Chief Compliance Officer

0001138486-21-000002.txt : 20210216 0001138486-21-000002.hdr.sgml : 20210216 20210216173047 ACCESSION NUMBER: 0001138486-21-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHERN OAK WEALTH MANAGEMENT INC CENTRAL INDEX KEY: 0001138486 IRS NUMBER: 391230894 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06523 FILM NUMBER: 21641204 BUSINESS ADDRESS: STREET 1: 555 E. WELLS ST. STE 1625 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142780590 MAIL ADDRESS: STREET 1: 555 E. WELLS ST. STE 1625 CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: NORTHERN OAK CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 20020514 FORMER COMPANY: FORMER CONFORMED NAME: HAKER ZELLMER INVESTMENT MANAGEMENT INC DATE OF NAME CHANGE: 20010416 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001138486 XXXXXXXX 12-31-2020 12-31-2020 NORTHERN OAK WEALTH MANAGEMENT INC

555 E. WELLS ST. STE 1625 MILWAUKEE WI 53202

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SH SOLE 0 0 95 INVESCO EXCHANGE TRADED FD T S&P500 EQL FIN 46137V340 23 476 SH SOLE 0 0 476 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 30 231 SH SOLE 0 0 231 INVESCO EXCHANGE TRADED FD T S&P500 EQL ENR 46137V365 10 306 SH SOLE 0 0 306 INVESCO DB COMMDY INDX TRCK UNIT 46138B103 662 45000 SH SOLE 0 0 45000 INVESCO EXCH TRADED FD TR II S&P SMLCP HELT 46138E149 128 754 SH SOLE 0 0 754 INVESCO EXCH TRADED FD TR II CEF INM COMPSI 46138E404 338 15054 SH SOLE 0 0 15054 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 458 30000 SH SOLE 0 0 30000 INVESCO EXCH TRADED FD TR II KBW REGL BKG 46138E578 26 555 SH SOLE 0 0 555 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 9378 361397 SH SOLE 0 0 361397 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 12028 567090 SH SOLE 0 0 567090 INVESCO EXCH TRD SLF IDX FD BULSHS 2027 CB 46138J783 4033 180133 SH SOLE 0 0 180133 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 6751 307842 SH SOLE 0 0 307842 INVESCO EXCH TRD SLF IDX FD BULSHS 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0 0 41371 ISHARES TR RUS 2000 VAL ETF 464287630 279 2117 SH SOLE 0 0 2117 ISHARES TR RUS 2000 GRW ETF 464287648 6096 21262 SH SOLE 0 0 21262 ISHARES TR RUSSELL 2000 ETF 464287655 1368 6977 SH SOLE 0 0 6977 ISHARES TR U.S. UTILITS ETF 464287697 9 114 SH SOLE 0 0 114 ISHARES TR S&P MC 400VL ETF 464287705 25548 296032 SH SOLE 0 0 296032 ISHARES TR CORE S&P SCP ETF 464287804 1257 13677 SH SOLE 0 0 13677 ISHARES TR SP SMCP600VL ETF 464287879 10933 134456 SH SOLE 0 0 134456 ISHARES TR S&P SML 600 GWT 464287887 14564 127554 SH SOLE 0 0 127554 ISHARES TR JPMORGAN USD EMG 464288281 271 2338 SH SOLE 0 0 2338 ISHARES TR CRE U S REIT ETF 464288521 989 20431 SH SOLE 0 0 20431 ISHARES TR GOV/CRED BD ETF 464288596 429 3406 SH SOLE 0 0 3406 ISHARES TR INTRM GOV CR ETF 464288612 573 4870 SH SOLE 0 0 4870 ISHARES TR ISHS 5-10YR INVT 464288638 2128 34431 SH SOLE 0 0 34431 ISHARES TR ISHS 1-5YR INVS 464288646 1945 35247 SH SOLE 0 0 35247 ISHARES TR 3 7 YR TREAS BD 464288661 9 68 SH SOLE 0 0 68 ISHARES TR 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INC COM 58933Y105 2085 25488 SH SOLE 0 0 25488 METLIFE INC COM 59156R108 4 75 SH SOLE 0 0 75 MICRO FOCUS INTL PLC SPON ADR NEW 594837403 1 92 SH SOLE 0 0 92 MICROSOFT CORP COM 594918104 21473 96541 SH SOLE 0 0 96541 MICRON TECHNOLOGY INC COM 595112103 44 580 SH SOLE 0 0 580 MODERNA INC COM 60770K107 70 670 SH SOLE 0 0 670 MONDELEZ INTL INC CL A 609207105 855 14621 SH SOLE 0 0 14621 MORGAN STANLEY COM NEW 617446448 3889 56751 SH SOLE 0 0 56751 MOSAIC CO NEW COM 61945C103 13 575 SH SOLE 0 0 575 MOTOROLA SOLUTIONS INC COM NEW 620076307 54 317 SH SOLE 0 0 317 NCR CORP NEW COM 62886E108 108 2885 SH SOLE 0 0 2885 NETFLIX INC COM 64110L106 579 1070 SH SOLE 0 0 1070 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 41 4075 SH SOLE 0 0 4075 NEWMONT CORP COM 651639106 4 70 SH SOLE 0 0 70 NEXTERA ENERGY INC COM 65339F101 332 4300 SH SOLE 0 0 4300 NIKE INC CL B 654106103 291 2060 SH SOLE 0 0 2060 NOKIA CORP SPONSORED ADR 654902204 4 1000 SH SOLE 0 0 1000 NORFOLK SOUTHN CORP COM 655844108 75 316 SH SOLE 0 0 316 NORTHROP GRUMMAN CORP COM 666807102 735 2414 SH SOLE 0 0 2414 NORTONLIFELOCK INC COM 668771108 3871 186285 SH SOLE 0 0 186285 NUCOR CORP COM 670346105 49 925 SH SOLE 0 0 925 NVIDIA CORPORATION COM 67066G104 828 1585 SH SOLE 0 0 1585 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 244 18930 SH SOLE 0 0 18930 NUVEEN AMT FREE MUN CR INC F COM 67071L106 6 362 SH SOLE 0 0 362 NUVEEN MUN VALUE FD INC COM 670928100 11 1000 SH SOLE 0 0 1000 OCCIDENTAL PETE CORP COM 674599105 7 433 SH SOLE 0 0 433 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 1 79 SH SOLE 0 0 79 ONEOK INC NEW COM 682680103 13 350 SH SOLE 0 0 350 OPKO HEALTH INC COM 68375N103 19 4700 SH SOLE 0 0 4700 ORACLE CORP COM 68389X105 104 1600 SH SOLE 0 0 1600 OTIS WORLDWIDE CORP COM 68902V107 73 1075 SH SOLE 0 0 1075 PNC FINL SVCS GROUP INC COM 693475105 162 1086 SH SOLE 0 0 1086 PPG INDS INC COM 693506107 246 1707 SH SOLE 0 0 1707 PAPA JOHNS INTL INC COM 698813102 17 200 SH SOLE 0 0 200 PARKER-HANNIFIN CORP COM 701094104 4 15 SH SOLE 0 0 15 PAYPAL HLDGS INC COM 70450Y103 52 224 SH SOLE 0 0 224 PENN NATL GAMING INC COM 707569109 9 100 SH SOLE 0 0 100 PEPSICO INC COM 713448108 1434 9672 SH SOLE 0 0 9672 PERSPECTA INC COM 715347100 1 35 SH SOLE 0 0 35 PFIZER INC COM 717081103 11310 307262 SH SOLE 0 0 307262 PHILIP MORRIS INTL INC COM 718172109 1953 23591 SH SOLE 0 0 23591 PHILLIPS 66 COM 718546104 28 400 SH SOLE 0 0 400 POPULAR INC COM NEW 733174700 3 62 SH SOLE 0 0 62 PROCTER AND GAMBLE CO COM 742718109 2043 14681 SH SOLE 0 0 14681 PROGRESSIVE CORP COM 743315103 1 15 SH SOLE 0 0 15 PROSHARES TR DJ BRKFLD GLB 74347B508 469 11427 SH SOLE 0 0 11427 PROSHARES TR ULTRAPRO SHT QQQ 74347G861 39 2600 SH SOLE 0 0 2600 PROSHARES TR PSHS ULT S&P 500 74347R107 0 4 SH SOLE 0 0 4 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 11 2500 SH SOLE 0 0 2500 QUALCOMM INC COM 747525103 590 3871 SH SOLE 0 0 3871 REV GROUP INC COM 749527107 36 4125 SH SOLE 0 0 4125 RAYTHEON TECHNOLOGIES CORP COM 75513E101 177 2472 SH SOLE 0 0 2472 REALTY INCOME CORP COM 756109104 56 893 SH SOLE 0 0 893 REAVES UTIL INCOME FD COM SH BEN INT 756158101 26 808 SH SOLE 0 0 808 REPLIGEN CORP COM 759916109 19 100 SH SOLE 0 0 100 RESIDEO TECHNOLOGIES INC COM 76118Y104 7 320 SH SOLE 0 0 320 RIO TINTO PLC SPONSORED ADR 767204100 8 100 SH SOLE 0 0 100 ROCKET COS INC COM CL A 77311W101 10 500 SH SOLE 0 0 500 ROCKWELL AUTOMATION INC COM 773903109 80 320 SH SOLE 0 0 320 ROKU INC COM CL A 77543R102 17 50 SH SOLE 0 0 50 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 40 1150 SH SOLE 0 0 1150 SPDR S&P 500 ETF TR TR UNIT 78462F103 2316 6194 SH SOLE 0 0 6194 SPDR GOLD TR GOLD SHS 78463V107 11587 64964 SH SOLE 0 0 64964 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 26 920 SH SOLE 0 0 920 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 37 1016 SH SOLE 0 0 1016 SPDR SER TR WELLS FG PFD ETF 78464A292 2406 54175 SH SOLE 0 0 54175 SPDR SER TR BLMBRG BRC CNVRT 78464A359 276 3339 SH SOLE 0 0 3339 SPDR SER TR PORTFOLIO INTRMD 78464A375 231 6216 SH SOLE 0 0 6216 SPDR SER TR PORTFOLIO SHORT 78464A474 185 5892 SH SOLE 0 0 5892 SPDR SER TR S&P REGL BKG 78464A698 104 1996 SH SOLE 0 0 1996 SPDR SER TR S&P RETAIL ETF 78464A714 7 110 SH SOLE 0 0 110 SPDR SER TR S&P DIVID ETF 78464A763 7184 67821 SH SOLE 0 0 67821 SPDR SER TR S&P INS ETF 78464A789 6 176 SH SOLE 0 0 176 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 328 6656 SH SOLE 0 0 6656 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 35 114 SH SOLE 0 0 114 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1799 4285 SH SOLE 0 0 4285 SPDR SER TR SPDR BLOOMBERG 78468R663 902 9861 SH SOLE 0 0 9861 SPDR SER TR NUVEEN BRC MUNIC 78468R721 297 5650 SH SOLE 0 0 5650 SPDR SER TR NUVEEN BLMBRG SR 78468R739 144 2900 SH SOLE 0 0 2900 SPDR SER TR PRTFLO S&P500 HI 78468R788 166 5037 SH SOLE 0 0 5037 SALESFORCE COM INC COM 79466L302 93 417 SH SOLE 0 0 417 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 6 93 SH SOLE 0 0 93 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3 38 SH SOLE 0 0 38 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 15 235 SH SOLE 0 0 235 SCIENCE APPLICATIONS INTL CO COM 808625107 1 7 SH SOLE 0 0 7 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 18 250 SH SOLE 0 0 250 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 9786 86269 SH SOLE 0 0 86269 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 77 1136 SH SOLE 0 0 1136 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 449 2792 SH SOLE 0 0 2792 SELECT SECTOR SPDR TR ENERGY 81369Y506 365 9630 SH SOLE 0 0 9630 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 87 2963 SH SOLE 0 0 2963 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 51 579 SH SOLE 0 0 579 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2997 23054 SH SOLE 0 0 23054 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 3174 47032 SH SOLE 0 0 47032 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 16 438 SH SOLE 0 0 438 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1748 27884 SH SOLE 0 0 27884 SHERWIN WILLIAMS CO COM 824348106 735 1000 SH SOLE 0 0 1000 SMITH A O CORP COM 831865209 587 10712 SH SOLE 0 0 10712 SMUCKER J M CO COM NEW 832696405 550 4760 SH SOLE 0 0 4760 SONOMA PHARMACEUTICALS INC COM NEW 83558L204 0 13 SH SOLE 0 0 13 SONY CORP SPONSORED ADR 835699307 5 52 SH SOLE 0 0 52 SOUTHERN CO COM 842587107 8103 131902 SH SOLE 0 0 131902 SOUTHERN COPPER CORP COM 84265V105 30 458 SH SOLE 0 0 458 SOUTHWEST AIRLS CO COM 844741108 15 320 SH SOLE 0 0 320 SQUARE INC CL A 852234103 12 55 SH SOLE 0 0 55 STAG INDL INC COM 85254J102 71 2270 SH SOLE 0 0 2270 STANTEC INC COM 85472N109 6 200 SH SOLE 0 0 200 STARBUCKS CORP COM 855244109 8001 74791 SH SOLE 0 0 74791 STARWOOD PPTY TR INC COM 85571B105 377 19555 SH SOLE 0 0 19555 STRYKER CORPORATION COM 863667101 551 2250 SH SOLE 0 0 2250 SYNOVUS FINL CORP COM NEW 87161C501 149 4590 SH SOLE 0 0 4590 SYSCO CORP COM 871829107 1040 14002 SH SOLE 0 0 14002 T-MOBILE US INC COM 872590104 2 12 SH SOLE 0 0 12 TARGET CORP COM 87612E106 854 4840 SH SOLE 0 0 4840 TENCENT MUSIC ENTMT GROUP SPON ADS 88034P109 8 400 SH SOLE 0 0 400 TEREX CORP NEW COM 880779103 3 80 SH SOLE 0 0 80 TESLA INC COM 88160R101 159 225 SH SOLE 0 0 225 THERMO FISHER SCIENTIFIC INC COM 883556102 159 342 SH SOLE 0 0 342 3M CO COM 88579Y101 1202 6875 SH SOLE 0 0 6875 TRAVELERS COMPANIES INC COM 89417E109 172 1227 SH SOLE 0 0 1227 US BANCORP DEL COM NEW 902973304 93 1993 SH SOLE 0 0 1993 UNION PAC CORP COM 907818108 3628 17425 SH SOLE 0 0 17425 UNITED PARCEL SERVICE INC CL B 911312106 105 625 SH SOLE 0 0 625 UNITED RENTALS INC COM 911363109 696 3000 SH SOLE 0 0 3000 UNITED STS COMMODITY INDEX F COMM IDX FND 911717106 583 17855 SH SOLE 0 0 17855 UNITEDHEALTH GROUP INC COM 91324P102 11414 32549 SH SOLE 0 0 32549 VALERO ENERGY CORP COM 91913Y100 424 7500 SH SOLE 0 0 7500 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 16 439 SH SOLE 0 0 439 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 6579 319839 SH SOLE 0 0 319839 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 9 278 SH SOLE 0 0 278 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 222 3614 SH SOLE 0 0 3614 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 75 530 SH SOLE 0 0 530 VANGUARD WORLD FD MEGA GRWTH IND 921910816 52 255 SH SOLE 0 0 255 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 139 1674 SH SOLE 0 0 1674 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 208 2354 SH SOLE 0 0 2354 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 23 478 SH SOLE 0 0 478 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 32 633 SH SOLE 0 0 633 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6379 127295 SH SOLE 0 0 127295 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 3 45 SH SOLE 0 0 45 VANGUARD WORLD FDS INF TECH ETF 92204A702 378 1068 SH SOLE 0 0 1068 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 748 2175 SH SOLE 0 0 2175 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 88 740 SH SOLE 0 0 740 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 13 60 SH SOLE 0 0 60 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1003 11807 SH SOLE 0 0 11807 VANGUARD INDEX FDS SML CP GRW ETF 922908595 10 39 SH SOLE 0 0 39 VANGUARD INDEX FDS SM CP VAL ETF 922908611 14 100 SH SOLE 0 0 100 VANGUARD INDEX FDS GROWTH ETF 922908736 285 1123 SH SOLE 0 0 1123 VANGUARD INDEX FDS VALUE ETF 922908744 61 513 SH SOLE 0 0 513 VANGUARD INDEX FDS SMALL CP ETF 922908751 31 161 SH SOLE 0 0 161 VANGUARD INDEX FDS TOTAL STK MKT 922908769 474 2434 SH SOLE 0 0 2434 VERIZON COMMUNICATIONS INC COM 92343V104 9885 168258 SH SOLE 0 0 168258 VIACOMCBS INC CL B 92556H206 1552 41646 SH SOLE 0 0 41646 VIATRIS INC COM 92556V106 52 2755 SH SOLE 0 0 2755 VIPSHOP HOLDINGS LIMITED SPONSORED ADS A 92763W103 1 36 SH SOLE 0 0 36 VISA INC COM CL A 92826C839 473 2163 SH SOLE 0 0 2163 VISHAY INTERTECHNOLOGY INC COM 928298108 12 563 SH SOLE 0 0 563 VISHAY PRECISION GROUP INC COM 92835K103 1 40 SH SOLE 0 0 40 VIRTUS GLOBAL DIVID & INCOME COM 92835W107 9 1000 SH SOLE 0 0 1000 VOYA FINANCIAL INC COM 929089100 3 50 SH SOLE 0 0 50 WEC ENERGY GROUP INC COM 92939U106 591 6418 SH SOLE 0 0 6418 WALMART INC COM 931142103 1832 12707 SH SOLE 0 0 12707 WALGREENS BOOTS ALLIANCE INC COM 931427108 132 3315 SH SOLE 0 0 3315 WASTE MGMT INC DEL COM 94106L109 4426 37532 SH SOLE 0 0 37532 WELLS FARGO CO NEW COM 949746101 192 6363 SH SOLE 0 0 6363 WHEATON PRECIOUS METALS CORP COM 962879102 4 100 SH SOLE 0 0 100 WILLIAMS COS INC COM 969457100 9 449 SH SOLE 0 0 449 WINNEBAGO INDS INC COM 974637100 32 535 SH SOLE 0 0 535 WISDOMTREE TR US TOTAL DIVIDND 97717W109 34 320 SH SOLE 0 0 320 WISDOMTREE TR US HIGH DIVIDEND 97717W208 76 1093 SH SOLE 0 0 1093 WISDOMTREE TR US MIDCAP DIVID 97717W505 225 6474 SH SOLE 0 0 6474 WISDOMTREE TR US SMALLCAP DIVD 97717W604 398 14977 SH SOLE 0 0 14977 WISDOMTREE TR ITL HIGH DIV FD 97717W802 340 9070 SH SOLE 0 0 9070 WISDOMTREE TR YIELD ENHANCD US 97717X511 572 10646 SH SOLE 0 0 10646 WOODWARD INC COM 980745103 98 808 SH SOLE 0 0 808 XILINX INC COM 983919101 14 100 SH SOLE 0 0 100 YAMANA GOLD INC COM 98462Y100 6 1000 SH SOLE 0 0 1000 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 13 35 SH SOLE 0 0 35 ZIMMER BIOMET HOLDINGS INC COM 98956P102 18 120 SH SOLE 0 0 120 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 19 72 SH SOLE 0 0 72 EATON CORP PLC SHS G29183103 48 400 SH SOLE 0 0 400 JOHNSON CTLS INTL PLC SHS G51502105 59 1276 SH SOLE 0 0 1276 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 428 9000 SH SOLE 0 0 9000 MEDTRONIC PLC SHS G5960L103 5285 45117 SH SOLE 0 0 45117 TRANE TECHNOLOGIES PLC SHS G8994E103 2 17 SH SOLE 0 0 17 WHITE MTNS INS GROUP LTD COM G9618E107 1177 1176 SH SOLE 0 0 1176 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 31 200 SH SOLE 0 0 200 GARMIN LTD SHS H2906T109 84 700 SH SOLE 0 0 700 TE CONNECTIVITY LTD REG SHS H84989104 30 250 SH SOLE 0 0 250 ORION ENGINEERED CARBONS S A COM L72967109 4 255 SH SOLE 0 0 255 FIVERR INTL LTD ORD SHS M4R82T106 8 39 SH SOLE 0 0 39 ROYAL CARIBBEAN GROUP COM V7780T103 22 290 SH SOLE 0 0 290