Advisory Compliance Manager

0001085146-17-001358.txt : 20170515 0001085146-17-001358.hdr.sgml : 20170515 20170515150840 ACCESSION NUMBER: 0001085146-17-001358 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cetera Advisors LLC CENTRAL INDEX KEY: 0001534400 IRS NUMBER: 840858799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14617 FILM NUMBER: 17843641 BUSINESS ADDRESS: STREET 1: 4600 S. SYRACUSE ST. STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 720-509-2446 MAIL ADDRESS: STREET 1: 4600 S. SYRACUSE ST. STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 FORMER COMPANY: FORMER CONFORMED NAME: Multi-Financial Securities Corp DATE OF NAME CHANGE: 20111107 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001534400 XXXXXXXX 03-31-2017 03-31-2017 Cetera Advisors LLC

4600 S. SYRACUSE ST. SUITE 600 DENVER CO 80237

13F HOLDINGS REPORT 028-14617 Y CETERA ADVISORS LLC WAS FORMERLEY KNOWN AS MULTI-FINANCIAL SECURITIES CORP Francine Eaves-Ranft Advisory Compliance Manager 720 509-2446 /s/ Francine Eaves-Ranft Denver CO 05-12-2017 0 787 1497820 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101669835023SHSOLE 0035023ABBOTT LABSCOM002824100122127610SHSOLE 0027610ABBVIE INCCOM00287Y109307146981SHSOLE 0046981ABERDEEN ASIA PACIFIC INCOMCOM00300910710320810SHSOLE 0020810ABSOLUTE SHS TRWBI TCT INC SH00400R87457122810SHSOLE 0022810ABSOLUTE SHS TRWBI TCT HG INC00400R8822088593SHSOLE 008593ACCENTURE PLC IRELANDSHS CLASS AG1151C1018827340SHSOLE 007340ACTIVISION BLIZZARD INCCOM00507V1092725500SHSOLE 005500ADOBE SYS INCCOM00724F1012752123SHSOLE 002123ADVANCED MICRO DEVICES INCCOM00790310719713601SHSOLE 0013601AETNA INC NEWCOM00817Y10810788448SHSOLE 008448AFLAC INCCOM0010551025727937SHSOLE 007937AGILENT TECHNOLOGIES INCCOM00846U1012174102SHSOLE 004102AGNC INVT 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NEW3798872012894020SHSOLE 0094020GOLAR LNG PARTNERS LPCOM UNIT LPIY2745C10222710190SHSOLE 0010190GOLD FIELDS LTD NEWSPONSORED ADR38059T1064412500SHSOLE 0012500GOLDMAN SACHS GROUP INCCOM38141G10411104834SHSOLE 004834GOODYEAR TIRE & RUBR COCOM3825501012547022SHSOLE 007022GRAMERCY PPTY TRCOM NEW38500230879230012SHSOLE 0030012GREENBRIER COS INCCOM39365710154512680SHSOLE 0012680HALLIBURTON COCOM4062161014849802SHSOLE 009802HANCOCK JOHN PFD INCOME FDSH BEN INT41013W10825611982SHSOLE 0011982HANESBRANDS INCCOM41034510259728936SHSOLE 0028936HARMONY GOLD MNG LTDSPONSORED ADR413216300248100000SHSOLE 00100000HCP INCCOM40414L10944014063SHSOLE 0014063HEALTHCARE TR AMER INCCL A NEW42225P50166120994SHSOLE 0020994HELMERICH & PAYNE INCCOM4234521012143221SHSOLE 003221HEWLETT PACKARD ENTERPRISE CCOM42824C10951921941SHSOLE 0021941HIGHLAND FDS IHI LD IBOXX SRLN43010177448926390SHSOLE 0026390HOME DEPOT INCCOM437076102315521510SHSOLE 0021510HONEYWELL INTL INCCOM438516106138511154SHSOLE 0011154HORMEL FOODS CORPCOM44045210058316854SHSOLE 0016854HP INCCOM40434L10553730045SHSOLE 0030045HUNT J B TRANS SVCS INCCOM4456581075185663SHSOLE 005663HUNTINGTON BANCSHARES INCCOM44615010433524998SHSOLE 0024998HUNTINGTON INGALLS INDS INCCOM4464131062791390SHSOLE 001390IDACORP INCCOM4511071064525441SHSOLE 005441ILLINOIS TOOL WKS INCCOM4523081095574194SHSOLE 004194INDEXIQ ETF TRHEDGE MLTI ETF45409B107109037373SHSOLE 0037373INDIA FD INCCOM4540891032078054SHSOLE 008054ING GROEP N VSPONSORED ADR45683710325917125SHSOLE 0017125INSPERITY INCCOM45778Q1072112399SHSOLE 002399INTEL CORPCOM4581401004834133839SHSOLE 00133839INTERCONTINENTAL EXCHANGE INCOM45866F1042003311SHSOLE 003311INTERNATIONAL BUSINESS MACHSCOM459200101315518158SHSOLE 0018158INTERNATIONAL TOWER HILL MINCOM46050R102713075SHSOLE 0013075INTL PAPER COCOM4601461033266407SHSOLE 006407INTUITIVE SURGICAL INCCOM NEW46120E6028111062SHSOLE 001062INVESCO VALUE MUN INCOME TRCOM46132P10849834222SHSOLE 0034222ISHARESMSCI AUST ETF4642861037308323434SHSOLE 00323434ISHARESMIN VOL GBL ETF464286525119115485SHSOLE 0015485ISHARESMIN VOL EMRG MKT464286533145227201SHSOLE 0027201ISHARESMSCI EURZONE ETF4642866082396366SHSOLE 006366ISHARESMSCI STH KOR ETF464286772561790931SHSOLE 0090931ISHARES10+ YR CR BD ETF4642895113465822SHSOLE 005822ISHARESGRWT ALLOCAT ETF46428986757113409SHSOLE 0013409ISHARESMODERT ALLOC ETF46428987558516125SHSOLE 0016125ISHARES GOLD TRUSTISHARES4642851054378365052SHSOLE 00365052ISHARES INCCORE MSCI EMKT46434G103240350131SHSOLE 0050131ISHARES SILVER TRUSTISHARES46428Q10993654192SHSOLE 0054192ISHARES TRS&P 100 ETF464287101139813358SHSOLE 0013358ISHARES TRMRNGSTR LG-CP GR46428711912679608SHSOLE 009608ISHARES TRMRNGSTR LG-CP ET464287127168111882SHSOLE 0011882ISHARES TRCORE S&P TTL STK46428715010607196260SHSOLE 00196260ISHARES TRSELECT DIVID ETF46428716812310135193SHSOLE 00135193ISHARES TRTIPS BD ETF464287176661257721SHSOLE 0057721ISHARES TRTRANS AVG ETF4642871925503370SHSOLE 003370ISHARES TRCORE S&P500 ETF46428720041506174862SHSOLE 00174862ISHARES TRCORE US AGGBD ET46428722630514281191SHSOLE 00281191ISHARES TRMSCI EMG MKT ETF464287234256465235SHSOLE 0065235ISHARES TRIBOXX INV CP ETF464287242727161621SHSOLE 0061621ISHARES TRS&P 500 GRWT ETF464287309271420653SHSOLE 0020653ISHARES TRGLOB HLTHCRE ETF464287325106810413SHSOLE 0010413ISHARES TRGLOBAL FINLS ETF464287333172528300SHSOLE 0028300ISHARES TRGLOBAL ENERG ETF4642873412668054SHSOLE 008054ISHARES TRNA NAT RES46428737452815379SHSOLE 0015379ISHARES TRS&P 500 VAL ETF464287408205219696SHSOLE 0019696ISHARES TR20 YR TR BD ETF464287432946078507SHSOLE 0078507ISHARES TR7-10YR TR BD ETF464287440590055941SHSOLE 0055941ISHARES TR1-3 YR TR BD ETF464287457780592468SHSOLE 0092468ISHARES TRMSCI EAFE ETF46428746512886206689SHSOLE 00206689ISHARES TRRUS MDCP VAL ETF464287473151318380SHSOLE 0018380ISHARES TRRUS MD CP GR ETF464287481906487172SHSOLE 0087172ISHARES TRRUS MID CAP ETF464287499476025444SHSOLE 0025444ISHARES TRCORE S&P MCP ETF46428750718051105409SHSOLE 00105409ISHARES TRN AMER TECH ETF46428754912058658SHSOLE 008658ISHARES TRNASDQ BIOTEC ETF464287556497717013SHSOLE 0017013ISHARES TRCOHEN&STEER REIT4642875647407453SHSOLE 007453ISHARES TRGLOBAL 100 ETF4642875722192685SHSOLE 002685ISHARES TRRUS 1000 VAL ETF46428759817043148336SHSOLE 00148336ISHARES TRS&P MC 400GR ETF464287606586030720SHSOLE 0030720ISHARES TRRUS 1000 GRW ETF46428761436107317281SHSOLE 00317281ISHARES TRRUS 1000 ETF464287622154811776SHSOLE 0011776ISHARES TRRUS 2000 VAL ETF464287630252521344SHSOLE 0021344ISHARES TRRUS 2000 GRW ETF464287648814950484SHSOLE 0050484ISHARES TRRUSSELL 2000 ETF464287655747954351SHSOLE 0054351ISHARES TRCORE S&P VLU ETF4642876632625212SHSOLE 005212ISHARES TRCORE S&P US ETF464287671100421639SHSOLE 0021639ISHARES TRRUSSELL 3000 ETF46428768912408871SHSOLE 008871ISHARES TRU.S. UTILITS ETF464287697154812000SHSOLE 0012000ISHARES TRS&P MC 400VL ETF46428770510156835SHSOLE 006835ISHARES TRU.S. TECH ETF464287721220916375SHSOLE 0016375ISHARES TRU.S. REAL ES ETF464287739136417318SHSOLE 0017318ISHARES TRU.S. INDS ETF4642877542792216SHSOLE 002216ISHARES TRUS HLTHCARE ETF46428776213748834SHSOLE 008834ISHARES TRU.S. ENERGY ETF46428779645111594SHSOLE 0011594ISHARES TRCORE S&P SCP ETF46428780418798271759SHSOLE 00271759ISHARES TRU.S. CNSM GD ETF4642878124864082SHSOLE 004082ISHARES TRDOW JONES US ETF464287846213818038SHSOLE 0018038ISHARES TRSP SMCP600VL ETF464287879695250099SHSOLE 0050099ISHARES TRSP SMCP600GR ETF464287887369624176SHSOLE 0024176ISHARES TRMRNGSTR LG-CP VL4642881093263398SHSOLE 003398ISHARES TRINTL TREA BD ETF464288117164217913SHSOLE 0017913ISHARES TRMRGSTR MD CP ETF464288208288917462SHSOLE 0017462ISHARES TREAFE SML CP ETF46428827384115527SHSOLE 0015527ISHARES TRJP MOR EM MK ETF464288281270723792SHSOLE 0023792ISHARES TRGLB INFRASTR ETF464288372217451257SHSOLE 0051257ISHARES TRNATIONAL MUN ETF464288414132712200SHSOLE 0012200ISHARES TRINTL SEL DIV ETF464288448244477743SHSOLE 0077743ISHARES TRINTL DEV RE ETF46428848977128119SHSOLE 0028119ISHARES TRIBOXX HI YD ETF464288513389144300SHSOLE 0044300ISHARES TRMSCI KLD400 SOC4642885702252593SHSOLE 002593ISHARES TRMBS ETF464288588218520497SHSOLE 0020497ISHARES TRUS CREDIT BD ETF464288620174215837SHSOLE 0015837ISHARES TRINTERM CR BD ETF4642886384444060SHSOLE 004060ISHARES TR1-3 YR CR BD ETF464288646358834094SHSOLE 0034094ISHARES TR3-7 YR TR BD ETF464288661151412321SHSOLE 0012321ISHARES TRSHRT TRS BD ETF4642886792091894SHSOLE 001894ISHARES TRU.S. PFD STK ETF4642886875869151628SHSOLE 00151628ISHARES TRMRNING SM CP ETF4642887033282273SHSOLE 002273ISHARES TRGLB CNSM STP ETF464288737176817821SHSOLE 0017821ISHARES TRU.S. AER&DEF ETF464288760325121905SHSOLE 0021905ISHARES TRUS REGNL BKS ETF464288778101422690SHSOLE 0022690ISHARES TRUSA ESG SLCT ETF4642888025685777SHSOLE 005777ISHARES TRUS HLTHCR PR ETF4642888283842859SHSOLE 002859ISHARES TRMICRO-CAP ETF4642888694545264SHSOLE 005264ISHARES TREAFE VALUE ETF464288877182836071SHSOLE 0036071ISHARES TREAFE GRWTH ETF4642888853144473SHSOLE 004473ISHARES TRUS TREASURY ETF46429B267127050760SHSOLE 0050760ISHARES TRMSCI INDIA ETF46429B5982026446SHSOLE 006446ISHARES TRFLTG RATE BD ETF46429B655284956143SHSOLE 0056143ISHARES TRCORE HIGH DV ETF46429B663770591915SHSOLE 0091915ISHARES TRMIN VOL EAFE ETF46429B68919925301654SHSOLE 00301654ISHARES TRMIN VOL USA ETF46429B69738713811228SHSOLE 00811228ISHARES TRUSA VALUE FACTOR46432F3882002738SHSOLE 002738ISHARES TRUSA MOMENTUM FCT46432F396130815847SHSOLE 0015847ISHARES TRCORE MSCITOTAL46432F834244244616SHSOLE 0044616ISHARES TRCORE MSCI EAFE46432F84214895257132SHSOLE 00257132ISHARES TRMULTIFACTOR USA46434V28288331617SHSOLE 0031617ISHARES TRCORE DIV GRWTH46434V621104734373SHSOLE 0034373ISHARES TRHDG MSCI EAFE46434V803179265242SHSOLE 0065242ISHARES TRMTG REL ETF NEW46435G342148132773SHSOLE 0032773ISHARES U S ETF TRSHT MAT BD ETF46431W507118523592SHSOLE 0023592ISHARES U S ETF TRIT RT HDG HGYL46431W606147816250SHSOLE 0016250J P MORGAN EXCHANGE TRADED FJPMORGAN DIVER46641Q4073205059SHSOLE 005059JETBLUE AIRWAYS CORPCOM4771431012039957SHSOLE 009957JOHN HANCOCK EXCHANGE TRADEDMULTIFACTOR MI47804J206155151108SHSOLE 0051108JOHNSON & JOHNSONCOM478160104791263677SHSOLE 0063677JOHNSON CTLS INTL PLCSHSG515021052004780SHSOLE 004780JONES ENERGY INCCOM CL A48019R10811143361SHSOLE 0043361JPMORGAN CHASE & COCOM46625H100439850026SHSOLE 0050026JPMORGAN CHASE & COALERIAN ML ETN46625H36554917037SHSOLE 0017037KELLOGG COCOM4878361082173007SHSOLE 003007KEYCORP NEWCOM49326710827315303SHSOLE 0015303KIMBERLY CLARK CORPCOM494368103191814587SHSOLE 0014587KINDER MORGAN INC DELCOM49456B10184038453SHSOLE 0038453KOPIN CORPCOM5006001017719000SHSOLE 0019000KRAFT HEINZ COCOM5007541068689590SHSOLE 009590KROGER COCOM5010441012117095SHSOLE 007095LEAR CORPCOM NEW5218652045734069SHSOLE 004069LEGACY RESVS LPUNIT LP INT5247073044620000SHSOLE 0020000LEGGETT & PLATT INCCOM5246601072515023SHSOLE 005023LILLY ELI & COCOM53245710895411298SHSOLE 0011298LINCOLN ELEC HLDGS INCCOM533900106107712403SHSOLE 0012403LITHIA MTRS INCCL A5367971035506406SHSOLE 006406LLOYDS BANKING GROUP PLCSPONSORED ADR5394391091704501328SHSOLE 00501328LOCKHEED MARTIN CORPCOM539830109332512410SHSOLE 0012410LOWES COS INCCOM5486611075316456SHSOLE 006456MACQUARIE FT TR GB INF UT DICOM55607W10013010280SHSOLE 0010280MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106159320729SHSOLE 0020729MAIN STREET CAPITAL CORPCOM56035L104120831617SHSOLE 0031617MAINSTAY DEFINEDTERM MN OPPCOM56064K10031516337SHSOLE 0016337MARTIN MARIETTA MATLS INCCOM573284106212972SHSOLE 00972MASTERCARD INCORPORATEDCL A57636Q1043633248SHSOLE 003248MCDONALDS CORPCOM580135101184114233SHSOLE 0014233MCKESSON CORPCOM58155Q1032931970SHSOLE 001970MEDTRONIC PLCSHSG5960L1034155164SHSOLE 005164MERCK & CO INCCOM58933Y105327451530SHSOLE 0051530MERCURY GENL CORP NEWCOM5894001004076744SHSOLE 006744METLIFE INCCOM59156R10862211747SHSOLE 0011747MICRON TECHNOLOGY INCCOM59511210333711657SHSOLE 0011657MICROSEMI CORPCOM5951371002494820SHSOLE 004820MICROSOFT CORPCOM594918104481572963SHSOLE 0072963MONDELEZ INTL INCCL A60920710543810175SHSOLE 0010175MONOGRAM RESIDENTIAL TR INCCOM60979P10526426510SHSOLE 0026510MONSANTO CO NEWCOM61166W1012842539SHSOLE 002539NETFLIX INCCOM64110L10611878047SHSOLE 008047NEW MTN FIN CORPCOM64755110017611800SHSOLE 0011800NEW YORK CMNTY BANCORP INCCOM64944510322315907SHSOLE 0015907NEW YORK MTG TR INCCOM PAR $.0264960450116827397SHSOLE 0027397NEW YORK REIT INCCOM64976L10979481953SHSOLE 0081953NEWELL BRANDS INCCOM6512291062204666SHSOLE 004666NEXSTAR MEDIA GROUP INCCL A65336K1032793951SHSOLE 003951NEXTERA ENERGY INCCOM65339F101148011486SHSOLE 0011486NIKE INCCL B654106103317356914SHSOLE 0056914NOBLE CORP PLCSHS USDG6543110110617308SHSOLE 0017308NORDIC AMERICAN TANKERS LIMICOMG6577310616120150SHSOLE 0020150NORDSTROM INCCOM6556641002174658SHSOLE 004658NORTHROP GRUMMAN CORPCOM6668071022841182SHSOLE 001182NORTHWEST NAT GAS COCOM6676551042424109SHSOLE 004109NOVARTIS A GSPONSORED ADR66987V1093284417SHSOLE 004417NUCOR CORPCOM6703461055859812SHSOLE 009812NUVEEN BUILD AMER BD FDCOM67074C10352725279SHSOLE 0025279NUVEEN CA QUALTY MUN INCOMECOM67066Y10545131259SHSOLE 0031259NUVEEN CALIFORNIA AMT QLT MUCOM67065110817511825SHSOLE 0011825NUVEEN CR STRATEGIES INCM FDCOM SHS67073D10217319723SHSOLE 0019723NUVEEN ENHANCED MUN VALUE FDCOM67074M10119614000SHSOLE 0014000NUVEEN FLOATING RATE INCOMECOM67072T10812911284SHSOLE 0011284NUVEEN S&P 500 BUY-WRITE INCCOM6706ER10133425329SHSOLE 0025329NUVEEN SELECT MAT MUN FDSH BEN INT67061T10124324450SHSOLE 0024450NUVEEN TAX ADVANTAGED DIV GRCOM67073G10531721200SHSOLE 0021200NVIDIA CORPCOM67066G10410629824SHSOLE 009824NXP SEMICONDUCTORS N VCOMN6596X1092262159SHSOLE 002159OCCIDENTAL PETE CORP DELCOM6745991052083272SHSOLE 003272OLD REP INTL CORPCOM68022310429714649SHSOLE 0014649OMEGA HEALTHCARE INVS INCCOM68193610081624809SHSOLE 0024809ONEBEACON INSURANCE GROUP LTCL AG6774210919212000SHSOLE 0012000ONEOK INC NEWCOM6826801034067349SHSOLE 007349ONEOK PARTNERS LPUNIT LTD PARTN68268N1033676805SHSOLE 006805OPPENHEIMER REV WEIGHTD ETFSMALL CAP REV ET68386C3026379599SHSOLE 009599OPPENHEIMER REV WEIGHTD ETFULTRA DIVID REV68386C401108031234SHSOLE 0031234ORACLE CORPCOM68389X105153834479SHSOLE 0034479ORCHID IS CAP INCCOM68571X1031055105566SHSOLE 00105566ORGANOVO HLDGS INCCOM68620A1045116202SHSOLE 0016202OVERSEAS SHIPHOLDING GROUP ICL A NEW69036R8633910000SHSOLE 0010000PACCAR INCCOM6937181082093097SHSOLE 003097PALATIN TECHNOLOGIES INCCOM PAR $ .01696077403516155SHSOLE 0016155PAYCHEX INCCOM70432610782213858SHSOLE 0013858PDL BIOPHARMA INCCOM69329Y1042511000SHSOLE 0011000PENGROWTH ENERGY CORPCOM70706P10424842487579SHSOLE 002487579PENN WEST PETE LTD NEWCOM7078871053519437SHSOLE 0019437PENNEY J C INCCOM70816010611819246SHSOLE 0019246PEPSICO INCCOM713448108296826511SHSOLE 0026511PFIZER INCCOM7170811033868113291SHSOLE 00113291PG&E CORPCOM69331C108104015665SHSOLE 0015665PHILIP MORRIS INTL INCCOM718172109190016773SHSOLE 0016773PHILLIPS 66COM7185461047909911SHSOLE 009911PIMCO ETF TRTTL RTN ACTV ETF72201R775646061358SHSOLE 0061358PIMCO ETF TRENHAN SHRT MA AC72201R833213920982SHSOLE 0020982PIMCO HIGH INCOME FDCOM SHS72201410715117407SHSOLE 0017407PIMCO INCOME STRATEGY FUNDCOM72201H10811510293SHSOLE 0010293PIMCO NEW YORK MUN INCM FD 1COM72201E10523524373SHSOLE 0024373PIONEER NAT RES COCOM7237871072321240SHSOLE 001240PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310573223171SHSOLE 0023171POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S10577150850SHSOLE 0050850POWERSHARES ETF TR IIFDM HG YLD RAFI73936T5574200223329SHSOLE 00223329POWERSHARES ETF TR IIPFD PORTFOLIO73936T565126485227SHSOLE 0085227POWERSHARES ETF TR IISOVEREIGN DEBT73936T5732649151SHSOLE 009151POWERSHARES ETF TR IIEX RTE SEN LOW73937B563194465870SHSOLE 0065870POWERSHARES ETF TR IIVAR RATE PFD POR73937B59732112674SHSOLE 0012674POWERSHARES ETF TR IIS&P600 LOVL PT73937B6392435637SHSOLE 005637POWERSHARES ETF TR IIS&P400 LOVL PT73937B647176241745SHSOLE 0041745POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B6544277105681SHSOLE 00105681POWERSHARES ETF TR IIINTL DEV LOWVL73937B68859419431SHSOLE 0019431POWERSHARES ETF TR IIKBW RG BK PORT73937B712111820800SHSOLE 0020800POWERSHARES ETF TR IIKBW BK PORT73937B746172836163SHSOLE 0036163POWERSHARES ETF TR IIS&P500 LOW VOL73937B7796790155992SHSOLE 00155992POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X1532565643SHSOLE 005643POWERSHARES ETF TRUSTFINL PFD PTFL73935X22919910707SHSOLE 0010707POWERSHARES ETF TRUSTDYNA BUYBK ACH73935X2862605016SHSOLE 005016POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X302137780991SHSOLE 0080991POWERSHARES ETF TRUSTFTSE US1500 SM73935X5672121826SHSOLE 001826POWERSHARES ETF TRUSTFTSE RAFI 100073935X5835425280SHSOLE 005280POWERSHARES ETF TRUSTDYN OIL SVCS73935X62520417233SHSOLE 0017233POWERSHARES ETF TRUSTDYN BLDG CNSTR73935X66634311707SHSOLE 0011707POWERSHARES ETF TRUSTS&P 500 QLTY PRT73935X6828994328643SHSOLE 00328643POWERSHARES ETF TRUSTAERSPC DEF PTF73935X6902535730SHSOLE 005730POWERSHARES ETF TRUSTDYNM LRG CP VL73935X7082797944SHSOLE 007944POWERSHARES ETF TRUSTINTL DIV ACHV73935X71616811181SHSOLE 0011181POWERSHARES ETF TRUSTZACKS MC PRTFL73935X74035419280SHSOLE 0019280POWERSHARES ETF TRUST IISENIOR LN PORT73936Q7692319940SHSOLE 009940POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q81950413441SHSOLE 0013441POWERSHARES ETF TRUST IICEF INC COMPST73936Q84342518474SHSOLE 0018474POWERSHARES QQQ TRUSTUNIT SER 173935A10424824187484SHSOLE 00187484POWERSHS DB US DOLLAR INDEXDOLL INDX BULL73936D1072218600SHSOLE 008600PPG INDS INCCOM6935061075915609SHSOLE 005609PPL CORPCOM69351T10667818091SHSOLE 0018091PRAXAIR INCCOM74005P1042141809SHSOLE 001809PRICE T ROWE GROUP INCCOM74144T108117517292SHSOLE 0017292PROCTER AND GAMBLE COCOM742718109732481617SHSOLE 0081617PROSHARES TRSHORT S&P 500 NE74347B42544813004SHSOLE 0013004PROSHARES TRRUSS 2000 DIVD74347B6982354418SHSOLE 004418PROSHARES TRPSHS LC COR PLUS74347R24876113067SHSOLE 0013067PROSHARES TRS&P 500 DV ARIST74348A467136124153SHSOLE 0024153PROSHARES TRHGH YLD INT RATE74348A5412754001SHSOLE 004001PROSPECT CAPITAL CORPORATIONCOM74348T10260466790SHSOLE 0066790PROSPECT CAPITAL CORPORATIONNOTE 5.375%10/174348TAK82222000PRNSOLE 0022000PROSPECT CAPITAL CORPORATIONNOTE 5.750% 3/174348TAL6991969000PRNSOLE 00969000PROSPECT CAPITAL CORPORATIONNOTE 5.875% 1/174348TAM48482000PRNSOLE 0082000PRUDENTIAL FINL INCCOM7443201023613421SHSOLE 003421PUBLIC STORAGECOM74460D1096843126SHSOLE 003126QUALCOMM INCCOM747525103215537655SHSOLE 0037655RAIT FINANCIAL TRUSTCOM NEW7492276092198688155SHSOLE 00688155RAYTHEON COCOM NEW7551115075763766SHSOLE 003766REALTY INCOME CORPCOM756109104230738620SHSOLE 0038620RESTAURANT BRANDS INTL INCCOM76131D10356710187SHSOLE 0010187RETAIL PPTYS AMER INCCL A76131V20249534323SHSOLE 0034323REYNOLDS AMERICAN INCCOM7617131064226666SHSOLE 006666RIVERNORTH DOUBLELINE STRATECOM76882G10749026065SHSOLE 0026065ROYAL DUTCH SHELL PLCSPON ADR B780259107431177185SHSOLE 0077185ROYAL DUTCH SHELL PLCSPONS ADR A7802592064127770SHSOLE 007770RYDEX ETF TRUSTGUG S&P500 EQ WT78355W10646058507154SHSOLE 00507154RYDEX ETF TRUSTGUG S&P500 PU VA78355W304156726600SHSOLE 0026600RYDEX ETF TRUSTGUG S&P500 PU GR78355W4032853169SHSOLE 003169RYDEX ETF TRUSTGUGGENHM S&P 40078355W5774948385SHSOLE 008385RYDEX ETF TRUSTGUG S&P SC600 PV78355W70085612478SHSOLE 0012478SABRA HEALTH CARE REIT INCCOM78573L10641914963SHSOLE 0014963SALESFORCE COM INCCOM79466L3022122599SHSOLE 002599SANDRIDGE PERMIAN TRCOM UNIT BEN INT80007A1023411798SHSOLE 0011798SCHLUMBERGER LTDCOM806857108110614218SHSOLE 0014218SCHULMAN A INCCOM80819410435911400SHSOLE 0011400SCHWAB CHARLES CORP NEWCOM8085131052255522SHSOLE 005522SCHWAB STRATEGIC TRUS BRD MKT ETF8085241022344099SHSOLE 004099SCHWAB STRATEGIC TRUS LCAP GR ETF808524300134822348SHSOLE 0022348SCHWAB STRATEGIC TRUS SML CAP ETF8085246072213520SHSOLE 003520SCHWAB STRATEGIC TRUS DIVIDEND EQ8085247974189456SHSOLE 009456SCHWAB STRATEGIC TRINTRM TRM TRES808524854414977251SHSOLE 0077251SCHWAB STRATEGIC TRUS TIPS ETF80852487068812407SHSOLE 0012407SCORPIO TANKERS INCSHSY7542C106553125038SHSOLE 00125038SCOTTS MIRACLE GRO COCL A8101861062342501SHSOLE 002501SEADRILL LIMITEDSHSG7945E1051811459SHSOLE 0011459SEAGATE TECHNOLOGY PLCSHSG7945M10747110282SHSOLE 0010282SELECT INCOME REITCOM SH BEN INT81618T100174467482SHSOLE 0067482SELECT SECTOR SPDR TRSBI MATERIALS81369Y1002645078SHSOLE 005078SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209102813891SHSOLE 0013891SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3087236132507SHSOLE 00132507SELECT SECTOR SPDR TRSBI CONS DISCR81369Y407309435108SHSOLE 0035108SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y506488569872SHSOLE 0069872SELECT SECTOR SPDR TRSBI INT-FINL81369Y6053106130745SHSOLE 00130745SELECT SECTOR SPDR TRSBI INT-INDS81369Y704200730908SHSOLE 0030908SELECT SECTOR SPDR TRTECHNOLOGY81369Y803459685984SHSOLE 0085984SELECT SECTOR SPDR TRSBI INT-UTILS81369Y8863837453SHSOLE 007453SEMPRA ENERGYCOM8168511094403976SHSOLE 003976SENIOR HSG PPTYS TRSH BEN INT81721M10923811806SHSOLE 0011806SENSEONICS HLDGS INCCOM81727U1052715200SHSOLE 0015200SIMON PPTY GROUP INC NEWCOM8288061093902268SHSOLE 002268SIRIUS XM HLDGS INCCOM82968B1036913255SHSOLE 0013255SKYWEST INCCOM83087910239311532SHSOLE 0011532SKYWORKS SOLUTIONS INCCOM83088M1025145198SHSOLE 005198SMUCKER J M COCOM NEW8326964058016121SHSOLE 006121SOLAR CAP LTDCOM83413U10069030450SHSOLE 0030450SOLAR SR CAP LTDCOM83416M10526114500SHSOLE 0014500SOUTHERN COCOM842587107353270970SHSOLE 0070970SOUTHWEST AIRLS COCOM84474110865912245SHSOLE 0012245SPDR DOW JONES INDL AVRG ETFUT SER 178467X109462722395SHSOLE 0022395SPDR GOLD TRUSTGOLD SHS78463V107376931706SHSOLE 0031706SPDR INDEX SHS FDSEURO STOXX 5078463X202132836503SHSOLE 0036503SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7493958449SHSOLE 008449SPDR INDEX SHS FDSMSCI ACWI EXUS78463X848303989073SHSOLE 0089073SPDR INDEX SHS FDSDJ INTL RL ETF78463X8633399123SHSOLE 009123SPDR S&P 500 ETF TRTR UNIT78462F10334884147971SHSOLE 00147971SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10712193910SHSOLE 003910SPDR SER TRBLOMBERG BRC INV78468R200292895455SHSOLE 0095455SPDR SER TRBLOOMBERG SRT TR78468R4083118110921SHSOLE 00110921SPDR SER TRDORSEY WRGT FI78468R713120247641SHSOLE 0047641SPDR SER TRNUVEEN BRC MUNIC78468R721108722687SHSOLE 0022687SPDR SER TRSSGA US LRG ETF78468R804113813500SHSOLE 0013500SPDR SER TRSSGA US SMAL ETF78468R8873153455SHSOLE 003455SPDR SERIES TRUSTMORGAN TECH ETF78464A102235934284SHSOLE 0034284SPDR SERIES TRUSTS&P 600 SMCP GRW78464A201240611297SHSOLE 0011297SPDR SERIES TRUSTBLMBRG BRC CNVRT78464A359119624946SHSOLE 0024946SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A41776820931SHSOLE 0020931SPDR SERIES TRUSTBLOMBERG BRC SRT78464A47451316771SHSOLE 0016771SPDR SERIES TRUSTS&P TRANSN ETF78464A532147928010SHSOLE 0028010SPDR SERIES TRUSTAEROSPACE DEF78464A6313605404SHSOLE 005404SPDR SERIES TRUSTS&P REGL BKG78464A6985751105219SHSOLE 00105219SPDR SERIES TRUSTS&P DIVID ETF78464A763384443577SHSOLE 0043577SPDR SERIES TRUSTS&P CAP MKTS78464A771210044881SHSOLE 0044881SPDR SERIES TRUSTS&P 600 SML CAP78464A8133082540SHSOLE 002540SPDR SERIES TRUSTS&P 400 MDCP GRW78464A821201714431SHSOLE 0014431SPDR SERIES TRUSTS&P 400 MDCP VAL78464A8399469739SHSOLE 009739SPDR SERIES TRUSTS&P BIOTECH78464A8702343361SHSOLE 003361SPDR SERIES TRUSTS&P HOMEBUILD78464A88861516468SHSOLE 0016468SPHERE 3D CORP NEWCOM84841L100212142SHSOLE 0012142SPIRE INCCOM84857L1013404956SHSOLE 004956SPIRIT RLTY CAP INC NEWCOM84860W10261160190SHSOLE 0060190SRC ENERGY INCCOM78470V10819322900SHSOLE 0022900SSGA ACTIVE ETF TRSPDR TR TACTIC78467V848206142194SHSOLE 0042194STANLEY BLACK & DECKER INCCOM8545021012331742SHSOLE 001742STARBUCKS CORPCOM855244109220537575SHSOLE 0037575STARWOOD PPTY TR INCNOTE 3.750%10/185571BAC95150000PRNSOLE 0050000STERICYCLE INCDEP PFD A 1/108589122074266017SHSOLE 006017STMICROELECTRONICS N VNY REGISTRY86101210215510111SHSOLE 0010111STRYKER CORPCOM8636671014203181SHSOLE 003181STURM RUGER & CO INCCOM8641591083887219SHSOLE 007219SUNCOR ENERGY INC NEWCOM8672241072859317SHSOLE 009317SYSCO CORPCOM87182910781315756SHSOLE 0015756TARGET CORPCOM87612E10663511344SHSOLE 0011344TC PIPELINES LPUT COM LTD PRT87233Q1082213705SHSOLE 003705TCW STRATEGIC INCOME FUND INCOM8723401046211250SHSOLE 0011250TEEKAY LNG PARTNERS L PPRTNRSP UNITSY8564M105129272763SHSOLE 0072763TELEDYNE TECHNOLOGIES INCCOM8793601052622069SHSOLE 002069TESLA INCCOM88160R10111244024SHSOLE 004024TETRA TECHNOLOGIES INC DELCOM88162F1056115100SHSOLE 0015100THE TRADE DESK INCCOM CL A88339J1053589600SHSOLE 009600THERAPEUTICSMD INCCOM88338N10727237810SHSOLE 0037810THERMO FISHER SCIENTIFIC INCCOM8835561022541634SHSOLE 001634THL CR INCCOM87243810613913910SHSOLE 0013910TIER REIT INCCOM NEW88650V20844425738SHSOLE 0025738TIME WARNER INCCOM NEW8873173033113164SHSOLE 003164TJX COS INC NEWCOM87254010991011489SHSOLE 0011489TORTOISE ENERGY INFRA CORPCOM89147L1002095956SHSOLE 005956TORTOISE MLP FD INCCOM89148B10136117320SHSOLE 0017320TOTAL S ASPONSORED ADR89151E109293858387SHSOLE 0058387TRACTOR SUPPLY COCOM8923561065638153SHSOLE 008153TRANSALTA CORPCOM89346D10711119002SHSOLE 0019002TRANSOCEAN LTDREG SHSH8817H1002152173871SHSOLE 00173871TRAVELERS COMPANIES INCCOM89417E10910758954SHSOLE 008954TRIANGLE CAP CORPCOM89584810929115174SHSOLE 0015174ULTA BEAUTY INCCOM90384S303219764SHSOLE 00764UNDER ARMOUR INCCL A90431110769835488SHSOLE 0035488UNION PAC CORPCOM907818108128912143SHSOLE 0012143UNITED BANKSHARES INC WEST VCOM90990710743010150SHSOLE 0010150UNITED PARCEL SERVICE INCCL B911312106163315229SHSOLE 0015229UNITED RENTALS INCCOM9113631093092454SHSOLE 002454UNITED STATES NATL GAS FUNDUNIT PAR $0.00191231820115420150SHSOLE 0020150UNITED STATES OIL FUND LPUNITS91232N1081479139062SHSOLE 00139062UNITED TECHNOLOGIES CORPCOM913017109205818387SHSOLE 0018387UNITEDHEALTH GROUP INCCOM91324P102202712371SHSOLE 0012371US BANCORP DELCOM NEW90297330466712909SHSOLE 0012909V F CORPCOM9182041082775032SHSOLE 005032VALE S AADR91912E1053000315760SHSOLE 00315760VALERO ENERGY CORP NEWCOM91913Y1005708593SHSOLE 008593VANECK VECTORS ETF TRGOLD MINERS ETF92189F106179278733SHSOLE 0078733VANECK VECTORS ETF TRAGRIBUSINESS ETF92189F7003646787SHSOLE 006787VANGUARD ADMIRAL FDS INC500 GRTH IDX F921932505201217020SHSOLE 0017020VANGUARD ADMIRAL FDS INC500 VAL IDX FD921932703159415895SHSOLE 0015895VANGUARD ADMIRAL FDS INCSMLLCP 600 IDX921932828267921213SHSOLE 0021213VANGUARD ADMIRAL FDS INCMIDCP 400 IDX921932885164214191SHSOLE 0014191VANGUARD BD INDEX FD INCLONG TERM BOND9219377934555063SHSOLE 005063VANGUARD BD INDEX FD INCINTERMED TERM9219378196167376SHSOLE 007376VANGUARD BD INDEX FD INCSHORT TRM BOND921937827217827373SHSOLE 0027373VANGUARD BD INDEX FD INCTOTAL BND MRKT92193783514852183356SHSOLE 00183356VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J407250746191SHSOLE 0046191VANGUARD INDEX FDSS&P 500 ETF SHS9229083631006046530SHSOLE 0046530VANGUARD INDEX FDSMCAP VL IDXVIP922908512140813830SHSOLE 0013830VANGUARD INDEX FDSMCAP GR IDXVIP922908538174715474SHSOLE 0015474VANGUARD INDEX FDSREIT ETF922908553806897928SHSOLE 0097928VANGUARD INDEX FDSSML CP GRW ETF922908595179812808SHSOLE 0012808VANGUARD INDEX FDSSM CP VAL ETF922908611186615180SHSOLE 0015180VANGUARD INDEX FDSMID CAP ETF922908629381027377SHSOLE 0027377VANGUARD INDEX FDSLARGE CAP ETF9229086375645234SHSOLE 005234VANGUARD INDEX FDSEXTEND MKT ETF922908652290229109SHSOLE 0029109VANGUARD INDEX FDSGROWTH ETF9229087361037985315SHSOLE 0085315VANGUARD INDEX FDSVALUE ETF922908744262127491SHSOLE 0027491VANGUARD INDEX FDSSMALL CP ETF922908751866365029SHSOLE 0065029VANGUARD INDEX FDSTOTAL STK MKT92290876912802105450SHSOLE 00105450VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF922042718171316658SHSOLE 0016658VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427422363603SHSOLE 003603VANGUARD INTL EQUITY INDEX FALLWRLD EX US9220427754828101059SHSOLE 00101059VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428586459162936SHSOLE 00162936VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874392576120SHSOLE 0076120VANGUARD MALVERN FDSSTRM INFPROIDX922020805409182710SHSOLE 0082710VANGUARD MUN BD FD INCTAX EXEMPT BD9229077464689249SHSOLE 009249VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409321940279SHSOLE 0040279VANGUARD SCOTTSDALE FDSVNG RUS2000GRW92206C6232271929SHSOLE 001929VANGUARD SCOTTSDALE FDSVNG RUS2000VAL92206C6493573474SHSOLE 003474VANGUARD SCOTTSDALE FDSVNG RUS2000IDX92206C6643943549SHSOLE 003549VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C714975797163SHSOLE 0097163VANGUARD SCOTTSDALE FDSVNG RUS1000IDX92206C7309068350SHSOLE 008350VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C8702462834SHSOLE 002834VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844534959609SHSOLE 0059609VANGUARD STAR FDVG TL INTL STK F9219097684509058SHSOLE 009058VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF9219438585622142833SHSOLE 00142833VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464068032103416SHSOLE 00103416VANGUARD WORLD FDMEGA GRWTH IND9219108165695932SHSOLE 005932VANGUARD WORLD FDMEGA CAP VAL ETF9219108406329213SHSOLE 009213VANGUARD WORLD FDSCONSUM DIS ETF92204A1083892812SHSOLE 002812VANGUARD WORLD FDSCONSUM STP ETF92204A207178412670SHSOLE 0012670VANGUARD WORLD FDSFINANCIALS ETF92204A405435071968SHSOLE 0071968VANGUARD WORLD FDSHEALTH CAR ETF92204A504445432244SHSOLE 0032244VANGUARD WORLD FDSINF TECH ETF92204A7023652706SHSOLE 002706VANGUARD WORLD FDSMATERIALS ETF92204A801199416830SHSOLE 0016830VANGUARD WORLD FDSUTILITIES ETF92204A8765785130SHSOLE 005130VENTAS INCCOM92276F1005258098SHSOLE 008098VEREIT INCCOM92339V1006356747941SHSOLE 00747941VERIZON COMMUNICATIONS INCCOM92343V1047606155729SHSOLE 00155729VISA INCCOM CL A92826C839222725092SHSOLE 0025092VODAFONE GROUP PLC NEWSPONSORED ADR92857W308131949959SHSOLE 0049959VOYA GLBL EQTY DIV & PREM OPCOM92912T1008110906SHSOLE 0010906VOYA PRIME RATE TRSH BEN INT92913A1002044377401SHSOLE 00377401VULCAN MATLS COCOM92916010910748940SHSOLE 008940W P CAREY INCCOM92936U10971411456SHSOLE 0011456WALGREENS BOOTS ALLIANCE INCCOM931427108135216315SHSOLE 0016315WAL-MART STORES INCCOM931142103203128322SHSOLE 0028322WASHINGTON FED INCCOM938824109144643680SHSOLE 0043680WASTE MGMT INC DELCOM94106L109119916434SHSOLE 0016434WATSCO INCCOM94262220010177100SHSOLE 007100WEB COM GROUP INCNOTE 1.000% 8/194733AAA21515000PRNSOLE 0015000WEBSTER FINL CORP CONNCOM947890109111122194SHSOLE 0022194WEC ENERGY GROUP INCCOM92939U1063024983SHSOLE 004983WELLS FARGO & CO NEWCOM949746101198935713SHSOLE 0035713WELLS FARGO UTILITIES AND HIWF UTILITIES INC94987E10923017900SHSOLE 0017900WELLTOWER INCCOM95040Q104233732995SHSOLE 0032995WESTERN ASSET MTG CAP CORPCOM95790D10522322881SHSOLE 0022881WESTERN ASSET MTG DEF OPPTYCOM95790B10926611220SHSOLE 0011220WESTROCK COCOM96145D10565912655SHSOLE 0012655WEYERHAEUSER COCOM96216610440511941SHSOLE 0011941WILLIAMS COS INC DELCOM9694571002849617SHSOLE 009617WISDOMTREE TRHIGH DIV FD97717W2086539545SHSOLE 009545WISDOMTREE TRLARGECAP DIVID97717W3072903505SHSOLE 003505WISDOMTREE TREMER MKT HIGH FD97717W315172542165SHSOLE 0042165WISDOMTREE TRDIV EX-FINL FD97717W4068139864SHSOLE 009864WISDOMTREE TRGERMANY HEDEQ FD97717W4483019900SHSOLE 009900WISDOMTREE TRMIDCAP DIVI FD97717W505171217545SHSOLE 0017545WISDOMTREE TRLRGECP VALUE FD97717W5472113000SHSOLE 003000WISDOMTREE TRMDCP EARN FUND97717W57076221604SHSOLE 0021604WISDOMTREE TRSMALLCAP DIVID97717W6043804697SHSOLE 004697WISDOMTREE TRINTL SMCAP DIV97717W7602353577SHSOLE 003577WISDOMTREE TRJP SMALLCP DIV97717W836115417245SHSOLE 0017245WISDOMTREE TREUROPE SMCP DV97717W869207035055SHSOLE 0035055WISDOMTREE TRCURRNCY INT EQ97717X26328710293SHSOLE 0010293WISDOMTREE TREUR HDG SMLCAP97717X552167059014SHSOLE 0059014WISDOMTREE TREUROPE HEDGED EQ97717X701408465131SHSOLE 0065131WIX COM LTDSHSM980681056439435SHSOLE 009435XCEL ENERGY INCCOM98389B10053411997SHSOLE 0011997XENIA HOTELS & RESORTS INCCOM984017103113066235SHSOLE 0066235YUM BRANDS INCCOM988498101134220936SHSOLE 0020936YUM CHINA HLDGS INCCOM98850P10940014621SHSOLE 0014621ZOETIS INCCL A98978V1032013766SHSOLE 003766