Regulatory Consultant

0001085146-20-002003.txt : 20200805 0001085146-20-002003.hdr.sgml : 20200805 20200805104044 ACCESSION NUMBER: 0001085146-20-002003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200805 DATE AS OF CHANGE: 20200805 EFFECTIVENESS DATE: 20200805 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Quad-Cities Investment Group, LLC CENTRAL INDEX KEY: 0001741426 IRS NUMBER: 272935760 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18795 FILM NUMBER: 201076165 BUSINESS ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 BUSINESS PHONE: 563-484-5000 MAIL ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001741426 XXXXXXXX 06-30-2020 06-30-2020 false Quad-Cities Investment Group, LLC

5177 UTICA RIDGE ROAD DAVENPORT IA 52807

13F HOLDINGS REPORT 028-18795 N Alex Butters Regulatory Consultant 310-275-7300 /s/ Alex Butters Beverly Hills CA 08-04-2020 0 155 97336 INFORMATION TABLE 2 infotable.xml INFORMATION TABLE MICROSOFT CORP COM 594918104 2241 11011 SH SOLE 0 0 11011 ISHARES TR JPMORGAN USD EMG 464288281 666 6100 SH SOLE 0 0 6100 ISHARES TR CORE US AGGBD ET 464287226 802 6783 SH SOLE 0 0 6783 PENNANTPARK INVT CORP COM 708062104 97 27765 SH SOLE 0 0 27765 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 597 128136 SH SOLE 0 0 128136 3M CO COM 88579Y101 386 2474 SH SOLE 0 0 2474 GABELLI DIVID & INCOME TR COM 36242H104 243 13818 SH SOLE 0 0 13818 ISHARES TR MORTGE REL ETF 46435G342 526 21157 SH SOLE 0 0 21157 WESTERN ASSET HIGH INCM OPP COM 95766K109 99 21516 SH SOLE 0 0 21516 PROCTER AND GAMBLE CO COM 742718109 440 3680 SH SOLE 0 0 3680 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 225 17032 SH SOLE 0 0 17032 TRI CONTL CORP COM 895436103 214 8677 SH SOLE 0 0 8677 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 543 27239 SH SOLE 0 0 27239 PEPSICO INC COM 713448108 973 7359 SH SOLE 0 0 7359 CISCO SYS INC COM 17275R102 201 4308 SH SOLE 0 0 4308 NEWPARK RES INC COM PAR $.01NEW 651718504 54 24000 SH SOLE 0 0 24000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 218 5041 SH SOLE 0 0 5041 DISNEY WALT CO COM DISNEY 254687106 297 2667 SH SOLE 0 0 2667 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 1739 38540 SH SOLE 0 0 38540 GEO GROUP INC NEW COM 36162J106 202 17099 SH SOLE 0 0 17099 ISHARES INC CORE MSCI EMKT 46434G103 523 10979 SH SOLE 0 0 10979 BLACKROCK ENHANCED EQUITY DI COM 09251A104 95 12915 SH SOLE 0 0 12915 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 515 14835 SH SOLE 0 0 14835 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 311 12212 SH SOLE 0 0 12212 AT&T INC COM 00206R102 436 14413 SH SOLE 0 0 14413 GABELLI EQUITY TR INC COM 362397101 132 26161 SH SOLE 0 0 26161 KINDER MORGAN INC DEL COM 49456B101 397 26174 SH SOLE 0 0 26174 ISHARES TR CORE INTL AGGR 46435G672 412 7408 SH SOLE 0 0 7408 MANAGED PORTFOLIO SER TORTOISE NRAM PI 56167N720 983 59479 SH SOLE 0 0 59479 SIRIUS XM HOLDINGS INC COM 82968B103 135 23000 SH SOLE 0 0 23000 FIRST TR NASDAQ-100 TECH IND NY ARCA BIOTECH 33733E203 1653 9855 SH SOLE 0 0 9855 CLOUGH GLOBAL EQUITY FD COM 18914C100 114 10734 SH SOLE 0 0 10734 CBRE CLARION GLOBAL REAL EST COM 12504G100 167 27936 SH SOLE 0 0 27936 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 691 8284 SH SOLE 0 0 8284 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1195 140748 SH SOLE 0 0 140748 CATERPILLAR INC DEL COM 149123101 347 2741 SH SOLE 0 0 2741 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 193 10743 SH SOLE 0 0 10743 DEERE & CO COM 244199105 1225 7796 SH SOLE 0 0 7796 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 520 9488 SH SOLE 0 0 9488 FIRST TR NASDAQ-100 TECH IND DJ INTERNT IDX 33733E302 2117 12418 SH SOLE 0 0 12418 ALLIANZGI DIVIDEND INT & PRM COM 01883A107 155 13870 SH SOLE 0 0 13870 PFIZER INC COM 717081103 829 25346 SH SOLE 0 0 25346 EATON VANCE TAX-MANAGED GLOB COM 27829F108 139 18855 SH SOLE 0 0 18855 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 507 9217 SH SOLE 0 0 9217 COLUMBIA SELIGM PREM TECH GR COM 19842X109 203 9240 SH SOLE 0 0 9240 KANSAS CITY SOUTHERN COM NEW 485170302 683 4574 SH SOLE 0 0 4574 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 524 2428 SH SOLE 0 0 2428 DUKE ENERGY CORP NEW COM NEW 26441C204 387 4840 SH SOLE 0 0 4840 ISHARES TR CORE S&P500 ETF 464287200 886 2860 SH SOLE 0 0 2860 COHEN & STEERS INFRASTRUCTUR COM 19248A109 594 26927 SH SOLE 0 0 26927 VALERO ENERGY CORP COM 91913Y100 265 4506 SH SOLE 0 0 4506 ALPHABET INC CAP STK CL A 02079K305 221 156 SH SOLE 0 0 156 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 1018 100768 SH SOLE 0 0 100768 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 316 13821 SH SOLE 0 0 13821 BRISTOL-MYERS SQUIBB CO COM 110122108 234 3973 SH SOLE 0 0 3973 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 505 154861 SH SOLE 0 0 154861 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 2385 503168 SH SOLE 0 0 503168 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 444 35730 SH SOLE 0 0 35730 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 1235 38391 SH SOLE 0 0 38391 INVESCO QUALITY MUN INCOME T COM 46133G107 164 13718 SH SOLE 0 0 13718 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 1592 34737 SH SOLE 0 0 34737 VISA INC COM CL A 92826C839 377 1954 SH SOLE 0 0 1954 UBER TECHNOLOGIES INC COM 90353T100 521 16771 SH SOLE 0 0 16771 ISHARES TR CORE 1 5 YR USD 46432F859 489 9497 SH SOLE 0 0 9497 WALMART INC COM 931142103 1458 12174 SH SOLE 0 0 12174 FORD MTR CO DEL COM 345370860 125 20583 SH SOLE 0 0 20583 GUGGENHEIM STRATEGIC OPPORTU COM SBI 40167F101 201 11893 SH SOLE 0 0 11893 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 252 6666 SH SOLE 0 0 6666 GENERAL AMERN INVS INC COM 368802104 495 15555 SH SOLE 0 0 15555 CINCINNATI BELL INC NEW PFD CV DEP1/20 171871403 411 8612 PRN SOLE 0 0 8612 APPLE INC COM 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34939 US BANCORP DEL COM NEW 902973304 819 22237 SH SOLE 0 0 22237 JOHNSON & JOHNSON COM 478160104 414 2943 SH SOLE 0 0 2943 BLACKROCK FLOATING RATE INCO COM 09255X100 138 12344 SH SOLE 0 0 12344 CINTAS CORP COM 172908105 377 1414 SH SOLE 0 0 1414 CUMMINS INC COM 231021106 222 1279 SH SOLE 0 0 1279 ALLIANT ENERGY CORP COM 018802108 316 6596 SH SOLE 0 0 6596 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 110 14750 SH SOLE 0 0 14750 ISHARES TR CORE MSCI EAFE 46432F842 1012 17698 SH SOLE 0 0 17698 ISHARES TR CORE MSCI TOTAL 46432F834 377 6908 SH SOLE 0 0 6908 CENTRAL SECS CORP COM 155123102 357 12366 SH SOLE 0 0 12366 COHEN & STEERS QUALITY INCOM COM 19247L106 1387 126884 SH SOLE 0 0 126884 WESTERN ASSET MTG DEFINED OP COM 95790B109 635 43312 SH SOLE 0 0 43312 ISHARES TR CRE U S REIT ETF 464288521 384 8827 SH SOLE 0 0 8827 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1160 23089 SH SOLE 0 0 23089 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 507 88669 SH SOLE 0 0 88669 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 208 3687 SH SOLE 0 0 3687 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 260 6879 SH SOLE 0 0 6879 WESTERN ASSET EMERGING MKTS COM 95766A101 349 28308 SH SOLE 0 0 28308 FACEBOOK INC CL A 30303M102 874 3848 SH SOLE 0 0 3848 ISHARES TR CORE S&P SCP ETF 464287804 599 8768 SH SOLE 0 0 8768 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 132 11612 SH SOLE 0 0 11612 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 307 9958 SH SOLE 0 0 9958 RLJ LODGING TR CUM CONV PFD A 74965L200 314 14367 SH SOLE 0 0 14367 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 354 25094 SH SOLE 0 0 25094 MERCK & CO. INC COM 58933Y105 284 3678 SH SOLE 0 0 3678 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 588 10998 SH SOLE 0 0 10998 AMERICAN TOWER CORP NEW COM 03027X100 864 3342 SH SOLE 0 0 3342 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 232 3906 SH SOLE 0 0 3906 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 220 1025 SH SOLE 0 0 1025 UNITI GROUP INC COM 91325V108 102 10871 SH SOLE 0 0 10871 SALESFORCE COM INC COM 79466L302 306 1635 SH SOLE 0 0 1635 FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 33737J307 329 10116 SH SOLE 0 0 10116 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1692 66708 SH SOLE 0 0 66708 NUVEEN QUALITY MUNCP INCOME COM 67066V101 298 21236 SH SOLE 0 0 21236 ISHARES TR CORE S&P TTL STK 464287150 1444 20795 SH SOLE 0 0 20795 REALTY INCOME CORP COM 756109104 815 13703 SH SOLE 0 0 13703 ANNALY CAPITAL MANAGEMENT IN COM 035710409 114 17332 SH SOLE 0 0 17332 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 195 10870 SH SOLE 0 0 10870 DIAGEO P L C SPON ADR NEW 25243Q205 252 1879 SH SOLE 0 0 1879 LOCKHEED MARTIN CORP COM 539830109 206 564 SH SOLE 0 0 564 SPDR SER TR BLMBRG BRC CNVRT 78464A359 329 5434 SH SOLE 0 0 5434 ENTERPRISE PRODS PARTNERS L COM 293792107 581 31991 SH SOLE 0 0 31991 VERIZON COMMUNICATIONS INC COM 92343V104 730 13239 SH SOLE 0 0 13239 INVESCO QQQ TR UNIT SER 1 46090E103 278 1121 SH SOLE 0 0 1121 ISHARES TR CORE DIV GRWTH 46434V621 1492 39689 SH SOLE 0 0 39689 ADVENT CONVERTIBLE & INCOME COM 00764C109 671 51338 SH SOLE 0 0 51338 CVS HEALTH CORP COM 126650100 238 3670 SH SOLE 0 0 3670 FIRST TR NASDAQ-100 TECH IND CAP STRENGTH ETF 33733E104 1422 24335 SH SOLE 0 0 24335 PERMROCK ROYALTY TRUST TR UNIT 714254109 39 13500 SH SOLE 0 0 13500 WELLS FARGO CO NEW COM 949746101 486 18973 SH SOLE 0 0 18973 ISHARES TR CORE S&P MCP ETF 464287507 726 4084 SH SOLE 0 0 4084 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 205 19642 SH SOLE 0 0 19642 FIRST TRUST PORTFOLIOS LP SHS 337345102 696 6383 SH SOLE 0 0 6383 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 5134 278703 SH SOLE 0 0 278703 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 141 19755 SH SOLE 0 0 19755 FIRST TR DYNAMIC EUROPE EQUI COM SHS 33740D107 244 23606 SH SOLE 0 0 23606 ARES CAPITAL CORP COM 04010L103 254 17589 SH SOLE 0 0 17589 ADAMS DIVERSIFIED EQUITY FD COM 006212104 366 24548 SH SOLE 0 0 24548 ISHARES TR INTL SEL DIV ETF 464288448 885 35226 SH SOLE 0 0 35226 BECTON DICKINSON & CO COM 075887109 220 920 SH SOLE 0 0 920 ABBVIE INC COM 00287Y109 411 4181 SH SOLE 0 0 4181 ALPHABET INC CAP STK CL C 02079K107 387 274 SH SOLE 0 0 274 OMEROS CORP COM 682143102 192 13050 SH SOLE 0 0 13050 HOME DEPOT INC COM 437076102 475 1896 SH SOLE 0 0 1896 LIBERTY ALL-STAR GROWTH FD I COM 529900102 390 62060 SH SOLE 0 0 62060 BOEING CO COM 097023105 485 2648 SH SOLE 0 0 2648 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 249 11850 SH SOLE 0 0 11850 ZOETIS INC CL A 98978V103 448 3272 SH SOLE 0 0 3272 BLACKSTONE GROUP INC COM CL A 09260D107 275 4845 SH SOLE 0 0 4845 INVESCO MUN OPPORTUNITY TR COM 46132C107 579 48848 SH SOLE 0 0 48848