Chief Compliance Officer

0001606587-19-000987.txt : 20191107 0001606587-19-000987.hdr.sgml : 20191107 20191107153302 ACCESSION NUMBER: 0001606587-19-000987 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191107 DATE AS OF CHANGE: 20191107 EFFECTIVENESS DATE: 20191107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALTON & ASSOCIATES, INC. CENTRAL INDEX KEY: 0000822648 IRS NUMBER: 592845944 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18259 FILM NUMBER: 191200064 BUSINESS ADDRESS: STREET 1: 2701 N ROCKY POINT DRIVE STREET 2: SUITE 1000 CITY: TAMPA STATE: FL ZIP: 33607 BUSINESS PHONE: 813-264-0440 MAIL ADDRESS: STREET 1: 2701 N ROCKY POINT DRIVE STREET 2: SUITE 1000 CITY: TAMPA STATE: FL ZIP: 33607 FORMER COMPANY: FORMER CONFORMED NAME: CALTON & ASSOCIATES INC /BD DATE OF NAME CHANGE: 20020215 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000822648 XXXXXXXX 09-30-2019 09-30-2019 false Calton & Associates, Inc.

2701 N Rocky Point Drive Suite 1000 Tampa FL 33607

13F HOLDINGS REPORT 028-18259 N Rebekah Powers Chief Compliance Officer 813-264-0440 Rebekah Powers Tampa FL 11-04-2019 0 344 450169 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ALPS EMERGING SECTOR DIVIDEND DOGS EM SECT DIV DG 00162Q668 623 30451 SH SOLE NONE 0 0 30451 ALPS ETF TR ALERIAN MLP ETF ALERIAN MLP 00162Q866 187 20500 SH SOLE NONE 0 0 20500 ALPS ETF TRUST SECTOR DIVIDEND DOGS SECTR DIV DOGS 00162Q858 225 5123 SH SOLE NONE 0 0 5123 AMPLIFY ETF TR AMPLIFY ONLINE RETAIL ETF ONLIN RETL ETF 032108102 374 7988 SH SOLE NONE 0 0 7988 BARINGS CORPORATE INVS COM COM 06759X107 192 11384 SH SOLE NONE 0 0 11384 DBX ETF TRUST XTRACKERS MSCI EAFE HDG EQUITY FUND XTRACK MSCI EAFE 233051200 2486 76864 SH SOLE NONE 0 0 76864 FIRST TR EXCHANGE TRADED FD VI DORSEY WRIGHT FOCUS 5 ETF DORSEY WRT 5 ETF 33738R605 380 12858 SH SOLE NONE 0 0 12858 FIRST TR ISE CHINDIA INDEX FD CHINDIA ETF 33733A102 375 10921 SH SOLE NONE 0 0 10921 FIRST TR US IPO INDEX FD SHS US EQTY OPPT ETF 336920103 409 5394 SH SOLE NONE 0 0 5394 FIRST TR VALUE LINE DIVID INDEX FD SHS SHS 33734H106 3489 100066 SH SOLE NONE 0 0 100066 FIRST TRUST FIRST TR ENH NEW E TF FIRST TR ENH NEW 33739Q408 1705 28387 SH SOLE NONE 0 0 28387 FIRST TRUST MORN DVD LEAD IN SHS 336917109 271 8731 SH SOLE NONE 0 0 8731 First Trust Natural Gas ETF NAT GAS ETF 33733E807 316 27561 SH SOLE NONE 0 0 27561 FLEXSHARES TRUST READY ACCESS VAR READY ACC VARI 33939L886 862 11366 SH SOLE NONE 0 0 11366 HERCULES CAPITAL INC COM 427096508 185 13844 SH SOLE NONE 0 0 13844 INVESCO DWA TCTL SCTR ROTA TION ETF DWA TACTCL SCT 46138E826 363 11572 SH SOLE NONE 0 0 11572 INVESCO BULLETSHARES 2020 CORP BOND ETF BULSHS 2020 CB 46138J502 431 20247 SH SOLE NONE 0 0 20247 INVESCO BULLETSHARES 2022 HI YIELD CORP BOND ETF BULSHS 2022 HY 46138J874 241 9896 SH SOLE NONE 0 0 9896 INVESCO BULLETSHRS 2019 HIGH YLD CP BD ETF BULSHS 2019 HY 46138J403 207 8650 SH SOLE NONE 0 0 8650 INVESCO BUYBACK ACHIEVERS ETF BUYBACK ACHIEV 46137V308 557 8894 SH SOLE NONE 0 0 8894 INVESCO DB COMMODITY INDEX TRACKING FD UNIT 46138B103 250 16645 SH SOLE NONE 0 0 16645 INVESCO DWA MOMENTUM ETF DWA MOMENTUM 46137V837 523 8585 SH SOLE NONE 0 0 8585 INVESCO DYNAMIC NETWORKINGETF DYNMC NETWRNG 46137V688 301 5338 SH SOLE NONE 0 0 5338 INVESCO DYNAMIC UTILITIES ETF DWA UTILS MUMT 46137V795 363 10354 SH SOLE NONE 0 0 10354 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 301 11531 SH SOLE NONE 0 0 11531 INVESCO HIGH YIELD EQTY DIVIDEND ACHIEVERS ETF HIG YLD EQ DIV 46137V563 242 13230 SH SOLE NONE 0 0 13230 INVESCO NASDAQ INTERNET ETF NASDAQ INTERNT 46137V530 326 2508 SH SOLE NONE 0 0 2508 INVESCO NAT AMTFREE MUNI BOND ETF NATL AMT MUNI 46138E537 1554 58554 SH SOLE NONE 0 0 58554 INVESCO PREFERRED ETF PFD ETF 46138E511 714 47504 SH SOLE NONE 0 0 47504 INVESCO QQQ TRUST SERIES UNIT SER 1 46090E103 9081 48094 SH SOLE NONE 0 0 48094 INVESCO SP 500 EQUAL WEIGHT ETF S&P500 EQL WGT 46137V357 2993 27696 SH SOLE NONE 0 0 27696 INVESCO SP 500 HIGH DIVID LOW VOLATILITY ETF S&P500 HDL VOL 46138E362 252 5910 SH SOLE NONE 0 0 5910 INVESCO SP 500 LOW VOLATILITY ETF S&P500 LOW VOL 46138E354 2128 36745 SH SOLE NONE 0 0 36745 INVESCO SP MIDCAP LOW VOLATILITY ETF S&P MIDCP LOW 46138E198 2597 49358 SH SOLE NONE 0 0 49358 INVESCO SP SMALLCALL LOW VOLATILITY ETF S&P SMLCP LOW 46138G102 2141 43791 SH SOLE NONE 0 0 43791 INVESCO SENIOR LOAN ETF SR LN ETF 46138G508 259 11444 SH SOLE NONE 0 0 11444 INVESCO ULTRA SHORT DURATION ETF ULTRA SHRT DUR 46090A887 661 13117 SH SOLE NONE 0 0 13117 INVESCO WILDERHILL CLEAN ENERGY ETF WILDERHIL CLAN 46137V134 337 11557 SH SOLE NONE 0 0 11557 ISHARE EDGE MSCI MIN VOL GLOBAL ETF FORMERLY ISHARES MSCI ALL COUNTRY WORLD MIN VOL GBL ETF 464286525 2552 26931 SH SOLE NONE 0 0 26931 ISHARES 710 YEAR TREASURY BOND ETF BARCLAYS 7 10 YR 464287440 1118 9937 SH SOLE NONE 0 0 9937 ISHARES CALIFORNIA MUNI BOND ETF CALIF MUN BD ETF 464288356 280 4561 SH SOLE NONE 0 0 4561 ISHARES CHINA LARGE CAP ETF CHINA LG-CAP ETF 464287184 415 10433 SH SOLE NONE 0 0 10433 ISHARES CORE CONSERVATIVE ALLOCATION ETF CONSER ALLOC ETF 464289883 302 8460 SH SOLE NONE 0 0 8460 ISHARES CORE SP 500 ETF CORE S&P500 ETF 464287200 6946 23268 SH SOLE NONE 0 0 23268 ISHARES CORE SP MIDCAP ETF CORE S&P MCP ETF 464287507 19057 98625 SH SOLE NONE 0 0 98625 ISHARES CORE SP SMALLCAP ETF CORE S&P SCP ETF 464287804 445 5719 SH SOLE NONE 0 0 5719 ISHARES CORE US AGGREGATE BOND ETF CORE US AGGBD ET 464287226 12723 112426 SH SOLE NONE 0 0 112426 ISHARES DJ US REAL ESTATE U.S. REAL ES ETF 464287739 1039 11105 SH SOLE NONE 0 0 11105 ISHARES EDGE MSCI MIN VOL EAFE ETF MIN VOL EAFE ETF 46429B689 2395 32688 SH SOLE NONE 0 0 32688 ISHARES EDGE MSCI MIN VOL USA ETF MSCI MIN VOL ETF 46429B697 13759 214646 SH SOLE NONE 0 0 214646 ISHARES IBOXX INVESTMENT GRADE CORPORATE BOND ETF IBOXX INV CP ETF 464287242 1308 10264 SH SOLE NONE 0 0 10264 ISHARES MORNINGSTAR LARGECAP GROWTH ETF MRNGSTR LG-CP GR 464287119 200 1045 SH SOLE NONE 0 0 1045 ISHARES MORNINGSTAR MIDCAP ET F MRGSTR MD CP ETF 464288208 291 1470 SH SOLE NONE 0 0 1470 ISHARES MSCI BRAZIL ETF MSCI BRAZIL ETF 464286400 1166 27667 SH SOLE NONE 0 0 27667 ISHARES MSCI CANADA ETF MSCI CDA ETF 464286509 1098 38001 SH SOLE NONE 0 0 38001 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 24858 381194 SH SOLE NONE 0 0 381194 ISHARES MSCI EMERGING MARKETS ETF MSCI EMG MKT ETF 464287234 1693 41433 SH SOLE NONE 0 0 41433 ISHARES NASDAQ BIOTECHNOLOGY ETF NASDAQ BIOTECH 464287556 1129 11351 SH SOLE NONE 0 0 11351 ISHARES NATIONAL MUNI BOND ETF NATIONAL MUN ETF 464288414 787 6900 SH SOLE NONE 0 0 6900 ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 464287614 30640 191944 SH SOLE NONE 0 0 191944 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 29632 231032 SH SOLE NONE 0 0 231032 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 14269 94282 SH SOLE NONE 0 0 94282 ISHARES RUSSELL 3000 ETF RUSSELL 3000 ETF 464287689 313 1801 SH SOLE NONE 0 0 1801 ISHARES SP 100 ETF S&P 100 ETF 464287101 845 6422 SH SOLE NONE 0 0 6422 ISHARES SP 500 GROWTH ETF S&P 500 GRWT ETF 464287309 2125 11803 SH SOLE NONE 0 0 11803 ISHARES SP SMALLCAP GROWTH ETF S&P SML 600 GWT 464287887 527 2953 SH SOLE NONE 0 0 2953 ISHARES SELECT DIVIDEND ETF SELECT DIVID ETF 464287168 628 6160 SH SOLE NONE 0 0 6160 ISHARES SHORTTERM NATIONAL MUNI BOND ETF SHRT NAT MUN ETF 464288158 621 5829 SH SOLE NONE 0 0 5829 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 2470 21241 SH SOLE NONE 0 0 21241 ISHARES TR 13 YR CR BD ETF SH TR CRPORT ETF 464288646 303 5648 SH SOLE NONE 0 0 5648 ISHARES TR 20 YR TR BD ETF 20 YR TR BD ETF 464287432 775 5415 SH SOLE NONE 0 0 5415 ISHARES TR BARCLAYS 37 YR TREAS BD FD 3 7 YR TREAS BD 464288661 6491 51190 SH SOLE NONE 0 0 51190 ISHARES TR BARCLAYS SHORT TREAS BD FD SHORT TREAS BD 464288679 12265 110876 SH SOLE NONE 0 0 110876 ISHARES TR CONVERTIBLE BOND ETF CONV BD ETF 46435G102 226 3882 SH SOLE NONE 0 0 3882 ISHARES TR DOW JONES U S CONSUMER SERVICES SECTOR INDEX FD U.S. CNSM SV ETF 464287580 398 1832 SH SOLE NONE 0 0 1832 ISHARES TR DOW JONES U S UTILS SECTOR INDEX FD U.S. UTILITS ETF 464287697 433 2660 SH SOLE NONE 0 0 2660 ISHARES TR IBOXX HI YD ETF IBOXX HI YD ETF 464288513 320 3671 SH SOLE NONE 0 0 3671 ISHARES TR JP MOR EM MK ETF JPMORGAN USD EMG 464288281 777 6858 SH SOLE NONE 0 0 6858 ISHARES TR RUS MIDCAP ETF RUS MID CAP ETF 464287499 1503 26870 SH SOLE NONE 0 0 26870 ISHARES TR US AERDEF ETF US AER DEF ETF 464288760 531 2361 SH SOLE NONE 0 0 2361 ISHARES TR US PFD STK ETF PFD AND INCM SEC 464288687 3368 89744 SH SOLE NONE 0 0 89744 ISHARES TRANSPORTATION AVERAGE ETF TRANS AVG ETF 464287192 557 2990 SH SOLE NONE 0 0 2990 ISHARES TRUST CORE DIVID GWTH CORE DIV GRWTH 46434V621 284 7250 SH SOLE NONE 0 0 7250 ISHARES TRUST FLOATING RATE BD ETF FLTG RATE NT ETF 46429B655 2942 57711 SH SOLE NONE 0 0 57711 ISHARES TRUST ISHARES CORE HIGH DIVIDEND CORE HIGH DV ETF 46429B663 260 2758 SH SOLE NONE 0 0 2758 ISHARES TRUST ISHARES MORNINGSTAR MULTI ASSET INCOME MRNGSTR INC ETF 46432F875 255 10225 SH SOLE NONE 0 0 10225 ISHARES TRUST MSCI EUROPE FINANCIALS ISIN US4642891802 SEDOL B633900 MSCI EURO FL ETF 464289180 629 35756 SH SOLE NONE 0 0 35756 ISHARES TRUST MSCI INDIA INDEX FD MSCI INDIA ETF 46429B598 1478 44039 SH SOLE NONE 0 0 44039 ISHARES US TECHNOLOGY ETF U.S. TECH ETF 464287721 410 2008 SH SOLE NONE 0 0 2008 MAIN STREET CAPITAL CORP COM COM 56035L104 663 15335 SH SOLE NONE 0 0 15335 MILLERHOWARD HIGH INCOME EQUITY FUND COM SHS BEN IN 600379101 139 12736 SH SOLE NONE 0 0 12736 NUVEEN NJ DIV ADVANTAGE MUN FD COM COM 67069Y102 391 27034 SH SOLE NONE 0 0 27034 NUVEEN QUALITY MUNCP INCOME FD COM COM 67066V101 181 12604 SH SOLE NONE 0 0 12604 PIMCO ETF TR ENHANCED SHORT MAT ACTIVE ETF ENHAN SHRT MA AC 72201R833 2162 21256 SH SOLE NONE 0 0 21256 PIMCO ETF TRUST TOTAL RETURN ACTIVE EXCHTRADED FUND ACTIVE BD ETF 72201R775 3397 31198 SH SOLE NONE 0 0 31198 PIMCO HIGH INCOME FD COM SHS COM SHS 722014107 90 11660 SH SOLE NONE 0 0 11660 PROSHARES TRUST SP 500 DIVID ARISTOCRATS ETF S&P 500 DV ARIST 74348A467 304 4245 SH SOLE NONE 0 0 4245 PUTNAM MANAGED MUN INCOME TR COM 746823103 107 13683 SH SOLE NONE 0 0 13683 SCHWAB SHORT TERM US TREA SHT TM US TRES 808524862 1053 20822 SH SOLE NONE 0 0 20822 SCHWAB STRATEGIC TR US LARGE CAP GROWTH ETF US LCAP GR ETF 808524300 203 2411 SH SOLE NONE 0 0 2411 SCHWAB STRATEGIC TR US SMALLCAP ETF US SML CAP ETF 808524607 338 4847 SH SOLE NONE 0 0 4847 SECTOR SPDR TR SHS BEN INT FINANCIAL SBI INT-FINL 81369Y605 1093 39019 SH SOLE NONE 0 0 39019 SECTOR SPDR TR SHS BEN INT TECHNOLOGY TECHNOLOGY 81369Y803 951 11809 SH SOLE NONE 0 0 11809 SECTOR SPDR TR SHS BEN INT UTILITIES SBI INT-UTILS 81369Y886 594 9171 SH SOLE NONE 0 0 9171 SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY FORMERLY CYCLICAL TRANSN TO 06242002 SBI CONS DISCR 81369Y407 243 2015 SH SOLE NONE 0 0 2015 SELECT SECTOR SPDR TR HEALTH CARE FORMERLY CONSUMER SVCS TO 06242002 SBI HEALTHCARE 81369Y209 1308 14510 SH SOLE NONE 0 0 14510 SELECT SECTOR SPDR TR INDL SBI INT-INDS 81369Y704 471 6066 SH SOLE NONE 0 0 6066 SPDR BLACKSTONEGSO SENIOR LOAN BLKSTN GSOSRLN 78467V608 5765 124465 SH SOLE NONE 0 0 124465 SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1 UT SER 1 78467X109 1578 5860 SH SOLE NONE 0 0 5860 SPDR GOLD TR GOLD SHS GOLD SHS 78463V107 622 4481 SH SOLE NONE 0 0 4481 SPDR INDEX SHS FDS EURO STOXX 50 ETF EURO STOXX 50 78463X202 1301 34464 SH SOLE NONE 0 0 34464 SPDR INDEX SHS FDS SP CHINA ETF S&P CHINA ETF 78463X400 1135 12570 SH SOLE NONE 0 0 12570 SPDR PRTFOLIO EMERGING MARKETS ETF PORTFOLIO EMG MK 78463X509 334 9738 SH SOLE NONE 0 0 9738 SPDR SP 500 ETF TRUST UNIT SER 1 SP TR UNIT 78462F103 12176 41027 SH SOLE NONE 0 0 41027 SPDR SP MIDCAP 400 ETF TR UTSER1 SPDCRP UTSER1 S&PDCRP 78467Y107 4748 13471 SH SOLE NONE 0 0 13471 SPDR SER TR BLOMBERG BRC INV BLOMBERG BRC INV 78468R200 3045 98986 SH SOLE NONE 0 0 98986 SPDR SER TR DB INTL GOVT INFLATION PROTECTED FTSE INT GVT ETF 78464A490 474 8657 SH SOLE NONE 0 0 8657 SPDR SER TR DJ WILSHIRE MID CAP GROWTH ETF S&P 400 MDCP GRW 78464A821 841 15655 SH SOLE NONE 0 0 15655 SPDR SER TR DJ WILSHIRE SMALL CAP VALUE ETF S&P 600 SMCP VAL 78464A300 426 6956 SH SOLE NONE 0 0 6956 SPDR SER TR NUVEEN BLMBRG SR NUVEEN BLMBRG SR 78468R739 200 4079 SH SOLE NONE 0 0 4079 SPDR SER TR SP DIVID ETF S&P DIVID ETF 78464A763 339 3300 SH SOLE NONE 0 0 3300 SPDR SER TR SP METALS MNG ETF S&P METALS MNG 78464A755 1159 45543 SH SOLE NONE 0 0 45543 SPDR SER TR SP REGL BKG ETF S&P REGL BKG 78464A698 1031 19533 SH SOLE NONE 0 0 19533 SPDR SER TR SP500 HIGH DIV PRTFLO S&P500 HI 78468R788 683 17985 SH SOLE NONE 0 0 17985 SPDR SERIES TRUST BLMBRG BRC CNVRT BLMBRG BRC CNVRT 78464A359 947 18059 SH SOLE NONE 0 0 18059 SPDR SERIES TRUST BLOOMBERG BRCLYS BLOOMBERG BRCLYS 78468R622 811 7459 SH SOLE NONE 0 0 7459 SPDR SERIES TRUST NUVEEN SP HIGH YLD MUN B ETF NUV HGHYLD MUN 78464A284 304 5122 SH SOLE NONE 0 0 5122 SPDR SERIES TRUST PORTFOLIO TL STK ETF PORTFOLIO TL STK 78464A805 210 5714 SH SOLE NONE 0 0 5714 SPDR SERIES TRUST SP 500 GROWTH ETF PRTFLO S&P500 GW 78464A409 274 7037 SH SOLE NONE 0 0 7037 SSGA ACTIVE ETF TR SPDR TR TACTIC SPDR TR TACTIC 78467V848 1868 37951 SH SOLE NONE 0 0 37951 TEMPLETON EMERG MKTS INCOME FD COM COM 880192109 119 13142 SH SOLE NONE 0 0 13142 VANECK VECTORS ETF TR GOLD MINERS ETF GOLD MINERS ETF 92189F106 1920 71889 SH SOLE NONE 0 0 71889 VANECK VECTORS ETF TR JP MORGAN MKTS JP MORGAN MKTS 92189H300 282 8547 SH SOLE NONE 0 0 8547 VANGUARD BD INDEX FD INC INTERMEDIATE TERM BD ETF INTERMED TERM 921937819 269 3051 SH SOLE NONE 0 0 3051 VANGUARD BD INDEX FD INC SHORT TERM BD ETF SHORT TRM BOND 921937827 2207 27320 SH SOLE NONE 0 0 27320 VANGUARD BD INDEX FD INC TOTAL BD MARKET ETF TOTAL BND MRKT 921937835 3651 43240 SH SOLE NONE 0 0 43240 VANGUARD CHARLOTTE TOTAL INTL BD INDEX FD ETF INTL BD IDX ETF 92203J407 1876 31889 SH SOLE NONE 0 0 31889 VANGUARD FTSE DEVELOPED MARKET ETF FTSE DEV MKT ETF 921943858 1732 42158 SH SOLE NONE 0 0 42158 VANGUARD INDEX FDS SP 500 ETF NEW S&P 500 ETF SHS 922908363 1443 5293 SH SOLE NONE 0 0 5293 VANGUARD INDEX FDS VANGUARD GROWTH ETF FORMERLY VANGUARD INDEX TR VIPERS GROWTH ETF 922908736 670 4032 SH SOLE NONE 0 0 4032 VANGUARD INDEX FDS VANGUARD REIT ETF FORMERLY VANGUARD INDEX TR TO 052401 REIT VIPER SHS REAL ESTATE ETF 922908553 708 7591 SH SOLE NONE 0 0 7591 VANGUARD INDEX FDS VANGUARD VALUE ETF FORMERLY VANGUARD INDEX TR VALUE ETF 922908744 417 3735 SH SOLE NONE 0 0 3735 VANGUARD INTERMTERM GOVT BD INTER TERM TREAS 92206C706 206 3093 SH SOLE NONE 0 0 3093 VANGUARD INTL EQUITY INDEX FUND INC FTSE EMERGING MARKETS ETF FTSE EMR MKT ETF 922042858 2342 58162 SH SOLE NONE 0 0 58162 VANGUARD MALVERN FDS SHORTTERM INFLATION PROTECTED SECS INDEX FD ETF SHS STRM INFPROIDX 922020805 557 11351 SH SOLE NONE 0 0 11351 VANGUARD RUSSELL 1000 VALUE ETF VNG RUS1000VAL 92206C714 207 1839 SH SOLE NONE 0 0 1839 VANGUARD SP SMALLCAP 600 ETF SMLLCP 600 IDX 921932828 296 2072 SH SOLE NONE 0 0 2072 VANGUARD SCOTTSDALE FDS VANGUARD SHORTTERM CORPORATE BD INDEX FD ETF SHS SHRT TRM CORP BD 92206C409 230 2831 SH SOLE NONE 0 0 2831 VANGUARD SECTOR INDEX FDS VANGUARD CONSUMER STAPLES VIPERS CONSUM STP ETF 92204A207 1540 9839 SH SOLE NONE 0 0 9839 VANGUARD SECTOR INDEX FDS VANGUARD ENERGY VIPERS ENERGY ETF 92204A306 2055 26342 SH SOLE NONE 0 0 26342 VANGUARD SECTOR INDEX FDS VANGUARD FINLS VIPERS FINANCIALS ETF 92204A405 4292 61315 SH SOLE NONE 0 0 61315 VANGUARD SECTOR INDEX FDS VANGUARD HEALTH CARE VIPERS HEALTH CAR ETF 92204A504 1958 11675 SH SOLE NONE 0 0 11675 VANGUARD SECTOR INDEX FDS VANGUARD INFORMATION TECHNOLOGY VIPERS INF TECH ETF 92204A702 294 1362 SH SOLE NONE 0 0 1362 VANGUARD SECTOR INDEX FDS VANGUARD UTILS VIPERS UTILITIES ETF 92204A876 370 2572 SH SOLE NONE 0 0 2572 VANGUARD SPECIALIZED PORTFOLIOS DIV APPRECIATION INDEX FD VIPER SHS DIV APP ETF 921908844 515 4309 SH SOLE NONE 0 0 4309 VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHS HIGH DIV YLD 921946406 488 5503 SH SOLE NONE 0 0 5503 VANGUARD WORLD FD MEGA CAP 300 INDEX ETF MEGA CAP INDEX 921910873 889 8619 SH SOLE NONE 0 0 8619 VANGUARD WORLD FD MEGA CAP GROWTH ETF MEGA GRWTH IND 921910816 559 4210 SH SOLE NONE 0 0 4210 VICTORY PORTFOLIOS II CEMP US EQ INCOM VCSHS US EQ INCM 92647N824 1062 22824 SH SOLE NONE 0 0 22824 VICTORYSHARES US 500 ENHANCED VOLATILITY WTD ETF VCSHS US 500 ENH 92647N782 1499 30389 SH SOLE NONE 0 0 30389 VICTORYSHARES US 500 VOLATILITY WTD ETF VCSHS US 500 VOL 92647N766 367 6938 SH SOLE NONE 0 0 6938 VICTORYSHARES US LARGE CAP HIGH DIV VOLATILITY WTD ETF VCSHS US LRG CAP 92647N865 288 6002 SH SOLE NONE 0 0 6002 WISDOMTREE TR HIGH DIVID FD US HIGH DIVIDEND 97717W208 235 3151 SH SOLE NONE 0 0 3151 WISDOMTREE TR INTL SMALLCAP DIVID FD INTL SMCAP DIV 97717W760 236 3714 SH SOLE NONE 0 0 3714 WISDOMTREE TR MANAGED FUTURES FUTRE STRAT FD 97717W125 238 6261 SH SOLE NONE 0 0 6261 WISDOMTREE TR MIDCAP DIVID FD US MIDCAP DIVID 97717W505 365 10054 SH SOLE NONE 0 0 10054 WISDOMTREE TRUST JAPAN HEDGE EQT JAPN HEDGE EQT 97717W851 425 8424 SH SOLE NONE 0 0 8424 SHOPIFY INC NPV SUBORDINATED A ISIN CA82509L1076 SEDOL BX865C7 CL A 82509L107 283 909 SH SOLE NONE 0 0 909 3M COMPANY COM 88579Y101 547 3328 SH SOLE NONE 0 0 3328 ABBOTT LABORATORIES COM 002824100 697 8325 SH SOLE NONE 0 0 8325 ABBVIE INC COM USD001 COM 00287Y109 751 9920 SH SOLE NONE 0 0 9920 ACCENTURE PLC CLS A USD00000225 SHS CLASS A G1151C101 202 1050 SH SOLE NONE 0 0 1050 AGILENT TECH INC COM 00846U101 281 3668 SH SOLE NONE 0 0 3668 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 885 5290 SH SOLE NONE 0 0 5290 ALLERGAN PLC COM USD00001 SHS G0177J108 2603 15468 SH SOLE NONE 0 0 15468 ALLSTATE CORP COM 020002101 403 3711 SH SOLE NONE 0 0 3711 ALTRIA GROUP INC COM 02209S103 633 15469 SH SOLE NONE 0 0 15469 AMERICAN ELEC PWR CO COM 025537101 688 7345 SH SOLE NONE 0 0 7345 AMERICAN WTR WKS CO INC NEW COM COM 030420103 859 6915 SH SOLE NONE 0 0 6915 ATT INC COM USD1 COM 00206R102 3142 83028 SH SOLE NONE 0 0 83028 AURORA CANNABIS INC COM 05156X108 103 23525 SH SOLE NONE 0 0 23525 BALL CORP COM 058498106 222 3047 SH SOLE NONE 0 0 3047 BANK OF AMERICA CORP COM 060505104 972 33307 SH SOLE NONE 0 0 33307 BARCLAYS PLC ADREACH CV INTO 4 ORD STK GBP025 JPM ADR 06738E204 93 12621 SH SOLE NONE 0 0 12621 BECTON DICKINSON CO COM 075887109 409 1616 SH SOLE NONE 0 0 1616 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 2017 9697 SH SOLE NONE 0 0 9697 BLACKROCK INC COM 09247X101 211 473 SH SOLE NONE 0 0 473 BLACKSTONE GROUP LP COM UNIT LTD COM CL A 09260D107 552 11298 SH SOLE NONE 0 0 11298 BOEING CO COM 097023105 1776 4668 SH SOLE NONE 0 0 4668 BP PLC SPONSORED ADR SPONSORED ADR 055622104 603 15881 SH SOLE NONE 0 0 15881 BRISTOL MYERS SQUIBB COM 110122108 406 8009 SH SOLE NONE 0 0 8009 BURLINGTON STORES INC COM COM 122017106 282 1410 SH SOLE NONE 0 0 1410 CAPITAL ONE FINANCIAL CORP COM 14040H105 397 4363 SH SOLE NONE 0 0 4363 CATERPILLAR INC COM 149123101 368 2915 SH SOLE NONE 0 0 2915 CHEVRON CORP NEW COM COM 166764100 1950 16444 SH SOLE NONE 0 0 16444 CITIGROUP INC COM NEW COM NEW 172967424 312 4512 SH SOLE NONE 0 0 4512 CMS ENERGY CORP COM 125896100 237 3705 SH SOLE NONE 0 0 3705 COCA COLA CO COM 191216100 660 12117 SH SOLE NONE 0 0 12117 COLONY NORTHSTAR CR REAL ESTATE INC COM CL A 19625T101 189 13064 SH SOLE NONE 0 0 13064 COMMUNITY TRUST BANCORPORATION COM 204149108 634 14900 SH SOLE NONE 0 0 14900 CONOCOPHILLIPS COM 20825C104 364 6391 SH SOLE NONE 0 0 6391 CONSTELLATION BRANDS INC CL A CL A 21036P108 338 1631 SH SOLE NONE 0 0 1631 CORNING INC COM 219350105 299 10475 SH SOLE NONE 0 0 10475 CUMMINS INC COM 231021106 358 2198 SH SOLE NONE 0 0 2198 CVS HEALTH CORP COM COM 126650100 278 4410 SH SOLE NONE 0 0 4410 DANAHER CORP COM USD001 COM 235851102 506 3504 SH SOLE NONE 0 0 3504 DEERE COMPANY COM 244199105 231 1369 SH SOLE NONE 0 0 1369 DISNEY WALT CO COM DISNEY 254687106 1396 10708 SH SOLE NONE 0 0 10708 DOLLAR GEN CORP NEW COM COM 256677105 212 1331 SH SOLE NONE 0 0 1331 DOMINION RESOURCES INC VA NEW COM 25746U109 386 4763 SH SOLE NONE 0 0 4763 DU PONT E I DE NEMOURS CO COM 26614N102 436 6113 SH SOLE NONE 0 0 6113 DUKE ENERGY CORP NEW COM NEW ISIN US26441C2044 SEDOL B7JZSK0 COM NEW 26441C204 443 4623 SH SOLE NONE 0 0 4623 EATON CORP PLC COM SHS G29183103 238 2864 SH SOLE NONE 0 0 2864 ENEL AMERICAS SA EACH REPR 50 COM NPV SPON ISIN US29274F1049 SEDOL 2314947 SPONSORED ADR 29274F104 105 11491 SH SOLE NONE 0 0 11491 ENTERGY CORP NEW COM 29364G103 302 2570 SH SOLE NONE 0 0 2570 EVERGY INC COM COM 30034W106 221 3317 SH SOLE NONE 0 0 3317 EVERSOURCE ENERGY COM COM 30040W108 690 8069 SH SOLE NONE 0 0 8069 EXELON CORP COM 30161N101 210 4353 SH SOLE NONE 0 0 4353 EXXON MOBIL CORP COM 30231G102 1229 17398 SH SOLE NONE 0 0 17398 FIRST COMMUNITY BANCSHARES INC NEV COM 31983A103 547 16900 SH SOLE NONE 0 0 16900 FORD MTR CO DEL COM COM 345370860 582 63538 SH SOLE NONE 0 0 63538 FS INVT CORP COM COM 302635107 354 60690 SH SOLE NONE 0 0 60690 GENERAL ELECTRIC CO COM 369604103 502 56186 SH SOLE NONE 0 0 56186 GLAXOSMITHKLINE ADR EACH CNV INTO 2 ORD GBP025 SPONSORED ADR 37733W105 536 12567 SH SOLE NONE 0 0 12567 HEWLETT PACKARD ENTERPRISE CO COM COM 42824C109 186 12292 SH SOLE NONE 0 0 12292 HOME DEPOT INC COM COM 437076102 1337 5760 SH SOLE NONE 0 0 5760 HONEYWELL INTL INC COM 438516106 496 2930 SH SOLE NONE 0 0 2930 HORIZON PHARMA PLC ISIN IE00BQPVQZ61 SHS G46188101 232 8534 SH SOLE NONE 0 0 8534 INTL BUSINESS MACH COM 459200101 718 4936 SH SOLE NONE 0 0 4936 INVESCO AERO DEFENSE AEROSPACE DEFN 46137V100 384 5676 SH SOLE NONE 0 0 5676 ISHARES CORE INTL STOCK ETF CORE MSCI TOTAL 46432F834 2836 49092 SH SOLE NONE 0 0 49092 ISHARES MORNINGSTAR MIDCAP MRGSTR MD CP GRW 464288307 1016 4174 SH SOLE NONE 0 0 4174 JANUS HENDERSON SHORT DURATI HENDRSN SHRT ETF 47103U886 357 7132 SH SOLE NONE 0 0 7132 JOHNSON JOHNSON COM 478160104 1359 10506 SH SOLE NONE 0 0 10506 JPMORGAN ULTRASHORT INCOME ULTRA SHRT INC 46641Q837 655 12992 SH SOLE NONE 0 0 12992 L3HARRIS 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SH SOLE NONE 0 0 46305 NEXTERA ENERGY INC COM COM 65339F101 821 3525 SH SOLE NONE 0 0 3525 NIKE INC CLASS B CL B 654106103 363 3864 SH SOLE NONE 0 0 3864 NORFOLK SOUTHERN CRP COM 655844108 242 1348 SH SOLE NONE 0 0 1348 NORTHROP GRUMMAN CORP HOLDING CO COM 666807102 320 854 SH SOLE NONE 0 0 854 NUCOR CORP COM COM 670346105 211 4143 SH SOLE NONE 0 0 4143 ONEOK INC COM 682680103 373 5057 SH SOLE NONE 0 0 5057 ORACLE CORP COM COM 68389X105 285 5171 SH SOLE NONE 0 0 5171 PEPSICO INC COM 713448108 497 3627 SH SOLE NONE 0 0 3627 PFIZER INC COM 717081103 688 19144 SH SOLE NONE 0 0 19144 PHILIP MORRIS INTL INC COM COM 718172109 321 4231 SH SOLE NONE 0 0 4231 PHILLIPS 66 COM COM 718546104 305 2980 SH SOLE NONE 0 0 2980 PNC FINL SVCS GROUP COM 693475105 365 2605 SH SOLE NONE 0 0 2605 PPL CORP COM 69351T106 212 6718 SH SOLE NONE 0 0 6718 PROCTER AND GAMBLE CO COM COM 742718109 1069 8592 SH SOLE NONE 0 0 8592 PUBLIC SERVICE ENTERPRISE GROUP INC COM 744573106 731 11777 SH SOLE NONE 0 0 11777 RAYTHEON CO COM NEW COM NEW 755111507 322 1640 SH SOLE NONE 0 0 1640 RESMED INC COM 761152107 356 2634 SH SOLE NONE 0 0 2634 SALESFORCE COM INC COM 79466L302 292 1966 SH SOLE NONE 0 0 1966 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2199 31009 SH SOLE NONE 0 0 31009 SEMPRA ENERGY COM 816851109 267 1811 SH SOLE NONE 0 0 1811 SOUTHERN CO COM 842587107 367 5949 SH SOLE NONE 0 0 5949 SOUTHWEST AIRLNS CO COM 844741108 589 10909 SH SOLE NONE 0 0 10909 SQUARE INC CL A CL A 852234103 277 4471 SH SOLE NONE 0 0 4471 STRYKER CORP COM 863667101 212 980 SH SOLE NONE 0 0 980 TARGET CORP COM COM 87612E106 689 6441 SH SOLE NONE 0 0 6441 TEMPLETON GLOBAL INCOME FUND INC COM 880198106 74 12035 SH SOLE NONE 0 0 12035 TJX COS INC NEW COM COM 872540109 204 3652 SH SOLE NONE 0 0 3652 TORONTODOMINION BANK COM NPV ISIN CA8911605092 SEDOL 2897222 COM NEW 891160509 321 5509 SH SOLE NONE 0 0 5509 TRAVELERS COMPANIES INC COM STK NPV COM 89417E109 219 1472 SH SOLE NONE 0 0 1472 UNION PACIFIC CORP COM 907818108 273 1687 SH SOLE NONE 0 0 1687 UNITED PARCEL SVC INC CL B CL B 911312106 229 1912 SH SOLE NONE 0 0 1912 UNITED TECHNOLOGIES CORP COM USD1 COM 913017109 369 2702 SH SOLE NONE 0 0 2702 UNITEDHEALTH GROUP COM 91324P102 405 1865 SH SOLE NONE 0 0 1865 VERISIGN INC COM 92343E102 459 2434 SH SOLE NONE 0 0 2434 VERIZON COMMUNICATIONS COM 92343V104 2217 36735 SH SOLE NONE 0 0 36735 VIRNETX HLDG CORP COM COM 92823T108 83 15400 SH SOLE NONE 0 0 15400 VISA INC COM CL A COM CL A 92826C839 1833 10654 SH SOLE NONE 0 0 10654 VOYA GLOBAL EQUITY DIVID PREM OPPTY FD COM SH BEN INT 92913A100 71 15000 SH SOLE NONE 0 0 15000 WALMART STORES INC COM COM 931142103 547 4611 SH SOLE NONE 0 0 4611 WASTE MANAGEMENT INC COM 94106L109 471 4099 SH SOLE NONE 0 0 4099 WEC ENERGY GROUP INC COM COM 92939U106 295 3101 SH SOLE NONE 0 0 3101 WELLS FARGO COMPANY COM USD1666 COM 949746101 695 13775 SH SOLE NONE 0 0 13775 WESTERN ASSET HIGH INCOME FD INC COM 95766N103 82 10864 SH SOLE NONE 0 0 10864 WW GRAINGER INC COM 384802104 314 1056 SH SOLE NONE 0 0 1056 XCEL ENERGY INC COM COM 98389B100 242 3726 SH SOLE NONE 0 0 3726 YUM BRANDS INC COM 988498101 210 1852 SH SOLE NONE 0 0 1852 ADOBE SYS INC COM 00724F101 1081 3913 SH SOLE NONE 0 0 3913 ALPHABET INC CAP STK CL A CAP STK CL A 02079K305 792 648 SH SOLE NONE 0 0 648 ALPHABET INC CAP STK CL C CAP STK CL C 02079K107 775 636 SH SOLE NONE 0 0 636 AMAZONCOM INC COM 023135106 2151 1239 SH SOLE NONE 0 0 1239 AMGEN INC COM 031162100 353 1822 SH SOLE NONE 0 0 1822 AMICUS THERAPEUTICS INC COM 03152W109 85 10645 SH SOLE NONE 0 0 10645 APPLE INC COM 037833100 7163 31980 SH SOLE NONE 0 0 31980 APPLIED DNA SCIENCES INC COM USD0001 COM NEW 03815U201 3 15000 SH SOLE NONE 0 0 15000 APPLIED MATERIALS INC COM 038222105 249 4984 SH SOLE NONE 0 0 4984 ARES CAP CORP COM COM 04010L103 300 16087 SH SOLE NONE 0 0 16087 C S X CORP COM 126408103 339 4894 SH SOLE NONE 0 0 4894 CELGENE CORP COM 151020104 612 6167 SH SOLE NONE 0 0 6167 CERNER CORP COM 156782104 213 3120 SH SOLE NONE 0 0 3120 CHURCHILL DOWNS INC COM 171484108 200 1616 SH SOLE NONE 0 0 1616 CISCO SYS INC COM COM 17275R102 781 15811 SH SOLE NONE 0 0 15811 CLOUDERA INC COM 18914U100 101 11455 SH SOLE NONE 0 0 11455 COGNIZANT TECH SOLUTIONS CORP CL A 192446102 307 5089 SH SOLE NONE 0 0 5089 COPART INC COM COM 217204106 331 4121 SH SOLE NONE 0 0 4121 COSTCO WHOLESALE CORP COM 22160K105 447 1552 SH SOLE NONE 0 0 1552 DOLLAR TREE INC COM COM 256746108 252 2206 SH SOLE NONE 0 0 2206 EXACT SCIENCES CORP COM 30063P105 244 2699 SH SOLE NONE 0 0 2699 FACEBOOK INC COM USD0000006 CL A CL A 30303M102 900 5055 SH SOLE NONE 0 0 5055 FIDELITY NASDAQ COMPOSITE INDEX TRACKING STOCK NDQ CP IDX TRK 315912808 435 1384 SH SOLE NONE 0 0 1384 FIDUS INVT CORP COM COM 316500107 198 13380 SH SOLE NONE 0 0 13380 GALAPAGOS NV SPON SPON ADR 36315X101 228 1493 SH SOLE NONE 0 0 1493 GILEAD SCIENCES INC COM 375558103 449 7088 SH SOLE NONE 0 0 7088 INTEL CORP COM 458140100 1109 21516 SH SOLE NONE 0 0 21516 INTUIT INCORPORATED 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