Vice President, Chief Compliance Officer

0001172661-19-001813.txt : 20190814 0001172661-19-001813.hdr.sgml : 20190814 20190814124958 ACCESSION NUMBER: 0001172661-19-001813 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Gladstone Institutional Advisory LLC CENTRAL INDEX KEY: 0001766530 IRS NUMBER: 474043338 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19151 FILM NUMBER: 191024734 BUSINESS ADDRESS: STREET 1: 1400 US HIGHWAY 206 STREET 2: SUITE 100 CITY: BEDMINSTER STATE: NJ ZIP: 07921 BUSINESS PHONE: 908-719-1313 MAIL ADDRESS: STREET 1: 1400 US HIGHWAY 206 STREET 2: SUITE 100 CITY: BEDMINSTER STATE: NJ ZIP: 07921 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001766530 XXXXXXXX 06-30-2019 06-30-2019 false Gladstone Institutional Advisory LLC

1400 Us Highway 206 Suite 100 Bedminster NJ 07921

13F HOLDINGS REPORT 028-19151 N Robert Slomin Vice President, Chief Compliance Officer 201-939-6644 /s/ Robert Slomin Paramus NJ 08-14-2019 1 386 328213 1 0000080386 LPL FINANCIAL LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 318 1831 SH SOLE 0 0 1831 3M CO COM 88579Y101 68 392 SH DFND 1 0 0 392 ABBOTT LABS COM 002824100 148 1755 SH DFND 1 0 0 1755 ABBOTT LABS COM 002824100 53 630 SH SOLE 0 0 630 ABBVIE INC COM 00287Y109 10 136 SH DFND 1 0 0 136 ABBVIE INC COM 00287Y109 865 11894 SH SOLE 0 0 11894 ABIOMED INC COM 003654100 262 1005 SH SOLE 0 0 1005 ADOBE INC COM 00724F101 12 42 SH DFND 1 0 0 42 ADOBE INC COM 00724F101 209 709 SH SOLE 0 0 709 ADVANCED EMISSIONS SOLUTS IN COM 00770C101 232 18349 SH SOLE 0 0 18349 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 99 587 SH DFND 1 0 0 587 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 800 4722 SH SOLE 0 0 4722 ALLERGAN PLC SHS G0177J108 68 407 SH SOLE 0 0 407 ALLERGAN PLC SHS G0177J108 165 985 SH DFND 1 0 0 985 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 233 7843 SH SOLE 0 0 7843 ALLIANZGI CONV INCOME FD COM 018828103 76 13500 SH SOLE 0 0 13500 ALPHABET INC CAP STK CL A 02079K305 129 119 SH DFND 1 0 0 119 ALPHABET INC CAP STK CL A 02079K305 676 624 SH SOLE 0 0 624 ALPHABET INC CAP STK CL C 02079K107 99 92 SH DFND 1 0 0 92 ALPHABET INC CAP STK CL C 02079K107 500 463 SH SOLE 0 0 463 ALPS ETF TR MED BREAKTHGH 00162Q593 245 6778 SH SOLE 0 0 6778 ALTRIA GROUP INC COM 02209S103 99 2083 SH DFND 1 0 0 2083 ALTRIA GROUP INC COM 02209S103 344 7272 SH SOLE 0 0 7272 AMAZON COM INC COM 023135106 292 154 SH DFND 1 0 0 154 AMAZON COM INC COM 023135106 3007 1588 SH SOLE 0 0 1588 AMERICAN EXPRESS CO COM 025816109 95 766 SH DFND 1 0 0 766 AMERICAN EXPRESS CO COM 025816109 198 1604 SH SOLE 0 0 1604 AMGEN INC COM 031162100 81 439 SH DFND 1 0 0 439 AMGEN INC COM 031162100 308 1669 SH SOLE 0 0 1669 APPLE INC COM 037833100 327 1652 SH DFND 1 0 0 1652 APPLE INC COM 037833100 2520 12731 SH SOLE 0 0 12731 ARK ETF TR INNOVATION ETF 00214Q104 287 5987 SH SOLE 0 0 5987 AT&T INC COM 00206R102 121 3610 SH DFND 1 0 0 3610 AT&T INC COM 00206R102 853 25462 SH SOLE 0 0 25462 AURORA CANNABIS INC COM 05156X108 99 12630 SH SOLE 0 0 12630 AUTODESK INC COM 052769106 216 1328 SH DFND 1 0 0 1328 AUTODESK INC COM 052769106 15 93 SH SOLE 0 0 93 BANK AMER CORP COM 060505104 60 2052 SH DFND 1 0 0 2052 BANK AMER CORP COM 060505104 389 13407 SH SOLE 0 0 13407 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 220 1032 SH DFND 1 0 0 1032 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 702 3295 SH SOLE 0 0 3295 BLACKROCK 2022 GBL INCM OPP COM 09258P104 165 17500 SH SOLE 0 0 17500 BLACKROCK INC COM 09247X101 152 323 SH DFND 1 0 0 323 BLACKROCK INC COM 09247X101 79 167 SH SOLE 0 0 167 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 426 9581 SH SOLE 0 0 9581 BOEING CO COM 097023105 311 853 SH SOLE 0 0 853 BOEING CO COM 097023105 45 123 SH DFND 1 0 0 123 BP PLC SPONSORED ADR 055622104 230 5507 SH DFND 1 0 0 5507 BP PLC SPONSORED ADR 055622104 337 8093 SH SOLE 0 0 8093 BROADCOM INC COM 11135F101 128 446 SH DFND 1 0 0 446 BROADCOM INC COM 11135F101 247 856 SH SOLE 0 0 856 CAPITAL ONE FINL CORP COM 14040H105 12 133 SH DFND 1 0 0 133 CAPITAL ONE FINL CORP COM 14040H105 209 2302 SH SOLE 0 0 2302 CELGENE CORP COM 151020104 22 242 SH DFND 1 0 0 242 CELGENE CORP COM 151020104 217 2349 SH SOLE 0 0 2349 CHEVRON CORP NEW COM 166764100 138 1110 SH DFND 1 0 0 1110 CHEVRON CORP NEW COM 166764100 421 3382 SH SOLE 0 0 3382 CHUBB LIMITED COM H1467J104 34 230 SH SOLE 0 0 230 CHUBB LIMITED COM H1467J104 192 1302 SH DFND 1 0 0 1302 CISCO SYS INC COM 17275R102 368 6715 SH DFND 1 0 0 6715 CISCO SYS INC COM 17275R102 666 12163 SH SOLE 0 0 12163 COCA COLA CO COM 191216100 139 2726 SH DFND 1 0 0 2726 COCA COLA CO COM 191216100 278 5467 SH SOLE 0 0 5467 COLGATE PALMOLIVE CO COM 194162103 77 1081 SH DFND 1 0 0 1081 COLGATE PALMOLIVE CO COM 194162103 177 2466 SH SOLE 0 0 2466 COMCAST CORP NEW CL A 20030N101 292 6918 SH DFND 1 0 0 6918 COMCAST CORP NEW CL A 20030N101 153 3617 SH SOLE 0 0 3617 CONSTELLATION BRANDS INC CL A 21036P108 212 1074 SH SOLE 0 0 1074 DISNEY WALT CO COM DISNEY 254687106 618 4425 SH SOLE 0 0 4425 DISNEY WALT CO COM DISNEY 254687106 136 977 SH DFND 1 0 0 977 ELECTRONIC ARTS INC COM 285512109 7 67 SH DFND 1 0 0 67 ELECTRONIC ARTS INC COM 285512109 258 2550 SH SOLE 0 0 2550 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 283 8935 SH SOLE 0 0 8935 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 290 7304 SH SOLE 0 0 7304 EXXON MOBIL CORP COM 30231G102 25 324 SH DFND 1 0 0 324 EXXON MOBIL CORP COM 30231G102 278 3628 SH SOLE 0 0 3628 FACEBOOK INC CL A 30303M102 190 987 SH DFND 1 0 0 987 FACEBOOK INC CL A 30303M102 842 4365 SH SOLE 0 0 4365 FIDELITY DIVID ETF RISI 316092832 1625 50908 SH SOLE 0 0 50908 FIDELITY HIGH DIVID ETF 316092840 1227 41304 SH SOLE 0 0 41304 FIDELITY TOTAL BD ETF 316188309 1333 26108 SH SOLE 0 0 26108 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 5254 100424 SH SOLE 0 0 100424 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 2522 100096 SH SOLE 0 0 100096 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 2475 45198 SH SOLE 0 0 45198 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1045 18092 SH SOLE 0 0 18092 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 253 5542 SH SOLE 0 0 5542 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 449 19538 SH SOLE 0 0 19538 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 36 250 SH DFND 1 0 0 250 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 3301 22951 SH SOLE 0 0 22951 FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 488 18158 SH SOLE 0 0 18158 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 15273 254335 SH SOLE 0 0 254335 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 497 26881 SH SOLE 0 0 26881 FIRST TR EXCHANGE TRADED FD NASD TECH DIV 33738R118 503 12879 SH SOLE 0 0 12879 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1441 30585 SH SOLE 0 0 30585 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 7581 241817 SH SOLE 0 0 241817 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 996 14974 SH SOLE 0 0 14974 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 460 23737 SH SOLE 0 0 23737 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 251 4840 SH SOLE 0 0 4840 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 740 28750 SH SOLE 0 0 28750 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 2388 69227 SH SOLE 0 0 69227 FIRST TR EXCNGE TRD ALPHADEX MID CP GR ALPH 33737M102 3966 87678 SH SOLE 0 0 87678 FIRST TR EXCNGE TRD ALPHADEX SML CAP VAL AL 33737M409 2267 65633 SH SOLE 0 0 65633 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 2359 50680 SH SOLE 0 0 50680 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 5076 72171 SH SOLE 0 0 72171 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 8155 156399 SH SOLE 0 0 156399 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 1650 26947 SH SOLE 0 0 26947 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 2577 37462 SH SOLE 0 0 37462 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 841 12612 SH SOLE 0 0 12612 FIRST TR NASDAQ ABA CMNTY BK UT COM SHS ETF 33736Q104 521 10854 SH SOLE 0 0 10854 FIRST TR NASDAQ100 TECH INDE SHS 337345102 1636 19134 SH SOLE 0 0 19134 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2099 34136 SH SOLE 0 0 34136 FIRST TR VALUE LINE DIVID IN SHS 33734H106 774 22946 SH SOLE 0 0 22946 GENERAL ELECTRIC CO COM 369604103 44 4187 SH DFND 1 0 0 4187 GENERAL ELECTRIC CO COM 369604103 108 10330 SH SOLE 0 0 10330 GENERAL MTRS CO COM 37045V100 12 308 SH DFND 1 0 0 308 GENERAL MTRS CO COM 37045V100 232 6019 SH SOLE 0 0 6019 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 87 2181 SH DFND 1 0 0 2181 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 240 5992 SH SOLE 0 0 5992 GLOBAL X FDS GLB X MLP ENRG I 37950E226 310 23963 SH DFND 1 0 0 23963 GLOBAL X FDS GLB X MLP ENRG I 37950E226 19 1504 SH SOLE 0 0 1504 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 2405 40928 SH SOLE 0 0 40928 GRACO INC COM 384109104 1478 29459 SH SOLE 0 0 29459 HARTFORD FDS EXCHANGE TRADE MUN OPORTUNITE 41653L503 213 5126 SH SOLE 0 0 5126 HOME DEPOT INC COM 437076102 90 431 SH DFND 1 0 0 431 HOME DEPOT INC COM 437076102 227 1092 SH SOLE 0 0 1092 HONEYWELL INTL INC COM 438516106 294 1685 SH SOLE 0 0 1685 HONEYWELL INTL INC COM 438516106 159 911 SH DFND 1 0 0 911 HUBSPOT INC COM 443573100 242 1422 SH SOLE 0 0 1422 ILLUMINA INC COM 452327109 607 1649 SH SOLE 0 0 1649 ILLUMINA INC COM 452327109 25 69 SH DFND 1 0 0 69 INTEL CORP COM 458140100 169 3532 SH DFND 1 0 0 3532 INTEL CORP COM 458140100 319 6669 SH SOLE 0 0 6669 INTERNATIONAL BUSINESS MACHS COM 459200101 83 603 SH DFND 1 0 0 603 INTERNATIONAL BUSINESS MACHS COM 459200101 464 3362 SH SOLE 0 0 3362 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 351 16641 SH SOLE 0 0 16641 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 580 24063 SH SOLE 0 0 24063 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 462 18692 SH SOLE 0 0 18692 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 482 4136 SH DFND 1 0 0 4136 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 1659 14221 SH SOLE 0 0 14221 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 436 4040 SH SOLE 0 0 4040 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 700 36939 SH SOLE 0 0 36939 INVESCO EXCHNG TRADED FD TR NATL AMT MUNI 46138E537 567 21687 SH SOLE 0 0 21687 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 609 11872 SH SOLE 0 0 11872 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1001 26574 SH SOLE 0 0 26574 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 378 8978 SH SOLE 0 0 8978 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 858 37877 SH SOLE 0 0 37877 INVESCO HIGH INCOME 2023 TAR COM 46135X108 131 12500 SH SOLE 0 0 12500 INVESCO QQQ TR UNIT SER 1 46090E103 842 4509 SH SOLE 0 0 4509 ISHARES INC CORE MSCI EMKT 46434G103 1513 29412 SH DFND 1 0 0 29412 ISHARES INC CORE MSCI EMKT 46434G103 914 17759 SH SOLE 0 0 17759 ISHARES INC MIN VOL EMRG MKT 464286533 567 9633 SH SOLE 0 0 9633 ISHARES INC MIN VOL GBL ETF 464286525 736 7987 SH SOLE 0 0 7987 ISHARES TR CONV BD ETF 46435G102 459 7709 SH SOLE 0 0 7709 ISHARES TR CORE DIV GRWTH 46434V621 900 23549 SH SOLE 0 0 23549 ISHARES TR CORE MSCI EAFE 46432F842 578 9408 SH DFND 1 0 0 9408 ISHARES TR CORE MSCI EAFE 46432F842 1564 25464 SH SOLE 0 0 25464 ISHARES TR CORE MSCI TOTAL 46432F834 847 14445 SH SOLE 0 0 14445 ISHARES TR CORE S&P MCP ETF 464287507 1555 8004 SH DFND 1 0 0 8004 ISHARES TR CORE S&P MCP ETF 464287507 1386 7133 SH SOLE 0 0 7133 ISHARES TR CORE S&P SCP ETF 464287804 1096 14001 SH SOLE 0 0 14001 ISHARES TR CORE S&P TTL STK 464287150 5346 80235 SH SOLE 0 0 80235 ISHARES TR CORE S&P US GWT 464287671 263 4191 SH SOLE 0 0 4191 ISHARES TR CORE S&P US GWT 464287671 1619 25833 SH DFND 1 0 0 25833 ISHARES TR CORE S&P US VLU 464287663 231 4082 SH SOLE 0 0 4082 ISHARES TR CORE S&P US VLU 464287663 1213 21409 SH DFND 1 0 0 21409 ISHARES TR CORE S&P500 ETF 464287200 9897 33576 SH SOLE 0 0 33576 ISHARES TR CORE US AGGBD ET 464287226 4523 40617 SH SOLE 0 0 40617 ISHARES TR EXPANDED TECH 464287515 318 1455 SH SOLE 0 0 1455 ISHARES TR EXPND TEC SC ETF 464287549 301 1394 SH SOLE 0 0 1394 ISHARES TR EXPONENTIAL TECH 46434V381 1001 25955 SH SOLE 0 0 25955 ISHARES TR FLTG RATE NT ETF 46429B655 627 12308 SH DFND 1 0 0 12308 ISHARES TR FLTG RATE NT ETF 46429B655 366 7191 SH SOLE 0 0 7191 ISHARES TR HDG MSCI EAFE 46434V803 671 22509 SH SOLE 0 0 22509 ISHARES TR IBONDS DEC2023 46435G318 312 12125 SH SOLE 0 0 12125 ISHARES TR IBOXX HI YD ETF 464288513 245 2814 SH SOLE 0 0 2814 ISHARES TR IBOXX INV CP ETF 464287242 218 1756 SH DFND 1 0 0 1756 ISHARES TR IBOXX INV CP ETF 464287242 212 1704 SH SOLE 0 0 1704 ISHARES TR INTRM TR CRP ETF 464288638 238 4171 SH SOLE 0 0 4171 ISHARES TR JPMORGAN USD EMG 464288281 674 5948 SH SOLE 0 0 5948 ISHARES TR JPMORGAN USD EMG 464288281 3 26 SH DFND 1 0 0 26 ISHARES TR MBS ETF 464288588 112 1045 SH DFND 1 0 0 1045 ISHARES TR MBS ETF 464288588 175 1625 SH SOLE 0 0 1625 ISHARES TR MIN VOL USA ETF 46429B697 6084 98551 SH SOLE 0 0 98551 ISHARES TR MRGSTR MD CP GRW 464288307 669 2660 SH SOLE 0 0 2660 ISHARES TR MSCI EAFE ETF 464287465 233 3540 SH SOLE 0 0 3540 ISHARES TR NA TEC MULTM ETF 464287531 288 5296 SH SOLE 0 0 5296 ISHARES TR NASDAQ BIOTECH 464287556 518 4751 SH SOLE 0 0 4751 ISHARES TR PFD AND INCM SEC 464288687 687 18644 SH SOLE 0 0 18644 ISHARES TR PHLX SEMICND ETF 464287523 298 1504 SH SOLE 0 0 1504 ISHARES TR RUS 1000 GRW ETF 464287614 893 5673 SH SOLE 0 0 5673 ISHARES TR RUS 1000 VAL ETF 464287598 811 6373 SH SOLE 0 0 6373 ISHARES TR RUS 2000 GRW ETF 464287648 445 2212 SH SOLE 0 0 2212 ISHARES TR RUS MD CP GR ETF 464287481 217 1519 SH SOLE 0 0 1519 ISHARES TR RUSSELL 2000 ETF 464287655 760 4887 SH DFND 1 0 0 4887 ISHARES TR RUSSELL 2000 ETF 464287655 151 973 SH SOLE 0 0 973 ISHARES TR S&P 500 GRWT ETF 464287309 863 4812 SH SOLE 0 0 4812 ISHARES TR S&P 500 VAL ETF 464287408 1848 15856 SH SOLE 0 0 15856 ISHARES TR SHORT TREAS BD 464288679 634 5731 SH DFND 1 0 0 5731 ISHARES TR TIPS BD ETF 464287176 399 3454 SH DFND 1 0 0 3454 ISHARES TR TIPS BD ETF 464287176 54 471 SH SOLE 0 0 471 ISHARES TR U.S. CNSM SV ETF 464287580 307 1412 SH SOLE 0 0 1412 ISHARES TR U.S. FIN SVC ETF 464287770 305 2278 SH SOLE 0 0 2278 ISHARES TR U.S. TECH ETF 464287721 377 1907 SH SOLE 0 0 1907 ISHARES TR U.S. UTILITS ETF 464287697 314 2082 SH SOLE 0 0 2082 ISHARES TR US INDUSTRIALS 464287754 309 1952 SH SOLE 0 0 1952 ISHARES TR USA MOMENTUM FCT 46432F396 2131 17966 SH SOLE 0 0 17966 ISHARES US ETF TR SHT MAT BD ETF 46431W507 20 388 SH DFND 1 0 0 388 ISHARES US ETF TR SHT MAT BD ETF 46431W507 437 8678 SH SOLE 0 0 8678 JANUS DETROIT STR TR HENDERSN SML ETF 47103U209 1053 23261 SH SOLE 0 0 23261 JANUS DETROIT STR TR HENDERSON MTG 47103U852 737 14189 SH SOLE 0 0 14189 JD COM INC SPON ADR CL A 47215P106 221 7312 SH SOLE 0 0 7312 JOHNSON & JOHNSON COM 478160104 291 2089 SH DFND 1 0 0 2089 JOHNSON & JOHNSON COM 478160104 592 4248 SH SOLE 0 0 4248 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 948 18818 SH SOLE 0 0 18818 JPMORGAN CHASE & CO COM 46625H100 531 4747 SH SOLE 0 0 4747 JPMORGAN CHASE & CO COM 46625H100 145 1297 SH DFND 1 0 0 1297 KINDER MORGAN INC DEL COM 49456B101 180 8640 SH SOLE 0 0 8640 KINDER MORGAN INC DEL COM 49456B101 43 2058 SH DFND 1 0 0 2058 LAS VEGAS SANDS CORP COM 517834107 212 3596 SH SOLE 0 0 3596 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1497 53176 SH SOLE 0 0 53176 LILLY ELI & CO COM 532457108 69 623 SH SOLE 0 0 623 LILLY ELI & CO COM 532457108 136 1227 SH DFND 1 0 0 1227 LOWES COS INC COM 548661107 135 1339 SH DFND 1 0 0 1339 LOWES COS INC COM 548661107 137 1354 SH SOLE 0 0 1354 MASTERCARD INC CL A 57636Q104 30 113 SH DFND 1 0 0 113 MASTERCARD INC CL A 57636Q104 680 2572 SH SOLE 0 0 2572 MCDONALDS CORP COM 580135101 37 177 SH DFND 1 0 0 177 MCDONALDS CORP COM 580135101 489 2352 SH SOLE 0 0 2352 MEDICAL PPTYS TRUST INC COM 58463J304 214 12286 SH SOLE 0 0 12286 MEDTRONIC PLC SHS G5960L103 181 1859 SH DFND 1 0 0 1859 MEDTRONIC PLC SHS G5960L103 202 2078 SH SOLE 0 0 2078 MERCK & CO INC COM 58933Y105 170 2024 SH DFND 1 0 0 2024 MERCK & CO INC COM 58933Y105 290 3458 SH SOLE 0 0 3458 MICROSOFT CORP COM 594918104 439 3274 SH DFND 1 0 0 3274 MICROSOFT CORP COM 594918104 953 7116 SH SOLE 0 0 7116 MONDELEZ INTL INC CL A 609207105 84 1564 SH SOLE 0 0 1564 MONDELEZ INTL INC CL A 609207105 182 3377 SH DFND 1 0 0 3377 NETFLIX INC COM 64110L106 183 497 SH SOLE 0 0 497 NETFLIX INC COM 64110L106 49 133 SH DFND 1 0 0 133 NOVARTIS A G SPONSORED ADR 66987V109 34 368 SH DFND 1 0 0 368 NOVARTIS A G SPONSORED ADR 66987V109 191 2095 SH SOLE 0 0 2095 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 517 52163 SH SOLE 0 0 52163 NVIDIA CORP COM 67066G104 36 218 SH DFND 1 0 0 218 NVIDIA CORP COM 67066G104 456 2778 SH SOLE 0 0 2778 ORACLE CORP COM 68389X105 210 3694 SH DFND 1 0 0 3694 ORACLE CORP COM 68389X105 85 1483 SH SOLE 0 0 1483 PAYPAL HLDGS INC COM 70450Y103 138 1207 SH DFND 1 0 0 1207 PAYPAL HLDGS INC COM 70450Y103 435 3797 SH SOLE 0 0 3797 PEPSICO INC COM 713448108 192 1467 SH DFND 1 0 0 1467 PEPSICO INC COM 713448108 324 2470 SH SOLE 0 0 2470 PFIZER INC COM 717081103 354 8181 SH SOLE 0 0 8181 PFIZER INC COM 717081103 192 4426 SH DFND 1 0 0 4426 PHILIP MORRIS INTL INC COM 718172109 103 1308 SH DFND 1 0 0 1308 PHILIP MORRIS INTL INC COM 718172109 180 2293 SH SOLE 0 0 2293 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 231 2275 SH SOLE 0 0 2275 PIMCO HIGH INCOME FD COM SHS 722014107 163 20565 SH SOLE 0 0 20565 PPL CORP COM 69351T106 131 4239 SH DFND 1 0 0 4239 PPL CORP COM 69351T106 73 2364 SH SOLE 0 0 2364 PROCTER AND GAMBLE CO COM 742718109 330 3006 SH DFND 1 0 0 3006 PROCTER AND GAMBLE CO COM 742718109 463 4224 SH SOLE 0 0 4224 PROSHARES TR PSHS SHORT DOW30 74347B235 354 6615 SH SOLE 0 0 6615 PROSHARES TR S&P 500 DV ARIST 74348A467 389 5605 SH SOLE 0 0 5605 PROSHARES TR S&P MDCP 400 DIV 74347B680 221 3788 SH SOLE 0 0 3788 PROSHARES TR SHRT RUSSELL2000 74348A210 893 22419 SH SOLE 0 0 22419 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 57 11061 SH SOLE 0 0 11061 QUALCOMM INC COM 747525103 99 1297 SH DFND 1 0 0 1297 QUALCOMM INC COM 747525103 348 4580 SH SOLE 0 0 4580 QUICKLOGIC CORP COM 74837P108 8 14150 SH SOLE 0 0 14150 SALESFORCE COM INC COM 79466L302 547 3608 SH SOLE 0 0 3608 SALESFORCE COM INC COM 79466L302 51 339 SH DFND 1 0 0 339 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 416 14404 SH SOLE 0 0 14404 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2 59 SH DFND 1 0 0 59 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3576 136286 SH SOLE 0 0 136286 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 16472 513313 SH SOLE 0 0 513313 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 5 165 SH DFND 1 0 0 165 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 639 19563 SH SOLE 0 0 19563 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 6513 128731 SH SOLE 0 0 128731 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 1428 26941 SH SOLE 0 0 26941 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 11206 134677 SH SOLE 0 0 134677 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 3 35 SH DFND 1 0 0 35 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 11222 199900 SH SOLE 0 0 199900 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 4 71 SH DFND 1 0 0 71 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1441 25239 SH SOLE 0 0 25239 SCHWAB STRATEGIC TR US REIT ETF 808524847 2 38 SH DFND 1 0 0 38 SCHWAB STRATEGIC TR US REIT ETF 808524847 3696 83171 SH SOLE 0 0 83171 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 320 4478 SH SOLE 0 0 4478 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 219 1837 SH SOLE 0 0 1837 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 151 1632 SH SOLE 0 0 1632 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 145 1569 SH DFND 1 0 0 1569 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 206 7455 SH DFND 1 0 0 7455 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 235 8525 SH SOLE 0 0 8525 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 137 1764 SH DFND 1 0 0 1764 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 419 5413 SH SOLE 0 0 5413 SHOPIFY INC CL A 82509L107 241 804 SH SOLE 0 0 804 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 512 1924 SH SOLE 0 0 1924 SPDR GOLD TRUST GOLD SHS 78463V107 923 6930 SH SOLE 0 0 6930 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 864 23564 SH SOLE 0 0 23564 SPDR S&P 500 ETF TR TR UNIT 78462F103 4297 14666 SH SOLE 0 0 14666 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 75 684 SH SOLE 0 0 684 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 175 1606 SH DFND 1 0 0 1606 SPDR SERIES TRUST DJ REIT ETF 78464A607 423 4282 SH SOLE 0 0 4282 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 2 27 SH DFND 1 0 0 27 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 4986 91864 SH SOLE 0 0 91864 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 2 32 SH DFND 1 0 0 32 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4666 90830 SH SOLE 0 0 90830 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 2358 38710 SH SOLE 0 0 38710 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2 25 SH DFND 1 0 0 25 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 2962 48816 SH SOLE 0 0 48816 SPDR SERIES TRUST S&P BIOTECH 78464A870 441 5029 SH SOLE 0 0 5029 SPDR SERIES TRUST S&P DIVID ETF 78464A763 383 3800 SH SOLE 0 0 3800 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 426 9210 SH DFND 1 0 0 9210 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 20 440 SH SOLE 0 0 440 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 306 6237 SH DFND 1 0 0 6237 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 5 95 SH SOLE 0 0 95 STARBUCKS CORP COM 855244109 105 1253 SH DFND 1 0 0 1253 STARBUCKS CORP COM 855244109 229 2736 SH SOLE 0 0 2736 TARGET CORP COM 87612E106 71 817 SH DFND 1 0 0 817 TARGET CORP COM 87612E106 214 2476 SH SOLE 0 0 2476 TE CONNECTIVITY LTD REG SHS H84989104 231 2413 SH DFND 1 0 0 2413 TE CONNECTIVITY LTD REG SHS H84989104 5 50 SH SOLE 0 0 50 TEXAS INSTRS INC COM 882508104 150 1308 SH DFND 1 0 0 1308 TEXAS INSTRS INC COM 882508104 59 511 SH SOLE 0 0 511 THE TRADE DESK INC COM CL A 88339J105 4 17 SH DFND 1 0 0 17 THE TRADE DESK INC COM CL A 88339J105 244 1072 SH SOLE 0 0 1072 TWILIO INC CL A 90138F102 282 2070 SH SOLE 0 0 2070 UNITED PARCEL SERVICE INC CL B 911312106 140 1359 SH DFND 1 0 0 1359 UNITED PARCEL SERVICE INC CL B 911312106 662 6412 SH SOLE 0 0 6412 UNITEDHEALTH GROUP INC COM 91324P102 226 925 SH DFND 1 0 0 925 UNITEDHEALTH GROUP INC COM 91324P102 153 626 SH SOLE 0 0 626 VANECK VECTORS ETF TR AMT FREE SHORT M 92189F528 376 21252 SH SOLE 0 0 21252 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 400 15652 SH SOLE 0 0 15652 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 332 5202 SH SOLE 0 0 5202 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 619 24549 SH SOLE 0 0 24549 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 3 59 SH DFND 1 0 0 59 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1073 22347 SH SOLE 0 0 22347 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 435 3873 SH SOLE 0 0 3873 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 627 7782 SH SOLE 0 0 7782 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 171 2128 SH DFND 1 0 0 2128 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1315 15832 SH DFND 1 0 0 15832 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 349 4206 SH SOLE 0 0 4206 VANGUARD GROUP DIV APP ETF 921908844 442 3833 SH SOLE 0 0 3833 VANGUARD INDEX FDS GROWTH ETF 922908736 4401 26938 SH SOLE 0 0 26938 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1101 7372 SH SOLE 0 0 7372 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 766 6883 SH SOLE 0 0 6883 VANGUARD INDEX FDS MID CAP ETF 922908629 4 24 SH DFND 1 0 0 24 VANGUARD INDEX FDS MID CAP ETF 922908629 218 1302 SH SOLE 0 0 1302 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3940 14639 SH SOLE 0 0 14639 VANGUARD INDEX FDS SM CP VAL ETF 922908611 541 4145 SH SOLE 0 0 4145 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3 21 SH DFND 1 0 0 21 VANGUARD INDEX FDS SMALL CP ETF 922908751 1420 9065 SH SOLE 0 0 9065 VANGUARD INDEX FDS SML CP GRW ETF 922908595 452 2429 SH SOLE 0 0 2429 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3185 21222 SH DFND 1 0 0 21222 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5512 36726 SH SOLE 0 0 36726 VANGUARD INDEX FDS VALUE ETF 922908744 424 3825 SH SOLE 0 0 3825 VANGUARD INDEX FDS VALUE ETF 922908744 4 40 SH DFND 1 0 0 40 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5 124 SH DFND 1 0 0 124 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 391 9185 SH SOLE 0 0 9185 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 1012 15341 SH SOLE 0 0 15341 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 4 67 SH DFND 1 0 0 67 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1738 19339 SH DFND 1 0 0 19339 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 296 3299 SH SOLE 0 0 3299 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 270 5108 SH SOLE 0 0 5108 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 4 79 SH DFND 1 0 0 79 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 39 479 SH SOLE 0 0 479 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 948 11751 SH DFND 1 0 0 11751 VANGUARD STAR FD VG TL INTL STK F 921909768 468 8864 SH SOLE 0 0 8864 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 6 137 SH DFND 1 0 0 137 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 557 13348 SH SOLE 0 0 13348 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 711 8135 SH SOLE 0 0 8135 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 320 3978 SH SOLE 0 0 3978 VANGUARD WORLD FD MEGA GRWTH IND 921910816 606 4684 SH SOLE 0 0 4684 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 336 1930 SH SOLE 0 0 1930 VANGUARD WORLD FDS INF TECH ETF 92204A702 253 1199 SH DFND 1 0 0 1199 VANGUARD WORLD FDS INF TECH ETF 92204A702 358 1698 SH SOLE 0 0 1698 VERIZON COMMUNICATIONS INC COM 92343V104 1061 18575 SH SOLE 0 0 18575 VERIZON COMMUNICATIONS INC COM 92343V104 261 4577 SH DFND 1 0 0 4577 VISA INC COM CL A 92826C839 183 1055 SH DFND 1 0 0 1055 VISA INC COM CL A 92826C839 782 4505 SH SOLE 0 0 4505 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 97 14900 SH SOLE 0 0 14900 WALMART INC COM 931142103 148 1340 SH DFND 1 0 0 1340 WALMART INC COM 931142103 300 2719 SH SOLE 0 0 2719 WELLTOWER INC COM 95040Q104 1 16 SH DFND 1 0 0 16 WELLTOWER INC COM 95040Q104 239 2934 SH SOLE 0 0 2934 WISDOMTREE TR US MIDCAP DIVID 97717W505 366 10108 SH SOLE 0 0 10108 XILINX INC COM 983919101 279 2362 SH SOLE 0 0 2362 XILINX INC COM 983919101 17 146 SH DFND 1 0 0 146