CHIEF COMPLIANCE OFFICER

0001743413-20-000005.txt : 20201116 0001743413-20-000005.hdr.sgml : 20201116 20201116101104 ACCESSION NUMBER: 0001743413-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Principle Wealth Partners LLC CENTRAL INDEX KEY: 0001743413 IRS NUMBER: 822283737 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19590 FILM NUMBER: 201314347 BUSINESS ADDRESS: STREET 1: 670 BOSTON POSTROAD CITY: MADISON STATE: CT ZIP: 06443 BUSINESS PHONE: 2033188892 MAIL ADDRESS: STREET 1: 670 BOSTON POSTROAD CITY: MADISON STATE: CT ZIP: 06443 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001743413 XXXXXXXX 09-30-2020 09-30-2020 Principle Wealth Partners LLC

670 BOSTON POSTROAD MADISON CT 06443

13F HOLDINGS REPORT 028-19590 N Michael Castiello CHIEF COMPLIANCE OFFICER (203) 318-8892 Michael Castiello Madison CT 11-16-2020 1 155 358876 false 1 Gilman Hill INFORMATION TABLE 2 13F-PWPQ32020.xml 3M CO COM Stock 88579Y101 438 2736 SH SOLE 2735 0 0 ABBOTT LABS COM Stock 002824100 522 4798 SH SOLE 4798 0 0 ADOBE SYSTEMS INCORPORATED COM Stock 00724F101 441 900 SH SOLE 900 0 0 ALLSTATE CORP COM Stock 020002101 2360 25073 SH SOLE 25073 0 0 ALPHABET INC CAP STK CL A Stock 02079K305 3652 2492 SH SOLE 2492 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 4016 2733 SH SOLE 2733 0 0 ALTRIA GROUP INC COM Stock 02209S103 420 10858 SH SOLE 10858 0 0 AMAZON COM INC COM Stock 023135106 14154 4495 SH SOLE 4495 0 0 AMERICAN ELEC PWR CO INC COM Stock 025537101 230 2814 SH SOLE 2814 0 0 AMERICAN EXPRESS CO COM Stock 025816109 206 2052 SH SOLE 2052 0 0 AMERICAN EXPRESS CO COM Stock 025816109 217 2167 SH DFND 1 0 2167 0 AMERICAN TOWER CORP NEW COM REIT 03027X100 681 2816 SH SOLE 2816 0 0 AMGEN INC COM Stock 031162100 14710 57877 SH SOLE 57877 0 0 APPLE INC COM Stock 037833100 28743 248189 SH SOLE 248189 0 0 ARK GENOMIC REVOLUTION ETF ETF 00214Q302 276 4327 SH SOLE 4327 0 0 ARK INNOVATION ETF ETF 00214Q104 3283 35688 SH SOLE 35688 0 0 AT&T INC COM Stock 00206R102 323 11662 SH SOLE 11332 0 0 AVANGRID INC COM Stock 05351W103 471 9340 SH SOLE 9340 0 0 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 2880 9 SH SOLE 9 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 2910 13667 SH SOLE 13667 0 0 BK OF AMERICA CORP 7.25CNV PFD L Convertible Preferred 060505682 863 580 SH SOLE 580 0 0 BK OF AMERICA CORP COM Stock 060505104 2624 108933 SH SOLE 108932 0 0 BLACKROCK INC COM Stock 09247X101 384 682 SH SOLE 682 0 0 BLACKSTONE GROUP INC COM CL A Stock 09260D107 830 15900 SH SOLE 15900 0 0 BOEING CO COM Stock 097023105 7031 42547 SH SOLE 42546 0 0 BRISTOL-MYERS SQUIBB CO COM Stock 110122108 563 9332 SH SOLE 9332 0 0 CARRIER GLOBAL CORPORATION COM Stock 14448C104 234 7646 SH SOLE 7646 0 0 CHEVRON CORP NEW COM Stock 166764100 651 9043 SH SOLE 9043 0 0 CISCO SYS INC COM Stock 17275R102 743 18855 SH SOLE 18854 0 0 CME GROUP INC COM Stock 12572Q105 448 2675 SH SOLE 2675 0 0 COCA COLA CO COM Stock 191216100 517 10469 SH SOLE 10469 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 224 2900 SH SOLE 2900 0 0 COMCAST CORP NEW CL A Stock 20030N101 441 9538 SH SOLE 9538 0 0 CONOCOPHILLIPS COM Stock 20825C104 1534 46718 SH SOLE 46718 0 0 CORTEVA INC COM Stock 22052L104 320 11112 SH SOLE 11112 0 0 COSTCO WHSL CORP NEW COM Stock 22160K105 398 1120 SH SOLE 1120 0 0 CUMMINS INC COM Stock 231021106 341 1617 SH SOLE 1617 0 0 CVS HEALTH CORP COM Stock 126650100 1263 21620 SH SOLE 21620 0 0 DANAHER CORPORATION COM Stock 235851102 596 2770 SH SOLE 2770 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 1580 12734 SH SOLE 12734 0 0 DOW INC COM Stock 260557103 592 12583 SH SOLE 12583 0 0 DUNKIN BRANDS GROUP INC COM Stock 265504100 307 3750 SH DFND 1 0 3750 0 DUPONT DE NEMOURS INC COM Stock 26614N102 616 11112 SH SOLE 11112 0 0 EATON VANCE TAX-MANAGED BUY- W COM CEF 27828Y108 301 21800 SH SOLE 21800 0 0 EATON VANCE TAX-MANAGED DIVERS COM CEF 27828N102 131 12000 SH SOLE 12000 0 0 EXXON MOBIL CORP COM Stock 30231G102 535 15572 SH SOLE 15572 0 0 FACEBOOK INC CL A Stock 30303M102 2169 8282 SH SOLE 8282 0 0 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 436 18095 SH SOLE 18095 0 0 FIRST TRUST CAPITAL STRENGTH ETF ETF 33733E104 862 13620 SH SOLE 13620 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1867 36130 SH SOLE 36130 0 0 FIRST TRUST MANAGED MUNICIPAL ETF ETF 33739N108 239 4300 SH SOLE 4300 0 0 FIRST TRUST PREFERRED SECURITIES AND INCOME ETF ETF 33739E108 356 18574 SH SOLE 18574 0 0 FIRST TRUST SHORT DURATION MANAGED MUNICIPAL ETF ETF 33739P830 1346 65158 SH SOLE 65158 0 0 FISERV INC COM Stock 337738108 206 2000 SH SOLE 2000 0 0 GENERAL DYNAMICS CORP COM Stock 369550108 2014 14551 SH SOLE 14551 0 0 GENERAL ELECTRIC CO COM Stock 369604103 1080 173402 SH SOLE 173402 0 0 GOLDMAN SACHS GROUP INC COM Stock 38141G104 2191 10903 SH SOLE 10903 0 0 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 487 4617 SH SOLE 4617 0 0 HOLOGIC INC COM Stock 436440101 366 5500 SH SOLE 5500 0 0 HOME DEPOT INC COM Stock 437076102 4158 14974 SH SOLE 14973 0 0 HONEYWELL INTL INC COM Stock 438516106 678 4120 SH SOLE 4120 0 0 INTEL CORP COM Stock 458140100 6474 125020 SH SOLE 125020 0 0 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 2088 17158 SH SOLE 17158 0 0 INTUIT COM Stock 461202103 294 900 SH SOLE 900 0 0 INVESCO DWA MOMENTUM ETF ETF 46137V837 336 4395 SH SOLE 4395 0 0 INVESCO FTSE RAFI US 1000 ETF ETF 46137V613 765 6724 SH SOLE 6724 0 0 INVESCO QQQ TRUST ETF 46090E103 1770 6370 SH SOLE 6370 0 0 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 481 4448 SH SOLE 4448 0 0 IQVIA HLDGS INC COM Stock 46266C105 303 1920 SH SOLE 1920 0 0 ISHARES COMEX GOLD TRUST ETF 464285105 609 33854 SH SOLE 33854 0 0 ISHARES CORE S&P 500 ETF ETF 464287200 301 896 SH SOLE 896 0 0 ISHARES MSCI USA MIN VOL FACTOR ETF ETF 46429B697 255 4000 SH SOLE 4000 0 0 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 306 2263 SH SOLE 2263 0 0 ISHARES PREFERRED AND INCOME SECURITIES ETF ETF 464288687 353 9688 SH SOLE 9687 0 0 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 241 1110 SH SOLE 1110 0 0 ISHARES S&P 500 GROWTH ETF ETF 464287309 337 1458 SH SOLE 1458 0 0 ISHARES S&P MIDCAP FUND ETF 464287507 298 1609 SH SOLE 1609 0 0 ISHARES U.S. AEROSPACE & DEFENSE ETF ETF 464288760 1230 7767 SH SOLE 7767 0 0 ISHARES U.S. HEALTHCARE ETF ETF 464287762 205 902 SH SOLE 902 0 0 ISHARES U.S. TECHNOLOGY ETF ETF 464287721 922 3064 SH SOLE 3064 0 0 JOHNSON & JOHNSON COM Stock 478160104 8248 55399 SH SOLE 55399 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 3653 37941 SH SOLE 37941 0 0 KIMBERLY CLARK CORP COM Stock 494368103 537 3640 SH SOLE 3640 0 0 KKR & CO INC COM Stock 48251W104 304 8850 SH SOLE 8850 0 0 LILLY ELI & CO COM Stock 532457108 285 1925 SH SOLE 1925 0 0 LOCKHEED MARTIN CORP 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