CHIEF COMPLIANCE OFFICER

0001728121-20-000005.txt : 20201112 0001728121-20-000005.hdr.sgml : 20201112 20201112103036 ACCESSION NUMBER: 0001728121-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SeaCrest Wealth Management, LLC CENTRAL INDEX KEY: 0001728121 IRS NUMBER: 262338030 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18252 FILM NUMBER: 201304400 BUSINESS ADDRESS: STREET 1: 3000 WESTCHESTER AVENUE STREET 2: SUITE 206 CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: (914) 502-1900 MAIL ADDRESS: STREET 1: 3000 WESTCHESTER AVENUE STREET 2: SUITE 206 CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001728121 XXXXXXXX 09-30-2020 09-30-2020 SeaCrest Wealth Management, LLC

3000 WESTCHESTER AVENUE SUITE 206 PURCHASE NY 10577

13F HOLDINGS REPORT 028-18252 N Edward Sullivan CHIEF COMPLIANCE OFFICER (914) 502-1900 Edward Sullivan Purchase NY 11-12-2020 0 581 624014 false INFORMATION TABLE 2 13FSWMQ32020.xml 1LIFE HEALTHCARE INC COM 68269G107 317 11175 SH SOLE 0 0 13580 3M CO COM 88579Y101 1868 11662 SH SOLE 0 0 6104 ABB LTD SPONSORED ADR 000375204 346 13580 SH SOLE 0 0 22134 ABBOTT LABS COM 002824100 2178 20014 SH SOLE 0 0 10319 ABBVIE INC COM 00287Y109 3892 44432 SH SOLE 0 0 274123 ABERDEEN GLOBAL INCOME FD IN COM 003013109 267 39042 SH SOLE 0 0 7019 ABERDEEN INCOME CR STRATEGIE COM 003057106 423 42685 SH SOLE 0 0 20014 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 205 11295 SH SOLE 0 0 44432 ACACIA RESH CORP ACACIA TCH COM 003881307 159 45900 SH SOLE 0 0 39042 ACCELERATE DIAGNOSTICS INC COM 00430H102 287 26882 SH SOLE 0 0 42685 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 391 1728 SH SOLE 0 0 11295 ADAM NAT RES FD INC COM 00548F105 229 23439 SH SOLE 0 0 45900 ADOBE SYSTEMS INCORPORATED COM 00724F101 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TR IBOXX INV CP ETF 464287242 1715 12733 SH SOLE 0 0 1463 ISHARES TR S&P 500 GRWT ETF 464287309 1009 4368 SH SOLE 0 0 2723 ISHARES TR S&P 500 VAL ETF 464287408 327 2909 SH SOLE 0 0 3259 ISHARES TR MSCI EAFE ETF 464287465 360 5658 SH SOLE 0 0 1626 ISHARES TR RUS MD CP GR ETF 464287481 238 1374 SH SOLE 0 0 42336 ISHARES TR CORE S&P MCP ETF 464287507 510 2752 SH SOLE 0 0 6610 ISHARES TR NASDAQ BIOTECH 464287556 298 2199 SH SOLE 0 0 12180 ISHARES TR RUS 1000 VAL ETF 464287598 248 2096 SH SOLE 0 0 16036 ISHARES TR S&P MC 400GR ETF 464287606 344 1439 SH SOLE 0 0 8630 ISHARES TR RUS 1000 GRW ETF 464287614 317 1463 SH SOLE 0 0 26671 ISHARES TR RUSSELL 2000 ETF 464287655 408 2723 SH SOLE 0 0 8388 ISHARES TR CORE S&P US GWT 464287671 261 3259 SH SOLE 0 0 3949 ISHARES TR U.S. TECH ETF 464287721 490 1626 SH SOLE 0 0 703 ISHARES TR GL CLEAN ENE ETF 464288224 783 42336 SH SOLE 0 0 14284 ISHARES TR NATIONAL MUN ETF 464288414 766 6610 SH SOLE 0 0 3647 ISHARES TR INTL SEL DIV ETF 464288448 304 12180 SH SOLE 0 0 5212 ISHARES TR IBOXX HI YD ETF 464288513 1345 16036 SH SOLE 0 0 7907 ISHARES TR ISHS 1-5YR INVS 464288646 474 8630 SH SOLE 0 0 6385 ISHARES TR PFD AND INCM SEC 464288687 972 26671 SH SOLE 0 0 5199 ISHARES TR US HOME CONS ETF 464288752 475 8388 SH SOLE 0 0 6708 ISHARES TR US AER DEF ETF 464288760 626 3949 SH SOLE 0 0 4475 ISHARES TR U.S. MED DVC ETF 464288810 210 703 SH SOLE 0 0 4405 ISHARES TR CORE HIGH DV ETF 46429B663 294 3647 SH SOLE 0 0 21466 ISHARES TR MSCI EAFE MIN VL 46429B689 355 5212 SH SOLE 0 0 31269 ISHARES TR MSCI USA MIN VOL 46429B697 504 7907 SH SOLE 0 0 21359 ISHARES TR MSCI USA MMENTM 46432F396 766 5199 SH SOLE 0 0 51670 ISHARES TR CORE MSCI EAFE 46432F842 404 6708 SH SOLE 0 0 4255 ISHARES TR CORE MSCI PAC 46434V696 248 4405 SH SOLE 0 0 22908 ISHARES TR ULTR SH TRM BD 46434V878 1086 21466 SH SOLE 0 0 7673 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 320 6385 SH SOLE 0 0 30863 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 693 21359 SH SOLE 0 0 5625 JOHNSON & JOHNSON COM 478160104 7693 51670 SH SOLE 0 0 29820 JOHNSON CTLS INTL PLC SHS G51502105 214 5248 SH SOLE 0 0 19408 JPMORGAN CHASE & CO COM 46625H100 3010 31269 SH SOLE 0 0 4337 KELLOGG CO COM 487836108 496 7673 SH SOLE 0 0 22781 KEYCORP COM 493267108 368 30863 SH SOLE 0 0 1758 KIMBERLY CLARK CORP COM 494368103 831 5625 SH SOLE 0 0 4241 KIMCO RLTY CORP COM 49446R109 336 29820 SH SOLE 0 0 15910 KINDER MORGAN INC DEL COM 49456B101 239 19408 SH SOLE 0 0 6678 KIRKLAND LAKE GOLD LTD COM 49741E100 211 4337 SH SOLE 0 0 5522 KKR INCOME OPPORTUNITIES FD COM 48249T106 310 22908 SH SOLE 0 0 2200 KLA CORP COM NEW 482480100 824 4255 SH SOLE 0 0 5540 KRAFT HEINZ CO COM 500754106 682 22781 SH SOLE 0 0 12455 L3HARRIS TECHNOLOGIES INC COM 502431109 299 1758 SH SOLE 0 0 1011 LAUDER ESTEE COS INC CL A 518439104 926 4241 SH SOLE 0 0 28577 LILLY ELI & CO COM 532457108 2355 15910 SH SOLE 0 0 28148 LINCOLN NATL CORP IND COM 534187109 209 6678 SH SOLE 0 0 12147 LINDE PLC SHS G5494J103 250 1049 SH SOLE 0 0 56868 LITHIA MTRS INC CL A 536797103 1259 5522 SH SOLE 0 0 10241 LIVONGO HEALTH INC COM 539183103 308 2200 SH SOLE 0 0 890 LOCKHEED MARTIN CORP COM 539830109 2123 5540 SH SOLE 0 0 2944 LOWES COS INC COM 548661107 2066 12455 SH SOLE 0 0 2169 LULULEMON ATHLETICA INC COM 550021109 333 1011 SH SOLE 0 0 5815 LUMEN TECHNOLOGIES INC COM 156700106 179 17785 SH SOLE 0 0 1642 MACERICH CO COM 554382101 386 56868 SH SOLE 0 0 48770 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 350 10241 SH SOLE 0 0 9160 MASIMO CORP COM 574795100 210 890 SH SOLE 0 0 14943 MASTERCARD INCORPORATED CL A 57636Q104 996 2944 SH SOLE 0 0 90272 MATCH GROUP INC NEW COM 57667L107 240 2169 SH SOLE 0 0 7774 MCDONALDS CORP COM 580135101 1276 5815 SH SOLE 0 0 9862 MCKESSON CORP COM 58155Q103 245 1642 SH SOLE 0 0 21753 MDU RES GROUP INC COM 552690109 643 28577 SH SOLE 0 0 12125 MEDTRONIC PLC SHS G5960L103 1239 11925 SH SOLE 0 0 14675 MERCK & CO. INC COM 58933Y105 4045 48770 SH SOLE 0 0 5065 METLIFE INC COM 59156R108 340 9160 SH SOLE 0 0 5869 MFS CHARTER INCOME TR SH BEN INT 552727109 225 28148 SH SOLE 0 0 43439 MFS INTER HIGH INCOME FD SH BEN INT 59318T109 35 14943 SH SOLE 0 0 12000 MFS INTER INCOME TR SH BEN INT 55273C107 45 12147 SH SOLE 0 0 85876 MICRON TECHNOLOGY INC COM 595112103 365 7774 SH SOLE 0 0 3257 MICROSOFT CORP COM 594918104 18987 90272 SH SOLE 0 0 3922 MODERNA INC COM 60770K107 698 9862 SH SOLE 0 0 1975 MONDELEZ INTL INC CL A 609207105 1250 21753 SH SOLE 0 0 2589 MORGAN STANLEY COM NEW 617446448 586 12125 SH SOLE 0 0 1775 MYRIAD GENETICS INC COM 62855J104 191 14675 SH SOLE 0 0 13469 NATIONAL GRID PLC SPONSORED ADR NE 636274409 293 5065 SH SOLE 0 0 12950 NETFLIX INC COM 64110L106 2935 5869 SH SOLE 0 0 19436 NEUBERGER BERMAN REAL ESTATE COM 64190A103 161 43439 SH SOLE 0 0 12657 NEW GOLD INC CDA COM 644535106 20 12000 SH SOLE 0 0 16200 NEW YORK CMNTY BANCORP INC COM 649445103 710 85876 SH SOLE 0 0 14089 NEWMONT CORP COM 651639106 207 3257 SH SOLE 0 0 13269 NEXTERA ENERGY INC COM 65339F101 1089 3922 SH SOLE 0 0 46173 NIKE INC CL B 654106103 248 1975 SH SOLE 0 0 13032 NORFOLK SOUTHN CORP COM 655844108 554 2589 SH SOLE 0 0 13980 NORTHROP GRUMMAN CORP COM 666807102 560 1775 SH SOLE 0 0 803 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 351 20520 SH SOLE 0 0 1963 NUVEEN AMT FREE MUN CR INC F COM 67071L106 221 14089 SH SOLE 0 0 11175 NUVEEN AMT FREE QLTY MUN INC COM 670657105 193 13469 SH SOLE 0 0 12000 NUVEEN CORPORATE INCM NOVEME COM 67077N106 125 13980 SH SOLE 0 0 21161 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 273 46173 SH SOLE 0 0 17743 NUVEEN NEW JERSEY QULT MUN F COM 67069Y102 171 12657 SH SOLE 0 0 4549 NUVEEN PFD & INCM SECURTIES COM 67072C105 117 13269 SH SOLE 0 0 7499 NUVEEN QUALITY MUNCP INCOME COM 67066V101 282 19436 SH SOLE 0 0 38000 NUVEEN REAL ESTATE INCOME FD COM 67071B108 122 16200 SH SOLE 0 0 4506 NUVEEN TAX-ADVANTAGED DIVID COM 67073G105 170 13032 SH SOLE 0 0 10293 NVIDIA CORPORATION COM 67066G104 7009 12950 SH SOLE 0 0 3792 NXP SEMICONDUCTORS N V COM N6596X109 246 1968 SH SOLE 0 0 34138 OLD DOMINION FREIGHT LINE IN COM 679580100 355 1963 SH SOLE 0 0 3607 ONTRAK INC COM 683373104 720 12000 SH SOLE 0 0 1962 ORACLE CORP COM 68389X105 1263 21161 SH SOLE 0 0 30543 ORANGE SPONSORED ADR 684060106 184 17743 SH SOLE 0 0 3569 OREILLY AUTOMOTIVE INC COM 67103H107 370 803 SH SOLE 0 0 20726 OTIS WORLDWIDE CORP COM 68902V107 284 4549 SH SOLE 0 0 2992 P A M TRANSN SVCS INC COM 693149106 282 7499 SH SOLE 0 0 4753 PACCAR INC COM 693718108 308 3607 SH SOLE 0 0 25049 PALO ALTO NETWORKS INC COM 697435105 480 1962 SH SOLE 0 0 23375 PAN AMERN SILVER CORP COM 697900108 982 30543 SH SOLE 0 0 130054 PAYCHEX INC COM 704326107 285 3569 SH SOLE 0 0 28666 PAYPAL HLDGS INC COM 70450Y103 4084 20726 SH SOLE 0 0 5212 PCSB FINL CORP COM 69324R104 459 38000 SH SOLE 0 0 13975 PELOTON INTERACTIVE INC CL A COM 70614W100 297 2992 SH SOLE 0 0 31881 PENN NATL GAMING INC COM 707569109 346 4753 SH SOLE 0 0 2392 PEOPLES UNITED FINANCIAL INC COM 712704105 258 25049 SH SOLE 0 0 14666 PEPSICO INC COM 713448108 3240 23375 SH SOLE 0 0 15303 PFIZER INC COM 717081103 4773 130054 SH SOLE 0 0 2812 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 136 10293 SH SOLE 0 0 11902 PHILIP MORRIS INTL INC COM 718172109 2150 28666 SH SOLE 0 0 29491 PHILLIPS 66 COM 718546104 270 5212 SH SOLE 0 0 30000 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 307 15303 SH SOLE 0 0 15450 PIMCO DYNAMIC INCOME FD SHS 72201Y101 372 14666 SH SOLE 0 0 6386 PIMCO ETF TR ACTIVE BD ETF 72201R775 269 2392 SH SOLE 0 0 13767 PIMCO INCOME STRATEGY FD II COM 72201J104 289 31881 SH SOLE 0 0 18645 PIMCO MUN INCOME FD COM 72200R107 187 13975 SH SOLE 0 0 59685 PINNACLE WEST CAP CORP COM 723484101 210 2812 SH SOLE 0 0 19500 PJT PARTNERS INC COM CL A 69343T107 273 4506 SH SOLE 0 0 46112 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 71 11902 SH SOLE 0 0 2222 PPG INDS INC COM 693506107 463 3792 SH SOLE 0 0 3421 PPL CORP COM 69351T106 929 34138 SH SOLE 0 0 47162 PROCTER AND GAMBLE CO COM 742718109 4099 29491 SH SOLE 0 0 17139 PROSHARES TR ULTRAPRO SHORT S 74347B268 261 30000 SH SOLE 0 0 13893 PROSHARES TR SHORT S&P 500 NE 74347B425 314 15450 SH SOLE 0 0 567 PROSHARES TR LARGE CAP CRE 74347R248 487 6386 SH SOLE 0 0 5776 PROSHARES TR S&P 500 DV ARIST 74348A467 993 13767 SH SOLE 0 0 1744 PRUDENTIAL FINL INC COM 744320102 1184 18645 SH SOLE 0 0 31124 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 3277 59685 SH SOLE 0 0 15298 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 87 19500 SH SOLE 0 0 24606 QUALCOMM INC COM 747525103 5426 46112 SH SOLE 0 0 30151 QUEST DIAGNOSTICS INC COM 74834L100 254 2222 SH SOLE 0 0 1242 RADIAN GROUP INC COM 750236101 689 47162 SH SOLE 0 0 11372 RAYTHEON TECHNOLOGIES CORP COM 75513E101 986 17139 SH SOLE 0 0 11772 REAVES UTIL INCOME FD COM SH BEN INT 756158101 435 13893 SH SOLE 0 0 1740 REGENERON PHARMACEUTICALS COM 75886F107 317 567 SH SOLE 0 0 14806 REPUBLIC SVCS INC COM 760759100 539 5776 SH SOLE 0 0 4071 RESMED INC COM 761152107 299 1744 SH SOLE 0 0 22972 RICHMOND MUT BANCORPORATION COM 76525P100 329 31124 SH SOLE 0 0 15771 RITE AID CORP COM 767754872 145 15298 SH SOLE 0 0 2305 RIVERNORTH DOUBLELINE STRATE COM 76882G107 414 30151 SH SOLE 0 0 125847 RIVERNORTH OPPORTUNITIES FD COM 76881Y109 353 24606 SH SOLE 0 0 14598 ROKU INC COM CL A 77543R102 234 1242 SH SOLE 0 0 4301 RPM INTL INC COM 749685103 283 3421 SH SOLE 0 0 19127 SALESFORCE COM INC COM 79466L302 3037 12085 SH SOLE 0 0 1530 SANOFI SPONSORED ADR 80105N105 935 18643 SH SOLE 0 0 2350 SCHLUMBERGER LTD COM 806857108 220 14153 SH SOLE 0 0 12085 SCHWAB CHARLES CORP COM 808513105 509 14045 SH SOLE 0 0 18643 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4361 54754 SH SOLE 0 0 14153 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1726 21401 SH SOLE 0 0 14045 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 4845 42070 SH SOLE 0 0 54754 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 4098 78513 SH SOLE 0 0 21401 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1887 34020 SH SOLE 0 0 42070 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3254 47622 SH SOLE 0 0 78513 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1344 50209 SH SOLE 0 0 34020 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 248 7509 SH SOLE 0 0 47622 SCHWAB STRATEGIC TR SCHWAB FDT US BM 808524789 574 15064 SH SOLE 0 0 50209 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 2387 43167 SH SOLE 0 0 7509 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 3830 121973 SH SOLE 0 0 15064 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 2129 37958 SH SOLE 0 0 43167 SCHWAB STRATEGIC TR US REIT ETF 808524847 1527 43164 SH SOLE 0 0 121973 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 3746 63846 SH SOLE 0 0 37958 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 1305 25332 SH SOLE 0 0 43164 SCHWAB STRATEGIC TR US TIPS ETF 808524870 8452 137146 SH SOLE 0 0 63846 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 970 29818 SH SOLE 0 0 25332 SCHWEITZER-MAUDUIT INTL INC COM 808541106 258 8500 SH SOLE 0 0 137146 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 293 4600 SH SOLE 0 0 29818 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 238 2252 SH SOLE 0 0 8500 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 365 2485 SH SOLE 0 0 4600 SELECT SECTOR SPDR TR ENERGY 81369Y506 228 7623 SH SOLE 0 0 2252 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 702 29156 SH SOLE 0 0 2485 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 468 6084 SH SOLE 0 0 7623 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 941 8067 SH SOLE 0 0 29156 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 344 5791 SH SOLE 0 0 6084 SEMPRA ENERGY COM 816851109 418 3528 SH SOLE 0 0 8067 SERVICENOW INC COM 81762P102 1613 3325 SH SOLE 0 0 5791 SHERWIN WILLIAMS CO COM 824348106 259 372 SH SOLE 0 0 3528 SHOPIFY INC CL A 82509L107 1165 1139 SH SOLE 0 0 3325 SIRIUS XM HOLDINGS INC COM 82968B103 59 10974 SH SOLE 0 0 372 SITE CTRS CORP COM 82981J109 244 33900 SH SOLE 0 0 1139 SKYWORKS SOLUTIONS INC COM 83088M102 820 5633 SH SOLE 0 0 10974 SOUTHERN CO COM 842587107 1025 18901 SH SOLE 0 0 33900 SOUTHERN FIRST BANCSHARES IN COM 842873101 3088 127861 SH SOLE 0 0 5633 SOUTHWEST AIRLS CO COM 844741108 999 26644 SH SOLE 0 0 18901 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 425 1530 SH SOLE 0 0 127861 SPDR GOLD TR GOLD SHS 78463V107 2085 11772 SH SOLE 0 0 26644 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 207 1740 SH SOLE 0 0 1406 SPDR S&P 500 ETF TR TR UNIT 78462F103 3808 11372 SH SOLE 0 0 109320 SPDR SER TR S&P 600 SMCP VAL 78464A300 742 14806 SH SOLE 0 0 667828 SPDR SER TR BLMBRG BRC CNVRT 78464A359 280 4071 SH SOLE 0 0 5364 SPDR SER TR PORTFOLIO SHORT 78464A474 721 22972 SH SOLE 0 0 1485 SPDR SER TR BLOMBERG INTL TR 78464A516 468 15771 SH SOLE 0 0 2061 SPDR SER TR AEROSPACE DEF 78464A631 201 2305 SH SOLE 0 0 11636 SPDR SER TR PORTFOLIO LN TSR 78464A664 5882 125847 SH SOLE 0 0 19350 SPDR SER TR S&P REGL BKG 78464A698 521 14598 SH SOLE 0 0 4135 SPDR SER TR S&P DIVID ETF 78464A763 397 4301 SH SOLE 0 0 68774 SPDR SER TR S&P HOMEBUILD 78464A888 1031 19127 SH SOLE 0 0 7178 SPDR SER TR SSGA US LRG ETF 78468R804 255 2350 SH SOLE 0 0 9850 SPLUNK INC COM 848637104 265 1406 SH SOLE 0 0 1015 SPOTIFY TECHNOLOGY S A SHS L8681T102 227 937 SH SOLE 0 0 52956 SPROTT PHYSICAL GOLD TR UNIT 85207H104 1645 109320 SH SOLE 0 0 25150 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 5523 667828 SH SOLE 0 0 12106 SQUARE INC CL A 852234103 872 5364 SH SOLE 0 0 8078 STAMPS COM INC COM NEW 852857200 358 1485 SH SOLE 0 0 16207 STANLEY BLACK & DECKER INC COM 854502101 334 2061 SH SOLE 0 0 8896 STARBUCKS CORP COM 855244109 1000 11636 SH SOLE 0 0 10203 STARWOOD PPTY TR INC COM 85571B105 292 19350 SH SOLE 0 0 1635 STATE STR CORP COM 857477103 245 4135 SH SOLE 0 0 3371 STERLING BANCORP DEL COM 85917A100 724 68774 SH SOLE 0 0 15202 STOCK YDS BANCORP INC COM 861025104 244 7178 SH SOLE 0 0 520 STRATEGY SHS NS 7HANDL IDX 86280R506 243 9850 SH SOLE 0 0 1680 STRYKER CORPORATION COM 863667101 211 1015 SH SOLE 0 0 11662 SWITCHBACK ENERGY ACQUISTN C COM CL A 87105M102 826 52956 SH SOLE 0 0 6567 SYNOVUS FINL CORP COM NEW 87161C501 532 25150 SH SOLE 0 0 14823 SYSCO CORP COM 871829107 753 12106 SH SOLE 0 0 1894 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1314 16207 SH SOLE 0 0 19219 TARGET CORP COM 87612E106 1400 8896 SH SOLE 0 0 30723 TE CONNECTIVITY LTD REG SHS H84989104 327 3345 SH SOLE 0 0 3660 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 146 10203 SH SOLE 0 0 10511 TELADOC HEALTH INC COM 87918A105 358 1635 SH SOLE 0 0 26275 TESLA INC COM 88160R101 1446 3371 SH SOLE 0 0 22422 TEXAS INSTRS INC COM 882508104 2171 15202 SH SOLE 0 0 6254 THE TRADE DESK INC COM CL A 88339J105 270 520 SH SOLE 0 0 5354 THERMO FISHER SCIENTIFIC INC COM 883556102 742 1680 SH SOLE 0 0 4457 TJX COS INC NEW COM 872540109 450 8078 SH SOLE 0 0 11651 TORONTO DOMINION BK ONT COM NEW 891160509 304 6567 SH SOLE 0 0 10477 TOTAL SE SPONSORED ADS 89151E109 508 14823 SH SOLE 0 0 4768 TRANE TECHNOLOGIES PLC SHS G8994E103 433 3569 SH SOLE 0 0 23925 TRAVELERS COMPANIES INC COM 89417E109 205 1894 SH SOLE 0 0 25841 TRIMTABS ETF TR ALL CAP US FREE 89628W302 791 19219 SH SOLE 0 0 7302 TRUIST FINL CORP COM 89832Q109 1169 30723 SH SOLE 0 0 34079 TWILIO INC CL A 90138F102 904 3660 SH SOLE 0 0 1192 UBER TECHNOLOGIES INC COM 90353T100 818 22422 SH SOLE 0 0 40280 UNILEVER N V N Y SHS NEW 904784709 323 5354 SH SOLE 0 0 1880 UNILEVER PLC SPON ADR NEW 904767704 386 6254 SH SOLE 0 0 2538 UNION PAC CORP COM 907818108 877 4457 SH SOLE 0 0 20404 UNITED PARCEL SERVICE INC CL B 911312106 1941 11651 SH SOLE 0 0 7110 UNITED STATES STL CORP NEW COM 912909108 77 10477 SH SOLE 0 0 13924 UNITEDHEALTH GROUP INC COM 91324P102 1487 4768 SH SOLE 0 0 31413 US BANCORP DEL COM NEW 902973304 942 26275 SH SOLE 0 0 7297 VALERO ENERGY CORP COM 91913Y100 1036 23925 SH SOLE 0 0 13740 VALLEY NATL BANCORP COM 919794107 177 25841 SH SOLE 0 0 34574 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 286 7302 SH SOLE 0 0 3690 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 1014 34079 SH SOLE 0 0 6647 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 208 1192 SH SOLE 0 0 3119 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 210 1880 SH SOLE 0 0 5441 VANGUARD BD INDEX FDS INTERMED TERM 921937819 237 2538 SH SOLE 0 0 10586 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1695 20404 SH SOLE 0 0 25850 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 627 7110 SH SOLE 0 0 2814 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 425 7297 SH SOLE 0 0 1075 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1472 4785 SH SOLE 0 0 5587 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 387 3820 SH SOLE 0 0 4785 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 362 2008 SH SOLE 0 0 3820 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1504 19050 SH SOLE 0 0 2008 VANGUARD INDEX FDS SM CP VAL ETF 922908611 414 3745 SH SOLE 0 0 19050 VANGUARD INDEX FDS MID CAP ETF 922908629 339 1923 SH SOLE 0 0 3745 VANGUARD INDEX FDS LARGE CAP ETF 922908637 318 2030 SH SOLE 0 0 1923 VANGUARD INDEX FDS GROWTH ETF 922908736 560 2461 SH SOLE 0 0 2030 VANGUARD INDEX FDS VALUE ETF 922908744 338 3232 SH SOLE 0 0 2461 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2474 14524 SH SOLE 0 0 3232 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 693 13740 SH SOLE 0 0 14524 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1495 34574 SH SOLE 0 0 23592 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 251 3690 SH SOLE 0 0 122219 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 877 10586 SH SOLE 0 0 1361 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1403 25850 SH SOLE 0 0 35380 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 270 2814 SH SOLE 0 0 17426 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 5182 40280 SH SOLE 0 0 31924 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 569 13924 SH SOLE 0 0 28038 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 2262 31413 SH SOLE 0 0 16550 VANGUARD WORLD FDS ENERGY ETF 92204A306 268 6647 SH SOLE 0 0 9884 VANGUARD WORLD FDS INF TECH ETF 92204A702 971 3119 SH SOLE 0 0 2135 VANGUARD WORLD FDS UTILITIES ETF 92204A876 702 5441 SH SOLE 0 0 16402 VEEVA SYS INC CL A COM 922475108 302 1075 SH SOLE 0 0 12277 VENTAS INC COM 92276F100 234 5587 SH SOLE 0 0 8501 VEREIT INC COM 92339V100 153 23592 SH SOLE 0 0 29033 VERIZON COMMUNICATIONS INC COM 92343V104 7271 122219 SH SOLE 0 0 19399 VERTEX PHARMACEUTICALS INC COM 92532F100 370 1361 SH SOLE 0 0 12864 VIACOMCBS INC CL B 92556H206 991 35380 SH SOLE 0 0 3787 VIRTUS GLOBAL MULTI-SEC INC COM 92829B101 344 31924 SH SOLE 0 0 22652 VISA INC COM CL A 92826C839 3485 17426 SH SOLE 0 0 46577 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 376 28038 SH SOLE 0 0 79301 VUZIX CORP COM NEW 92921W300 75 16550 SH SOLE 0 0 2985 WALGREENS BOOTS ALLIANCE INC COM 931427108 441 12277 SH SOLE 0 0 3810 WALMART INC COM 931142103 2295 16402 SH SOLE 0 0 77661 WASTE MGMT INC DEL COM 94106L109 962 8501 SH SOLE 0 0 4316 WEC ENERGY GROUP INC COM 92939U106 207 2135 SH SOLE 0 0 3801 WELLS FARGO CO NEW COM 949746101 683 29033 SH SOLE 0 0 3312 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 142 19399 SH SOLE 0 0 6512 WELLS FARGO MULTI SECTOR INC COM 94987D101 138 12864 SH SOLE 0 0 739 WELLTOWER INC COM 95040Q104 209 3787 SH SOLE 0 0 1728 WESTERN ASSET MANAGED MUNS F COM 95766M105 276 22652 SH SOLE 0 0 6786 WILLIAMS COS INC COM 969457100 915 46577 SH SOLE 0 0 5248 WORLD GOLD TR SPDR GLD MINIS 98149E204 1491 79301 SH SOLE 0 0 1049 WSFS FINL CORP COM 929328102 267 9884 SH SOLE 0 0 11925 XILINX INC COM 983919101 311 2985 SH SOLE 0 0 20520 XYLEM INC COM 98419M100 321 3810 SH SOLE 0 0 3569 YRC WORLDWIDE INC COM PAR $.01 984249607 304 77661 SH SOLE 0 0 2472 YUM BRANDS INC COM 988498101 394 4316 SH SOLE 0 0 3369 YUM CHINA HLDGS INC COM 98850P109 201 3801 SH SOLE 0 0 10101 ZIMMER BIOMET HOLDINGS INC COM 98956P102 451 3312 SH SOLE 0 0 3345 ZOETIS INC CL A 98978V103 1077 6512 SH SOLE 0 0 937 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 347 739 SH SOLE 0 0 1968