Chief Compliance Officer

0001776033-19-000004.txt : 20191023 0001776033-19-000004.hdr.sgml : 20191023 20191023101519 ACCESSION NUMBER: 0001776033-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191023 DATE AS OF CHANGE: 20191023 EFFECTIVENESS DATE: 20191023 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Golden State Wealth Management, LLC CENTRAL INDEX KEY: 0001776033 IRS NUMBER: 463329328 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19519 FILM NUMBER: 191162951 BUSINESS ADDRESS: STREET 1: 201 E. SANDPOINTE AVE STREET 2: #460 CITY: SANTA ANA STATE: CA ZIP: 92707 BUSINESS PHONE: 7143227410 MAIL ADDRESS: STREET 1: 201 E. SANDPOINTE AVE STREET 2: #460 CITY: SANTA ANA STATE: CA ZIP: 92707 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001776033 XXXXXXXX 09-30-2019 09-30-2019 Golden State Wealth Management, LLC

201 E. SANDPOINTE AVE #460 SANTA ANA CA 92707

13F HOLDINGS REPORT 028-19519 N Patrick Catone Chief Compliance Officer 818-626-9747 Patrick Catone South Coast Metro CA 10-23-2019 0 1117 303095 false INFORMATION TABLE 2 13FGSWMQ319.xml GSWM 3Q19 13F 2U INC COM 90214J101 1 76 SH SOLE 76 0 0 3M COMPANY COM 88579Y101 168 1019 SH SOLE 196 0 823 9REAVES UTILITY MF Closed and MF Open 756158101 6 174 SH SOLE 174 0 0 ABB LIMITED COM 000375204 12 595 SH SOLE 595 0 0 ABBOTT LABORATORIES COM 002824100 82 980 SH SOLE 254 0 726 ABBVIE INC COM 00287Y109 776 10244 SH SOLE 4317 0 5926 ABERDEEN ASIA MF Closed and MF Open 003009107 560 133683 SH SOLE 40731 0 92952 ABERDEEN GLOBAL MF Closed and MF Open 003013109 0 54 SH SOLE 0 0 54 ABM INDUSTRIES COM 000957100 23 625 SH SOLE 0 0 625 ABRAXAS PETROLEUM COM 003830106 1 1000 SH SOLE 0 0 1000 ACCENTURE PLC COM G1151C101 187 970 SH SOLE 11 0 959 ACTIVISION BLIZZARD COM 00507V109 73 1372 SH SOLE 265 0 1107 ADIENT PLC COM G0084W101 0 6 SH SOLE 0 0 6 ADOBE INC COM 00724F101 380 1376 SH SOLE 686 0 690 ADVANCE 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MOTOR COM 345370860 77 8374 SH SOLE 1964 0 6410 FOX CORP COM 35137L105 0 6 SH SOLE 0 0 6 FOX CORP COM 35137L204 2 58 SH SOLE 0 0 58 FRANKLIN LIBERTY MF Closed and MF Open 353506108 1547 16369 SH SOLE 449 0 15920 FRANKLIN LIBERTY MF Closed and MF Open 35473P850 3 100 SH SOLE 0 0 100 FREEPORT MCMORAN COM 35671D857 14 1508 SH SOLE 675 0 833 FRONTIER COMMUNICATIONS COM 35906A306 0 46 SH SOLE 40 0 6 FS KKR MF Closed and MF Open 302635107 376 64509 SH SOLE 2944 0 61565 FTE NETWORKS COM 30283R402 0 2 SH SOLE 0 0 2 FUNKO INC COM 361008105 10 500 SH SOLE 500 0 0 GABELLI EQUITY MF Closed and MF Open 362397101 32 5390 SH SOLE 0 0 5390 GABELLI GLOBAL MF Closed and MF Open 36242L105 6 300 SH SOLE 300 0 0 GABELLI HEALTHCARE MF Closed and MF Open 36246K103 19 1811 SH SOLE 0 0 1811 GAIN CAPITAL COM 36268W100 2 300 SH SOLE 300 0 0 GAMCO NATURAL MF Closed and MF Open 36465E101 2 310 SH SOLE 0 0 310 GAMESTOP CORP COM 36467W109 47 8500 SH SOLE 3000 0 5500 GAMING & LEISURE COM 36467J108 36 949 SH SOLE 884 0 65 GARRETT MOTION COM 366505105 0 34 SH SOLE 0 0 34 GENERAL DYNAMICS COM 369550108 116 636 SH SOLE 75 0 561 GENERAL ELECTRIC COM 369604103 144 16141 SH SOLE 1738 0 14404 GENERAL MILLS COM 370334104 58 1056 SH SOLE 135 0 921 GENERAL MOTORS COM 37045V100 21 551 SH SOLE 0 0 551 GILEAD SCIENCES COM 375558103 24 374 SH SOLE 0 0 374 GLADSTONE LAND COM 376549101 103 8630 SH SOLE 1400 0 7230 GLAXOSMITHKLINE PLC COM 37733W105 198 4649 SH SOLE 1790 0 2859 GLOBAL X MF Closed and MF Open 37950E226 2 127 SH SOLE 0 0 127 GLOBAL X MF Closed and MF Open 37950E549 65 3850 SH SOLE 750 0 3100 GLOBAL X MF Closed and MF Open 37954Y483 6 279 SH SOLE 279 0 0 GLOBAL X MF Closed and MF Open 37954Y509 15 550 SH SOLE 0 0 550 GLOBAL X MF Closed and MF Open 37954Y715 50 2500 SH SOLE 0 0 2500 GLOBAL X MF Closed and MF Open 37954Y830 5 310 SH SOLE 0 0 310 GLOBAL X MF Closed and MF Open 37954Y855 13 534 SH SOLE 0 0 534 GLOBAL X MF Closed and MF Open 37954Y871 8 750 SH SOLE 0 0 750 GLOBAL X FINTECH MF Closed and MF Open 37954Y814 20 700 SH SOLE 700 0 0 GMS INC COM 36251C103 17 600 SH SOLE 600 0 0 GOLDEN STAR COM 38119T807 5 1600 SH SOLE 0 0 1600 GOLDMAN SACHS COM 38141G104 110 529 SH SOLE 210 0 319 GOLDMAN SACHS MF Closed and MF Open 38148G107 45 9315 SH SOLE 0 0 9315 GOPRO INC COM 38268T103 1 110 SH SOLE 10 0 100 GRANITE CONSTRUCTION COM 387328107 108 3355 SH SOLE 1900 0 1455 GREENE COUNTY COM 394357107 29 1042 SH SOLE 0 0 1042 GROCERY OUTLET COM 39874R101 8 230 SH SOLE 0 0 230 GRUBHUB INC COM 400110102 11 190 SH SOLE 0 0 190 GUGGENHEIM ENHANCED MF Closed and MF Open 40167B100 5 600 SH SOLE 0 0 600 GUGGENHEIM STRATEGIC MF Closed and MF Open 40167F101 6 300 SH SOLE 0 0 300 HALLIBURTON COMPANY COM 406216101 26 1353 SH SOLE 260 0 1093 HANESBRANDS INC COM 410345102 6 419 SH SOLE 0 0 419 HANNON ARMSTRONG COM 41068X100 213 7315 SH SOLE 3900 0 3415 HARTFORD FINANCIAL COM 416515104 7 117 SH SOLE 0 0 117 HCA HEALTHCARE COM 40412C101 6 48 SH SOLE 0 0 48 HCP INC COM 40414L109 15 426 SH SOLE 0 0 426 HD SUPPLY COM 40416M105 8 200 SH SOLE 200 0 0 HEALTHCARE SVCS GROUP COM 421906108 47 1920 SH SOLE 470 0 1450 HEALTHCARE TRUST COM 42225P501 43 1449 SH SOLE 108 0 1341 HERSHEY COMPANY COM 427866108 102 656 SH SOLE 0 0 656 HERZFELD CARIBBEAN MF Closed and MF Open 42804T106 2 362 SH SOLE 362 0 0 HESS CORP COM 42809H107 4 60 SH SOLE 0 0 60 HEWLETT PACKARD COM 42824C109 16 1073 SH SOLE 0 0 1073 HIMAX TECHNOLOGIES COM 43289P106 5 2000 SH SOLE 2000 0 0 HOME DEPOT COM 437076102 1504 6484 SH SOLE 1864 0 4620 HONEYWELL INTL COM 438516106 225 1330 SH SOLE 113 0 1217 HP INC COM 40434L105 3 173 SH SOLE 0 0 173 HSBC HOLDINGS COM 404280406 4 104 SH SOLE 104 0 0 HUMANA INC COM 444859102 4 15 SH SOLE 6 0 9 HUNTINGTON BANCSHARES COM 446150104 43 3025 SH SOLE 0 0 3025 HUNTSMAN CORP COM 447011107 0 0 SH SOLE 0 0 0 IAMGOLD CORP COM 450913108 2 600 SH SOLE 100 0 500 ICAHN ENTERPRISES COM 451100101 161 2500 SH SOLE 0 0 2500 ILLINOIS TOOL COM 452308109 48 307 SH SOLE 61 0 246 ILLUMINA INC COM 452327109 1 2 SH SOLE 0 0 2 INDIA GLOBALIZATION COM 45408X308 0 225 SH SOLE 0 0 225 INGERSOLL RAND COM G47791101 24 196 SH SOLE 0 0 196 INGREDION INC COM 457187102 23 286 SH SOLE 0 0 286 INTEL CORP COM 458140100 295 5725 SH SOLE 1436 0 4289 INTERCONTINENTAL EXCH COM 45866F104 24 256 SH SOLE 0 0 256 INTERNATIONAL PAPER COM 460146103 3 76 SH SOLE 0 0 76 INTERPUBLIC GROUP COM 460690100 3 155 SH SOLE 0 0 155 INTERXION HOLDING COM N47279109 20 250 SH SOLE 0 0 250 INTL BUSINESS COM 459200101 523 3599 SH SOLE 1746 0 1853 INTL GAME COM G4863A108 4 300 SH SOLE 0 0 300 INTUITIVE SURGICAL COM 46120E602 35 65 SH SOLE 0 0 65 INVESCO BULLETSHARES MF Closed and MF Open 46138J304 140 6662 SH SOLE 0 0 6662 INVESCO BULLETSHARES MF Closed and MF Open 46138J502 141 6630 SH SOLE 0 0 6630 INVESCO BULLETSHARES MF Closed and MF Open 46138J700 144 6757 SH SOLE 0 0 6757 INVESCO BULLETSHARES MF Closed and MF Open 46138J825 141 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J841 141 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J866 141 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J882 141 6581 SH SOLE 0 0 6581 INVESCO BUYBACK MF Closed and MF Open 46137V308 89 1427 SH SOLE 0 0 1427 INVESCO CA MF Closed and MF Open 46132H106 289 22540 SH SOLE 3300 0 19240 INVESCO CEF MF Closed and MF Open 46138E404 72 3200 SH SOLE 0 0 3200 INVESCO DB COM 46138B103 255 16931 SH SOLE 650 0 16281 INVESCO DWA MF Closed and MF Open 46137V795 109 3100 SH SOLE 0 0 3100 INVESCO DYNAMIC MF Closed and MF Open 46137V662 12 219 SH SOLE 0 0 219 INVESCO DYNAMIC MF Closed and MF Open 46137V696 8 257 SH SOLE 0 0 257 INVESCO DYNAMIC MF Closed and MF Open 46137V753 5 150 SH SOLE 0 0 150 INVESCO DYNAMIC MF Closed and MF Open 46137V787 6 120 SH SOLE 0 0 120 INVESCO ESG MF Closed and MF Open 46138J627 56 1741 SH SOLE 0 0 1741 INVESCO EXCHANGE MF Closed and MF Open 46137V225 9 144 SH SOLE 0 0 144 INVESCO EXCHANGE MF Closed and MF Open 46138E198 14 270 SH SOLE 0 0 270 INVESCO EXCHANGE MF Closed and MF Open 46138E354 40 692 SH SOLE 0 0 692 INVESCO EXCHANGE MF Closed and MF Open 46138G870 38 1489 SH SOLE 1489 0 0 INVESCO FINANCIAL MF Closed and MF Open 46137V621 30 1600 SH SOLE 0 0 1600 INVESCO FTSE MF Closed and MF Open 46137V613 14 119 SH SOLE 0 0 119 INVESCO LTD COM G491BT108 73 4310 SH SOLE 2000 0 2310 INVESCO PFD MF Closed and MF Open 46138E511 402 26774 SH SOLE 17694 0 9080 INVESCO QQQ MF Closed and MF Open 46090E103 5354 28357 SH SOLE 8743 0 19613 INVESCO S&P MF Closed and MF Open 46137V274 15 140 SH SOLE 0 0 140 INVESCO S&P MF Closed and MF Open 46137V357 690 6380 SH SOLE 0 0 6380 INVESCO S&P MF Closed and MF Open 46138E255 4 140 SH SOLE 0 0 140 INVESCO S&P MF Closed and MF Open 46138E362 934 21906 SH SOLE 0 0 21906 INVESCO S&P MF Closed and MF Open 46138G102 54 1101 SH SOLE 0 0 1101 INVESCO S&P MF Closed and MF Open 46138G656 36 950 SH SOLE 0 0 950 INVESCO SENIOR MF Closed and MF Open 46138G508 6 265 SH SOLE 0 0 265 INVESCO SOLAR MF Closed and MF Open 46138G706 449 15295 SH SOLE 0 0 15295 INVESCO WATER MF Closed and MF Open 46137V142 18 482 SH SOLE 0 0 482 IONIS PHARMACEUTICALS COM 462222100 8 126 SH SOLE 126 0 0 ISHARES MF Closed and MF Open 46434V407 38 810 SH SOLE 0 0 810 ISHARES 1-3 MF Closed and MF Open 464288125 7 96 SH SOLE 0 0 96 ISHARES 1-3YR MF Closed and MF Open 464287457 29 345 SH SOLE 0 0 345 ISHARES 20 MF Closed and MF Open 464287432 163 1136 SH SOLE 0 0 1136 ISHARES 7-10YR MF Closed and MF Open 464287440 151 1342 SH SOLE 526 0 815 ISHARES AEROSPACE MF Closed and MF Open 464288760 1418 6312 SH SOLE 165 0 6147 ISHARES CALIFORNIA MF Closed and MF Open 464288356 51 827 SH SOLE 0 0 827 ISHARES CHINA MF Closed and MF Open 464287184 4 106 SH SOLE 106 0 0 ISHARES CONV MF Closed and MF Open 46435G102 69 1183 SH SOLE 0 0 1183 ISHARES CORE MF Closed and MF Open 464287150 3243 48350 SH SOLE 29534 0 18816 ISHARES CORE MF Closed and MF Open 464287200 13242 44359 SH SOLE 8307 0 36052 ISHARES CORE MF Closed and MF Open 464287226 30180 266675 SH SOLE 158816 0 107860 ISHARES CORE MF Closed and MF Open 464287507 3914 20254 SH SOLE 10251 0 10003 ISHARES CORE MF Closed and MF Open 464287804 2779 35701 SH SOLE 21497 0 14204 ISHARES CORE MF Closed and MF Open 464288521 5 88 SH SOLE 88 0 0 ISHARES CORE MF Closed and MF Open 464289859 8 139 SH SOLE 139 0 0 ISHARES CORE MF Closed and MF Open 464289867 30 653 SH SOLE 372 0 281 ISHARES CORE MF Closed and MF Open 464289875 18 456 SH SOLE 410 0 46 ISHARES CORE MF Closed and MF Open 46429B663 29 306 SH SOLE 66 0 240 ISHARES CORE MF Closed and MF Open 46432F842 69 1124 SH SOLE 88 0 1036 ISHARES CORE MF Closed and MF Open 46432F859 58 1148 SH SOLE 308 0 840 ISHARES CORE MF Closed and MF Open 46434G103 30 606 SH SOLE 41 0 565 ISHARES CORE MF Closed and MF Open 46434V613 246 4699 SH SOLE 4699 0 0 ISHARES CORE MF Closed and MF Open 46435G326 197 3600 SH SOLE 950 0 2650 ISHARES CORE MF Closed and MF Open 46435G417 13 256 SH SOLE 154 0 102 ISHARES CORE MF Closed and MF Open 46435G672 757 13568 SH SOLE 0 0 13568 ISHARES CURRENCY MF Closed and MF Open 46434V803 25 850 SH SOLE 0 0 850 ISHARES EDGE MF Closed and MF Open 464286525 3 33 SH SOLE 0 0 33 ISHARES EDGE MF Closed and MF Open 464286533 4 77 SH SOLE 0 0 77 ISHARES EDGE MF Closed and MF Open 46429B689 13 182 SH SOLE 0 0 182 ISHARES EDGE MF Closed and MF Open 46429B697 1596 24895 SH SOLE 601 0 24294 ISHARES EDGE MF Closed and MF Open 46432F339 17 180 SH SOLE 0 0 180 ISHARES EDGE MF Closed and MF Open 46432F396 4277 35870 SH SOLE 23762 0 12108 ISHARES EDGE MF Closed and MF Open 46434V274 1 55 SH SOLE 0 0 55 ISHARES EDGE MF Closed and MF Open 46434V282 16 493 SH SOLE 0 0 493 ISHARES EDGE MF Closed and MF Open 46434V290 2 46 SH SOLE 0 0 46 ISHARES EDGE MF Closed and MF Open 46435U796 27 271 SH SOLE 0 0 271 ISHARES EMERGING MF Closed and MF Open 464286285 16 335 SH SOLE 0 0 335 ISHARES EMERGING MF Closed and MF Open 464286319 34 920 SH SOLE 0 0 920 ISHARES FLOATING MF Closed and MF Open 46429B655 33 649 SH SOLE 0 0 649 ISHARES GLOBAL MF Closed and MF Open 464287291 18 98 SH SOLE 0 0 98 ISHARES GLOBAL MF Closed and MF Open 464287325 2 26 SH SOLE 0 0 26 ISHARES GLOBAL MF Closed and MF Open 464287341 8 250 SH SOLE 0 0 250 ISHARES GOLD COM 464285105 4 286 SH SOLE 0 0 286 ISHARES IBOXX MF Closed and MF Open 464287242 202 1583 SH SOLE 0 0 1583 ISHARES IBOXX MF Closed and MF Open 464288513 914 10480 SH SOLE 208 0 10272 ISHARES INTL MF Closed and MF Open 464288448 131 4260 SH SOLE 2637 0 1623 ISHARES INTL MF Closed and MF Open 464288489 595 20041 SH SOLE 0 0 20041 ISHARES INTL MF Closed and MF Open 46429B135 196 12972 SH SOLE 12972 0 0 ISHARES JPMORGAN MF Closed and MF Open 464288281 782 6895 SH SOLE 0 0 6895 ISHARES MBS MF Closed and MF Open 464288588 30 279 SH SOLE 0 0 279 ISHARES MORNINGSTAR MF Closed and MF Open 464287119 4 20 SH SOLE 0 0 20 ISHARES MORNINGSTAR MF Closed and MF Open 464287127 158 942 SH SOLE 0 0 942 ISHARES MORNINGSTAR MF Closed and MF Open 464288208 10 50 SH SOLE 0 0 50 ISHARES MORTGAGE MF Closed and MF Open 46435G342 9 202 SH SOLE 0 0 202 ISHARES MSCI MF Closed and MF Open 464286103 3 150 SH SOLE 150 0 0 ISHARES MSCI MF Closed and MF Open 464286392 1 13 SH SOLE 13 0 0 ISHARES MSCI MF Closed and MF Open 464286509 264 9148 SH SOLE 9148 0 0 ISHARES MSCI MF Closed and MF Open 464286608 2 62 SH SOLE 62 0 0 ISHARES MSCI MF Closed and MF Open 464286632 5 89 SH SOLE 89 0 0 ISHARES MSCI MF Closed and MF Open 464286780 1 20 SH SOLE 20 0 0 ISHARES MSCI MF Closed and MF Open 464287234 1297 31731 SH SOLE 0 0 31731 ISHARES MSCI MF Closed and MF Open 464287465 599 9184 SH SOLE 4002 0 5182 ISHARES MSCI MF Closed and MF Open 464288240 9 194 SH SOLE 0 0 194 ISHARES MSCI MF Closed and MF Open 464288257 636 8620 SH SOLE 0 0 8620 ISHARES MSCI MF Closed and MF Open 464288273 25 444 SH SOLE 199 0 245 ISHARES MSCI MF Closed and MF Open 464288570 95 860 SH SOLE 0 0 860 ISHARES MSCI MF Closed and MF Open 464288877 53 1111 SH SOLE 438 0 673 ISHARES MSCI MF Closed and MF Open 464288885 129 1597 SH SOLE 1315 0 281 ISHARES MSCI MF Closed and MF Open 46429B671 40 709 SH SOLE 302 0 408 ISHARES MSCI MF Closed and MF Open 46434G814 2 75 SH SOLE 75 0 0 ISHARES MSCI MF Closed and MF Open 46434G822 68 1202 SH SOLE 377 0 825 ISHARES MSCI MF Closed and MF Open 46434V464 145 1209 SH SOLE 0 0 1209 ISHARES MSCI MF Closed and MF Open 46435G334 4 128 SH SOLE 0 0 128 ISHARES NASDAQ MF Closed and MF Open 464287556 161 1618 SH SOLE 1059 0 559 ISHARES NATIONAL MF Closed and MF Open 464288414 193 1688 SH SOLE 0 0 1688 ISHARES NORTH MF Closed and MF Open 464287374 2 64 SH SOLE 0 0 64 ISHARES PHLX MF Closed and MF Open 464287523 148 701 SH SOLE 678 0 23 ISHARES RUSS MF Closed and MF Open 464287473 54 598 SH SOLE 388 0 210 ISHARES RUSSELL MF Closed and MF Open 464287481 1699 12023 SH SOLE 1027 0 10996 ISHARES RUSSELL MF Closed and MF Open 464287499 37 658 SH SOLE 330 0 328 ISHARES RUSSELL MF Closed and MF Open 464287598 281 2190 SH SOLE 895 0 1295 ISHARES RUSSELL MF Closed and MF Open 464287614 207 1298 SH SOLE 288 0 1010 ISHARES RUSSELL MF Closed and MF Open 464287630 252 2112 SH SOLE 386 0 1726 ISHARES RUSSELL MF Closed and MF Open 464287648 4172 21649 SH SOLE 955 0 20694 ISHARES RUSSELL MF Closed and MF Open 464287655 862 5697 SH SOLE 349 0 5348 ISHARES S&P COM 46428R107 473 31446 SH SOLE 5291 0 26155 ISHARES S&P MF Closed and MF Open 464287101 39 300 SH SOLE 0 0 300 ISHARES S&P MF Closed and MF Open 464287309 162 898 SH SOLE 370 0 528 ISHARES S&P MF Closed and MF Open 464287408 96 803 SH SOLE 0 0 803 ISHARES S&P MF Closed and MF Open 464287671 3986 63400 SH SOLE 2025 0 61375 ISHARES SELECT MF Closed and MF Open 464287168 416 4076 SH SOLE 0 0 4076 ISHARES SHORT MF Closed and MF Open 464288646 35 658 SH SOLE 0 0 658 ISHARES SILVER COM 46428Q109 30 1870 SH SOLE 0 0 1870 ISHARES TECHNOLOGY MF Closed and MF Open 464287721 61 297 SH SOLE 297 0 0 ISHARES TIPS MF Closed and MF Open 464287176 97 832 SH SOLE 130 0 702 ISHARES TRANSPORTATION MF Closed and MF Open 464287192 15 81 SH SOLE 0 0 81 ISHARES TREASURY MF Closed and MF Open 46434V860 10 200 SH SOLE 0 0 200 ISHARES TRUST MF Closed and MF Open 46435G193 116 4420 SH SOLE 0 0 4420 ISHARES U S MF Closed and MF Open 464287697 93 572 SH SOLE 0 0 572 ISHARES U S MF Closed and MF Open 464287713 6 200 SH SOLE 0 0 200 ISHARES U S MF Closed and MF Open 464287739 48 513 SH SOLE 0 0 513 ISHARES U S MF Closed and MF Open 464287762 36 190 SH SOLE 16 0 174 ISHARES U S MF Closed and MF Open 464287770 5 38 SH SOLE 0 0 38 ISHARES U S MF Closed and MF Open 464287796 13 400 SH SOLE 0 0 400 ISHARES U S MF Closed and MF Open 464288687 514 13695 SH SOLE 6707 0 6988 ISHARES U S MF Closed and MF Open 464288752 49 1136 SH SOLE 0 0 1136 ISHARES U S MF Closed and MF Open 464288794 3 44 SH SOLE 0 0 44 ISHARES U S MF Closed and MF Open 464288810 5 20 SH SOLE 0 0 20 ISHARES U S MF Closed and MF Open 464288851 1 17 SH SOLE 17 0 0 ISHARES U S MF Closed and MF Open 46429B267 429 16296 SH SOLE 0 0 16296 ISHARES US MF Closed and MF Open 464286178 196 4012 SH SOLE 0 0 4012 J ALEXANDERS COM 46609J106 2 147 SH SOLE 0 0 147 JANUS HENDERSON MF Closed and MF Open 47103U886 6098 121881 SH SOLE 5680 0 116201 JD.COM INC COM 47215P106 49 1730 SH SOLE 800 0 930 JEFFERIES FINANCIAL COM 47233W109 2 122 SH SOLE 0 0 122 JETBLUE AIRWAYS COM 477143101 13 794 SH SOLE 0 0 794 JOHNSON & JOHNSON COM 478160104 509 3937 SH SOLE 679 0 3258 JOHNSON CONTROLS COM G51502105 27 615 SH SOLE 190 0 425 JPMORGAN MF Closed and MF Open 46641Q837 4794 95067 SH SOLE 0 0 95067 JPMORGAN BETABUILDERS MF Closed and MF Open 46641Q696 3 138 SH SOLE 0 0 138 JPMORGAN BETABUILDERS MF Closed and MF Open 46641Q712 2 72 SH SOLE 0 0 72 JPMORGAN CHASE COM 46625H100 1793 15233 SH SOLE 3314 0 11919 KAYNE ANDERSON MF Closed and MF Open 486606106 7 500 SH SOLE 0 0 500 KBR INC COM 48242W106 5 201 SH SOLE 0 0 201 KELLOGG CO COM 487836108 3 50 SH SOLE 50 0 0 KEURIG DR COM 49271V100 3 115 SH SOLE 0 0 115 KEYCORP NEW COM 493267108 31 1731 SH SOLE 0 0 1731 KEYSIGHT TECHNOLOGIES COM 49338L103 40 412 SH SOLE 0 0 412 KIMBERLY CLARK COM 494368103 52 368 SH SOLE 0 0 368 KIMCO REALTY COM 49446R109 28 1321 SH SOLE 0 0 1321 KINDER MORGAN COM 49456B101 40 1929 SH SOLE 83 0 1846 KINROSS GOLD COM 496902404 2 359 SH SOLE 0 0 359 KKR & CO COM 48251W104 123 4595 SH SOLE 0 0 4595 KONTOOR BRANDS COM 50050N103 3 76 SH SOLE 16 0 60 KRAFT HEINZ COM 500754106 199 7135 SH SOLE 596 0 6539 KRANESHARES TR MF Closed and MF Open 500767306 10 250 SH SOLE 0 0 250 KROGER CO COM 501044101 14 545 SH SOLE 0 0 545 L3HARRIS TECHNOLOGIES COM 502431109 33 156 SH SOLE 136 0 20 LADDER CAP COM 505743104 36 2089 SH SOLE 0 0 2089 LAM RESEARCH CORPORATION COM 512807108 99 429 SH SOLE 192 0 237 LAS VEGAS SANDS COM 517834107 184 3180 SH SOLE 622 0 2558 LATTICE HARTFORD MF Closed and MF Open 518416102 4088 146625 SH SOLE 4192 0 142433 LATTICE HARTFORD MF Closed and MF Open 518416409 23 701 SH SOLE 0 0 701 LATTICE HARTFORD MF Closed and MF Open 518416508 51 1780 SH SOLE 500 0 1280 LATTICE HARTFORD MF Closed and MF Open 518416706 34 1100 SH SOLE 0 0 1100 LEAR CORP COM 521865204 40 337 SH SOLE 0 0 337 LEGG MASON MF Closed and MF Open 524682101 131 4150 SH SOLE 900 0 3250 LEGG MASON INC COM 524901105 7 191 SH SOLE 0 0 191 LEGGETT & PLATT COM 524660107 10 246 SH SOLE 246 0 0 LIBERTY ALL MF Closed and MF Open 529900102 42 7032 SH SOLE 3950 0 3082 LIBERTY ALL-STAR MF Closed and MF Open 530158104 573 89560 SH SOLE 23014 0 66546 LIBERTY MEDIA COM 531229409 1 17 SH SOLE 17 0 0 LIBERTY MEDIA COM 531229607 2 55 SH SOLE 55 0 0 LINCOLN NATL CORP IN COM 534187109 11 182 SH SOLE 0 0 182 LINDE PLC COM G5494J103 21 110 SH SOLE 0 0 110 LIQUIDITY SERVICES COM 53635B107 44 5950 SH SOLE 0 0 5950 LOCKHEED MARTIN COM 539830109 2010 5154 SH SOLE 26 0 5128 LOEWS CORP COM 540424108 46 900 SH SOLE 450 0 450 LOGMEIN INC COM 54142L109 1 9 SH SOLE 9 0 0 LOWES COMPANIES COM 548661107 267 2427 SH SOLE 337 0 2090 LPL FINANCIAL COM 50212V100 48 582 SH SOLE 0 0 582 LRAD CORP COM 50213V109 5 1380 SH SOLE 0 0 1380 LUCKIN COFFEE COM 54951L109 33 1720 SH SOLE 200 0 1520 LULULEMON ATHLETICA COM 550021109 33 170 SH SOLE 0 0 170 LUMENTUM HOLDINGS COM 55024U109 15 288 SH SOLE 2 0 286 LYFT INC COM 55087P104 128 3130 SH SOLE 1280 0 1850 M D C HOLDINGS COM 552676108 1 28 SH SOLE 0 0 28 MACYS INC COM 55616P104 120 7708 SH SOLE 3854 0 3854 MADDEN STEVEN COM 556269108 0 7 SH SOLE 0 0 7 MADISON SQUARE COM 55825T103 133 505 SH SOLE 58 0 447 MAGAL SECURITIES SYS COM M6786D104 0 50 SH SOLE 50 0 0 MAGELLAN MIDSTREAM Oil Gas Real Estate and REIT 559080106 30 450 SH SOLE 350 0 100 MAINSTAY DEFINEDTERM MF Closed and MF Open 56064K100 420 20019 SH SOLE 18120 0 1899 MALLINCKRODT PUBLIC COM G5785G107 36 14776 SH SOLE 0 0 14776 MANITOWOC COMPANY COM 563571405 29 2300 SH SOLE 1600 0 700 MANNKIND CORP COM 56400P706 0 208 SH SOLE 4 0 204 MANULIFE FINANCIAL COM 56501R106 17 902 SH SOLE 0 0 902 MARATHON OIL COM 565849106 4 302 SH SOLE 0 0 302 MARATHON PETROLEUM COM 56585A102 42 684 SH SOLE 0 0 684 MARRIOTT INTL COM 571903202 14 114 SH SOLE 0 0 114 MARSH & MCLENNAN COM 571748102 5 46 SH SOLE 20 0 26 MARTIN MARIETTA COM 573284106 11 41 SH SOLE 0 0 41 MASCO CORP COM 574599106 1 19 SH SOLE 0 0 19 MASTERCARD INC COM 57636Q104 373 1373 SH SOLE 624 0 750 MATTEL INC COM 577081102 2 200 SH SOLE 0 0 200 MAXIM INTEGRATED COM 57772K101 17 300 SH SOLE 0 0 300 MC CORMICK COM 579780206 19 120 SH SOLE 0 0 120 MCDONALDS CORP COM 580135101 439 2044 SH SOLE 81 0 1963 MCKESSON CORP COM 58155Q103 78 570 SH SOLE 0 0 570 MDU RESOURCES GROUP COM 552690109 6 230 SH SOLE 0 0 230 MEDTRONIC PLC COM G5960L103 88 812 SH SOLE 0 0 812 MERCK & COMPANY COM 58933Y105 562 6679 SH SOLE 1143 0 5536 MERITOR INC COM 59001K100 18 967 SH SOLE 0 0 967 MESABI TRUST CBI COM 590672101 2 80 SH SOLE 0 0 80 METLIFE INC COM 59156R108 18 389 SH SOLE 0 0 389 MFS MULTIMARKET MF Closed and MF Open 552737108 8 1400 SH SOLE 0 0 1400 MGM RESORTS COM 552953101 30 1100 SH SOLE 0 0 1100 MICRON TECHNOLOGY INC COM 595112103 152 3550 SH SOLE 0 0 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303 0 3367 RED ROCK COM 75700L108 3 142 SH SOLE 0 0 142 REDWOOD TRUST INC COM 758075402 17 1058 SH SOLE 0 0 1058 REGIONS FINANCIAL COM 7591EP100 5 309 SH SOLE 0 0 309 RESIDEO TECHNOLOGIES COM 76118Y104 1 53 SH SOLE 0 0 53 RIO TINTO COM 767204100 10 200 SH SOLE 0 0 200 RITE AID COM 767754872 1 175 SH SOLE 50 0 125 RMR REAL MF Closed and MF Open 76970B101 20 982 SH SOLE 0 0 982 ROCKWELL AUTOMATION COM 773903109 428 2600 SH SOLE 0 0 2600 ROKU INC COM 77543R102 124 1214 SH SOLE 0 0 1214 ROYAL DUTCH COM 780259107 42 700 SH SOLE 0 0 700 ROYAL DUTCH COM 780259206 82 1386 SH SOLE 0 0 1386 ROYAL GOLD COM 780287108 18 150 SH SOLE 0 0 150 ROYCE VALUE MF Closed and MF Open 780910105 87 6352 SH SOLE 562 0 5790 SALESFORCE.COM INC COM 79466L302 372 2509 SH SOLE 1037 0 1472 SANOFI COM 80105N105 22 470 SH SOLE 0 0 470 SANOFI CONTINGENT Rights and Bearer Warrants except bearer 80105N113 0 40 SH SOLE 0 0 40 SAREPTA THERAPEUTICS COM 803607100 2 25 SH SOLE 0 0 25 SCHLUMBERGER LTD COM 806857108 39 1147 SH 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2696 SPDR PORTFOLIO MF Closed and MF Open 78463X889 243 8262 SH SOLE 0 0 8262 SPDR PORTFOLIO MF Closed and MF Open 78464A367 3 90 SH SOLE 0 0 90 SPDR PORTFOLIO MF Closed and MF Open 78464A375 79 2235 SH SOLE 0 0 2235 SPDR PORTFOLIO MF Closed and MF Open 78464A409 18 460 SH SOLE 0 0 460 SPDR PORTFOLIO MF Closed and MF Open 78464A474 37 1191 SH SOLE 600 0 591 SPDR PORTFOLIO MF Closed and MF Open 78464A508 32 1014 SH SOLE 0 0 1014 SPDR PORTFOLIO MF Closed and MF Open 78464A649 543 18321 SH SOLE 0 0 18321 SPDR PORTFOLIO MF Closed and MF Open 78464A664 34 817 SH SOLE 0 0 817 SPDR PORTFOLIO MF Closed and MF Open 78464A847 31 929 SH SOLE 234 0 695 SPDR PORTFOLIO MF Closed and MF Open 78464A854 484 13892 SH SOLE 0 0 13892 SPDR PORTFOLIO MF Closed and MF Open 78468R101 77 2575 SH SOLE 0 0 2575 SPDR PORTFOLIO MF Closed and MF Open 78468R788 1043 27474 SH SOLE 0 0 27474 SPDR PORTFOLIO MF Closed and MF Open 78468R853 127 4242 SH SOLE 260 0 3982 SPDR S&P MF Closed and MF Open 78462F103 8768 29546 SH SOLE 2828 0 26718 SPDR S&P MF Closed and MF Open 78463X756 15 346 SH SOLE 0 0 346 SPDR S&P MF Closed and MF Open 78463X772 131 3374 SH SOLE 0 0 3374 SPDR S&P MF Closed and MF Open 78463X871 32 1105 SH SOLE 0 0 1105 SPDR S&P MF Closed and MF Open 78464A532 12 200 SH SOLE 0 0 200 SPDR S&P MF Closed and MF Open 78464A599 0 2 SH SOLE 0 0 2 SPDR S&P MF Closed and MF Open 78464A797 4 100 SH SOLE 0 0 100 SPDR S&P MF Closed and MF Open 78467Y107 706 2003 SH SOLE 1362 0 641 SPDR S&P MF Closed and MF Open 78468R796 362 4983 SH SOLE 0 0 4983 SPDR SERIES MF Closed and MF Open 78464A763 2270 22128 SH SOLE 509 0 21619 SPDR SERIES MF Closed and MF Open 78464A813 75 1110 SH SOLE 0 0 1110 SPDR SERIES MF Closed and MF Open 78464A870 26 335 SH SOLE 0 0 335 SPDR SERIES MF Closed and MF Open 78464A888 9 198 SH SOLE 0 0 198 SPDR SSGA MF Closed and MF Open 78467V103 2 68 SH SOLE 0 0 68 SPDR TIPS MF Closed and MF Open 78464A656 122 4278 SH SOLE 0 0 4278 SPIRE INC COM 84857L101 17 200 SH SOLE 0 0 200 SPLUNK INC COM 848637104 29 245 SH SOLE 0 0 245 SPOTIFY TECHNOLOGY COM L8681T102 3 30 SH SOLE 0 0 30 SPRINT CORP COM 85207U105 0 41 SH SOLE 41 0 0 SQUARE INC COM 852234103 94 1516 SH SOLE 390 0 1126 STANLEY BLACK COM 854502101 38 262 SH SOLE 45 0 217 STARBUCKS CORP COM 855244109 457 5163 SH SOLE 375 0 4788 STARS GROUP COM 85570W100 2 150 SH SOLE 0 0 150 STARWOOD PROPERTY COM 85571B105 104 4300 SH SOLE 4300 0 0 STATE STREET COM 857477103 5 90 SH SOLE 0 0 90 STEEL DYNAMICS INC COM 858119100 13 423 SH SOLE 0 0 423 STMICROELECTRONICS N V COM 861012102 34 1775 SH SOLE 0 0 1775 STRYKER CORP COM 863667101 11 50 SH SOLE 0 0 50 SUBURBAN PROPANE Oil Gas Real Estate and REIT 864482104 24 1000 SH SOLE 0 0 1000 SUMMIT STATE COM 866264203 10 849 SH SOLE 0 0 849 SUNCOKE ENERGY COM 86722A103 2 318 SH SOLE 0 0 318 SUNCOR ENERGY COM 867224107 26 810 SH SOLE 250 0 560 SUNTRUST BANKS COM 867914103 7 100 SH SOLE 0 0 100 SVB FINANCIAL COM 78486Q101 37 176 SH SOLE 26 0 150 SYMANTEC CORP COM 871503108 5 214 SH SOLE 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UNITED TECHNOLOGIES COM 913017109 331 2428 SH SOLE 550 0 1878 UNITEDHEALTH GROUP COM 91324P102 1112 5116 SH SOLE 2677 0 2439 UNITY BIOTECHNOLOGY COM 91381U101 3 500 SH SOLE 0 0 500 UNUM GROUP COM 91529Y106 6 204 SH SOLE 0 0 204 V F CORP COM 918204108 50 558 SH SOLE 120 0 438 VALERO ENERGY COM 91913Y100 66 772 SH SOLE 347 0 425 VANECK VECTORS MF Closed and MF Open 92189F106 4 132 SH SOLE 0 0 132 VANECK VECTORS MF Closed and MF Open 92189F643 115 2295 SH SOLE 1331 0 964 VANECK VECTORS MF Closed and MF Open 92189F676 45 380 SH SOLE 0 0 380 VANECK VECTORS MF Closed and MF Open 92189F700 7 105 SH SOLE 105 0 0 VANECK VECTORS MF Closed and MF Open 92189F726 41 350 SH SOLE 0 0 350 VANECK VECTORS MF Closed and MF Open 92189H201 12 231 SH SOLE 0 0 231 VANECK VECTORS MF Closed and MF Open 92189H300 22 664 SH SOLE 451 0 213 VANECK VECTORS MF Closed and MF Open 92189H409 12 184 SH SOLE 0 0 184 VANGUARD COMMUNICATION MF Closed and MF Open 92204A884 27 312 SH SOLE 0 0 312 VANGUARD CONSUMER MF Closed and MF Open 92204A108 46 258 SH SOLE 0 0 258 VANGUARD CONSUMER MF Closed and MF Open 92204A207 1482 9467 SH SOLE 6051 0 3417 VANGUARD DIVIDEND MF Closed and MF Open 921908844 164 1375 SH SOLE 1142 0 233 VANGUARD EMERGING MF Closed and MF Open 921946885 83 1031 SH SOLE 1031 0 0 VANGUARD ENERGY MF Closed and MF Open 92204A306 26 338 SH SOLE 0 0 338 VANGUARD FINANCIALS MF Closed and MF Open 92204A405 94 1337 SH SOLE 764 0 573 VANGUARD FSTE MF Closed and MF Open 922042858 546 13558 SH SOLE 5512 0 8046 VANGUARD FTSE MF Closed and MF Open 921943858 483 11750 SH SOLE 8038 0 3712 VANGUARD FTSE MF Closed and MF Open 922042718 70 684 SH SOLE 645 0 39 VANGUARD FTSE MF Closed and MF Open 922042775 122 2444 SH SOLE 2196 0 248 VANGUARD FTSE MF Closed and MF Open 922042874 62 1150 SH SOLE 866 0 284 VANGUARD GLOBAL MF Closed and MF Open 922042676 3 45 SH SOLE 0 0 45 VANGUARD GROWTH MF Closed and MF Open 922908736 294 1767 SH SOLE 0 0 1767 VANGUARD HEALTH MF Closed and MF Open 92204A504 204 1219 SH SOLE 959 0 260 VANGUARD HIGH MF Closed and MF Open 921946406 136 1531 SH SOLE 132 0 1399 VANGUARD INDUSTRIALS MF Closed and MF Open 92204A603 43 296 SH SOLE 0 0 296 VANGUARD INFORMATION MF Closed and MF Open 92204A702 204 949 SH SOLE 293 0 656 VANGUARD INTERMEDIATE MF Closed and MF Open 921937819 758 8618 SH SOLE 5558 0 3060 VANGUARD INTERMEDIATE MF Closed and MF Open 92206C706 123 1841 SH SOLE 1841 0 0 VANGUARD INTERMEDIATE MF Closed and MF Open 92206C870 81 892 SH SOLE 799 0 93 VANGUARD LARGE MF Closed and MF Open 922908637 52 383 SH SOLE 228 0 155 VANGUARD LONG MF Closed and MF Open 921937793 1040 10128 SH SOLE 0 0 10128 VANGUARD LONG MF Closed and MF Open 92206C813 62 613 SH SOLE 576 0 37 VANGUARD MATERIALS MF Closed and MF Open 92204A801 39 306 SH SOLE 0 0 306 VANGUARD MEGA MF Closed and MF Open 921910816 27 200 SH SOLE 0 0 200 VANGUARD MEGA MF Closed and MF Open 921910873 56 540 SH SOLE 540 0 0 VANGUARD MID MF Closed and MF Open 922908512 159 1404 SH SOLE 0 0 1404 VANGUARD MID MF Closed and MF Open 922908629 346 2066 SH SOLE 0 0 2066 VANGUARD MORTGAGE MF Closed and MF Open 92206C771 208 3910 SH SOLE 3899 0 11 VANGUARD REAL MF Closed and MF Open 922908553 70 746 SH SOLE 124 0 622 VANGUARD RUSSELL MF Closed and MF Open 92206C664 186 1525 SH SOLE 0 0 1525 VANGUARD S&P MF Closed and MF Open 921932505 8 51 SH SOLE 0 0 51 VANGUARD S&P MF Closed and MF Open 921932778 28 216 SH SOLE 216 0 0 VANGUARD S&P MF Closed and MF Open 921932794 79 516 SH SOLE 516 0 0 VANGUARD S&P MF Closed and MF Open 921932844 80 649 SH SOLE 649 0 0 VANGUARD S&P MF Closed and MF Open 921932869 137 980 SH SOLE 980 0 0 VANGUARD S&P MF Closed and MF Open 922908363 383 1406 SH SOLE 1092 0 314 VANGUARD SHORT MF Closed and MF Open 921937827 27 333 SH SOLE 32 0 301 VANGUARD SHORT MF Closed and MF Open 922020805 3 68 SH SOLE 0 0 68 VANGUARD SHORT MF Closed and MF Open 92206C102 15 250 SH SOLE 0 0 250 VANGUARD SHORT MF Closed and MF Open 92206C409 167 2055 SH SOLE 650 0 1405 VANGUARD SMALL MF Closed and MF Open 922908595 79 433 SH SOLE 188 0 245 VANGUARD SMALL MF Closed and MF Open 922908611 110 856 SH SOLE 267 0 589 VANGUARD SMALL MF Closed and MF Open 922908751 364 2365 SH SOLE 0 0 2365 VANGUARD TOTAL MF Closed and MF Open 921909768 52 1013 SH SOLE 838 0 175 VANGUARD TOTAL MF Closed and MF Open 921937835 2979 35280 SH SOLE 2023 0 33256 VANGUARD TOTAL MF Closed and MF Open 92203J407 47 791 SH SOLE 791 0 0 VANGUARD TOTAL MF Closed and MF Open 922042742 868 11604 SH SOLE 11604 0 0 VANGUARD TOTAL MF Closed and MF Open 922908769 865 5730 SH SOLE 0 0 5730 VANGUARD UTILITIES MF Closed and MF Open 92204A876 60 418 SH SOLE 0 0 418 VANGUARD VALUE MF Closed and MF Open 922908744 774 6938 SH SOLE 62 0 6876 VERINT SYSTEMS COM 92343X100 15 355 SH SOLE 0 0 355 VERIZON COMMUNICATIONS COM 92343V104 913 15122 SH SOLE 4264 0 10858 VERSUM MATERIALS COM 92532W103 1 12 SH SOLE 0 0 12 VERTEX PHARMACEUTICALS COM 92532F100 12 71 SH SOLE 65 0 6 VIACOM INC COM 92553P102 1 50 SH SOLE 50 0 0 VIAVI SOLUTIONS COM 925550105 3 193 SH SOLE 12 0 181 VICTORYSHARES U S MF Closed and MF Open 92647N824 42 903 SH SOLE 0 0 903 VICTORYSHARES US MF Closed and MF Open 92647N766 9258 174909 SH SOLE 2894 0 172015 VICTORYSHARES US MF Closed and MF Open 92647N782 33 675 SH SOLE 0 0 675 VICTORYSHARES US MF Closed and MF Open 92647N873 47 1069 SH SOLE 1069 0 0 VISA INC COM 92826C839 1419 8248 SH SOLE 2683 0 5565 VMWARE INC COM 928563402 213 1417 SH SOLE 670 0 747 VODAFONE GROUP COM 92857W308 3 147 SH SOLE 147 0 0 VULCAN MATERIALS COM 929160109 67 445 SH SOLE 210 0 235 W P CAREY COM 92936U109 204 2278 SH SOLE 0 0 2278 WABTEC COM 929740108 7 101 SH SOLE 31 0 70 WAITR HOLDINGS COM 930752100 1 1000 SH SOLE 0 0 1000 WALGREENS BOOTS COM 931427108 65 1180 SH SOLE 700 0 480 WALMART INC COM 931142103 150 1261 SH SOLE 0 0 1261 WALT DISNEY COM 254687106 702 5387 SH SOLE 1255 0 4132 WASTE CONNECTIONS COM 94106B101 1 10 SH SOLE 0 0 10 WASTE MANAGEMENT COM 94106L109 76 664 SH SOLE 39 0 625 WD 40 COM 929236107 20 108 SH SOLE 0 0 108 WEBSTER FINANCIAL COM 947890109 2 37 SH SOLE 0 0 37 WEC ENERGY COM 92939U106 11 118 SH SOLE 0 0 118 WELBILT INC COM 949090104 13 750 SH SOLE 0 0 750 WELLS FARGO COM 949746101 499 9898 SH SOLE 6778 0 3120 WELLS FARGO Preferred Stock 949746804 19 12 SH SOLE 0 0 12 WELLTOWER INC COM 95040Q104 63 699 SH SOLE 101 0 598 WESTAMERICA BANCORP COM 957090103 352 5666 SH SOLE 23 0 5643 WESTERN ASSET MF Closed and MF Open 95766J102 14 2056 SH SOLE 0 0 2056 WESTERN DIGITAL COM 958102105 6 99 SH SOLE 99 0 0 WESTERN UNION COM 959802109 6 253 SH SOLE 0 0 253 WEX INC COM 96208T104 1 4 SH SOLE 0 0 4 WEYERHAEUSER CO COM 962166104 13 464 SH SOLE 251 0 213 WHEATON PRECIOUS COM 962879102 3 100 SH SOLE 0 0 100 WHEELER REIT Preferred Stock 963025309 150 12630 SH SOLE 1250 0 11380 WHIRLPOOL CORP COM 963320106 11 72 SH SOLE 0 0 72 WHITESTONE REIT COM 966084204 20 1425 SH SOLE 0 0 1425 WILLIAMS COS COM 969457100 60 2500 SH SOLE 1000 0 1500 WILLIS TOWERS COM G96629103 98 510 SH SOLE 0 0 510 WISDOMTREE DEFA MF Closed and MF Open 97717W703 11 214 SH SOLE 0 0 214 WISDOMTREE EMERGING MF Closed and MF Open 97717X578 25 914 SH SOLE 0 0 914 WISDOMTREE FLOATING MF Closed and MF Open 97717X628 22 860 SH SOLE 860 0 0 WISDOMTREE INTL MF Closed and MF Open 97717W760 10 150 SH SOLE 0 0 150 WISDOMTREE JAPAN MF Closed and MF Open 97717W521 20 500 SH SOLE 0 0 500 WISDOMTREE JAPAN MF Closed and MF Open 97717W851 17 335 SH SOLE 0 0 335 WISDOMTREE TRUST MF Closed and MF Open 97717W380 12 261 SH SOLE 0 0 261 WISDOMTREE TRUST MF Closed and MF Open 97717X610 89 3525 SH SOLE 1650 0 1875 WISDOMTREE TRUST MF Closed and MF Open 97717X669 137 3043 SH SOLE 0 0 3043 WISDOMTREE TRUST MF Closed and MF Open 97717X701 25 370 SH SOLE 0 0 370 WISDOMTREE TRUST MF Closed and MF Open 97717X867 11 319 SH SOLE 0 0 319 WISDOMTREE U S MF Closed and MF Open 97717W208 108 1445 SH SOLE 0 0 1445 WISDOMTREE U S MF Closed and MF Open 97717W307 228 2299 SH SOLE 0 0 2299 WISDOMTREE U S MF Closed and MF Open 97717W406 9 100 SH SOLE 0 0 100 WISDOMTREE U S MF Closed and MF Open 97717W505 3910 107679 SH SOLE 1565 0 106114 WISDOMTREE U S MF Closed and MF Open 97717W562 2052 57627 SH SOLE 1071 0 56556 WISDOMTREE U S MF Closed and MF Open 97717W588 55 1640 SH SOLE 0 0 1640 WISDOMTREE US MF Closed and MF Open 97717X651 22 632 SH SOLE 0 0 632 WOODWARD INC COM 980745103 3 25 SH SOLE 0 0 25 WORKDAY INC COM 98138H101 122 718 SH SOLE 700 0 18 WORLD WRESTLING COM 98156Q108 1 10 SH SOLE 10 0 0 WPX ENERGY COM 98212B103 1 100 SH SOLE 0 0 100 WYNDHAM DESTINATIONS COM 98310W108 12 250 SH SOLE 0 0 250 WYNDHAM HOTELS COM 98311A105 13 250 SH SOLE 0 0 250 WYNN RESORTS COM 983134107 19 175 SH SOLE 120 0 55 X TRACKERS MF Closed and MF Open 233051200 378 11695 SH SOLE 0 0 11695 X TRACKERS MF Closed and MF Open 233051432 28 554 SH SOLE 0 0 554 XCEL ENERGY COM 98389B100 36 550 SH SOLE 0 0 550 XENIA HOTELS COM 984017103 3 140 SH SOLE 0 0 140 XILINX INC COM 983919101 7 77 SH SOLE 0 0 77 XPERI CORP COM 98421B100 15 724 SH SOLE 0 0 724 YUM BRANDS INC COM 988498101 6 53 SH SOLE 50 0 3 YUM CHINA COM 98850P109 2 53 SH SOLE 50 0 3 ZENDESK INC COM 98936J101 9 125 SH SOLE 125 0 0 ZILLOW GROUP COM 98954M200 25 830 SH SOLE 0 0 830 ZIMMER BIOMET COM 98956P102 48 351 SH SOLE 0 0 351 ZION OIL COM 989696109 2 6228 SH SOLE 0 0 6228 ZIONS BANCORPORATION COM 989701107 2 51 SH SOLE 0 0 51 ZOETIS INC COM 98978V103 53 424 SH SOLE 226 0 198 ZSCALER INC COM 98980G102 8 160 SH SOLE 160 0 0 ZYNGA INC COM 98986T108 1 200 SH SOLE 200 0 0