SH
DFND
1
0
6555
0
NORTHROP GRUMMAN CORP
COM
666807102
1068
3530
SH
SOLE
3530
0
0
NVIDIA CORP
COM
67066G104
2114
8021
SH
DFND
1
0
8021
0
NVIDIA CORP
COM
67066G104
1076
4081
SH
SOLE
4081
0
0
OLIN CORP
COM PAR $1
680665205
667
57114
SH
DFND
1
0
57114
0
ORACLE CORP
COM
68389X105
2154
44568
SH
DFND
1
0
44568
0
ORACLE CORP
COM
68389X105
1184
24503
SH
SOLE
24503
0
0
PACWEST BANCORP DEL
COM
695263103
348
19403
SH
DFND
1
0
19403
0
PACWEST BANCORP DEL
COM
695263103
34
1923
SH
SOLE
1923
0
0
PLAINS GP HLDGS L P
LTD PARTNR INT A
72651A207
382
68050
SH
DFND
1
0
68050
0
PRINCIPAL FINL GROUP INC
COM
74251V102
253
8059
SH
DFND
1
0
8059
0
PRUDENTIAL FINL INC
COM
744320102
551
10573
SH
DFND
1
0
10573
0
QUALCOMM INC
COM
747525103
2076
30686
SH
DFND
1
0
30686
0
QUALCOMM INC
COM
747525103
1149
16978
SH
SOLE
16978
0
0
REGIONS FINANCIAL CORP NEW
COM
7591EP100
120
13347
SH
SOLE
13347
0
0
S&P GLOBAL INC
COM
78409v104
2111
8615
SH
DFND
1
0
8615
0
S&P GLOBAL INC
COM
78409v104
1079
4402
SH
SOLE
4402
0
0
SPDR SER TR
PORTFOLIO LN TSR
78464A664
29204
618211
SH
DFND
1
0
618211
0
SPDR SER TR
PORTFOLIO LN TSR
78464A664
22696
480448
SH
SOLE
480448
0
0
SPDR SER TR
SPDR BLOOMBERG
78468R663
16978
185290
SH
SOLE
185290
0
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
59269
1145740
SH
DFND
1
0
1145740
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
58621
1133206
SH
SOLE
1133206
0
0
SOUTHERN CO
COM
842587107
793
14644
SH
DFND
1
0
14644
0
TAPESTRY INC
COM
876030107
752
58086
SH
DFND
1
0
58086
0
UNUM GROUP
COM
91529y106
734
48900
SH
DFND
1
0
48900
0
VALERO ENERGY CORP
COM
91913Y100
451
9952
SH
DFND
1
0
9952
0
VANGUARD WORLD FD
EXTENDED DUR
921910709
6371
37998
SH
DFND
1
0
37998
0
VANGUARD WORLD FD
EXTENDED DUR
921910709
365
2180
SH
SOLE
2180
0
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206c706
8909
126285
SH
DFND
1
0
126285
0
VANGUARD SCOTTSDALE FDS
LONG TERM TREAS
92206c847
27050
267798
SH
DFND
1
0
267798
0
VERIZON COMMUNICATIONS INC
COM
92343v104
2915
54259
SH
DFND
1
0
54259
0
VERIZON COMMUNICATIONS INC
COM
92343v104
69
1283
SH
SOLE
1283
0
0
WELLS FARGO CO NEW
COM
949746101
327
11405
SH
DFND
1
0
11405
0
WESTROCK CO
COM
96145d105
964
34120
SH
DFND
1
0
34120
0
WESTROCK CO
COM
96145d105
46
1629
SH
SOLE
1629
0
0
INVESCO LTD
SHS
G491BT108
777
85554
SH
DFND
1
0
85554
0
INVESCO LTD
SHS
G491BT108
43
4721
SH
SOLE
4721
0
0
SEAGATE TECHNOLOGY PLC
SHS
g7945m107
1799
36858
SH
DFND
1
0
36858
0
TRINSEO S A
SHS
l9340p101
271
14938
SH
DFND
1
0
14938
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
n53745100
851
17153
SH
DFND
1
0
17153
0