Senior Assocaite

0001569655-20-000004.txt : 20201014 0001569655-20-000004.hdr.sgml : 20201014 20201014145816 ACCESSION NUMBER: 0001569655-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201014 DATE AS OF CHANGE: 20201014 EFFECTIVENESS DATE: 20201014 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 201238897 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 09-30-2020 09-30-2020 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Assocaite 2162412575 Christophe Jambon Cleveland OH 10-14-2020 0 127 210036 false INFORMATION TABLE 2 Winfield13F2020Q3.xml 3M CO COM Stock 88579Y101 663 4138 SH SOLE 4138 0 0 ADOBE SYS INC Stock 00724F101 539 1100 SH SOLE 1100 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 1371 16725 SH SOLE 16725 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 754 2530 SH SOLE 2530 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 697 2370 SH SOLE 2370 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 7067 4809 SH SOLE 4809 0 0 AMAZON.COM INC Stock 023135106 19009 6037 SH SOLE 6037 0 0 AMAZON.COM INC Stock 023135106 315 100 SH Put SOLE 100 0 0 AMERICAN TOWER CORP REIT 03027X100 3027 12524 SH SOLE 12524 0 0 APPLE INC Stock 037833100 17056 147273 SH SOLE 147272 0 0 APTIV PLC SHS Stock G6095L109 1142 12460 SH SOLE 12460 0 0 ARISTA NETWORKS INC COM Stock 040413106 1281 6190 SH SOLE 6190 0 0 AT&T INC COM Stock 00206R102 381 13376 SH SOLE 13376 0 0 ATHERSYS INC NEW COM Stock 04744L106 99 51000 SH SOLE 51000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 757 3554 SH SOLE 3554 0 0 BOEING CO COM Stock 097023105 255 1540 SH SOLE 1540 0 0 BOSTON BEER INC CL A Stock 100557107 421 477 SH SOLE 477 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 303 10810 SH SOLE 10810 0 0 CISCO SYS INC Stock 17275R102 495 12575 SH SOLE 12575 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 610 26107 SH SOLE 26107 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 534 8990 SH SOLE 8990 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 2408 16385 SH SOLE 16385 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 729 11380 SH SOLE 11380 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 149 50790 SH SOLE 50790 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 273 1987 SH SOLE 1987 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2936 17634 SH SOLE 17634 0 0 CYRUSONE INC COM REIT 23283R100 210 3000 SH SOLE 3000 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1492 10163 SH SOLE 10163 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 442 3565 SH SOLE 3565 0 0 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 296 3337 SH SOLE 3337 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 149 27473 SH SOLE 27473 0 0 EQUITY RESIDENTIAL SH BEN INT REIT 29476L107 221 4300 SH SOLE 4300 0 0 FACEBOOK INC CL A Stock 30303M102 1972 7530 SH SOLE 7530 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 151 15733 SH SOLE 15733 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1443 27918 SH SOLE 27918 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 379 3585 SH SOLE 3585 0 0 GLOBAL X FINTECH THEMATIC ETF ETF 37954Y814 242 6369 SH SOLE 6369 0 0 GLOBAL X ROBOTICS & ARTIFICIAL INTELLIGENCE THEMATIC ETF ETF 37954Y715 282 10101 SH SOLE 10101 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 316 4650 SH SOLE 4650 0 0 GOOGLE INC Stock 02079K305 2475 1689 SH SOLE 1689 0 0 GRAFTECH INTL LTD COM Stock 384313508 79 11500 SH SOLE 11500 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 526 4987 SH SOLE 4987 0 0 HOME DEPOT Stock 437076102 2380 8569 SH SOLE 8569 0 0 II-VI INC COM Stock 902104108 908 22377 SH SOLE 22377 0 0 ILLUMINA INC Stock 452327109 440 1425 SH SOLE 1425 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 403 5230 SH SOLE 5230 0 0 INTEL CORP COM Stock 458140100 208 4023 SH SOLE 4023 0 0 INVESCO LTD SHS Stock G491BT108 228 19945 SH SOLE 19945 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 980 29380 SH SOLE 29380 0 0 IRON MTN INC NEW COM REIT 46284V101 231 8625 SH SOLE 8625 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 1409 25662 SH SOLE 25662 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3864 44665 SH SOLE 44665 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 1028 7695 SH SOLE 7695 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2666 21883 SH SOLE 21883 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 6645 56283 SH SOLE 56283 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1264 10900 SH SOLE 10900 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 208 5220 SH SOLE 5220 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 722 8600 SH SOLE 8600 0 0 ISHARES MBS BOND ETF ETF 464288588 391 3540 SH SOLE 3540 0 0 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 869 5894 SH SOLE 5894 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 1157 11155 SH SOLE 11155 0 0 ISHARES MSCI USA VALUE FACTOR ETF ETF 46432F388 486 6591 SH SOLE 6591 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3408 25168 SH SOLE 25168 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 309 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 219 2205 SH SOLE 2205 0 0 ISHARES S&P 500 INDEX ETF 464287200 3387 10078 SH SOLE 10078 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 3772 15772 SH SOLE 15772 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 2294 62940 SH SOLE 62940 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1123 10390 SH SOLE 10390 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 3653 33000 SH SOLE 33000 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 802 12850 SH SOLE 12850 0 0 J M SMUCKER CO NEW Stock 832696405 547 4735 SH SOLE 4735 0 0 JOHNSON & JOHNSON COM Stock 478160104 261 1750 SH SOLE 1750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 524 5440 SH SOLE 5440 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2491 49045 SH SOLE 49045 0 0 KEYCORP COM Stock 493267108 167 13958 SH SOLE 13958 0 0 LOCKHEED MARTIN CORP Stock 539830109 1087 2837 SH SOLE 2837 0 0 LOWES COS INC COM Stock 548661107 1302 7851 SH SOLE 7851 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 624 15721 SH SOLE 15721 0 0 MICROSOFT Stock 594918104 13015 61880 SH SOLE 61880 0 0 MODERNA INC COM Stock 60770K107 271 3825 SH SOLE 3825 0 0 MONDELEZ INTL INC CL A Stock 609207105 259 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 2183 9429 SH SOLE 9429 0 0 NEW MEDIA INV GRP INC Stock 36472T109 18 13550 SH SOLE 13550 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 629 79100 SH SOLE 79100 0 0 NORTHROP GRUMMAN CORP COM Stock 666807102 535 1696 SH SOLE 1696 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 245 16800 SH SOLE 16800 0 0 NUVEEN CALIF MUN VALUE FD INC COM CEF 67062C107 558 51800 SH SOLE 51800 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 277 17300 SH SOLE 17300 0 0 NUVEEN MUN VALUE FD CEF 670928100 734 68850 SH SOLE 68850 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 299 19900 SH SOLE 19900 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 108 12223 SH SOLE 12223 0 0 NVIDIA CORPORATION COM Stock 67066G104 1892 3496 SH SOLE 3496 0 0 PEPSICO INC COM Stock 713448108 433 3125 SH SOLE 3124 0 0 PFIZER INC COM Stock 717081103 753 20527 SH SOLE 20527 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2104 18712 SH SOLE 18712 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 6177 60578 SH SOLE 60578 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 234 1680 SH SOLE 1680 0 0 PROGRESSIVE CORP COM Stock 743315103 2470 26087 SH SOLE 26087 0 0 PROLOGIS INC. COM REIT 74340W103 1188 11806 SH SOLE 11806 0 0 QORVO INC COM Stock 74736K101 942 7300 SH SOLE 7300 0 0 RPM INTL INC COM Stock 749685103 281 3396 SH SOLE 3396 0 0 SALESFORCE COM Stock 79466L302 2395 9530 SH SOLE 9530 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 92 11510 SH SOLE 11510 0 0 SERVICENOW INC COM Stock 81762P102 540 1113 SH SOLE 1113 0 0 SHOPIFY INC CL A Stock 82509L107 2312 2260 SH SOLE 2260 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 1781 25851 SH SOLE 25850 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1572 31885 SH SOLE 31885 0 0 SPDR S&P 500 ETF ETF 78462F103 9041 26998 SH SOLE 26997 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 4340 38951 SH SOLE 38951 0 0 SPLUNK INC COM Stock 848637104 2208 11735 SH SOLE 11735 0 0 STARBUCKS CORP Stock 855244109 314 3650 SH SOLE 3650 0 0 TARGET CORP COM Stock 87612E106 1041 6616 SH SOLE 6615 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3077 26367 SH SOLE 26367 0 0 TESLA MOTORS INC Stock 88160R101 277 645 SH SOLE 645 0 0 TEXAS INSTRS INC COM Stock 882508104 248 1734 SH SOLE 1734 0 0 UNITEDHEALTH GROUP Stock 91324P102 430 1378 SH SOLE 1378 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1124 18930 SH SOLE 18930 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1330 32515 SH SOLE 32515 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1402 32415 SH SOLE 32415 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 2344 24467 SH SOLE 24467 0 0 VANGUARD S&P 500 ETF ETF 922908363 617 2004 SH SOLE 2004 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 2406 29035 SH SOLE 29034 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 3180 18671 SH SOLE 18671 0 0 VERIZON COMMUNICATIONS Stock 92343V104 982 16515 SH SOLE 16515 0 0 VISA INC Stock 92826C839 4872 24366 SH SOLE 24366 0 0 WESTERN ASSET HIGH INCOME OPPO COM CEF 95766K109 103 21073 SH SOLE 21073 0 0