Chief Compliance Officer & General Counsel

0001606587-21-001079.txt : 20210809 0001606587-21-001079.hdr.sgml : 20210809 20210809160433 ACCESSION NUMBER: 0001606587-21-001079 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210809 DATE AS OF CHANGE: 20210809 EFFECTIVENESS DATE: 20210809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WBI INVESTMENTS, INC. CENTRAL INDEX KEY: 0001397424 IRS NUMBER: 222566011 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12525 FILM NUMBER: 211156415 BUSINESS ADDRESS: STREET 1: 331 NEWMAN SPRINGS ROAD STREET 2: SUITE 105 CITY: RED BANK STATE: NJ ZIP: 07701 BUSINESS PHONE: 732-842-4920 MAIL ADDRESS: STREET 1: 331 NEWMAN SPRINGS ROAD STREET 2: SUITE 143 CITY: RED BANK STATE: NJ ZIP: 07701 FORMER COMPANY: FORMER CONFORMED NAME: WBI INVESTMENTS DATE OF NAME CHANGE: 20100211 FORMER COMPANY: FORMER CONFORMED NAME: Wealth Builders DATE OF NAME CHANGE: 20070424 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001397424 XXXXXXXX 06-30-2021 06-30-2021 false WBI Investments, Inc.

331 Newman Springs Road Suite 143 Red Bank NJ 07701

13F HOLDINGS REPORT 028-12525 N Kevin Murphy Chief Compliance Officer & General Counsel 732-945-1430 Kevin Murphy Red Bank NJ 08-03-2021 1 212 650911 false 1 0001449088 028-16338 MILLINGTON SECURITIES, INC. INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 203 34 SH SOLE NONE 34 0 0 ABBVIE INC COM 00287Y109 5529 2 SH DFND 1 0 2 0 ABBVIE INC COM 00287Y109 1240 165 SH SOLE NONE 165 0 0 ABSOLUTE SHS TR WBI BBR VAL 3000 00400R601 30705 662 SH SOLE NONE 662 0 0 ABSOLUTE SHS TR WBI BBR YLD 3000 00400R700 26832 662 SH SOLE NONE 662 0 0 ABSOLUTE SHS TR WBI BBR QTY 3000 00400R809 27131 662 SH SOLE NONE 662 0 0 ABSOLUTE SHS TR WBI BULBEAR TR 00400R841 15658 735 SH SOLE NONE 735 0 0 ABSOLUTE SHS TR WBI PWR FCTR ETF 00400R858 32279 687 SH SOLE NONE 687 0 0 ABSOLUTE SHS TR WBI BBR GBL INME 00400R874 28569 490 SH SOLE NONE 490 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3774 2 SH DFND 1 0 2 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3834 495 SH SOLE NONE 495 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 3770 2 SH DFND 1 0 2 0 ADVANCE AUTO PARTS INC COM 00751Y106 2098 254 SH SOLE NONE 254 0 0 AES CORP COM 00130H105 1065 1 SH DFND 1 0 1 0 ALTRIA GROUP INC COM 02209S103 3012 1 SH DFND 1 0 1 0 AMAZON COM INC COM 023135106 3722 3 SH DFND 1 0 3 0 AMCOR PLC ORD G0250X107 268 34 SH SOLE NONE 34 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 981 1 SH DFND 1 0 1 0 AMES NATL CORP COM 031001100 336 1 SH DFND 1 0 1 0 AMETEK INC COM 031100100 991 165 SH SOLE NONE 165 0 0 APPLE INC COM 037833100 3892 3 SH DFND 1 0 3 0 APPLE INC COM 037833100 4655 481 SH SOLE NONE 481 0 0 ARTISAN PARTNERS ASSET MGMT CL A 04316A108 709 1 SH DFND 1 0 1 0 ASSOCIATED BANC CORP COM 045487105 636 1 SH DFND 1 0 1 0 AUTOLIV INC COM 052800109 554 227 SH SOLE NONE 227 0 0 B & G FOODS INC NEW COM 05508R106 1839 1 SH DFND 1 0 1 0 BANK OZK COM 06417N103 492 1 SH DFND 1 0 1 0 BEST BUY INC COM 086516101 4550 2 SH DFND 1 0 2 0 BLACKSTONE GROUP INC COM 09260D107 1994 1 SH DFND 1 0 1 0 C & F FINL CORP COM 12466Q104 432 1 SH DFND 1 0 1 0 CDW CORP COM 12514G108 1262 253 SH SOLE NONE 253 0 0 CF INDS HLDGS INC COM 125269100 3975 2 SH DFND 1 0 2 0 CINCINNATI FINL CORP COM 172062101 1910 1 SH DFND 1 0 1 0 CINCINNATI FINL CORP COM 172062101 786 69 SH SOLE NONE 69 0 0 CITIZENS HLDG CO MISS COM 174715102 333 1 SH DFND 1 0 1 0 CLEARWAY ENERGY INC CL C 18539C204 599 1 SH DFND 1 0 1 0 COCA-COLA EUROPACIFIC PARTNE SHS G25839104 4625 2 SH DFND 1 0 2 0 COCA-COLA EUROPACIFIC PARTNE SHS G25839104 2129 296 SH SOLE NONE 296 0 0 CRH PLC ADR 12626K203 3143 2 SH DFND 1 0 2 0 DBX ETF TR XTRACK USD HIGH 233051432 18575 2 SH DFND 1 0 2 0 DBX ETF TR XTRACK USD HIGH 233051432 31168 552 SH SOLE NONE 552 0 0 DICKS SPORTING GOODS INC COM 253393102 1827 184 SH SOLE NONE 184 0 0 DOCUSIGN INC COM 256163106 3061 479 SH SOLE NONE 479 0 0 DOLLAR GEN CORP NEW COM 256677105 2279 1 SH DFND 1 0 1 0 DOVER CORP COM 260003108 455 1 SH DFND 1 0 1 0 DOW INC COM 260557103 2943 1 SH DFND 1 0 1 0 EASTMAN CHEM CO COM 277432100 3388 3 SH DFND 1 0 3 0 EBAY INC. COM 278642103 8107 3 SH DFND 1 0 3 0 EBAY INC. COM 278642103 2963 326 SH SOLE NONE 326 0 0 ENNIS INC COM 293389102 365 1 SH DFND 1 0 1 0 ETHAN ALLEN INTERIORS INC COM 297602104 340 1 SH DFND 1 0 1 0 FACEBOOK INC CL A 30303M102 4371 3 SH DFND 1 0 3 0 FACEBOOK INC CL A 30303M102 3028 479 SH SOLE NONE 479 0 0 FASTENAL CO COM 311900104 1778 1 SH DFND 1 0 1 0 FASTENAL CO COM 311900104 726 228 SH SOLE NONE 228 0 0 FIRST BANCORP INC ME COM 31866P102 355 1 SH DFND 1 0 1 0 FIRST HORIZON CORPORATION COM 320517105 1081 1 SH DFND 1 0 1 0 FRANCHISE GROUP INC COM 35180X105 335 1 SH DFND 1 0 1 0 FRANKLIN RESOURCES INC COM 354613101 2237 1 SH DFND 1 0 1 0 GENERAL DYNAMICS CORP COM 369550108 2010 1 SH DFND 1 0 1 0 GENERAL DYNAMICS CORP COM 369550108 417 97 SH SOLE NONE 97 0 0 GENUINE PARTS CO COM 372460105 1803 1 SH DFND 1 0 1 0 GENUINE PARTS CO COM 372460105 1778 295 SH SOLE NONE 295 0 0 GILEAD SCIENCES INC COM 375558103 5845 3 SH DFND 1 0 3 0 GILEAD SCIENCES INC COM 375558103 2242 286 SH SOLE NONE 286 0 0 HANESBRANDS INC COM 410345102 2198 1 SH DFND 1 0 1 0 HCA HEALTHCARE INC COM 40412C101 1915 252 SH SOLE NONE 252 0 0 HERSHEY CO COM 427866108 433 68 SH SOLE NONE 68 0 0 HOULIHAN LOKEY INC CL A 441593100 311 97 SH SOLE NONE 97 0 0 HUMANA INC COM 444859102 2096 1 SH DFND 1 0 1 0 HUMANA INC COM 444859102 2125 412 SH SOLE NONE 412 0 0 INDEXIQ ETF TR IQ S&P HGH YLD 45409B412 339 14 SH SOLE NONE 14 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 3840 1 SH DFND 1 0 1 0 INTERNATIONAL PAPER CO COM 460146103 5419 2 SH DFND 1 0 2 0 INTERPUBLIC GROUP COS INC COM 460690100 2902 1 SH DFND 1 0 1 0 INVESCO EXCH TRADED FD TR II S&P MIDCP LOW 46138E198 308 6 SH SOLE NONE 6 0 0 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 2256 70 SH SOLE NONE 70 0 0 INVESCO EXCHANGE TRADED FD T S&P MDCP400 PR 46137V217 201 7 SH SOLE NONE 7 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 1869 37 SH SOLE NONE 37 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 2447 71 SH SOLE NONE 71 0 0 IRON MTN INC NEW COM 46284V101 2717 2 SH DFND 1 0 2 0 IRON MTN INC NEW COM 46284V101 1951 296 SH SOLE NONE 296 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 757 22 SH SOLE NONE 22 0 0 ISHARES TR U.S. UTILITS ETF 464287697 449 10 SH SOLE NONE 10 0 0 ISHARES TR US HLTHCARE ETF 464287762 323 8 SH SOLE NONE 8 0 0 ISHARES TR U.S. CNSM GD ETF 464287812 210 6 SH SOLE NONE 6 0 0 ISHARES TR AGENCY BOND ETF 464288166 2036 36 SH SOLE NONE 36 0 0 ISHARES TR IBOXX HI YD ETF 464288513 203 5 SH SOLE NONE 5 0 0 ISHARES TR MBS ETF 464288588 739 24 SH SOLE NONE 24 0 0 ISHARES TR SHORT TREAS BD 464288679 503 24 SH SOLE NONE 24 0 0 ISHARES TR PFD AND INCM SEC 464288687 5484 1 SH DFND 1 0 1 0 ISHARES TR US HLTHCR PR ETF 464288828 1995 57 SH SOLE NONE 57 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 12309 1 SH DFND 1 0 1 0 ISHARES TR U.S. FIXED INCME 46435U796 587 8 SH SOLE NONE 8 0 0 ISHARES TR BROAD USD HIGH 46435U853 22778 2 SH DFND 1 0 2 0 ISHARES TR BROAD USD HIGH 46435U853 31667 552 SH SOLE NONE 552 0 0 J P MORGAN EXCHANGE-TRADED F BETABLDRS 1-5YR 46641Q258 676 18 SH SOLE NONE 18 0 0 J P MORGAN EXCHANGE-TRADED F JPMORGAN DIVER 46641Q407 445 12 SH SOLE NONE 12 0 0 J P MORGAN EXCHANGE-TRADED F DIVERSFD EQT ETF 46641Q845 1239 33 SH SOLE NONE 33 0 0 JANUS HENDERSON GROUP PLC ORD SHS G4474Y214 1736 261 SH SOLE NONE 261 0 0 JEFFERIES FINL GROUP INC COM 47233W109 1290 1 SH DFND 1 0 1 0 JEFFERIES FINL GROUP INC COM 47233W109 1659 186 SH SOLE NONE 186 0 0 KELLOGG CO COM 487836108 280 34 SH SOLE NONE 34 0 0 KOHLS CORP COM 500255104 2076 1 SH DFND 1 0 1 0 KRAFT HEINZ CO COM 500754106 2946 1 SH DFND 1 0 1 0 KROGER CO COM 501044101 1748 1 SH DFND 1 0 1 0 L3HARRIS TECHNOLOGIES INC COM 502431109 1372 1 SH DFND 1 0 1 0 LEGGETT & PLATT INC COM 524660107 1532 1 SH DFND 1 0 1 0 LEGGETT & PLATT INC COM 524660107 2065 295 SH SOLE NONE 295 0 0 LILLY ELI & CO COM 532457108 767 165 SH SOLE NONE 165 0 0 LINCOLN ELEC HLDGS INC COM 533900106 578 87 SH SOLE NONE 87 0 0 LOCKHEED MARTIN CORP COM 539830109 1159 1 SH DFND 1 0 1 0 LOWES COS INC COM 548661107 2556 1 SH DFND 1 0 1 0 LOWES COS INC COM 548661107 734 103 SH SOLE NONE 103 0 0 LUMEN TECHNOLOGIES INC COM 550241103 285 34 SH SOLE NONE 34 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1175 131 SH SOLE NONE 131 0 0 MANPOWERGROUP INC WIS COM 56418H100 2105 1 SH DFND 1 0 1 0 MANPOWERGROUP INC WIS COM 56418H100 1537 184 SH SOLE NONE 184 0 0 MERCURY GENL CORP NEW COM 589400100 394 1 SH DFND 1 0 1 0 MICRON TECHNOLOGY INC COM 595112103 2463 479 SH SOLE NONE 479 0 0 MOELIS & CO CL A 60786M105 633 1 SH DFND 1 0 1 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 1000 1 SH DFND 1 0 1 0 NAVIENT CORPORATION COM 63938C108 838 1 SH DFND 1 0 1 0 NETFLIX INC COM 64110L106 3960 3 SH DFND 1 0 3 0 NETFLIX INC COM 64110L106 3997 392 SH SOLE NONE 392 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 1020 1 SH DFND 1 0 1 0 NEWELL BRANDS INC COM 651229106 983 1 SH DFND 1 0 1 0 NEWELL BRANDS INC COM 651229106 841 324 SH SOLE NONE 324 0 0 NEWMONT CORP COM 651639106 338 34 SH SOLE NONE 34 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 2108 1 SH DFND 1 0 1 0 NORWOOD FINL CORP COM 669549107 354 1 SH DFND 1 0 1 0 NRG ENERGY INC COM NEW 629377508 1572 184 SH SOLE NONE 184 0 0 NVIDIA CORPORATION COM 67066G104 2729 2 SH DFND 1 0 2 0 OLD REP INTL CORP COM 680223104 1053 1 SH DFND 1 0 1 0 OLD REP INTL CORP COM 680223104 380 35 SH SOLE NONE 35 0 0 OMNICOM GROUP INC COM 681919106 2016 1 SH DFND 1 0 1 0 ONEMAIN HLDGS INC COM 68268W103 6288 3 SH DFND 1 0 3 0 ONEMAIN HLDGS INC COM 68268W103 4473 479 SH SOLE NONE 479 0 0 ORACLE CORP COM 68389X105 429 87 SH SOLE NONE 87 0 0 PACER FDS TR TRENDP US LAR CP 69374H105 2376 64 SH SOLE NONE 64 0 0 PACER FDS TR TRENDP US MID CP 69374H204 6443 172 SH SOLE NONE 172 0 0 PACER FDS TR US CASH COWS 100 69374H881 761 14 SH SOLE NONE 14 0 0 PAYCHEX INC COM 704326107 541 87 SH SOLE NONE 87 0 0 PENNS WOODS BANCORP INC COM 708430103 349 1 SH DFND 1 0 1 0 PFIZER INC COM 717081103 3097 1 SH DFND 1 0 1 0 PFIZER INC COM 717081103 305 35 SH SOLE NONE 35 0 0 PHILIP MORRIS INTL INC COM 718172109 5812 2 SH DFND 1 0 2 0 PHILIP MORRIS INTL INC COM 718172109 1373 227 SH SOLE NONE 227 0 0 PIMCO EQUITY SER RAFI DYN ML US 72202L363 423 8 SH SOLE NONE 8 0 0 POLARIS INC COM 731068102 5575 3 SH DFND 1 0 3 0 POLARIS INC COM 731068102 1550 155 SH SOLE NONE 155 0 0 PREMIER FINL BANCORP INC COM 74050M105 310 1 SH DFND 1 0 1 0 PRICE T ROWE GROUP INC COM 74144T108 497 1 SH DFND 1 0 1 0 PRICE T ROWE GROUP INC COM 74144T108 1820 206 SH SOLE NONE 206 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 4458 2 SH DFND 1 0 2 0 PROCTER AND GAMBLE CO COM 742718109 762 1 SH DFND 1 0 1 0 PROCTER AND GAMBLE CO COM 742718109 1404 296 SH SOLE NONE 296 0 0 PRUDENTIAL FINL INC COM 744320102 317 34 SH SOLE NONE 34 0 0 QUEST DIAGNOSTICS INC COM 74834L100 5834 3 SH DFND 1 0 3 0 QUEST DIAGNOSTICS INC COM 74834L100 2839 480 SH SOLE NONE 480 0 0 RESOURCES CONNECTION INC COM 76122Q105 345 1 SH DFND 1 0 1 0 ROBERT HALF INTL INC COM 770323103 385 68 SH SOLE NONE 68 0 0 SAFETY INS GROUP INC COM 78648T100 321 1 SH DFND 1 0 1 0 SCHWAB STRATEGIC TR 1 5YR CORP BD 808524714 380 10 SH SOLE NONE 10 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 249 8 SH SOLE NONE 8 0 0 SCHWEITZER-MAUDUIT INTL INC COM 808541106 285 1 SH DFND 1 0 1 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1811 57 SH SOLE NONE 57 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1192 36 SH SOLE NONE 36 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 693 15 SH SOLE NONE 15 0 0 SHOPIFY INC CL A 82509L107 3945 3 SH DFND 1 0 3 0 SOUTH JERSEY INDS INC COM 838518108 1139 1 SH DFND 1 0 1 0 SOUTHERN CO COM 842587107 2801 1 SH DFND 1 0 1 0 SPARK ENERGY INC CL A COM 846511103 390 1 SH DFND 1 0 1 0 SPARTANNASH CO COM 847215100 343 1 SH DFND 1 0 1 0 SPDR SER TR PORTFOLIO INTRMD 78464A375 336 14 SH SOLE NONE 14 0 0 SPDR SER TR PORTFLI MORTGAGE 78464A383 3167 98 SH SOLE NONE 98 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 354 14 SH SOLE NONE 14 0 0 SPDR SER TR HLTH CARE SVCS 78464A573 323 2 SH SOLE NONE 2 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 1068 57 SH SOLE NONE 57 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 12452 1 SH DFND 1 0 1 0 SPDR SER TR PORTFLI HIGH YLD 78468R606 683 20 SH SOLE NONE 20 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 2119 52 SH SOLE NONE 52 0 0 SPDR SER TR BLOMBERG 1 10 YR 78468R861 3266 72 SH SOLE NONE 72 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 351 1 SH DFND 1 0 1 0 SUNCOKE ENERGY INC COM 86722A103 367 1 SH DFND 1 0 1 0 TARGET CORP COM 87612E106 1949 393 SH SOLE NONE 393 0 0 TE CONNECTIVITY LTD REG SHS H84989104 2053 1 SH DFND 1 0 1 0 TE CONNECTIVITY LTD REG SHS H84989104 1291 227 SH SOLE NONE 227 0 0 TESLA INC COM 88160R101 4663 3 SH DFND 1 0 3 0 TEXAS INSTRS INC COM 882508104 1822 1 SH DFND 1 0 1 0 THERMO FISHER SCIENTIFIC INC COM 883556102 626 87 SH SOLE NONE 87 0 0 UNION BANKSHARES INC COM 905400107 409 1 SH DFND 1 0 1 0 UNITED PARCEL SERVICE INC CL B 911312106 2435 2 SH DFND 1 0 2 0 UNITED PARCEL SERVICE INC CL B 911312106 2809 500 SH SOLE NONE 500 0 0 UNITED SEC BANCSHARES CALIF COM 911460103 366 1 SH DFND 1 0 1 0 UNITEDHEALTH GROUP INC COM 91324P102 581 89 SH SOLE NONE 89 0 0 UNIVERSAL CORP VA COM 913456109 345 1 SH DFND 1 0 1 0 UNIVERSAL INS HLDGS INC COM 91359V107 349 1 SH DFND 1 0 1 0 UNUM GROUP COM 91529Y106 1541 1 SH DFND 1 0 1 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 11448 2 SH DFND 1 0 2 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 676 34 SH SOLE NONE 34 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 1012 28 SH SOLE NONE 28 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 358 14 SH SOLE NONE 14 0 0 VECTOR GROUP LTD COM 92240M108 342 1 SH DFND 1 0 1 0 VERIZON COMMUNICATIONS INC COM 92343V104 3001 1 SH DFND 1 0 1 0 VILLAGE SUPER MKT INC CL A NEW 927107409 326 1 SH DFND 1 0 1 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 256 34 SH SOLE NONE 34 0 0 WALMART INC COM 931142103 2135 1 SH DFND 1 0 1 0 WALMART INC COM 931142103 1826 295 SH SOLE NONE 295 0 0 XEROX HOLDINGS CORP COM NEW 98421M106 1585 1 SH DFND 1 0 1 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 2905 2 SH DFND 1 0 2 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 3006 479 SH SOLE NONE 479 0 0