Regulatory Consultant

0001085146-21-000547.txt : 20210210 0001085146-21-000547.hdr.sgml : 20210210 20210209213559 ACCESSION NUMBER: 0001085146-21-000547 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210210 DATE AS OF CHANGE: 20210209 EFFECTIVENESS DATE: 20210210 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: 21608917 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 12-31-2020 12-31-2020 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 02-09-2021 0 158 121666 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 433 2477 SH SOLE 0 0 2477 ABBVIE INC COM 00287Y109 429 4006 SH SOLE 0 0 4006 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 268 1026 SH SOLE 0 0 1026 ADAMS DIVERSIFIED EQUITY FD COM 006212104 378 21876 SH SOLE 0 0 21876 ADVENT CONVERTIBLE & INCOME COM 00764C109 842 50946 SH SOLE 0 0 50946 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 591 2539 SH SOLE 0 0 2539 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 1194 101464 SH SOLE 0 0 101464 ALLIANT ENERGY CORP COM 018802108 343 6652 SH SOLE 0 0 6652 ALLIANZGI DIVIDEND INT & PRM COM 01883A107 189 14067 SH SOLE 0 0 14067 ALPHABET INC CAP STK CL A 02079K305 273 156 SH SOLE 0 0 156 ALPHABET INC CAP STK CL C 02079K107 482 275 SH SOLE 0 0 275 AMAZON COM INC COM 023135106 3557 1092 SH SOLE 0 0 1092 AMERICAN TOWER CORP NEW COM 03027X100 730 3250 SH SOLE 0 0 3250 AMMO INC COM 00175J107 116 35000 SH SOLE 0 0 35000 APPLE INC COM 037833100 13169 99243 SH SOLE 0 0 99243 ARES CAPITAL CORP COM 04010L103 384 22743 SH SOLE 0 0 22743 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 437 5722 SH SOLE 0 0 5722 ARK ETF TR FINTECH INNOVA 00214Q708 232 4667 SH SOLE 0 0 4667 ARK ETF TR INNOVATION ETF 00214Q104 300 2412 SH SOLE 0 0 2412 ARK ETF TR NEXT GNRTN INTER 00214Q401 517 3530 SH SOLE 0 0 3530 AT&T INC COM 00206R102 335 11662 SH SOLE 0 0 11662 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 356 6671 SH SOLE 0 0 6671 BLACKSTONE GROUP INC COM CL A 09260D107 367 5664 SH SOLE 0 0 5664 BOEING CO COM 097023105 487 2277 SH SOLE 0 0 2277 BRISTOL-MYERS SQUIBB CO COM 110122108 248 3991 SH SOLE 0 0 3991 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 172 12066 SH SOLE 0 0 12066 CALAMOS DYNAMIC CONV & INCOM COM 12811V105 1516 53807 SH SOLE 0 0 53807 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 584 36992 SH SOLE 0 0 36992 CATERPILLAR INC COM 149123101 553 3039 SH SOLE 0 0 3039 CBRE CLARION GLOBAL REAL EST COM 12504G100 132 19213 SH SOLE 0 0 19213 CENTRAL SECS CORP COM 155123102 301 9234 SH SOLE 0 0 9234 CINTAS CORP COM 172908105 533 1509 PRN SOLE 0 0 1509 COHEN & STEERS INFRASTRUCTUR COM 19248A109 697 27008 SH SOLE 0 0 27008 COHEN & STEERS QUALITY INCOM COM 19247L106 1593 128436 SH SOLE 0 0 128436 CUMMINS INC COM 231021106 292 1284 SH SOLE 0 0 1284 CVS HEALTH CORP COM 126650100 297 4350 SH SOLE 0 0 4350 DEERE & CO COM 244199105 1967 7309 SH SOLE 0 0 7309 DIAGEO PLC SPON ADR NEW 25243Q205 299 1882 SH SOLE 0 0 1882 DISNEY WALT CO COM 254687106 451 2489 SH SOLE 0 0 2489 DUKE ENERGY CORP NEW COM NEW 26441C204 444 4853 SH SOLE 0 0 4853 EATON VANCE LTD DURATION INC COM 27828H105 375 29934 SH SOLE 0 0 29934 EATON VANCE TAX-MANAGED GLOB COM 27829F108 172 19595 SH SOLE 0 0 19595 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 94 15146 SH SOLE 0 0 15146 ENTERPRISE PRODS PARTNERS L COM 293792107 347 17692 SH SOLE 0 0 17692 EXCHANGE TRADED CONCEPTS TR 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SH SOLE 0 0 14717 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 840 7514 SH SOLE 0 0 7514 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 1902 28177 SH SOLE 0 0 28177 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 2604 12271 SH SOLE 0 0 12271 FIRST TR EXCHANGE-TRADED FD DORSEY WRIGHT 33738R886 208 9355 SH SOLE 0 0 9355 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 960 23710 SH SOLE 0 0 23710 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 3180 52963 SH SOLE 0 0 52963 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 1776 36457 SH SOLE 0 0 36457 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 618 29455 SH SOLE 0 0 29455 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1667 9923 SH SOLE 0 0 9923 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 373 9339 SH SOLE 0 0 9339 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 1854 38949 SH SOLE 0 0 38949 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 720 13161 SH SOLE 0 0 13161 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1876 63398 SH SOLE 0 0 63398 FIRST TR NASDAQ 100 TECH IND SHS 337345102 874 6332 SH SOLE 0 0 6332 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 213 68374 SH SOLE 0 0 68374 FORD MTR CO DEL COM 345370860 177 20093 SH SOLE 0 0 20093 GABELLI DIVID & INCOME TR COM 36242H104 288 13410 SH SOLE 0 0 13410 GABELLI EQUITY TR INC COM 362397101 158 25276 SH SOLE 0 0 25276 GUGGENHEIM STRATEGIC OPPORTU COM SBI 40167F101 210 10814 SH SOLE 0 0 10814 HARTFORD FDS EXCHANGE TRADED SHRT DURTN ETF 41653L602 231 5606 SH SOLE 0 0 5606 HOME DEPOT INC COM 437076102 532 2003 SH SOLE 0 0 2003 HONEYWELL INTL INC COM 438516106 212 998 SH SOLE 0 0 998 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 227 20026 SH SOLE 0 0 20026 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 382 25034 SH SOLE 0 0 25034 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 203 8694 SH SOLE 0 0 8694 INVESCO MUN OPPORTUNITY TR COM 46132C107 639 49820 SH SOLE 0 0 49820 INVESCO QQQ TR UNIT 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0 0 5885 ISHARES TR INTL SEL DIV ETF 464288448 488 16557 SH SOLE 0 0 16557 ISHARES TR JPMORGAN USD EMG 464288281 785 6777 SH SOLE 0 0 6777 ISHARES TR MORTGE REL ETF 46435G342 517 16242 SH SOLE 0 0 16242 ISHARES TR S&P 500 GRWT ETF 464287309 208 3256 SH SOLE 0 0 3256 ISHARES TR TIPS BD ETF 464287176 1732 13571 SH SOLE 0 0 13571 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1296 25681 SH SOLE 0 0 25681 JOHNSON & JOHNSON COM 478160104 459 2919 SH SOLE 0 0 2919 KANSAS CITY SOUTHERN COM NEW 485170302 890 4359 SH SOLE 0 0 4359 KINDER MORGAN INC DEL COM 49456B101 382 27972 SH SOLE 0 0 27972 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 217 31433 SH SOLE 0 0 31433 LIBERTY ALL-STAR GROWTH FD I COM 529900102 510 62188 SH SOLE 0 0 62188 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 236 5568 SH SOLE 0 0 5568 MAINSTAY MACKAY DEFINDTRM MU COM 56064K100 231 10617 SH SOLE 0 0 10617 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 1190 68684 SH SOLE 0 0 68684 MERCK & CO. INC COM 58933Y105 246 3011 SH SOLE 0 0 3011 MICROSOFT CORP COM 594918104 2764 12429 SH SOLE 0 0 12429 MORGAN STANLEY EMER MKTS DEB COM 61744H105 1309 141360 SH SOLE 0 0 141360 NANO DIMENSION LTD SPONSORD ADS NEW 63008G203 111 12200 SH SOLE 0 0 12200 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 150 15112 SH SOLE 0 0 15112 NORFOLK SOUTHN CORP COM 655844108 219 922 SH SOLE 0 0 922 NUVEEN AMT FREE MUN CR INC F COM 67071L106 169 10082 SH SOLE 0 0 10082 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 214 33749 SH SOLE 0 0 33749 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 249 17298 SH SOLE 0 0 17298 NUVEEN QUALITY MUNCP INCOME COM 67066V101 332 21582 SH SOLE 0 0 21582 PENNANTPARK INVT CORP COM 708062104 64 13930 SH SOLE 0 0 13930 PEPSICO INC COM 713448108 1064 7176 SH SOLE 0 0 7176 PFIZER INC COM 717081103 930 25265 SH SOLE 0 0 25265 PROCTER AND GAMBLE CO COM 742718109 484 3479 SH SOLE 0 0 3479 PROSHARES TR S&P MDCP 400 DIV 74347B680 522 8294 SH SOLE 0 0 8294 PUTNAM MANAGED MUN INCOME TR COM 746823103 321 39766 SH SOLE 0 0 39766 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 2465 530114 SH SOLE 0 0 530114 REALTY INCOME CORP COM 756109104 787 12663 SH SOLE 0 0 12663 SCHWAB STRATEGIC TR US TIPS ETF 808524870 706 11369 SH SOLE 0 0 11369 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 232 3700 SH SOLE 0 0 3700 SIRIUS XM HOLDINGS INC COM 82968B103 147 23000 SH SOLE 0 0 23000 SPDR S&P 500 ETF TR TR UNIT 78462F103 523 1399 SH SOLE 0 0 1399 SPDR SER TR BLMBRG BRC CNVRT 78464A359 456 5505 SH SOLE 0 0 5505 SPDR SER TR PORTFLI TIPS ETF 78464A656 1235 39635 SH SOLE 0 0 39635 SQUARE INC CL A 852234103 392 1800 SH SOLE 0 0 1800 STRYKER CORPORATION COM 863667101 245 1000 SH SOLE 0 0 1000 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 413 14336 SH SOLE 0 0 14336 TESLA INC COM 88160R101 206 292 SH SOLE 0 0 292 TRITON INTL LTD CL A G9078F107 704 14504 SH SOLE 0 0 14504 TWITTER INC COM 90184L102 233 4300 SH SOLE 0 0 4300 UBER TECHNOLOGIES INC COM 90353T100 708 13884 SH SOLE 0 0 13884 UNITED PARCEL SERVICE INC CL B 911312106 243 1443 SH SOLE 0 0 1443 UNITI GROUP INC COM 91325V108 174 14838 SH SOLE 0 0 14838 US BANCORP DEL COM NEW 902973304 1003 21518 SH SOLE 0 0 21518 VALERO ENERGY CORP COM 91913Y100 268 4738 SH SOLE 0 0 4738 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 243 3953 SH SOLE 0 0 3953 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 704 13773 SH SOLE 0 0 13773 VERIZON COMMUNICATIONS INC COM 92343V104 799 13608 SH SOLE 0 0 13608 VISA INC COM CL A 92826C839 428 1955 SH SOLE 0 0 1955 WALMART INC COM 931142103 1759 12206 SH SOLE 0 0 12206 WELLS FARGO CO NEW COM 949746101 693 22948 SH SOLE 0 0 22948 WESTERN ASSET EMERGING MKTS COM 95766A101 417 30026 SH SOLE 0 0 30026 WESTERN ASSET MTG DEFINED OP COM 95790B109 446 31454 SH SOLE 0 0 31454 ZOETIS INC CL A 98978V103 542 3273 SH SOLE 0 0 3273