0001144204-17-021862.txt : 20170425 0001144204-17-021862.hdr.sgml : 20170425 20170425091129 ACCESSION NUMBER: 0001144204-17-021862 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170425 DATE AS OF CHANGE: 20170425 EFFECTIVENESS DATE: 20170425 FILER: COMPANY DATA: COMPANY CONFORMED NAME: D. SCOTT NEAL, INC. CENTRAL INDEX KEY: 0001596920 IRS NUMBER: 611287393 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15681 FILM NUMBER: 17779865 BUSINESS ADDRESS: STREET 1: P.O. BOX 2010 CITY: LEXINGTON STATE: KY ZIP: 40588 BUSINESS PHONE: 8592543036 MAIL ADDRESS: STREET 1: P.O. BOX 2010 CITY: LEXINGTON STATE: KY ZIP: 40588 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001596920 XXXXXXXX 03-31-2017 03-31-2017 false D. SCOTT NEAL, INC.
P.o. Box 2010 Lexington KY 40588
13F HOLDINGS REPORT 028-15681 N
Jerry Zimmerer CCO 502-459-7199 /s/ Jerry Zimmerer Louisville KY 04-20-2017 0 167 155242
INFORMATION TABLE 2 infotable.xml WEB COM GROUP INC COM 94733A104 8 413 SH SOLE 0 0 413 AMN HEALTHCARE SERVICES COM 001744101 41 1000 SH SOLE 0 0 1000 ZOETIS INC CL A 98978V103 6 119 SH SOLE 0 0 119 ZILLOW GROUP INC CL A 98954M101 5 150 SH SOLE 0 0 150 ZIMMER BIOMET HLDGS INC COM 98956P102 4 33 SH SOLE 0 0 33 ZILLOW GROUP INC CL C CAP STK 98954M200 49 1450 SH SOLE 0 0 1450 YUM CHINA HLDGS INC COM 98850P109 2 77 SH SOLE 0 0 77 YUM BRANDS INC COM 988498101 5 77 SH SOLE 0 0 77 EXXON MOBIL CORP COM 30231G102 360 4386 SH SOLE 0 0 4386 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 28 400 SH SOLE 0 0 400 SPDR SERIES TRUST S&P BIOTECH 78464A870 69 1000 SH SOLE 0 0 1000 UNITED STATES STL CORP N COM 912909108 0 11 SH SOLE 0 0 11 WPX ENERGY INC COM 98212B103 1 55 SH SOLE 0 0 55 W P CAREY INC COM 92936U109 137 2200 SH SOLE 0 0 2200 WAL-MART STORES INC COM 931142103 77 1072 SH SOLE 0 0 1072 WILLIAMS COS INC DEL COM 969457100 5 165 SH SOLE 0 0 165 WELLS FARGO & CO NEW COM 949746101 10 177 SH SOLE 0 0 177 VANGUARD WHITEHALL FDS I HIGH DIV YLD 921946406 2729 35143 SH SOLE 0 0 35143 VECTREN CORP COM 92240G101 26 445 SH SOLE 0 0 445 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1125 9270 SH SOLE 0 0 9270 VERSUM MATLS INC COM 92532W103 2 70 SH SOLE 0 0 70 VERITIV CORP COM 923454102 0 1 SH SOLE 0 0 1 VANGUARD INDEX FDS MID CAP ETF 922908629 7 47 SH SOLE 0 0 47 VANGUARD INDEX FDS REIT ETF 922908553 15830 191673 SH SOLE 0 0 191673 VALMONT INDS INC COM 920253101 39 250 SH SOLE 0 0 250 VANGUARD INTL EQUITY IND ALLWRLD EX US 922042775 193 4027 SH SOLE 0 0 4027 VANGUARD TAX MANAGED INT FTSE DEV MKT ETF 921943858 1 30 SH SOLE 0 0 30 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1393 17469 SH SOLE 0 0 17469 VANGUARD INDEX FDS SMALL CP ETF 922908751 719 5395 SH SOLE 0 0 5395 PROSHARES TR PSHS ULTRUSS2000 74347R842 590 5105 SH SOLE 0 0 5105 US BANCORP DEL COM NEW 902973304 386 7488 SH SOLE 0 0 7488 UNDER ARMOUR INC CL A 904311107 20 1000 SH SOLE 0 0 1000 TEXAS INSTRS INC COM 882508104 13 164 SH SOLE 0 0 164 PROSHARES TR ULTSHT RUSS2000 74348A319 259 11565 SH SOLE 0 0 11565 TESLA INC COM 88160R101 173 623 SH SOLE 0 0 623 TEMPUR SEALY INTL INC COM 88023U101 9 200 SH SOLE 0 0 200 ISHARES TR 20 YR TR BD ETF 464287432 14583 120813 SH SOLE 0 0 120813 AT&T INC COM 00206R102 46 1117 SH SOLE 0 0 1117 SYMANTEC CORP COM 871503108 3 112 SH SOLE 0 0 112 SCHWEITZER-MAUDUIT INTL COM 808541106 2 44 SH SOLE 0 0 44 STRATASYS LTD SHS M85548101 3 150 SH SOLE 0 0 150 PROSHARES TR PSHS ULT S&P 500 74347R107 798 9410 SH SOLE 0 0 9410 SPDR S&P 500 ETF TR TR UNIT 78462F103 15009 63667 SH SOLE 0 0 63667 SPLUNK INC COM 848637104 171 2740 SH SOLE 0 0 2740 ISHARES TR 1-3 YR TR BD ETF 464287457 175 2070 SH SOLE 0 0 2070 SIMMONS 1ST NATL CORP CL A $1 PAR 828730200 34 623 SH SOLE 0 0 623 PROSHARES TR PSHS ULSHT SP500 74347B300 638 47400 SH SOLE 0 0 47400 SPDR SERIES TRUST BLOMBERG BRC SRT 78464A474 311 10155 SH SOLE 0 0 10155 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 10 171 SH SOLE 0 0 171 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 0 2 SH SOLE 0 0 2 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 510 10780 SH SOLE 0 0 10780 SCHWAB STRATEGIC TR US REIT ETF 808524847 16 398 SH SOLE 0 0 398 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 0 3 SH SOLE 0 0 3 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1 13 SH SOLE 0 0 13 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 676 10738 SH SOLE 0 0 10738 STARBUCKS CORP COM 855244109 88 1500 SH SOLE 0 0 1500 RAYTHEON CO COM NEW 755111507 1 8 SH SOLE 0 0 8 REGENERON PHARMACEUTICAL COM 75886F107 18 47 SH SOLE 0 0 47 REYNOLDS AMERICAN INC COM 761713106 204 3234 SH SOLE 0 0 3234 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9286 70144 SH SOLE 0 0 70144 PROSHARES TR PSHS ULTRA QQQ 74347R206 1429 13325 SH SOLE 0 0 13325 PAYPAL HLDGS INC COM 70450Y103 17 400 SH SOLE 0 0 400 PPL CORP COM 69351T106 4 110 SH SOLE 0 0 110 PNC FINL SVCS GROUP INC COM 693475105 50 418 SH SOLE 0 0 418 PHILIP MORRIS INTL INC COM 718172109 369 3265 SH SOLE 0 0 3265 PROCTER AND GAMBLE CO COM 742718109 338 3763 SH SOLE 0 0 3763 PFIZER INC COM 717081103 89 2608 SH SOLE 0 0 2608 PEPSICO INC COM 713448108 105 938 SH SOLE 0 0 938 PACIRA PHARMACEUTICALS I COM 695127100 9 200 SH SOLE 0 0 200 ORACLE CORP COM 68389X105 119 2674 SH SOLE 0 0 2674 ORCHID IS CAP INC COM 68571X103 5 500 SH SOLE 0 0 500 OLD NATL BANCORP IND COM 680033107 5 280 SH SOLE 0 0 280 NEXTERA ENERGY INC COM 65339F101 49 384 SH SOLE 0 0 384 NOODLES & CO CL A 65540B105 2 350 SH SOLE 0 0 350 NOBLE ENERGY INC COM 655044105 0 8 SH SOLE 0 0 8 MICROSOFT CORP COM 594918104 123 1865 SH SOLE 0 0 1865 MARATHON OIL CORP COM 565849106 3 206 SH SOLE 0 0 206 MERCK & CO INC COM 58933Y105 40 633 SH SOLE 0 0 633 MARATHON PETE CORP COM 56585A102 10 206 SH SOLE 0 0 206 ALTRIA GROUP INC COM 02209S103 233 3265 SH SOLE 0 0 3265 MAXIMUS INC COM 577933104 124 2000 SH SOLE 0 0 2000 3M CO COM 88579Y101 29 150 SH SOLE 0 0 150 MEAD JOHNSON NUTRITION C COM 582839106 9 100 SH SOLE 0 0 100 SPDR S&P MIDCAP 400 ETF UTSER1 S&PDCRP 78467Y107 10827 34654 SH SOLE 0 0 34654 MONDELEZ INTL INC CL A 609207105 104 2425 SH SOLE 0 0 2425 MCDONALDS CORP COM 580135101 52 400 SH SOLE 0 0 400 COCA COLA CO COM 191216100 145 3410 SH SOLE 0 0 3410 KIMBERLY CLARK CORP COM 494368103 58 444 SH SOLE 0 0 444 KRAFT HEINZ CO COM 500754106 73 805 SH SOLE 0 0 805 JPMORGAN CHASE & CO COM 46625H100 15 167 SH SOLE 0 0 167 JOHNSON & JOHNSON COM 478160104 159 1277 SH SOLE 0 0 1277 ISHARES TR U.S. REAL ES ETF 464287739 4852 61817 SH SOLE 0 0 61817 ISHARES TR RUS MID CAP ETF 464287499 108 575 SH SOLE 0 0 575 ISHARES TR RUSSELL 2000 ETF 464287655 10820 78703 SH SOLE 0 0 78703 ISHARES TR RUS 1000 GRW ETF 464287614 38 332 SH SOLE 0 0 332 ISHARES TR CORE S&P500 ETF 464287200 2758 11625 SH SOLE 0 0 11625 ILLINOIS TOOL WKS INC COM 452308109 14 109 SH SOLE 0 0 109 INTL PAPER CO COM 460146103 3 61 SH SOLE 0 0 61 INTEL CORP COM 458140100 178 4946 SH SOLE 0 0 4946 ISHARES TR CORE S&P MCP ETF 464287507 602 3518 SH SOLE 0 0 3518 ISHARES TR 3-7 YR TR BD ETF 464288661 1264 10275 SH SOLE 0 0 10275 ISHARES TR 7-10YR TR BD ETF 464287440 15478 146584 SH SOLE 0 0 146584 INTERCONTINENTAL EXCHANG COM 45866F104 120 2000 SH SOLE 0 0 2000 INTERNATIONAL BUSINESS M COM 459200101 517 2968 SH SOLE 0 0 2968 INTERACTIVE BROKERS GROU COM 45841N107 35 1000 SH SOLE 0 0 1000 HALYARD HEALTH INC COM 40650V100 2 55 SH SOLE 0 0 55 HONEYWELL INTL INC COM 438516106 29 235 SH SOLE 0 0 235 HOME DEPOT INC COM 437076102 103 701 SH SOLE 0 0 701 ALPHABET INC CAP STK CL C 02079K107 166 200 SH SOLE 0 0 200 SPDR GOLD TRUST GOLD SHS 78463V107 30 255 SH SOLE 0 0 255 GILEAD SCIENCES INC COM 375558103 45 666 SH SOLE 0 0 666 GENERAL ELECTRIC CO COM 369604103 313 10492 SH SOLE 0 0 10492 FIREEYE INC COM 31816Q101 5 375 SH SOLE 0 0 375 FEDEX CORP COM 31428X106 3 16 SH SOLE 0 0 16 FACEBOOK INC CL A 30303M102 7 50 SH SOLE 0 0 50 FORD MTR CO DEL COM PAR $0.01 345370860 4 368 SH SOLE 0 0 368 EMERSON ELEC CO COM 291011104 24 400 SH SOLE 0 0 400 ISHARES TR MSCI EAFE ETF 464287465 4837 77647 SH SOLE 0 0 77647 CONSOLIDATED EDISON INC COM 209115104 78 1000 SH SOLE 0 0 1000 EBAY INC COM 278642103 13 400 SH SOLE 0 0 400 ISHARES TR SELECT DIVID ETF 464287168 8091 88815 SH SOLE 0 0 88815 DELL TECHNOLOGIES INC COM CL V 24703L103 2 33 SH SOLE 0 0 33 DOW CHEM CO COM 260543103 7 107 SH SOLE 0 0 107 DISNEY WALT CO COM DISNEY 254687106 84 739 SH SOLE 0 0 739 DELTA NAT GAS INC COM 247748106 162 5325 SH SOLE 0 0 5325 DELTA AIR LINES INC DEL COM NEW 247361702 9 196 SH SOLE 0 0 196 COLUMBIA PPTY TR INC COM NEW 198287203 13 595 SH SOLE 0 0 595 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 226 6636 SH SOLE 0 0 6636 CHEVRON CORP NEW COM 166764100 167 1551 SH SOLE 0 0 1551 COGNIZANT TECHNOLOGY SOL CL A 192446102 36 600 SH SOLE 0 0 600 CARLISLE COS INC COM 142339100 74 700 SH SOLE 0 0 700 CISCO SYS INC COM 17275R102 209 6171 SH SOLE 0 0 6171 CABOT OIL & GAS CORP COM 127097103 0 9 SH SOLE 0 0 9 CHIPOTLE MEXICAN GRILL I COM 169656105 89 200 SH SOLE 0 0 200 COMCAST CORP NEW CL A 20030N101 8 204 SH SOLE 0 0 204 CORNERSTONE STRATEGIC VA COM 21924B302 5 300 SH SOLE 0 0 300 COLGATE PALMOLIVE CO COM 194162103 158 2160 SH SOLE 0 0 2160 ISHARES TR INTERM CR BD ETF 464288638 16707 153329 SH SOLE 0 0 153329 CHESAPEAKE ENERGY CORP COM 165167107 0 42 SH SOLE 0 0 42 CERNER CORP COM 156782104 17 288 SH SOLE 0 0 288 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 5 300 SH SOLE 0 0 300 CRACKER BARREL OLD CTRY COM 22410J106 50 313 SH SOLE 0 0 313 CATERPILLAR INC DEL COM 149123101 746 8040 SH SOLE 0 0 8040 BOSTON SCIENTIFIC CORP COM 101137107 30 1200 SH SOLE 0 0 1200 CLAYMORE EXCHANGE TRD FD GUGG CRP BD 2017 18383M548 1444 63822 SH SOLE 0 0 63822 BP PLC SPONSORED ADR 055622104 8 235 SH SOLE 0 0 235 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 9 112 SH SOLE 0 0 112 BRISTOL MYERS SQUIBB CO COM 110122108 8 140 SH SOLE 0 0 140 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 1362 15124 SH SOLE 0 0 15124 BANK NEW YORK MELLON COR COM 064058100 26 542 SH SOLE 0 0 542 BIOVERATIV INC COM 09075E100 3 50 SH SOLE 0 0 50 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 41 496 SH SOLE 0 0 496 BIOGEN INC COM 09062X103 27 100 SH SOLE 0 0 100 BB&T CORP COM 054937107 309 6909 SH SOLE 0 0 6909 APPLIED DNA SCIENCES INC COM NEW 03815U201 1 384 SH SOLE 0 0 384 AIR PRODS & CHEMS INC COM 009158106 19 140 SH SOLE 0 0 140 ARISTA NETWORKS INC COM 040413106 198 1500 SH SOLE 0 0 1500 AMAZON COM INC COM 023135106 133 150 SH SOLE 0 0 150 TD AMERITRADE HLDG CORP COM 87236Y108 47 1200 SH SOLE 0 0 1200 AMERICAN TOWER CORP NEW COM 03027X100 97 800 SH SOLE 0 0 800 AMGEN INC COM 031162100 16 100 SH SOLE 0 0 100 ALEXION PHARMACEUTICALS COM 015351109 242 2000 SH SOLE 0 0 2000 AMEREN CORP COM 023608102 2 29 SH SOLE 0 0 29 AUTOMATIC DATA PROCESSIN COM 053015103 15 142 SH SOLE 0 0 142 ABBOTT LABS COM 002824100 65 1453 SH SOLE 0 0 1453 ABBVIE INC COM 00287Y109 186 2853 SH SOLE 0 0 2853 APPLE INC COM 037833100 145 1012 SH SOLE 0 0 1012