0001085146-19-001917.txt : 20190718 0001085146-19-001917.hdr.sgml : 20190718 20190718163628 ACCESSION NUMBER: 0001085146-19-001917 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190718 DATE AS OF CHANGE: 20190718 EFFECTIVENESS DATE: 20190718 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NWAM LLC CENTRAL INDEX KEY: 0001655006 IRS NUMBER: 000000000 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17002 FILM NUMBER: 19961690 BUSINESS ADDRESS: STREET 1: 2835 82ND AVE SE STREET 2: SUITE 300 CITY: MERCER ISLAND STATE: WA ZIP: 98040 BUSINESS PHONE: (206)838-3680 MAIL ADDRESS: STREET 1: 2835 82ND AVE SE STREET 2: SUITE 300 CITY: MERCER ISLAND STATE: WA ZIP: 98040 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001655006 XXXXXXXX 06-30-2019 06-30-2019 false NWAM LLC

2835 82ND AVE SE SUITE 300 MERCER ISLAND WA 98040

13F HOLDINGS REPORT 028-17002 N Greg Headrick 206-838-3680 /s/ Greg Headrick Mercer Island WA 07-17-2019 0 380 502327 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 1015 5856 SH SOLE 0 0 5856 ABBOTT LABS COM 002824100 466 5543 SH SOLE 0 0 5543 ABBVIE INC COM 00287Y109 745 10240 SH SOLE 0 0 10240 ABERDEEN ASIA PACIFIC INCOM COM 003009107 832 199032 SH SOLE 0 0 199032 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 535 2895 SH SOLE 0 0 2895 ACTIVISION BLIZZARD INC COM 00507V109 220 4667 SH SOLE 0 0 4667 ADVANCED MICRO DEVICES INC COM 007903107 266 8749 SH SOLE 0 0 8749 ADVISORSHARES TR ADVISORSHS ETF 00768Y206 1581 31782 SH SOLE 0 0 31782 AEMETIS INC COM NEW 00770K202 24 28602 SH SOLE 0 0 28602 AIR PRODS & CHEMS INC COM 009158106 272 1203 SH SOLE 0 0 1203 ALARM COM HLDGS INC COM 011642105 219 4100 SH SOLE 0 0 4100 ALCOA CORP COM 013872106 293 12513 SH SOLE 0 0 12513 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1604 9468 SH SOLE 0 0 9468 ALLERGAN PLC SHS G0177J108 802 4789 SH SOLE 0 0 4789 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 921 78153 SH SOLE 0 0 78153 ALPHABET INC CAP STK CL C 02079K107 2369 2192 SH SOLE 0 0 2192 ALPHABET INC CAP STK CL A 02079K305 2284 2109 SH SOLE 0 0 2109 ALTRIA GROUP INC COM 02209S103 575 12152 SH SOLE 0 0 12152 AMAZON COM INC COM 023135106 7756 4096 SH SOLE 0 0 4096 AMCOR PLC ORD G0250X107 127 11016 SH SOLE 0 0 11016 AMERICAN EXPRESS CO COM 025816109 254 2056 SH SOLE 0 0 2056 AMERIGAS PARTNERS L P UNIT L P INT 030975106 246 7055 SH SOLE 0 0 7055 AMGEN INC COM 031162100 813 4413 SH SOLE 0 0 4413 AMIRA NATURE FOODS LTD SHS G0335L102 16 21450 SH SOLE 0 0 21450 ANALOG DEVICES INC COM 032654105 366 3239 SH SOLE 0 0 3239 ANI PHARMACEUTICALS INC COM 00182C103 613 7459 SH SOLE 0 0 7459 ANNALY CAP MGMT INC COM 035710409 661 72386 SH SOLE 0 0 72386 ANWORTH MORTGAGE ASSET CP COM 037347101 455 119945 SH SOLE 0 0 119945 AON PLC SHS CL A G0408V102 326 1690 SH SOLE 0 0 1690 APPLE INC COM 037833100 11926 60258 SH SOLE 0 0 60258 ARES CAP CORP COM 04010L103 348 19418 SH SOLE 0 0 19418 AT&T INC COM 00206R102 2072 61824 SH SOLE 0 0 61824 AURORA CANNABIS INC COM 05156X108 146 18633 SH SOLE 0 0 18633 AUTODESK INC COM 052769106 244 1495 SH SOLE 0 0 1495 AUTOMATIC DATA PROCESSING IN COM 053015103 502 3038 SH SOLE 0 0 3038 BANK AMER CORP COM 060505104 1658 57185 SH SOLE 0 0 57185 BANK HAWAII CORP COM 062540109 829 10000 SH SOLE 0 0 10000 BANK MONTREAL QUE COM 063671101 519 6875 SH SOLE 0 0 6875 BANK N S HALIFAX COM 064149107 318 5855 SH SOLE 0 0 5855 BB&T CORP COM 054937107 221 4504 SH SOLE 0 0 4504 BERKSHIRE HATHAWAY INC DEL CL A 084670108 318 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 7830 36729 SH SOLE 0 0 36729 BEST INC SPONSORED ADS 08653C106 230 41660 SH SOLE 0 0 41660 BLACKROCK CORE BD TR SHS BEN INT 09249E101 271 19294 SH SOLE 0 0 19294 BLACKROCK CR ALLCTN INC TR COM 092508100 9207 709863 SH SOLE 0 0 709863 BLACKROCK FLOATING RATE INCO COM 091941104 188 15125 SH SOLE 0 0 15125 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 1550 103007 SH SOLE 0 0 103007 BLACKROCK MUNI INTER DR FD I COM 09253X102 436 31000 SH SOLE 0 0 31000 BLACKROCK MUNI N Y INTER DUR COM 09255F109 387 27000 SH SOLE 0 0 27000 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 933 74198 SH SOLE 0 0 74198 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 142 10644 SH SOLE 0 0 10644 BLACKROCK MUNIY QUALITY FD I COM 09254G108 450 35800 SH SOLE 0 0 35800 BLACKROCK MUNIYIELD QUALITY COM 09254F100 273 18848 SH SOLE 0 0 18848 BLACKROCK NY MUNI INC QLTY T COM 09249U105 195 14700 SH SOLE 0 0 14700 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 889 37468 SH SOLE 0 0 37468 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 369 8298 SH SOLE 0 0 8298 BNY MELLON STRATEGIC MUNS IN COM 05588W108 127 15500 SH SOLE 0 0 15500 BOEING CO COM 097023105 375 1000 SH Call SOLE 0 0 1000 BOEING CO COM 097023105 540 1500 SH Put SOLE 0 0 1500 BOEING CO COM 097023105 10129 27825 SH SOLE 0 0 27825 BP PLC SPONSORED ADR 055622104 1495 35849 SH SOLE 0 0 35849 BRISTOL MYERS SQUIBB CO COM 110122108 549 12115 SH SOLE 0 0 12115 BRIXMOR PPTY GROUP INC COM 11120U105 591 33060 SH SOLE 0 0 33060 BROADCOM INC COM 11135F101 446 1548 SH SOLE 0 0 1548 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 489 11390 SH SOLE 0 0 11390 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 317 30193 SH SOLE 0 0 30193 CASEYS GEN STORES INC COM 147528103 557 3571 SH SOLE 0 0 3571 CATERPILLAR INC DEL COM 149123101 436 3200 SH SOLE 0 0 3200 CBS CORP NEW CL B 124857202 394 7890 SH SOLE 0 0 7890 CHESAPEAKE ENERGY CORP COM 165167107 158 81279 SH SOLE 0 0 81279 CHEVRON CORP NEW COM 166764100 3533 28394 SH SOLE 0 0 28394 CHIMERA INVT CORP COM NEW 16934Q208 208 11025 SH SOLE 0 0 11025 CIENA CORP COM NEW 171779309 333 8091 SH SOLE 0 0 8091 CISCO SYS INC COM 17275R102 2094 38267 SH SOLE 0 0 38267 CITIGROUP INC COM NEW 172967424 610 8712 SH SOLE 0 0 8712 CLOROX CO DEL COM 189054109 746 4872 SH SOLE 0 0 4872 CMS ENERGY CORP COM 125896100 201 3473 SH SOLE 0 0 3473 CNX MIDSTREAM PARTNERS LP COM UNIT REPST 12654A101 1266 90104 SH SOLE 0 0 90104 COCA COLA CO COM 191216100 359 7044 SH SOLE 0 0 7044 COLGATE PALMOLIVE CO COM 194162103 219 3059 SH SOLE 0 0 3059 COLUMBIA BKG SYS INC COM 197236102 387 10694 SH SOLE 0 0 10694 COMCAST CORP NEW CL A 20030N101 1140 26954 SH SOLE 0 0 26954 COMPANHIA DE SANEAMENTO BASI SPONSORED ADR 20441A102 577 47435 SH SOLE 0 0 47435 CONOCOPHILLIPS COM 20825C104 470 7710 SH SOLE 0 0 7710 CORTEVA INC COM 22052L104 243 8209 SH SOLE 0 0 8209 COSTAR GROUP INC COM 22160N109 256 462 SH SOLE 0 0 462 COSTCO WHSL CORP NEW COM 22160K105 5073 19196 SH SOLE 0 0 19196 CSX CORP COM 126408103 574 7417 SH SOLE 0 0 7417 CUMMINS INC COM 231021106 303 1767 SH SOLE 0 0 1767 DANAHER CORPORATION COM 235851102 1367 9568 SH SOLE 0 0 9568 DISNEY WALT CO COM DISNEY 254687106 1173 8402 SH SOLE 0 0 8402 DOLLAR GEN CORP NEW COM 256677105 226 1673 SH SOLE 0 0 1673 DOMINION ENERGY INC COM 25746U109 205 2651 SH SOLE 0 0 2651 DOUBLELINE INCOME SOLUTIONS COM 258622109 383 19169 SH SOLE 0 0 19169 DOW INC COM 260557103 435 8818 SH SOLE 0 0 8818 DUPONT DE NEMOURS INC COM 26614N102 618 8237 SH SOLE 0 0 8237 EATON CORP PLC SHS G29183103 643 7723 SH SOLE 0 0 7723 EATON VANCE SH TM DR DIVR IN COM 27828V104 161 11900 SH SOLE 0 0 11900 ECOLAB INC COM 278865100 211 1068 SH SOLE 0 0 1068 EMERSON ELEC CO COM 291011104 391 5857 SH SOLE 0 0 5857 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 707 50205 SH SOLE 0 0 50205 ENTERPRISE PRODS PARTNERS L COM 293792107 723 25031 SH SOLE 0 0 25031 EQM MIDSTREAM PARTNERS LP UNIT LTD PARTN 26885B100 665 14893 SH SOLE 0 0 14893 EQUIFAX INC COM 294429105 541 4000 SH SOLE 0 0 4000 EQUINOR ASA SPONSORED ADR 29446M102 233 11762 SH SOLE 0 0 11762 EXCHANGE LISTED FDS TR HIGH YIELD ETF 30151E814 1412 41105 SH SOLE 0 0 41105 EXPEDITORS INTL WASH INC COM 302130109 244 3217 SH SOLE 0 0 3217 EXXON MOBIL CORP COM 30231G102 2162 28218 SH SOLE 0 0 28218 FACEBOOK INC CL A 30303M102 1996 10342 SH SOLE 0 0 10342 FEDEX CORP COM 31428X106 307 1870 SH SOLE 0 0 1870 FIDELITY MSCI RL EST ETF 316092857 300 11461 SH SOLE 0 0 11461 FIDELITY NATL INFORMATION SV COM 31620M106 235 1918 SH SOLE 0 0 1918 FIRST INTERNET BANCORP COM 320557101 221 10275 SH SOLE 0 0 10275 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 157 15101 SH SOLE 0 0 15101 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 211 2709 SH SOLE 0 0 2709 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 2069 39675 SH SOLE 0 0 39675 FIRST TR MULTI CAP GR ALPHAD COM SHS 33733F101 825 11051 SH SOLE 0 0 11051 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1241 36790 SH SOLE 0 0 36790 FIRSTCASH INC COM 33767D105 227 2270 SH SOLE 0 0 2270 FISERV INC COM 337738108 242 2653 SH SOLE 0 0 2653 FLAHERTY & CRUMRINE TOTAL RE COM 338479108 6383 314767 SH SOLE 0 0 314767 FLAHERTY&CRMN PFD SEC INCOM COM 338478100 3129 156995 SH SOLE 0 0 156995 FLEXSHARES TR QUALT DIVD IDX 33939L860 456 10168 SH SOLE 0 0 10168 FORD MTR CO DEL COM 345370860 446 43617 SH SOLE 0 0 43617 FORTIVE CORP COM 34959J108 367 4498 SH SOLE 0 0 4498 FRANKLIN LTD DURATION INC TR COM 35472T101 519 53850 SH SOLE 0 0 53850 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 732 159868 SH SOLE 0 0 159868 GENERAL ELECTRIC CO COM 369604103 528 50298 SH SOLE 0 0 50298 GENERAL MLS INC COM 370334104 655 12481 SH SOLE 0 0 12481 GENESIS ENERGY L P UNIT LTD PARTN 371927104 335 15279 SH SOLE 0 0 15279 GERDAU S A SPON ADR REP PFD 373737105 242 62264 SH SOLE 0 0 62264 GILEAD SCIENCES INC COM 375558103 874 12933 SH SOLE 0 0 12933 GREEN PLAINS PARTNERS LP COM REP PTR IN 393221106 313 22340 SH SOLE 0 0 22340 HANCOCK JOHN INCOME SECS TR COM 410123103 214 14925 SH SOLE 0 0 14925 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 493 21298 SH SOLE 0 0 21298 HANCOCK JOHN PFD INCOME FD I COM 41021P103 1268 65609 SH SOLE 0 0 65609 HANNON ARMSTRONG SUST INFR C COM 41068X100 585 20768 SH SOLE 0 0 20768 HEICO CORP NEW COM 422806109 242 1807 SH SOLE 0 0 1807 HERITAGE FINL CORP WASH COM 42722X106 2030 68737 SH SOLE 0 0 68737 HERSHEY CO COM 427866108 228 1701 SH SOLE 0 0 1701 HI CRUSH INC COM 428337109 261 106143 SH SOLE 0 0 106143 HIGHLAND FDS I HI LD IBOXX SRLN 430101774 266 15175 SH SOLE 0 0 15175 HOEGH LNG PARTNERS LP COM UNIT LTD Y3262R100 1153 66630 SH SOLE 0 0 66630 HOME DEPOT INC COM 437076102 856 4115 SH SOLE 0 0 4115 HONEYWELL INTL INC COM 438516106 786 4503 SH SOLE 0 0 4503 HSBC HLDGS PLC SPON ADR NEW 404280406 402 9629 SH SOLE 0 0 9629 INTEL CORP COM 458140100 2440 50962 SH SOLE 0 0 50962 INTERNATIONAL BUSINESS MACHS COM 459200101 1291 9362 SH SOLE 0 0 9362 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 356 2455 SH SOLE 0 0 2455 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 5483 50860 SH SOLE 0 0 50860 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 383 6348 SH SOLE 0 0 6348 INVESCO EXCHANGE TRADED FD T DWA HEALTHCARE 46137V852 2134 24207 SH SOLE 0 0 24207 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 209 3797 SH SOLE 0 0 3797 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 921 48607 SH SOLE 0 0 48607 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 1026 45298 SH SOLE 0 0 45298 INVESCO EXCHNG TRADED FD TR SOLAR ETF 46138G706 1724 60992 SH SOLE 0 0 60992 INVESCO QQQ TR UNIT SER 1 46090E103 10475 56096 SH SOLE 0 0 56096 INVESCO TR INVT GRADE MUNS COM 46131M106 178 14070 SH SOLE 0 0 14070 IQIYI INC SPONSORED ADS 46267X108 613 29708 SH SOLE 0 0 29708 ISHARES INC EM MKTS DIV ETF 464286319 1063 26060 SH SOLE 0 0 26060 ISHARES INC CORE MSCI EMKT 46434G103 1687 32802 SH SOLE 0 0 32802 ISHARES TR S&P 100 ETF 464287101 1356 10465 SH SOLE 0 0 10465 ISHARES TR CORE S&P TTL STK 464287150 1689 25342 SH SOLE 0 0 25342 ISHARES TR SELECT DIVID ETF 464287168 2199 22089 SH SOLE 0 0 22089 ISHARES TR TIPS BD ETF 464287176 1571 13604 SH SOLE 0 0 13604 ISHARES TR CHINA LG-CAP ETF 464287184 214 4994 SH SOLE 0 0 4994 ISHARES TR CORE S&P500 ETF 464287200 9049 30702 SH SOLE 0 0 30702 ISHARES TR CORE US AGGBD ET 464287226 3319 29806 SH SOLE 0 0 29806 ISHARES TR MSCI EMG MKT ETF 464287234 1858 43295 SH SOLE 0 0 43295 ISHARES TR IBOXX INV CP ETF 464287242 744 5982 SH SOLE 0 0 5982 ISHARES TR S&P 500 GRWT ETF 464287309 986 5498 SH SOLE 0 0 5498 ISHARES TR GLOB HLTHCRE ETF 464287325 468 7578 SH SOLE 0 0 7578 ISHARES TR S&P 500 VAL ETF 464287408 597 5122 SH SOLE 0 0 5122 ISHARES TR 20 YR TR BD ETF 464287432 801 6034 SH SOLE 0 0 6034 ISHARES TR BARCLAYS 7 10 YR 464287440 831 7549 SH SOLE 0 0 7549 ISHARES TR MSCI EAFE ETF 464287465 1075 16358 SH SOLE 0 0 16358 ISHARES TR RUS MD CP GR ETF 464287481 1643 11523 SH SOLE 0 0 11523 ISHARES TR CORE S&P MCP ETF 464287507 5116 26334 SH SOLE 0 0 26334 ISHARES TR EXPANDED TECH 464287515 2569 11759 SH SOLE 0 0 11759 ISHARES TR NASDAQ BIOTECH 464287556 887 8129 SH SOLE 0 0 8129 ISHARES TR RUS 1000 VAL ETF 464287598 8793 69117 SH SOLE 0 0 69117 ISHARES TR RUS 1000 GRW ETF 464287614 6679 42448 SH SOLE 0 0 42448 ISHARES TR RUS 1000 ETF 464287622 667 4096 SH SOLE 0 0 4096 ISHARES TR RUS 2000 VAL ETF 464287630 799 6632 SH SOLE 0 0 6632 ISHARES TR RUS 2000 GRW ETF 464287648 1740 8665 SH SOLE 0 0 8665 ISHARES TR RUSSELL 2000 ETF 464287655 2918 18766 SH SOLE 0 0 18766 ISHARES TR CORE S&P US VLU 464287663 215 3788 SH SOLE 0 0 3788 ISHARES TR S&P MC 400VL ETF 464287705 1045 6556 SH SOLE 0 0 6556 ISHARES TR U.S. TECH ETF 464287721 561 2834 SH SOLE 0 0 2834 ISHARES TR U.S. ENERGY ETF 464287796 940 27307 SH SOLE 0 0 27307 ISHARES TR CORE S&P SCP ETF 464287804 3482 44481 SH SOLE 0 0 44481 ISHARES TR U.S. BAS MTL ETF 464287838 972 10226 SH SOLE 0 0 10226 ISHARES TR SP SMCP600VL ETF 464287879 1738 11697 SH SOLE 0 0 11697 ISHARES TR S&P SML 600 GWT 464287887 359 1965 SH SOLE 0 0 1965 ISHARES TR MSCI AC ASIA ETF 464288182 1160 16622 SH SOLE 0 0 16622 ISHARES TR MRGSTR MD CP ETF 464288208 790 4070 SH SOLE 0 0 4070 ISHARES TR EAFE SML CP ETF 464288273 377 6562 SH SOLE 0 0 6562 ISHARES TR JPMORGAN USD EMG 464288281 1325 11697 SH SOLE 0 0 11697 ISHARES TR MRGSTR MD CP VAL 464288406 1563 9928 SH SOLE 0 0 9928 ISHARES TR IBOXX HI YD ETF 464288513 274 3141 SH SOLE 0 0 3141 ISHARES TR MRNING SM CP ETF 464288703 211 1540 SH SOLE 0 0 1540 ISHARES TR MICRO-CAP ETF 464288869 478 5124 SH SOLE 0 0 5124 ISHARES TR MIN VOL USA ETF 46429B697 2422 39236 SH SOLE 0 0 39236 ISHARES TR CORE MSCI TOTAL 46432F834 540 9212 SH SOLE 0 0 9212 ISHARES TR CORE MSCI EAFE 46432F842 383 6230 SH SOLE 0 0 6230 ISHARES TR CORE MSCI EURO 46434V738 282 6059 SH SOLE 0 0 6059 ISHARES TR EDGE MSCI MINM 46435G433 672 20168 SH SOLE 0 0 20168 JOHNSON & JOHNSON COM 478160104 2903 20844 SH SOLE 0 0 20844 JOHNSON CTLS INTL PLC SHS G51502105 380 9196 SH SOLE 0 0 9196 JP MORGAN EXCHANGE TRADED FD GLOBAL BD OPRT 46641Q852 213 4200 SH SOLE 0 0 4200 JPMORGAN CHASE & CO COM 46625H100 2049 18323 SH SOLE 0 0 18323 KAYNE ANDERSN MLP MIDS INVT COM 486606106 825 53860 SH SOLE 0 0 53860 KEYCORP NEW COM 493267108 550 30974 SH SOLE 0 0 30974 KIMBERLY CLARK CORP COM 494368103 231 1731 SH SOLE 0 0 1731 KINDER MORGAN INC DEL COM 49456B101 266 12748 SH SOLE 0 0 12748 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 216 33682 SH SOLE 0 0 33682 LILLY ELI & CO COM 532457108 369 3331 SH SOLE 0 0 3331 LINDE PLC SHS G5494J103 558 2777 SH SOLE 0 0 2777 LOCKHEED MARTIN CORP COM 539830109 375 1031 SH SOLE 0 0 1031 LOWES COS INC COM 548661107 225 2229 SH SOLE 0 0 2229 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 205 3196 SH SOLE 0 0 3196 MAIDEN HOLDINGS LTD SHS G5753U112 58 90952 SH SOLE 0 0 90952 MASTERCARD INC CL A 57636Q104 371 1404 SH SOLE 0 0 1404 MCDONALDS CORP COM 580135101 806 3881 SH SOLE 0 0 3881 MEDLEY CAP CORP COM 58503F106 44 18950 SH SOLE 0 0 18950 MEDTRONIC PLC SHS G5960L103 309 3177 SH SOLE 0 0 3177 MERCADOLIBRE INC COM 58733R102 1254 2050 SH SOLE 0 0 2050 MERCK & CO INC COM 58933Y105 984 11733 SH SOLE 0 0 11733 MFA FINL INC COM 55272X102 465 64775 SH SOLE 0 0 64775 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 228 39042 SH SOLE 0 0 39042 MICRON TECHNOLOGY INC COM 595112103 356 9225 SH SOLE 0 0 9225 MICROSOFT CORP COM 594918104 37855 282586 SH SOLE 0 0 282586 MICROSOFT CORP COM 594918104 244 2000 SH Put SOLE 0 0 2000 MOBILE TELESYSTEMS PJSC SPONSORED ADR 607409109 261 28008 SH SOLE 0 0 28008 MONGODB INC CL A 60937P106 395 2595 SH SOLE 0 0 2595 MORGAN STANLEY EMER MKTS DEB COM 61744H105 134 14325 SH SOLE 0 0 14325 MOSAIC CO NEW COM 61945C103 322 12845 SH SOLE 0 0 12845 MPLX LP COM UNIT REP LTD 55336V100 383 11895 SH SOLE 0 0 11895 NETFLIX INC COM 64110L106 637 1733 SH SOLE 0 0 1733 NEUBERGER BERMAN MUNI FD INC COM 64124P101 1239 84980 SH SOLE 0 0 84980 NEW MEDIA INVT GROUP INC COM 64704V106 319 33771 SH SOLE 0 0 33771 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 3071 199546 SH SOLE 0 0 199546 NEXTERA ENERGY INC COM 65339F101 272 1330 SH SOLE 0 0 1330 NIKE INC CL B 654106103 597 7109 SH SOLE 0 0 7109 NOKIA CORP SPONSORED ADR 654902204 54 10684 SH SOLE 0 0 10684 NORDSTROM INC COM 655664100 267 8389 SH SOLE 0 0 8389 NOVARTIS A G SPONSORED ADR 66987V109 296 3240 SH SOLE 0 0 3240 NUTRIEN LTD COM 67077M108 430 8038 SH SOLE 0 0 8038 NUVEEN AMT FREE MUN CR INC F COM 67071L106 729 45926 SH SOLE 0 0 45926 NUVEEN AMT FREE QLTY MUN INC COM 670657105 937 67851 SH SOLE 0 0 67851 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 174 12012 SH SOLE 0 0 12012 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 814 102780 SH SOLE 0 0 102780 NUVEEN MULTI MKT INCOME FD COM 67075J107 78 10650 SH SOLE 0 0 10650 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 376 23868 SH SOLE 0 0 23868 NUVEEN NEW YORK AMT QLT MUNI COM 670656107 273 20838 SH SOLE 0 0 20838 NUVEEN QUALITY MUNCP INCOME COM 67066V101 524 37457 SH SOLE 0 0 37457 NUVEEN REAL ASSET INM AND GW COM 67074Y105 1636 96629 SH SOLE 0 0 96629 NVIDIA CORP COM 67066G104 636 3876 SH SOLE 0 0 3876 OASIS MIDSTREAM PARTNERS LP COM UNITS REPS 67420T206 767 35653 SH SOLE 0 0 35653 OCCIDENTAL PETE CORP COM 674599105 255 5070 SH SOLE 0 0 5070 OMEROS CORP COM 682143102 482 30745 SH SOLE 0 0 30745 ORACLE CORP COM 68389X105 671 11775 SH SOLE 0 0 11775 PACCAR INC COM 693718108 2234 31175 SH SOLE 0 0 31175 PAYCHEX INC COM 704326107 233 2832 SH SOLE 0 0 2832 PAYCOM SOFTWARE INC COM 70432V102 356 1572 SH SOLE 0 0 1572 PAYPAL HLDGS INC COM 70450Y103 242 2118 SH SOLE 0 0 2118 PEPSICO INC COM 713448108 1602 12219 SH SOLE 0 0 12219 PFIZER INC COM 717081103 2696 62237 SH SOLE 0 0 62237 PHILIP MORRIS INTL INC COM 718172109 235 2989 SH SOLE 0 0 2989 PIMCO CORPORATE & INCOME OPP COM 72201B101 382 21050 SH SOLE 0 0 21050 PIMCO CORPORATE INCOME STRAT COM 72200U100 861 50318 SH SOLE 0 0 50318 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 514 21529 SH SOLE 0 0 21529 PPL CORP COM 69351T106 607 19565 SH SOLE 0 0 19565 PROCTER AND GAMBLE CO COM 742718109 3273 29853 SH SOLE 0 0 29853 PROGRESSIVE CORP OHIO COM 743315103 206 2575 SH SOLE 0 0 2575 PROSHARES TR ULTRA FNCLS NEW 74347X633 247 5498 SH SOLE 0 0 5498 PROSHARES TR S&P 500 DV ARIST 74348A467 222 3194 SH SOLE 0 0 3194 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 73 16000 SH SOLE 0 0 16000 QUALCOMM INC COM 747525103 870 11432 SH SOLE 0 0 11432 RAYTHEON CO COM NEW 755111507 234 1348 SH SOLE 0 0 1348 REALTY INCOME CORP COM 756109104 430 6232 SH SOLE 0 0 6232 RIO TINTO PLC SPONSORED ADR 767204100 352 5650 SH SOLE 0 0 5650 ROYAL BK CDA MONTREAL QUE COM 780087102 403 5071 SH SOLE 0 0 5071 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 293 4458 SH SOLE 0 0 4458 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 970 14909 SH SOLE 0 0 14909 SALESFORCE COM INC COM 79466L302 437 2882 SH SOLE 0 0 2882 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 717 8621 SH SOLE 0 0 8621 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 703 12531 SH SOLE 0 0 12531 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 290 9039 SH SOLE 0 0 9039 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 1430 28272 SH SOLE 0 0 28272 SCHWAB STRATEGIC TR US TIPS ETF 808524870 434 7705 SH SOLE 0 0 7705 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1737 14571 SH SOLE 0 0 14571 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 230 8326 SH SOLE 0 0 8326 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 213 2733 SH SOLE 0 0 2733 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 332 16031 SH SOLE 0 0 16031 SHIP FINANCE INTERNATIONAL L SHS G81075106 474 37916 SH SOLE 0 0 37916 SHOPIFY INC CL A 82509L107 444 1479 SH SOLE 0 0 1479 SOUTHERN CO COM 842587107 544 9838 SH SOLE 0 0 9838 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 282 1059 SH SOLE 0 0 1059 SPDR GOLD TRUST GOLD SHS 78463V107 255 1917 SH SOLE 0 0 1917 SPDR S&P 500 ETF TR TR UNIT 78462F103 2303 7861 SH SOLE 0 0 7861 SPDR S&P 500 ETF TR TR UNIT 78462F103 550 2000 SH Put SOLE 0 0 2000 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1995 5627 SH SOLE 0 0 5627 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2303 37960 SH SOLE 0 0 37960 SPDR SERIES TRUST S&P PHARMAC 78464A722 677 17004 SH SOLE 0 0 17004 SPDR SERIES TRUST OILGAS EQUIP 78464A748 197 20551 SH SOLE 0 0 20551 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2616 25928 SH SOLE 0 0 25928 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 1147 10525 SH SOLE 0 0 10525 SPDR SERIES TRUST NUVEEN BRC MUNIC 78468R721 801 15977 SH SOLE 0 0 15977 SPECIAL OPPORTUNITIES FD INC COM 84741T104 239 17369 SH SOLE 0 0 17369 SPIRIT RLTY CAP INC NEW COM NEW 84860W300 491 11520 SH SOLE 0 0 11520 STARBUCKS CORP COM 855244109 7430 88634 SH SOLE 0 0 88634 STEALTHGAS INC SHS Y81669106 107 31150 SH SOLE 0 0 31150 T MOBILE US INC COM 872590104 204 2746 SH SOLE 0 0 2746 TCW STRATEGIC INCOME FUND IN COM 872340104 269 46765 SH SOLE 0 0 46765 TEMPLETON EMERG MKTS INCOME COM 880192109 104 10136 SH SOLE 0 0 10136 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 227 24614 SH SOLE 0 0 24614 TEXAS INSTRS INC COM 882508104 791 6890 SH SOLE 0 0 6890 TILLYS INC CL A 886885102 215 28125 SH SOLE 0 0 28125 TOTAL S A SPONSORED ADS 89151E109 209 3747 SH SOLE 0 0 3747 TRANSOCEAN LTD REG SHS H8817H100 222 34579 SH SOLE 0 0 34579 TRAVELERS COMPANIES INC COM 89417E109 239 1600 SH SOLE 0 0 1600 TRIVAGO N V SPON ADS A SHS 89686D105 99 23500 SH SOLE 0 0 23500 TURQUOISE HILL RES LTD COM 900435108 98 78761 SH SOLE 0 0 78761 TWILIO INC CL A 90138F102 257 1883 SH SOLE 0 0 1883 TWITTER INC COM 90184L102 259 7415 SH SOLE 0 0 7415 UNION PACIFIC CORP COM 907818108 1302 7700 SH SOLE 0 0 7700 UNITED PARCEL SERVICE INC CL B 911312106 762 7375 SH SOLE 0 0 7375 UNITED TECHNOLOGIES CORP COM 913017109 438 3365 SH SOLE 0 0 3365 UNITEDHEALTH GROUP INC COM 91324P102 806 3305 SH SOLE 0 0 3305 UQM TECHNOLOGIES INC COM 903213106 67 40400 SH SOLE 0 0 40400 US BANCORP DEL COM NEW 902973304 6657 127049 SH SOLE 0 0 127049 VANECK MERK GOLD TRUST GOLD TRUST 921078101 593 42890 SH SOLE 0 0 42890 VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 921932869 408 2907 SH SOLE 0 0 2907 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 1369 14100 SH SOLE 0 0 14100 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 217 2508 SH SOLE 0 0 2508 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 5529 68658 SH SOLE 0 0 68658 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 7351 88492 SH SOLE 0 0 88492 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2429 42382 SH SOLE 0 0 42382 VANGUARD GROUP DIV APP ETF 921908844 3100 26921 SH SOLE 0 0 26921 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 381 1416 SH SOLE 0 0 1416 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 504 4528 SH SOLE 0 0 4528 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2958 19808 SH SOLE 0 0 19808 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 8870 101490 SH SOLE 0 0 101490 VANGUARD INDEX FDS SM CP VAL ETF 922908611 2019 15469 SH SOLE 0 0 15469 VANGUARD INDEX FDS MID CAP ETF 922908629 3356 20075 SH SOLE 0 0 20075 VANGUARD INDEX FDS LARGE CAP ETF 922908637 4092 30376 SH SOLE 0 0 30376 VANGUARD INDEX FDS GROWTH ETF 922908736 14545 89021 SH SOLE 0 0 89021 VANGUARD INDEX FDS VALUE ETF 922908744 14876 134113 SH SOLE 0 0 134113 VANGUARD INDEX FDS SMALL CP ETF 922908751 5642 36013 SH SOLE 0 0 36013 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1691 11267 SH SOLE 0 0 11267 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1210 11497 SH SOLE 0 0 11497 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2232 43771 SH SOLE 0 0 43771 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2450 57612 SH SOLE 0 0 57612 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 1512 22880 SH SOLE 0 0 22880 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 1942 35367 SH SOLE 0 0 35367 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 355 7197 SH SOLE 0 0 7197 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1816 22510 SH SOLE 0 0 22510 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 1291 19573 SH SOLE 0 0 19573 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 338 4145 SH SOLE 0 0 4145 VANGUARD STAR FD VG TL INTL STK F 921909768 380 7208 SH SOLE 0 0 7208 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 4587 109975 SH SOLE 0 0 109975 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5145 58879 SH SOLE 0 0 58879 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 1183 14715 SH SOLE 0 0 14715 VANGUARD WORLD FD MEGA GRWTH IND 921910816 792 6119 SH SOLE 0 0 6119 VERIZON COMMUNICATIONS INC COM 92343V104 2237 39150 SH SOLE 0 0 39150 VISA INC COM CL A 92826C839 1480 8528 SH SOLE 0 0 8528 WALMART INC COM 931142103 405 3661 SH SOLE 0 0 3661 WD-40 CO COM 929236107 207 1300 SH SOLE 0 0 1300 WELLS FARGO CO NEW COM 949746101 341 7207 SH SOLE 0 0 7207 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 96 11600 SH SOLE 0 0 11600 WELLS FARGO MULTI SECTOR INC COM 94987D101 3023 241084 SH SOLE 0 0 241084 WELLTOWER INC COM 95040Q104 334 4102 SH SOLE 0 0 4102 WESTERN ASSET EMRG MKT DEBT COM 95766A101 663 46315 SH SOLE 0 0 46315 WESTERN ASSET MTG DEF OPPTY COM 95790B109 882 41275 SH SOLE 0 0 41275 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 68 25000 SH SOLE 0 0 25000 WEYERHAEUSER CO COM 962166104 257 9763 SH SOLE 0 0 9763 WISDOMTREE TR EMG MKTS SMCAP 97717W281 211 4495 SH SOLE 0 0 4495 WIX COM LTD SHS M98068105 242 1700 SH SOLE 0 0 1700 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 276 15177 SH SOLE 0 0 15177