The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
HSBC HLDGS PLC ADR A 1/40PF A | ADR A 1/40PF A | 404280604 | 491 | 18,992 | SH | SOLE | NONE | 18,992 | 0 | 0 | |
TECHNOLOGY SELECT SECTOR SPDR FUND | TECHNOLOGY | 81369Y803 | 2,476 | 46,454 | SH | SOLE | NONE | 46,454 | 0 | 0 | |
JOHNSON & JOHNSON COM | COM | 478160104 | 1,358 | 10,910 | SH | SOLE | NONE | 10,910 | 0 | 0 | |
ISHARES MSCI EMERGING MARKETS ETF | MSCI EMG MKT ETF | 464287234 | 835 | 21,215 | SH | SOLE | NONE | 21,215 | 0 | 0 | |
GOLDMAN SACHS GROUP INC COM | COM | 38141G104 | 380 | 1,654 | SH | SOLE | NONE | 1,654 | 0 | 0 | |
SPDR NUVEEN BLOOMBERG BARCLAYS SHORT TERM MUNICIPAL BOND ETF | NUVEEN BLMBRG SR | 78468R739 | 388 | 8,026 | SH | SOLE | NONE | 8,026 | 0 | 0 | |
YUM BRANDS INC COM | COM | 988498101 | 629 | 9,855 | SH | SOLE | NONE | 9,855 | 0 | 0 | |
PROCTER AND GAMBLE CO COM | COM | 742718109 | 1,173 | 13,060 | SH | SOLE | NONE | 13,060 | 0 | 0 | |
COCA COLA CO COM | COM | 191216100 | 1,297 | 30,583 | SH | SOLE | NONE | 30,583 | 0 | 0 | |
VANGUARD REIT ETF | REIT ETF | 922908553 | 2,378 | 28,802 | SH | SOLE | NONE | 28,802 | 0 | 0 | |
INTEL CORP COM | COM | 458140100 | 1,485 | 41,174 | SH | SOLE | NONE | 41,174 | 0 | 0 | |
SPDR DOW JONES INDUSTRIAL AVERAGE ETF | UT SER 1 | 78467X109 | 2,572 | 12,466 | SH | SOLE | NONE | 12,466 | 0 | 0 | |
MERCK & CO INC COM | COM | 58933Y105 | 509 | 8,014 | SH | SOLE | NONE | 8,014 | 0 | 0 | |
SPDR S&P 500 ETF | TR UNIT | 78462F103 | 5,676 | 24,081 | SH | SOLE | NONE | 24,081 | 0 | 0 | |
DU PONT E I DE NEMOURS & CO COM | COM | 263534109 | 449 | 5,597 | SH | SOLE | NONE | 5,597 | 0 | 0 | |
VERIZON COMMUNICATIONS INC COM | COM | 92343V104 | 465 | 9,544 | SH | SOLE | NONE | 9,544 | 0 | 0 | |
ISHARES COHEN & STEERS REIT ETF | COHEN&STEER REIT | 464287564 | 880 | 8,823 | SH | SOLE | NONE | 8,823 | 0 | 0 | |
PEPSICO INC COM | COM | 713448108 | 421 | 3,765 | SH | SOLE | NONE | 3,765 | 0 | 0 | |
ISHARES 1-3 YEAR TREASURY BOND ETF | 1-3 YR TR BD ETF | 464287457 | 2,702 | 31,978 | SH | SOLE | NONE | 31,978 | 0 | 0 | |
JPMORGAN ALERIAN MLP INDEX ETN | ALERIAN ML ETN | 46625H365 | 2,777 | 86,005 | SH | SOLE | NONE | 86,005 | 0 | 0 | |
FIRSTENERGY CORP COM | COM | 337932107 | 310 | 9,760 | SH | SOLE | NONE | 9,760 | 0 | 0 | |
XCEL ENERGY INC COM | COM | 98389B100 | 626 | 14,086 | SH | SOLE | NONE | 14,086 | 0 | 0 | |
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF | BLMBRG BRC CNVRT | 78464A359 | 8,381 | 174,246 | SH | SOLE | NONE | 174,246 | 0 | 0 | |
HOME DEPOT INC COM | COM | 437076102 | 359 | 2,451 | SH | SOLE | NONE | 2,451 | 0 | 0 | |
PIMCO 1-5 YEAR U.S. TIPS INDEX EXCHANGE-TRADED FUND | 1-5 US TIP IDX | 72201R205 | 276 | 5,229 | SH | SOLE | NONE | 5,229 | 0 | 0 | |
SPDR WELLS FARGO PREFERRED STOCK ETF | WELLS FG PFD ETF | 78464A292 | 565 | 12,865 | SH | SOLE | NONE | 12,865 | 0 | 0 | |
HEALTH CARE SELECT SECTOR SPDR FUND | SBI HEALTHCARE | 81369Y209 | 1,342 | 18,050 | SH | SOLE | NONE | 18,050 | 0 | 0 | |
LIBERTY MEDIA CORP 4 11/15/2029 | DEB 4.000%11/1 | 530715AG6 | 5 | 10,000 | SH | SOLE | NONE | 10,000 | 0 | 0 | |
CONSUMER STAPLES SELECT SECTOR SPDR FUND | SBI CONS STPLS | 81369Y308 | 1,527 | 27,980 | SH | SOLE | NONE | 27,980 | 0 | 0 | |
ISHARES S&P SMALL-CAP FUND | CORE S&P SCP ETF | 464287804 | 4,244 | 61,365 | SH | SOLE | NONE | 61,365 | 0 | 0 | |
VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND | SHRT TRM CORP BD | 92206C409 | 7,894 | 98,999 | SH | SOLE | NONE | 98,999 | 0 | 0 | |
VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF | INT-TERM CORP | 92206C870 | 536 | 6,209 | SH | SOLE | NONE | 6,209 | 0 | 0 | |
MICROSOFT CORP COM | COM | 594918104 | 248 | 3,769 | SH | SOLE | NONE | 3,769 | 0 | 0 | |
UBS E-TRACS ALERIAN MLP INFRASTRUCTURE ETN | ALERIAN INFRST | 902641646 | 245 | 8,408 | SH | SOLE | NONE | 8,408 | 0 | 0 | |
SCHLUMBERGER LTD COM | COM | 806857108 | 222 | 2,853 | SH | SOLE | NONE | 2,853 | 0 | 0 | |
CVS HEALTH CORP COM | COM | 126650100 | 233 | 2,969 | SH | SOLE | NONE | 2,969 | 0 | 0 | |
BOEING CO COM | COM | 097023105 | 833 | 4,711 | SH | SOLE | NONE | 4,711 | 0 | 0 | |
NIKE INC CL B | CL B | 654106103 | 290 | 5,208 | SH | SOLE | NONE | 5,208 | 0 | 0 | |
FINANCIAL SELECT SECTOR SPDR FUND | SBI INT-FINL | 81369Y605 | 823 | 34,686 | SH | SOLE | NONE | 34,686 | 0 | 0 | |
NORFOLK SOUTHERN CORP COM | COM | 655844108 | 459 | 4,100 | SH | SOLE | NONE | 4,100 | 0 | 0 | |
ALERIAN MLP ETF | ALERIAN MLP | 00162Q866 | 5,178 | 407,460 | SH | SOLE | NONE | 407,460 | 0 | 0 | |
TEMPLETON GLOBAL INCOME FD COM | COM | 880198106 | 4,031 | 606,224 | SH | SOLE | NONE | 606,224 | 0 | 0 | |
POWERSHARES INTERNATIONAL CORPORATE BOND PORTFOLIO ETF | INTL CORP BOND | 73936Q835 | 2,702 | 108,184 | SH | SOLE | NONE | 108,184 | 0 | 0 | |
SPDR BLOOMBERG BARCLAYS INTERNATIONAL CORPORATE BOND ETF | BLOMBRG BRC INTL | 78464A151 | 1,906 | 60,913 | SH | SOLE | NONE | 60,913 | 0 | 0 | |
GABELLI CONV&INCOM SECS FD INC COM | COM | 36240B109 | 1,404 | 286,141 | SH | SOLE | NONE | 286,141 | 0 | 0 | |
TEMPLETON EMERG MKTS INCOME FD COM | COM | 880192109 | 672 | 59,872 | SH | SOLE | NONE | 59,872 | 0 | 0 | |
WESTERN ASSET HIGH INCM FD II COM | COM | 95766J102 | 1,863 | 258,162 | SH | SOLE | NONE | 258,162 | 0 | 0 | |
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 746 | 5,431 | SH | SOLE | NONE | 5,431 | 0 | 0 | |
DIGITAL RLTY TR INC COM | COM | 253868103 | 662 | 6,222 | SH | SOLE | NONE | 6,222 | 0 | 0 | |
VISA INC COM CL A | COM CL A | 92826C839 | 571 | 6,429 | SH | SOLE | NONE | 6,429 | 0 | 0 | |
VANGUARD VALUE INDEX FUND | VALUE ETF | 922908744 | 467 | 4,898 | SH | SOLE | NONE | 4,898 | 0 | 0 | |
VANGUARD GROWTH INDEX FUND | GROWTH ETF | 922908736 | 534 | 4,397 | SH | SOLE | NONE | 4,397 | 0 | 0 | |
SPIRE INC COM | COM | 84857L101 | 647 | 9,597 | SH | SOLE | NONE | 9,597 | 0 | 0 | |
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF | CORE S&P TTL STK | 464287150 | 735 | 13,606 | SH | SOLE | NONE | 13,606 | 0 | 0 | |
PIONEER HIGH INCOME TR COM | COM | 72369H106 | 464 | 47,036 | SH | SOLE | NONE | 47,036 | 0 | 0 | |
DUKE ENERGY CORP NEW COM NEW | COM NEW | 26441C204 | 377 | 4,606 | SH | SOLE | NONE | 4,606 | 0 | 0 | |
METLIFE INC COM | COM | 59156R108 | 626 | 11,861 | SH | SOLE | NONE | 11,861 | 0 | 0 | |
ISHARES 1-3 YEAR CREDIT BOND ETF | 1-3 YR CR BD ETF | 464288646 | 8,004 | 76,066 | SH | SOLE | NONE | 76,066 | 0 | 0 | |
ABBVIE INC COM | COM | 00287Y109 | 855 | 13,127 | SH | SOLE | NONE | 13,127 | 0 | 0 | |
MCDONALDS CORP COM | COM | 580135101 | 677 | 5,227 | SH | SOLE | NONE | 5,227 | 0 | 0 | |
CISCO SYS INC COM | COM | 17275R102 | 401 | 11,864 | SH | SOLE | NONE | 11,864 | 0 | 0 | |
ISHARES RUSSELL MID-CAP ETF | RUS MID CAP ETF | 464287499 | 356 | 1,903 | SH | SOLE | NONE | 1,903 | 0 | 0 | |
AT&T INC COM | COM | 00206R102 | 1,449 | 34,879 | SH | SOLE | NONE | 34,879 | 0 | 0 | |
ENERGY SELECT SECTOR SPDR FUND | SBI INT-ENERGY | 81369Y506 | 1,579 | 22,603 | SH | SOLE | NONE | 22,603 | 0 | 0 | |
MATERIALS SELECT SECTOR SPDR FUND | SBI MATERIALS | 81369Y100 | 601 | 11,468 | SH | SOLE | NONE | 11,468 | 0 | 0 | |
GENERAL ELECTRIC CO COM | COM | 369604103 | 1,083 | 36,365 | SH | SOLE | NONE | 36,365 | 0 | 0 | |
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF | IBOXX HI YD ETF | 464288513 | 517 | 5,892 | SH | SOLE | NONE | 5,892 | 0 | 0 | |
NUVEEN FLTNG RTE INCM OPP FD COM SHS | COM SHS | 6706EN100 | 688 | 58,624 | SH | SOLE | NONE | 58,624 | 0 | 0 | |
CONSUMER DISCRETIONARY SELECT SECTOR SPDR FUND | SBI CONS DISCR | 81369Y407 | 1,530 | 17,403 | SH | SOLE | NONE | 17,403 | 0 | 0 | |
INDUSTRIAL SELECT SECTOR SPDR FUND | SBI INT-INDS | 81369Y704 | 1,362 | 20,940 | SH | SOLE | NONE | 20,940 | 0 | 0 | |
CALAMOS CONV OPP AND INC FD SH BEN INT | SH BEN INT | 128117108 | 184 | 16,804 | SH | SOLE | NONE | 16,804 | 0 | 0 | |
ISHARES CORE S&P 500 ETF | CORE S&P500 ETF | 464287200 | 11,808 | 49,766 | SH | SOLE | NONE | 49,766 | 0 | 0 | |
ADVENT CLAYMORE CV SECS & INC COM | COM | 00764C109 | 4,258 | 271,911 | SH | SOLE | NONE | 271,911 | 0 | 0 | |
ARES CAP CORP 4.75 01/15/2018 | NOTE 4.750% 1/1 | 04010LAJ2 | 25 | 25,000 | SH | SOLE | NONE | 25,000 | 0 | 0 | |
WELLS FARGO & CO NEW COM | COM | 949746101 | 856 | 15,382 | SH | SOLE | NONE | 15,382 | 0 | 0 | |
UNION PAC CORP COM | COM | 907818108 | 219 | 2,072 | SH | SOLE | NONE | 2,072 | 0 | 0 | |
ISHARES U.S. PREFERRED STOCK ETF | U.S. PFD STK ETF | 464288687 | 8,184 | 211,490 | SH | SOLE | NONE | 211,490 | 0 | 0 | |
JPMORGAN CHASE & CO COM | COM | 46625H100 | 548 | 6,242 | SH | SOLE | NONE | 6,242 | 0 | 0 | |
CHEVRON CORP NEW COM | COM | 166764100 | 838 | 7,811 | SH | SOLE | NONE | 7,811 | 0 | 0 | |
VANGUARD FTSE DEVELOPED MARKETS ETF | FTSE DEV MKT ETF | 921943858 | 8,636 | 219,766 | SH | SOLE | NONE | 219,766 | 0 | 0 | |
WAL-MART STORES INC COM | COM | 931142103 | 1,303 | 18,083 | SH | SOLE | NONE | 18,083 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS COM | COM | 459200101 | 596 | 3,426 | SH | SOLE | NONE | 3,426 | 0 | 0 | |
UNITED TECHNOLOGIES CORP COM | COM | 913017109 | 332 | 2,962 | SH | SOLE | NONE | 2,962 | 0 | 0 | |
VANGUARD FTSE EMERGING MARKETS ETF | FTSE EMR MKT ETF | 922042858 | 2,836 | 71,421 | SH | SOLE | NONE | 71,421 | 0 | 0 | |
PFIZER INC COM | COM | 717081103 | 429 | 12,564 | SH | SOLE | NONE | 12,564 | 0 | 0 | |
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF | IBOXX INV CP ETF | 464287242 | 4,688 | 39,766 | SH | SOLE | NONE | 39,766 | 0 | 0 | |
3M CO COM | COM | 88579Y101 | 627 | 3,280 | SH | SOLE | NONE | 3,280 | 0 | 0 | |
CATERPILLAR INC DEL COM | COM | 149123101 | 429 | 4,625 | SH | SOLE | NONE | 4,625 | 0 | 0 | |
AMERICAN EXPRESS CO COM | COM | 025816109 | 578 | 7,316 | SH | SOLE | NONE | 7,316 | 0 | 0 | |
APPLIED MATLS INC COM | COM | 038222105 | 273 | 7,022 | SH | SOLE | NONE | 7,022 | 0 | 0 | |
ANALOG DEVICES INC COM | COM | 032654105 | 742 | 9,062 | SH | SOLE | NONE | 9,062 | 0 | 0 | |
POWERSHARES EMERGING MARKETS SOVEREIGN DEBT PORTFOLIO | SOVEREIGN DEBT | 73936T573 | 4,027 | 138,601 | SH | SOLE | NONE | 138,601 | 0 | 0 | |
ISHARES CORE U.S. AGGREGATE BOND ETF | CORE US AGGBD ET | 464287226 | 4,121 | 37,991 | SH | SOLE | NONE | 37,991 | 0 | 0 | |
DIVERSIFIED REAL ASSET INC FD COM SHS | COM SHS | 25533B108 | 661 | 38,148 | SH | SOLE | NONE | 38,148 | 0 | 0 | |
VANGUARD SHORT-TERM BOND INDEX FUND | SHORT TRM BOND | 921937827 | 3,663 | 45,956 | SH | SOLE | NONE | 45,956 | 0 | 0 | |
ARES CAP CORP 4.375 01/15/2019 | NOTE 4.375% 1/1 | 04010LAM5 | 45 | 45,000 | SH | SOLE | NONE | 45,000 | 0 | 0 | |
PHILIP MORRIS INTL INC COM | COM | 718172109 | 873 | 7,738 | SH | SOLE | NONE | 7,738 | 0 | 0 | |
SPDR BLOOMBERG BARCLAYS HIGH YIELD BOND ETF | BLOOMBERG BRCLYS | 78464A417 | 12,562 | 340,163 | SH | SOLE | NONE | 340,163 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO COM | COM | 110122108 | 816 | 15,015 | SH | SOLE | NONE | 15,015 | 0 | 0 | |
ALTRIA GROUP INC COM | COM | 02209S103 | 830 | 11,632 | SH | SOLE | NONE | 11,632 | 0 | 0 | |
ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF | JP MOR EM MK ETF | 464288281 | 283 | 2,495 | SH | SOLE | NONE | 2,495 | 0 | 0 | |
EXXON MOBIL CORP COM | COM | 30231G102 | 1,707 | 20,820 | SH | SOLE | NONE | 20,820 | 0 | 0 | |
PRICE T ROWE GROUP INC COM | COM | 74144T108 | 577 | 8,475 | SH | SOLE | NONE | 8,475 | 0 | 0 | |
COLGATE PALMOLIVE CO COM | COM | 194162103 | 310 | 4,241 | SH | SOLE | NONE | 4,241 | 0 | 0 | |
UTILITIES SELECT SECTOR SPDR FUND | SBI INT-UTILS | 81369Y886 | 679 | 13,235 | SH | SOLE | NONE | 13,235 | 0 | 0 | |
ISHARES S&P MIDCAP FUND | CORE S&P MCP ETF | 464287507 | 8,415 | 49,149 | SH | SOLE | NONE | 49,149 | 0 | 0 | |
ISHARES MSCI EAFE ETF | MSCI EAFE ETF | 464287465 | 1,742 | 27,972 | SH | SOLE | NONE | 27,972 | 0 | 0 | |
APPLE INC COM | COM | 037833100 | 1,396 | 9,720 | SH | SOLE | NONE | 9,720 | 0 | 0 | |
ABBOTT LABS COM | COM | 002824100 | 343 | 7,729 | SH | SOLE | NONE | 7,729 | 0 | 0 | |
DISNEY WALT CO COM DISNEY | COM DISNEY | 254687106 | 220 | 1,946 | SH | SOLE | NONE | 1,946 | 0 | 0 |