Director of Operations

0001666179-19-000002.txt : 20190516 0001666179-19-000002.hdr.sgml : 20190516 20190516162602 ACCESSION NUMBER: 0001666179-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190516 DATE AS OF CHANGE: 20190516 EFFECTIVENESS DATE: 20190516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Laurel Wealth Advisors, Inc. CENTRAL INDEX KEY: 0001666179 IRS NUMBER: 452299422 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17401 FILM NUMBER: 19832582 BUSINESS ADDRESS: STREET 1: 8008 GIRARD AVENUE STREET 2: SUITE 330 CITY: LA JOLLA STATE: CA ZIP: 92037 BUSINESS PHONE: 858-459-1101 MAIL ADDRESS: STREET 1: 8008 GIRARD AVENUE STREET 2: SUITE 330 CITY: LA JOLLA STATE: CA ZIP: 92037 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666179 XXXXXXXX 03-31-2019 03-31-2019 Laurel Wealth Advisors, Inc.

8008 GIRARD AVENUE SUITE 330 LA JOLLA CA 92037

13F HOLDINGS REPORT 028-17401 N Brian Lavoie Director of Operations 858-459-1101 x550 Brian Lavoie La Jolla CA 05-16-2019 0 416 406188 true INFORMATION TABLE 2 LWA-03-31-19-13F-3.xml LWA 13F Q1 2019 AAON INC NEW Stock 000360206 416 9000 SH SOLE 9000 0 0 ALPS ETF TR SECTOR DIVIDEND DOGS ETF ETF 00162Q858 2656 61918 SH SOLE 61917 0 0 ALPS TRUST ETF ALERIAN MLP ETF 00162Q866 338 33674 SH SOLE 33674 0 0 AT&T INC COM Stock 00206R102 4656 148471 SH SOLE 148469 0 0 AT&T INC COM Stock 00206R102 94 3000 SH Call SOLE 0 0 0 ABBOTT LABS COM Stock 002824100 776 9707 SH SOLE 9706 0 0 ABBVIE INC COM Stock 00287Y109 1465 18181 SH SOLE 18180 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 262 10262 SH SOLE 10262 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 26 1000 SH Call SOLE 1000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 525 2879 SH SOLE 2879 0 0 ALLIANZGI EQUITY & CONV INCOME COM CEF 018829101 222 10317 SH SOLE 10316 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 5174 4410 SH SOLE 4388 0 22 GOOGLE INC Stock 02079K305 1821 1547 SH SOLE 1329 0 218 GOOGLE INC Stock 02079K305 118 100 SH Call SOLE 100 0 0 YAHOO INC CEF 021346101 247 3335 SH SOLE 3335 0 0 ALTRIA GROUP INC COM Stock 02209S103 3156 54949 SH SOLE 54948 0 0 AMARIN CORP PLC SPONS ADR NEW ADR 023111206 1786 86050 SH SOLE 86050 0 0 AMAZON.COM INC Stock 023135106 8259 4638 SH SOLE 4623 0 15 AMAZON.COM INC Stock 023135106 178 100 SH Call SOLE 100 0 0 AMEREN CORP Stock 023608102 701 9529 SH SOLE 9528 0 0 AMERICAN ELEC PWR CO INC COM Stock 025537101 1743 20812 SH SOLE 20589 0 223 AMERICAN EXPRESS CO COM Stock 025816109 458 4192 SH SOLE 4192 0 0 AMERIGAS PARTNERS LP UNITS LTD PARTNERSHIP INT Stock 030975106 1046 33886 SH SOLE 33885 0 0 AMGEN INC Stock 031162100 1122 5907 SH SOLE 4375 0 1532 ANNALY CAPITAL MANAGEMENT INC REIT 035710409 162 16221 SH SOLE 16221 0 0 ANTHEM INC COM Stock 036752103 430 1498 SH SOLE 1498 0 0 APPLE INC Stock 037833100 19607 103223 SH SOLE 101267 0 1955 APPLE INC Stock 037833100 19 100 SH Call SOLE 100 0 0 APPLE INC Stock 037833100 380 2000 SH Call SOLE 2000 0 0 APPLIED DNA SCIENCES INC COM NEW Stock 03815U201 71 100000 SH SOLE 100000 0 0 ARCHER DANIELS MIDLAND CO COM Stock 039483102 258 5979 SH SOLE 1670 0 4309 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 843 5277 SH SOLE 5277 0 0 AVISTA CORP COM Stock 05379B107 2041 50235 SH SOLE 50235 0 0 AXON ENTERPRISE INC COM Stock 05464C101 497 9139 SH SOLE 5785 0 3354 BB&T CORP COM Stock 054937107 414 8908 SH SOLE 8908 0 0 BCE INC COM NEW Stock 05534B760 1648 37124 SH SOLE 37124 0 0 BP PLC SPONSORED ADR ADR 055622104 392 8965 SH SOLE 8964 0 0 BT GROUP PLC ADR ADR 05577E101 330 22328 SH SOLE 22328 0 0 BANK AMER CORP COM Stock 060505104 1526 55315 SH SOLE 55315 0 0 BANK AMER CORP 7.25 CNV PFD L Convertible Preferred 060505682 890 684 SH SOLE 684 0 0 BANK NEW YORK MELLON CORP COM Stock 064058100 338 6699 SH SOLE 6699 0 0 BANK OF NOVA SCOTIA CMN Stock 064149107 462 8665 SH SOLE 8665 0 0 BERKSHIRE HATHAWAY INC DEL CL A 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58 2000 SH Call SOLE 2000 0 0 EQUINOR ASA SPONSORED ADR ADR 29446M102 348 15835 SH SOLE 15835 0 0 EVERSOURCE ENERGY COM Stock 30040W108 204 2874 SH SOLE 2874 0 0 EXXON MOBIL CORP COM Stock 30231G102 5337 66050 SH SOLE 65845 0 204 FLIR SYS INC COM Stock 302445101 217 4556 SH SOLE 0 0 4556 FACEBOOK INC CL A Stock 30303M102 4914 29479 SH SOLE 29285 0 194 FACEBOOK INC CL A Stock 30303M102 333 2000 SH Call SOLE 2000 0 0 FIDELITY NATL INFO SVCS Stock 31620M106 353 3122 SH SOLE 3122 0 0 FIFTH THIRD BANCORP Stock 316773100 266 10550 SH SOLE 0 0 10550 FIRST TR MORNINGSTARDIVID LEADERS INDEX FD SHS ETF 336917109 293 9711 SH SOLE 9711 0 0 FIRST TR ENHANCED EQTY INC FD COM CEF 337318109 174 11608 SH SOLE 11608 0 0 FIRST TRUST VALUE LINE DIVIDEND FUND ETF 33734H106 578 17815 SH SOLE 17814 0 0 FIRST TR LARGE CAP CORE ALPHADEX FD COMSHS ETF 33734K109 1108 18622 SH SOLE 18621 0 0 FIRST TR EXCH TRADED FD FINANCIALS ALPHADEX FD ETF 33734X135 290 9585 SH SOLE 9585 0 0 FIRST TR SMALL CAP CORE ALPHADEX FD COMSHS ETF 33734Y109 494 8007 SH SOLE 8007 0 0 FIRST TR MID CAP CORE ALPHADEX FD ETF 33735B108 230 3429 SH SOLE 3429 0 0 FIRST TRUST LARGE CAP GROWTH OPPORTUNITIES ALPHADEX FUND ETF 33735K108 246 3677 SH SOLE 3677 0 0 FIRST TRUST DOW JONES STOXX EUROPEAN SELECT DIVIDEND INDEX FUND ETF 33735T109 187 14600 SH SOLE 14600 0 0 FIRST TRUST NASDAQ ABA COMMUNITY BANK INDEX FUND ETF 33736Q104 236 5100 SH SOLE 5100 0 0 FIRST TR EXCHANGE TRADED ALPHADEX FD II EMERGING MKTS ALPHADEX FD ETF 33737J182 621 24817 SH SOLE 24816 0 0 FIRST TR EXCHANGE-TRADED FD III FIRST TR PFD SECS & INCOME ETF ETF 33739E108 401 21040 SH SOLE 21040 0 0 FIRST TRUST ENHANCED SHORT MATURITY ETF ETF 33739Q408 875 14585 SH SOLE 14585 0 0 FORD MOTOR COMPANY Stock 345370860 490 55852 SH SOLE 55851 0 0 FRONT YD RESIDENTIAL CORP COM REIT 35904G107 518 55899 SH SOLE 55899 0 0 GCI LIBERTY INC COM CLASS A Stock 36164V305 292 5255 SH SOLE 5255 0 0 GALECTIN THERAPEUTICS INC COM Stock 363225202 85 16600 SH SOLE 16600 0 0 GENERAL 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INC. Stock 756577102 369 2019 SH SOLE 2019 0 0 RETAIL VALUE INC COM REIT 76133Q102 602 19306 SH SOLE 19306 0 0 ROYAL DUTCH SHELL PLC SPON ADR B ADR 780259107 561 8778 SH SOLE 8778 0 0 ROYAL DUTCH SHELL PLC-ADR ADR 780259206 425 6786 SH SOLE 6786 0 0 S&P GLOBAL INC COM Stock 78409V104 410 1945 SH SOLE 1945 0 0 SPDR S&P 500 ETF ETF 78462F103 4165 14743 SH SOLE 14742 0 0 SPDR S&P 500 ETF ETF 78462F103 1412 5000 SH Put SOLE 5000 0 0 SPDR GOLD ETF ETF 78463V107 340 2790 SH SOLE 2790 0 0 SPDR S&P 1500 VALUE TILT ETF ETF 78464A128 346 3412 SH SOLE 3411 0 0 SPDR S&P 600 SMALL CAP GROWTH ETF ETF 78464A201 208 3489 SH SOLE 3489 0 0 SPDR SER TR S&P DIVID ETF ETF 78464A763 1543 15522 SH SOLE 15522 0 0 SPDR BIOTECH ETF ETF 78464A870 1353 14942 SH SOLE 14942 0 0 SPDR MFS SYSTEMATIC GROWTH EQUITY ETF ETF 78467V889 990 12204 SH SOLE 12204 0 0 SPDR S&P MIDCAP 400 ETF ETF 78467Y107 211 611 SH SOLE 611 0 0 SALESFORCE COM Stock 79466L302 516 3256 SH SOLE 3223 0 33 SCHLUMBERGER LTD COM Stock 806857108 397 9109 SH SOLE 2883 0 6225 CHARLES SCHWAB CORP Stock 808513105 413 9656 SH SOLE 4657 0 4998 SCHWAB ETFS- US BROAD MARKET ETF ETF 808524102 952 13988 SH SOLE 13987 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF ETF 808524201 823 12173 SH SOLE 12172 0 0 SCHWAB U.S. LARGE-CAP GROWTH ETF ETF 808524300 1332 16775 SH SOLE 16775 0 0 SCHWAB U.S. LARGE-CAP VALUE ETF ETF 808524409 1758 32107 SH SOLE 32107 0 0 SCHWAB US MID-CAP ETF ETF 808524508 1374 24812 SH SOLE 24812 0 0 SCHWAB ETFS- US SMALL-CAP ETF ETF 808524607 1060 15160 SH SOLE 15159 0 0 SCHWAB EMERGING MARKET EQ ETF ETF 808524706 1251 48086 SH SOLE 48086 0 0 SCHWAB FUNDAMENTAL U.S. LARGE COMPANY INDEX ETF ETF 808524771 228 6007 SH SOLE 6007 0 0 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 902 17247 SH SOLE 17246 0 0 SCHWAB INTERNATIONAL EQUITY ETF ETF 808524805 2671 85296 SH SOLE 85295 0 0 SCHWAB US AGGREGATE BOND ETF ETF 808524839 231 4444 SH SOLE 4444 0 0 SCH US REIT ETF ETF 808524847 504 11353 SH SOLE 11352 0 0 SCHWAB SHORT TERM US TREASURY ETF ETF 808524862 1863 37117 SH SOLE 37117 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 522 5691 SH SOLE 5691 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 3826 68179 SH SOLE 68179 0 0 ENERGY SELECT SECTOR SPDR ETF 81369Y506 564 8532 SH SOLE 6075 0 2456 ENERGY SELECT SECTOR SPDR ETF 81369Y506 13 200 SH Call SOLE 200 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 215 8378 SH SOLE 8378 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1257 21601 SH SOLE 21600 0 0 SEMPRA ENERGY Stock 816851109 1490 11837 SH SOLE 11837 0 0 SHOPIFY INC CL A Stock 82509L107 200 969 SH SOLE 969 0 0 SITO MOBILE LTD COM NEW Stock 82988R203 1325 727807 SH SOLE 727807 0 0 SOCIEDAD QUIMICA MINERA DE CHILE S A ADR 833635105 907 23586 SH SOLE 23586 0 0 SOUTHERN CO COM Stock 842587107 1408 27240 SH SOLE 27240 0 0 SQUARE INC CL A Stock 852234103 642 8574 SH SOLE 8574 0 0 SQUARE INC CL A Stock 852234103 75 1000 SH Call SOLE 1000 0 0 STANLEY BLACK & DECKER INC COM Stock 854502101 209 1537 SH SOLE 1537 0 0 STARBUCKS CORP Stock 855244109 985 13248 SH SOLE 13248 0 0 STEWART INFORMATION SVCS CORP COM Stock 860372101 252 5900 SH SOLE 5900 0 0 SUNCOR ENERGY COM NPV ISIN CA8672291066 SEDOL 2861142EXCHANGED FOR ONE SHAR Stock 867224107 217 6697 SH SOLE 667 0 6030 SYSCO CORP COM Stock 871829107 532 7961 SH SOLE 7961 0 0 T C PIPELINES Stock 87233Q108 267 7155 SH SOLE 7155 0 0 TARGET CORP COM Stock 87612E106 442 5512 SH SOLE 5512 0 0 TC ENERGY CORP COM Stock 87807B107 370 8230 SH SOLE 8230 0 0 TESLA MOTORS INC Stock 88160R101 893 3192 SH SOLE 3192 0 0 TESLA MOTORS INC Stock 88160R101 84 300 SH Call SOLE 0 0 0 TETRA TECH INC NEW Stock 88162G103 268 4500 SH SOLE 4500 0 0 TEXAS INSTRS INC COM Stock 882508104 387 3652 SH SOLE 3652 0 0 THERMO FISHER SCIENTIFIC INC COM Stock 883556102 263 962 SH SOLE 962 0 0 THOMSON REUTERS CORPORATION (USA) Stock 884903709 269 4539 SH SOLE 4539 0 0 3M CO COM Stock 88579Y101 6524 31398 SH SOLE 31398 0 0 TORONTO DOMINION BANK Stock 891160509 554 10200 SH SOLE 10200 0 0 TOWN SPORTS INTL HLDGS INC COM Stock 89214A102 98 20500 SH SOLE 20500 0 0 TRANSDIGM GROUP INC COM DELAWARE Stock 893641100 274 603 SH SOLE 603 0 0 TRAVELERS COMPANIES INC COM Stock 89417E109 304 2216 SH SOLE 2216 0 0 TRI CONTINENTAL CORPCOM CEF 895436103 410 15596 SH SOLE 15596 0 0 TWILIO INC CL A Stock 90138F102 388 3000 SH SOLE 3000 0 0 US BANCORP DEL COM NEW Stock 902973304 541 11226 SH SOLE 11158 0 68 UBIQUITI NETWORKS INC COM Stock 90347A100 320 2135 SH SOLE 2135 0 0 UNION PACIFIC CORP COM Stock 907818108 383 2290 SH SOLE 2290 0 0 UNITED PARCEL SERVICE INC Stock 911312106 2992 26779 SH SOLE 26779 0 0 UNITED TECHNOLOGIES CORP COM Stock 913017109 1072 8317 SH SOLE 8271 0 46 UNITEDHEALTH GROUP Stock 91324P102 950 3843 SH SOLE 3810 0 33 V F CORP COM Stock 918204108 393 4523 SH SOLE 4523 0 0 VANECK VECTORS INVESTMENT GRADE FLOATING RATE ETF ETF 92189F486 533 21162 SH SOLE 21162 0 0 VANECK VECTORS MORNINGSTAR WIDE MOAT ETF ETF 92189F643 205 4400 SH SOLE 4400 0 0 MARKET VECTORS ETF HIGH YIELD MUNI INDEX ETF 92189H409 894 14238 SH SOLE 14238 0 0 VANGUARD DIVIDEND APPRECIATION ETF ETF 921908844 2683 24475 SH SOLE 24437 0 37 VANGUARD TOTAL INTERNATIONAL STOCK ETF ETF 921909768 2564 49406 SH SOLE 49405 0 0 VANGUARD WORLD FUND ETF MEGA CAP 300 GROWTH ETF ETF 921910816 2964 23838 SH SOLE 23837 0 0 VANGUARD MEGA CAP VALUE ETF ETF 921910840 2510 32170 SH SOLE 32170 0 0 VANGUARD S&P 500 GROWTH ETF ETF 921932505 959 6204 SH SOLE 6203 0 0 VANGUARD S&P 500 VALUE ETF ETF 921932703 808 7434 SH SOLE 7434 0 0 VANGUARD U.S. QUALITY FACTOR ETF ETF 921935706 262 3299 SH SOLE 3298 0 0 VANGUARD TOTAL BOND MARKET ETF ETF 921937835 447 5511 SH SOLE 5511 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 580 14192 SH SOLE 14191 0 0 VANGUARD HIGH DIVIDEND YIELD ETF 921946406 789 9209 SH SOLE 9208 0 0 VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF ETF 921946794 376 6175 SH SOLE 6175 0 0 VANGUARD TOTAL INTERNATIONAL BOND ETF ETF 92203J407 245 4394 SH SOLE 4394 0 0 VANGUARD GLOBAL EX-U.S. REAL ESTATE INDEX ETF 922042676 262 4406 SH SOLE 4406 0 0 VANGUARD FTSE ALL-WORLD EX-US ETF 922042775 675 13467 SH SOLE 13466 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1501 35323 SH SOLE 35322 0 0 VANGUARD INFORMATION TECHNOLOGY ETF 92204A702 984 4904 SH SOLE 4904 0 0 VANGUARD SHORT TERM CORP BOND FD ETF ETF 92206C409 733 9189 SH SOLE 9188 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 1077 12398 SH SOLE 12397 0 0 VEEVA SYSTEMS INC COM CL A Stock 922475108 264 2080 SH SOLE 2080 0 0 VENTAS INC REIT 92276F100 429 6723 SH SOLE 6723 0 0 VANGUARD S&P 500 ETF ETF 922908363 5432 20928 SH SOLE 20928 0 0 VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHS ETF ETF 922908512 394 3651 SH SOLE 3650 0 0 VANGUARD MID CAP GROWTH ETF ETF 922908538 465 3254 SH SOLE 3253 0 0 VANGUARD REIT INDEX ETF ETF 922908553 1588 18266 SH SOLE 18265 0 0 VANGUARD SMALL-CAP GROWTH INDEX FUND ETF 922908595 266 1478 SH SOLE 1477 0 0 VANGUARD SMALL CAP VALUE ETF ETF 922908611 274 2127 SH SOLE 2126 0 0 VANGUARD MID CAP ETF 922908629 3945 24541 SH SOLE 24494 0 46 VANGUARD EXTENDED MARKET ETF ETF 922908652 396 3433 SH SOLE 3432 0 0 VANGUARD GROWTH ETF ETF 922908736 955 6107 SH SOLE 5993 0 113 VANGUARD VALUE ETF ETF 922908744 1399 13001 SH SOLE 12860 0 140 VANGUARD SMALL CAP ETF ETF 922908751 3294 21557 SH SOLE 21556 0 0 VANGUARD TOTAL STK MKT ETF 922908769 4144 28637 SH SOLE 28636 0 0 VERIZON COMMUNICATIONS Stock 92343V104 5390 91157 SH SOLE 91156 0 0 VIRNETX HOLDING CORP Stock 92823T108 383 60530 SH SOLE 60530 0 0 VISA INC Stock 92826C839 1122 7181 SH SOLE 7148 0 32 W P CAREY INC COM REIT 92936U109 571 7291 SH SOLE 7291 0 0 WEC ENERGY GROUP INC COM Stock 92939U106 614 7767 SH SOLE 7767 0 0 WALMART INC COM Stock 931142103 1113 11411 SH SOLE 11411 0 0 WASTE MANAGEMENT INC Stock 94106L109 249 2392 SH SOLE 2392 0 0 WELLS FARGO CO NEW COM Stock 949746101 1899 39295 SH SOLE 39294 0 0 HEALTH CARE REIT INC REIT 95040Q104 1312 16910 SH SOLE 16910 0 0 WEYERHAEUSER CO Stock 962166104 1064 40381 SH SOLE 40380 0 0 WILLIAMS COS INC DEL COM Stock 969457100 252 8763 SH SOLE 8762 0 0 WISDOMTREE U.S. TOTAL DIVIDEND FUND ETF 97717W109 218 2302 SH SOLE 2301 0 0 WISDOMTREE FLOATING RATE TREASURY FUND ETF 97717X628 330 13153 SH SOLE 13153 0 0 WISDOMTREE TR CURRENCY HEDGED DEFAFD ETF 97717X701 521 8146 SH SOLE 8145 0 0 XCEL ENERGY INC COM Stock 98389B100 204 3626 SH SOLE 3626 0 0 ZEDGE INC CL B Stock 98923T104 52 29390 SH SOLE 29390 0 0 DEUTSCHE BANK AG NAMEN AKT Stock D18190898 99 12200 SH SOLE 12200 0 0 AON CORP Stock G0408V102 583 3416 SH SOLE 3416 0 0 ATLASSIAN CORP PLC CL A Stock G06242104 1835 16326 SH SOLE 16326 0 0 BROOKFIELD INFRASTRUCTURE PARTNERS LPISIN #BMG162521014 SEDOL #B2NHY98 Stock G16252101 1950 46580 SH SOLE 46580 0 0 LINDE PLC SHS Stock G5494J103 593 3373 SH SOLE 3373 0 0 MEDTRONIC PLC SHS Stock G5960L103 214 2349 SH SOLE 2349 0 0 NORWEGIAN CRUISE LINE HLDGS LTD SHS ISIN#BMG667211 Stock G66721104 532 9675 SH SOLE 9675 0 0 ALTISOURCE PORTFOLIO SOLNS SA REG SHS Stock L0175J104 1786 75463 SH SOLE 75463 0 0 ROYAL CARRIBBEAN CRUISES LTD Stock V7780T103 1188 10363 SH SOLE 10362 0 0 NAVIGATOR HOLDINGS LTD SHS Stock Y62132108 130 11807 SH SOLE 400 0 11407