Chief Compliance Officer

0001606587-18-000377.txt : 20180503 0001606587-18-000377.hdr.sgml : 20180503 20180503121326 ACCESSION NUMBER: 0001606587-18-000377 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180503 DATE AS OF CHANGE: 20180503 EFFECTIVENESS DATE: 20180503 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sheaff Brock Investment Advisors, LLC CENTRAL INDEX KEY: 0001666789 IRS NUMBER: 352145824 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17380 FILM NUMBER: 18802649 BUSINESS ADDRESS: STREET 1: 8801 RIVER CROSSING BLVD STREET 2: SUITE 100 CITY: INDIANAPOLIS STATE: IN ZIP: 46240 BUSINESS PHONE: 317-705-5700 MAIL ADDRESS: STREET 1: 8801 RIVER CROSSING BLVD STREET 2: SUITE 100 CITY: INDIANAPOLIS STATE: IN ZIP: 46240 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666789 XXXXXXXX 03-31-2018 03-31-2018 false Sheaff Brock Investment Advisors, LLC

8801 River Crossing Blvd Suite 100 Indianapolis IN 46240

13F HOLDINGS REPORT 028-17380 N Audrey Kurzawa Chief Compliance Officer 317-705-5700 Audrey Kurzawa Indianapolis IN 05-02-2018 0 557 966296 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 220 1000 SH Call SOLE NONE 0 0 1000 3M CO COM 88579Y101 968 4411 SH SOLE NONE 0 0 4411 ABBOTT LABS COM 002824100 717 11966 SH SOLE NONE 0 0 11966 ABBVIE INC COM 00287Y109 9216 97371 SH SOLE NONE 0 0 97371 ABERDEEN ASIA PACIFIC INCOM COM 003009107 75 15834 SH SOLE NONE 0 0 15834 ACADIA PHARMACEUTICALS INC COM 004225108 1124 50000 SH SOLE NONE 0 0 50000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2290 14919 SH SOLE NONE 0 0 14919 ACTIVISION BLIZZARD INC COM 00507V109 444 6581 SH SOLE NONE 0 0 6581 ADOBE SYS INC COM 00724F101 414 1915 SH SOLE NONE 0 0 1915 ADVANCE AUTO PARTS INC COM 00751Y106 210 1772 SH SOLE NONE 0 0 1772 ADVANCED MICRO DEVICES INC COM 007903107 244 24275 SH SOLE NONE 0 0 24275 ADVANTAGE OIL & GAS LTD COM 00765F101 163 55400 SH SOLE 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CITIGROUP INC COM NEW 172967424 4200 62225 SH SOLE NONE 0 0 62225 CITIZENS FINL GROUP INC COM 174610105 923 21993 SH SOLE NONE 0 0 21993 CLOROX CO DEL COM 189054109 237 1780 SH SOLE NONE 0 0 1780 CLOVIS ONCOLOGY INC COM 189464100 382 7226 SH SOLE NONE 0 0 7226 CME GROUP INC COM CL A 12572Q105 3458 21380 SH SOLE NONE 0 0 21380 COCA COLA CO COM 191216100 3284 75606 SH SOLE NONE 0 0 75606 COFFEE HLDGS INC COM 192176105 81 18700 SH SOLE NONE 0 0 18700 COHEN & STEERS QUALITY RLTY COM 19247L106 134 11336 SH SOLE NONE 0 0 11336 COLGATE PALMOLIVE CO COM 194162103 868 12114 SH SOLE NONE 0 0 12114 COLLEGIUM PHARMACEUTICAL INC COM 19459J104 295 11550 SH SOLE NONE 0 0 11550 COLUMBIA SELIGM PREM TECH GR COM 19842X109 279 12721 SH SOLE NONE 0 0 12721 COMCAST CORP NEW CL A 20030N101 503 14720 SH SOLE NONE 0 0 14720 COMERICA INC COM 200340107 381 3969 SH SOLE NONE 0 0 3969 CONAGRA BRANDS INC COM 205887102 486 13169 SH SOLE NONE 0 0 13169 CONOCOPHILLIPS COM 20825C104 1770 29852 SH SOLE NONE 0 0 29852 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INCORPORATED CL A 57636Q104 3426 19559 SH SOLE NONE 0 0 19559 MATTHEWS INTL CORP CL A 577128101 640 12650 SH SOLE NONE 0 0 12650 MB FINANCIAL INC NEW COM 55264U108 265 6558 SH SOLE NONE 0 0 6558 MCCORMICK & CO INC COM NON VTG 579780206 336 3155 SH SOLE NONE 0 0 3155 MCDONALDS CORP COM 580135101 860 5500 SH Call SOLE NONE 0 0 5500 MCDONALDS CORP COM 580135101 8252 52768 SH SOLE NONE 0 0 52768 MCKESSON CORP COM 58155Q103 259 1840 SH SOLE NONE 0 0 1840 MEDALLION FINL CORP COM 583928106 119 25600 SH SOLE NONE 0 0 25600 MEDICAL PPTYS TRUST INC COM 58463J304 536 41207 SH SOLE NONE 0 0 41207 MEDTRONIC PLC SHS G5960L103 2033 25343 SH SOLE NONE 0 0 25343 MELCO RESORT ENTERTAINMENT L ADR 585464100 270 9300 SH SOLE NONE 0 0 9300 MERCK & CO INC COM 58933Y105 1970 36167 SH SOLE NONE 0 0 36167 MERITOR INC COM 59001K100 727 35370 SH SOLE NONE 0 0 35370 METLIFE INC COM 59156R108 437 9531 SH SOLE NONE 0 0 9531 MFS HIGH INCOME MUN TR SH BEN INT 59318D104 205 41742 SH SOLE NONE 0 0 41742 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 216 37500 SH SOLE NONE 0 0 37500 MICRON TECHNOLOGY INC COM 595112103 1829 35080 SH SOLE NONE 0 0 35080 MICROSOFT CORP COM 594918104 5320 58285 SH SOLE NONE 0 0 58285 MIDDLEBY CORP COM 596278101 434 3509 SH SOLE NONE 0 0 3509 MONDELEZ INTL INC CL A 609207105 1455 34871 SH SOLE NONE 0 0 34871 MONSANTO CO NEW COM 61166W101 700 6000 SH Call SOLE NONE 0 0 6000 MORGAN STANLEY COM NEW 617446448 1182 21914 SH SOLE NONE 0 0 21914 MPLX LP COM UNIT REP LTD 55336V100 597 18055 PRN SOLE NONE 0 0 18055 NATIONAL BANKSHARES INC VA COM 634865109 426 9464 SH SOLE NONE 0 0 9464 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 21 11751 SH SOLE NONE 0 0 11751 NEOS THERAPEUTICS INC COM 64052L106 614 73998 SH SOLE NONE 0 0 73998 NETAPP INC COM 64110D104 744 12066 SH SOLE NONE 0 0 12066 NETFLIX INC COM 64110L106 384 1300 SH Call SOLE NONE 0 0 1300 NETFLIX INC COM 64110L106 3568 12080 SH SOLE NONE 0 0 12080 NEW AMER HIGH INCOME FD INC COM NEW 641876800 172 19720 SH SOLE NONE 0 0 19720 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 488 29662 SH SOLE NONE 0 0 29662 NEW YORK MTG TR INC COM PAR $.02 649604501 147 24797 SH SOLE NONE 0 0 24797 NEXTERA ENERGY INC COM 65339F101 373 2281 SH SOLE NONE 0 0 2281 NIKE INC CL B 654106103 886 13332 SH SOLE NONE 0 0 13332 NOKIA CORP SPONSORED ADR 654902204 66 12000 SH Call SOLE NONE 0 0 12000 NOKIA CORP SPONSORED ADR 654902204 115 20960 SH SOLE NONE 0 0 20960 NORDIC AMERICAN TANKERS LIMI COM G65773106 35 18107 SH SOLE NONE 0 0 18107 NORFOLK SOUTHERN CORP COM 655844108 1140 8397 SH SOLE NONE 0 0 8397 NORTHROP GRUMMAN CORP COM 666807102 1484 4250 SH SOLE NONE 0 0 4250 NOVAGOLD RES INC COM NEW 66987E206 114 26300 SH SOLE NONE 0 0 26300 NUVEEN AMT FREE MUN CR INC F COM 67071L106 189 12998 SH SOLE NONE 0 0 12998 NUVEEN AMT FREE QLTY MUN INC COM 670657105 351 27035 SH SOLE NONE 0 0 27035 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 303 31300 SH SOLE NONE 0 0 31300 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 257 18154 SH SOLE NONE 0 0 18154 NUVEEN PFD & INCM SECURTIES COM 67072C105 122 12460 SH SOLE NONE 0 0 12460 NUVEEN QUALITY MUNCP INCOME COM 67066V101 337 25609 SH SOLE NONE 0 0 25609 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 278 20852 SH SOLE NONE 0 0 20852 NUVEEN S&P 500 DYN OVERWRITE COM 6706EW100 686 40093 SH SOLE NONE 0 0 40093 NVIDIA CORP COM 67066G104 232 1000 SH Put SOLE NONE 0 0 1000 NVIDIA CORP COM 67066G104 3836 16565 SH SOLE NONE 0 0 16565 OAKTREE SPECIALTY LENDING CO COM 67401P108 98 23254 SH SOLE NONE 0 0 23254 OBSIDIAN ENERGY LTD COM 674482104 34 35201 SH SOLE NONE 0 0 35201 OCCIDENTAL PETE CORP DEL COM 674599105 354 5442 SH SOLE NONE 0 0 5442 OCEAN BIO CHEM INC COM 674631106 167 40600 SH SOLE NONE 0 0 40600 OLD DOMINION FGHT LINES INC COM 679580100 1111 7556 SH SOLE NONE 0 0 7556 OMEROS CORP COM 682143102 288 25750 SH SOLE NONE 0 0 25750 ONEOK INC NEW COM 682680103 6714 117946 SH SOLE NONE 0 0 117946 OPKO HEALTH INC COM 68375N103 44 13845 SH SOLE NONE 0 0 13845 ORACLE CORP COM 68389X105 2651 57947 SH SOLE NONE 0 0 57947 ORANGE SPONSORED ADR 684060106 235 13736 SH SOLE NONE 0 0 13736 ORCHID IS CAP INC COM 68571X103 80 10863 SH SOLE NONE 0 0 10863 OWENS CORNING NEW COM 690742101 1158 14400 SH SOLE NONE 0 0 14400 OXFORD SQUARE CAP CORP COM 69181V107 71 11600 SH SOLE NONE 0 0 11600 PACCAR INC COM 693718108 557 8417 SH SOLE NONE 0 0 8417 PACWEST BANCORP DEL COM 695263103 325 6564 SH SOLE NONE 0 0 6564 PARKER HANNIFIN CORP COM 701094104 261 1525 SH SOLE NONE 0 0 1525 PAYPAL HLDGS INC COM 70450Y103 1142 15047 SH SOLE NONE 0 0 15047 PDC ENERGY INC COM 69327R101 575 11732 SH SOLE NONE 0 0 11732 PEMBINA PIPELINE CORP COM 706327103 266 8528 SH SOLE NONE 0 0 8528 PENGROWTH ENERGY CORP COM 70706P104 79 123933 SH SOLE NONE 0 0 123933 PENNANTPARK FLOATING RATE CA COM 70806A106 256 19568 SH SOLE NONE 0 0 19568 PENNANTPARK INVT CORP COM 708062104 74 11050 SH SOLE NONE 0 0 11050 PENNS WOODS BANCORP INC COM 708430103 212 5005 SH SOLE NONE 0 0 5005 PEPSICO INC COM 713448108 1862 17060 SH SOLE NONE 0 0 17060 PFIZER INC COM 717081103 355 10000 SH Call SOLE NONE 0 0 10000 PFIZER INC COM 717081103 9041 254739 SH SOLE NONE 0 0 254739 PHILIP MORRIS INTL INC COM 718172109 6918 69596 SH SOLE NONE 0 0 69596 PHILLIPS 66 COM 718546104 722 7524 SH SOLE NONE 0 0 7524 PIMCO ETF TR ACTIVE BD ETF 72201R775 589 5650 SH SOLE NONE 0 0 5650 PIMCO HIGH INCOME FD COM SHS 722014107 1031 136073 SH SOLE NONE 0 0 136073 PIMCO MUN INCOME FD II COM 72200W106 169 13384 SH SOLE NONE 0 0 13384 PIONEER HIGH INCOME TR COM 72369H106 172 18326 SH SOLE NONE 0 0 18326 PIONEER MUN HIGH INCOME TR COM SHS 723763108 320 28400 SH SOLE NONE 0 0 28400 PIONEER NAT RES CO COM 723787107 221 1288 SH SOLE NONE 0 0 1288 PNC FINL SVCS GROUP INC COM 693475105 568 3757 SH SOLE NONE 0 0 3757 POLARIS INDS INC COM 731068102 893 7800 SH SOLE NONE 0 0 7800 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 236 12734 SH SOLE NONE 0 0 12734 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 230 19099 SH SOLE NONE 0 0 19099 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 207 11180 SH SOLE NONE 0 0 11180 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 242 14198 SH SOLE NONE 0 0 14198 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4900 30600 SH Put SOLE NONE 0 0 30600 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1926 12027 SH SOLE NONE 0 0 12027 PRA HEALTH SCIENCES INC COM 69354M108 1004 12097 SH SOLE NONE 0 0 12097 PREFERRED BK LOS ANGELES CA COM NEW 740367404 257 4000 SH SOLE NONE 0 0 4000 PRIMERICA INC COM 74164M108 983 10172 SH SOLE NONE 0 0 10172 PROCTER AND GAMBLE CO COM 742718109 1507 19008 SH SOLE NONE 0 0 19008 PROSHARES TR ULTRA FNCLS NEW 74347X633 493 4000 SH SOLE NONE 0 0 4000 PROSHARES TR PSHS ULT S&P 500 74347R107 659 6252 SH SOLE NONE 0 0 6252 PROSHARES TR PSHS ULTRA QQQ 74347R206 594 7793 SH SOLE NONE 0 0 7793 PROSHARES TR PSHS ULT NASB 74347R214 551 10000 SH SOLE NONE 0 0 10000 PROSPECT CAPITAL CORPORATION COM 74348T102 916 139901 SH SOLE NONE 0 0 139901 PROSPERITY BANCSHARES INC COM 743606105 959 13200 SH SOLE NONE 0 0 13200 PRUDENTIAL FINL INC COM 744320102 330 3187 SH SOLE NONE 0 0 3187 PRUDENTIAL GLB SHT DUR HG YL COM 74433A109 201 14500 SH SOLE NONE 0 0 14500 PULTE GROUP INC COM 745867101 292 9916 SH SOLE NONE 0 0 9916 PUTNAM MANAGED MUN INCOM TR COM 746823103 666 93250 SH SOLE NONE 0 0 93250 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 321 68272 SH SOLE NONE 0 0 68272 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 167 14300 SH SOLE NONE 0 0 14300 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 268 51176 SH SOLE NONE 0 0 51176 QUALCOMM INC COM 747525103 1983 35788 SH SOLE NONE 0 0 35788 RANGE RES CORP COM 75281A109 291 20020 SH SOLE NONE 0 0 20020 RAYTHEON CO COM NEW 755111507 216 1000 SH Call SOLE NONE 0 0 1000 RAYTHEON CO COM NEW 755111507 324 1500 SH Call SOLE NONE 0 0 1500 RAYTHEON CO COM NEW 755111507 679 3144 SH SOLE NONE 0 0 3144 REALTY INCOME CORP COM 756109104 993 19204 SH SOLE NONE 0 0 19204 REGIONS FINL CORP NEW COM 7591EP100 7985 429752 SH SOLE NONE 0 0 429752 RING ENERGY INC COM 76680V108 187 13000 SH SOLE NONE 0 0 13000 RITE AID CORP COM 767754104 214 127469 SH SOLE NONE 0 0 127469 ROCKWELL AUTOMATION INC COM 773903109 1139 6539 SH SOLE NONE 0 0 6539 ROCKWELL COLLINS INC COM 774341101 494 3661 SH SOLE NONE 0 0 3661 ROLLINS INC COM 775711104 2811 55078 SH SOLE NONE 0 0 55078 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 434 6628 SH SOLE NONE 0 0 6628 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 825 12935 SH SOLE NONE 0 0 12935 RPM INTL INC COM 749685103 282 5918 SH SOLE NONE 0 0 5918 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 3436 34537 SH SOLE NONE 0 0 34537 S&P GLOBAL INC COM 78409V104 220 1150 SH SOLE NONE 0 0 1150 SAIA INC COM 78709Y105 1140 15168 SH SOLE NONE 0 0 15168 SALESFORCE COM INC COM 79466L302 325 2793 SH SOLE NONE 0 0 2793 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 130 16500 SH SOLE NONE 0 0 16500 SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007T101 33 42000 SH SOLE NONE 0 0 42000 SCHLUMBERGER LTD COM 806857108 479 7390 SH SOLE NONE 0 0 7390 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 324 6125 SH SOLE NONE 0 0 6125 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 333 6798 SH SOLE NONE 0 0 6798 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 341 9343 SH SOLE NONE 0 0 9343 SEAGATE TECHNOLOGY PLC SHS G7945M107 461 7877 SH SOLE NONE 0 0 7877 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 233 2300 SH Call SOLE NONE 0 0 2300 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 232 2293 SH SOLE NONE 0 0 2293 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 603 9210 SH SOLE NONE 0 0 9210 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 517 6962 SH SOLE NONE 0 0 6962 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 480 17400 SH SOLE NONE 0 0 17400 SELECT SECTOR SPDR TR ENERGY 81369Y506 674 10001 SH SOLE NONE 0 0 10001 SEMPRA ENERGY COM 816851109 701 6307 SH SOLE NONE 0 0 6307 SENSIENT TECHNOLOGIES CORP COM 81725T100 1485 21041 SH SOLE NONE 0 0 21041 SIMON PPTY GROUP INC NEW COM 828806109 366 2369 SH SOLE NONE 0 0 2369 SINA CORP ORD G81477104 372 3565 SH SOLE NONE 0 0 3565 SIRIUS XM HLDGS INC COM 82968B103 5315 851775 SH SOLE NONE 0 0 851775 SKYWORKS SOLUTIONS INC COM 83088M102 424 4226 SH SOLE NONE 0 0 4226 SMITH A O COM 831865209 1002 15764 SH SOLE NONE 0 0 15764 SNAP ON INC COM 833034101 986 6685 SH SOLE NONE 0 0 6685 SOUTHCROSS ENERGY PARTNERS L COM UNIT LTDPT 84130C100 28 17436 PRN SOLE NONE 0 0 17436 SOUTHERN CO COM 842587107 1455 32582 SH SOLE NONE 0 0 32582 SOUTHERN COPPER CORP COM 84265V105 273 5040 SH SOLE NONE 0 0 5040 SOUTHWEST AIRLS CO COM 844741108 1293 22565 SH SOLE NONE 0 0 22565 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 241 1000 SH Call SOLE NONE 0 0 1000 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1760 7292 SH SOLE NONE 0 0 7292 SPDR GOLD TRUST GOLD SHS 78463V107 252 2000 SH Call SOLE NONE 0 0 2000 SPDR GOLD TRUST GOLD SHS 78463V107 218 1737 SH SOLE NONE 0 0 1737 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 326 7056 SH SOLE NONE 0 0 7056 SPDR S&P 500 ETF TR TR UNIT 78462F103 72498 275500 SH Put SOLE NONE 0 0 275500 SPDR S&P 500 ETF TR TR UNIT 78462F103 72524 275600 SH Put SOLE NONE 0 0 275600 SPDR S&P 500 ETF TR TR UNIT 78462F103 62314 236800 SH Put SOLE NONE 0 0 236800 SPDR S&P 500 ETF TR TR UNIT 78462F103 2557 9716 SH SOLE NONE 0 0 9716 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 468 1370 SH SOLE NONE 0 0 1370 SPDR SER TR BLOOMBERG SRT TR 78468R408 230 8407 SH SOLE NONE 0 0 8407 SPDR SERIES TRUST S&P BIOTECH 78464A870 269 3061 SH SOLE NONE 0 0 3061 SPIRIT RLTY CAP INC NEW COM 84860W102 117 15100 SH SOLE NONE 0 0 15100 SPROUTS FMRS MKT INC COM 85208M102 862 36748 SH SOLE NONE 0 0 36748 SQUARE INC CL A 852234103 220 4480 SH SOLE NONE 0 0 4480 SRC ENERGY INC COM 78470V108 360 38192 SH SOLE NONE 0 0 38192 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 240 5000 SH SOLE NONE 0 0 5000 STARBUCKS CORP COM 855244109 1331 22998 SH SOLE NONE 0 0 22998 STEEL DYNAMICS INC COM 858119100 281 6359 SH SOLE NONE 0 0 6359 STRYKER CORP COM 863667101 459 2850 SH SOLE NONE 0 0 2850 SYNOPSYS INC COM 871607107 963 11563 SH SOLE NONE 0 0 11563 SYNTHETIC BIOLOGICS INC COM 87164U102 32 100012 SH SOLE NONE 0 0 100012 SYSCO CORP COM 871829107 6692 111612 SH SOLE NONE 0 0 111612 SYSTEMAX INC COM 871851101 228 8000 SH SOLE NONE 0 0 8000 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 255 2610 SH SOLE NONE 0 0 2610 TAPESTRY INC COM 876030107 207 3941 SH SOLE NONE 0 0 3941 TARGET CORP COM 87612E106 486 7004 SH SOLE NONE 0 0 7004 TC PIPELINES LP UT COM LTD PRT 87233Q108 229 6600 SH SOLE NONE 0 0 6600 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 147 11475 SH SOLE NONE 0 0 11475 TESLA INC COM 88160R101 266 1000 SH Call SOLE NONE 0 0 1000 TESLA INC COM 88160R101 234 881 SH SOLE NONE 0 0 881 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 177 10344 SH SOLE NONE 0 0 10344 TEXAS INSTRS INC COM 882508104 10108 97292 SH SOLE NONE 0 0 97292 TEXTRON INC COM 883203101 416 7050 SH SOLE NONE 0 0 7050 THOR INDS INC COM 885160101 819 7114 SH SOLE NONE 0 0 7114 TIME WARNER INC COM NEW 887317303 565 5978 SH SOLE NONE 0 0 5978 TJX COS INC NEW COM 872540109 491 6022 SH SOLE NONE 0 0 6022 TORCHMARK CORP COM 891027104 5096 60542 SH SOLE NONE 0 0 60542 TORONTO DOMINION BK ONT COM NEW 891160509 236 4159 SH SOLE NONE 0 0 4159 TOTAL S A SPONSORED ADR 89151E109 1133 19648 SH SOLE NONE 0 0 19648 TOTAL SYS SVCS INC COM 891906109 1168 13537 SH SOLE NONE 0 0 13537 TOWNEBANK PORTSMOUTH VA COM 89214P109 658 23000 SH SOLE NONE 0 0 23000 TRANSMONTAIGNE PARTNERS L P COM UNIT L P 89376V100 290 8100 SH SOLE NONE 0 0 8100 TRANSUNION COM 89400J107 1067 18789 SH SOLE NONE 0 0 18789 TRAVELERS COMPANIES INC COM 89417E109 1757 12651 SH SOLE NONE 0 0 12651 TRI CONTL CORP COM 895436103 599 22768 SH SOLE NONE 0 0 22768 TRIANGLE CAP CORP COM 895848109 112 10105 SH SOLE NONE 0 0 10105 TRICO BANCSHARES COM 896095106 4023 108079 SH SOLE NONE 0 0 108079 TRITON INTL LTD CL A G9078F107 504 16478 SH SOLE NONE 0 0 16478 TURQUOISE HILL RES LTD COM 900435108 86 28078 SH SOLE NONE 0 0 28078 TWITTER INC COM 90184L102 281 9700 SH SOLE NONE 0 0 9700 U S G CORP COM NEW 903293405 261 6450 SH SOLE NONE 0 0 6450 UBS AG LONDON BRH ETRACS MTH2XRE 90269A302 153 10050 SH SOLE NONE 0 0 10050 ULTRA PETROLEUM CORP COM NEW 903914208 62 14759 SH SOLE NONE 0 0 14759 UNILEVER PLC SPON ADR NEW 904767704 205 3695 SH SOLE NONE 0 0 3695 UNION PAC CORP COM 907818108 2002 14892 SH SOLE NONE 0 0 14892 UNITED PARCEL SERVICE INC CL B 911312106 10102 96522 SH SOLE NONE 0 0 96522 UNITED RENTALS INC COM 911363109 1127 6523 SH SOLE NONE 0 0 6523 UNITED TECHNOLOGIES CORP COM 913017109 6490 51583 SH SOLE NONE 0 0 51583 UNITEDHEALTH GROUP INC COM 91324P102 4029 18828 SH SOLE NONE 0 0 18828 UNITI GROUP INC COM 91325V108 275 16948 SH SOLE NONE 0 0 16948 US BANCORP DEL COM NEW 902973304 455 9015 SH SOLE NONE 0 0 9015 VALERO ENERGY CORP NEW COM 91913Y100 464 5000 SH Call SOLE NONE 0 0 5000 VALERO ENERGY CORP NEW COM 91913Y100 520 5600 SH Put SOLE NONE 0 0 5600 VALERO ENERGY CORP NEW COM 91913Y100 2777 29929 SH SOLE NONE 0 0 29929 VANGUARD GROUP DIV APP ETF 921908844 235 2330 SH SOLE NONE 0 0 2330 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 204 1830 SH SOLE NONE 0 0 1830 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1480 10902 SH SOLE NONE 0 0 10902 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 397 3065 SH SOLE NONE 0 0 3065 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 624 2578 SH SOLE NONE 0 0 2578 VANGUARD INDEX FDS MID CAP ETF 922908629 746 4835 SH SOLE NONE 0 0 4835 VANGUARD INDEX FDS SM CP VAL ETF 922908611 439 3390 SH SOLE NONE 0 0 3390 VANGUARD INDEX FDS SML CP GRW ETF 922908595 421 2570 SH SOLE NONE 0 0 2570 VANGUARD INDEX FDS SMALL CP ETF 922908751 387 2631 SH SOLE NONE 0 0 2631 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 497 10579 SH SOLE NONE 0 0 10579 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 203 3729 SH SOLE NONE 0 0 3729 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 542 6569 SH SOLE NONE 0 0 6569 VANGUARD WORLD FD MEGA GRWTH IND 921910816 266 2366 SH SOLE NONE 0 0 2366 VECTOR GROUP LTD COM 92240M108 211 10355 SH SOLE NONE 0 0 10355 VENTAS INC COM 92276F100 561 11329 SH SOLE NONE 0 0 11329 VEREIT INC COM 92339V100 189 27096 SH SOLE NONE 0 0 27096 VERIZON COMMUNICATIONS INC COM 92343V104 4532 94777 SH SOLE NONE 0 0 94777 VISA INC COM CL A 92826C839 3694 30880 SH SOLE NONE 0 0 30880 VIVUS INC COM 928551100 4 10000 SH SOLE NONE 0 0 10000 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1054 37869 SH SOLE NONE 0 0 37869 W P CAREY INC COM 92936U109 445 7183 SH SOLE NONE 0 0 7183 WALGREENS BOOTS ALLIANCE INC COM 931427108 2855 43604 SH SOLE NONE 0 0 43604 WALMART INC COM 931142103 9346 105050 SH SOLE NONE 0 0 105050 WARRIOR MET COAL INC COM 93627C101 977 34881 SH SOLE NONE 0 0 34881 WASTE MGMT INC DEL COM 94106L109 210 2500 SH Call SOLE NONE 0 0 2500 WASTE MGMT INC DEL COM 94106L109 582 6916 SH SOLE NONE 0 0 6916 WEATHERFORD INTL PLC ORD SHS G48833100 26 11400 SH SOLE NONE 0 0 11400 WEC ENERGY GROUP INC COM 92939U106 276 4404 SH SOLE NONE 0 0 4404 WELLS FARGO CO NEW COM 949746101 1691 32273 SH SOLE NONE 0 0 32273 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 456 56768 SH SOLE NONE 0 0 56768 WELLS FARGO MULTI SECTOR INC COM 94987D101 265 20315 SH SOLE NONE 0 0 20315 WELLTOWER INC COM 95040Q104 407 7479 SH SOLE NONE 0 0 7479 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 191 13100 SH SOLE NONE 0 0 13100 WESTERN ASSET HIGH INCM OPP COM 95766K109 286 59412 SH SOLE NONE 0 0 59412 WESTERN DIGITAL CORP COM 958102105 547 5933 SH SOLE NONE 0 0 5933 WESTROCK CO COM 96145D105 1117 17400 SH SOLE NONE 0 0 17400 WEYERHAEUSER CO COM 962166104 233 6647 SH SOLE NONE 0 0 6647 WHIRLPOOL CORP COM 963320106 5204 33989 SH SOLE NONE 0 0 33989 WHITING PETE CORP NEW COM NEW 966387409 489 14439 SH SOLE NONE 0 0 14439 WILLIAMS COS INC DEL COM 969457100 216 8696 SH SOLE NONE 0 0 8696 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 308 8950 SH SOLE NONE 0 0 8950 WINNEBAGO INDS INC COM 974637100 686 18237 SH SOLE NONE 0 0 18237 WISDOMTREE TR CBOE S&P 500 97717X560 254 9000 SH SOLE NONE 0 0 9000 WORLD WRESTLING ENTMT INC CL A 98156Q108 778 21603 SH SOLE NONE 0 0 21603 WYNN RESORTS LTD COM 983134107 229 1253 SH SOLE NONE 0 0 1253 XCEL ENERGY INC COM 98389B100 265 5832 SH SOLE NONE 0 0 5832 YUM BRANDS INC COM 988498101 323 3799 SH SOLE NONE 0 0 3799 ZEBRA TECHNOLOGIES CORP CL A 989207105 1096 7871 SH SOLE NONE 0 0 7871 ZIOPHARM ONCOLOGY INC COM 98973P101 47 11982 SH SOLE NONE 0 0 11982