Compliance Associate

0001085146-18-002334.txt : 20181016 0001085146-18-002334.hdr.sgml : 20181016 20181016114703 ACCESSION NUMBER: 0001085146-18-002334 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181016 DATE AS OF CHANGE: 20181016 EFFECTIVENESS DATE: 20181016 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CUE FINANCIAL GROUP, INC. CENTRAL INDEX KEY: 0001632098 IRS NUMBER: 860588464 STATE OF INCORPORATION: AZ FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16428 FILM NUMBER: 181123906 BUSINESS ADDRESS: STREET 1: 3200 N. CENTRAL AVENUE STREET 2: SUITE 200 CITY: PHOENIX STATE: AZ ZIP: 85012 BUSINESS PHONE: 602-252-0911 MAIL ADDRESS: STREET 1: 3200 N. CENTRAL AVENUE STREET 2: SUITE 200 CITY: PHOENIX STATE: AZ ZIP: 85012 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001632098 XXXXXXXX 09-30-2018 09-30-2018 false CUE FINANCIAL GROUP, INC.

3200 N. CENTRAL AVENUE SUITE 200 PHOENIX AZ 85012

13F HOLDINGS REPORT 028-16428 N Paul W. Pickenheim Compliance Associate 602-200-5113 /s/ Paul W. Pickenheim Phoenix AZ 10-15-2018 0 154 166553 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 920 4368 SH SOLE 0 0 4368 ABBVIE INC COM 00287Y109 1015 10729 SH SOLE 0 0 10729 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2808 16498 SH SOLE 0 0 16498 AGNC INVT CORP COM 00123Q104 449 24095 SH SOLE 0 0 24095 ALPHABET INC CAP STK CL C 02079K107 372 312 SH SOLE 0 0 312 ALPHABET INC CAP STK CL A 02079K305 443 367 SH SOLE 0 0 367 ALPS ETF TR INTL SEC DV DOG 00162Q718 733 27300 SH SOLE 0 0 27300 ALPS ETF TR SECTR DIV DOGS 00162Q858 2997 65350 SH SOLE 0 0 65350 ALTRIA GROUP INC COM 02209S103 843 13979 SH SOLE 0 0 13979 AMAZON COM INC COM 023135106 625 312 SH SOLE 0 0 312 AMERICAN WTR WKS CO INC NEW COM 030420103 1960 22277 SH SOLE 0 0 22277 AMGEN INC COM 031162100 1399 6750 SH SOLE 0 0 6750 ANALOG DEVICES INC COM 032654105 589 6369 SH SOLE 0 0 6369 ANSYS INC COM 03662Q105 2457 13162 SH SOLE 0 0 13162 APPLE INC COM 037833100 3490 15459 SH SOLE 0 0 15459 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 32 10018 SH SOLE 0 0 10018 ARES CAP CORP COM 04010L103 815 47423 SH SOLE 0 0 47423 AT&T INC COM 00206R102 630 18750 SH SOLE 0 0 18750 BANK NEW YORK MELLON CORP COM 064058100 570 11175 SH SOLE 0 0 11175 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 990 4622 SH SOLE 0 0 4622 BHP BILLITON LTD SPONSORED ADR 088606108 216 4337 SH SOLE 0 0 4337 BIOGEN INC COM 09062X103 604 1710 SH SOLE 0 0 1710 BLACKROCK CAPITAL INVESTMENT COM 092533108 440 74500 SH SOLE 0 0 74500 BOEING CO COM 097023105 798 2147 SH SOLE 0 0 2147 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 3945 29895 SH SOLE 0 0 29895 CALAMOS GBL DYN INCOME FUND COM 12811L107 114 12600 SH SOLE 0 0 12600 CHEVRON CORP NEW COM 166764100 920 7523 SH SOLE 0 0 7523 CHURCH & DWIGHT INC COM 171340102 1777 29939 SH SOLE 0 0 29939 CIMAREX ENERGY CO COM 171798101 222 2385 SH SOLE 0 0 2385 CISCO SYS INC COM 17275R102 887 18229 SH SOLE 0 0 18229 CLOROX CO DEL COM 189054109 1490 9908 SH SOLE 0 0 9908 COCA COLA CO COM 191216100 426 9223 SH SOLE 0 0 9223 COLGATE PALMOLIVE CO COM 194162103 257 3840 SH SOLE 0 0 3840 COLONY CR REAL ESTATE INC COM CL A 19625T101 730 33183 SH SOLE 0 0 33183 CONCHO RES INC COM 20605P101 1502 9831 SH SOLE 0 0 9831 CONOCOPHILLIPS COM 20825C104 206 2665 SH SOLE 0 0 2665 CORPORATE CAP TR INC COM 219880101 244 15960 SH SOLE 0 0 15960 COSTCO WHSL CORP NEW COM 22160K105 2041 8689 SH SOLE 0 0 8689 DANAHER CORP DEL COM 235851102 2800 25766 SH SOLE 0 0 25766 DIGITAL RLTY TR INC COM 253868103 413 3670 SH SOLE 0 0 3670 DISNEY WALT CO COM DISNEY 254687106 216 1843 SH SOLE 0 0 1843 DOCUSIGN INC COM 256163106 471 8965 SH SOLE 0 0 8965 EATON CORP PLC SHS G29183103 690 7959 SH SOLE 0 0 7959 EATON VANCE TAX MNGD GBL DV COM 27829F108 108 11395 SH SOLE 0 0 11395 EOG RES INC COM 26875P101 1816 14235 SH SOLE 0 0 14235 EXXON MOBIL CORP COM 30231G102 1156 13592 SH SOLE 0 0 13592 FACEBOOK INC CL A 30303M102 376 2287 SH SOLE 0 0 2287 FIDELITY NATL INFORMATION SV COM 31620M106 299 2742 SH SOLE 0 0 2742 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 914 5765 SH SOLE 0 0 5765 FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 329 11400 SH SOLE 0 0 11400 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1204 38056 SH SOLE 0 0 38056 FISERV INC COM 337738108 1613 19584 SH SOLE 0 0 19584 FORTIVE CORP COM 34959J108 1037 12310 SH SOLE 0 0 12310 GENERAL DYNAMICS CORP COM 369550108 837 4088 SH SOLE 0 0 4088 GILEAD SCIENCES INC COM 375558103 580 7517 SH SOLE 0 0 7517 GLADSTONE CAPITAL CORP COM 376535100 98 10300 SH SOLE 0 0 10300 GLADSTONE INVT CORP COM 376546107 2273 198884 SH SOLE 0 0 198884 HARRIS CORP DEL COM 413875105 1536 9077 SH SOLE 0 0 9077 HELMERICH & PAYNE INC COM 423452101 224 3250 SH SOLE 0 0 3250 HENRY JACK & ASSOC INC COM 426281101 1628 10168 SH SOLE 0 0 10168 HOME DEPOT INC COM 437076102 744 3593 SH SOLE 0 0 3593 HONEYWELL INTL INC COM 438516106 1224 7356 SH SOLE 0 0 7356 IDEXX LABS INC COM 45168D104 1619 6485 SH SOLE 0 0 6485 ILLINOIS TOOL WKS INC COM 452308109 524 3710 SH SOLE 0 0 3710 INTEL CORP COM 458140100 696 14713 SH SOLE 0 0 14713 INTERCONTINENTAL EXCHANGE IN COM 45866F104 878 11720 SH SOLE 0 0 11720 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 392 2815 SH SOLE 0 0 2815 INTUIT COM 461202103 1455 6399 SH SOLE 0 0 6399 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 382 1825 SH SOLE 0 0 1825 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1331 11070 SH SOLE 0 0 11070 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 630 5900 SH SOLE 0 0 5900 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 3117 23146 SH SOLE 0 0 23146 INVESCO EXCHANGE TRADED FD T DYNMC BIOTECH 46137V787 1794 30178 SH SOLE 0 0 30178 INVESCO EXCHNG TRADED FD TR S&P SMLCP HELT 46138E149 2512 17897 SH SOLE 0 0 17897 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 2251 45464 SH SOLE 0 0 45464 INVESCO QQQ TR UNIT SER 1 46090E103 3639 19587 SH SOLE 0 0 19587 ISHARES INC MIN VOL GBL ETF 464286525 693 7890 SH SOLE 0 0 7890 ISHARES TR CORE S&P500 ETF 464287200 637 2177 SH SOLE 0 0 2177 ISHARES TR MSCI EMG MKT ETF 464287234 548 12774 SH SOLE 0 0 12774 ISHARES TR MSCI EAFE ETF 464287465 547 8047 SH SOLE 0 0 8047 ISHARES TR S&P MC 400GR ETF 464287606 1137 4882 SH SOLE 0 0 4882 ISHARES TR RUSSELL 2000 ETF 464287655 695 4122 SH SOLE 0 0 4122 ISHARES TR S&P MC 400VL ETF 464287705 387 2310 SH SOLE 0 0 2310 ISHARES TR CORE S&P SCP ETF 464287804 333 3821 SH SOLE 0 0 3821 ISHARES TR S&P SML 600 GWT 464287887 689 3416 SH SOLE 0 0 3416 ISHARES TR S&P US PFD STK 464288687 654 17623 SH SOLE 0 0 17623 ISHARES TR US OIL GS EX ETF 464288851 391 5150 SH SOLE 0 0 5150 ISHARES TR MIN VOL EAFE ETF 46429B689 1500 20605 SH SOLE 0 0 20605 ISHARES TR MIN VOL USA ETF 46429B697 325 5700 SH SOLE 0 0 5700 ISHARES TR USA QUALITY FCTR 46432F339 2059 22780 SH SOLE 0 0 22780 ISHARES TR EDGE MSCI USA VL 46432F388 324 3690 SH SOLE 0 0 3690 JOHNSON & JOHNSON COM 478160104 2017 14600 SH SOLE 0 0 14600 JPMORGAN CHASE & CO COM 46625H100 1445 12806 SH SOLE 0 0 12806 LMP CAP & INCOME FD INC COM 50208A102 490 35897 SH SOLE 0 0 35897 LOCKHEED MARTIN CORP COM 539830109 994 2873 SH SOLE 0 0 2873 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 494 4820 SH SOLE 0 0 4820 MAIN STREET CAPITAL CORP COM 56035L104 689 1800 SH SOLE 0 0 1800 MEDLEY CAP CORP COM 58503F106 556 145500 SH SOLE 0 0 145500 MEDLEY MGMT INC CL A COM 58503T106 93 17700 SH SOLE 0 0 17700 MEDTRONIC PLC SHS G5960L103 359 3654 SH SOLE 0 0 3654 MICROSOFT CORP COM 594918104 3344 29239 SH SOLE 0 0 29239 MONOLITHIC PWR SYS INC COM 609839105 699 5570 SH SOLE 0 0 5570 MOODYS CORP COM 615369105 817 4885 SH SOLE 0 0 4885 MSCI INC COM 55354G100 770 4340 SH SOLE 0 0 4340 NASDAQ INC COM 631103108 1170 13635 SH SOLE 0 0 13635 NUCOR CORP COM 670346105 279 4402 SH SOLE 0 0 4402 OAKTREE SPECIALTY LENDING CO COM 67401P108 50 10000 SH SOLE 0 0 10000 ORGANOVO HLDGS INC COM 68620A104 18 15500 SH SOLE 0 0 15500 PARSLEY ENERGY INC CL A 701877102 618 21120 SH SOLE 0 0 21120 PAYCHEX INC COM 704326107 1247 16937 SH SOLE 0 0 16937 PENNANTPARK FLOATING RATE CA COM 70806A106 1902 144619 SH SOLE 0 0 144619 PROTO LABS INC COM 743713109 227 1401 SH SOLE 0 0 1401 QUALCOMM INC COM 747525103 310 4306 SH SOLE 0 0 4306 REALTY INCOME CORP COM 756109104 764 13431 SH SOLE 0 0 13431 ROLLINS INC COM 775711104 1467 24165 SH SOLE 0 0 24165 ROPER TECHNOLOGIES INC COM 776696106 2619 8842 SH SOLE 0 0 8842 SALESFORCE COM INC COM 79466L302 364 2286 SH SOLE 0 0 2286 SARATOGA INVT CORP COM NEW 80349A208 910 39449 SH SOLE 0 0 39449 SEASPAN CORP SHS Y75638109 682 81900 SH SOLE 0 0 81900 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 484 4129 SH SOLE 0 0 4129 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1685 61103 SH SOLE 0 0 61103 SHERWIN WILLIAMS CO COM 824348106 1395 3064 SH SOLE 0 0 3064 SMITH A O COM 831865209 1537 28790 SH SOLE 0 0 28790 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 833 3149 SH SOLE 0 0 3149 SPDR GOLD TRUST GOLD SHS 78463V107 296 2626 SH SOLE 0 0 2626 SPDR S&P 500 ETF TR TR UNIT 78462F103 2498 8591 SH SOLE 0 0 8591 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 638 1735 SH SOLE 0 0 1735 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 1908 28260 SH SOLE 0 0 28260 SPDR SERIES TRUST AEROSPACE DEF 78464A631 3042 30555 SH SOLE 0 0 30555 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 98 10248 SH SOLE 0 0 10248 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 60 11240 SH SOLE 0 0 11240 STRYKER CORP COM 863667101 1334 7506 SH SOLE 0 0 7506 SUN CMNTYS INC COM 866674104 284 2795 SH SOLE 0 0 2795 TE CONNECTIVITY LTD REG SHS H84989104 675 7675 SH SOLE 0 0 7675 TWO HBRS INVT CORP COM NEW 90187B408 576 40675 SH SOLE 0 0 40675 UNDER ARMOUR INC CL C 904311206 601 30900 SH SOLE 0 0 30900 UNILEVER PLC SPON ADR NEW 904767704 569 10350 SH SOLE 0 0 10350 UNION PAC CORP COM 907818108 1004 6167 SH SOLE 0 0 6167 UNITED TECHNOLOGIES CORP COM 913017109 984 7042 SH SOLE 0 0 7042 UNITEDHEALTH GROUP INC COM 91324P102 1582 5945 SH SOLE 0 0 5945 UNIVERSAL INS HLDGS INC COM 91359V107 499 10285 SH SOLE 0 0 10285 VANGUARD GROUP DIV APP ETF 921908844 4335 39161 SH SOLE 0 0 39161 VANGUARD INDEX FDS MID CAP ETF 922908629 599 3651 SH SOLE 0 0 3651 VANGUARD INDEX FDS GROWTH ETF 922908736 1532 9515 SH SOLE 0 0 9515 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1535 10257 SH SOLE 0 0 10257 VANGUARD STAR FD VG TL INTL STK F 921909768 358 6622 SH SOLE 0 0 6622 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5728 65776 SH SOLE 0 0 65776 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 2081 11530 SH SOLE 0 0 11530 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 598 3317 SH SOLE 0 0 3317 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1383 11730 SH SOLE 0 0 11730 VEREIT INC COM 92339V100 82 11351 SH SOLE 0 0 11351 VERIZON COMMUNICATIONS INC COM 92343V104 668 12509 SH SOLE 0 0 12509 VISA INC COM CL A 92826C839 2808 18711 SH SOLE 0 0 18711 WASTE CONNECTIONS INC COM 94106B101 1189 14925 SH SOLE 0 0 14925