0001704300-17-000005.txt : 20171017
0001704300-17-000005.hdr.sgml : 20171017
20171017143426
ACCESSION NUMBER: 0001704300-17-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171017
DATE AS OF CHANGE: 20171017
EFFECTIVENESS DATE: 20171017
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Founders Capital Management
CENTRAL INDEX KEY: 0001704300
IRS NUMBER: 760456940
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1217
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18033
FILM NUMBER: 171140568
BUSINESS ADDRESS:
STREET 1: 4400 POST OAK PARKWAY
STREET 2: STE 2540
CITY: HOUSTON
STATE: TX
ZIP: 77027
BUSINESS PHONE: 7138771188
MAIL ADDRESS:
STREET 1: 4400 POST OAK PARKWAY
STREET 2: STE 2540
CITY: HOUSTON
STATE: TX
ZIP: 77027
13F-HR
1
primary_doc.xml
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true
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0001704300
XXXXXXXX
09-30-2017
09-30-2017
Founders Capital Management
4400 POST OAK PARKWAY
STE 2540
HOUSTON
TX
77027
13F HOLDINGS REPORT
028-18033
N
James Walter
Vice President
713-877-1188
James Walter
Houston
TX
10-16-2017
0
357
120660
false
INFORMATION TABLE
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FCM13F09302017LILLC.xml
AFLAC INC
COM
001055102
20
247
SH
SOLE
247
0
0
AT&T INC
COM
00206R102
1806
46099
SH
SOLE
46099
0
0
AXT INC
COM
00246W103
27
3000
SH
SOLE
3000
0
0
ABBOTT LABS
COM
002824100
48
900
SH
SOLE
900
0
0
ABBVIE INC
COM
00287Y109
4148
46684
SH
SOLE
46684
0
0
AIR PRODS & CHEMS INC
COM
009158106
4
25
SH
SOLE
25
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
17
100
SH
SOLE
100
0
0
ALLSTATE CORP
COM
020002101
28
306
SH
SOLE
306
0
0
ALPHA PRO TECH LTD
COM
020772109
23
6000
SH
SOLE
6000
0
0
ALPHABET INC
CAP STK CL C
02079K107
134
140
SH
SOLE
140
0
0
ALPHABET INC
CAP STK CL A
02079K305
136
140
SH
SOLE
140
0
0
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
33
5034
SH
SOLE
5034
0
0
ALTRIA GROUP INC
COM
02209S103
525
8285
SH
SOLE
8285
0
0
AMAZON COM INC
COM
023135106
5
5
SH
SOLE
5
0
0
AMERICAN ELEC PWR INC
COM
025537101
26
373
SH
SOLE
373
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0
AMERICAN EXPRESS CO
COM
025816109
1428
15782
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SOLE
15782
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AMERICAN INTL GROUP INC
*W EXP 01/19/202
026874156
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3
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SOLE
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AMERICAN TOWER CORP NEW
COM
03027X100
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35
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SOLE
35
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AMGEN INC
COM
031162100
2313
12405
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12405
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AMPCO-PITTSBURGH CORP
COM
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COM
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2500
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APACHE CORP
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120
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APOLLO INVT CORP
COM
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1500
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SOLE
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0
0
APPLE INC
COM
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31310
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SOLE
31310
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0
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COM
03820J100
16
4000
SH
SOLE
4000
0
0
APPLIED MATLS INC
COM
038222105
48
924
SH
SOLE
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0
ARBOR RLTY TR INC
COM
038923108
33
4000
SH
SOLE
4000
0
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ARGAN INC
COM
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SOLE
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0
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ARES CAP CORP
COM
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18
1110
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1110
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0
ARMOUR RESIDENTIAL REIT INC
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250
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SOLE
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0
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1100
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BB&T CORP
COM
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225
SH
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225
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CL A
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1000
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SOLE
1000
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0
BP PRUDHOE BAY RTY TR
UNIT BEN INT
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218
SH
SOLE
218
0
0
BRT APARTMENTS CORP
COM
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BAIDU INC
SPON ADR REP A
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SOLE
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0
BAKER HUGHES A GE CO
CL A
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820
SH
SOLE
820
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BANC OF CALIFORNIA INC
COM
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1000
SH
SOLE
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COM
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SOLE
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COM
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BELLATRIX EXPLORATION LTD
COM NEW
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2000
SH
SOLE
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0
0
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COM
08160H101
137
4000
SH
SOLE
4000
0
0
BIODELIVERY SCIENCES INTL IN
COM
09060J106
18
6000
SH
SOLE
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0
0
BOEING CO
COM
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SOLE
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42359
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SOLE
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CSX CORP
COM
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0
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COM
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SOLE
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SH BEN INT
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SOLE
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SH
SOLE
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CELGENE CORP
COM
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SH
SOLE
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CENTERPOINT ENERGY INC
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CHARLES & COLVARD LTD
COM
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SH
SOLE
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COM
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SOLE
1000
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SOLE
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290
SH
SOLE
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SH
SOLE
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CITIGROUP INC
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800
SH
SOLE
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COM
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2370
52662
SH
SOLE
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SH
SOLE
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COM
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959
13164
SH
SOLE
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CL A
20030N101
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3000
SH
SOLE
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300
SH
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1250
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SOLE
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COM
26078J100
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DREYFUS STRATEGIC MUNS INC
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SH
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COM
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SH
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ENBRIDGE INC
COM
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COM
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3300
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ENERGY TRANSFER PARTNERS LP
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19
1050
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ENTERGY CORP NEW
COM
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SH
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COM
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12470
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COM
29667D104
16
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SH
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EVERSOURCE ENERGY
COM
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COM
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EXXON MOBIL CORP
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30231G102
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COM
31678A103
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DJ INTERNT IDX
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COM
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COM
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COM CL A
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GERON CORP
COM
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SH
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GILEAD SCIENCES INC
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59
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COM
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1672
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HECLA MNG CO
COM
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10
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SH
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HESS CORP
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COM
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HOME DEPOT INC
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COM
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CL A VTG
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COM
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COM
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COM
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0
0
MERCK & CO INC
COM
58933Y105
779
12164
SH
SOLE
12164
0
0
MERITAGE HOMES CORP
COM
59001A102
2
56
SH
SOLE
56
0
0
MICROSOFT CORP
COM
594918104
3193
42868
SH
SOLE
42868
0
0
MICRON TECHNOLOGY INC
COM
595112103
10
250
SH
SOLE
250
0
0
MONDELEZ INTL INC
CL A
609207105
219
5393
SH
SOLE
5393
0
0
MORGAN STANLEY
COM NEW
617446448
65
1340
SH
SOLE
1340
0
0
NATIONAL GRID PLC
SPONSORED ADR NE
636274409
29
458
SH
SOLE
458
0
0
NEXTERA ENERGY INC
COM
65339F101
4
30
SH
SOLE
30
0
0
NIKE INC
CL B
654106103
26
507
SH
SOLE
507
0
0
NOBLE ENERGY INC
COM
655044105
1
48
SH
SOLE
48
0
0
NORFOLK SOUTHERN CORP
COM
655844108
6
45
SH
SOLE
45
0
0
NORTHEAST BANCORP
COM NEW
663904209
13
500
SH
SOLE
500
0
0
NORTHWEST PIPE CO
COM
667746101
29
1500
SH
SOLE
1500
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
2890
33660
SH
SOLE
33660
0
0
NOVAVAX INC
COM
670002104
5
4000
SH
SOLE
4000
0
0
NUVEEN TEXAS QLTY MUN INCME
COM
670983105
12
850
SH
SOLE
850
0
0
OASIS PETE INC NEW
COM
674215108
9
1000
SH
SOLE
1000
0
0
OBSIDIAN ENERGY LTD
COM
674482104
15
14000
SH
SOLE
14000
0
0
OCCIDENTAL PETE CORP DEL
COM
674599105
334
5200
SH
SOLE
5200
0
0
OCEAN BIO CHEM INC
COM
674631106
15
3000
SH
SOLE
3000
0
0
ORACLE CORP
COM
68389X105
637
13167
SH
SOLE
13167
0
0
ORION GROUP HOLDINGS INC
COM
68628V308
20
3000
SH
SOLE
3000
0
0
OVERSEAS SHIPHOLDING GROUP I
CL A NEW
69036R863
5
2000
SH
SOLE
2000
0
0
PARKER DRILLING CO
COM
701081101
4
4000
SH
SOLE
4000
0
0
PAYCHEX INC
COM
704326107
18
300
SH
SOLE
300
0
0
PENGROWTH ENERGY CORP
COM
70706P104
12
12000
SH
SOLE
12000
0
0
PEPSICO INC
COM
713448108
1233
11066
SH
SOLE
11066
0
0
PERMA PIPE INTL HLDGS INC
COM
714167103
51
6000
SH
SOLE
6000
0
0
PFIZER INC
COM
717081103
1906
53391
SH
SOLE
53391
0
0
PHILIP MORRIS INTL INC
COM
718172109
2729
24582
SH
SOLE
24582
0
0
PHILLIPS 66
COM
718546104
432
4720
SH
SOLE
4720
0
0
PINNACLE FINL PARTNERS INC
COM
72346Q104
136
2030
SH
SOLE
2030
0
0
PIONEER NAT RES CO
COM
723787107
74
500
SH
SOLE
500
0
0
PLAINS ALL AMERN PIPELINE L
UNIT LTD PARTN
726503105
46
2180
SH
SOLE
2180
0
0
POLARIS INDS INC
COM
731068102
3
30
SH
SOLE
30
0
0
PORTLAND GEN ELEC CO
COM NEW
736508847
73
1600
SH
SOLE
1600
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
2550
17535
SH
SOLE
17535
0
0
POWERSHARES ETF TRUST
BASIC MAT SECT
73935X427
11
165
SH
SOLE
165
0
0
POWERSHARES ETF TRUST
FTSE RAFI 1000
73935X583
643
6000
SH
SOLE
6000
0
0
POWERSHARES ETF TRUST
DYN PHRMA PORT
73935X799
48
729
SH
SOLE
729
0
0
POWERSHARES ETF TR II
PFD PORTFOLIO
73936T565
15
1000
SH
SOLE
1000
0
0
POWERSHARES ETF TR II
DEV MKTS EX-US
73936T789
47
1075
SH
SOLE
1075
0
0
POWERSHARES ETF TR II
S&P500 LOW VOL
73937B779
189
4120
SH
SOLE
4120
0
0
PRAXAIR INC
COM
74005P104
99
708
SH
SOLE
708
0
0
PRECISION DRILLING CORP
COM 2010
74022D308
6
2000
SH
SOLE
2000
0
0
PREFORMED LINE PRODS CO
COM
740444104
13
200
SH
SOLE
200
0
0
PROCTER AND GAMBLE CO
COM
742718109
793
8717
SH
SOLE
8717
0
0
PROSPERITY BANCSHARES INC
COM
743606105
26
400
SH
SOLE
400
0
0
PRUDENTIAL FINL INC
COM
744320102
43
400
SH
SOLE
400
0
0
PUBLIC STORAGE
COM
74460D109
551
2575
SH
SOLE
2575
0
0
QUALCOMM INC
COM
747525103
2280
43984
SH
SOLE
43984
0
0
RAIT FINANCIAL TRUST
COM NEW
749227609
7
10000
SH
SOLE
10000
0
0
RMR GROUP INC
CL A
74967R106
0
2
SH
SOLE
2
0
0
RANGE RES CORP
COM
75281A109
7
370
SH
SOLE
370
0
0
RAYTHEON CO
COM NEW
755111507
6
31
SH
SOLE
31
0
0
REALTY INCOME CORP
COM
756109104
139
2435
SH
SOLE
2435
0
0
RELM WIRELESS CORP
COM
759525108
13
3500
SH
SOLE
3500
0
0
RENTECH INC
COM NEW
760112201
0
220
SH
SOLE
220
0
0
RESOLUTE FST PRODS INC
COM
76117W109
18
3500
SH
SOLE
3500
0
0
RICHARDSON ELECTRS LTD
COM
763165107
9
1500
SH
SOLE
1500
0
0
RITE AID CORP
COM
767754104
5
2645
SH
SOLE
2645
0
0
ROPER TECHNOLOGIES INC
COM
776696106
49
200
SH
SOLE
200
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
328
5410
SH
SOLE
5410
0
0
RYDEX ETF TRUST
GUG S&P500 EQ WT
78355W106
842
8809
SH
SOLE
8809
0
0
RYDEX ETF TRUST
GUG S&P500EQWTTE
78355W817
11
84
SH
SOLE
84
0
0
RYDEX ETF TRUST
GUG S&P500EQWTFI
78355W858
8
204
SH
SOLE
204
0
0
SEI INVESTMENTS CO
COM
784117103
260
4250
SH
SOLE
4250
0
0
SORL AUTO PTS INC
COM
78461U101
8
2000
SH
SOLE
2000
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
370
1471
SH
SOLE
1471
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
19
155
SH
SOLE
155
0
0
SPDR SERIES TRUST
BLOOMBERG BRCLYS
78464A417
7
189
SH
SOLE
189
0
0
SPDR SERIES TRUST
BLOMBERG BRC SRT
78464A474
396
12900
SH
SOLE
12900
0
0
SPDR SERIES TRUST
BLOMBRG BRC AGRT
78464A649
17
300
SH
SOLE
300
0
0
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
66
1925
SH
SOLE
1925
0
0
SPDR SERIES TRUST
OILGAS EQUIP
78464A748
22
1300
SH
SOLE
1300
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
56
610
SH
SOLE
610
0
0
SPDR SERIES TRUST
S&P 400 MDCP VAL
78464A839
16
162
SH
SOLE
162
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
364
1627
SH
SOLE
1627
0
0
SPDR SER TR
NUVEEN BRC MUNIC
78468R721
105
2147
SH
SOLE
2147
0
0
SALESFORCE COM INC
COM
79466L302
19
200
SH
SOLE
200
0
0
SCANA CORP NEW
COM
80589M102
12
240
SH
SOLE
240
0
0
SCHLUMBERGER LTD
COM
806857108
2240
32114
SH
SOLE
32114
0
0
SCHNITZER STL INDS
CL A
806882106
28
1000
SH
SOLE
1000
0
0
SCHWAB CHARLES CORP NEW
COM
808513105
177
4050
SH
SOLE
4050
0
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
1783
35380
SH
SOLE
35380
0
0
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
39
472
SH
SOLE
472
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
33
612
SH
SOLE
612
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
55
800
SH
SOLE
800
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
55
2145
SH
SOLE
2145
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
31
527
SH
SOLE
527
0
0
SELECT SECTOR SPDR TR
RL EST SEL SEC
81369Y860
4
121
SH
SOLE
121
0
0
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
28
530
SH
SOLE
530
0
0
SENIOR HSG PPTYS TR
SH BEN INT
81721M109
20
1000
SH
SOLE
1000
0
0
SERVICE CORP INTL
COM
817565104
190
5500
SH
SOLE
5500
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
13
130
SH
SOLE
130
0
0
SMUCKER J M CO
COM NEW
832696405
1453
13844
SH
SOLE
13844
0
0
SNAP INC
CL A
83304A106
3
200
SH
SOLE
200
0
0
SOUTHERN CO
COM
842587107
138
2806
SH
SOLE
2806
0
0
SOUTHWEST AIRLS CO
COM
844741108
6
100
SH
SOLE
100
0
0
SPECTRA ENERGY PARTNERS LP
COM
84756N109
100
2250
SH
SOLE
2250
0
0
SUPER MICRO COMPUTER INC
COM
86800U104
13
600
SH
SOLE
600
0
0
SYSCO CORP
COM
871829107
4
80
SH
SOLE
80
0
0
TECH DATA CORP
COM
878237106
27
300
SH
SOLE
300
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
2
100
SH
SOLE
100
0
0
TEXAS INSTRS INC
COM
882508104
314
3500
SH
SOLE
3500
0
0
3M CO
COM
88579Y101
282
1345
SH
SOLE
1345
0
0
TIDEWATER INC NEW
COM
88642R109
2
63
SH
SOLE
63
0
0
TRANS WORLD ENTMT CORP
COM
89336Q100
10
5000
SH
SOLE
5000
0
0
TUPPERWARE BRANDS CORP
COM
899896104
108
1750
SH
SOLE
1750
0
0
U S GLOBAL INVS INC
CL A
902952100
6
3000
SH
SOLE
3000
0
0
U S CONCRETE INC
COM NEW
90333L201
334
4376
SH
SOLE
4376
0
0
U S SILICA HLDGS INC
COM
90346E103
12
400
SH
SOLE
400
0
0
ULTA BEAUTY INC
COM
90384S303
34
150
SH
SOLE
150
0
0
UNION PAC CORP
COM
907818108
64
555
SH
SOLE
555
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
645
5367
SH
SOLE
5367
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
547
4715
SH
SOLE
4715
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
162
825
SH
SOLE
825
0
0
V F CORP
COM
918204108
3
50
SH
SOLE
50
0
0
VAALCO ENERGY INC
COM NEW
91851C201
5
6000
SH
SOLE
6000
0
0
VALEANT PHARMACEUTICALS INTL
COM
91911K102
3
175
SH
SOLE
175
0
0
VANGUARD BD INDEX FD INC
LONG TERM BOND
921937793
14
150
SH
SOLE
150
0
0
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
11
143
SH
SOLE
143
0
0
VANGUARD BD INDEX FD INC
TOTAL BND MRKT
921937835
22
263
SH
SOLE
263
0
0
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
28
645
SH
SOLE
645
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
150
1847
SH
SOLE
1847
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
95
1800
SH
SOLE
1800
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
24
554
SH
SOLE
554
0
0
VANGUARD WORLD FDS
CONSUM DIS ETF
92204A108
11
75
SH
SOLE
75
0
0
VANGUARD WORLD FDS
INDUSTRIAL ETF
92204A603
27
200
SH
SOLE
200
0
0
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
400
4995
SH
SOLE
4995
0
0
VENTAS INC
COM
92276F100
20
300
SH
SOLE
300
0
0
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
3
32
SH
SOLE
32
0
0
VANGUARD INDEX FDS
REIT ETF
922908553
571
6875
SH
SOLE
6875
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
93
660
SH
SOLE
660
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
394
3045
SH
SOLE
3045
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
2122
42874
SH
SOLE
42874
0
0
VIRTU FINL INC
CL A
928254101
8
500
SH
SOLE
500
0
0
VISA INC
COM CL A
92826C839
179
1700
SH
SOLE
1700
0
0
VOLT INFORMATION SCIENCES IN
COM
928703107
5
1500
SH
SOLE
1500
0
0
WAL-MART STORES INC
COM
931142103
2106
26953
SH
SOLE
26953
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
150
1941
SH
SOLE
1941
0
0
WEINGARTEN RLTY INVS
SH BEN INT
948741103
175
5503
SH
SOLE
5503
0
0
WELLS FARGO CO NEW
COM
949746101
2974
53930
SH
SOLE
53930
0
0
WESTERN ASSET HIGH INCM FD I
COM
95766J102
34
4700
SH
SOLE
4700
0
0
WESTERN ASSET INCOME FD
COM
95766T100
141
8610
SH
SOLE
8610
0
0
WESTERN ASSET INVT GRADE DEF
COM
95790A101
11
500
SH
SOLE
500
0
0
WESTERN DIGITAL CORP
COM
958102105
89
1026
SH
SOLE
1026
0
0
WESTERN NEW ENG BANCORP INC
COM
958892101
11
1000
SH
SOLE
1000
0
0
WESTERN UN CO
COM
959802109
10
537
SH
SOLE
537
0
0
WHITING PETE CORP NEW
COM
966387102
7
1200
SH
SOLE
1200
0
0
WIDEPOINT CORP
COM
967590100
13
20000
SH
SOLE
20000
0
0
WILLIAMS PARTNERS L P NEW
COM UNIT LTD PAR
96949L105
13
346
SH
SOLE
346
0
0
XCEL ENERGY INC
COM
98389B100
132
2787
SH
SOLE
2787
0
0
YUM BRANDS INC
COM
988498101
121
1640
SH
SOLE
1640
0
0
YUM CHINA HLDGS INC
COM
98850P109
25
620
SH
SOLE
620
0
0
ZOETIS INC
CL A
98978V103
30
464
SH
SOLE
464
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
47
2700
SH
SOLE
2700
0
0
ALLERGAN PLC
SHS
G0177J108
57
276
SH
SOLE
276
0
0
BROOKFIELD PPTY PARTNERS L P
UNIT LTD PARTN
G16249107
12
500
SH
SOLE
500
0
0
BROOKFIELD INFRAST PARTNERS
LP INT UNIT
G16252101
22
500
SH
SOLE
500
0
0
WEATHERFORD INTL PLC
ORD SHS
G48833100
1
185
SH
SOLE
185
0
0
MEDTRONIC PLC
SHS
G5960L103
166
2140
SH
SOLE
2140
0
0
MFC BANCORP LTD
USD MFC SHS
G60630103
15
1600
SH
SOLE
1600
0
0
NOBLE CORP PLC
SHS USD
G65431101
163
35480
SH
SOLE
35480
0
0
ROWAN COMPANIES PLC
SHS CL A
G7665A101
18
1400
SH
SOLE
1400
0
0
TECHNIPFMC PLC
COM
G87110105
2
70
SH
SOLE
70
0
0
CHUBB LIMITED
COM
H1467J104
43
300
SH
SOLE
300
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
32
3000
SH
SOLE
3000
0
0
LYONDELLBASELL INDUSTRIES N
SHS - A -
N53745100
30
300
SH
SOLE
300
0
0
TRONOX LTD
SHS CL A
Q9235V101
21
1000
SH
SOLE
1000
0
0
DHT HOLDINGS INC
SHS NEW
Y2065G121
6
1500
SH
SOLE
1500
0
0
GENCO SHIPPING & TRADING LTD
SHS
Y2685T131
6
506
SH
SOLE
506
0
0
INTERNATIONAL SEAWAYS INC
COM
Y41053102
13
666
SH
SOLE
666
0
0
STAR BULK CARRIERS CORP
SHS PAR
Y8162K204
12
1200
SH
SOLE
1200
0
0