0001606587-19-000147.txt : 20190205 0001606587-19-000147.hdr.sgml : 20190205 20190205094247 ACCESSION NUMBER: 0001606587-19-000147 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20190205 DATE AS OF CHANGE: 20190205 EFFECTIVENESS DATE: 20190205 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RPG Investment Advisory, LLC CENTRAL INDEX KEY: 0001666664 IRS NUMBER: 471585154 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17376 FILM NUMBER: 19566543 BUSINESS ADDRESS: STREET 1: 349 MAIN STREET STREET 2: SUITE 202 CITY: PLEASANTON STATE: CA ZIP: 94566 BUSINESS PHONE: 925-384-0071 MAIL ADDRESS: STREET 1: 349 MAIN STREET STREET 2: SUITE 202 CITY: PLEASANTON STATE: CA ZIP: 94566 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666664 XXXXXXXX 09-30-2017 09-30-2017 false RPG Investment Advisory, LLC

349 Main Street Suite 202 Pleasanton CA 94566

13F HOLDINGS REPORT 028-17376 N Kristen Valentine 925-384-0071 Kristen Valentine Pleasanton CA 02-05-2019 0 431 392044 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE Aflac Inc Com COM 001055102 1 17 SH SOLE NONE 0 0 17 Abbott Labs Com COM 002824100 13 252 SH SOLE NONE 0 0 252 Advantage Technologies Group Com COM NEW 006743306 0 200 SH SOLE NONE 0 0 200 Air Products And Chemicals Inc Com COM 009158106 3 22 SH SOLE NONE 0 0 22 Akorn Inc Com COM 009728106 7 200 SH SOLE NONE 0 0 200 Alexion Pharmaceauticals Inc Com COM 015351109 761 5421 SH SOLE NONE 0 0 5421 Alleghany Corp Del Com COM 017175100 1 1 SH SOLE NONE 0 0 1 Alliance Datasys Corp Com COM 018581108 1 4 SH SOLE NONE 0 0 4 Allstate Corp Com COM 020002101 1 13 SH SOLE NONE 0 0 13 Amazon Com Inc COM 023135106 125 130 SH SOLE NONE 0 0 130 American Elec Pwr Inc Com COM 025537101 5 71 SH SOLE NONE 0 0 71 American Intl Group Inc Com COM NEW 026874784 1 20 SH SOLE NONE 0 0 20 American Intl Group Inc COM NEW 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NONE 0 0 140 Sturm Ruger Co Inc COM 864159108 3 50 SH SOLE NONE 0 0 50 Symantec Corp Com COM 871503108 1 22 SH SOLE NONE 0 0 22 Sysco Corp Com COM 871829107 103 1900 SH SOLE NONE 0 0 1900 Tata Motors Ltd Adr SPONSORED ADR 876568502 7 211 SH SOLE NONE 0 0 211 Texas Instruments Inc Com COM 882508104 225 2506 SH SOLE NONE 0 0 2506 Textron Inc Com COM 883203101 1 10 SH SOLE NONE 0 0 10 Torchmark Corp Com COM 891027104 1 7 SH SOLE NONE 0 0 7 Toyota Motor Corp Adr Unsponsored SP ADR REP2COM 892331307 17 145 SH SOLE NONE 0 0 145 Under Armour Inc Com Cl A CL A 904311107 2652 160904 SH SOLE NONE 0 0 160904 Under Armour Inc Com Cl C CL C 904311206 150 9980 SH SOLE NONE 0 0 9980 Union Pac Corp Com COM 907818108 2054 17708 SH SOLE NONE 0 0 17708 United Parcel Service Com Cl B CL B 911312106 8 70 SH SOLE NONE 0 0 70 United Tech Corp Com COM 913017109 1 11 SH SOLE NONE 0 0 11 V F Corp Com COM 918204108 4103 64545 SH SOLE NONE 0 0 64545 Vanguard Short Trm Bond Etf SHORT TRM BOND 921937827 27 342 SH SOLE NONE 0 0 342 Vanguard Ftse Emr Mkt Etf FTSE EMR MKT ETF 922042858 4 102 SH SOLE NONE 0 0 102 Vanguard Ftse Europe Etf FTSE EUROPE ETF 922042874 6 100 SH SOLE NONE 0 0 100 Vmware Inc Com Cl A CL A COM 928563402 4 37 SH SOLE NONE 0 0 37 Wabtec Com COM 929740108 23 300 SH SOLE NONE 0 0 300 Wells Fargo Co Com COM 949746101 223 4043 SH SOLE NONE 0 0 4043 Williams Cos Inc Com COM 969457100 2 64 SH SOLE NONE 0 0 64 Wynn Resorts Ltd Com COM 983134107 15 100 SH SOLE NONE 0 0 100 Yum Brands Inc Com COM 988498101 11 150 SH SOLE NONE 0 0 150 Blackhawk Network Holdings Inc Csh Mrg 45 25 Sh 6 18 18 COM 09238E104 4 100 SH SOLE NONE 0 0 100 Target Corp COM 87612E106 9789 165886 SH SOLE NONE 0 0 165886 Edwards Lifesciences Corp COM 28176E108 4 40 SH SOLE NONE 0 0 40 The Travelers Companies Inc Com COM 89417E109 1 8 SH SOLE NONE 0 0 8 First Tr Ny Arca Biotech NY ARCA BIOTECH 33733E203 4711 38013 SH SOLE NONE 0 0 38013 Global X Fds Globx Supdv Us Etf GLOBX SUPDV US 37950E291 3792 148667 SH SOLE NONE 0 0 148667 At T Inc Com COM 00206R102 10135 258753 SH SOLE NONE 0 0 258753 Abbvie Inc Com COM 00287Y109 421 4743 SH SOLE NONE 0 0 4743 Activision Blizzard Inc Com COM 00507V109 1 9 SH SOLE NONE 0 0 9 Adobe Inc Com COM 00724F101 44 292 SH SOLE NONE 0 0 292 Agilent Technologies Inc COM 00846U101 2 30 SH SOLE NONE 0 0 30 Air Lease Corp Com Cl A CL A 00912X302 1 25 SH SOLE NONE 0 0 25 Alibaba Group Hldg Ltd Adr SPONSORED ADS 01609W102 1553 8994 SH SOLE NONE 0 0 8994 Alliance Holdings Gp 1 4781811610 1 Exc 6 1 18 COM UNITS LP 01861G100 33 1200 SH SOLE NONE 0 0 1200 Alliancebernstein Gbl Inc Com COM 01879R106 17 1300 SH SOLE NONE 0 0 1300 Allscripts Healthcare Sol Inc Com COM 01988P108 0 20 SH SOLE NONE 0 0 20 Alphabet Inc Com Cl C CAP STK CL C 02079K107 459 479 SH SOLE NONE 0 0 479 Alphabet Inc Com Cl A CAP STK CL A 02079K305 445 457 SH SOLE NONE 0 0 457 Altria Group Inc Com COM 02209S103 76 1197 SH SOLE NONE 0 0 1197 American Airls Group Inc COM 02376R102 35 742 SH SOLE NONE 0 0 742 Andeavor 1 6268 1 Exc 19 79 Sh 10 1 18 COM 03349M105 1 11 SH SOLE NONE 0 0 11 B G Foods Inc Com COM 05508R106 3864 121313 SH SOLE NONE 0 0 121313 Bce Inc Com COM NEW 05534B760 31 660 SH SOLE NONE 0 0 660 Baker Hughes A Ge Co Com Cl A CL A 05722G100 7 200 SH SOLE NONE 0 0 200 Barclays Bank Ipath S P500 Vix Etf IPATH S&P500 VIX 06746L422 6490 165604 SH SOLE NONE 0 0 165604 Biomarin Pharmaceutical Inc Com COM 09061G101 1625 17460 SH SOLE NONE 0 0 17460 Biogen Inc Com COM 09062X103 767 2449 SH SOLE NONE 0 0 2449 Bioverativ Inc CALL 09075E900 5 84 SH SOLE NONE 0 0 84 Blackberry Ltd COM 09228F103 11 1000 SH SOLE NONE 0 0 1000 Blackrock Inc Com COM 09247X101 50 112 SH SOLE NONE 0 0 112 Blackrock Enh Equity Div Trust Com COM 09251A104 9 1000 SH SOLE NONE 0 0 1000 The Blackstone Group Lp Com Unit Ltd COM UNIT LTD 09253U108 911 27288 SH SOLE NONE 0 0 27288 Blackrock Debt Strategies Fd I Com COM NEW 09255R202 49 4200 SH SOLE NONE 0 0 4200 Blackstone Mortgage Trust Inc Com Cl A COM CL A 09257W100 12 400 SH SOLE NONE 0 0 400 Crh Plc Adr Sponsored ADR 12626K203 0 11 SH SOLE NONE 0 0 11 Ca Incorporated Csh Mrg 44 50 Sh 11 6 18 COM 12673P105 31 920 SH SOLE NONE 0 0 920 Capital One Finl Corp Com COM 14040H105 1 13 SH SOLE NONE 0 0 13 Cardinal Health Inc Com COM 14149Y108 1 9 SH SOLE NONE 0 0 9 Cavium Inc Mrg 40 Sh 2 1757 1 7 9 18 COM 14964U108 2724 41305 SH SOLE NONE 0 0 41305 Cisco Systems Inc Com COM 17275R102 259 7687 SH SOLE NONE 0 0 7687 Guggenheim Abc 1 1 Exc 5 21 18 73936Q645 GUGG CA ENRG INC 18383Q606 1156 132575 SH SOLE NONE 0 0 132575 Colony Northstar Inc Cl A CL A COM 19625W104 47 3730 SH SOLE NONE 0 0 3730 Comcast Corp Com Cl A CL A 20030N101 1 18 SH SOLE NONE 0 0 18 Conocophillips Corp Com COM 20825C104 6643 132734 SH SOLE NONE 0 0 132734 Costco Wholesale Corporation Com COM 22160K105 1736 10564 SH SOLE NONE 0 0 10564 Credit Suisse X Link Silver Sh Etn X LINK SILVER SH 22542D449 6309 795634 SH SOLE NONE 0 0 795634 Credit Suisse X Link Gold Shs Etn X LINK GOLD SHS 22542D480 4522 498619 SH SOLE NONE 0 0 498619 Credit Suisse 1 10 R S 10 15 18 22542D316 3X LONG GOLD 22542D688 1883 175072 SH SOLE NONE 0 0 175072 Crown Castle Intl Corp Com COM 22822V101 37 368 SH SOLE NONE 0 0 368 Dxc Technology Company Com COM 23355L106 2 25 SH SOLE NONE 0 0 25 Davita Inc Com COM 23918K108 0 6 SH SOLE NONE 0 0 6 Diageo Plc Adr Sponsored SPON ADR NEW 25243Q205 34 255 SH SOLE NONE 0 0 255 Diamondback Energy Inc Com COM 25278X109 1 6 SH SOLE NONE 0 0 6 Direxion Shares Trust Dly Smcap Bull3X Etf DLY SMCAP BULL3X 25459W847 9 138 SH SOLE NONE 0 0 138 Direxion Shares Trust Dly Enrgy Bull3X Etf DLY ENRGY BULL3X 25459W888 2186 72875 SH SOLE NONE 0 0 72875 Direxion Shares Trust Dly Fin Bull New Etf DLY FIN BULL NEW 25459Y694 9507 169867 SH SOLE NONE 0 0 169867 Discovery Communicatns COM SER C 25470F302 6 300 SH SOLE NONE 0 0 300 Direxion Portfolioplus Dly Emg Mk Bl 3X Etf DLY EMG MK BL 3X 25490K281 34 320 SH SOLE NONE 0 0 320 Direxion Shs Etf Tr Brz Bl 3X BRZ BL 3X SH NEW 25490K315 491 10684 SH SOLE NONE 0 0 10684 Direxion Portfolioplus Daily Ind Bul 3X Etf DAILY MSCI SHS 25490K331 1820 23367 SH SOLE NONE 0 0 23367 Dominion Energy Inc Com COM 25746U109 15 190 SH SOLE NONE 0 0 190 Dowdupont Inc Com COM 26078J100 28 400 SH SOLE NONE 0 0 400 Dreyfus High Yield Strat Fd Sh Ben Int SH BEN INT 26200S101 16 4500 SH SOLE NONE 0 0 4500 Duke Energy Holdings Corp Com COM NEW 26441C204 19 224 SH SOLE NONE 0 0 224 Eog Resources Inc Com COM 26875P101 1 8 SH SOLE NONE 0 0 8 Eqm Midstream Partners Lp Unit Ltd Partn UNIT LTD PARTN 26885B100 37 500 SH SOLE NONE 0 0 500 Etf Managers Tr Prime Cybr Scrty Etf PRIME CYBR SCRTY 26924G201 5 150 SH SOLE NONE 0 0 150 Eagle Materials Inc Com COM 26969P108 796 7463 SH SOLE NONE 0 0 7463 Eaton Vance Tax Managed Com COM 27829C105 3397 286939 SH SOLE NONE 0 0 286939 Enbridge Inc Com COM 29250N105 3 83 SH SOLE NONE 0 0 83 Energen Corp 6442 1 Exc 11 30 18 25278X109 COM 29265N108 1 13 SH SOLE NONE 0 0 13 Energy Transfer Lp Com Ut Ltd Ptn COM UT LTD PTN 29273V100 10 600 SH SOLE NONE 0 0 600 Enersys Inc Com COM 29275Y102 1 8 SH SOLE NONE 0 0 8 Epam Systems Inc Com COM 29414B104 95 1080 SH SOLE NONE 0 0 1080 Express Scripts Holding Co Com COM 30219G108 7 105 SH SOLE NONE 0 0 105 Extra Space Storage Inc Com COM 30225T102 6 75 SH SOLE NONE 0 0 75 Exxon Mobil Corporation Com COM 30231G102 7309 89155 SH SOLE NONE 0 0 89155 Facebook Inc Com Cl A CL A 30303M102 42 245 SH SOLE NONE 0 0 245 Fedex Corporation Com COM 31428X106 16 70 SH SOLE NONE 0 0 70 Fiesta Restaurant Group Inc COM 31660B101 17 900 SH SOLE NONE 0 0 900 Five Below Inc Com COM 33829M101 5 100 SH SOLE NONE 0 0 100 Fortive Corp Com COM 34959J108 1 11 SH SOLE NONE 0 0 11 Gw Pharmaceuticals Plc ADS 36197T103 32 315 SH SOLE NONE 0 0 315 Gamco Global Gold Ntrl Res Com Sh Ben Int COM SH BEN INT 36465A109 6571 1171317 SH SOLE NONE 0 0 1171317 General Motors Company Com COM 37045V100 8 204 SH SOLE NONE 0 0 204 General Mtrs Co COM 37045V100 14 367 SH Call SOLE NONE 0 0 367 General Motors Company Warrant *W EXP 07/10/201 37045V126 1 31 SH SOLE NONE 0 0 31 Goldman Sachs Group Inc Com COM 38141G104 10543 44450 SH SOLE NONE 0 0 44450 Guggenheim Strategic Opp Fund Com Sbi COM SBI 40167F101 213 10000 SH SOLE NONE 0 0 10000 Hcp Inc Com COM 40414L109 3765 135298 SH SOLE NONE 0 0 135298 Hp Inc Com COM 40434L105 1 62 SH SOLE NONE 0 0 62 Halcon Resources Corp Com COM PAR NEW 40537Q605 0 54 SH SOLE NONE 0 0 54 Hewlett Packard Enterprise Co Com COM 42824C109 1 100 SH SOLE NONE 0 0 100 Horizons Horizons Nasdaq Etf HORIZONS NASDAQ 44053G108 12 500 SH SOLE NONE 0 0 500 Hospitality Properties Trust Com Sh Ben Int COM SH BEN INT 44106M102 7886 276805 SH SOLE NONE 0 0 276805 Iac Interactivecorp Com COM 44919P508 1 9 SH SOLE NONE 0 0 9 Idexx Labs Inc COM 45168D104 7 45 SH SOLE NONE 0 0 45 Insys Therapeutics Inc New COM NEW 45824V209 4 400 SH SOLE NONE 0 0 400 Ishares Min Vol Usa Etf MIN VOL USA ETF 46429B697 32 626 SH SOLE NONE 0 0 626 Ishares Core Msci Eafe Etf CORE MSCI EAFE 46432F842 43 673 SH SOLE NONE 0 0 673 Ishares Mrngstr Inc Etf MRNGSTR INC ETF 46432F875 61 2355 SH SOLE NONE 0 0 2355 Ishares Core Msci Emkt Etf CORE MSCI EMKT 46434G103 4934 91328 SH SOLE NONE 0 0 91328 Ishares Msci Taiwan Etf MSCI TAIWAN ETF 46434G772 3384 93728 SH SOLE NONE 0 0 93728 Ishares Inc Msci Singpor MSCI SINGPOR ETF 46434G780 2 100 SH SOLE NONE 0 0 100 Jp Morgan Chase Co Com COM 46625H100 6789 71083 SH SOLE NONE 0 0 71083 Kinder Morgan Inc Com COM 49456B101 1305 68055 SH SOLE NONE 0 0 68055 Laboratory Corp Of America Com COM NEW 50540R409 1 8 SH SOLE NONE 0 0 8 Logmein Inc Com COM 54142L109 6 50 SH SOLE NONE 0 0 50 Macquarie Infrastructure Corp Com COM 55608B105 21 290 SH SOLE NONE 0 0 290 Match Group Inc Com COM 57665R106 504 21740 SH SOLE NONE 0 0 21740 Maxim Integrated Prods Inc Com COM 57772K101 2 50 SH SOLE NONE 0 0 50 Merck Co Inc Com COM 58933Y105 39 613 SH SOLE NONE 0 0 613 Metlife Inc Com COM 59156R108 1 15 SH SOLE NONE 0 0 15 Mid Amer Apt Cmntys Inc Com COM 59522J103 9 80 SH SOLE NONE 0 0 80 Navient Corp Com COM 63938C108 1 40 SH SOLE NONE 0 0 40 Netflix Com Inc Com COM 64110L106 5312 29291 SH SOLE NONE 0 0 29291 Netease Inc Adr Sponsored SPONSORED ADR 64110W102 1 3 SH SOLE NONE 0 0 3 Neuberger Berman Com COM 64128C106 32 2600 SH SOLE NONE 0 0 2600 Nextera Energy Inc Com COM 65339F101 13 88 SH SOLE NONE 0 0 88 Nextpoint Strategic Opport Fd Com New COM NEW 65340G205 12 500 SH SOLE NONE 0 0 500 Northstar Realty Europe Corp Com COM 66706L101 1177 91892 SH SOLE NONE 0 0 91892 Novartis Ag Adr Sponsored SPONSORED ADR 66987V109 2 18 SH SOLE NONE 0 0 18 Nuveen S P 500 Buy Write Inc Com COM 6706ER101 4 300 SH SOLE NONE 0 0 300 Nuveen Real Asset Com COM 67074Y105 18 1002 SH SOLE NONE 0 0 1002 O'Reilly Automotive Inc Com COM 67103H107 11 50 SH SOLE NONE 0 0 50 Oracle Corp Com COM 68389X105 2 41 SH SOLE NONE 0 0 41 Pra Group Inc COM 69354N106 3 120 SH SOLE NONE 0 0 120 Paycom Software Inc Com COM 70432V102 21 275 SH SOLE NONE 0 0 275 Paypal Hldgs Inc Com COM 70450Y103 26 407 SH SOLE NONE 0 0 407 Powershares Qqq Trust N C 6 4 18 46090E103 UNIT SER 1 73935A104 19 130 SH SOLE NONE 0 0 130 Price T Rowe Group Inc Com COM 74144T108 5757 63508 SH SOLE NONE 0 0 63508 Proshares Pshs Ult Nasb Etf PSHS ULT NASB 74347R214 212 3458 SH SOLE NONE 0 0 3458 Proshares Pshs Ultra O G Etf PSHS ULTRA O&G 74347R719 2479 70037 SH SOLE NONE 0 0 70037 Proshares Ulta Blmbg 2017 Etf ULTA BLMBG 2017 74347W247 172 9650 SH SOLE NONE 0 0 9650 Proshares Ultra Gold Etf ULTRA GOLD 74347W601 3 70 SH SOLE NONE 0 0 70 Prospect Capital Corporation Com COM 74348T102 1869 278180 SH SOLE NONE 0 0 278180 Prospect Capital Corporation Senior Note Convertible NOTE 5.750% 3/1 74348TAL6 8 8 PRN SOLE NONE 0 0 8 Prudential N C 6 11 18 69346J106 COM 74433A109 18 1200 SH SOLE NONE 0 0 1200 Public Storage Com COM 74460D109 1 4 SH SOLE NONE 0 0 4 Qorvo Inc Com COM 74736K101 1 19 SH SOLE NONE 0 0 19 Rmr Group Inc Com Cl A CL A 74967R106 0 2 SH SOLE NONE 0 0 2 Rh COM 74967X103 4 60 SH SOLE NONE 0 0 60 Rsp Permian Inc 32 1 Exc 7 19 18 20605P101 COM 74978Q105 0 13 SH SOLE NONE 0 0 13 Regions Finl Corp New COM 7591EP100 18 1200 SH SOLE NONE 0 0 1200 Spdr S P 500 Tr Unit Etf TR UNIT 78462F103 25 100 SH SOLE NONE 0 0 100 Spdr Gold Tr Gold Shs Gold Shs Etf GOLD SHS 78463V107 1667 13710 SH SOLE NONE 0 0 13710 Spdr S P Em Mkt Div Etf S&P EM MKT DIV 78463X533 1117 36681 SH SOLE NONE 0 0 36681 Spdr Ftse S P Biotech Etf S&P BIOTECH 78464A870 3477 40165 SH SOLE NONE 0 0 40165 Sabra Healthcare Com COM 78573L106 649 29594 SH SOLE NONE 0 0 29594 Sanofi Adr Sponsored SPONSORED ADR 80105N105 1 16 SH SOLE NONE 0 0 16 Select Sector Spdr Trust Sbi Healthcare Etf SBI HEALTHCARE 81369Y209 17 208 SH SOLE NONE 0 0 208 Select Sector Spdr Trust Sbi Cons Discr Etf SBI CONS DISCR 81369Y407 9 100 SH SOLE NONE 0 0 100 Select Sector Spdr Trust Energy Etf ENERGY 81369Y506 90 1320 SH SOLE NONE 0 0 1320 Select Sector Spdr Trust Sbi Int Finl Etf SBI INT-FINL 81369Y605 230 8877 SH SOLE NONE 0 0 8877 Select Sector Spdr Trust Sbi Int Inds Etf SBI INT-INDS 81369Y704 11 150 SH SOLE NONE 0 0 150 Shire Plc Adr Sponsored SPONSORED ADR 82481R106 9 62 SH SOLE NONE 0 0 62 Sirius Xm Holdings Inc Com COM 82968B103 27 4875 SH SOLE NONE 0 0 4875 Snap Inc Com Cl A CL A 83304A106 5 357 SH SOLE NONE 0 0 357 Southern Copper Corp Com COM 84265V105 660 16611 SH SOLE NONE 0 0 16611 Sprott Physical Gold Trust Unit UNIT 85207H104 25 2405 SH SOLE NONE 0 0 2405 Sprott Phys Silver Tr Unit TR UNIT 85207K107 10 1600 SH SOLE NONE 0 0 1600 Sprint Corp COM SER 1 85207U105 0 52 SH SOLE NONE 0 0 52 Stag Industrial Inc Com COM 85254J102 24 880 SH SOLE NONE 0 0 880 Stone Hbr Emerg Mrkts Inc Fd COM 86164T107 3 175 SH SOLE NONE 0 0 175 Stonemor Partners Lp Com Units Int COM UNITS INT 86183Q100 2 300 SH SOLE NONE 0 0 300 Syngenta Ag Term 92 95 Sh 1 16 18 SPONSORED ADR 87160A100 5 50 SH SOLE NONE 0 0 50 Synchrony Finl Com COM 87165B103 0 11 SH SOLE NONE 0 0 11 Tpg Specialty Lending Senior Note Convertible NOTE 4.500%12/1 87265KAB8 41 40 PRN SOLE NONE 0 0 40 Targa Resources Corp Com COM 87612G101 2 41 SH SOLE NONE 0 0 41 Tekla Healthcare Investors Sh Ben Int SH BEN INT 87911J103 0 13 SH SOLE NONE 0 0 13 Tesla Inc Com COM 88160R101 4126 12095 SH SOLE NONE 0 0 12095 3 D Sys Corp Del COM NEW 88554D205 11 800 SH SOLE NONE 0 0 800 3M Co Com COM 88579Y101 5 23 SH SOLE NONE 0 0 23 Torchlight Energy Res Inc COM 89102U103 16 13158 SH SOLE NONE 0 0 13158 Twitter Inc Com COM 90184L102 388 23004 SH SOLE NONE 0 0 23004 Ulta Beauty Inc Com COM 90384S303 7 30 SH SOLE NONE 0 0 30 Unitedhealth Group Inc Com COM 91324P102 1 7 SH SOLE NONE 0 0 7 Valero Energy Corp Com COM 91913Y100 20 255 SH SOLE NONE 0 0 255 Vanguard Shrt Trm Corp Bd Etf SHRT TRM CORP BD 92206C409 361 4503 SH SOLE NONE 0 0 4503 Vanguard Int Term Corp Etf INT-TERM CORP 92206C870 175 1987 SH SOLE NONE 0 0 1987 Ventas Inc Com COM 92276F100 3 39 SH SOLE NONE 0 0 39 Verizon Communications Com COM 92343V104 6696 135305 SH SOLE NONE 0 0 135305 Vertex Pharmaceuticals Inc Com COM 92532F100 1707 11230 SH SOLE NONE 0 0 11230 Versum Matls Inc Com COM 92532W103 0 12 SH SOLE NONE 0 0 12 Vipshops Holdings Ltd Adr SPONSORED ADR 92763W103 10 1100 SH SOLE NONE 0 0 1100 Visa Inc Com Cl A COM CL A 92826C839 323 3065 SH SOLE NONE 0 0 3065 Voya Asia Pacific Com COM 92912J102 31 2900 SH SOLE NONE 0 0 2900 Voya Global Adv Prem Opp Com COM 92912R104 32 2800 SH SOLE NONE 0 0 2800 Wabco Holdings Inc Com COM 92927K102 1 4 SH SOLE NONE 0 0 4 Wp Carey Inc Com COM 92936U109 30 450 SH SOLE NONE 0 0 450 Wec Energy Group Inc Com COM 92939U106 3 55 SH SOLE NONE 0 0 55 Waste Management Inc Com COM 94106L109 16 200 SH SOLE NONE 0 0 200 Welltower Inc COM 95040Q104 39 550 SH SOLE NONE 0 0 550 Western Asset Emerging Com COM 95766A101 33 2100 SH SOLE NONE 0 0 2100 Wildhorse Resource Dev Corp Com COM 96812T102 0 25 SH SOLE NONE 0 0 25 Williams Partners Lp 1 494 1 Exc 8 13 18 969457100 COM UNIT LTD PAR 96949L105 3 84 SH SOLE NONE 0 0 84 Wisdomtree Trust Us Smallcap Divd Etf US SMALLCAP DIVD 97717W604 4992 59404 SH SOLE NONE 0 0 59404 Wisdomtree Cboe S P 500 Etf CBOE S&P 500 97717X560 103 3497 SH SOLE NONE 0 0 3497 Yum China Hldgs Inc COM 98850P109 1 28 SH SOLE NONE 0 0 28 Zoetis Inc CL A 98978V103 6 100 SH SOLE NONE 0 0 100 Allergan Plc Com SHS G0177J108 55 267 SH SOLE NONE 0 0 267 Ambarella Inc Com SHS G037AX101 4589 93633 SH SOLE NONE 0 0 93633 Aon Plc Com Cl A SHS CL A G0408V102 1 8 SH SOLE NONE 0 0 8 Brookfield Infr Part Lp Ltd Partners L P LP INT UNIT G16252101 11 258 SH SOLE NONE 0 0 258 Gaslog Ltd SHS G37585109 2 100 SH SOLE NONE 0 0 100 International Game Technolog SHS USD G4863A108 0 10 SH SOLE NONE 0 0 10 Jazz Pharmaceuticals Inc Com SHS USD G50871105 4669 31922 SH SOLE NONE 0 0 31922 Medtronic Plc Com SHS G5960L103 9 121 SH SOLE NONE 0 0 121 Nielsen Holdings Plc Com SHS EUR G6518L108 1 15 SH SOLE NONE 0 0 15 Nordic Amern Offshore Ltd Com SHS G65772108 6 4061 SH SOLE NONE 0 0 4061 Nordic American Tankers Ltd Com COM G65773106 733 137193 SH SOLE NONE 0 0 137193 Seadrill Ltd 00373455 1 Exc 7 3 18 SHS G7945E105 0 1100 SH SOLE NONE 0 0 1100 Seagate Technology Com SHS G7945M107 35 1061 SH SOLE NONE 0 0 1061 White Mountain Insurance Com COM G9618E107 2 2 SH SOLE NONE 0 0 2 Chubb Ltd Com COM H1467J104 2 15 SH SOLE NONE 0 0 15 Te Connectivity Ltd Com REG SHS H84989104 1 17 SH SOLE NONE 0 0 17 Taro Pharmaceutical Inds Ltd Com SHS M8737E108 1894 16805 SH SOLE NONE 0 0 16805 Lyondellbasell Industries Com SHS - A - N53745100 15 153 SH SOLE NONE 0 0 153 Broadcom Limited 1 1 Exc 4 5 18 11135F101 SHS Y09827109 41 170 SH SOLE NONE 0 0 170 Flex Ltd Com ORD Y2573F102 1 59 SH SOLE NONE 0 0 59