0001085146-18-000439.txt : 20180209 0001085146-18-000439.hdr.sgml : 20180209 20180208200818 ACCESSION NUMBER: 0001085146-18-000439 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180209 DATE AS OF CHANGE: 20180208 EFFECTIVENESS DATE: 20180209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SII INVESTMENTS INC/WI CENTRAL INDEX KEY: 0001351903 IRS NUMBER: 000000000 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13970 FILM NUMBER: 18587278 BUSINESS ADDRESS: STREET 1: 5555 GRANDE MARKET DR CITY: APPLETON STATE: WI ZIP: 45912 BUSINESS PHONE: 800-426-5975 MAIL ADDRESS: STREET 1: 5555 GRANDE MARKET DR CITY: APPLETON STATE: WI ZIP: 45912 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001351903 XXXXXXXX 12-31-2017 12-31-2017 SII INVESTMENTS INC/WI

5555 GRANDE MARKET DR APPLETON WI 45912

13F HOLDINGS REPORT 028-13970 N Daniel Wright 920 996-2600 /s/ Daniel Wright Appleton WI 01-26-2018 1 400 965364 false 1 0000898419 028-03582 PRUDENTIAL PLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y10113315636SHDFND1005636ABBOTT LABSCOM00282410063011029SHDFND10011029ABBVIE INCCOM00287Y109110611360SHDFND10011360ACACIA RESH CORPACACIA TCH COM00388130714935940SHDFND10035940ACTIVISION BLIZZARD INCCOM00507V1093074843SHDFND1004843ADAMIS PHARMACEUTICALS CORPCOM NEW00547W2084410000SHDFND10010000ADVISORSHARES TRWILSHIRE BUYBACK00768Y8184756655SHDFND1006655AECOMCOM00766T10047112952SHDFND10012952AETNA INC NEWCOM00817Y1083101718SHDFND1001718AFLAC INCCOM001055102179020097SHDFND10020097AGNC INVT CORPCOM00123Q10431215515SHDFND10015515ALIBABA GROUP HLDG LTDSPONSORED ADS01609W102244314193SHDFND10014193ALLIANT ENERGY CORPCOM0188021082555965SHDFND1005965ALLSTATE CORPCOM0200021016125857SHDFND1005857ALPHABET INCCAP STK CL A02079K30514691409SHDFND1001409ALPHABET INCCAP STK CL C02079K107641613SHDFND100613ALTRIA GROUP INCCOM02209S103150521132SHDFND10021132AMAZON COM INCCOM02313510637703221SHDFND1003221AMERICAN EXPRESS COCOM025816109138913985SHDFND10013985AMGEN INCCOM03116210014338199SHDFND1008199ANHEUSER BUSCH INBEV SA/NVSPONSORED ADR03524A1086305674SHDFND1005674ANNALY CAP MGMT INCCOM03571040927322763SHDFND10022763ANTARES PHARMA INCCOM0366421063215800SHDFND10015800ANTHEM INCCOM0367521037433288SHDFND1003288APPLE INCCOM0378331001013259810SHDFND10059810APPLIED MATLS INCCOM0382221053086019SHDFND1006019AQUA AMERICA INCCOM03836W1032005051SHDFND1005051ARBOR RLTY TR INCCOM03892310812714742SHDFND10014742ARK ETF TRINNOVATION ETF00214Q10479121326SHDFND10021326AT&T INCCOM00206R102315180877SHDFND10080877ATHENEX INCCOM04685N10328417836SHDFND10017836AVALONBAY CMNTYS INCCOM0534841012491390SHDFND1001390AVERY DENNISON CORPCOM0536111092362059SHDFND1002059BANK AMER CORPCOM06050510481527498SHDFND10027498BERKSHIRE HATHAWAY INC DELCL B NEW084670702328616503SHDFND10016503BLACKROCK FLOAT RATE OME STRCOM09255X10017312531SHDFND10012531BLACKROCK INCCOM09247X101316613SHDFND100613BLACKROCK LTD DURATION INC TCOM SHS09249W10119712325SHDFND10012325BLACKROCK RES & COMM STRAT TSHS09257A10811711894SHDFND10011894BLACKSTONE GROUP L PCOM UNIT LTD09253U10864320147SHDFND10020147BOEING COCOM097023105531418042SHDFND10018042BP PLCSPONSORED ADR0556221044974118430SHDFND100118430BRISTOL MYERS SQUIBB COCOM110122108117019128SHDFND10019128BRISTOL MYERS SQUIBB COCOM1101221080200SHCallDFND100200CALAMOS CONV OPP AND INC FDSH BEN INT12811710816814947SHDFND10014947CANADIAN NATL RY COCOM1363751025406610SHDFND1006610CAPITAL ONE FINL CORPCOM14040H1055285340SHDFND1005340CAPSTEAD MTG CORPCOM NO PAR14067E50613115385SHDFND10015385CARNIVAL CORPUNIT 99/99/9999143658300113217060SHDFND10017060CATERPILLAR INC DELCOM149123101924758679SHDFND10058679CBS CORP NEWCL B1248572024698019SHDFND1008019CELGENE CORPCOM1510201042642557SHDFND1002557CHENIERE ENERGY INCCOM NEW16411R2082825317SHDFND1005317CHESAPEAKE ENERGY CORPCOM1651671075313335SHDFND10013335CHEVRON CORP NEWCOM166764100155612386SHDFND10012386CHURCH & DWIGHT INCCOM17134010251210188SHDFND10010188CIGNA CORPORATIONCOM1255091097353608SHDFND1003608CISCO SYS INCCOM17275R1025219136441SHDFND100136441CITIGROUP INCCOM NEW1729674242753729SHDFND1003729CITIZENS FINL GROUP INCCOM17461010551812412SHDFND10012412CLAYMORE EXCHANGE TRD FD TR2022 HG YLD CB18383M217178371395SHDFND10071395CLOROX CO DELCOM1890541092571722SHDFND1001722COCA COLA COCOM19121610082518014SHDFND10018014COLONY NORTHSTAR INCCL A COM19625W10419517234SHDFND10017234COLUMBIA PPTY TR INCCOM NEW1982872032259809SHDFND1009809COMCAST CORP NEWCL A20030N101127932021SHDFND10032021CONOCOPHILLIPSCOM20825C1043255961SHDFND1005961CONSOLIDATED EDISON INCCOM2091151043804558SHDFND1004558CONSTELLATION BRANDS INCCL A21036P108212927SHDFND100927CORPORATE CAP TR INCCOM21988010116710398SHDFND10010398COSTCO WHSL CORP NEWCOM22160K1052621419SHDFND1001419CSX CORPCOM1264081032133855SHDFND1003855CUMMINS INCCOM2310211065773269SHDFND1003269CVS HEALTH CORPCOM12665010087512032SHDFND10012032D R HORTON INCCOM23331A10964212570SHDFND10012570DCT INDUSTRIAL TRUST INCCOM NEW23315320461910540SHDFND10010540DIGITAL RLTY TR INCCOM2538681037936975SHDFND1006975DISNEY WALT COCOM DISNEY254687106265724671SHDFND10024671DNP SELECT INCOME FDCOM23325P10457753299SHDFND10053299DOMINION ENERGY INCCOM25746U1093524372SHDFND1004372DOUBLELINE OPPORTUNISTIC CRCOM258623107147566437SHDFND10066437DOWDUPONT INCCOM26078J10087312235SHDFND10012235DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1014212500SHDFND10012500DREYFUS STRATEGIC MUNS INCCOM26193210712814723SHDFND10014723DUKE ENERGY CORP NEWCOM NEW26441C2044525371SHDFND1005371EAST WEST BANCORP INCCOM27579R1046009767SHDFND1009767EATON VANCE TAX MNGD GBL DVCOM27829F10868172762SHDFND10072762EMERSON ELEC COCOM2910111045948445SHDFND1008445EVERCORE INCCLASS A29977A1055766436SHDFND1006436EXXON MOBIL CORPCOM30231G102353742271SHDFND10042271FACEBOOK INCCL A30303M102554731266SHDFND10031266FEDEX CORPCOM31428X1067623115SHDFND1003115FIDELITY NATL INFORMATION SVCOM31620M1062562718SHDFND1002718FIFTH THIRD BANCORPCOM31677310034611411SHDFND10011411FIRST AMERN FINL CORPCOM31847R1024838525SHDFND1008525FIRST DATA CORP NEWCOM CL A32008D10622613700SHDFND10013700FIRST TR ENERGY INFRASTRCTRCOM33738C10361134250SHDFND10034250FIRST TR EXCH TRADED FD IIIEME MRK BD ETF33739P2024119722SHDFND1009722FIRST TR EXCH TRADED FD IIIRIVRFRNT DYN DEV33739P608456371149SHDFND10071149FIRST TR EXCH TRD ALPHA FD IDEV MRK EX US33737J174211233878SHDFND10033878FIRST TR EXCHAN TRADED FD VIFST TR GLB FD33739H1017930382732SHDFND100382732FIRST TR EXCHANGE TRADED FDCAP STRENGTH ETF33733E104181935597SHDFND10035597FIRST TR EXCHANGE TRADED FDCLOUD COMPUTING33734X1923126769SHDFND1006769FIRST TR EXCHANGE TRADED FDCONSUMR STAPLE33734X1192024198SHDFND1004198FIRST TR EXCHANGE TRADED FDDORSEY WRIGHT33738R88690340695SHDFND10040695FIRST TR EXCHANGE TRADED FDDORSEY WRT 5 ETF33738R605114741534SHDFND10041534FIRST TR EXCHANGE TRADED FDFIRST TR ENH NEW33739Q408163227295SHDFND10027295FIRST TR EXCHANGE TRADED FDFIRST TR TA HIYL33738D4083386945SHDFND1006945FIRST TR EXCHANGE TRADED FDFST LOW OPPT EFT33739Q2006454124777SHDFND100124777FIRST TR EXCHANGE TRADED FDFT STRG INCM ETF33739Q3094037937SHDFND1007937FIRST TR EXCHANGE TRADED FDNASDAQ SMRTPHONE33737K1064368248SHDFND1008248FIRST TR EXCHANGE TRADED FDNO AMER ENERGY33738D10127010989SHDFND10010989FIRST TR EXCHANGE TRADED FDRISNG DIVD ACHIV33738R5063346111826SHDFND100111826FIRST TR EXCHANGE TRADED FDSENIOR LN FD33738D309473598514SHDFND10098514FIRST TR EXCHANGE TRADED FDTECH ALPHADEX33734X17653410387SHDFND10010387FIRST TR EXCHANGE TRADED FDUS EQTY OPPT ETF336920103431163141SHDFND10063141FIRST TR EXCHANGE-TRADED FDPFD SECS INC ETF33739E1082301114809SHDFND100114809FIRST TR EXCHNG TRADED FD VITCW OPPORTUNIS33740F8055867115607SHDFND100115607FIRST TR INTER DUR PFD & INCOM33718W1032955121547SHDFND100121547FIRST TR LRGE CP CORE ALPHACOM SHS33734K10991015520SHDFND10015520FIRST TR MID CAP CORE ALPHADCOM SHS33735B108166525374SHDFND10025374FIRST TR MLP & ENERGY INCOMECOM33739B104127280632SHDFND10080632FIRST TR SML CP CORE ALPHA FCOM SHS33734Y10975212270SHDFND10012270FIRST TR STOXX EURO DIV FDCOMMON SHS33735T10914510511SHDFND10010511FIRST TR VALUE LINE DIVID INSHS33734H1069776316909SHDFND100316909FORD MTR CO DELCOM PAR $0.0134537086091573622SHDFND10073622FS INVT CORPCOM3026351073794516602SHDFND100516602FST TR NEW OPPORT MLP & ENECOM33739M10036230268SHDFND10030268GALLAGHER ARTHUR J & COCOM3635761096029543SHDFND1009543GAMCO NAT RES GOLD & INCOMESH BEN INT36465E10120230426SHDFND10030426GENERAL DYNAMICS CORPCOM3695501084172035SHDFND1002035GENERAL ELECTRIC COCOM369604103123771227SHDFND10071227GENERAL MLS INCCOM37033410477813131SHDFND10013131GILEAD SCIENCES INCCOM375558103124317406SHDFND10017406GLAXOSMITHKLINE PLCSPONSORED ADR37733W10569219496SHDFND10019496GLOBAL NET LEASE INCCOM NEW379378201153174398SHDFND10074398GOLDMAN SACHS ETF TRACTIVEBETA EME3814302063228974SHDFND1008974GOLDMAN SACHS GROUP INCCOM38141G1046282475SHDFND1002475HALLIBURTON COCOM4062161014298735SHDFND1008735HALYARD HEALTH INCCOM40650V1002004355SHDFND1004355HARRIS CORP DELCOM4138751054263019SHDFND1003019HOME DEPOT INCCOM437076102422822332SHDFND10022332HONEYWELL INTL INCCOM4385161068785745SHDFND1005745HP INCCOM40434L10525412102SHDFND10012102ILLINOIS TOOL WKS INCCOM4523081095683397SHDFND1003397INTEL CORPCOM458140100407688318SHDFND10088318INTERNATIONAL BUSINESS MACHSCOM459200101344522404SHDFND10022404INTREPID POTASH INCCOM46121Y10230063000SHDFND10063000INTUITIVE SURGICAL INCCOM NEW46120E602212584SHDFND100584INVESCO HIGH INCOME 2023 TARCOM46135X10875476592SHDFND10076592ISHARES GOLD TRUSTISHARES46428510530323931SHDFND10023931ISHARES INCCORE MSCI EMKT46434G10310079177126SHDFND100177126ISHARES INCEM HGHYL BD ETF4642862853757456SHDFND1007456ISHARES SILVER TRUSTISHARES46428Q10930418936SHDFND10018936ISHARES TR0-5YR HI YL CP46434V4073948363SHDFND1008363ISHARES TR1 3 YR CR BD ETF464288646204419567SHDFND10019567ISHARES TR1 3 YR TREAS BD464287457106912748SHDFND10012748ISHARES TR10+ YR CR BD ETF4642895112103352SHDFND1003352ISHARES TR20 YR TR BD ETF4642874328086221SHDFND1006221ISHARES TR3 7 YR TREAS BD464288661240719678SHDFND10019678ISHARES TRBARCLAYS 7 10 YR464287440328730912SHDFND10030912ISHARES TRCOHEN STEER REIT46428756413737135703SHDFND100135703ISHARES TRCORE DIV GRWTH46434V621113732696SHDFND10032696ISHARES TRCORE HIGH DV ETF46429B6638829793SHDFND1009793ISHARES TRCORE MSCI EAFE46432F84218782284051SHDFND100284051ISHARES TRCORE MSCI PAC46434V6963255436SHDFND1005436ISHARES TRCORE S&P MCP ETF4642875071225464442SHDFND10064442ISHARES TRCORE S&P SCP ETF4642878049987129861SHDFND100129861ISHARES TRCORE S&P TTL STK4642871502423955SHDFND1003955ISHARES TRCORE S&P500 ETF4642872001222345435SHDFND10045435ISHARES TRCORE US AGGBD ET46428722632000292734SHDFND100292734ISHARES TRDOW JONES US ETF4642878464193139SHDFND1003139ISHARES TREDGE MSCI USA VL46432F388267631970SHDFND10031970ISHARES TRFLTG RATE NT ETF46429B655444587420SHDFND10087420ISHARES TRGLOBAL TECH ETF4642872912031319SHDFND1001319ISHARES TRHDG MSCI EAFE46434V803264189073SHDFND10089073ISHARES TRIBONDS DEC23 ETF46434VAX894037822PRNDFND10037822ISHARES TRIBONDS MAR20 ETF46432FBC04232162338PRNDFND100162338ISHARES TRIBOXX HI YD ETF46428851312852147413SHDFND100147413ISHARES TRIBOXX INV CP ETF464287242134511171SHDFND10011171ISHARES TRINTL SEL DIV ETF4642884483680109077SHDFND100109077ISHARES TRINTRMD CR BD ETF464288638559351153SHDFND10051153ISHARES TRJPMORGAN USD EMG46428828112842110458SHDFND100110458ISHARES TRMBS ETF464288588683264107SHDFND10064107ISHARES TRMIN VOL USA ETF46429B697149428237SHDFND10028237ISHARES TRMSCI EAFE ETF46428746513541192348SHDFND100192348ISHARES TRMSCI EMG MKT ETF46428723421628459084SHDFND100459084ISHARES TRMULTIFACTOR INTL46434V27442914825SHDFND10014825ISHARES TRMULTIFACTOR USA46434V28256117648SHDFND10017648ISHARES TRNASDAQ BIOTECH464287556387336303SHDFND10036303ISHARES TRNATIONAL MUN ETF4642884143903515SHDFND1003515ISHARES TRRUS 1000 GRW ETF464287614476135375SHDFND10035375ISHARES TRRUS 1000 VAL ETF464287598460037016SHDFND10037016ISHARES TRRUS MD CP GR ETF4642874815464506SHDFND1004506ISHARES TRRUS MDCP VAL ETF4642874733153554SHDFND1003554ISHARES TRRUS MID CAP ETF46428749920649929SHDFND1009929ISHARES TRRUSSELL 2000 ETF464287655224814770SHDFND10014770ISHARES TRS&P 100 ETF4642871016185225SHDFND1005225ISHARES TRS&P 500 GRWT ETF46428730921228138899SHDFND100138899ISHARES TRS&P 500 VAL ETF46428740821978192398SHDFND100192398ISHARES TRS&P MC 400GR ETF4642876068003712SHDFND1003712ISHARES TRS&P MC 400VL ETF4642877059485921SHDFND1005921ISHARES TRS&P US PFD STK464288687183148122SHDFND10048122ISHARES TRSELECT DIVID ETF464287168480448736SHDFND10048736ISHARES TRSP SMCP600VL ETF4642878795573633SHDFND1003633ISHARES TRTIPS BD ETF464287176773967887SHDFND10067887ISHARES TRU.S. MED DVC ETF4642888103932230SHDFND1002230ISHARES TRU.S. PHARMA ETF46428883611787676SHDFND1007676ISHARES TRU.S. UTILITS ETF4642876973502646SHDFND1002646ISHARES TRUS AER DEF ETF4642887607303871SHDFND1003871ISHARES TRUS HLTHCARE ETF4642877623932257SHDFND1002257ISHARES TRUS INDUSTRIALS4642877548475740SHDFND1005740ISHARES TRUS REGNL BKS ETF46428877860212274SHDFND10012274ISHARES TRUSA MOMENTUM FCT46432F396177216968SHDFND10016968ISHARES U S ETF TRSHT MAT BD ETF46431W50798919631SHDFND10019631JETBLUE AIRWAYS CORPCOM47714310189940254SHDFND10040254JOHNSON & JOHNSONCOM478160104267519164SHDFND10019164JP MORGAN EXCHANGE TRADED FDDIVERSFED RTRN46641Q88681912957SHDFND10012957JPMORGAN CHASE & COCOM46625H100218420495SHDFND10020495KIMBERLY CLARK CORPCOM494368103182715223SHDFND10015223KROGER COCOM50104410164123409SHDFND10023409KROGER COCOM5010441010200SHCallDFND100200LAM RESEARCH CORPCOM5128071087574126SHDFND1004126LEIDOS HLDGS INCCOM5253271022023147SHDFND1003147LIFE STORAGE INCCOM53223X1072002225SHDFND1002225LINCOLN NATL CORP INDCOM5341871093324312SHDFND1004312LOCKHEED MARTIN CORPCOM53983010911223520SHDFND1003520LOWES COS INCCOM5486611077648218SHDFND1008218MARATHON PETE CORPCOM56585A1025237936SHDFND1007936MCCORMICK & CO INCCOM NON VTG5797802064264264SHDFND1004264MCDONALDS CORPCOM5801351019215346SHDFND1005346MCKESSON CORPCOM58155Q1033442181SHDFND1002181MEDTRONIC PLCSHSG5960L1032673349SHDFND1003349MERCK & CO INCCOM58933Y1054638224SHDFND1008224MICROSOFT CORPCOM594918104213924922SHDFND10024922MONDELEZ INTL INCCL A60920710570916309SHDFND10016309NAVIOS MARITIME MIDSTREAM LPCOM UNIT LTDY6213410412813099SHDFND10013099NETFLIX INCCOM64110L1064872546SHDFND1002546NEW YORK MTG TR INCCOM PAR $.026496045017612385SHDFND10012385NEXSTAR MEDIA GROUP INCCL A65336K1035156578SHDFND1006578NEXTERA ENERGY INCCOM65339F10112728139SHDFND1008139NICOLET BANKSHARES INCCOM65406E102122122319SHDFND10022319NIKE INCCL B65410610390614379SHDFND10014379NISOURCE INCCOM65473P10567126180SHDFND10026180NORTHROP GRUMMAN CORPCOM6668071028582780SHDFND1002780NORTHWEST NAT GAS COCOM6676551042674471SHDFND1004471NOVELION THERAPEUTICS INCCOM NEW67001K2023411299SHDFND10011299NOVO-NORDISK A SADR670100205185234534SHDFND10034534NUCOR CORPCOM6703461053765919SHDFND1005919NUVEEN FLOATING RATE INCOMECOM67072T10812411000SHDFND10011000NUVEEN SELECT TAX FREE INCMSH BEN INT67062F10015610651SHDFND10010651NUVEEN SR INCOME FDCOM67067Y10439459716SHDFND10059716NVIDIA CORPCOM67066G104270814007SHDFND10014007OPPENHEIMER ETF TRSMALL CAP REV ET68386C30294713594SHDFND10013594ORACLE CORPCOM68389X10599821130SHDFND10021130OSHKOSH CORPCOM6882392014524980SHDFND1004980OWENS CORNING NEWCOM6907421016627212SHDFND1007212PAYCHEX INCCOM7043261075437963SHDFND1007963PAYPAL HLDGS INCCOM70450Y1035607605SHDFND1007605PEPSICO INCCOM713448108186315523SHDFND10015523PFIZER INCCOM7170811033757103699SHDFND100103699PHILIP MORRIS INTL INCCOM7181721095305004SHDFND1005004PHILLIPS 66COM7185461042652611SHDFND1002611PIMCO DYNMIC CREDIT AND MRTCOM SHS72202D1062501111410SHDFND100111410PIMCO ETF TR25YR+ ZERO U S72201R8823382778SHDFND1002778PIMCO STRATEGIC INCOME FD INCOM72200X1042660289119SHDFND100289119PNC FINL SVCS GROUP INCCOM6934751053562480SHDFND1002480POWERSHARES ACT MANG COMM FDOPT YLD DIV73937V10657733175SHDFND10033175POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S10523814492SHDFND10014492POWERSHARES ETF TR IIPFD PORTFOLIO73936T56532722047SHDFND10022047POWERSHARES ETF TR IIPWRSHS SP500 LOW73937B65410979258814SHDFND100258814POWERSHARES ETF TR IIS&P500 LOW VOL73937B779133227824SHDFND10027824POWERSHARES ETF TR IITXBLE MUN PRTFLO73937B407181359223SHDFND10059223POWERSHARES ETF TRUSTDYNM LRG CP VL73935X708137535498SHDFND10035498POWERSHARES ETF TRUSTFINL PFD PTFL73935X22922311857SHDFND10011857POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q8193299259SHDFND1009259POWERSHARES QQQ TRUSTUNIT SER 173935A10430317194505SHDFND100194505POWERSHS DB US DOLLAR INDEXDOLL INDX BULL73936D10728812048SHDFND10012048PROCTER AND GAMBLE COCOM742718109252327491SHDFND10027491PROSHARES TRS&P 500 DV ARIST74348A4673114856SHDFND1004856PROSHARES TRS&P MDCP 400 DIV74347B6802684891SHDFND1004891PROSPECT CAPITAL CORPORATIONCOM74348T10244265716SHDFND10065716PROSPECT CAPITAL CORPORATIONNOTE 4.750% 4/174348TAQ59595000PRNDFND10095000PROSPECT CAPITAL CORPORATIONNOTE 5.750% 3/174348TAL63535000PRNDFND10035000PROSPECT CAPITAL CORPORATIONNOTE 5.875% 1/174348TAM44545000PRNDFND10045000PUTNAM MASTER INTER INCOME TSH BEN INT7469091007014627SHDFND10014627QUALCOMM INCCOM74752510375711767SHDFND10011767QUICKLOGIC CORPCOM74837P1084425146SHDFND10025146RAYTHEON COCOM NEW7551115078534536SHDFND1004536RCM TECHNOLOGIES INCCOM NEW7493604007712339SHDFND10012339RESONANT INCCOM76118L1027010000SHDFND10010000RETAIL PPTYS AMER INCCL A76131V20234725753SHDFND10025753ROYAL BK CDA MONTREAL QUECOM7800871023053736SHDFND1003736RYDEX ETF TRUSTGUG S&P500 EQ WT78355W1066746641SHDFND1006641RYDEX ETF TRUSTGUG S&P500EQWTTE78355W8172041433SHDFND1001433SCHLUMBERGER LTDCOM8068571086179209SHDFND1009209SCHWAB STRATEGIC TREMRG MKTEQ ETF8085247062187738SHDFND1007738SCHWAB STRATEGIC TRUS BRD MKT ETF8085241023715719SHDFND1005719SCHWAB STRATEGIC TRUS LCAP VA ETF808524409202637025SHDFND10037025SCHWAB STRATEGIC TRUS LRG CAP ETF808524201254639997SHDFND10039997SCHWAB STRATEGIC TRUS MID-CAP ETF808524508238144793SHDFND10044793SCHWAB STRATEGIC TRUS SML CAP ETF808524607132118889SHDFND10018889SELECT SECTOR SPDR TRENERGY81369Y5066198614SHDFND1008614SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2092563104SHDFND1003104SELECT SECTOR SPDR TRSBI INT-FINL81369Y605107838621SHDFND10038621SHERWIN WILLIAMS COCOM8243481069732392SHDFND1002392SIGMA DESIGNS INCCOM82656510316623929SHDFND10023929SMITH A OCOM8318652092484088SHDFND1004088SOUTHERN COCOM8425871074098499SHDFND1008499SPDR DOW JONES INDL AVRG ETFUT SER 178467X1093691512SHDFND1001512SPDR GOLD TRUSTGOLD SHS78463V1075644596SHDFND1004596SPDR S&P 500 ETF TRTR UNIT78462F103871032645SHDFND10032645SPDR SERIES TRUSTBLOOMBERG BRCLYS78464A41770319036SHDFND10019036SPDR SERIES TRUSTS&P BIOTECH78464A8703183758SHDFND1003758SPDR SERIES TRUSTS&P DIVID ETF78464A763116012298SHDFND10012298SPDR SERIES TRUSTWELLS FG PFD ETF78464A2922174945SHDFND1004945STARBUCKS CORPCOM855244109108418961SHDFND10018961SUN LIFE FINL INCCOM86679610561014777SHDFND10014777SYNCHRONY FINLCOM87165B10366216850SHDFND10016850TARGET CORPCOM87612E10689013556SHDFND10013556TCP CAP CORPNOTE 5.250%12/187238QAB91010000PRNDFND10010000TE CONNECTIVITY LTDREG SHSH849891045495739SHDFND1005739THERMO FISHER SCIENTIFIC INCCOM8835561022471290SHDFND1001290THOR INDS INCCOM8851601019446272SHDFND1006272TIER REIT INCCOM NEW88650V20836918117SHDFND10018117TIME WARNER INCCOM NEW8873173035055502SHDFND1005502TJX COS INC NEWCOM8725401094916362SHDFND1006362TORTOISE ENERGY INFRA CORPCOM89147L1002006851SHDFND1006851UGI CORP NEWCOM9026811054439468SHDFND1009468UNION PAC CORPCOM9078181083562659SHDFND1002659UNITED RENTALS INCCOM9113631093101805SHDFND1001805UNITED STATES STL CORP NEWCOM912909108141740278SHDFND10040278UNITED TECHNOLOGIES CORPCOM913017109348127281SHDFND10027281UNITEDHEALTH GROUP INCCOM91324P10212135493SHDFND1005493UNIVERSAL INS HLDGS INCCOM91359V10787531951SHDFND10031951US BANCORP DELCOM NEW90297330498418364SHDFND10018364VALERO ENERGY CORP NEWCOM91913Y1008689549SHDFND1009549VANECK VECTORS ETF TRMORNINGSTAR INTL92189F59351014875SHDFND10014875VANGUARD BD INDEX FD INCINTERMED TERM92193781916147192599SHDFND100192599VANGUARD BD INDEX FD INCLONG TERM BOND92193779312467131070SHDFND100131070VANGUARD BD INDEX FD INCSHORT TRM BOND92193782723670299050SHDFND100299050VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835255831450SHDFND10031450VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J40722353411157SHDFND100411157VANGUARD INDEX FDSEXTEND MKT ETF9229086528677798SHDFND1007798VANGUARD INDEX FDSGROWTH ETF92290873633522238281SHDFND100238281VANGUARD INDEX FDSMCAP GR IDXVIP9229085382131676SHDFND1001676VANGUARD INDEX FDSMCAP VL IDXVIP9229085127436685SHDFND1006685VANGUARD INDEX FDSMID CAP ETF922908629535234516SHDFND10034516VANGUARD INDEX FDSREIT ETF922908553537764880SHDFND10064880VANGUARD INDEX FDSS&P 500 ETF SHS92290836327179110780SHDFND100110780VANGUARD INDEX FDSS&P 500 ETF SHS92290836301200SHPutDFND1001200VANGUARD INDEX FDSSM CP VAL ETF9229086116875154SHDFND1005154VANGUARD INDEX FDSSMALL CP ETF9229087511379393307SHDFND10093307VANGUARD INDEX FDSSML CP GRW ETF9229085956534076SHDFND1004076VANGUARD INDEX FDSTOTAL STK MKT922908769459933488SHDFND10033488VANGUARD INDEX FDSVALUE ETF92290874436389342272SHDFND100342272VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775274850134SHDFND10050134VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285811078240914SHDFND100240914VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874122520751SHDFND10020751VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF92204286688012080SHDFND10012080VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427424345902SHDFND1005902VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C77110030190739SHDFND100190739VANGUARD SCOTTSDALE FDSSHORT TERM TREAS92206C10299516491SHDFND10016491VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409232829358SHDFND10029358VANGUARD SPECIALIZED FUNDSDIV APP ETF921908844311330690SHDFND10030690VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385838607860271SHDFND100860271VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406379944278SHDFND10044278VANGUARD WORLD FDMEGA CAP INDEX92191087392410073SHDFND10010073VANGUARD WORLD FDSCONSUM DIS ETF92204A108223014274SHDFND10014274VANGUARD WORLD FDSCONSUM STP ETF92204A207160211005SHDFND10011005VANGUARD WORLD FDSENERGY ETF92204A3062562569SHDFND1002569VANGUARD WORLD FDSFINANCIALS ETF92204A40596013691SHDFND10013691VANGUARD WORLD FDSHEALTH CAR ETF92204A504298519457SHDFND10019457VANGUARD WORLD FDSINF TECH ETF92204A7027214421SHDFND1004421VANGUARD WORLD FDSUTILITIES ETF92204A8768297091SHDFND1007091VECTREN CORPCOM92240G10173511206SHDFND10011206VENTAS INCCOM92276F1002303835SHDFND1003835VEREIT INCCOM92339V1001654212177SHDFND100212177VERIZON COMMUNICATIONS INCCOM92343V104150528273SHDFND10028273VICTORY PORTFOLIOS IISHS DEVP ENH VOL92647N8163289369SHDFND1009369VICTORY PORTFOLIOS IISHS US 500 ENHA92647N782187438345SHDFND10038345VICTORY PORTFOLIOS IISHS US EQ INCM92647N82453811577SHDFND10011577VISA INCCOM CL A92826C83910519227SHDFND1009227WALGREENS BOOTS ALLIANCE INCCOM931427108165322581SHDFND10022581WAL-MART STORES INCCOM931142103479148601SHDFND10048601WAL-MART STORES INCCOM9311421037200SHCallDFND100200WEC ENERGY GROUP INCCOM92939U1065878835SHDFND1008835WELLS FARGO CO NEWCOM94974610196515942SHDFND10015942WEYERHAEUSER COCOM9621661042988343SHDFND1008343WINDSTREAM HLDGS INCCOM NEW97382A2003015959SHDFND10015959WISDOMTREE TRUS HIGH DIVIDEND97717W2085187098SHDFND1007098WISDOMTREE TRUS LARGECAP DIVD97717W3072843085SHDFND1003085WISDOMTREE TRUS MIDCAP DIVID97717W50576321603SHDFND10021603WISDOMTREE TRUS MIDCP EARNING97717W5703087723SHDFND1007723WISDOMTREE TRUS SMALLCP ERNGS97717W56260916797SHDFND10016797XCEL ENERGY INCCOM98389B10049310283SHDFND10010283XENIA HOTELS & RESORTS INCCOM98401710337217198SHDFND10017198YUM BRANDS INCCOM9884981012673282SHDFND1003282ZIMMER BIOMET HLDGS INCCOM98956P1022151779SHDFND1001779ZIONS BANCORPORATIONCOM98970110769313672SHDFND10013672