0001652035-21-000001.txt : 20210216
0001652035-21-000001.hdr.sgml : 20210216
20210212184010
ACCESSION NUMBER: 0001652035-21-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210216
DATE AS OF CHANGE: 20210212
EFFECTIVENESS DATE: 20210216
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hayden Royal, LLC
CENTRAL INDEX KEY: 0001652035
IRS NUMBER: 471411577
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18991
FILM NUMBER: 21630849
BUSINESS ADDRESS:
STREET 1: 2813 COLTSGATE RD., SUITE 200
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
BUSINESS PHONE: 704-919-0439
MAIL ADDRESS:
STREET 1: 2813 COLTSGATE RD., SUITE 200
CITY: CHARLOTTE
STATE: NC
ZIP: 28211
FORMER COMPANY:
FORMER CONFORMED NAME: Great Lakes & Atlantic Wealth Management & Advisory Partners, LLC
DATE OF NAME CHANGE: 20150831
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001652035
XXXXXXXX
12-31-2020
12-31-2020
Hayden Royal, LLC
2813 COLTSGATE RD., SUITE 200
CHARLOTTE
NC
28211
13F HOLDINGS REPORT
028-18991
N
Joseph Arce
Chief Compliance Officer
8664788794
Joseph Arce
Charlotte
NC
02-12-2021
0
183918
183918
false
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Common Stock
12668BPX5
1
31000
SH
SOLE
0
0
31000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 067CB 1A6 Fix
Common Stock
12668BXX6
10
96000
SH
SOLE
0
0
96000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 06J2 A3 Sr Fix
Common Stock
12668BTF0
3
62000
SH
SOLE
0
0
62000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 06J3 1A4 Sr Seq Fix
Common Stock
021469AD3
2
11000
SH
SOLE
0
0
11000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 06J4 2A5 Sr Supp Fix
Common Stock
23242WAM1
2
10000
SH
SOLE
0
0
10000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 0712T1 A1 Sr Fix
Common Stock
02150LAA5
5
38000
SH
SOLE
0
0
38000
CWALT, INC (COUNTRYWIDE ALTERNATIVE LOAN 0725 2A1 Fix
Common Stock
02151UAE6
0
18000
SH
SOLE
0
0
18000
Dallas Tex Wtrwks & Swr Sys 5.000 10/01/25 '21
Closed End Funds
23542JBZ7
21
20000
SH
SOLE
0
0
20000
Del Norte Cnty Calif Uni Sch 5.250 08/01/38 '21
Common Stock
245278CC8
16
15000
SH
SOLE
0
0
15000
Delaware Limited-Term Diversified Inc I
Common Stock
245912506
218
25746
SH
SOLE
0
0
25746
Delaware Smid Cap Growth Instl
Common Stock
245906201
391
6062
SH
SOLE
0
0
6062
Delaware Tax-Free USA Instl
Common Stock
24610H104
138
11182
SH
SOLE
0
0
11182
DEUTSCHE ALT-A SECURITIES, INC 056 1A3 Sr Fix
Common Stock
251510JY0
2
22000
SH
SOLE
0
0
22000
DFA Global Equity I
Common Stock
25434D674
218
7943
SH
SOLE
0
0
7943
DFA Global Real Estate Securities Port
Common Stock
23320G554
526
48924
SH
SOLE
0
0
48924
DFA Intermediate Govt Fixed-Income I
Common Stock
233203876
2517
188003
SH
SOLE
0
0
188003
DFA US Core Equity 2 I
Common Stock
233203397
14325
531133
SH
SOLE
0
0
531133
Discover Bank 3.300 07/18/23
Common Stock
254673RN8
22
20000
SH
SOLE
0
0
20000
Discover Fincl 4.000 05/15/23 '20 MTN
Common Stock
25472CEC9
10
10000
SH
SOLE
0
0
10000
District Columbia Rev 5.250 12/01/24 '21
Common Stock
25483VCM4
25
25000
SH
SOLE
0
0
25000
Dodge & Cox Balanced
Common Stock
256201104
337
3311
SH
SOLE
0
0
3311
Dodge & Cox Income
Exchange Traded Fund
256210105
3459
236122
SH
SOLE
0
0
236122
Dodge & Cox Stock
Exchange Traded Fund
256219106
307
1593
SH
SOLE
0
0
1593
DoubleLine Flexible Income I
Exchange Traded Fund
258620798
225
23383
SH
SOLE
0
0
23383
DoubleLine Total Return Bond I
Exchange Traded Fund
258620103
162
15115
SH
SOLE
0
0
15115
Dow Chem 4.250 08/15/49 '21 MTN
Exchange Traded Fund
26054LJ87
203
200000
SH
SOLE
0
0
200000
Dow Inc
Exchange Traded Fund
260557103
284
5123
SH
SOLE
0
0
5123
East Carolina Univ N C Univ Re 4.125 10/01/36 '23
Exchange Traded Fund
271371VG8
43
40000
SH
SOLE
0
0
40000
Eaton Vance Floating Rate I
Common Stock
277911491
1287
147105
SH
SOLE
0
0
147105
Enviva Partners LP
Exchange Traded Fund
29414J107
584
12852
SH
SOLE
0
0
12852
Exxon Mobil Corp
Common Stock
30231G102
686
16645
SH
SOLE
0
0
16645
Facebook Inc A
Exchange Traded Fund
30303M102
2387
8740
SH
SOLE
0
0
8740
Fannie Mae 1.875 09/24/26
Common Stock
3135G0Q22
13
12000
SH
SOLE
0
0
12000
Fannie Mae FNCI AL9421 4.000 03/01/31
Common Stock
3138ERPF1
9
27000
SH
SOLE
0
0
27000
Fannie Mae FNCN MA3097 3.500 08/01/27
Closed End Funds
31418CNP5
4
10000
SH
SOLE
0
0
10000
FEDERAL HOME LOAN MORTGAGE CORPORATION K037 A2 Fix
Common Stock
3137B7YY9
14
13000
SH
SOLE
0
0
13000
FEDERAL NATIONAL MORTGAGE ASSOCIATION 9870C HB Seq Fix
Exchange Traded Fund
31359VAY9
1
28000
SH
SOLE
0
0
28000
Federated Hermes Short-Term Income IS
Common Stock
31420C787
239
27396
SH
SOLE
0
0
27396
Fidelity Contrafund
Common Stock
316071109
370
22071
SH
SOLE
0
0
22071
Fidelity Inv MM Fds Government Instl
Common Stock
31607A703
303
302682
SH
SOLE
0
0
302682
Fidelity Inv MM Fds Money Market Instl
Common Stock
31607A109
344
343998
SH
SOLE
0
0
343998
Fidelity Long-Term Trs Bd Index
Common Stock
31635V232
282
17668
SH
SOLE
0
0
17668
First Eagle Overseas I
Common Stock
32008F200
320
12254
SH
SOLE
0
0
12254
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 05FA11 13A Seq Fix
Common Stock
32051GL52
5
32000
SH
SOLE
0
0
32000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 05FA11 1A5 Sr Seq Fix
Common Stock
32051GL94
1
47000
SH
SOLE
0
0
47000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 06FA3 A12 Sr Seq Fix
Common Stock
32051HAM5
4
36000
SH
SOLE
0
0
36000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 06FA3 A6 Seq Fix
Common Stock
32051HAF0
6
125000
SH
SOLE
0
0
125000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 06FA6 2A1 Sr PAC Fix
Common Stock
32052FAH9
1
44000
SH
SOLE
0
0
44000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 06FA6 2A4 AccDirect Fix
Common Stock
32052FAL0
4
87000
SH
SOLE
0
0
87000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 06RE1 A1 Sr Fix
Common Stock
32051RAA9
1
11000
SH
SOLE
0
0
11000
FIRST HORIZON ALTERNATIVE MORTGAGE SECUR 07FA3 A7 Fix
Common Stock
32053GAG8
4
55000
SH
SOLE
0
0
55000
FIRST HORIZON MORTGAGE PASS-THROUGH TRUS 064 A17 Sr Lottery Fix
Common Stock
32052UAS2
2
11000
SH
SOLE
0
0
11000
First Trust Dorsey Wright Focus 5 ETF
Common Stock
33738R605
617
15249
SH
SOLE
0
0
15249
First Trust Large Cap Gr AlphaDEX ETF
Common Stock
33735K108
723
7481
SH
SOLE
0
0
7481
First Trust Materials AlphaDEX ETF
Common Stock
33734X168
737
15319
SH
SOLE
0
0
15319
First Trust Mid Cap Growth AlphaDEX ETF
Common Stock
33737M102
1131
17305
SH
SOLE
0
0
17305
First Trust New Opps MLP & Energy
Common Stock
33739M100
66
15466
SH
SOLE
0
0
15466
First Trust Technology AlphaDEX ETF
Common Stock
33734X176
304
2716
SH
SOLE
0
0
2716
Franklin Income Adv
Exchange Traded Fund
353496847
831
364260
SH
SOLE
0
0
364260
Franklin Mutual Global Discovery Z
Common Stock
628380404
279
9685
SH
SOLE
0
0
9685
Franklin Mutual Shares Z
Common Stock
628380107
365
14398
SH
SOLE
0
0
14398
Franklin Rising Dividends Adv
Common Stock
353825805
335
4176
SH
SOLE
0
0
4176
Franklin Small Cap Value Adv
Common Stock
355148503
1268
23742
SH
SOLE
0
0
23742
Franklin Total Return Adv
Exchange Traded Fund
353612849
278
26834
SH
SOLE
0
0
26834
Franklin US Government Secs Adv
Exchange Traded Fund
353496821
109
17859
SH
SOLE
0
0
17859
Freddie Mac FGCI G15227 3.500 12/01/29
Exchange Traded Fund
3128MEA43
5
15000
SH
SOLE
0
0
15000
Freddie Mac FGCI G15352 3.500 04/01/30
Exchange Traded Fund
3128MEEZ0
11
32000
SH
SOLE
0
0
32000
Freddie Mac FGCI G16447 3.500 09/01/32
Exchange Traded Fund
3128MFL48
9
19000
SH
SOLE
0
0
19000
Freddie Mac FGCI G18582 3.000 01/01/31
Exchange Traded Fund
3128MMUG6
10
26000
SH
SOLE
0
0
26000
Freeport-McMoRan Inc
Exchange Traded Fund
35671D857
2605
100113
SH
SOLE
0
0
100113
Frontier Commn 7.125 01/15/23 DFTd
Exchange Traded Fund
35906AAM0
167
344000
SH
SOLE
0
0
344000
Frontier Commn 8.750 04/15/22 DFTd
Exchange Traded Fund
35906AAK4
25
49000
SH
SOLE
0
0
49000
Fs Credit Income Fund Cl I
Exchange Traded Fund
30300R203
840
63908
SH
SOLE
0
0
63908
FT 60/40 Strategic Alloc 1Q 2020 F CA
Exchange Traded Fund
30312T122
234
22712
SH
SOLE
0
0
22712
FT Balanced Income Equity & ETF 43 F CA
Exchange Traded Fund
30313X767
156
13828
SH
SOLE
0
0
13828
FT Capital Strength Opp 13 F CA
Exchange Traded Fund
30313Q242
184
12549
SH
SOLE
0
0
12549
FT Cboe Vest US Equity Deep Bffr ETF Feb
Exchange Traded Fund
33740F771
6195
191323
SH
SOLE
0
0
191323
FT Cboe Vest US Equity Deep Bffr ETF Nov
Exchange Traded Fund
33740F839
594
17842
SH
SOLE
0
0
17842
FT Cyclical Strength 32 F CA
Exchange Traded Fund
30316G480
303
29844
SH
SOLE
0
0
29844
Gainesville Fla Utils Sys Rev 5.000 10/01/22
Exchange Traded Fund
362848TU7
33
30000
SH
SOLE
0
0
30000
Gap Inc
Exchange Traded Fund
364760108
1492
73883
SH
SOLE
0
0
73883
GE 5.875 01/14/38 MTN
Exchange Traded Fund
36962G3P7
35
25000
SH
SOLE
0
0
25000
General Electric Co
Exchange Traded Fund
369604103
275
25465
SH
SOLE
0
0
25465
Georgia St 5.000 01/01/23
Exchange Traded Fund
3733846A9
56
50000
SH
SOLE
0
0
50000
Ginnie Mae 2 G2SF 002671 6.000 11/20/28
Exchange Traded Fund
36202C6G3
0
37000
SH
SOLE
0
0
37000
Ginnie Mae 2 G2SF 002673 6.500 11/20/28
Exchange Traded Fund
36202C6J7
0
25000
SH
SOLE
0
0
25000
Ginnie Mae 2 G2SF 003187 6.000 01/20/32
Common Stock
36202DRG8
1
102000
SH
SOLE
0
0
102000
Ginnie Mae 2 G2SF 003293 4.500 07/20/32
Common Stock
36202DUS8
0
26000
SH
SOLE
0
0
26000
Goldman Bank USA 10/30/23
Common Stock
38148DJ54
31
25000
SH
SOLE
0
0
25000
Goldman Bank USA 11/18/25
Common Stock
38149JVW7
83
79000
SH
SOLE
0
0
79000
Halliburton 2.920 03/01/30 '29
Common Stock
406216BL4
106
100000
SH
SOLE
0
0
100000
Harbor Capital Appreciation Instl
Common Stock
411511504
257
2467
SH
SOLE
0
0
2467
Harding Loevner Emerging Markets Advisor
Common Stock
412295305
655
9786
SH
SOLE
0
0
9786
Harris Cnty Tex Iam Coml Paper 5.000 08/15/33 '26
Common Stock
414005WN4
44
35000
SH
SOLE
0
0
35000
Hartford Growth Opportunities I
Common Stock
416641207
488
8143
SH
SOLE
0
0
8143
Hartford MidCap I
Common Stock
41664M870
475
13360
SH
SOLE
0
0
13360
Hawaii St 5.000 10/01/22
Common Stock
419792LD6
55
50000
SH
SOLE
0
0
50000
Henderson Cnty N C Ltd Oblig 3.625 10/01/36 '26
Common Stock
424898CH5
17
15000
SH
SOLE
0
0
15000
Hesperia Calif Uni Sch Dist Ct 5.000 02/01/38 '23
Common Stock
428061CN3
56
50000
SH
SOLE
0
0
50000
Highlands Reits INC NSA Move Position Due to Reorganization
Common Stock
43199G105
25
68165
SH
SOLE
0
0
68165
Hilton Head Is S C Spl Oblig 4.125 06/01/36 '21
Closed End Funds
43284UAT7
31
30000
SH
SOLE
0
0
30000
Honeywell International Inc
Common Stock
438516106
640
3010
SH
SOLE
0
0
3010
Houston Tex Indpt Sch Dist 5.211 02/15/21 '20
Common Stock
442403FU0
41
40000
SH
SOLE
0
0
40000
Houston Tex Indpt Sch Dist 6.125 02/15/28 '20
Common Stock
442403FY2
10
10000
SH
SOLE
0
0
10000
Houston Tex Util Sys Rev 5.000 11/15/34 '26
Common Stock
44244CGS0
43
35000
SH
SOLE
0
0
35000
Howard Cnty Md Hsg Commn Rev 4.000 06/01/45 '25
Common Stock
442577CR1
27
25000
SH
SOLE
0
0
25000
Howmet 5.125 10/01/24 '24
Common Stock
013817AW1
11
10000
SH
SOLE
0
0
10000
HSBC BK USA 01/30/23 FRN
Common Stock
40434AK32
40
25000
SH
SOLE
0
0
25000
Inventrust Properties Corp Nsa
Common Stock
45599R102
197
68165
SH
SOLE
0
0
68165
Invesco American Franchise Y
Common Stock
00142J545
228
7682
SH
SOLE
0
0
7682
Invesco Charter Y
Common Stock
00141B303
444
25041
SH
SOLE
0
0
25041
Invesco Developing Markets Y
Common Stock
00143W875
332
6206
SH
SOLE
0
0
6206
Invesco Dividend Income Y
Common Stock
00142F410
349
15013
SH
SOLE
0
0
15013
Invesco Main Street Y
Common Stock
00141B683
571
10800
SH
SOLE
0
0
10800
Invesco Multi-Asset Income Y
Common Stock
00888Y862
184
18845
SH
SOLE
0
0
18845
Invesco Oppenheimer International Gr Y
Common Stock
00900W597
217
4625
SH
SOLE
0
0
4625
Invesco QQQ Trust
Common Stock
46090E103
6878
21923
SH
SOLE
0
0
21923
Invesco S&P 500 Equal Weight ETF
Common Stock
46137V357
1232
9660
SH
SOLE
0
0
9660
Invesco S&P 500 Equal Weight Tech ETF
Common Stock
46137V282
499
1970
SH
SOLE
0
0
1970
iShares Core MSCI EAFE
Closed End Funds
46432F842
345
4995
SH
SOLE
0
0
4995
iShares Core MSCI Emerging Markets ETF
Closed End Funds
46434G103
672
10830
SH
SOLE
0
0
10830
iShares Core MSCI Total Intl Stk ETF
Common Stock
46432F834
726
10812
SH
SOLE
0
0
10812
iShares Core S&P 500
Common Stock
464287200
1001
2666
SH
SOLE
0
0
2666
iShares Core S&P Mid-Cap
Common Stock
464287507
335
1456
SH
SOLE
0
0
1456
iShares Core S&P Small-Cap
Exchange Traded Fund
464287804
431
4692
SH
SOLE
0
0
4692
iShares Core S&P Total US Stock Mkt ETF
Common Stock
464287150
1941
22515
SH
SOLE
0
0
22515
iShares Core Total USD Bond Market ETF
Common Stock
46434V613
571
10459
SH
SOLE
0
0
10459
iShares Core US Aggregate Bond
Common Stock
464287226
416
3516
SH
SOLE
0
0
3516
iShares Core US REIT ETF
Common Stock
464288521
1237
25549
SH
SOLE
0
0
25549
iShares Edge MSCI Min Vol USA
Common Stock
46429B697
347
5119
SH
SOLE
0
0
5119
iShares ESG Aware MSCI EM ETF
Common Stock
46434G863
217
5159
SH
SOLE
0
0
5159
iShares ESG Aware MSCI USA ETF
Common Stock
46435G425
430
4994
SH
SOLE
0
0
4994
iShares Floating Rate Bond ETF
Common Stock
46429B655
275
5422
SH
SOLE
0
0
5422
iShares Gold Trust
Common Stock
464285105
2126
117283
SH
SOLE
0
0
117283
iShares iBoxx $ High Yield Corporate Bd
Common Stock
464288513
700
8013
SH
SOLE
0
0
8013
iShares iBoxx $ Investment Grade Corporate Bond ETF
Common Stock
464287242
1125
8146
SH
SOLE
0
0
8146
iShares MSCI EAFE Growth ETF
Common Stock
464288885
208
2061
SH
SOLE
0
0
2061
iShares National Muni Bond ETF
Common Stock
464288414
282
2409
SH
SOLE
0
0
2409
iShares Russell 1000 Growth
Common Stock
464287614
537
2226
SH
SOLE
0
0
2226
iShares Russell 1000 Value
Common Stock
464287598
369
2696
SH
SOLE
0
0
2696
iShares Russell 2000
Common Stock
464287655
359
1832
SH
SOLE
0
0
1832
iShares Russell Mid-Cap Growth ETF
Common Stock
464287481
247
2404
SH
SOLE
0
0
2404
iShares S&P 500 Growth
Common Stock
464287309
1515
23742
SH
SOLE
0
0
23742
iShares S&P 500 Value
Common Stock
464287408
1379
10769
SH
SOLE
0
0
10769
iShares S&P Mid-Cap 400 Growth
Common Stock
464287606
223
3084
SH
SOLE
0
0
3084
iShares S&P Mid-Cap 400 Value ETF
Common Stock
464287705
349
4046
SH
SOLE
0
0
4046
iShares S&P Small-Cap 600 Growth ETF
Common Stock
464287887
1087
9522
SH
SOLE
0
0
9522
iShares S&P Small-Cap 600 Value ETF
Common Stock
464287879
845
10396
SH
SOLE
0
0
10396
iShares US Treasury Bond
Common Stock
46429B267
557
20462
SH
SOLE
0
0
20462
J.P. MORGAN MORTGAGE TRUST 05S3 A5 Sr Supp Fix
Common Stock
466247ZS5
1
49000
SH
SOLE
0
0
49000
J.P. MORGAN MORTGAGE TRUST 05S3 A6 Sr Supp Fix
Common Stock
466247ZT3
3
13000
SH
SOLE
0
0
13000
J.P. MORGAN MORTGAGE TRUST 06S1 2A6 TAC AccDirect Fi
Common Stock
466247N58
1
16000
SH
SOLE
0
0
16000
J.P. MORGAN MORTGAGE TRUST 06S2 1A5 Sr PAC2 Fix
Common Stock
46628YAE0
2
69000
SH
SOLE
0
0
69000
J.P. MORGAN MORTGAGE TRUST 06S2 311 Seq Fix
Common Stock
46628YBN9
8
121000
SH
SOLE
0
0
121000
J.P. MORGAN MORTGAGE TRUST 07S3 A64 Fix
Common Stock
46631NCR8
7
53000
SH
SOLE
0
0
53000
J.P. MORGAN MORTGAGE TRUST 07S3 A90 Fix
Common Stock
46631NDT3
4
30000
SH
SOLE
0
0
30000
J.P. MORGAN MORTGAGE TRUST 07S3 A96 Fix
Common Stock
46631NDZ9
2
17000
SH
SOLE
0
0
17000
Janus Henderson Triton I
Common Stock
47103C357
716
18442
SH
SOLE
0
0
18442
Jefferies Grp 6.450 06/08/27
Closed End Funds
472319AE2
13
10000
SH
SOLE
0
0
10000
JHancock Disciplined Value I
Closed End Funds
47803U640
946
45588
SH
SOLE
0
0
45588
JHancock Disciplined Value Mid Cap I
Closed End Funds
47803W406
298
12795
SH
SOLE
0
0
12795
JHancock Fundamental Large Cap Core I
Common Stock
41013P608
1006
16024
SH
SOLE
0
0
16024
JHancock Income I
Common Stock
410227839
258
37961
SH
SOLE
0
0
37961
JHancock International Growth I
Common Stock
47803T627
403
10966
SH
SOLE
0
0
10966
JP Morgan 04/05/22 MTN
Common Stock
48127T715
164
33100
SH
SOLE
0
0
33100
JP Morgan 3.250 11/21/35 '21 MTN
Common Stock
48128GM80
79
77000
SH
SOLE
0
0
77000
JP MORGAN ALTERNATIVE LOAN TRUST 05S1 1A2 Sr Seq Fix
Common Stock
46627MAB3
7
78000
SH
SOLE
0
0
78000
JP MORGAN ALTERNATIVE LOAN TRUST 05S1 1A6 Fix
Common Stock
46627MAF4
4
36000
SH
SOLE
0
0
36000
JP MORGAN ALTERNATIVE LOAN TRUST 06S1B 111 Fix
Common Stock
46627MEH6
10
41000
SH
SOLE
0
0
41000
JP Morgan Chase 02/24/23
Common Stock
48125YZH0
29
25000
SH
SOLE
0
0
25000
JP Morgan Chase 06/22/21
Common Stock
48125Y3A0
32
30000
SH
SOLE
0
0
30000
JP Morgan Chase 06/22/23
Common Stock
48125Y3B8
11
10000
SH
SOLE
0
0
10000
JP Morgan Chase 1.855 03/28/23
Common Stock
48126YP80
158
150000
SH
SOLE
0
0
150000
JPMorgan Chase & Co
Common Stock
46625H100
789
6448
SH
SOLE
0
0
6448
Jpmorgan Chase Autocal Stx 22
Common Stock
48127T368
51
10000
SH
SOLE
0
0
10000
JPMorgan Core Bond I
Common Stock
4812C0381
493
40158
SH
SOLE
0
0
40158
JPMorgan Equity Income I
Common Stock
4812C0498
1146
58101
SH
SOLE
0
0
58101
JPMorgan Liquid Assets Money Market Cap
Common Stock
4812C0316
330
329532
SH
SOLE
0
0
329532
JPMorgan Mid Cap Value L
Common Stock
339128100
385
10417
SH
SOLE
0
0
10417
JPMorgan Small Cap Equity I
Common Stock
4812A1373
252
3645
SH
SOLE
0
0
3645
JPMorgan Small Cap Growth I
Common Stock
4812C0571
388
13275
SH
SOLE
0
0
13275
JPMorgan Value Advantage L
Common Stock
4812A2587
867
24379
SH
SOLE
0
0
24379
King Cnty Wash Sch Dist No 411 4.000 12/01/26 '22
Common Stock
495224W45
21
20000
SH
SOLE
0
0
20000
L3Harris Technologies Inc
Common Stock
502431109
240
1272
SH
SOLE
0
0
1272
Local Govt Infrastructure Md 4.700 06/01/33 '23
Common Stock
574039FK4
16
15000
SH
SOLE
0
0
15000
LoCorr Macro Strategies I
Common Stock
540132305
325
37429
SH
SOLE
0
0
37429
LoCorr Market Trend I
Common Stock
540132826
1547
131781
SH
SOLE
0
0
131781
Loomis Sayles Growth Y
Common Stock
543487110
562
24289
SH
SOLE
0
0
24289
Lord Abbett Bond-Debenture F
Common Stock
544004609
110
13102
SH
SOLE
0
0
13102
Louisiana St Unclaimed Ppty 5.000 09/01/29 '23
Common Stock
54651RAQ2
17
15000
SH
SOLE
0
0
15000
Lower Colo Riv Auth Tex 5.000 05/15/22 '21
Common Stock
54811BKW0
10
10000
SH
SOLE
0
0
10000
Lower Colo Riv Auth Tex 5.000 05/15/23 '21
Common Stock
54811BKX8
20
20000
SH
SOLE
0
0
20000
Lowe's Companies Inc
Common Stock
548661107
379
2361
SH
SOLE
0
0
2361
Lucas Cnty Ohio Hosp Rev 5.000 11/15/23 '21
Exchange Traded Fund
549310VN7
10
10000
SH
SOLE
0
0
10000
Lululemon Athletica Inc
Exchange Traded Fund
550021109
242
695
SH
SOLE
0
0
695
Madison Miss 4.125 03/01/27 '24
Common Stock
557845SF2
17
15000
SH
SOLE
0
0
15000
Madison Miss 4.500 03/01/31 '24
Common Stock
557845SK1
28
25000
SH
SOLE
0
0
25000
MainStay Floating Rate I
Common Stock
56063J344
390
42937
SH
SOLE
0
0
42937
MainStay MacKay High Yield Muncpl Bd I
Common Stock
56063U521
284
21454
SH
SOLE
0
0
21454
Mallinckrodt Fin 4.750 04/15/23 DFTd
Puts
561234AE5
50
778000
SH
SOLE
0
0
778000
Mallinckrodt PLC
Puts
G5785G107
2
10560
SH
SOLE
0
0
10560
Maricopa Cnty Ariz Sch Dist 5.375 07/01/30 '21
Puts
567405FY6
26
25000
SH
SOLE
0
0
25000
Maryland St 4.000 08/01/23
Closed End Funds
574193LE6
112
100000
SH
SOLE
0
0
100000
Maryland St Health & Higher 5.000 05/15/22 '21
Closed End Funds
574218CV3
15
15000
SH
SOLE
0
0
15000
MASTR ALTERNATIVE LOAN TR 05ALT5 3A1 Fix
Common Stock
576434T20
8
85000
SH
SOLE
0
0
85000
MASTR ALTERNATIVE LOAN TR 05ALT6 1A2 Sr AccDirect F
Common Stock
576434V68
1
14000
SH
SOLE
0
0
14000
MASTR ALTERNATIVE LOAN TR 06ALT1 A4 Sr Seq Fix
Common Stock
576434Y65
7
34000
SH
SOLE
0
0
34000
MASTR ALTERNATIVE LOAN TR 071 2A7 Sr Fix
Common Stock
55275SAN0
5
65000
SH
SOLE
0
0
65000
Mci Preferred Income Fund Ii Llc Nsa
Common Stock
55199N237
350
70
SH
SOLE
0
0
70
Medical Ctr Edl Bldg Corp Miss 5.500 12/01/23
Common Stock
584556CF9
88
80000
SH
SOLE
0
0
80000
Medtronic PLC
Common Stock
G5960L103
254
2159
SH
SOLE
0
0
2159
MercadoLibre Inc
Common Stock
58733R102
355
212
SH
SOLE
0
0
212
Merck & Co Inc
Common Stock
58933Y105
4552
55206
SH
SOLE
0
0
55206
MERRILL LYNCH MORTGAGE INVESTORS INCORPO 07F1 2A7 Sr Fix
Common Stock
59023YAH7
3
22000
SH
SOLE
0
0
22000
Metropolitan West Total Return Bd I
Common Stock
592905509
2429
217056
SH
SOLE
0
0
217056
MFS International Growth I
Common Stock
55273E848
347
7274
SH
SOLE
0
0
7274
MFS International Intrinsic Value I
Common Stock
55273E822
297
5438
SH
SOLE
0
0
5438
MFS Mid Cap Value I
Common Stock
55272P596
224
8537
SH
SOLE
0
0
8537
MFS Municipal High Income I
Common Stock
552984692
196
23013
SH
SOLE
0
0
23013
MFS Research I
Common Stock
552981706
2292
43566
SH
SOLE
0
0
43566
MFS Value I
Closed End Funds
552983694
453
10052
SH
SOLE
0
0
10052
Micron Technology Inc
Common Stock
595112103
263
3503
SH
SOLE
0
0
3503
Microsoft 5.200 06/01/39
Common Stock
594918AD6
38
25000
SH
SOLE
0
0
25000
Microsoft Corp
Common Stock
594918104
3243
14582
SH
SOLE
0
0
14582
Minnesota Pub Facs Auth St 5.000 03/01/23
Common Stock
604115AN5
17
15000
SH
SOLE
0
0
15000
Minnesota St 5.000 08/01/24
Common Stock
60412AGN7
215
180000
SH
SOLE
0
0
180000
Minnesota St Gen Fd Rev 5.000 03/01/21
Common Stock
604146AJ9
15
15000
SH
SOLE
0
0
15000
Mississippi Dev Bk Spl Oblig 3.375 10/01/26 '23
Common Stock
60534TVS1
27
25000
SH
SOLE
0
0
25000
Mississippi Dev Bk Spl Oblig 4.000 07/01/21
Common Stock
60534R2X6
36
35000
SH
SOLE
0
0
35000
Mississippi Dev Bk Spl Oblig 5.000 01/01/22
Common Stock
60534TMG7
11
10000
SH
SOLE
0
0
10000
Mississippi Dev Bk Spl Oblig 5.000 01/01/25 '23
Common Stock
60534TWQ4
22
20000
SH
SOLE
0
0
20000
Mississippi Dev Bk Spl Oblig 5.000 01/01/26
Common Stock
60534TNE1
44
35000
SH
SOLE
0
0
35000
Mississippi Home Corp 3.625 06/01/22 '21
Common Stock
60535GBU5
40
40000
SH
SOLE
0
0
40000
Mississippi St 3.500 10/01/27 '21
Common Stock
6055807A1
26
25000
SH
SOLE
0
0
25000
Missouri Westn St Univ 2.800 10/01/22 '21
Exchange Traded Fund
606432CP5
20
20000
SH
SOLE
0
0
20000
Molecular Partners AG
Exchange Traded Fund
H55351102
204
8675
SH
SOLE
0
0
8675
Morgan Stanley Inst Global Opp I
Common Stock
61756E693
205
4582
SH
SOLE
0
0
4582
MORGAN STANLEY MORTGAGE LOAN TRUST 0611B 2A1 Seq Fix
Common Stock
61749WAN7
2
20000
SH
SOLE
0
0
20000
NANO X IMAGING ORD
Common Stock
M70700105
379
8300
SH
SOLE
0
0
8300
Nebraska Pub Pwr Dist Rev 5.000 01/01/26 '22
Common Stock
63968A3D5
11
10000
SH
SOLE
0
0
10000
Netflix Inc
Exchange Traded Fund
64110L106
214
396
SH
SOLE
0
0
396
Neurobo Pharmaceuticals Ord
Exchange Traded Fund
64132R107
104
19792
SH
SOLE
0
0
19792
New Jersey St Transn Tr Fd 5.250 12/15/21
Exchange Traded Fund
646136YU9
26
25000
SH
SOLE
0
0
25000
New York N Y 5.000 08/01/23 '21
Exchange Traded Fund
64966JPA8
16
15000
SH
SOLE
0
0
15000
New York N Y 5.000 08/01/26 '23
Exchange Traded Fund
64966K3K7
40
35000
SH
SOLE
0
0
35000
New York N Y 5.000 12/01/35 '26
Exchange Traded Fund
64966MHH5
31
25000
SH
SOLE
0
0
25000
New York N Y City Mun Wtr Fin 5.000 06/15/31 '25
Exchange Traded Fund
64972GHD9
18
15000
SH
SOLE
0
0
15000
New York St Environmental Facs 5.000 06/15/30 '27
Exchange Traded Fund
64986DDM4
19
15000
SH
SOLE
0
0
15000
New York St Twy Auth Gen Rev 5.000 01/01/26 '24
Exchange Traded Fund
650009ZU0
17
15000
SH
SOLE
0
0
15000
New York St Twy Auth Gen Rev 5.000 01/01/27 '24
Exchange Traded Fund
650009ZV8
17
15000
SH
SOLE
0
0
15000
New York State Dormitory Autho 5.000 03/15/32 '26
Exchange Traded Fund
64990AFC4
19
15000
SH
SOLE
0
0
15000
No Description
Common Stock
126909951
181
127733
SH
SOLE
0
0
127733
Noble Hldg Intl 7.750 01/15/24 EXCd
Common Stock
65504LAP2
0
15000
SH
SOLE
0
0
15000
Nokia Oyj
Common Stock
654902204
83
21317
SH
SOLE
0
0
21317
Nordstrom 6.950 03/15/28
Common Stock
655664AH3
87
75000
SH
SOLE
0
0
75000
Norfolk Va 5.000 10/01/33 '26
Common Stock
655867UE7
38
30000
SH
SOLE
0
0
30000
North American DataCom Inc
Common Stock
656837101
1
332479
SH
SOLE
0
0
332479
North Carolina Eastn Mun Pwr A 5.000 01/01/23 CALd
Common Stock
6581963M0
15
15000
SH
SOLE
0
0
15000
North Tex Twy Auth Rev 5.000 09/01/28 '21
Common Stock
66285WJJ6
10
10000
SH
SOLE
0
0
10000
Oakland Calif Pension Oblig 12/15/22
Common Stock
672319BT6
98
100000
SH
SOLE
0
0
100000
Ohio St Wtr Dev Auth Wtr Poll 5.000 06/01/30 '27
Closed End Funds
67766WXY3
19
15000
SH
SOLE
0
0
15000
OHP II LP NSA DIVIDEND REINVESTMENT (SHARES)
Common Stock
6AO995213
354
354079
SH
SOLE
0
0
354079
Okta Inc
Common Stock
679295105
438
1721
SH
SOLE
0
0
1721
Orange Cnty Fla Wtr & Wastewtr 5.000 10/01/33 '30
Common Stock
684554FG8
14
10000
SH
SOLE
0
0
10000
Palo Alto Networks Inc
Common Stock
697435105
264
742
SH
SOLE
0
0
742
Parnassus Core Equity Investor
Common Stock
701769101
301
5613
SH
SOLE
0
0
5613
PayPal Holdings Inc
Common Stock
70450Y103
282
1203
SH
SOLE
0
0
1203
Pender Cnty N C Ltd Oblig 4.500 06/01/44 '22
Common Stock
706716AT4
21
20000
SH
SOLE
0
0
20000
Penn National Gaming Inc
Common Stock
707569109
345
4000
SH
SOLE
0
0
4000
PGIM Absolute Return Bond Z
Common Stock
74441J829
134
14350
SH
SOLE
0
0
14350
PGIM High Yield Z
Common Stock
74440Y801
274
49575
SH
SOLE
0
0
49575
PHH ALTERNATIVE MORTGAGE TRUST 072B 3A1 Fix
Common Stock
69337HBG5
3
25000
SH
SOLE
0
0
25000
PIMCO Dynamic Credit and Mortgage Inc
Common Stock
72202D106
439
20525
SH
SOLE
0
0
20525
PIMCO Income I2
Common Stock
72201M719
757
62344
SH
SOLE
0
0
62344
PIMCO Investment Grade Credit Bond I-2
Common Stock
72201M685
173
15341
SH
SOLE
0
0
15341
PIMCO Low Duration I2
Common Stock
72201M669
368
36910
SH
SOLE
0
0
36910
PIMCO Short-Term I2
Common Stock
72201M594
275
27931
SH
SOLE
0
0
27931
Pioneer Bond Y
Common Stock
723622403
228
22548
SH
SOLE
0
0
22548
Pioneer Equity Income Y
Common Stock
72366V405
453
12460
SH
SOLE
0
0
12460
Pioneer Mid Cap Value Y
Common Stock
72375Q405
212
8317
SH
SOLE
0
0
8317
PRIME MORTGAGE TRUST 072 A2 Sr Fix
Exchange Traded Fund
74162JAB3
16
28000
SH
SOLE
0
0
28000
Principal MidCap Institutional
Exchange Traded Fund
74253Q747
1497
41397
SH
SOLE
0
0
41397
Principal Spectrum Pref&Cptl Scs IncInst
Exchange Traded Fund
74253Q416
658
62890
SH
SOLE
0
0
62890
ProShares Ultra Russell2000
Exchange Traded Fund
74347R842
1155
12894
SH
SOLE
0
0
12894
ProShares Ultra S&P500
Exchange Traded Fund
74347R107
577
6315
SH
SOLE
0
0
6315
ProShares UltraShort QQQ
Exchange Traded Fund
74347G739
142
20000
SH
SOLE
0
0
20000
PROTEUS SERIES FEEDER FUND I LLC SERIES 1A BUY TRADE 100000 @1
Exchange Traded Fund
7BW998108
455
454578
SH
SOLE
0
0
454578
Puerto Rico Pub Bldgs Auth Rev 4.750 07/01/32 DFTd
Exchange Traded Fund
745235SX0
85
100000
SH
SOLE
0
0
100000
Putnam Equity Income Y
Common Stock
746745405
416
15793
SH
SOLE
0
0
15793
Putnam Growth Opportunities Y
Common Stock
746802586
283
5127
SH
SOLE
0
0
5127
Putnam Income Y
Common Stock
746792407
199
26951
SH
SOLE
0
0
26951
Putnam Managed Muni Income
Common Stock
746823103
190
23458
SH
SOLE
0
0
23458
Putnam Premier Income Trust
Common Stock
746853100
53
11400
SH
SOLE
0
0
11400
Putnam Tax-Free High Yield Y
Common Stock
746872878
371
28532
SH
SOLE
0
0
28532
Quadratic Intrst Rt Vol & Infl H ETF
Closed End Funds
500767736
414
14792
SH
SOLE
0
0
14792
Regeneron Pharmaceuticals Inc
Common Stock
75886F107
360
745
SH
SOLE
0
0
745
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS1 A3 PAC Fix
Common Stock
761118SB5
11
200000
SH
SOLE
0
0
200000
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS10 A3 Sr Fix
Common Stock
751155AC6
5
24000
SH
SOLE
0
0
24000
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS14 A1 Sr Fix
Common Stock
74922GAA2
2
22000
SH
SOLE
0
0
22000
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS14 A18 Sr Fix
Common Stock
74922GAT1
3
16000
SH
SOLE
0
0
16000
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS4 A2 Sr PAC Fix
Common Stock
749228AB8
14
153000
SH
SOLE
0
0
153000
RESIDENTIAL ACCREDIT LOANS INCORPORATED 06QS6 113 Fix
Common Stock
74922EAN9
7
93000
SH
SOLE
0
0
93000
RESIDENTIAL ASSET SECURITIZATION TRUST ( 06A1 1A8 Sr Fix
Common Stock
45660L6Q7
13
51000
SH
SOLE
0
0
51000
RESIDENTIAL ASSET SECURITIZATION TRUST ( 06A14 1A3 Sr Fix
Common Stock
76114BAC2
3
10000
SH
SOLE
0
0
10000
RESIDENTIAL ASSET SECURITIZATION TRUST ( 07A1 A9 Sr Fix
Common Stock
761136AJ9
3
31000
SH
SOLE
0
0
31000
RESIDENTIAL FUNDING MORTGAGE SECURITIES 05S7 A2 Sr Lottery Fix
Common Stock
76111XZS5
4
26000
SH
SOLE
0
0
26000
RESIDENTIAL FUNDING MORTGAGE SECURITIES 06S9 A10 Sr Fix
Common Stock
749577AK8
1
28000
SH
SOLE
0
0
28000
Retractable Technologies Inc
Common Stock
76129W105
185
17200
SH
SOLE
0
0
17200
Revlon Consumer 6.250 08/01/24 '21
Common Stock
761519BF3
88
235000
SH
SOLE
0
0
235000
Rocket Cos Inc-Class A
Closed End Funds
77311W101
277
13719
SH
SOLE
0
0
13719
Royal Dutch Shell PLC
Common Stock
780259206
233
6620
SH
SOLE
0
0
6620
Russell Inv Tax-Managed US Large Cap S
Common Stock
782493720
579
10231
SH
SOLE
0
0
10231
Salesforce.com Inc
Common Stock
79466L302
404
1815
SH
SOLE
0
0
1815
Sampson Cnty N C Ltd Oblig 3.375 12/01/34 '25
Common Stock
79588VAT2
22
20000
SH
SOLE
0
0
20000
Scottsdale Ariz Mun Ppty Corp 5.000 07/01/21
Common Stock
810489JM7
10
10000
SH
SOLE
0
0
10000
Seagate HDD 5.750 12/01/34 '34
Exchange Traded Fund
81180WAN1
38
32000
SH
SOLE
0
0
32000
Secured Income Fund Ii Llc Pref Nsa
Exchange Traded Fund
81399B104
50
50296
SH
SOLE
0
0
50296
Sedgwick Cnty Kans Uni Sch Dis 6.220 10/01/28
Common Stock
815626GQ3
45
35000
SH
SOLE
0
0
35000
SEI US Managed Volatility Y (SIMT)
Common Stock
78413L787
581
33468
SH
SOLE
0
0
33468
Select Sector Spdr Trust Shs Ben Int Energy
Common Stock
81369Y506
601
15847
SH
SOLE
0
0
15847
Shopify Inc
Common Stock
82509L107
358
316
SH
SOLE
0
0
316