Vice President, Chief Compliance Officer

0001172661-19-002179.txt : 20191113 0001172661-19-002179.hdr.sgml : 20191113 20191113163640 ACCESSION NUMBER: 0001172661-19-002179 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191113 DATE AS OF CHANGE: 20191113 EFFECTIVENESS DATE: 20191113 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: 191214508 BUSINESS ADDRESS: STREET 1: 4 MILL RIDGE LANE CITY: CHESTER STATE: NJ ZIP: 07930 BUSINESS PHONE: 908-719-1313 MAIL ADDRESS: STREET 1: 4 MILL RIDGE LANE CITY: CHESTER STATE: NJ ZIP: 07930 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001766530 XXXXXXXX 09-30-2019 09-30-2019 false Gladstone Institutional Advisory LLC

4 Mill Ridge Lane Chester NJ 07930

13F HOLDINGS REPORT 028-19151 N Robert Slomin Vice President, Chief Compliance Officer 201-939-6644 /s/ Robert Slomin Paramus NJ 11-13-2019 1 405 393175 1 0000080386 LPL FINANCIAL LLC INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 371 2259 SH SOLE 0 0 2259 3M CO COM 88579Y101 75 459 SH DFND 1 0 0 459 ABBVIE INC COM 00287Y109 22 287 SH DFND 1 0 0 287 ABBVIE INC COM 00287Y109 875 11556 SH SOLE 0 0 11556 ABIOMED INC COM 003654100 387 2175 SH SOLE 0 0 2175 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 163 846 SH DFND 1 0 0 846 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 52 273 SH SOLE 0 0 273 ADVANCED EMISSIONS SOLUTS IN COM 00770C101 266 17892 SH SOLE 0 0 17892 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 93 559 SH DFND 1 0 0 559 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 774 4631 SH SOLE 0 0 4631 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 237 8083 SH SOLE 0 0 8083 ALLIANZGI CONV INCOME FD COM 018828103 63 11150 SH SOLE 0 0 11150 ALPHABET INC CAP STK CL A 02079K305 149 122 SH DFND 1 0 0 122 ALPHABET INC CAP STK CL A 02079K305 789 646 SH SOLE 0 0 646 ALPHABET INC CAP STK CL C 02079K107 499 409 SH SOLE 0 0 409 ALPHABET INC CAP STK CL C 02079K107 116 95 SH DFND 1 0 0 95 ALPS ETF TR MED BREAKTHGH 00162Q593 203 6445 SH SOLE 0 0 6445 ALTRIA GROUP INC COM 02209S103 39 961 SH DFND 1 0 0 961 ALTRIA GROUP INC COM 02209S103 272 6651 SH SOLE 0 0 6651 AMAZON COM INC COM 023135106 260 150 SH DFND 1 0 0 150 AMAZON COM INC COM 023135106 3152 1816 SH SOLE 0 0 1816 AMERICAN EXPRESS CO COM 025816109 160 1349 SH SOLE 0 0 1349 AMERICAN EXPRESS CO COM 025816109 148 1250 SH DFND 1 0 0 1250 AMGEN INC COM 031162100 271 1399 SH SOLE 0 0 1399 AMGEN INC COM 031162100 87 450 SH DFND 1 0 0 450 APPLE INC COM 037833100 399 1780 SH DFND 1 0 0 1780 APPLE INC COM 037833100 3429 15310 SH SOLE 0 0 15310 ARK ETF TR INNOVATION ETF 00214Q104 241 5626 SH SOLE 0 0 5626 AT&T INC COM 00206R102 145 3839 SH DFND 1 0 0 3839 AT&T INC COM 00206R102 945 24984 SH SOLE 0 0 24984 AURORA CANNABIS INC COM 05156X108 59 13421 SH SOLE 0 0 13421 AUTODESK INC COM 052769106 193 1310 SH DFND 1 0 0 1310 AUTODESK INC COM 052769106 13 88 SH SOLE 0 0 88 BANK AMER CORP COM 060505104 616 21108 SH SOLE 0 0 21108 BANK AMER CORP COM 060505104 40 1368 SH DFND 1 0 0 1368 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 261 1255 SH DFND 1 0 0 1255 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 699 3358 SH SOLE 0 0 3358 BLACKROCK 2022 GBL INCM OPP COM 09258P104 168 17500 SH SOLE 0 0 17500 BLACKROCK CAPITAL INVESTMENT COM 092533108 169 33775 SH SOLE 0 0 33775 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 1165 81890 SH SOLE 0 0 81890 BLACKSTONE GROUP INC COM CL A 09260D107 410 8395 SH SOLE 0 0 8395 BOEING CO COM 097023105 26 68 SH DFND 1 0 0 68 BOEING CO COM 097023105 498 1308 SH SOLE 0 0 1308 BP PLC SPONSORED ADR 055622104 213 5604 SH DFND 1 0 0 5604 BP PLC SPONSORED ADR 055622104 274 7201 SH SOLE 0 0 7201 BRISTOL MYERS SQUIBB CO COM 110122108 1807 35642 SH SOLE 0 0 35642 BRISTOL MYERS SQUIBB CO COM 110122108 29 577 SH DFND 1 0 0 577 BROADCOM INC COM 11135F101 201 728 SH SOLE 0 0 728 BROADCOM INC COM 11135F101 120 436 SH DFND 1 0 0 436 CAPITAL ONE FINL CORP COM 14040H105 12 133 SH DFND 1 0 0 133 CAPITAL ONE FINL CORP COM 14040H105 201 2204 SH SOLE 0 0 2204 CARNIVAL CORP UNIT 99/99/9999 143658300 128 2925 SH DFND 1 0 0 2925 CARNIVAL CORP UNIT 99/99/9999 143658300 101 2306 SH SOLE 0 0 2306 CELGENE CORP COM 151020104 14 138 SH DFND 1 0 0 138 CELGENE CORP COM 151020104 223 2241 SH SOLE 0 0 2241 CHEVRON CORP NEW COM 166764100 181 1527 SH DFND 1 0 0 1527 CHEVRON CORP NEW COM 166764100 410 3459 SH SOLE 0 0 3459 CHUBB LIMITED COM H1467J104 42 258 SH SOLE 0 0 258 CHUBB LIMITED COM H1467J104 211 1307 SH DFND 1 0 0 1307 CISCO SYS INC COM 17275R102 330 6669 SH DFND 1 0 0 6669 CISCO SYS INC COM 17275R102 695 14065 SH SOLE 0 0 14065 COCA COLA CO COM 191216100 149 2735 SH DFND 1 0 0 2735 COCA COLA CO COM 191216100 270 4961 SH SOLE 0 0 4961 COLGATE PALMOLIVE CO COM 194162103 84 1145 SH DFND 1 0 0 1145 COLGATE PALMOLIVE CO COM 194162103 211 2865 SH SOLE 0 0 2865 COMCAST CORP NEW CL A 20030N101 311 6906 SH DFND 1 0 0 6906 COMCAST CORP NEW CL A 20030N101 243 5400 SH SOLE 0 0 5400 CONOCOPHILLIPS COM 20825C104 24 428 SH DFND 1 0 0 428 CONOCOPHILLIPS COM 20825C104 1443 25323 SH SOLE 0 0 25323 CONSTELLATION BRANDS INC CL A 21036P108 226 1090 SH SOLE 0 0 1090 DISH NETWORK CORP CL A 25470M109 313 9198 SH SOLE 0 0 9198 DISNEY WALT CO COM DISNEY 254687106 897 6886 SH SOLE 0 0 6886 DISNEY WALT CO COM DISNEY 254687106 129 990 SH DFND 1 0 0 990 ELECTRONIC ARTS INC COM 285512109 7 67 SH DFND 1 0 0 67 ELECTRONIC ARTS INC COM 285512109 240 2450 SH SOLE 0 0 2450 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 258 12423 SH SOLE 0 0 12423 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 260 6955 SH SOLE 0 0 6955 EXXON MOBIL CORP COM 30231G102 15 218 SH DFND 1 0 0 218 EXXON MOBIL CORP COM 30231G102 2881 40797 SH SOLE 0 0 40797 FACEBOOK INC CL A 30303M102 173 973 SH DFND 1 0 0 973 FACEBOOK INC CL A 30303M102 633 3557 SH SOLE 0 0 3557 FIDELITY TOTAL BD ETF 316188309 1298 25104 SH SOLE 0 0 25104 FIDELITY COVINGTON TR DIVID ETF RISI 316092832 628 19480 SH SOLE 0 0 19480 FIDELITY COVINGTON TR HIGH DIVID ETF 316092840 2028 67139 SH SOLE 0 0 67139 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 6084 114255 SH SOLE 0 0 114255 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 2943 125040 SH SOLE 0 0 125040 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 4410 79380 SH SOLE 0 0 79380 FIRST TR EXCHANGE TRADED FD CAP STRENGTH ETF 33733E104 350 6158 SH SOLE 0 0 6158 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 262 11446 SH SOLE 0 0 11446 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 71 529 SH DFND 1 0 0 529 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 2097 15573 SH SOLE 0 0 15573 FIRST TR EXCHANGE TRADED FD DORSEY WRIGHT 33738R878 469 17760 SH SOLE 0 0 17760 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 251 8466 SH SOLE 0 0 8466 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 27405 456215 SH SOLE 0 0 456215 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 134 2225 SH DFND 1 0 0 2225 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 505 27410 SH SOLE 0 0 27410 FIRST TR EXCHANGE TRADED FD NASD TECH DIV 33738R118 915 22813 SH SOLE 0 0 22813 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 1253 26421 SH SOLE 0 0 26421 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 8045 257864 SH SOLE 0 0 257864 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 1042 16001 SH SOLE 0 0 16001 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 1106 14592 SH SOLE 0 0 14592 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 546 27651 SH SOLE 0 0 27651 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 255 4840 SH SOLE 0 0 4840 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 448 17382 SH SOLE 0 0 17382 FIRST TR EXCNGE TRD ALPHADEX MID CAP VAL FD 33737M201 2827 84090 SH SOLE 0 0 84090 FIRST TR EXCNGE TRD ALPHADEX MID CP GR ALPH 33737M102 4409 98535 SH SOLE 0 0 98535 FIRST TR EXCNGE TRD ALPHADEX SML CAP VAL AL 33737M409 2585 74647 SH SOLE 0 0 74647 FIRST TR EXCNGE TRD ALPHADEX SML CP GRW ALP 33737M300 2566 58480 SH SOLE 0 0 58480 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 7462 106636 SH SOLE 0 0 106636 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 9694 187978 SH SOLE 0 0 187978 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 2463 40439 SH SOLE 0 0 40439 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 3445 50999 SH SOLE 0 0 50999 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 936 14112 SH SOLE 0 0 14112 FIRST TR NASDAQ ABA CMNTY BK UT COM SHS ETF 33736Q104 481 10046 SH SOLE 0 0 10046 FIRST TR NASDAQ100 TECH INDE SHS 337345102 1578 18028 SH SOLE 0 0 18028 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 2575 42866 SH SOLE 0 0 42866 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1229 35242 SH SOLE 0 0 35242 GENERAL ELECTRIC CO COM 369604103 220 24567 SH SOLE 0 0 24567 GENERAL ELECTRIC CO COM 369604103 30 3367 SH DFND 1 0 0 3367 GENERAL MTRS CO COM 37045V100 208 5560 SH SOLE 0 0 5560 GENERAL MTRS CO COM 37045V100 13 334 SH DFND 1 0 0 334 GILEAD SCIENCES INC COM 375558103 18 288 SH DFND 1 0 0 288 GILEAD SCIENCES INC COM 375558103 235 3710 SH SOLE 0 0 3710 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 93 2182 SH DFND 1 0 0 2182 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 226 5284 SH SOLE 0 0 5284 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 159 2662 SH DFND 1 0 0 2662 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 2244 37464 SH SOLE 0 0 37464 GRACO INC COM 384109104 1344 29192 SH SOLE 0 0 29192 HANCOCK JAFFE LABORATORIES I COM 41015N106 17 20000 SH SOLE 0 0 20000 HARTFORD FDS EXCHANGE TRADE MUN OPORTUNITE 41653L503 212 5067 SH SOLE 0 0 5067 HOME DEPOT INC COM 437076102 103 444 SH DFND 1 0 0 444 HOME DEPOT INC COM 437076102 150 647 SH SOLE 0 0 647 HONEYWELL INTL INC COM 438516106 311 1838 SH SOLE 0 0 1838 HONEYWELL INTL INC COM 438516106 157 929 SH DFND 1 0 0 929 ILLUMINA INC COM 452327109 19 64 SH DFND 1 0 0 64 ILLUMINA INC COM 452327109 282 927 SH SOLE 0 0 927 INTEL CORP COM 458140100 185 3590 SH DFND 1 0 0 3590 INTEL CORP COM 458140100 362 7029 SH SOLE 0 0 7029 INTERNATIONAL BUSINESS MACHS COM 459200101 101 693 SH DFND 1 0 0 693 INTERNATIONAL BUSINESS MACHS COM 459200101 418 2873 SH SOLE 0 0 2873 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 330 15647 SH SOLE 0 0 15647 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 568 23738 SH SOLE 0 0 23738 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 453 18389 SH SOLE 0 0 18389 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 1612 13673 SH SOLE 0 0 13673 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 311 2641 SH DFND 1 0 0 2641 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 435 4026 SH SOLE 0 0 4026 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 582 30557 SH SOLE 0 0 30557 INVESCO EXCHNG TRADED FD TR NATL AMT MUNI 46138E537 729 27466 SH SOLE 0 0 27466 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 589 11197 SH SOLE 0 0 11197 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1059 28085 SH SOLE 0 0 28085 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 441 10348 SH SOLE 0 0 10348 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 725 32075 SH SOLE 0 0 32075 INVESCO HIGH INCOME 2023 TAR COM 46135X108 130 12500 SH SOLE 0 0 12500 INVESCO QQQ TR UNIT SER 1 46090E103 455 2409 SH SOLE 0 0 2409 INVESCO SR INCOME TR COM 46131H107 67 16000 SH SOLE 0 0 16000 ISHARES INC CORE MSCI EMKT 46434G103 4054 82699 SH SOLE 0 0 82699 ISHARES INC CORE MSCI EMKT 46434G103 1345 27434 SH DFND 1 0 0 27434 ISHARES INC MIN VOL EMRG MKT 464286533 526 9217 SH SOLE 0 0 9217 ISHARES TR BROAD USD HIGH 46435U853 598 14598 SH DFND 1 0 0 14598 ISHARES TR CONV BD ETF 46435G102 220 3780 SH SOLE 0 0 3780 ISHARES TR CORE DIV GRWTH 46434V621 207 5295 SH SOLE 0 0 5295 ISHARES TR CORE MSCI EAFE 46432F842 593 9704 SH DFND 1 0 0 9704 ISHARES TR CORE MSCI EAFE 46432F842 3810 62392 SH SOLE 0 0 62392 ISHARES TR CORE MSCI TOTAL 46432F834 799 13828 SH SOLE 0 0 13828 ISHARES TR CORE S&P MCP ETF 464287507 1204 6232 SH DFND 1 0 0 6232 ISHARES TR CORE S&P MCP ETF 464287507 7722 39961 SH SOLE 0 0 39961 ISHARES TR CORE S&P SCP ETF 464287804 6 79 SH DFND 1 0 0 79 ISHARES TR CORE S&P SCP ETF 464287804 1174 15079 SH SOLE 0 0 15079 ISHARES TR CORE S&P TTL STK 464287150 62 917 SH DFND 1 0 0 917 ISHARES TR CORE S&P TTL STK 464287150 5608 83611 SH SOLE 0 0 83611 ISHARES TR CORE S&P US GWT 464287671 1536 24426 SH DFND 1 0 0 24426 ISHARES TR CORE S&P US GWT 464287671 279 4436 SH SOLE 0 0 4436 ISHARES TR CORE S&P US VLU 464287663 1184 20484 SH DFND 1 0 0 20484 ISHARES TR CORE S&P US VLU 464287663 236 4079 SH SOLE 0 0 4079 ISHARES TR CORE S&P500 ETF 464287200 20 67 SH DFND 1 0 0 67 ISHARES TR CORE S&P500 ETF 464287200 9602 32167 SH SOLE 0 0 32167 ISHARES TR CORE US AGGBD ET 464287226 4595 40605 SH SOLE 0 0 40605 ISHARES TR CORE US AGGBD ET 464287226 249 2204 SH DFND 1 0 0 2204 ISHARES TR EAFE SML CP ETF 464288273 244 4267 SH SOLE 0 0 4267 ISHARES TR EXPANDED TECH 464287515 281 1327 SH SOLE 0 0 1327 ISHARES TR EXPND TEC SC ETF 464287549 280 1290 SH SOLE 0 0 1290 ISHARES TR EXPONENTIAL TECH 46434V381 951 24603 SH SOLE 0 0 24603 ISHARES TR FLTG RATE NT ETF 46429B655 237 4649 SH DFND 1 0 0 4649 ISHARES TR FLTG RATE NT ETF 46429B655 240 4710 SH SOLE 0 0 4710 ISHARES TR HDG MSCI EAFE 46434V803 642 21440 SH SOLE 0 0 21440 ISHARES TR IBONDS DEC2023 46435G318 294 11415 SH SOLE 0 0 11415 ISHARES TR IBOXX INV CP ETF 464287242 234 1835 SH SOLE 0 0 1835 ISHARES TR IBOXX INV CP ETF 464287242 457 3585 SH DFND 1 0 0 3585 ISHARES TR INTRM TR CRP ETF 464288638 242 4171 SH SOLE 0 0 4171 ISHARES TR JPMORGAN USD EMG 464288281 373 3288 SH SOLE 0 0 3288 ISHARES TR JPMORGAN USD EMG 464288281 291 2569 SH DFND 1 0 0 2569 ISHARES TR MBS ETF 464288588 127 1174 SH DFND 1 0 0 1174 ISHARES TR MBS ETF 464288588 180 1662 SH SOLE 0 0 1662 ISHARES TR MRGSTR MD CP GRW 464288307 447 1835 SH SOLE 0 0 1835 ISHARES TR MSCI EAFE ETF 464287465 505 7749 SH SOLE 0 0 7749 ISHARES TR MSCI EMG MKT ETF 464287234 515 12604 SH SOLE 0 0 12604 ISHARES TR MSCI MIN VOL ETF 46429B697 524 8168 SH DFND 1 0 0 8168 ISHARES TR MSCI MIN VOL ETF 46429B697 6990 109051 SH SOLE 0 0 109051 ISHARES TR NA TEC MULTM ETF 464287531 262 4923 SH SOLE 0 0 4923 ISHARES TR NASDAQ BIOTECH 464287556 306 3070 SH SOLE 0 0 3070 ISHARES TR NATIONAL MUN ETF 464288414 303 2656 SH SOLE 0 0 2656 ISHARES TR PFD AND INCM SEC 464288687 656 17480 SH SOLE 0 0 17480 ISHARES TR PHLX SEMICND ETF 464287523 290 1371 SH SOLE 0 0 1371 ISHARES TR RUS 1000 GRW ETF 464287614 1469 9201 SH SOLE 0 0 9201 ISHARES TR RUS 1000 VAL ETF 464287598 991 7725 SH SOLE 0 0 7725 ISHARES TR RUS 2000 GRW ETF 464287648 420 2181 SH SOLE 0 0 2181 ISHARES TR RUS MD CP GR ETF 464287481 247 1747 SH SOLE 0 0 1747 ISHARES TR RUSSELL 2000 ETF 464287655 753 4977 SH DFND 1 0 0 4977 ISHARES TR RUSSELL 2000 ETF 464287655 704 4650 SH SOLE 0 0 4650 ISHARES TR S&P 500 GRWT ETF 464287309 72 401 SH DFND 1 0 0 401 ISHARES TR S&P 500 GRWT ETF 464287309 6963 38677 SH SOLE 0 0 38677 ISHARES TR S&P 500 VAL ETF 464287408 7358 61760 SH SOLE 0 0 61760 ISHARES TR S&P 500 VAL ETF 464287408 68 570 SH DFND 1 0 0 570 ISHARES TR S&P MC 400GR ETF 464287606 574 2565 SH SOLE 0 0 2565 ISHARES TR SELECT DIVID ETF 464287168 216 2121 SH SOLE 0 0 2121 ISHARES TR SHORT TREAS BD 464288679 607 5490 SH DFND 1 0 0 5490 ISHARES TR TIPS BD ETF 464287176 52 449 SH SOLE 0 0 449 ISHARES TR TIPS BD ETF 464287176 255 2194 SH DFND 1 0 0 2194 ISHARES TR U.S. CNSM SV ETF 464287580 283 1304 SH SOLE 0 0 1304 ISHARES TR U.S. FIN SVC ETF 464287770 288 2109 SH SOLE 0 0 2109 ISHARES TR U.S. TECH ETF 464287721 362 1774 SH SOLE 0 0 1774 ISHARES TR U.S. UTILITS ETF 464287697 313 1920 SH SOLE 0 0 1920 ISHARES TR US AER DEF ETF 464288760 34 152 SH DFND 1 0 0 152 ISHARES TR US AER DEF ETF 464288760 474 2108 SH SOLE 0 0 2108 ISHARES TR US INDUSTRIALS 464287754 287 1807 SH SOLE 0 0 1807 ISHARES TR USA MOMENTUM FCT 46432F396 2243 18809 SH SOLE 0 0 18809 ISHARES TR USA QUALITY FCTR 46432F339 1340 14505 SH DFND 1 0 0 14505 ISHARES US ETF TR SHT MAT BD ETF 46431W507 749 14879 SH SOLE 0 0 14879 ISHARES US ETF TR SHT MAT BD ETF 46431W507 20 388 SH DFND 1 0 0 388 JANUS DETROIT STR TR HENDERSN SML ETF 47103U209 919 20989 SH SOLE 0 0 20989 JANUS DETROIT STR TR HENDERSON MTG 47103U852 1043 19892 SH SOLE 0 0 19892 JD COM INC SPON ADR CL A 47215P106 354 12542 SH SOLE 0 0 12542 JOHNSON & JOHNSON COM 478160104 268 2070 SH DFND 1 0 0 2070 JOHNSON & JOHNSON COM 478160104 773 5974 SH SOLE 0 0 5974 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 944 18719 SH SOLE 0 0 18719 JPMORGAN CHASE & CO COM 46625H100 160 1359 SH DFND 1 0 0 1359 JPMORGAN CHASE & CO COM 46625H100 459 3903 SH SOLE 0 0 3903 L3HARRIS TECHNOLOGIES INC COM 502431109 85 406 SH DFND 1 0 0 406 L3HARRIS TECHNOLOGIES INC COM 502431109 257 1234 SH SOLE 0 0 1234 LATTICE STRATEGIES TR HARTFORD MLT ETF 518416102 1382 49553 SH SOLE 0 0 49553 LOCKHEED MARTIN CORP COM 539830109 158 404 SH SOLE 0 0 404 LOCKHEED MARTIN CORP COM 539830109 105 268 SH DFND 1 0 0 268 LOWES COS INC COM 548661107 266 2423 SH DFND 1 0 0 2423 LOWES COS INC COM 548661107 185 1685 SH SOLE 0 0 1685 MASTERCARD INC CL A 57636Q104 30 110 SH DFND 1 0 0 110 MASTERCARD INC CL A 57636Q104 799 2943 SH SOLE 0 0 2943 MATCH GROUP INC COM 57665R106 207 2902 SH SOLE 0 0 2902 MATINAS BIOPHARMA HLDGS INC COM 576810105 6 10000 SH SOLE 0 0 10000 MCDONALDS CORP COM 580135101 41 190 SH DFND 1 0 0 190 MCDONALDS CORP COM 580135101 474 2206 SH SOLE 0 0 2206 MEDICAL PPTYS TRUST INC COM 58463J304 235 12016 SH SOLE 0 0 12016 MEDTRONIC PLC SHS G5960L103 219 2017 SH DFND 1 0 0 2017 MEDTRONIC PLC SHS G5960L103 219 2013 SH SOLE 0 0 2013 MERCK & CO INC COM 58933Y105 174 2068 SH DFND 1 0 0 2068 MERCK & CO INC COM 58933Y105 727 8637 SH SOLE 0 0 8637 MICROSOFT CORP COM 594918104 502 3608 SH DFND 1 0 0 3608 MICROSOFT CORP COM 594918104 1453 10451 SH SOLE 0 0 10451 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 53 10510 SH DFND 1 0 0 10510 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 1 133 SH SOLE 0 0 133 MONDELEZ INTL INC CL A 609207105 183 3317 SH DFND 1 0 0 3317 MONDELEZ INTL INC CL A 609207105 107 1934 SH SOLE 0 0 1934 NETFLIX INC COM 64110L106 36 133 SH DFND 1 0 0 133 NETFLIX INC COM 64110L106 171 639 SH SOLE 0 0 639 NEXTERA ENERGY INC COM 65339F101 108 463 SH DFND 1 0 0 463 NEXTERA ENERGY INC COM 65339F101 176 755 SH SOLE 0 0 755 NOKIA CORP SPONSORED ADR 654902204 5 958 SH DFND 1 0 0 958 NOKIA CORP SPONSORED ADR 654902204 51 10015 SH SOLE 0 0 10015 NORFOLK SOUTHERN CORP COM 655844108 145 806 SH DFND 1 0 0 806 NORFOLK SOUTHERN CORP COM 655844108 64 358 SH SOLE 0 0 358 NORTHROP GRUMMAN CORP COM 666807102 211 563 SH SOLE 0 0 563 NORTHROP GRUMMAN CORP COM 666807102 12 31 SH DFND 1 0 0 31 NOVARTIS A G SPONSORED ADR 66987V109 32 368 SH DFND 1 0 0 368 NOVARTIS A G SPONSORED ADR 66987V109 466 5360 SH SOLE 0 0 5360 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 516 52163 SH SOLE 0 0 52163 NVIDIA CORP COM 67066G104 40 230 SH DFND 1 0 0 230 NVIDIA CORP COM 67066G104 415 2382 SH SOLE 0 0 2382 OPKO HEALTH INC COM 68375N103 23 11122 SH SOLE 0 0 11122 ORACLE CORP COM 68389X105 209 3792 SH DFND 1 0 0 3792 ORACLE CORP COM 68389X105 92 1678 SH SOLE 0 0 1678 PAYPAL HLDGS INC COM 70450Y103 118 1138 SH DFND 1 0 0 1138 PAYPAL HLDGS INC COM 70450Y103 371 3585 SH SOLE 0 0 3585 PEPSICO INC COM 713448108 205 1492 SH DFND 1 0 0 1492 PEPSICO INC COM 713448108 363 2648 SH SOLE 0 0 2648 PFIZER INC COM 717081103 181 5046 SH DFND 1 0 0 5046 PFIZER INC COM 717081103 399 11097 SH SOLE 0 0 11097 PHILIP MORRIS INTL INC COM 718172109 105 1384 SH DFND 1 0 0 1384 PHILIP MORRIS INTL INC COM 718172109 185 2440 SH SOLE 0 0 2440 PHILLIPS 66 COM 718546104 98 957 SH DFND 1 0 0 957 PHILLIPS 66 COM 718546104 2466 24084 SH SOLE 0 0 24084 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 240 2364 SH SOLE 0 0 2364 PIMCO HIGH INCOME FD COM SHS 722014107 110 14194 SH SOLE 0 0 14194 PROCTER & GAMBLE CO COM 742718109 318 2559 SH DFND 1 0 0 2559 PROCTER & GAMBLE CO COM 742718109 680 5466 SH SOLE 0 0 5466 PROSHARES TR PSHS SHORT DOW30 74347B235 238 4535 SH SOLE 0 0 4535 PROSHARES TR S&P 500 DV ARIST 74348A467 341 4758 SH SOLE 0 0 4758 PROSHARES TR SHRT RUSSELL2000 74348A210 882 21705 SH SOLE 0 0 21705 PROSHARES TR ULTRASHRT S&P500 74347B383 207 7000 SH SOLE 0 0 7000 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 9 153 SH DFND 1 0 0 153 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 238 3837 SH SOLE 0 0 3837 QUALCOMM INC COM 747525103 98 1282 SH DFND 1 0 0 1282 QUALCOMM INC COM 747525103 331 4338 SH SOLE 0 0 4338 QUICKLOGIC CORP COM 74837P108 32 90737 SH SOLE 0 0 90737 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 149 2488 SH DFND 1 0 0 2488 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 54 904 SH SOLE 0 0 904 SALESFORCE COM INC COM 79466L302 39 260 SH DFND 1 0 0 260 SALESFORCE COM INC COM 79466L302 531 3574 SH SOLE 0 0 3574 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 27 16080 SH SOLE 0 0 16080 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 407 13960 SH SOLE 0 0 13960 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3541 140901 SH SOLE 0 0 140901 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 16486 517459 SH SOLE 0 0 517459 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 857 26937 SH SOLE 0 0 26937 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 5590 110488 SH SOLE 0 0 110488 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 1232 22879 SH SOLE 0 0 22879 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 11327 134830 SH SOLE 0 0 134830 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 11474 202262 SH SOLE 0 0 202262 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1327 23473 SH SOLE 0 0 23473 SCHWAB STRATEGIC TR US REIT ETF 808524847 4013 85070 SH SOLE 0 0 85070 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 286 4106 SH SOLE 0 0 4106 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 146 1622 SH DFND 1 0 0 1622 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 153 1700 SH SOLE 0 0 1700 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 215 7677 SH DFND 1 0 0 7677 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 265 9447 SH SOLE 0 0 9447 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 278 3575 SH SOLE 0 0 3575 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 141 1814 SH DFND 1 0 0 1814 SHOPIFY INC CL A 82509L107 405 1298 SH SOLE 0 0 1298 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 611 2270 SH SOLE 0 0 2270 SPDR GOLD TRUST GOLD SHS 78463V107 1859 13386 SH SOLE 0 0 13386 SPDR INDEX SHS FDS MSCI ACWI EXUS 78463X848 807 33572 SH SOLE 0 0 33572 SPDR S&P 500 ETF TR TR UNIT 78462F103 10049 33860 SH SOLE 0 0 33860 SPDR SERIES TRUST DJ REIT ETF 78464A607 382 3652 SH SOLE 0 0 3652 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 201 6500 SH SOLE 0 0 6500 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 5011 93288 SH SOLE 0 0 93288 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 4742 92401 SH SOLE 0 0 92401 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 2345 39351 SH SOLE 0 0 39351 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 3061 49963 SH SOLE 0 0 49963 SPDR SERIES TRUST S&P DIVID ETF 78464A763 396 3859 SH SOLE 0 0 3859 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 337 15075 SH SOLE 0 0 15075 SPLUNK INC COM 848637104 229 1946 SH SOLE 0 0 1946 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 7 150 SH SOLE 0 0 150 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 318 6468 SH DFND 1 0 0 6468 STARBUCKS CORP COM 855244109 114 1286 SH DFND 1 0 0 1286 STARBUCKS CORP COM 855244109 173 1961 SH SOLE 0 0 1961 TARGET CORP COM 87612E106 125 1170 SH DFND 1 0 0 1170 TARGET CORP COM 87612E106 264 2474 SH SOLE 0 0 2474 TE CONNECTIVITY LTD REG SHS H84989104 218 2337 SH DFND 1 0 0 2337 TE CONNECTIVITY LTD REG SHS H84989104 5 50 SH SOLE 0 0 50 TEXAS INSTRS INC COM 882508104 180 1392 SH DFND 1 0 0 1392 TEXAS INSTRS INC COM 882508104 65 501 SH SOLE 0 0 501 TWILIO INC CL A 90138F102 275 2502 SH SOLE 0 0 2502 UNITED PARCEL SERVICE INC CL B 911312106 762 6363 SH SOLE 0 0 6363 UNITED PARCEL SERVICE INC CL B 911312106 133 1106 SH DFND 1 0 0 1106 UNITEDHEALTH GROUP INC COM 91324P102 129 592 SH SOLE 0 0 592 UNITEDHEALTH GROUP INC COM 91324P102 214 987 SH DFND 1 0 0 987 VANECK VECTORS ETF TR AMT FREE SHORT M 92189F528 365 20652 SH SOLE 0 0 20652 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 404 15112 SH SOLE 0 0 15112 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 323 5012 SH SOLE 0 0 5012 VANECK VECTORS ETF TR INVT GRADE FLTG 92189F486 254 10082 SH SOLE 0 0 10082 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 3 59 SH DFND 1 0 0 59 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1089 21720 SH SOLE 0 0 21720 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 444 3862 SH SOLE 0 0 3862 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 170 2108 SH DFND 1 0 0 2108 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 606 7506 SH SOLE 0 0 7506 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 398 4710 SH SOLE 0 0 4710 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1464 17338 SH DFND 1 0 0 17338 VANGUARD GROUP DIV APP ETF 921908844 604 5053 SH SOLE 0 0 5053 VANGUARD INDEX FDS GROWTH ETF 922908736 3589 21585 SH SOLE 0 0 21585 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1043 7039 SH SOLE 0 0 7039 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 727 6436 SH SOLE 0 0 6436 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4489 16469 SH SOLE 0 0 16469 VANGUARD INDEX FDS SM CP VAL ETF 922908611 3 21 SH DFND 1 0 0 21 VANGUARD INDEX FDS SM CP VAL ETF 922908611 472 3660 SH SOLE 0 0 3660 VANGUARD INDEX FDS SMALL CP ETF 922908751 575 3735 SH SOLE 0 0 3735 VANGUARD INDEX FDS SML CP GRW ETF 922908595 389 2139 SH SOLE 0 0 2139 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1667 11043 SH DFND 1 0 0 11043 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4930 32647 SH SOLE 0 0 32647 VANGUARD INDEX FDS VALUE ETF 922908744 4 40 SH DFND 1 0 0 40 VANGUARD INDEX FDS VALUE ETF 922908744 332 2977 SH SOLE 0 0 2977 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 220 5469 SH SOLE 0 0 5469 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 4 58 SH DFND 1 0 0 58 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 975 14624 SH SOLE 0 0 14624 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1686 18474 SH DFND 1 0 0 18474 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 290 3179 SH SOLE 0 0 3179 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 4 79 SH DFND 1 0 0 79 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 269 5056 SH SOLE 0 0 5056 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 955 11782 SH DFND 1 0 0 11782 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 34 414 SH SOLE 0 0 414 VANGUARD STAR FD VG TL INTL STK F 921909768 457 8850 SH SOLE 0 0 8850 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 464 11285 SH SOLE 0 0 11285 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 317 3575 SH SOLE 0 0 3575 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 336 4123 SH SOLE 0 0 4123 VANGUARD WORLD FD MEGA GRWTH IND 921910816 591 4457 SH SOLE 0 0 4457 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 365 2174 SH SOLE 0 0 2174 VANGUARD WORLD FDS INF TECH ETF 92204A702 260 1206 SH DFND 1 0 0 1206 VANGUARD WORLD FDS INF TECH ETF 92204A702 404 1874 SH SOLE 0 0 1874 VERIZON COMMUNICATIONS INC COM 92343V104 273 4524 SH DFND 1 0 0 4524 VERIZON COMMUNICATIONS INC COM 92343V104 1191 19734 SH SOLE 0 0 19734 VISA INC COM CL A 92826C839 179 1043 SH DFND 1 0 0 1043 VISA INC COM CL A 92826C839 775 4508 SH SOLE 0 0 4508 WALMART INC COM 931142103 136 1147 SH DFND 1 0 0 1147 WALMART INC COM 931142103 308 2597 SH SOLE 0 0 2597 WELLTOWER INC COM 95040Q104 1 16 SH DFND 1 0 0 16 WELLTOWER INC COM 95040Q104 251 2766 SH SOLE 0 0 2766 WISDOMTREE TR US MIDCAP DIVID 97717W505 357 9823 SH SOLE 0 0 9823