0001571049-17-006688.txt : 20170714 0001571049-17-006688.hdr.sgml : 20170714 20170714164947 ACCESSION NUMBER: 0001571049-17-006688 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170714 DATE AS OF CHANGE: 20170714 EFFECTIVENESS DATE: 20170714 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: 17965902 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 06-30-2017 06-30-2017 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 07-14-2017 0 189 146833
INFORMATION TABLE 2 infotable.xml CHARTER COMMUNICATIONS INC N CL A 16119P108 87 257 SH SOLE 0 0 257 BROADCOM LTD SHS Y09827109 127 547 SH SOLE 0 0 547 AMN HEALTHCARE SERVICES INC COM 001744101 39 1000 SH SOLE 0 0 1000 ZOETIS INC CL A 98978V103 7 119 SH SOLE 0 0 119 ZILLOW GROUP INC CL A 98954M101 7 150 SH SOLE 0 0 150 ZILLOW GROUP INC CL C CAP STK 98954M200 42 850 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 354 4386 SH SOLE 0 0 4386 SELECT SECTOR SPDR TR ENERGY 81369Y506 13 200 SH SOLE 0 0 200 SPDR SERIES TRUST S&P BIOTECH 78464A870 39 500 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 163 2471 SH SOLE 0 0 2471 WAL-MART STORES INC COM 931142103 81 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 WEB COM GROUP INC COM 94733A104 10 413 SH SOLE 0 0 413 VERIZON COMMUNICATIONS INC COM 92343V104 9 194 SH SOLE 0 0 194 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2872 36742 SH SOLE 0 0 36742 VECTREN CORP COM 92240G101 26 445 SH SOLE 0 0 445 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1113 8941 SH SOLE 0 0 8941 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 16024 192531 SH SOLE 0 0 192531 VALMONT INDS INC COM 920253101 22 150 SH SOLE 0 0 150 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 202 4035 SH SOLE 0 0 4035 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1 30 SH SOLE 0 0 30 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1480 18497 SH SOLE 0 0 18497 VANGUARD INDEX FDS SM CP VAL ETF 922908611 17 137 SH SOLE 0 0 137 VANGUARD INDEX FDS SMALL CP ETF 922908751 733 5406 SH SOLE 0 0 5406 PROSHARES TR PSHS ULTRUSS2000 74347R842 716 5955 SH SOLE 0 0 5955 UNITED STATES OIL FUND LP UNITS 91232N108 0 10 SH SOLE 0 0 10 US BANCORP DEL COM NEW 902973304 391 7524 SH SOLE 0 0 7524 ULTA BEAUTY INC COM 90384S303 99 346 SH SOLE 0 0 346 UNDER ARMOUR INC CL A 904311107 11 500 SH SOLE 0 0 500 TEXAS INSTRS INC COM 882508104 13 164 SH SOLE 0 0 164 PROSHARES TR ULTSHT RUSS2000 74348A319 59 2800 SH SOLE 0 0 2800 TESLA INC COM 88160R101 173 479 SH SOLE 0 0 479 TEMPUR SEALY INTL INC COM 88023U101 11 200 SH SOLE 0 0 200 T MOBILE US INC COM 872590104 116 1921 SH SOLE 0 0 1921 ISHARES TR 20 YR TR BD ETF 464287432 27 215 SH SOLE 0 0 215 AT&T INC COM 00206R102 42 1117 SH SOLE 0 0 1117 SYMANTEC CORP COM 871503108 92 3259 SH SOLE 0 0 3259 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 861 9630 SH SOLE 0 0 9630 SPDR S&P 500 ETF TR TR UNIT 78462F103 15195 62843 SH SOLE 0 0 62843 SPLUNK INC COM 848637104 85 1500 SH SOLE 0 0 1500 ISHARES TR 1-3 YR TR BD ETF 464287457 175 2070 SH SOLE 0 0 2070 PROSHARES TR SHORT S&P 500 NE 74347B425 48 1446 SH SOLE 0 0 1446 SIMMONS 1ST NATL CORP CL A $1 PAR 828730200 33 623 SH SOLE 0 0 623 PROSHARES TR PSHS ULSHT SP500 74347B300 598 47125 SH SOLE 0 0 47125 SPDR SERIES TRUST BLOMBERG BRC SRT 78464A474 311 10155 SH SOLE 0 0 10155 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 23 401 SH SOLE 0 0 401 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 0 2 SH SOLE 0 0 2 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 520 10804 SH SOLE 0 0 10804 SCHWAB STRATEGIC TR US REIT ETF 808524847 35 850 SH SOLE 0 0 850 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 0 3 SH SOLE 0 0 3 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1 17 SH SOLE 0 0 17 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 686 10732 SH SOLE 0 0 10732 STARBUCKS CORP COM 855244109 58 1000 SH SOLE 0 0 1000 RAYTHEON CO COM NEW 755111507 1 8 SH SOLE 0 0 8 REGENERON PHARMACEUTICALS COM 75886F107 4 8 SH SOLE 0 0 8 REYNOLDS AMERICAN INC COM 761713106 210 3234 SH SOLE 0 0 3234 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 9496 68992 SH SOLE 0 0 68992 PROSHARES TR PSHS ULTRA QQQ 74347R206 1583 13725 SH SOLE 0 0 13725 PAYPAL HLDGS INC COM 70450Y103 21 400 SH SOLE 0 0 400 PNC FINL SVCS GROUP INC COM 693475105 53 425 SH SOLE 0 0 425 PHILIP MORRIS INTL INC COM 718172109 383 3265 SH SOLE 0 0 3265 PROCTER AND GAMBLE CO COM 742718109 293 3363 SH SOLE 0 0 3363 PFIZER INC COM 717081103 105 3112 SH SOLE 0 0 3112 PEPSICO INC COM 713448108 100 867 SH SOLE 0 0 867 PACIRA PHARMACEUTICALS INC COM 695127100 10 200 SH SOLE 0 0 200 O REILLY AUTOMOTIVE INC NEW COM 67103H107 60 275 SH SOLE 0 0 275 ORACLE CORP COM 68389X105 134 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 NVIDIA CORP COM 67066G104 258 1787 SH SOLE 0 0 1787 NEXTERA ENERGY INC COM 65339F101 34 242 SH SOLE 0 0 242 NOODLES & CO COM CL A 65540B105 1 350 SH SOLE 0 0 350 NOBLE ENERGY INC COM 655044105 0 8 SH SOLE 0 0 8 MICRON TECHNOLOGY INC COM 595112103 190 6352 SH SOLE 0 0 6352 MICROSOFT CORP COM 594918104 119 1724 SH SOLE 0 0 1724 MARATHON OIL CORP COM 565849106 2 206 SH SOLE 0 0 206 MERCK & CO INC COM 58933Y105 31 490 SH SOLE 0 0 490 MARATHON PETE CORP COM 56585A102 11 206 SH SOLE 0 0 206 ALTRIA GROUP INC COM 02209S103 243 3265 SH SOLE 0 0 3265 MAXIMUS INC COM 577933104 75 1200 SH SOLE 0 0 1200 3M CO COM 88579Y101 31 150 SH SOLE 0 0 150 METLIFE INC COM 59156R108 2 40 SH SOLE 0 0 40 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 11028 34722 SH SOLE 0 0 34722 MONDELEZ INTL INC CL A 609207105 105 2425 SH SOLE 0 0 2425 MCDONALDS CORP COM 580135101 61 400 SH SOLE 0 0 400 COCA COLA CO COM 191216100 153 3410 SH SOLE 0 0 3410 KIMBERLY CLARK CORP COM 494368103 57 444 SH SOLE 0 0 444 KRAFT HEINZ CO COM 500754106 152 1772 SH SOLE 0 0 1772 JPMORGAN CHASE & CO COM 46625H100 15 167 SH SOLE 0 0 167 JOHNSON & JOHNSON COM 478160104 169 1277 SH SOLE 0 0 1277 ISHARES TR U.S. REAL ES ETF 464287739 4762 59702 SH SOLE 0 0 59702 ISHARES TR RUS MID CAP ETF 464287499 110 575 SH SOLE 0 0 575 ISHARES TR RUSSELL 2000 ETF 464287655 11740 83311 SH SOLE 0 0 83311 ISHARES TR RUS 1000 GRW ETF 464287614 40 332 SH SOLE 0 0 332 ISHARES TR CORE S&P500 ETF 464287200 3395 13949 SH SOLE 0 0 13949 ILLINOIS TOOL WKS INC COM 452308109 16 109 SH SOLE 0 0 109 INTUITIVE SURGICAL INC COM NEW 46120E602 120 128 SH SOLE 0 0 128 INTL PAPER CO COM 460146103 3 61 SH SOLE 0 0 61 INTEL CORP COM 458140100 152 4511 SH SOLE 0 0 4511 INCYTE CORP COM 45337C102 103 821 SH SOLE 0 0 821 ISHARES TR CORE S&P MCP ETF 464287507 619 3557 SH SOLE 0 0 3557 ISHARES TR 3-7 YR TR BD ETF 464288661 1242 10047 SH SOLE 0 0 10047 ISHARES TR 7-10YR TR BD ETF 464287440 15381 144274 SH SOLE 0 0 144274 INTERCONTINENTAL EXCHANGE IN COM 45866F104 66 1000 SH SOLE 0 0 1000 INTERNATIONAL BUSINESS MACHS COM 459200101 449 2919 SH SOLE 0 0 2919 INTERACTIVE BROKERS GROUP IN COM 45841N107 19 500 SH SOLE 0 0 500 HALYARD HEALTH INC COM 40650V100 2 55 SH SOLE 0 0 55 HONEYWELL INTL INC COM 438516106 31 235 SH SOLE 0 0 235 HOME DEPOT INC COM 437076102 102 666 SH SOLE 0 0 666 ALPHABET INC CAP STK CL C 02079K107 91 100 SH SOLE 0 0 100 SPDR GOLD TRUST GOLD SHS 78463V107 30 255 SH SOLE 0 0 255 GILEAD SCIENCES INC COM 375558103 40 566 SH SOLE 0 0 566 GENERAL ELECTRIC CO COM 369604103 449 16634 SH SOLE 0 0 16634 FISERV INC COM 337738108 96 788 SH SOLE 0 0 788 FIREEYE INC COM 31816Q101 6 375 SH SOLE 0 0 375 FEDEX CORP COM 31428X106 3 16 SH SOLE 0 0 16 FACEBOOK INC CL A 30303M102 110 729 SH SOLE 0 0 729 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 5493 84255 SH SOLE 0 0 84255 CONSOLIDATED EDISON INC COM 209115104 81 1000 SH SOLE 0 0 1000 EBAY INC COM 278642103 14 400 SH SOLE 0 0 400 ELECTRONIC ARTS INC COM 285512109 120 1136 SH SOLE 0 0 1136 ISHARES TR SELECT DIVID ETF 464287168 8144 88318 SH SOLE 0 0 88318 DELL TECHNOLOGIES INC COM CL V 24703L103 2 33 SH SOLE 0 0 33 PROSHARES TR PSHS SHORT DOW30 74347R701 48 2744 SH SOLE 0 0 2744 DISH NETWORK CORP CL A 25470M109 85 1356 SH SOLE 0 0 1356 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 0 15 SH SOLE 0 0 15 DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 0 15 SH SOLE 0 0 15 DISNEY WALT CO COM DISNEY 254687106 79 739 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 11 196 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 232 6514 SH SOLE 0 0 6514 CHEVRON CORP NEW COM 166764100 162 1551 SH SOLE 0 0 1551 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 27 400 SH SOLE 0 0 400 CSX CORP COM 126408103 122 2232 SH SOLE 0 0 2232 CARLISLE COS INC COM 142339100 67 700 SH SOLE 0 0 700 CISCO SYS INC COM 17275R102 137 4371 SH SOLE 0 0 4371 COSTCO WHSL CORP NEW COM 22160K105 85 529 SH SOLE 0 0 529 CABOT OIL & GAS CORP COM 127097103 0 9 SH SOLE 0 0 9 CHIPOTLE MEXICAN GRILL INC COM 169656105 42 100 SH SOLE 0 0 100 COMCAST CORP NEW CL A 20030N101 8 204 SH SOLE 0 0 204 CORNERSTONE STRATEGIC VALUE COM 21924B302 5 300 SH SOLE 0 0 300 COLGATE PALMOLIVE CO COM 194162103 101 1360 SH SOLE 0 0 1360 ISHARES TR INTERM CR BD ETF 464288638 17161 156323 SH SOLE 0 0 156323 CHESAPEAKE ENERGY CORP COM 165167107 0 42 SH SOLE 0 0 42 CERNER CORP COM 156782104 19 288 SH SOLE 0 0 288 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 5 300 SH SOLE 0 0 300 CRACKER BARREL OLD CTRY STOR COM 22410J106 52 313 SH SOLE 0 0 313 CATERPILLAR INC DEL COM 149123101 864 8040 SH SOLE 0 0 8040 BOSTON SCIENTIFIC CORP COM 101137107 33 1200 SH SOLE 0 0 1200 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 334 15734 SH SOLE 0 0 15734 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 1716 75907 SH SOLE 0 0 75907 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 25 150 SH SOLE 0 0 150 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 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 1343 14419 SH SOLE 0 0 14419 BANK NEW YORK MELLON CORP COM 064058100 28 542 SH SOLE 0 0 542 BIOVERATIV INC COM 09075E100 3 50 SH SOLE 0 0 50 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 42 496 SH SOLE 0 0 496 BIOGEN INC COM 09062X103 27 100 SH SOLE 0 0 100 BRUNSWICK CORP COM 117043109 2 24 SH SOLE 0 0 24 BB&T CORP COM 054937107 314 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 20 140 SH SOLE 0 0 140 ARISTA NETWORKS INC COM 040413106 169 1128 SH SOLE 0 0 1128 AMAZON COM INC COM 023135106 209 216 SH SOLE 0 0 216 TD AMERITRADE HLDG CORP COM 87236Y108 17 400 SH SOLE 0 0 400 AMERICAN TOWER CORP NEW COM 03027X100 53 400 SH SOLE 0 0 400 AMGEN INC COM 031162100 17 100 SH SOLE 0 0 100 APPLIED MATLS INC COM 038222105 146 3541 SH SOLE 0 0 3541 ALEXION PHARMACEUTICALS INC COM 015351109 146 1200 SH SOLE 0 0 1200 AMEREN CORP COM 023608102 2 29 SH SOLE 0 0 29 AUTOMATIC DATA PROCESSING IN COM 053015103 15 142 SH SOLE 0 0 142 ABBOTT LABS COM 002824100 71 1453 SH SOLE 0 0 1453 ABBVIE INC COM 00287Y109 156 2153 SH SOLE 0 0 2153 APPLE INC COM 037833100 175 1212 SH SOLE 0 0 1212 AMERICAN AIRLS GROUP INC COM 02376R102 120 2379 SH SOLE 0 0 2379