Chief Compliance Officer

0001085146-21-001226.txt : 20210419 0001085146-21-001226.hdr.sgml : 20210419 20210419093720 ACCESSION NUMBER: 0001085146-21-001226 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210419 DATE AS OF CHANGE: 20210419 EFFECTIVENESS DATE: 20210419 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wambolt & Associates, LLC CENTRAL INDEX KEY: 0001755723 IRS NUMBER: 272153580 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18985 FILM NUMBER: 21833493 BUSINESS ADDRESS: STREET 1: 13976 W. BOWLES AVENUE, STE. 200 CITY: LITTLETON STATE: CO ZIP: 80127 BUSINESS PHONE: 720-962-6700 MAIL ADDRESS: STREET 1: 13976 W. BOWLES AVENUE, STE. 200 CITY: LITTLETON STATE: CO ZIP: 80127 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001755723 XXXXXXXX 03-31-2021 03-31-2021 false Wambolt & Associates, LLC

13976 W. BOWLES AVENUE, STE. 200 LITTLETON CO 80127

13F HOLDINGS REPORT 028-18985 N Greg Wambolt Chief Compliance Officer 720-962-6700 /s/ Greg Wambolt Littleton CO 04-13-2021 0 214 192135 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 222 1869 SH SOLE 1869 0 0 ABBVIE INC COM 00287Y109 1917 17662 SH SOLE 17662 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1098 3945 SH SOLE 3945 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 590 1221 SH SOLE 1221 0 0 AES CORP COM 00130H105 243 8969 SH SOLE 8969 0 0 AIR PRODS & CHEMS INC COM 009158106 997 3500 SH SOLE 3500 0 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 387 2278 SH SOLE 2278 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 337 1503 SH SOLE 1503 0 0 ALPHABET INC CAP STK CL A 02079K305 1523 715 SH SOLE 715 0 0 ALPHABET INC CAP STK CL C 02079K107 203 95 SH SOLE 95 0 0 ALPS ETF TR INTL SEC DV DOG 00162Q718 1556 56503 SH SOLE 56503 0 0 ALTRIA GROUP INC COM 02209S103 355 6955 SH SOLE 6955 0 0 AMAZON COM INC COM 023135106 506 160 SH SOLE 160 0 0 AMPHENOL CORP NEW CL A 032095101 558 8324 SH SOLE 8324 0 0 APOLLO GLOBAL MGMT INC COM CL A 03768E105 563 11719 SH SOLE 11719 0 0 APPLE INC COM 037833100 2832 23022 SH SOLE 23022 0 0 ARES CAPITAL CORP COM 04010L103 1660 87706 SH SOLE 87706 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 490 769 SH SOLE 769 0 0 AT&T INC COM 00206R102 1268 41603 SH SOLE 41603 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 492 2598 SH SOLE 2598 0 0 AVALONBAY CMNTYS INC COM 053484101 209 1116 SH SOLE 1116 0 0 BANCO SANTANDER S.A. ADR 05964H105 84 24559 SH SOLE 24559 0 0 BCE INC COM NEW 05534B760 798 17497 SH SOLE 17497 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1177 4560 SH SOLE 4560 0 0 BEST BUY INC COM 086516101 1623 14023 SH SOLE 14023 0 0 BHP GROUP LTD SPONSORED ADS 088606108 581 8350 SH SOLE 8350 0 0 BK OF AMERICA CORP COM 060505104 1435 36346 SH SOLE 36346 0 0 BLACKROCK INC COM 09247X101 1543 2012 SH SOLE 2012 0 0 BOOKING HOLDINGS INC COM 09857L108 996 418 SH SOLE 418 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 699 4511 SH SOLE 4511 0 0 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 617 14578 SH SOLE 14578 0 0 CHUBB LIMITED COM H1467J104 309 1941 SH SOLE 1941 0 0 CIGNA CORP NEW COM 125523100 606 2504 SH SOLE 2504 0 0 CINTAS CORP COM 172908105 326 936 SH SOLE 936 0 0 CISCO SYS INC COM 17275R102 277 5332 SH SOLE 5332 0 0 CITRIX SYS INC COM 177376100 340 2422 SH SOLE 2422 0 0 CME GROUP INC COM 12572Q105 341 1654 SH SOLE 1654 0 0 COCA COLA CO COM 191216100 523 9966 SH SOLE 9966 0 0 COLGATE PALMOLIVE CO COM 194162103 260 3312 SH SOLE 3312 0 0 CONOCOPHILLIPS COM 20825C104 1009 18670 SH SOLE 18670 0 0 CONSTELLATION BRANDS INC CL A 21036P108 900 3920 SH SOLE 3920 0 0 COPART INC COM 217204106 339 3014 SH SOLE 3014 0 0 CORNING INC COM 219350105 1081 24567 SH SOLE 24567 0 0 COSTCO WHSL CORP NEW COM 22160K105 207 583 SH SOLE 583 0 0 DANAHER CORPORATION COM 235851102 231 1027 SH SOLE 1027 0 0 DARDEN RESTAURANTS INC COM 237194105 260 1804 SH SOLE 1804 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1216 24904 SH SOLE 24904 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 692 4131 SH SOLE 4131 0 0 DIGITAL RLTY TR INC COM 253868103 1183 8261 SH SOLE 8261 0 0 DIREXION SHS ETF TR NAS100 EQL WGT 25459Y207 3423 43716 SH SOLE 43716 0 0 DISNEY WALT CO COM 254687106 1040 5501 SH SOLE 5501 0 0 DOLLAR GEN CORP NEW COM 256677105 924 4566 SH SOLE 4566 0 0 DOMINION ENERGY INC COM 25746U109 369 4878 SH SOLE 4878 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 624 6480 SH SOLE 6480 0 0 DUKE REALTY CORP COM NEW 264411505 1222 28519 SH SOLE 28519 0 0 EATON CORP PLC SHS G29183103 1531 10977 SH SOLE 10977 0 0 EMERSON ELEC CO COM 291011104 746 8252 SH SOLE 8252 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 343 15389 SH SOLE 15389 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 1509 27113 SH SOLE 27113 0 0 EVOKE PHARMA INC COM 30049G104 59 32000 SH SOLE 32000 0 0 FACEBOOK INC CL A 30303M102 2299 7698 SH SOLE 7698 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 227 5490 SH SOLE 5490 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 241 1671 SH SOLE 1671 0 0 FISERV INC COM 337738108 629 5152 SH SOLE 5152 0 0 FLEETCOR TECHNOLOGIES INC COM 339041105 400 1432 SH SOLE 1432 0 0 FORTUNE BRANDS HOME & SEC IN COM 34964C106 348 3587 SH SOLE 3587 0 0 FOUR CORNERS PPTY TR INC COM 35086T109 493 17420 SH SOLE 17420 0 0 GLADSTONE CAPITAL CORP COM 376535100 205 20118 SH SOLE 20118 0 0 GODADDY INC CL A 380237107 330 4115 SH SOLE 4115 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 367 1119 SH SOLE 1119 0 0 GOLUB CAP BDC INC COM 38173M102 301 19983 SH SOLE 19983 0 0 GRACO INC COM 384109104 233 3195 SH SOLE 3195 0 0 HOME DEPOT INC COM 437076102 983 3194 SH SOLE 3194 0 0 HONEYWELL INTL INC COM 438516106 745 3434 SH SOLE 3434 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 343 2571 SH SOLE 2571 0 0 INTUIT COM 461202103 1695 4288 SH SOLE 4288 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 345 462 SH SOLE 462 0 0 INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 46138E784 322 11934 SH SOLE 11934 0 0 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1514 100899 SH SOLE 100899 0 0 INVESCO EXCH TRADED FD TR II S&P INTL LOW 46138E230 1702 55636 SH SOLE 55636 0 0 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1587 27206 SH SOLE 27206 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 2489 112318 SH SOLE 112318 0 0 INVESCO EXCHANGE TRADED FD T S&P SML 600 EQ 46137V183 321 3953 SH SOLE 3953 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 3187 22273 SH SOLE 22273 0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 2203 13180 SH SOLE 13180 0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR VAL 46137V258 1317 17644 SH SOLE 17644 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 411 1265 SH SOLE 1265 0 0 IRON MTN INC NEW COM 46284V101 281 7533 SH SOLE 7533 0 0 ISHARES INC MSCI FRONTIER 464286145 277 9310 SH SOLE 9310 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 1355 29670 SH SOLE 29670 0 0 ISHARES TR COHEN STEER REIT 464287564 2582 43919 SH SOLE 43919 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 1390 14576 SH SOLE 14576 0 0 ISHARES TR CORE S&P500 ETF 464287200 513 1275 SH SOLE 1275 0 0 ISHARES TR EAFE GRWTH ETF 464288885 2461 24072 SH SOLE 24072 0 0 ISHARES TR EAFE VALUE ETF 464288877 1137 22148 SH SOLE 22148 0 0 ISHARES TR INTL SEL DIV ETF 464288448 348 10978 SH SOLE 10978 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 2538 46476 SH SOLE 46476 0 0 ISHARES TR ISHS 5-10YR INVT 464288638 2621 44224 SH SOLE 44224 0 0 ISHARES TR MSCI EAFE ETF 464287465 335 4364 SH SOLE 4364 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 1351 25091 SH SOLE 25091 0 0 ISHARES TR MSCI INDIA ETF 46429B598 499 11782 SH SOLE 11782 0 0 ISHARES TR S&P MC 400GR ETF 464287606 438 5498 SH SOLE 5498 0 0 ISHARES TR SELECT DIVID ETF 464287168 2068 18007 SH SOLE 18007 0 0 ITAU UNIBANCO HLDG S A SPON ADR REP PFD 465562106 74 15534 SH SOLE 15534 0 0 JOHNSON & JOHNSON COM 478160104 1181 7252 SH SOLE 7252 0 0 JPMORGAN CHASE & CO COM 46625H100 2139 13914 SH SOLE 13914 0 0 KIMBERLY-CLARK CORP COM 494368103 310 2264 SH SOLE 2264 0 0 LEIDOS HOLDINGS INC COM 525327102 1405 14565 SH SOLE 14565 0 0 LINCOLN NATL CORP IND COM 534187109 1230 19551 SH SOLE 19551 0 0 LOWES COS INC COM 548661107 1083 5663 SH SOLE 5663 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 463 4388 SH SOLE 4388 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 380 8606 SH SOLE 8606 0 0 MAIN STR CAP CORP COM 56035L104 2127 53382 SH SOLE 53382 0 0 MARKEL CORP COM 570535104 499 431 SH SOLE 431 0 0 MARTIN MARIETTA MATLS INC COM 573284106 266 797 SH SOLE 797 0 0 MASTERCARD INCORPORATED CL A 57636Q104 1213 3338 SH SOLE 3338 0 0 MATCH GROUP INC NEW COM 57667L107 380 2667 SH SOLE 2667 0 0 MCDONALDS CORP COM 580135101 1313 5832 SH SOLE 5832 0 0 MEDTRONIC PLC SHS G5960L103 1022 8645 SH SOLE 8645 0 0 MERCK & CO. INC COM 58933Y105 297 3855 SH SOLE 3855 0 0 METLIFE INC COM 59156R108 963 15635 SH SOLE 15635 0 0 MGM GROWTH PPTYS LLC CL A COM 55303A105 497 14768 SH SOLE 14768 0 0 MICROSOFT CORP COM 594918104 4487 18515 SH SOLE 18515 0 0 MONDELEZ INTL INC CL A 609207105 209 3578 SH SOLE 3578 0 0 NATIONAL GRID PLC SPONSORED ADR NE 636274409 532 8916 SH SOLE 8916 0 0 NEW MTN FIN CORP COM 647551100 247 19341 SH SOLE 19341 0 0 NEXTERA ENERGY INC COM 65339F101 559 7380 SH SOLE 7380 0 0 NOVARTIS AG SPONSORED ADR 66987V109 1147 13321 SH SOLE 13321 0 0 NVIDIA CORPORATION COM 67066G104 593 1074 SH SOLE 1074 0 0 ORACLE CORP COM 68389X105 448 6238 SH SOLE 6238 0 0 ORIX CORP SPONSORED ADR 686330101 885 10501 SH SOLE 10501 0 0 PAYCHEX INC COM 704326107 925 9370 SH SOLE 9370 0 0 PAYPAL HLDGS INC COM 70450Y103 896 3621 SH SOLE 3621 0 0 PDC ENERGY INC COM 69327R101 466 12944 SH SOLE 12944 0 0 PEPSICO INC COM 713448108 724 5127 SH SOLE 5127 0 0 PFIZER INC COM 717081103 1482 40837 SH SOLE 40837 0 0 PHILIP MORRIS INTL INC COM 718172109 526 5971 SH SOLE 5971 0 0 PIMCO ETF TR SHTRM MUN BD ACT 72201R874 204 3975 SH SOLE 3975 0 0 PROCTER AND GAMBLE CO COM 742718109 1470 10948 SH SOLE 10948 0 0 PROLOGIS INC. COM 74340W103 1647 15177 SH SOLE 15177 0 0 PROSPERITY BANCSHARES INC COM 743606105 685 8991 SH SOLE 8991 0 0 PRUDENTIAL FINL INC COM 744320102 532 5733 SH SOLE 5733 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1027 13286 SH SOLE 13286 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 2367 112400 SH SOLE 112400 0 0 ROYAL BK CDA COM 780087102 1323 14304 SH SOLE 14304 0 0 S&P GLOBAL INC COM 78409V104 499 1375 SH SOLE 1375 0 0 SAP SE SPON ADR 803054204 460 3661 SH SOLE 3661 0 0 SCIENCE APPLICATIONS INTL CO COM 808625107 424 5137 SH SOLE 5137 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 322 1900 SH SOLE 1900 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 324 5071 SH SOLE 5071 0 0 SHERWIN WILLIAMS CO COM 824348106 774 3099 SH SOLE 3099 0 0 SIXTH STREET SPECIALTY LENDN COM 83012A109 1463 68553 SH SOLE 68553 0 0 SLR INVESTMENT CORP COM 83413U100 275 15166 SH SOLE 15166 0 0 SOUTHWEST AIRLS CO COM 844741108 658 10730 SH SOLE 10730 0 0 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 2214 75476 SH SOLE 75476 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 217 6047 SH SOLE 6047 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1489 3718 SH SOLE 3718 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 222 460 SH SOLE 460 0 0 SPDR SER TR AEROSPACE DEF 78464A631 422 3338 SH SOLE 3338 0 0 SPDR SER TR BLOMBERG BRC INV 78468R200 205 6683 SH SOLE 6683 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 1180 20610 SH SOLE 20610 0 0 SPDR SER TR PRTFLO S&P500 HI 78468R788 222 5693 SH SOLE 5693 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 387 10144 SH SOLE 10144 0 0 SPDR SER TR RUSSELL YIELD 78468R770 272 3007 SH SOLE 3007 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 2516 32986 SH SOLE 32986 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 1740 26288 SH SOLE 26288 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 1828 20944 SH SOLE 20944 0 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 1210 14607 SH SOLE 14607 0 0 STARBUCKS CORP COM 855244109 488 4465 SH SOLE 4465 0 0 STERIS PLC SHS USD G8473T100 453 2341 SH SOLE 2341 0 0 SUN LIFE FINANCIAL INC. COM 866796105 664 13005 SH SOLE 13005 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1430 11455 SH SOLE 11455 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 507 2817 SH SOLE 2817 0 0 TELEFLEX INCORPORATED COM 879369106 281 679 SH SOLE 679 0 0 TEXAS INSTRS INC COM 882508104 732 3810 SH SOLE 3810 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1031 2260 SH SOLE 2260 0 0 TJX COS INC NEW COM 872540109 469 7109 SH SOLE 7109 0 0 TOTAL SE SPONSORED ADS 89151E109 419 9032 SH SOLE 9032 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 835 5417 SH SOLE 5417 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 848 5128 SH SOLE 5128 0 0 ULTA BEAUTY INC COM 90384S303 507 1618 SH SOLE 1618 0 0 UNILEVER PLC SPON ADR NEW 904767704 672 12034 SH SOLE 12034 0 0 UNION PAC CORP COM 907818108 523 2374 SH SOLE 2374 0 0 UNITED PARCEL SERVICE INC CL B 911312106 5913 34525 SH SOLE 34525 0 0 UNITEDHEALTH GROUP INC COM 91324P102 823 2242 SH SOLE 2242 0 0 VAIL RESORTS INC COM 91879Q109 904 3063 SH SOLE 3063 0 0 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 203 12610 SH SOLE 12610 0 0 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 1183 46674 SH SOLE 46674 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 556 2331 SH SOLE 2331 0 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 290 2106 SH SOLE 2106 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 684 3135 SH SOLE 3135 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 570 4186 SH SOLE 4186 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 441 1966 SH SOLE 1966 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 902 9641 SH SOLE 9641 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 566 3375 SH SOLE 3375 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 334 1538 SH SOLE 1538 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1474 5273 SH SOLE 5273 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 220 3576 SH SOLE 3576 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 675 12847 SH SOLE 12847 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 376 4560 SH SOLE 4560 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 252 5075 SH SOLE 5075 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 701 6899 SH SOLE 6899 0 0 VENTAS INC COM 92276F100 288 5295 SH SOLE 5295 0 0 VERITONE INC COM 92347M100 245 10000 SH SOLE 10000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1285 22043 SH SOLE 22043 0 0 VISA INC COM CL A 92826C839 1816 8375 SH SOLE 8375 0 0 WALMART INC COM 931142103 1649 12162 SH SOLE 12162 0 0 WASTE MGMT INC DEL COM 94106L109 1617 12504 SH SOLE 12504 0 0 WELLTOWER INC COM 95040Q104 445 6078 SH SOLE 6078 0 0 WISDOMTREE TR US MIDCAP DIVID 97717W505 533 13018 SH SOLE 13018 0 0 WISDOMTREE TR US SMALLCAP DIVD 97717W604 593 18827 SH SOLE 18827 0 0 WP CAREY INC COM 92936U109 984 13597 SH SOLE 13597 0 0 XCEL ENERGY INC COM 98389B100 839 12566 SH SOLE 12566 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 489 994 SH SOLE 994 0 0