CHIEF COMPLIANCE OFFICER

0001387131-18-003906.txt : 20180813 0001387131-18-003906.hdr.sgml : 20180813 20180813124508 ACCESSION NUMBER: 0001387131-18-003906 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180813 DATE AS OF CHANGE: 20180813 EFFECTIVENESS DATE: 20180813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hilton Capital Management, LLC CENTRAL INDEX KEY: 0001541211 IRS NUMBER: 134193167 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14787 FILM NUMBER: 181011287 BUSINESS ADDRESS: STREET 1: 1010 FRANKLIN AVENUE CITY: GARDEN CITY STATE: NY ZIP: 11530 BUSINESS PHONE: 516-535-3828 MAIL ADDRESS: STREET 1: 1010 FRANKLIN AVENUE CITY: GARDEN CITY STATE: NY ZIP: 11530 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001541211 XXXXXXXX 06-30-2018 06-30-2018 false Hilton Capital Management, LLC

1010 Franklin Avenue Garden City NY 11530

13F HOLDINGS REPORT 028-14787 N BARBARA MARTENS CHIEF COMPLIANCE OFFICER 516-535-3828 /s/ BARBARA MARTENS GARDEN CITY NY 08-13-2018 0 392 621236 INFORMATION TABLE 2 infotable.xml HOLDINGS REPORT 3M CO COM Common Stocks 88579Y101 5 26 SH SOLE 6 0 20 A T & T INC (NEW) Common Stocks 00206R102 147 4582 SH SOLE 70 0 4512 A.O. SMITH CORPORATION Common Stocks 831865209 18495 312673 SH SOLE 239405 0 73268 ABBOTT LABS Common Stocks 002824100 134 2200 SH SOLE 40 0 2160 ABBVIE INC Common Stocks 00287Y109 200 2160 SH SOLE 0 0 2160 ABCANN GLOBAL CORP Common Stocks 00287W103 129 125000 SH SOLE 0 0 125000 ACCENTURE PLC Common Stocks G1151C101 218 1333 SH SOLE 319 0 1014 ADOBE SYSTEMS INC RSTD Common Stocks 00724F101 18 73 SH SOLE 33 0 40 ADVANSIX INC Common Stocks 00773T101 0 8 SH SOLE 0 0 8 AGILENT TECHNOLOGIES INC Common Stocks 00846U101 2 40 SH SOLE 40 0 0 AIR PRODUCTS & CHEMICALS INC. Common Stocks 009158106 41 262 SH SOLE 157 0 105 ALERIAN MLP ETF Equity ETFs 00162Q866 51 5000 SH SOLE 0 0 5000 ALEXION PHARMACEAUTICALS INC Common Stocks 015351109 4 32 SH SOLE 12 0 20 ALIBABA GROUP ADR Common Stocks 01609W102 167 900 SH SOLE 0 0 900 ALIGN TECHNOLOGIES INC Common Stocks 016255101 5 16 SH SOLE 11 0 5 ALLERGAN PLC Common Stocks G0177J108 3 16 SH SOLE 16 0 0 ALLIANCEBERNSTEIN HLGG LPUNIT LTD PARTN Common Stocks 01881G106 7 250 SH SOLE 0 0 250 ALLY FINANCIAL Common Stocks 02005N100 274 10445 SH SOLE 10445 0 0 ALMADEN MINERALS LTD Common Stocks 020283305 18 25000 SH SOLE 0 0 25000 ALMONTY INDUSTIRES INC. Common Stocks 020398103 8 12000 SH SOLE 0 0 12000 ALPHABET INC -CL A Common Stocks 02079K305 919 814 SH SOLE 7 0 807 ALPHABET INC -CL C Common Stocks 02079K107 6340 5683 SH SOLE 2365 0 3318 ALTABA INC COM Common Stocks 021346101 15 200 SH SOLE 0 0 200 AMAZON COM INC Common Stocks 023135106 11380 6695 SH SOLE 3823 0 2872 AMERICAN CAPITAL AGENCY CORP Common Stocks 00123Q104 56 3000 SH SOLE 0 0 3000 AMERICAN EXPRESS CO Common Stocks 025816109 1394 14220 SH SOLE 0 0 14220 AMERICAN RIVER BANKSHRS Common Stocks 029326105 279 17625 SH SOLE 17625 0 0 AMERICAN TOWER REIT INC Common Stocks 03027X100 4 29 SH SOLE 29 0 0 AMERIPRISE FINL INC Common Stocks 03076C106 336 2400 SH SOLE 0 0 2400 AMPLIFY BLOCKCHAIN ETF Equity ETFs 032108607 47 2400 SH SOLE 2400 0 0 ANDEAVOR REG SHS Common Stocks 03349M105 3 22 SH SOLE 22 0 0 ANNALY CAP MGMT INC Common Stocks 035710409 51 5000 SH SOLE 0 0 5000 APERGY CORPORATION COM Common Stocks 03755L104 2 50 SH SOLE 0 0 50 APPLE INC. Common Stocks 037833100 2966 16025 SH SOLE 3321 0 12704 ARCHER DANIELS MIDLAND Common Stocks 039483102 129 2804 SH SOLE 856 0 1948 ARK ETF TR INNOVATION Equity ETFs 00214Q104 3 60 SH SOLE 0 0 60 ATICO MINING CORP SHS Common Stocks 047559109 20 50000 SH SOLE 0 0 50000 ATLASSIAN CORP PLC Common Stocks G06242104 3 50 SH SOLE 50 0 0 AURANIA RESOURCES LTD Common Stocks G06974102 16 10000 SH SOLE 0 0 10000 AUTOMATIC DATA PROCESSING Common Stocks 053015103 78 580 SH SOLE 0 0 580 AVERY DENNISON CORP. Common Stocks 053611109 57 555 SH SOLE 0 0 555 BANK AMER CORP Common Stocks 060505104 117 4140 SH SOLE 190 0 3950 BANK OF NEW YORK MELLON CORP Common Stocks 064058100 119 2200 SH SOLE 0 0 2200 BANK OF NT BUTTERFIELD & SON Common Stocks G0772R208 18019 394118 SH SOLE 287065 0 107053 BANK OF THE OZARKS Common Stocks 063904106 180 4007 SH SOLE 4007 0 0 BARNWELL INDUSTRIES INC. Common Stocks 068221100 1 500 SH SOLE 0 0 500 BARRICK GOLD CORP Common Stocks 067901108 3 200 SH SOLE 0 0 200 BAYCOM CORP Common Stocks 07272M107 104 4201 SH SOLE 4201 0 0 BECTON DICKINSON 6.125 CVT DTD 5/01/20 Common Stocks 075887208 186 3010 SH SOLE 843 0 2167 BERKSHIRE HATHAWAY INC DEL CL B NEW Common Stocks 084670702 987 5290 SH SOLE 0 0 5290 BIOGEN IDEAC INC Common Stocks 09062X103 5 18 SH SOLE 3 0 15 BLACKROCK INC. Common Stocks 09247X101 424 850 SH SOLE 850 0 0 BLACKSTONE GROUP LP Common Stocks 09253U108 401 12480 SH SOLE 0 0 12480 BOEING CO Common Stocks 097023105 4 13 SH SOLE 4 0 9 BOK FINANCIAL CORP NEW Common Stocks 05561Q201 156 1660 SH SOLE 1660 0 0 BOX INC Common Stocks 10316T104 25 1000 SH SOLE 0 0 1000 BRISTOL MYERS SQUIBB CO Common Stocks 110122108 77 1386 SH SOLE 721 0 665 BROADCOM LTD Common Stocks 11135F101 2 7 SH SOLE 7 0 0 BROADRIDGE FINANCIAL SOLUTIONS Common Stocks 11133T103 24433 212279 SH SOLE 157830 0 54449 BROOKS AUTOMATION INC Common Stocks 114340102 98 3000 SH SOLE 0 0 3000 BUCKEYE PARTNERS L P Common Stocks 118230101 23 648 SH SOLE 0 0 648 BUSINESS FIRST BANCSHARES Common Stocks 12326C105 104 3950 SH SOLE 3950 0 0 BYD CO LTD Common Stocks 05606L100 129 10650 SH SOLE 0 0 10650 CALUMET SPECIALTY PRODS PTNRUT LTD PARTNER Common Stocks 131476103 15 2000 SH SOLE 0 0 2000 CAMECO CORP Common Stocks 13321L108 56 5000 SH SOLE 0 0 5000 CATERPILLAR INC COM Common Stocks 149123101 403 2970 SH SOLE 1300 0 1670 CBS CORP NEW CL B Common Stocks 124857202 61 1085 SH SOLE 0 0 1085 CELANESE CORP DEL SER A Common Stocks 150870103 3 31 SH SOLE 31 0 0 CELGENE CORP Common Stocks 151020104 486 6120 SH SOLE 0 0 6120 CENTRAL VALLEY COMM BANCORP Common Stocks 155685100 180 8492 SH SOLE 8492 0 0 CERNER CORP Common Stocks 156782104 5 80 SH SOLE 0 0 80 CHARTER COMMUNI Common Stocks 16119P108 12 40 SH SOLE 0 0 40 CHEMOURS CO Common Stocks 163851108 6 124 SH SOLE 0 0 124 CHEVRONTEXACO CORP Common Stocks 166764100 71 561 SH SOLE 299 0 262 CHUBB LTD Common Stocks H1467J104 118 928 SH SOLE 217 0 711 CISCO SYS INC Common Stocks 17275R102 745 17312 SH SOLE 1267 0 16045 CITIGROUP INC Common Stocks 172967424 340 5085 SH SOLE 0 0 5085 CME GROUP INC Common Stocks 12572Q105 14582 88956 SH SOLE 66034 0 22922 COCA COLA CO Common Stocks 191216100 12 280 SH SOLE 0 0 280 CODORUS VALLEY Common Stocks 192025104 25 830 SH SOLE 830 0 0 COHEN & STEERS REIT & PFD INCOM Common Stocks 19247X100 39 2027 SH SOLE 0 0 2027 COLGATE PALMOLIVE CO Common Stocks 194162103 27 420 SH SOLE 20 0 400 COLONY BANKCORP Common Stocks 19623P101 23 1386 SH SOLE 1386 0 0 COMCAST CORP NEW CL A Common Stocks 20030N101 155 4720 SH SOLE 4600 0 120 COMERICA INC Common Stocks 200340107 173 1901 SH SOLE 1901 0 0 CONFORMIS INC Common Stocks 20717E101 3 2000 SH SOLE 0 0 2000 CONSOLIDATED EDISON INC Common Stocks 209115104 94 1208 SH SOLE 1004 0 204 CONSTELLATION BRANDS INC-A Common Stocks 21036P108 261 1191 SH SOLE 1191 0 0 COPPERBANK RESOURCES Common Stocks 217621101 6 100000 SH SOLE 0 0 100000 CORNING INC Common Stocks 219350105 3 110 SH SOLE 110 0 0 COSTCO WHOLESALE CORP Common Stocks 22160K105 53 253 SH SOLE 156 0 97 CROWN CASTLE INTL CORP. Common Stocks 22822V101 19896 184531 SH SOLE 125538 0 58993 CSX CORP Common Stocks 126408103 4 60 SH SOLE 60 0 0 CV SCIENCES INC Common Stocks 126654102 125 75000 SH SOLE 0 0 75000 CVS CORP Common Stocks 126650100 13 200 SH SOLE 0 0 200 DANAHER CORP DEL COM Common Stocks 235851102 8 80 SH SOLE 0 0 80 DEERE & CO Common Stocks 244199105 17 122 SH SOLE 22 0 100 DELL TECHNOLOGIES INC Common Stocks 24703L103 23 267 SH SOLE 0 0 267 DIAGEO PLC ADR SPONSORED Common Stocks 25243Q205 36 250 SH SOLE 0 0 250 DIREXION DAILY CSI CHINA Equity ETFs 25460E505 152 3100 SH SOLE 3100 0 0 DIREXION DAILY ROBOTICS BULL 3X Equity ETFs 25460E513 27 1500 SH SOLE 0 0 1500 DIREXION DAILY S&P BULL 1.25 Equity ETFs 25490K109 6021 162865 SH SOLE 41565 0 121300 DIREXION DAILY SML CAP BUL 1 Equity ETFs 25490K208 357 8975 SH SOLE 0 0 8975 DIREXION HIGH YIELD BEAR 2X Fixed Income ETF 25490K190 179 9300 SH SOLE 0 0 9300 DIREXION INSIDER Equity ETFs 25459Y769 348 8400 SH SOLE 8400 0 0 DNB FINANCIAL C Common Stocks 233237106 128 3650 SH SOLE 3650 0 0 DOLLAR GENERAL CORP Common Stocks 256677105 15 150 SH SOLE 0 0 150 DOMINION ENERGY INC Common Stocks 25746U109 11 162 SH SOLE 0 0 162 DOUBLELINE INCOME SOLUTIONS FUND Fixed Income Closed-End Fund 258622109 72 3580 SH SOLE 0 0 3580 DOVER CORP Common Stocks 260003108 7 100 SH SOLE 0 0 100 DOWDUPONT INC Common Stocks 26078J100 16265 246733 SH SOLE 185409 0 61324 DR HORTON INC. Common Stocks 23331A109 15764 384484 SH SOLE 268314 0 116170 DUKE ENERGY CORP NEW Common Stocks 26441C204 34 433 SH SOLE 269 0 164 EAGLE BANCORP INC Common Stocks 268948106 194 3157 SH SOLE 3157 0 0 EATON CORP PLC Common Stocks G29183103 2 30 SH SOLE 30 0 0 ECOLAB INC. Common Stocks 278865100 53 380 SH SOLE 0 0 380 ELAH HLDGS INC Common Stocks 28413L105 1 8 SH SOLE 8 0 0 ELBIT SYSTEMS LTD. Common Stocks M3760D101 19 160 SH SOLE 0 0 160 ELECTRONIC ARTS INC Common Stocks 285512109 4 29 SH SOLE 29 0 0 ENERGY SELECT SECTOR SPIDER Equity ETFs 81369Y506 9 123 SH SOLE 123 0 0 ENERGY TRANSFER EQUITY L P UT LTD PTN Common Stocks 29273V100 483 28000 SH SOLE 0 0 28000 ENERGY TRANSFER PARTNERS L.P. Common Stocks 29278N103 140 7332 SH SOLE 0 0 7332 ENLINK MIDSTREAM PARTNERS LP Common Stocks 29336U107 148 9500 SH SOLE 0 0 9500 ENTERPRISE PRODS PARTNERS L COM UNIT Common Stocks 293792107 18013 650978 SH SOLE 372317 0 278661 EQUINIX INC Common Stocks 29444U700 3 6 SH SOLE 6 0 0 EQUINOX GOLD CORP Common Stocks 29446Y106 16 21825 SH SOLE 0 0 21825 ESQUIRE FINANCI Common Stocks 29667J101 99 3735 SH SOLE 3735 0 0 ETFMG ALTERNATIVE HARVEST ETF Equity ETFs 26924G508 35 1200 SH SOLE 0 0 1200 EV ENERGY PARTNERS LP Common Stocks 26926V107 0 3500 SH SOLE 0 0 3500 EXACT SCIENCES CORP Common Stocks 30063P105 2 30 SH SOLE 30 0 0 EXELON CORP Common Stocks 30161N101 28 667 SH SOLE 60 0 607 EXXON MOBIL CORP Common Stocks 30231G102 819 9899 SH SOLE 2402 0 7497 FACEBOOK INC Common Stocks 30303M102 3000 15437 SH SOLE 4291 0 11146 FCB FINANCIAL HOLDINGS Common Stocks 30255G103 284 4829 SH SOLE 4829 0 0 FEDEX CORP Common Stocks 31428X106 2 10 SH SOLE 0 0 10 FERRELLGAS PARTNERS L P UNIT LTD PRTNRS Common Stocks 315293100 16 4857 SH SOLE 0 0 4857 FIDELITY CONS STAPLES ETF Equity ETFs 316092303 284 9100 SH SOLE 0 0 9100 FIDELITY INDUSTRIALS ETF Equity ETFs 316092709 316 8515 SH SOLE 0 0 8515 FIDELITY INFO TECH ETF Equity ETFs 316092808 492 8910 SH SOLE 0 0 8910 FIDELITY NASDAQCOMP INDEX ETF Equity ETFs 315912808 471 1600 SH SOLE 0 0 1600 FINANCIAL SELECT SPIDER ETF Equity ETFs 81369Y605 7 270 SH SOLE 270 0 0 FIORE GOLD LTD Common Stocks 31810L108 9 25000 SH SOLE 0 0 25000 First Choice Bancorp Common Stocks 31948P104 102 3340 SH SOLE 3340 0 0 FIRST FINANCIAL BANCORP Common Stocks 320209109 15115 493162 SH SOLE 361425 0 131737 FIRST MAJESTIC SILVER CORP Common Stocks 32076V103 38 5000 SH SOLE 0 0 5000 FIRST TRUST ABA COMM BANK ETF Equity ETFs 33736Q104 10 175 SH SOLE 175 0 0 FORD MTR CO DEL Common Stocks 345370860 4 400 SH SOLE 0 0 400 FORTIVE CORP Common Stocks 34959J108 3 40 SH SOLE 0 0 40 FOUR CORNERS PROPERTY TRUST Common Stocks 35086T109 9 350 SH SOLE 0 0 350 FRONTIER COMMUNICATIONS CORP Common Stocks 35906A306 3 533 SH SOLE 0 0 533 FSD PHARMA Common Stocks 35954B107 10 75000 SH SOLE 0 0 75000 GATX CORP Common Stocks 361448103 37 500 SH SOLE 0 0 500 GDS HOLDINGS LTD - ADR Common Stocks 36165L108 231 5765 SH SOLE 0 0 5765 GENERAL DYNAMICS CORP. Common Stocks 369550108 377 2024 SH SOLE 1039 0 985 GENERAL ELEC CO Common Stocks 369604103 215 15800 SH SOLE 0 0 15800 GENESIS ENERGY LP Common Stocks 371927104 110 5000 SH SOLE 0 0 5000 GILEAD Sciences Common Stocks 375558103 50 700 SH SOLE 700 0 0 GOLAR LNG LIMITED Common Stocks G9456A100 59 2000 SH SOLE 0 0 2000 GOLDMAN SACHS GROUP INC Common Stocks 38141G104 291 1320 SH SOLE 695 0 625 GOLDMINING INC Common Stocks 38149E101 7 10000 SH SOLE 0 0 10000 GRAMERCY PROPERTY TRUST Common Stocks 385002308 18009 659170 SH SOLE 476626 0 182544 GRANITE POINT MORTGAGE TRUST Common Stocks 38741L107 9 473 SH SOLE 0 0 473 GREEN ORGANIC DUTCHMAN HOLDINGS Common Stocks 393210208 30 6000 SH SOLE 0 0 6000 GRIDIRON BIONUTRIENTS Common Stocks 39809D102 3 25000 SH SOLE 0 0 25000 HALLIBURTON CO Common Stocks 406216101 2 40 SH SOLE 40 0 0 HARRIS CORP. Common Stocks 413875105 16529 114359 SH SOLE 90393 0 23966 HARTFORD FINL SVCS GROUP Common Stocks 416515104 2 40 SH SOLE 40 0 0 HARVEST ONE CANNABIS INC Common Stocks 41755P105 30 50000 SH SOLE 0 0 50000 HEALTH CARE SECTOR SPDR Equity ETFs 81369Y209 564 6760 SH SOLE 4165 0 2595 HEALTHLYNKED CORP Common Stocks 42228P102 31 100000 SH SOLE 0 0 100000 HEMPAMERICANA INC Common Stocks 42370P207 3 200000 SH SOLE 0 0 200000 HERCULES CAPITAL INC Common Stocks 427096508 0 25 SH SOLE 25 0 0 HERITAGE COMMERCE CORP Common Stocks 426927109 85 4977 SH SOLE 4977 0 0 HILTON GRAND VA Common Stocks 43283X105 31 900 SH SOLE 900 0 0 HILTON WORLDWIDE HOLDINGS INC. Common Stocks 43300A203 237 3000 SH SOLE 3000 0 0 HIMAX TECHNOLOGIES INC ADR Common Stocks 43289P106 75 10000 SH SOLE 0 0 10000 HOME DEPOT INC Common Stocks 437076102 681 3491 SH SOLE 1519 0 1972 HONEYWELL INTL INC COM Common Stocks 438516106 33 229 SH SOLE 29 0 200 HOST HOTELS & RESORTS INC. Common Stocks 44107P104 18658 885513 SH SOLE 666264 0 219249 HOWARD BANCORP Common Stocks 442496105 3772 209535 SH SOLE 0 0 209535 HUBBELL INC Common Stocks 443510607 21 200 SH SOLE 0 0 200 HYDROPOTHECARY Common Stocks 44903W105 394 100000 SH SOLE 0 0 100000 I B M Common Stocks 459200101 179 1278 SH SOLE 0 0 1278 IAMGOLD CORP Common Stocks 450913108 29 5000 SH SOLE 0 0 5000 IDEAL POWER INC Common Stocks 451622104 13 12500 SH SOLE 0 0 12500 ILLINOIS TOOL WORKS INC Common Stocks 452308109 15 110 SH SOLE 30 0 80 INDEPENDENCE REALTY TRUST Common Stocks 45378A106 18 1730 SH SOLE 0 0 1730 INDUSTRIAL SELECT SECT SPDR Equity ETFs 81369Y704 1091 15238 SH SOLE 12250 0 2988 ING CLARION GLB RE EST INCM COM Equity ETFs 12504G100 53 7000 SH SOLE 0 0 7000 INGERSOLL-RAND PLC Common Stocks G47791101 4 50 SH SOLE 50 0 0 INNOVATIVE INDUSTRIAL PROPERTIES INC. Common Stocks 45781V101 274 7480 SH SOLE 0 0 7480 INTEL CORP Common Stocks 458140100 19022 382669 SH SOLE 270948 0 111721 INTERCONTINENTAL EXCHANGE INC Common Stocks 45866F104 2 30 SH SOLE 30 0 0 INTERNATIONAL BANCSHARES CRP Common Stocks 459044103 97 2265 SH SOLE 2265 0 0 INTGTD DEVICE TECH CALIF Common Stocks 458118106 64 2000 SH SOLE 0 0 2000 INVESCO DYNAMIC CREDIT OPP Fixed Income Closed-End Fund 46132R104 22790 1961305 SH SOLE 1383877 0 577428 INVESCO LTD Common Stocks G491BT108 3 120 SH SOLE 120 0 0 INVESCO MORTGAGE CAPITAL INCCOM Common Stocks 46131B100 48 3000 SH SOLE 0 0 3000 INVESCO QQQ TRUST UNIT SER 1 Equity ETFs 46090E103 8673 50530 SH SOLE 34135 0 16395 INVESTAR HOLDING CORP Common Stocks 46134L105 27 968 SH SOLE 968 0 0 IQIYI INC Common Stocks 46267X108 81 2500 SH SOLE 0 0 2500 ISHARES 7-10 YR TREASURY BD ETF Fixed Income ETF 464287440 39 380 SH SOLE 0 0 380 ISHARES FLOATING RATE BOND ETF Fixed Income ETF 46429B655 689 13500 SH SOLE 3000 0 10500 ISHARES IBOXX INVESTMENT GRADE CORP BOND Fixed Income ETF 464287242 352 3071 SH SOLE 0 0 3071 ISHARES INT. GOVT/CREDIT BOND ETF Fixed Income ETF 464288612 43832 406755 SH SOLE 312218 0 94537 ISHARES MSCI EMERGING MKTS Equity ETFs 464287234 263 6060 SH SOLE 0 0 6060 ISHARES MSCI JAPAN INDEX FD Equity ETFs 46434G822 7 125 SH SOLE 0 0 125 ISHARES RUSSELL 1000 GROWTH ETF Equity ETFs 464287614 453 3150 SH SOLE 1415 0 1735 ISHARES RUSSELL MIDCAP Equity ETFs 464287499 811 3825 SH SOLE 3825 0 0 ISHARES S&P PREFERRED STOCK INDEX FUND Preferred Stock 464288687 45 1185 SH SOLE 0 0 1185 ISHARES SEMICONDUCTOR ETF Equity ETFs 464287523 77 432 SH SOLE 0 0 432 ISHARES TR RUSSELL 2000 ETF Equity ETFs 464287655 1187 7250 SH SOLE 4520 0 2730 ISHARES U.S. FINANCIAL SERVICES ETF Equity ETFs 464287770 741 5715 SH SOLE 5715 0 0 ISHARES US HOME CONSTRUCTION ETF Equity ETFs 464288752 442 11595 SH SOLE 0 0 11595 J P MORGAN CHASE & CO Common Stocks 46625H100 17238 165430 SH SOLE 113467 0 51963 JOHNSON & JOHNSON Common Stocks 478160104 17126 141143 SH SOLE 96336 0 44807 JPMORGAN CHASE & CO ALERIAN ML ETN Equity ETFs 46625H365 2682 100915 SH SOLE 93728 0 7187 KANSAS CITY SOUTHERN Common Stocks 485170302 13 120 SH SOLE 0 0 120 KEYCORP Common Stocks 493267108 26 1345 SH SOLE 0 0 1345 KINDER MORGAN INC Common Stocks 49456B101 190 10765 SH SOLE 0 0 10765 KKR & Co LP Common Stocks 48248M102 1433 57655 SH SOLE 17340 0 40315 KLA-TENCOR CORPORATION Common Stocks 482480100 46 445 SH SOLE 286 0 159 KNOWLES CORP Common Stocks 49926D109 85 5550 SH SOLE 0 0 5550 KRAFT HEINZ CO/ Common Stocks 500754106 63 1000 SH SOLE 0 0 1000 KROGER CO Common Stocks 501044101 104 3648 SH SOLE 0 0 3648 KUSH BOTTLES INC SHS Common Stocks 501334106 45 10000 SH SOLE 0 0 10000 KUTCHO COPPER CORP Common Stocks 501377105 17 50000 SH SOLE 0 0 50000 LAM RESEARCH CORP Common Stocks 512807108 3 15 SH SOLE 15 0 0 LEAGOLD MINING CORP Common Stocks 52176A205 20 10000 SH SOLE 0 0 10000 LENNOX INTERNATIONAL INC. Common Stocks 526107107 13573 67814 SH SOLE 50720 0 17094 LEXARIA BIOSCIENCE CORP Common Stocks 52886N307 302 150000 SH SOLE 0 0 150000 LICO ENERGY METALS INC Common Stocks 531696102 6 150000 SH SOLE 0 0 150000 LOCKHEED MARTIN CORP. Common Stocks 539830109 411 1391 SH SOLE 1186 0 205 LOWES COS INC Common Stocks 548661107 72 750 SH SOLE 477 0 273 MAGELLAN MIDSTREAM PARTNERS LP Common Stocks 559080106 5739 83079 SH SOLE 28575 0 54504 MARRIOTT INTERNATIONAL INC. Common Stocks 571903202 367 2900 SH SOLE 2900 0 0 MARVELL TECHNOLOGY GROUP Common Stocks G5876H105 2 110 SH SOLE 110 0 0 MATERIALS SECTOR SPDR Equity ETFs 81369Y100 537 9240 SH SOLE 5950 0 3290 MCDONALDS CORP Common Stocks 580135101 236 1503 SH SOLE 1401 0 102 MEDRELEAF CORP Common Stocks 58506X104 206 10000 SH SOLE 0 0 10000 MEDTRONIC INC Common Stocks G5960L103 8 90 SH SOLE 10 0 80 MERCK & COMPANY Common Stocks 58933Y105 221 3644 SH SOLE 2559 0 1085 MESA ROYALTY TRUST Common Stocks 590660106 29 2000 SH SOLE 0 0 2000 MGM RESORTS INTERNATIONAL Common Stocks 552953101 2 80 SH SOLE 80 0 0 MICRON TECHNOLOGY Common Stocks 595112103 832 15870 SH SOLE 4870 0 11000 MICROSOFT Common Stocks 594918104 1101 11170 SH SOLE 635 0 10535 MICROVISION INC Common Stocks 594960304 28 25000 SH SOLE 0 0 25000 MIDSOUTH BANCORP INC Common Stocks 598039105 187 14101 SH SOLE 14101 0 0 MMJ PHYTOTECH LTD Common Stocks Q6S53Y100 12 50300 SH SOLE 0 0 50300 MONDELEZ INTERNATIONAL INC Common Stocks 609207105 568 13849 SH SOLE 179 0 13670 MONSTER BEVERAGE Common Stocks 61174X109 3 51 SH SOLE 51 0 0 MOODYS CORP Common Stocks 615369105 34 200 SH SOLE 0 0 200 MORGAN STANLEY NEW Common Stocks 617446448 12 250 SH SOLE 0 0 250 MPLX LP Common Stocks 55336V100 266 7785 SH SOLE 0 0 7785 MYM NUTRACEUTICALS INC Common Stocks 55406A101 94 85000 SH SOLE 0 0 85000 Nasdaq Inc Common Stocks 631103108 137 1500 SH SOLE 1500 0 0 NATIONAL BANKSHARES, INC. Common Stocks 634865109 1526 32887 SH SOLE 29137 0 3750 NATIONAL STORAGE AFFILIATES Common Stocks 637870106 409 13285 SH SOLE 0 0 13285 NETFLIX COM INC Common Stocks 64110L106 399 1020 SH SOLE 0 0 1020 NEW YORK CMNTY BANCORP INC Common Stocks 649445103 22 2000 SH SOLE 0 0 2000 NEWMONT MNG CORP Common Stocks 651639106 6 164 SH SOLE 0 0 164 NEXTERA ENERGY PARTNRS LP Common Stocks 65341B106 1 30 SH SOLE 30 0 0 NEXTERA ENERGY, INC. Common Stocks 65339F101 5 29 SH SOLE 29 0 0 NIKE INC - CL B Common Stocks 654106103 70 883 SH SOLE 545 0 338 NISOURCE INC Common Stocks 65473P105 13 500 SH SOLE 0 0 500 NORTHSTAR REALTY EUROPE CORP. Common Stocks 66706L101 33 2295 SH SOLE 0 0 2295 NOVARTIS AG SPONSORED ADR Common Stocks 66987V109 45 600 SH SOLE 0 0 600 NRG ENERGY INC Common Stocks 629377508 1 28 SH SOLE 0 0 28 NUCOR CORP Common Stocks 670346105 27 430 SH SOLE 30 0 400 NUSTAR GP HOLDINGS LLC UNITS Common Stocks 67059L102 63 5119 SH SOLE 0 0 5119 NUVEEN CAL ABC DIV ADV MUNI INC FUND Fixed Income Closed-End Fund 67066Y105 200 15000 SH SOLE 0 0 15000 NUVEEN CORE EQUITY ALPHA FUNCOM Equity ETFs 67090X107 48 3274 SH SOLE 0 0 3274 NUVEEN CREDIT STRAT FUND Fixed Income Closed-End Fund 67073D102 18144 2282222 SH SOLE 1588294 0 693928 NUVEEN MORTGAGE OPPORTUNITY OPPORTUNITY FUND Fixed Income Closed-End Fund 670735109 16199 689031 SH SOLE 511281 0 177750 NVIDIA CORP Common Stocks 67066G104 973 4107 SH SOLE 1082 0 3025 NXP SEMICONDUCTOR Common Stocks N6596X109 148 1350 SH SOLE 0 0 1350 OAKTREE SPECIALTY LENDING CORP / FSC Common Stocks 67401P108 15186 3177065 SH SOLE 2358958 0 818107 OCEANFIRST FIN CORP Common Stocks 675234108 60 2000 SH SOLE 0 0 2000 ONE GAS INC Common Stocks 68235P108 4 50 SH SOLE 0 0 50 ONEOK INC Common Stocks 682680103 124 1776 SH SOLE 0 0 1776 ORACLE SYS CORP Common Stocks 68389X105 93 2100 SH SOLE 0 0 2100 Pacific Commerce Bancorp Common Stocks 69413A103 51 3790 SH SOLE 3790 0 0 PACIFIC MERCANTILE BNCRP Common Stocks 694552100 12 1234 SH SOLE 1234 0 0 PALO ALTO NETWORKS COM Common Stocks 697435105 303 1475 SH SOLE 0 0 1475 PARK HOTELS & R Common Stocks 700517105 60 1947 SH SOLE 1947 0 0 PAYCHEX INC Common Stocks 704326107 129 1887 SH SOLE 763 0 1124 PAYPAL HOLDINGS Common Stocks 70450Y103 348 4175 SH SOLE 0 0 4175 PDX PARTNERS INC Common Stocks 70455F109 0 1000000 SH SOLE 0 0 1000000 PEOPLES UNITED FINANCIAL Common Stocks 712704105 9 500 SH SOLE 0 0 500 PEOPLES BANCORP OF NC Common Stocks 710577107 22 702 SH SOLE 702 0 0 PEPSICO INC Common Stocks 713448108 71 651 SH SOLE 301 0 350 PETROCHINA CO LTD ADR Common Stocks 71646E100 4 50 SH SOLE 0 0 50 PFIZER INC Common Stocks 717081103 117 3216 SH SOLE 1743 0 1473 PHILIP MORRIS INTL INC Common Stocks 718172109 2 30 SH SOLE 30 0 0 PIMCO DYNAMIC CREDIT INCOME Fixed Income Closed-End Fund 72202D106 19084 809681 SH SOLE 597913 0 211768 PIMCO DYNAMIC INC FUND Fixed Income Closed-End Fund 72201Y101 77 2415 SH SOLE 0 0 2415 PINNACLE FINANCIAL PARTNERS Common Stocks 72346Q104 220 3586 SH SOLE 3586 0 0 PINNACLE WEST CAPITAL Common Stocks 723484101 95 1183 SH SOLE 403 0 780 PIONEER NATURAL RES CO Common Stocks 723787107 3 14 SH SOLE 14 0 0 PLAINS ALL AMERN PIPELINE L UNIT L P INT Common Stocks 726503105 1275 53947 SH SOLE 20200 0 33747 POWERSHARES SENIOR LOAN Fixed Income ETF 73936Q769 380 16585 SH SOLE 6585 0 10000 PRAXAIR INC COM Common Stocks 74005P104 9 60 SH SOLE 0 0 60 PROCTER & GAMBLE COMPANY Common Stocks 742718109 196 2505 SH SOLE 20 0 2485 PROGRESSIVE CARE INC Common Stocks 74332G108 3 50000 SH SOLE 0 0 50000 PROSHARES TR PSHS SHRT S&P5 Equity ETFs 74347B425 9 300 SH SOLE 0 0 300 PRUDENTIAL ST DUR HY FUND Fixed Income Closed-End Fund 74442F107 703 50200 SH SOLE 0 0 50200 QUALCOMM INC Common Stocks 747525103 13 230 SH SOLE 0 0 230 RAYTHEON COMPANY Common Stocks 755111507 1 5 SH SOLE 0 0 5 REAL ESTATE SEL Equity Closed-End Fund 81369Y860 8 235 SH SOLE 235 0 0 REDWOOD TRUST INC Common Stocks 758075402 10330 627205 SH SOLE 445352 0 181853 REGENERON PHARMACEUTICALS Common Stocks 75886F107 13 38 SH SOLE 0 0 38 REPUBLIC SERVICES, INC. Common Stocks 760759100 17301 253093 SH SOLE 198126 0 54967 RMR GROUP INC Common Stocks 74967R106 3 33 SH SOLE 0 0 33 ROYAL DUTCH SHELL PLC SPONS Common Stocks 780259206 16 238 SH SOLE 0 0 238 SALESFORCE .COM Common Stocks 79466L302 11 80 SH SOLE 40 0 40 SANDRIDGE MISSISSIPPIAN TRUST II Common Stocks 80007V106 7 4000 SH SOLE 0 0 4000 SANTA FE GOLD CORP Common Stocks 80201E108 5 50000 SH SOLE 0 0 50000 SB ONE BANCORP Common Stocks 78413T103 94 3153 SH SOLE 3153 0 0 SCHLUMBERGER Common Stocks 806857108 44 652 SH SOLE 342 0 310 SCHWAB CHARLES CORP NEW Common Stocks 808513105 3 60 SH SOLE 60 0 0 SCHWAB SHORT TERM US TREASURY Fixed Income ETF 808524862 25850 519703 SH SOLE 368094 0 151609 SCOTTS MIRACLE-GRO CO-CL A Common Stocks 810186106 48 579 SH SOLE 346 0 233 SEMPRA ENERGY Common Stocks 816851109 2 14 SH SOLE 14 0 0 SENESTECH INC Common Stocks 81720R109 16 10000 SH SOLE 0 0 10000 SENIOR HSG PPTYS TR SH BEN INT Common Stocks 81721M109 55 3050 SH SOLE 0 0 3050 SERVISFIRST BANCSHARES INC Common Stocks 81768T108 139 3326 SH SOLE 3326 0 0 SHARPSPRING, INC. Common Stocks 820054104 409 46770 SH SOLE 19615 0 27155 SHERWIN-WILLIAMS CO. Common Stocks 824348106 101 248 SH SOLE 82 0 166 SILVERCREST ASSET MGMT Common Stocks 828359109 139 8500 SH SOLE 0 0 8500 SOUND FINANCIAL BANCORP Common Stocks 83607A100 22 561 SH SOLE 561 0 0 SOUTHERN CO Common Stocks 842587107 140 3023 SH SOLE 372 0 2651 SOUTHWEST GAS CORP Common Stocks 844895102 13 165 SH SOLE 0 0 165 SPDR DJIA TRUST Common Stocks 78467X109 941 3875 SH SOLE 3875 0 0 SPDR S&P MIDCAP ETF TRST Equity ETFs 78467Y107 391 1100 SH SOLE 0 0 1100 SPLUNK INC Common Stocks 848637104 4 37 SH SOLE 37 0 0 STANLEY BLACK AND DECKER INC Common Stocks 854502101 53 400 SH SOLE 0 0 400 STAPLES SECTOR SPDR Equity ETFs 81369Y308 583 11310 SH SOLE 5900 0 5410 STARBUCKS CORP Common Stocks 855244109 274 5606 SH SOLE 5286 0 320 STERLING BANCORP Common Stocks 85917A100 16592 706050 SH SOLE 526000 0 180050 STRYKER CORP Common Stocks 863667101 26 155 SH SOLE 15 0 140 SUMMIT STATE BANK Common Stocks 866264203 19 1238 SH SOLE 1238 0 0 SUNCOKE ENERGY INC Common Stocks 86722A103 7 500 SH SOLE 0 0 500 SUPREME CANNABIS CO INC Common Stocks 86860J106 43 34900 SH SOLE 0 0 34900 SVB FINANCIAL GROUP Common Stocks 78486Q101 430 1489 SH SOLE 1489 0 0 SYNCHRONY FINL Common Stocks 87165B103 3 80 SH SOLE 80 0 0 TALLGRASS ENERGY PARTNERS LP Common Stocks 874697105 451 10415 SH SOLE 0 0 10415 TAPESTRY INC. Common Stocks 876030107 65 1391 SH SOLE 831 0 560 TARGA RESOURCES Common Stocks 87612G101 1082 21853 SH SOLE 3162 0 18691 TERADYNE INC Common Stocks 880770102 327 8600 SH SOLE 0 0 8600 TEXTMUNICATION HOLDINGS Common Stocks 883178105 1 5000000 SH SOLE 0 0 5000000 TIMBERLAND BANCORP INC Common Stocks 887098101 37 978 SH SOLE 978 0 0 TITAN MEDICAL INC COM Common Stocks 88830X819 47 8333 SH SOLE 0 0 8333 T-MOBILE US INC Common Stocks 872590104 3 50 SH SOLE 50 0 0 TORTOISE ENERGY INFSTRCTR Common Stocks 89147L100 11 397 SH SOLE 0 0 397 TWITTER INC Common Stocks 90184L102 100 2300 SH SOLE 0 0 2300 TWO HBRS INVT CORP Common Stocks 90187B408 40 2500 SH SOLE 0 0 2500 UBS GROUP AG-RE Common Stocks H42097107 10472 682630 SH SOLE 512960 0 169670 UNION PAC CORP Common Stocks 907818108 28 200 SH SOLE 0 0 200 UNITED CONTINENTAL HOLDINGS INC. Common Stocks 910047109 303 4350 SH SOLE 4350 0 0 UNITED SECURITY BANCSHARES Common Stocks 911460103 42 3717 SH SOLE 3717 0 0 UNITED TECHNOLOGIES CORP Common Stocks 913017109 4 30 SH SOLE 0 0 30 UNITEDHEALTH GROUP INC Common Stocks 91324P102 6 26 SH SOLE 26 0 0 US BANCORP DEL COM NEW Common Stocks 902973304 3 60 SH SOLE 0 0 60 UTILITIES SELECT SECTOR SPDR Equity ETFs 81369Y886 30 581 SH SOLE 150 0 431 VAIL RESORTS INC Common Stocks 91879Q109 12 42 SH SOLE 42 0 0 VALERO ENERGY CORP Common Stocks 91913Y100 3 30 SH SOLE 30 0 0 VANGUARD DIVIDEND APPREC Equity ETFs 921908844 176 1735 SH SOLE 1735 0 0 VANGUARD FTSE EMERGING MARKET ETF Equity ETFs 922042858 395 9350 SH SOLE 0 0 9350 VANGUARD HEALTH CARE ETF Equity ETFs 92204A504 426 2680 SH SOLE 0 0 2680 VANGUARD INT-TERM CORP BOND ETF Fixed Income ETF 92206C870 429 5140 SH SOLE 0 0 5140 VANGUARD REIT ETF Equity ETFs 922908553 7 85 SH SOLE 85 0 0 VANGUARD S/T CORP BOND ETF Fixed Income ETF 92206C409 17108 219051 SH SOLE 139790 0 79261 VERIZON COMMUNICATIONS Common Stocks 92343V104 166 3305 SH SOLE 0 0 3305 VIACOM INC NEW CL B Common Stocks 92553P201 33 1085 SH SOLE 0 0 1085 VILLAGE FARMS INTL INC Common Stocks 92707Y108 235 50000 SH SOLE 0 0 50000 VINCE HOLDING CORP Common Stocks 92719W207 4 238 SH SOLE 0 0 238 VISA INC Common Stocks 92826C839 566 4272 SH SOLE 1690 0 2582 VOYA FINL INC Common Stocks 929089100 3 60 SH SOLE 60 0 0 WAL MART STORES INC Common Stocks 931142103 441 5148 SH SOLE 340 0 4808 WALT DISNEY COMPANY Common Stocks 254687106 253 2416 SH SOLE 2240 0 176 WASTE MGMT INC DEL Common Stocks 94106L109 62 762 SH SOLE 454 0 308 WATSCO INC. Common Stocks 942622200 135 758 SH SOLE 124 0 634 WEALTH MINERALS LTD Common Stocks 946885209 12 15000 SH SOLE 0 0 15000 WEIBO CORP ADR Common Stocks 948596101 659 7430 SH SOLE 1730 0 5700 WESTERN GAS PARTNERS LP UNIT LP IN Common Stocks 958254104 1613 33340 SH SOLE 0 0 33340 Westinghouse Air Brake Tech Corp Common Stocks 929740108 4 40 SH SOLE 0 0 40 WILLIAMS PARTNERS LP Common Stocks 96949L105 558 13740 SH SOLE 0 0 13740 WORLDPAY INC CL A Common Stocks 981558109 3 40 SH SOLE 40 0 0 WPP PLC Common Stocks 92937A102 94 1200 SH SOLE 0 0 1200 XCEL ENERGY INC Common Stocks 98389B100 150 3290 SH SOLE 0 0 3290 YUM BRANDS INC COM Common Stocks 988498101 75 965 SH SOLE 70 0 895 YUM CHINA HOLDINGS INC Common Stocks 98850P109 36 925 SH SOLE 30 0 895