CPA CFP

0001144204-17-052955.txt : 20171018 0001144204-17-052955.hdr.sgml : 20171018 20171018121334 ACCESSION NUMBER: 0001144204-17-052955 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171018 DATE AS OF CHANGE: 20171018 EFFECTIVENESS DATE: 20171018 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: 171142230 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 09-30-2017 09-30-2017 false D. SCOTT NEAL, INC.

P.o. Box 2010 Lexington KY 40588

13F HOLDINGS REPORT 028-15681 N Jerry Zimmerer CPA CFP 502-459-7199 /s/ Jerry Zimmerer Louisville KY 10-17-2017 0 192 165820 INFORMATION TABLE 2 infotable.xml CHARTER COMMUNICATIONS INC N CL A 16119P108 20 55 SH SOLE 0 0 55 BROADCOM LTD SHS Y09827109 28 117 SH SOLE 0 0 117 AMN HEALTHCARE SERVICES INC COM 001744101 46 1000 SH SOLE 0 0 1000 ZOETIS INC CL A 98978V103 8 119 SH SOLE 0 0 119 ZILLOW GROUP INC CL A 98954M101 6 150 SH SOLE 0 0 150 ZILLOW GROUP INC CL C CAP STK 98954M200 34 850 SH SOLE 0 0 850 YUM CHINA HLDGS INC COM 98850P109 3 77 SH SOLE 0 0 77 YUM BRANDS INC COM 988498101 6 77 SH SOLE 0 0 77 EXXON MOBIL CORP COM 30231G102 184 2245 SH SOLE 0 0 2245 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 77 1425 SH SOLE 0 0 1425 SELECT SECTOR SPDR TR ENERGY 81369Y506 14 200 SH SOLE 0 0 200 SPDR SERIES TRUST S&P BIOTECH 78464A870 43 500 SH SOLE 0 0 500 UNITED STATES STL CORP NEW 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 167 2471 SH SOLE 0 0 2471 WAL-MART STORES INC COM 931142103 84 1072 SH SOLE 0 0 1072 WILLIAMS COS INC DEL COM 969457100 5 165 SH SOLE 0 0 165 WINDSTREAM HLDGS INC COM NEW 97382A200 1 299 SH SOLE 0 0 299 WELLS FARGO CO NEW COM 949746101 14 253 SH SOLE 0 0 253 WEB COM GROUP INC COM 94733A104 10 413 SH SOLE 0 0 413 VERIZON COMMUNICATIONS INC COM 92343V104 20 408 SH SOLE 0 0 408 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 3612 44559 SH SOLE 0 0 44559 VECTREN CORP COM 92240G101 29 445 SH SOLE 0 0 445 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1139 8794 SH SOLE 0 0 8794 VERSUM MATLS INC COM 92532W103 3 70 SH SOLE 0 0 70 VERITIV CORP COM 923454102 0 1 SH SOLE 0 0 1 VANGUARD INDEX FDS MID CAP ETF 922908629 0 2 SH SOLE 0 0 2 VANGUARD INDEX FDS REIT ETF 922908553 17359 208914 SH SOLE 0 0 208914 VORNADO RLTY TR SH BEN INT 929042109 6 75 SH SOLE 0 0 75 VALMONT INDS INC COM 920253101 24 150 SH SOLE 0 0 150 VANGUARD WORLD FDS INF TECH ETF 92204A702 4 27 SH SOLE 0 0 27 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 350 6632 SH SOLE 0 0 6632 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 0 1 SH SOLE 0 0 1 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 389 4858 SH SOLE 0 0 4858 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 2949 33504 SH SOLE 0 0 33504 VANGUARD INDEX FDS SMALL CP ETF 922908751 1189 8414 SH SOLE 0 0 8414 PROSHARES TR PSHS ULTRUSS2000 74347R842 1508 22570 SH SOLE 0 0 22570 US BANCORP DEL COM NEW 902973304 405 7559 SH SOLE 0 0 7559 UNITI GROUP INC COM 91325V108 1 58 SH SOLE 0 0 58 UNDER ARMOUR INC CL A 904311107 8 500 SH SOLE 0 0 500 TESLA INC COM 88160R101 163 479 SH SOLE 0 0 479 TEMPUR SEALY INTL INC COM 88023U101 13 200 SH SOLE 0 0 200 T MOBILE US INC COM 872590104 25 411 SH SOLE 0 0 411 AT&T INC COM 00206R102 29 737 SH SOLE 0 0 737 SYMANTEC CORP COM 871503108 4 112 SH SOLE 0 0 112 SCHWEITZER-MAUDUIT INTL INC 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 943 9747 SH SOLE 0 0 9747 SPDR S&P 500 ETF TR TR UNIT 78462F103 13718 54605 SH SOLE 0 0 54605 SPLUNK INC COM 848637104 100 1500 SH SOLE 0 0 1500 SCHLUMBERGER LTD COM 806857108 5 75 SH SOLE 0 0 75 SIMMONS 1ST NATL CORP CL A $1 PAR 828730200 36 623 SH SOLE 0 0 623 PROSHARES TR ULTRASHRT S&P500 74347B383 485 10395 SH SOLE 0 0 10395 ALPS ETF TR SECTR DIV DOGS 00162Q858 0 10 SH SOLE 0 0 10 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 161 2675 SH SOLE 0 0 2675 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 0 2 SH SOLE 0 0 2 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 977 19500 SH SOLE 0 0 19500 SCHWAB STRATEGIC TR US REIT ETF 808524847 43 1057 SH SOLE 0 0 1057 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 0 3 SH SOLE 0 0 3 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3 42 SH SOLE 0 0 42 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 748 11106 SH SOLE 0 0 11106 STARBUCKS CORP COM 855244109 54 1000 SH SOLE 0 0 1000 RYDEX ETF TRUST GUG S&P SC600 PV 78355W700 1 10 SH SOLE 0 0 10 RAYTHEON CO COM NEW 755111507 1 8 SH SOLE 0 0 8 REALOGY HLDGS CORP COM 75605Y106 5 150 SH SOLE 0 0 150 REGENERON PHARMACEUTICALS COM 75886F107 4 8 SH SOLE 0 0 8 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9842 67669 SH SOLE 0 0 67669 PROSHARES TR PSHS ULTRA QQQ 74347R206 951 14806 SH SOLE 0 0 14806 PAYPAL HLDGS INC COM 70450Y103 26 400 SH SOLE 0 0 400 PNC FINL SVCS GROUP INC COM 693475105 71 525 SH SOLE 0 0 525 PHILIP MORRIS INTL INC COM 718172109 362 3265 SH SOLE 0 0 3265 PROCTER AND GAMBLE CO COM 742718109 306 3363 SH SOLE 0 0 3363 PFIZER INC COM 717081103 129 3603 SH SOLE 0 0 3603 PEPSICO INC COM 713448108 113 1017 SH SOLE 0 0 1017 PACIRA PHARMACEUTICALS INC COM 695127100 8 200 SH SOLE 0 0 200 ORACLE CORP COM 68389X105 70 1450 SH SOLE 0 0 1450 ORCHID IS CAP INC COM 68571X103 5 500 SH SOLE 0 0 500 NVIDIA CORP COM 67066G104 68 382 SH SOLE 0 0 382 NEXTERA ENERGY INC COM 65339F101 35 242 SH SOLE 0 0 242 NOODLES & CO COM CL A 65540B105 2 350 SH SOLE 0 0 350 MICRON TECHNOLOGY INC COM 595112103 53 1358 SH SOLE 0 0 1358 MICROSOFT CORP COM 594918104 128 1724 SH SOLE 0 0 1724 MARATHON OIL CORP COM 565849106 3 206 SH SOLE 0 0 206 MERCK & CO INC COM 58933Y105 31 490 SH SOLE 0 0 490 MARATHON PETE CORP COM 56585A102 12 206 SH SOLE 0 0 206 ALTRIA GROUP INC COM 02209S103 207 3265 SH SOLE 0 0 3265 MAXIMUS INC COM 577933104 77 1200 SH SOLE 0 0 1200 3M CO COM 88579Y101 31 150 SH SOLE 0 0 150 MARKEL CORP COM 570535104 16 15 SH SOLE 0 0 15 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 24116 73899 SH SOLE 0 0 73899 MONDELEZ INTL INC CL A 609207105 99 2425 SH SOLE 0 0 2425 MCKESSON CORP COM 58155Q103 4 26 SH SOLE 0 0 26 MCDONALDS CORP COM 580135101 63 400 SH SOLE 0 0 400 LEUCADIA NATL CORP COM 527288104 8 300 SH SOLE 0 0 300 COCA COLA CO COM 191216100 153 3410 SH SOLE 0 0 3410 KIMBERLY CLARK CORP COM 494368103 52 444 SH SOLE 0 0 444 KRAFT HEINZ CO COM 500754106 62 805 SH SOLE 0 0 805 JPMORGAN CHASE & CO COM 46625H100 32 333 SH SOLE 0 0 333 JOHNSON & JOHNSON COM 478160104 166 1277 SH SOLE 0 0 1277 JBG SMITH PPTYS COM 46590V100 1 37 SH SOLE 0 0 37 ISHARES TR U.S. REAL ES ETF 464287739 4207 52671 SH SOLE 0 0 52671 ISHARES TR RUS MID CAP ETF 464287499 113 575 SH SOLE 0 0 575 ISHARES TR RUSSELL 2000 ETF 464287655 18128 122337 SH SOLE 0 0 122337 ISHARES TR RUS 1000 GRW ETF 464287614 42 332 SH SOLE 0 0 332 ISHARES TR CORE S&P500 ETF 464287200 4189 16562 SH SOLE 0 0 16562 ILLINOIS TOOL WKS INC COM 452308109 16 109 SH SOLE 0 0 109 INTUITIVE SURGICAL INC COM NEW 46120E602 28 27 SH SOLE 0 0 27 INTL PAPER CO COM 460146103 3 61 SH SOLE 0 0 61 INTEL CORP COM 458140100 161 4233 SH SOLE 0 0 4233 INCYTE CORP COM 45337C102 11 97 SH SOLE 0 0 97 ISHARES TR CORE S&P MCP ETF 464287507 1819 10166 SH SOLE 0 0 10166 ISHARES TR 3 7 YR TREAS BD 464288661 2 16 SH SOLE 0 0 16 ISHARES TR BARCLAYS 7 10 YR 464287440 14423 135399 SH SOLE 0 0 135399 INTERCONTINENTAL EXCHANGE IN COM 45866F104 69 1000 SH SOLE 0 0 1000 INTERNATIONAL BUSINESS MACHS COM 459200101 442 3045 SH SOLE 0 0 3045 INTERACTIVE BROKERS GROUP IN COM 45841N107 23 500 SH SOLE 0 0 500 HALYARD HEALTH INC COM 40650V100 2 55 SH SOLE 0 0 55 HONEYWELL INTL INC COM 438516106 33 235 SH SOLE 0 0 235 HOME BANCSHARES INC COM 436893200 3 130 SH SOLE 0 0 130 HOME DEPOT INC COM 437076102 109 666 SH SOLE 0 0 666 ALPHABET INC CAP STK CL C 02079K107 96 100 SH SOLE 0 0 100 GAMING & LEISURE PPTYS INC COM 36467J108 5 125 SH SOLE 0 0 125 SPDR GOLD TRUST GOLD SHS 78463V107 31 255 SH SOLE 0 0 255 GILEAD SCIENCES INC COM 375558103 46 566 SH SOLE 0 0 566 GENERAL ELECTRIC CO COM 369604103 181 7502 SH SOLE 0 0 7502 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 0 3 SH SOLE 0 0 3 FISERV INC COM 337738108 22 168 SH SOLE 0 0 168 FIREEYE INC COM 31816Q101 6 375 SH SOLE 0 0 375 FEDEX CORP COM 31428X106 4 16 SH SOLE 0 0 16 FACEBOOK INC CL A 30303M102 27 156 SH SOLE 0 0 156 FORD MTR CO DEL COM PAR $0.01 345370860 4 368 SH SOLE 0 0 368 EMERSON ELEC CO COM 291011104 25 400 SH SOLE 0 0 400 ISHARES TR MSCI EAFE ETF 464287465 6187 90345 SH SOLE 0 0 90345 CONSOLIDATED EDISON INC COM 209115104 81 1000 SH SOLE 0 0 1000 EBAY INC COM 278642103 15 400 SH SOLE 0 0 400 ELECTRONIC ARTS INC COM 285512109 29 243 SH SOLE 0 0 243 ISHARES TR SELECT DIVID ETF 464287168 6185 66043 SH SOLE 0 0 66043 DELL TECHNOLOGIES INC COM CL V 24703L103 3 33 SH SOLE 0 0 33 PROSHARES TR PSHS SHORT DOW30 74347R701 45 2744 SH SOLE 0 0 2744 DELEK US HLDGS INC NEW COM 24665A103 20 745 SH SOLE 0 0 745 DISNEY WALT CO COM DISNEY 254687106 75 759 SH SOLE 0 0 759 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 307 8109 SH SOLE 0 0 8109 CHEVRON CORP NEW COM 166764100 194 1651 SH SOLE 0 0 1651 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 29 400 SH SOLE 0 0 400 CSX CORP COM 126408103 26 476 SH SOLE 0 0 476 CARLISLE COS INC COM 142339100 70 700 SH SOLE 0 0 700 CISCO SYS INC COM 17275R102 147 4371 SH SOLE 0 0 4371 CHIPOTLE MEXICAN GRILL INC COM 169656105 31 100 SH SOLE 0 0 100 COMCAST CORP NEW CL A 20030N101 8 204 SH SOLE 0 0 204 CORNERSTONE STRATEGIC VALUE COM 21924B302 4 300 SH SOLE 0 0 300 COLGATE PALMOLIVE CO COM 194162103 99 1360 SH SOLE 0 0 1360 ISHARES TR INTRMD CR BD ETF 464288638 16868 153122 SH SOLE 0 0 153122 CHESAPEAKE ENERGY CORP COM 165167107 0 42 SH SOLE 0 0 42 CERNER CORP COM 156782104 21 288 SH SOLE 0 0 288 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 6 300 SH SOLE 0 0 300 CRACKER BARREL OLD CTRY STOR COM 22410J106 47 313 SH SOLE 0 0 313 CATERPILLAR INC DEL COM 149123101 1003 8040 SH SOLE 0 0 8040 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 106 1701 SH SOLE 0 0 1701 BOSTON SCIENTIFIC CORP COM 101137107 35 1200 SH SOLE 0 0 1200 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 8 100 SH SOLE 0 0 100 CLAYMORE EXCHANGE TRD FD TR 2023 CORP BOND 18383M241 1430 67755 SH SOLE 0 0 67755 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 549 25510 SH SOLE 0 0 25510 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 332 15665 SH SOLE 0 0 15665 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 1359 60105 SH SOLE 0 0 60105 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 73 400 SH SOLE 0 0 400 BP PLC SPONSORED ADR 055622104 9 235 SH SOLE 0 0 235 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 9 112 SH SOLE 0 0 112 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 3 28 SH SOLE 0 0 28 BIOVERATIV INC COM 09075E100 3 50 SH SOLE 0 0 50 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 41 486 SH SOLE 0 0 486 BIOGEN INC COM 09062X103 31 100 SH SOLE 0 0 100 BRIGHTHOUSE FINL INC COM 10922N103 0 3 SH SOLE 0 0 3 BRUNSWICK CORP COM 117043109 3 62 SH SOLE 0 0 62 BB&T CORP COM 054937107 322 6854 SH SOLE 0 0 6854 AMERICAN EXPRESS CO COM 025816109 11 125 SH SOLE 0 0 125 APPLIED DNA SCIENCES INC COM NEW 03815U201 1 384 SH SOLE 0 0 384 AIR PRODS & CHEMS INC COM 009158106 23 153 SH SOLE 0 0 153 ANTHEM INC COM 036752103 10 53 SH SOLE 0 0 53 ARISTA NETWORKS INC COM 040413106 214 1128 SH SOLE 0 0 1128 AMAZON COM INC COM 023135106 120 125 SH SOLE 0 0 125 TD AMERITRADE HLDG CORP COM 87236Y108 20 400 SH SOLE 0 0 400 AMERICAN TOWER CORP NEW COM 03027X100 55 400 SH SOLE 0 0 400 AMGEN INC COM 031162100 9 50 SH SOLE 0 0 50 APPLIED MATLS INC COM 038222105 39 758 SH SOLE 0 0 758 ALEXION PHARMACEUTICALS INC COM 015351109 168 1200 SH SOLE 0 0 1200 AMEREN CORP COM 023608102 2 29 SH SOLE 0 0 29 AUTOMATIC DATA PROCESSING IN COM 053015103 16 142 SH SOLE 0 0 142 ABBOTT LABS COM 002824100 78 1453 SH SOLE 0 0 1453 ABBVIE INC COM 00287Y109 191 2153 SH SOLE 0 0 2153 APPLE INC COM 037833100 187 1212 SH SOLE 0 0 1212