Chief Operations Officer

0000950123-21-004975.txt : 20210427 0000950123-21-004975.hdr.sgml : 20210427 20210427125434 ACCESSION NUMBER: 0000950123-21-004975 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210427 DATE AS OF CHANGE: 20210427 EFFECTIVENESS DATE: 20210427 FILER: COMPANY DATA: COMPANY CONFORMED NAME: United Asset Strategies, Inc. CENTRAL INDEX KEY: 0001539948 IRS NUMBER: 113104524 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15136 FILM NUMBER: 21857583 BUSINESS ADDRESS: STREET 1: 377 OAK STREET/STE 403 CITY: GARDEN CITY STATE: NY ZIP: 11530 BUSINESS PHONE: 516-222-0021 MAIL ADDRESS: STREET 1: 377 OAK STREET/STE 403 CITY: GARDEN CITY STATE: NY ZIP: 11530 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001539948 XXXXXXXX 03-31-2021 03-31-2021 false United Asset Strategies, Inc.

377 Oak Street/STE 403 Garden City NY 11530

13F HOLDINGS REPORT 028-15136 N Erin A. Gibbons Chief Operations Officer 516-222-0021 /s/ Erin A. Gibbons Garden City NY 04-27-2021 0 216 689550 false INFORMATION TABLE 2 4049.xml INFORMATION TABLE FOR FORM 13F ABBOTT LABS COM 002824100 240 2007 SH SOLE 2007 0 0 ABBVIE INC COM 00287Y109 4434 40968 SH SOLE 40968 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 12251 25771 SH SOLE 25771 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1581 8618 SH SOLE 8618 0 0 ADVANCED MICRO DEVICES INC COM 007903107 373 4756 SH SOLE 4756 0 0 AGCO CORP COM 001084102 1123 7817 SH SOLE 7817 0 0 AKARI THERAPEUTICS PLC SPONSORED ADR 00972G108 765 289745 SH SOLE 289745 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 305 1344 SH SOLE 1344 0 0 ALPHABET INC CAP STK CL A 02079K305 14068 6821 SH SOLE 6821 0 0 ALPHABET INC CAP STK CL C 02079K107 1400 677 SH SOLE 677 0 0 ALTICE USA INC CL A 02156K103 7196 221203 SH SOLE 221203 0 0 ALTRIA GROUP INC COM 02209S103 484 9452 SH SOLE 9452 0 0 AMAZON COM INC COM 023135106 20681 6684 SH SOLE 6684 0 0 AMERICAN TOWER CORP NEW COM 03027X100 9079 37977 SH SOLE 37977 0 0 AMGEN INC COM 031162100 7572 30433 SH SOLE 30433 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 752 87451 SH SOLE 87451 0 0 APPLE INC COM 037833100 15174 124222 SH SOLE 124222 0 0 APPLE INC COM 037833100 9 400 SH Call SOLE 400 0 0 APPLIED MATLS INC COM 038222105 15403 115292 SH SOLE 115292 0 0 APTARGROUP INC COM 038336103 567 4000 SH SOLE 4000 0 0 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 605 7209 SH SOLE 7209 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1226 10222 SH SOLE 10222 0 0 ARK ETF TR FINTECH INNOVA 00214Q708 498 9749 SH SOLE 9749 0 0 AT&T INC COM 00206R102 3994 131956 SH SOLE 131956 0 0 AUTONATION INC COM 05329W102 1044 11198 SH SOLE 11198 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1259 4930 SH SOLE 4930 0 0 BIO RAD LABS INC CL A 090572207 343 600 SH SOLE 600 0 0 BK OF AMERICA CORP COM 060505104 4326 111819 SH SOLE 111819 0 0 BLACKSTONE GROUP INC COM 09260D107 265 3561 SH SOLE 3561 0 0 BOEING CO COM 097023105 1297 5090 SH SOLE 5090 0 0 BP PLC SPONSORED ADR 055622104 237 9714 SH SOLE 9714 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 7396 190913 SH SOLE 190913 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 945 6899 SH SOLE 6899 0 0 CANOPY GROWTH CORP COM 138035100 325 10139 SH SOLE 10139 0 0 CATERPILLAR INC COM 149123101 466 2008 SH SOLE 2008 0 0 CHEVRON CORP NEW COM 166764100 5213 49744 SH SOLE 49744 0 0 CIGNA CORP NEW COM 125523100 9861 40793 SH SOLE 40793 0 0 CISCO SYS INC COM 17275R102 2117 40949 SH SOLE 40949 0 0 CITIGROUP INC COM NEW 172967424 1356 18636 SH SOLE 18636 0 0 CLOROX CO DEL COM 189054109 508 2633 SH SOLE 2633 0 0 CLOVER HEALTH INVESTMENTS CO COM CL A 18914F103 78 10300 SH SOLE 10300 0 0 CLOVIS ONCOLOGY INC NOTE 2.500% 9/1 189464AB6 1818 1950000 PRN SOLE 1950000 0 0 COCA COLA CO COM 191216100 9540 180999 SH SOLE 180999 0 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 7693 98483 SH SOLE 98483 0 0 COMCAST CORP NEW CL A 20030N101 3477 64260 SH SOLE 64260 0 0 CONSOLIDATED EDISON INC COM 209115104 381 5100 SH SOLE 5100 0 0 CORTEVA INC COM 22052L104 910 19516 SH SOLE 19516 0 0 COSTCO WHSL CORP NEW COM 22160K105 225 637 SH SOLE 637 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1153 6700 SH SOLE 6700 0 0 DEERE & CO COM 244199105 232 620 SH SOLE 620 0 0 DERMTECH INC COM 24984K105 383 7535 SH SOLE 7535 0 0 DISNEY WALT CO COM 254687106 1090 5906 SH SOLE 5906 0 0 DOLLAR GEN CORP NEW COM 256677105 15700 77483 SH SOLE 77483 0 0 DOMINION ENERGY INC COM 25746U109 9322 122723 SH SOLE 122723 0 0 DOMINOS PIZZA INC COM 25754A201 821 2233 SH SOLE 2233 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 219 2272 SH SOLE 2272 0 0 EATON VANCE TAX-MANAGED BUY- COM 27828Y108 1113 71847 SH SOLE 71847 0 0 EBAY INC. COM 278642103 851 13890 SH SOLE 13890 0 0 ECOLAB INC COM 278865100 3863 18047 SH SOLE 18047 0 0 ELECTROCORE INC COM 28531P103 57 27484 SH SOLE 27484 0 0 ENPHASE ENERGY INC COM 29355A107 308 1900 SH SOLE 1900 0 0 ENSERVCO CORP COM NEW 29358Y201 82 47455 SH SOLE 47455 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 432 19621 SH SOLE 19621 0 0 EOG RES INC COM 26875P101 804 11079 SH SOLE 11079 0 0 EPAM SYS INC COM 29414B104 934 2355 SH SOLE 2355 0 0 EXELON CORP COM 30161N101 372 8513 SH SOLE 8513 0 0 EXPEDITORS INTL WASH INC COM 302130109 6859 63696 SH SOLE 63696 0 0 EXXON MOBIL CORP COM 30231G102 603 10797 SH SOLE 10797 0 0 FACEBOOK INC CL A 30303M102 12606 42800 SH SOLE 42800 0 0 FIRSTENERGY CORP COM 337932107 784 22602 SH SOLE 22602 0 0 FORTINET INC COM 34959E109 987 5350 SH SOLE 5350 0 0 FORTUNA SILVER MINES INC COM 349915108 74 11483 SH SOLE 11483 0 0 FREEPORT-MCMORAN INC CL B 35671D857 411 12475 SH SOLE 12475 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1 200 SH Call SOLE 200 0 0 GENERAL DYNAMICS CORP COM 369550108 546 3005 SH SOLE 3005 0 0 GENERAL ELECTRIC CO COM 369604103 384 29236 SH SOLE 29236 0 0 GLOBAL X FDS US INFR DEV ETF 37954Y673 10232 408292 SH SOLE 408292 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 796 19101 SH SOLE 19101 0 0 HOME DEPOT INC COM 437076102 14746 48308 SH SOLE 48308 0 0 HUMANA INC COM 444859102 773 1844 SH SOLE 1844 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 378 2101 SH SOLE 2101 0 0 INSPIREMD INC COM 45779A853 47 70000 SH SOLE 70000 0 0 INTEL CORP COM 458140100 2087 32614 SH SOLE 32614 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1172 8792 SH SOLE 8792 0 0 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 763 23808 SH SOLE 23808 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 2966 134038 SH SOLE 134038 0 0 INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 46137V100 818 11241 SH SOLE 11241 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1351 4234 SH SOLE 4234 0 0 ISHARES GOLD TR ISHARES 464285105 471 28939 SH SOLE 28939 0 0 ISHARES INC MSCI MEXICO ETF 464286822 10668 243403 SH SOLE 243403 0 0 ISHARES INC CORE MSCI EMKT 46434G103 9834 152792 SH SOLE 152792 0 0 ISHARES TR S&P 500 VAL ETF 464287408 5340 37808 SH SOLE 37808 0 0 ISHARES TR RUS 1000 ETF 464287622 1190 5314 SH SOLE 5314 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 260 1175 SH SOLE 1175 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 4530 28406 SH SOLE 28406 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 807 2684 SH SOLE 2684 0 0 ISHARES TR RUS MD CP GR ETF 464287481 734 7189 SH SOLE 7189 0 0 ISHARES TR U.S. BAS MTL ETF 464287838 225 1790 SH SOLE 1790 0 0 ISHARES TR NASDAQ BIOTECH 464287556 462 3068 SH SOLE 3068 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 464 5377 SH SOLE 5377 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 1758 15570 SH SOLE 15570 0 0 ISHARES TR 20 YR TR BD ETF 464287432 2355 17390 SH SOLE 17390 0 0 ISHARES TR CORE US AGGBD ET 464287226 1365 11993 SH SOLE 11993 0 0 ISHARES TR SELECT DIVID ETF 464287168 204 1790 SH SOLE 1790 0 0 ISHARES TR EAFE VALUE ETF 464288877 2384 46775 SH SOLE 46775 0 0 ISHARES TR EAFE GRWTH ETF 464288885 755 7519 SH SOLE 7519 0 0 ISHARES TR U.S. PHARMA ETF 464288836 240 1351 SH SOLE 1351 0 0 ISHARES TR JPMORGAN USD EMG 464288281 466 4276 SH SOLE 4276 0 0 ISHARES TR 0-5 YR TIPS ETF 46429B747 910 8610 SH SOLE 8610 0 0 ISHARES TR CORE MSCI EURO 46434V738 8189 151723 SH SOLE 151723 0 0 ISHARES TR ESG AW MSCI EAFE 46435G516 296 3902 SH SOLE 3902 0 0 ISHARES TR ESG MSCI LEADR 46435U218 202 2919 SH SOLE 2919 0 0 JACOBS ENGR GROUP INC COM 469814107 12649 97848 SH SOLE 97848 0 0 JOHNSON & JOHNSON COM 478160104 781 4752 SH SOLE 4752 0 0 JPMORGAN CHASE & CO COM 46625H100 14092 92571 SH SOLE 92571 0 0 KIMBERLY-CLARK CORP COM 494368103 768 5522 SH SOLE 5522 0 0 KLA CORP COM NEW 482480100 1050 3178 SH SOLE 3178 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 6728 26380 SH SOLE 26380 0 0 LINDE PLC SHS G5494J103 2928 10453 SH SOLE 10453 0 0 LKQ CORP COM 501889208 919 21703 SH SOLE 21703 0 0 LOCKHEED MARTIN CORP COM 539830109 1790 4844 SH SOLE 4844 0 0 LOWES COS INC COM 548661107 206 1081 SH SOLE 1081 0 0 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 1964 96910 SH SOLE 96910 0 0 MARATHON OIL CORP COM 565849106 183 17180 SH SOLE 17180 0 0 MASTERCARD INCORPORATED CL A 57636Q104 12238 34370 SH SOLE 34370 0 0 MCDONALDS CORP COM 580135101 3624 16171 SH SOLE 16171 0 0 MCKESSON CORP COM 58155Q103 9052 46409 SH SOLE 46409 0 0 MEDTRONIC PLC SHS G5960L103 10948 92675 SH SOLE 92675 0 0 MERCADOLIBRE INC COM 58733R102 275 187 SH SOLE 187 0 0 MERCK & CO. INC COM 58933Y105 513 6655 SH SOLE 6655 0 0 METLIFE INC COM 59156R108 1788 29409 SH SOLE 29409 0 0 MICRON TECHNOLOGY INC COM 595112103 269 3055 SH SOLE 3055 0 0 MICROSOFT CORP COM 594918104 22743 96463 SH SOLE 96463 0 0 MICROVISION INC DEL COM NEW 594960304 186 10000 SH SOLE 10000 0 0 MICROVISION INC DEL COM NEW 594960304 13 2000 SH Call SOLE 2000 0 0 NETFLIX INC COM 64110L106 462 886 SH SOLE 886 0 0 NEW YORK MTG TR INC NOTE 6.250% 1/1 649604AD7 10 10000 PRN SOLE 10000 0 0 NEWMONT CORP COM 651639106 236 3914 SH SOLE 3914 0 0 NEXTERA ENERGY INC COM 65339F101 468 6183 SH SOLE 6183 0 0 NIKE INC CL B 654106103 249 1877 SH SOLE 1877 0 0 NUVEEN PFD & INCM SECURTIES COM 67072C105 108 11145 SH SOLE 11145 0 0 NVIDIA CORPORATION COM 67066G104 205 384 SH SOLE 384 0 0 ORACLE CORP COM 68389X105 988 14079 SH SOLE 14079 0 0 PALO ALTO NETWORKS INC COM 697435105 14511 45056 SH SOLE 45056 0 0 PAYCHEX INC COM 704326107 1380 14076 SH SOLE 14076 0 0 PAYPAL HLDGS INC COM 70450Y103 368 1517 SH SOLE 1517 0 0 PEPSICO INC COM 713448108 3283 23209 SH SOLE 23209 0 0 PFIZER INC COM 717081103 4763 131453 SH SOLE 131453 0 0 PHILIP MORRIS INTL INC COM 718172109 1310 14765 SH SOLE 14765 0 0 PROCTER AND GAMBLE CO COM 742718109 3019 22295 SH SOLE 22295 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 867 62349 SH SOLE 62349 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 430 25633 SH SOLE 25633 0 0 QORVO INC COM 74736K101 975 5335 SH SOLE 5335 0 0 QUALCOMM INC COM 747525103 1056 7966 SH SOLE 7966 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1733 22424 SH SOLE 22424 0 0 ROKU INC COM CL A 77543R102 240 738 SH SOLE 738 0 0 SALESFORCE COM INC COM 79466L302 252 1188 SH SOLE 1188 0 0 SCHWAB CHARLES CORP COM 808513105 8631 132416 SH SOLE 132416 0 0 SCHWAB CHARLES CORP COM 808513105 0 1000 SH Put SOLE 1000 0 0 SCHWAB CHARLES CORP COM 808513105 5 2000 SH Put SOLE 2000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2029 31691 SH SOLE 31691 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 4063 51561 SH SOLE 51561 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 13164 268325 SH SOLE 268325 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 10888 319755 SH SOLE 319755 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4048 41120 SH SOLE 41120 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 24365 183457 SH SOLE 183457 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1382 20232 SH SOLE 20232 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5045 43217 SH SOLE 43217 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 4448 26464 SH SOLE 26464 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 371 9392 SH SOLE 9392 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 1669 22757 SH SOLE 22757 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 0 100 SH Call SOLE 100 0 0 SERVICENOW INC COM 81762P102 717 1433 SH SOLE 1433 0 0 SHOPIFY INC CL A 82509L107 322 291 SH SOLE 291 0 0 SOUTHERN CO COM 842587107 2489 40048 SH SOLE 40048 0 0 SPDR GOLD TR GOLD SHS 78463V107 10664 66669 SH SOLE 66669 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 1094 25000 SH SOLE 25000 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 921 26044 SH SOLE 26044 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4283 10806 SH SOLE 10806 0 0 SPDR SER TR S&P BIOTECH 78464A870 868 6397 SH SOLE 6397 0 0 SPDR SER TR S&P METALS MNG 78464A755 10131 253786 SH SOLE 253786 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 769 8617 SH SOLE 8617 0 0 SPDR SER TR S&P REGL BKG 78464A698 1533 23108 SH SOLE 23108 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 1795 39234 SH SOLE 39234 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 5858 64023 SH SOLE 64023 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 5740 123144 SH SOLE 123144 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 1709 40427 SH SOLE 40427 0 0 SUNDIAL GROWERS INC COM 86730L109 21 18910 SH SOLE 18910 0 0 SYNCHRONY FINANCIAL COM 87165B103 10055 247304 SH SOLE 247304 0 0 T-MOBILE US INC COM 872590104 7542 60194 SH SOLE 60194 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 768 4345 SH SOLE 4345 0 0 TELADOC HEALTH INC COM 87918A105 426 2344 SH SOLE 2344 0 0 TESLA INC COM 88160R101 1873 2804 SH SOLE 2804 0 0 TEXAS INSTRS INC COM 882508104 447 2367 SH SOLE 2367 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 9582 20995 SH SOLE 20995 0 0 TORCHLIGHT ENERGY RES INC COM 89102U103 31 17000 SH SOLE 17000 0 0 TRUIST FINL CORP COM 89832Q109 1573 26969 SH SOLE 26969 0 0 UBER TECHNOLOGIES INC COM 90353T100 319 5848 SH SOLE 5848 0 0 UBER TECHNOLOGIES INC COM 90353T100 0 100 SH Call SOLE 100 0 0 UNION PAC CORP COM 907818108 395 1791 SH SOLE 1791 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2297 13512 SH SOLE 13512 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 646 2652 SH SOLE 2652 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 236 1068 SH SOLE 1068 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 908 4899 SH SOLE 4899 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 287 5512 SH SOLE 5512 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 13690 256520 SH SOLE 256520 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 310 1740 SH SOLE 1740 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1615 27779 SH SOLE 27779 0 0 VISA INC COM CL A 92826C839 535 2526 SH SOLE 2526 0 0 WALMART INC COM 931142103 291 2140 SH SOLE 2140 0 0 WARNER MUSIC GROUP CORP COM CL A 934550203 4455 129755 SH SOLE 129755 0 0 WASTE MGMT INC DEL COM 94106L109 8439 65406 SH SOLE 65406 0 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 207 5820 SH SOLE 5820 0 0 WILLIAMS COS INC COM 969457100 3328 140475 SH SOLE 140475 0 0 WISDOMTREE TR FLOATNG RAT TREA 97717X628 13676 544870 SH SOLE 544870 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 1888 11794 SH SOLE 11794 0 0