Chief Compliance Officer

0001172661-20-001577.txt : 20200803 0001172661-20-001577.hdr.sgml : 20200803 20200803154520 ACCESSION NUMBER: 0001172661-20-001577 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200803 DATE AS OF CHANGE: 20200803 EFFECTIVENESS DATE: 20200803 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regal Investment Advisors LLC CENTRAL INDEX KEY: 0001559789 IRS NUMBER: 223844414 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15474 FILM NUMBER: 201069134 BUSINESS ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 BUSINESS PHONE: 616-224-2204 MAIL ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 FORMER COMPANY: FORMER CONFORMED NAME: Regal Investment Advisors, LLC DATE OF NAME CHANGE: 20121005 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001559789 XXXXXXXX 06-30-2020 06-30-2020 false Regal Investment Advisors LLC

2687 44th Street Se Kentwood MI 49512

13F HOLDINGS REPORT 028-15474 N Brian Yarch Chief Compliance Officer 616-224-2204 /s/ Brian Yarch Kentwood MI 08-03-2020 0 330 545466 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 2155 13815 SH SOLE 0 0 13815 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 265 1236 SH SOLE 0 0 1236 EXELIXIS INC COM 30161Q104 765 32231 SH SOLE 0 0 32231 EXELON CORP COM 30161N101 661 18221 SH SOLE 0 0 18221 EXTREME NETWORKS INC COM 30226D106 74 16940 SH SOLE 0 0 16940 EXXON MOBIL CORP COM 30231G102 1546 34582 SH SOLE 0 0 34582 EXXON MOBIL CORP COM 30231G102 4 100 SH Call SOLE 0 0 100 FACEBOOK INC CL A 30303M102 2624 11558 SH SOLE 0 0 11558 FASTLY INC CL A 31188V100 1311 15399 SH SOLE 0 0 15399 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 224 2629 SH SOLE 0 0 2629 FEDEX CORP COM 31428X106 417 2976 SH SOLE 0 0 2976 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 7948 20317 SH SOLE 0 0 20317 FIDELITY COVINGTON TR MSCI HLTH CARE I 316092600 417 8374 SH SOLE 0 0 8374 FIDELITY COVINGTON TR MSCI UTILS INDEX 316092865 312 8552 SH SOLE 0 0 8552 FIFTH THIRD BANCORP COM 316773100 667 34617 SH SOLE 0 0 34617 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 717 13026 SH SOLE 0 0 13026 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 749 40656 SH SOLE 0 0 40656 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 3511 47122 SH SOLE 0 0 47122 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 325 8700 SH SOLE 0 0 8700 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 843 18299 SH SOLE 0 0 18299 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 68 10384 SH SOLE 0 0 10384 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 1143 44829 SH SOLE 0 0 44829 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 3305 36640 SH SOLE 0 0 36640 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 428 11297 SH SOLE 0 0 11297 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 323 3868 SH SOLE 0 0 3868 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 343 13301 SH SOLE 0 0 13301 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 3423 106407 SH SOLE 0 0 106407 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 290 6333 SH SOLE 0 0 6333 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1375 26602 SH SOLE 0 0 26602 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 1582 37913 SH SOLE 0 0 37913 FIRST TR EXCHANGE-TRADED FD NASDQ SEMCNDTR 33738R811 236 5378 SH SOLE 0 0 5378 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 358 17950 SH SOLE 0 0 17950 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 3297 60183 SH SOLE 0 0 60183 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 312 12116 SH SOLE 0 0 12116 FIRST TR EXCHNG TRADED FD VI US EQT BUFFER 33740F763 552 18785 SH SOLE 0 0 18785 FIRST TR EXCHNG TRADED FD VI VEST US BUFFER 33740F862 5362 174595 SH SOLE 0 0 174595 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 3789 83339 SH SOLE 0 0 83339 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 373 6272 SH SOLE 0 0 6272 FIRST TR MORNINGSTAR DIVID L SHS 336917109 388 15284 SH SOLE 0 0 15284 FIRST TR NASDAQ-100 TECH IND CAP STRENGTH ETF 33733E104 12159 208139 SH SOLE 0 0 208139 FIRST TR NASDAQ-100 TECH IND DJ INTERNT IDX 33733E302 4774 27997 SH SOLE 0 0 27997 FIRST TR NASDAQ-100 TECH IND NY ARCA BIOTECH 33733E203 795 4736 SH SOLE 0 0 4736 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3393 62498 SH SOLE 0 0 62498 FIRST TR VALUE LINE DIVID IN SHS 33734H106 298 9843 SH SOLE 0 0 9843 FIRST TRUST PORTFOLIOS LP SHS 337345102 1686 15456 SH SOLE 0 0 15456 FISERV INC COM 337738108 1296 13279 SH SOLE 0 0 13279 FITBIT INC CL A 33812L102 98 15095 SH SOLE 0 0 15095 FLEETCOR TECHNOLOGIES INC COM 339041105 210 834 SH SOLE 0 0 834 FLEXIBLE SOLUTIONS INTL INC COM 33938T104 23 11260 SH SOLE 0 0 11260 FORD MTR CO DEL COM 345370860 697 114620 SH SOLE 0 0 114620 FS KKR CAP CORP II COM 35952V303 197 15303 SH SOLE 0 0 15303 FS KKR CAPITAL CORP COM 302635206 240 17152 SH SOLE 0 0 17152 GENERAL ELECTRIC CO COM 369604103 278 40632 SH SOLE 0 0 40632 GENERAL MLS INC COM 370334104 974 15793 SH SOLE 0 0 15793 GENUINE PARTS CO COM 372460105 427 4915 SH SOLE 0 0 4915 GILEAD SCIENCES INC COM 375558103 1514 19673 SH SOLE 0 0 19673 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 857 21021 SH SOLE 0 0 21021 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 41 1000 SH Call SOLE 0 0 1000 GLOBAL X FDS GBL X MSCI PT ET 37950E192 150 16227 SH SOLE 0 0 16227 GLOBAL X FDS SUPER DIV ALTR 37954Y806 462 42860 SH SOLE 0 0 42860 GOLDMAN SACHS BDC INC SHS 38147U107 266 16400 SH SOLE 0 0 16400 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 816 8120 SH SOLE 0 0 8120 GOLDMAN SACHS GROUP INC COM 38141G104 444 2246 SH SOLE 0 0 2246 GRUPO TELEVISA SA SPON ADR REP ORD 40049J206 63 11933 SH SOLE 0 0 11933 GUIDEWIRE SOFTWARE INC COM 40171V100 1559 14065 SH SOLE 0 0 14065 HEALTHPEAK PROPERTIES INC COM 42250P103 331 12019 SH SOLE 0 0 12019 HOME DEPOT INC COM 437076102 1105 4411 SH SOLE 0 0 4411 HONEYWELL INTL INC COM 438516106 451 3121 SH SOLE 0 0 3121 HORIZON THERAPEUTICS PUB LTD SHS G46188101 215 3871 SH SOLE 0 0 3871 HUNTINGTON BANCSHARES INC COM 446150104 226 25031 SH SOLE 0 0 25031 INDEPENDENT BK CORP MICH COM NEW 453838609 222 14979 SH SOLE 0 0 14979 INGREDION INC COM 457187102 1346 16213 SH SOLE 0 0 16213 INNOVATOR ETFS TR MSCI EAFE PWR 45782C722 239 10572 SH SOLE 0 0 10572 INNOVATOR ETFS TR S&P 500 POWER 45782C508 882 31500 SH SOLE 0 0 31500 INNOVATOR ETFS TR S&P 500 PWR 45782C813 239 8930 SH SOLE 0 0 8930 INTEL CORP COM 458140100 3470 57997 SH SOLE 0 0 57997 INTERNATIONAL BUSINESS MACHS COM 459200101 706 5843 SH SOLE 0 0 5843 INVESCO DB US DLR INDEX TR BULLISH FD 46141D203 344 13078 SH SOLE 0 0 13078 INVESCO EXCH TRADED FD TR II CEF INM COMPSI 46138E404 312 15691 SH SOLE 0 0 15691 INVESCO EXCH TRADED FD TR II KBW HIG DV YLD 46138E610 238 17572 SH SOLE 0 0 17572 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 473 33483 SH SOLE 0 0 33483 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 207 6274 SH SOLE 0 0 6274 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 365 20390 SH SOLE 0 0 20390 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 392 2208 SH SOLE 0 0 2208 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 525 2363 SH SOLE 0 0 2363 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 227 2228 SH SOLE 0 0 2228 INVESCO QQQ TR UNIT SER 1 46090E103 10760 43456 SH SOLE 0 0 43456 ISHARES GOLD TRUST ISHARES 464285105 836 49218 SH SOLE 0 0 49218 ISHARES INC ESG MSCI EM ETF 46434G863 1615 50328 SH SOLE 0 0 50328 ISHARES INC MIN VOL GBL ETF 464286525 8855 101113 SH SOLE 0 0 101113 ISHARES INC MSCI EMRG CHN 46434G764 350 8162 SH SOLE 0 0 8162 ISHARES INC MSCI FRNTR100ETF 464286145 848 35048 SH SOLE 0 0 35048 ISHARES INC MSCI TAIWAN ETF 46434G772 241 5993 SH SOLE 0 0 5993 ISHARES SILVER TR ISHARES 46428Q109 293 17248 SH SOLE 0 0 17248 ISHARES TR 0-5YR HI YL CP 46434V407 298 6939 SH SOLE 0 0 6939 ISHARES TR 1 3 YR TREAS BD 464287457 335 3868 SH SOLE 0 0 3868 ISHARES TR 20 YR TR BD ETF 464287432 1847 11269 SH SOLE 0 0 11269 ISHARES TR CORE HIGH DV ETF 46429B663 1504 18529 SH SOLE 0 0 18529 ISHARES TR CORE INTL AGGR 46435G672 5639 101273 SH SOLE 0 0 101273 ISHARES TR CORE MSCI EAFE 46432F842 3624 63406 SH SOLE 0 0 63406 ISHARES TR CORE S&P MCP ETF 464287507 3009 16923 SH SOLE 0 0 16923 ISHARES TR CORE S&P SCP ETF 464287804 6730 98550 SH SOLE 0 0 98550 ISHARES TR CORE S&P TTL STK 464287150 8939 128724 SH SOLE 0 0 128724 ISHARES TR CORE S&P US VLU 464287663 1366 26154 SH SOLE 0 0 26154 ISHARES TR CORE S&P500 ETF 464287200 32136 103768 SH SOLE 0 0 103768 ISHARES TR CORE US AGGBD ET 464287226 4023 34036 SH SOLE 0 0 34036 ISHARES TR EAFE GRWTH ETF 464288885 2493 29995 SH SOLE 0 0 29995 ISHARES TR EAFE SML CP ETF 464288273 2196 40952 SH SOLE 0 0 40952 ISHARES TR EDGE MSCI USA VL 46432F388 1083 14988 SH SOLE 0 0 14988 ISHARES TR ESG MSCI USA ETF 46435G425 3649 52138 SH SOLE 0 0 52138 ISHARES TR EXPANDED TECH 464287515 219 771 SH SOLE 0 0 771 ISHARES TR FLTG RATE NT ETF 46429B655 3475 68685 SH SOLE 0 0 68685 ISHARES TR GLOBAL TECH ETF 464287291 1011 4293 SH SOLE 0 0 4293 ISHARES TR IBOXX HI YD ETF 464288513 681 8339 SH SOLE 0 0 8339 ISHARES TR IBOXX INV CP ETF 464287242 16714 124269 SH SOLE 0 0 124269 ISHARES TR INTRM GOV CR ETF 464288612 201 1705 SH SOLE 0 0 1705 ISHARES TR JPMORGAN USD EMG 464288281 455 4167 SH SOLE 0 0 4167 ISHARES TR MBS ETF 464288588 1234 11147 SH SOLE 0 0 11147 ISHARES TR MICRO-CAP ETF 464288869 1582 18131 SH SOLE 0 0 18131 ISHARES TR MIN VOL EAFE ETF 46429B689 908 13751 SH SOLE 0 0 13751 ISHARES TR MORTGE REL ETF 46435G342 614 24700 SH SOLE 0 0 24700 ISHARES TR MSCI ACWI ETF 464288257 280 3797 SH SOLE 0 0 3797 ISHARES TR MSCI EAFE ETF 464287465 348 5711 SH SOLE 0 0 5711 ISHARES TR MSCI EMG MKT ETF 464287234 6670 166782 SH SOLE 0 0 166782 ISHARES TR MSCI KLD400 SOC 464288570 346 2935 SH SOLE 0 0 2935 ISHARES TR MSCI MIN VOL ETF 46429B697 9328 153846 SH SOLE 0 0 153846 ISHARES TR NASDAQ BIOTECH 464287556 342 2506 SH SOLE 0 0 2506 ISHARES TR NATIONAL MUN ETF 464288414 4029 34912 SH SOLE 0 0 34912 ISHARES TR PFD AND INCM SEC 464288687 9099 262673 SH SOLE 0 0 262673 ISHARES TR PHLX SEMICND ETF 464287523 1637 6044 SH SOLE 0 0 6044 ISHARES TR RUS 1000 ETF 464287622 215 1250 SH SOLE 0 0 1250 ISHARES TR RUS 1000 GRW ETF 464287614 6097 31763 SH SOLE 0 0 31763 ISHARES TR RUS 1000 VAL ETF 464287598 206 1830 SH SOLE 0 0 1830 ISHARES TR RUS 2000 VAL ETF 464287630 449 4605 SH SOLE 0 0 4605 ISHARES TR RUS MD CP GR ETF 464287481 635 4016 SH SOLE 0 0 4016 ISHARES TR RUSSELL 2000 ETF 464287655 1753 12242 SH SOLE 0 0 12242 ISHARES TR S&P 100 ETF 464287101 1386 9734 SH SOLE 0 0 9734 ISHARES TR S&P 500 GRWT ETF 464287309 1201 5789 SH SOLE 0 0 5789 ISHARES TR S&P 500 VAL ETF 464287408 386 3566 SH SOLE 0 0 3566 ISHARES TR S&P SML 600 GWT 464287887 582 3426 SH SOLE 0 0 3426 ISHARES TR SELECT DIVID ETF 464287168 890 11024 SH SOLE 0 0 11024 ISHARES TR SH TR CRPORT ETF 464288646 966 17656 SH SOLE 0 0 17656 ISHARES TR SHORT TREAS BD 464288679 225 2033 SH SOLE 0 0 2033 ISHARES TR SP SMCP600VL ETF 464287879 315 2614 SH SOLE 0 0 2614 ISHARES TR TIPS BD ETF 464287176 918 7465 SH SOLE 0 0 7465 ISHARES TR U.S. FIN SVC ETF 464287770 638 5344 SH SOLE 0 0 5344 ISHARES TR U.S. FINLS ETF 464287788 235 2130 SH SOLE 0 0 2130 ISHARES TR U.S. MED DVC ETF 464288810 1784 6739 SH SOLE 0 0 6739 ISHARES TR U.S. REAL ES ETF 464287739 667 8469 SH SOLE 0 0 8469 ISHARES TR U.S. TECH ETF 464287721 877 3251 SH SOLE 0 0 3251 ISHARES TR US HLTHCARE ETF 464287762 577 2674 SH SOLE 0 0 2674 ISHARES TR US TREAS BD ETF 46429B267 3253 116202 SH SOLE 0 0 116202 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 250 4998 SH SOLE 0 0 4998 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 2151 42795 SH SOLE 0 0 42795 JOHNSON & JOHNSON COM 478160104 8804 62607 SH SOLE 0 0 62607 JONES LANG LASALLE INC COM 48020Q107 1032 9978 SH SOLE 0 0 9978 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1330 100782 SH SOLE 0 0 100782 JPMORGAN CHASE & CO COM 46625H100 1655 17590 SH SOLE 0 0 17590 KELLOGG CO COM 487836108 460 6965 SH SOLE 0 0 6965 KIMBERLY CLARK CORP COM 494368103 2566 18153 SH SOLE 0 0 18153 KINDER MORGAN INC DEL COM 49456B101 409 26966 SH SOLE 0 0 26966 LA Z BOY INC COM 505336107 2973 109856 SH SOLE 0 0 109856 LAM RESEARCH CORP COM 512807108 369 1142 SH SOLE 0 0 1142 LEGGETT & PLATT INC COM 524660107 1333 37935 SH SOLE 0 0 37935 LILLY ELI & CO COM 532457108 678 4129 SH SOLE 0 0 4129 LOWES COS INC COM 548661107 759 5614 SH SOLE 0 0 5614 LULULEMON ATHLETICA INC COM 550021109 219 701 SH SOLE 0 0 701 LYFT INC CL A COM 55087P104 244 7390 SH SOLE 0 0 7390 MASTERCARD INCORPORATED CL A 57636Q104 690 2334 SH SOLE 0 0 2334 MCDONALDS CORP COM 580135101 3743 20290 SH SOLE 0 0 20290 MEDTRONIC PLC SHS G5960L103 4494 49010 SH SOLE 0 0 49010 MERCK & CO. INC COM 58933Y105 676 8745 SH SOLE 0 0 8745 MICROCHIP TECHNOLOGY INC. COM 595017104 1703 16170 SH SOLE 0 0 16170 MICROSOFT CORP COM 594918104 13803 67823 SH SOLE 0 0 67823 MONGODB INC CL A 60937P106 422 1866 SH SOLE 0 0 1866 MORGAN STANLEY COM NEW 617446448 315 6520 SH SOLE 0 0 6520 NAVIENT CORPORATION COM 63938C108 115 16425 SH SOLE 0 0 16425 NETFLIX INC COM 64110L106 344 757 SH SOLE 0 0 757 NEUROCRINE BIOSCIENCES INC COM 64125C109 213 1743 SH SOLE 0 0 1743 NEWMONT CORP COM 651639106 226 3660 SH SOLE 0 0 3660 NEXTERA ENERGY INC COM 65339F101 376 1564 SH SOLE 0 0 1564 NIKE INC CL B 654106103 490 5002 SH SOLE 0 0 5002 NORTHROP GRUMMAN CORP COM 666807102 1217 3960 SH SOLE 0 0 3960 NOVARTIS AG SPONSORED ADR 66987V109 298 3410 SH SOLE 0 0 3410 NUCOR CORP COM 670346105 385 9294 SH SOLE 0 0 9294 NUSTAR ENERGY LP UNIT COM 67058H102 327 22900 SH SOLE 0 0 22900 NUTANIX INC CL A 67059N108 638 26907 SH SOLE 0 0 26907 NUVEEN MUN VALUE FD INC COM 670928100 275 26954 SH SOLE 0 0 26954 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 491 33286 SH SOLE 0 0 33286 NUVEEN SELECT TAX FREE INCOM SH BEN INT 67063C106 210 13994 SH SOLE 0 0 13994 NVIDIA CORPORATION COM 67066G104 2928 7708 SH SOLE 0 0 7708 ORACLE CORP COM 68389X105 289 5235 SH SOLE 0 0 5235 OSI ETF TR OSHARES US QUALT 67110P407 1417 42830 SH SOLE 0 0 42830 OSI ETF TR OSHARES US SMLCP 67110P100 290 11618 SH SOLE 0 0 11618 PAYPAL HLDGS INC COM 70450Y103 790 4532 SH SOLE 0 0 4532 PEPSICO INC COM 713448108 2018 15259 SH SOLE 0 0 15259 PFIZER INC COM 717081103 5672 173450 SH SOLE 0 0 173450 PHILLIPS 66 COM 718546104 223 3108 SH SOLE 0 0 3108 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 243 13159 SH SOLE 0 0 13159 PIMCO DYNAMIC INCOME FD SHS 72201Y101 256 10358 SH SOLE 0 0 10358 PNC FINL SVCS GROUP INC COM 693475105 898 8540 SH SOLE 0 0 8540 PROCTER AND GAMBLE CO COM 742718109 9367 78337 SH SOLE 0 0 78337 PROGRESSIVE CORP OHIO COM 743315103 206 2567 SH SOLE 0 0 2567 PROSHARES TR PSHS ULT S&P 500 74347R107 280 2238 SH SOLE 0 0 2238 PROSHARES TR PSHS ULTRA DOW30 74347R305 268 6660 SH SOLE 0 0 6660 PROSHARES TR PSHS ULTRA QQQ 74347R206 296 2003 SH SOLE 0 0 2003 PROSHARES TR II ULTA BLMBG 2017 74347Y888 240 8364 SH SOLE 0 0 8364 PROSPECT CAP CORP COM 74348T102 55 10765 SH SOLE 0 0 10765 PULTE GROUP INC COM 745867101 219 6426 SH SOLE 0 0 6426 QUALCOMM INC COM 747525103 589 6462 SH SOLE 0 0 6462 RAYTHEON TECHNOLOGIES CORP COM 75513E101 1741 28249 SH SOLE 0 0 28249 REALTY INCOME CORP COM 756109104 253 4260 SH SOLE 0 0 4260 REPUBLIC SVCS INC COM 760759100 205 2493 SH SOLE 0 0 2493 ROCKWELL AUTOMATION INC COM 773903109 214 1006 SH SOLE 0 0 1006 ROYAL BK CDA COM 780087102 271 3990 SH SOLE 0 0 3990 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 293 5823 SH SOLE 0 0 5823 SALESFORCE COM INC COM 79466L302 2414 12885 SH SOLE 0 0 12885 SANOFI SPONSORED ADR 80105N105 491 9618 SH SOLE 0 0 9618 SCHWAB CHARLES CORP COM 808513105 1007 29848 SH SOLE 0 0 29848 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 6772 130852 SH SOLE 0 0 130852 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 514 10258 SH SOLE 0 0 10258 SEAGATE TECHNOLOGY PLC SHS G7945M107 622 12843 SH SOLE 0 0 12843 SELECT SECTOR SPDR TR ENERGY 81369Y506 340 8982 SH SOLE 0 0 8982 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 804 8038 SH SOLE 0 0 8038 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 287 12414 SH SOLE 0 0 12414 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 417 7383 SH SOLE 0 0 7383 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2169 20757 SH SOLE 0 0 20757 SERVICENOW INC COM 81762P102 294 727 SH SOLE 0 0 727 SHERWIN WILLIAMS CO COM 824348106 599 1037 SH SOLE 0 0 1037 SHOPIFY INC CL A 82509L107 3534 3723 SH SOLE 0 0 3723 SILVERCORP METALS INC COM 82835P103 115 21346 SH SOLE 0 0 21346 SIRIUS XM HOLDINGS INC COM 82968B103 167 28514 SH SOLE 0 0 28514 SOUTHERN CO COM 842587107 860 16592 SH SOLE 0 0 16592 SOUTHWEST AIRLS CO COM 844741108 204 5977 SH SOLE 0 0 5977 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 375 1454 SH SOLE 0 0 1454 SPDR GOLD TR GOLD SHS 78463V107 3902 23312 SH SOLE 0 0 23312 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 1223 33113 SH SOLE 0 0 33113 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 3308 98856 SH SOLE 0 0 98856 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 267 2542 SH SOLE 0 0 2542 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 362 8856 SH SOLE 0 0 8856 SPDR S&P 500 ETF TR TR UNIT 78462F103 11631 37720 SH SOLE 0 0 37720 SPDR S&P 500 ETF TR TR UNIT 78462F103 62 200 SH Call SOLE 0 0 200 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 387 1194 SH SOLE 0 0 1194 SPDR SER TR BLOOMBERG BRCLYS 78468R622 4983 49262 SH SOLE 0 0 49262 SPDR SER TR BLOOMBERG SRT TR 78468R408 441 17483 SH SOLE 0 0 17483 SPDR SER TR NUVEEN BBG BRCLY 78464A284 520 9226 SH SOLE 0 0 9226 SPDR SER TR NUVEEN BLMBRG SR 78468R739 1055 21161 SH SOLE 0 0 21161 SPDR SER TR PORTFLI INTRMDIT 78464A672 1397 42044 SH SOLE 0 0 42044 SPDR SER TR PRTFLO S&P500 GW 78464A409 4270 95061 SH SOLE 0 0 95061 SPDR SER TR PRTFLO S&P500 VL 78464A508 386 13326 SH SOLE 0 0 13326 SPDR SER TR S&P 400 MDCP GRW 78464A821 227 4220 SH SOLE 0 0 4220 SPDR SER TR S&P BIOTECH 78464A870 247 2205 SH SOLE 0 0 2205 SPDR SER TR WELLS FG PFD ETF 78464A292 321 7675 SH SOLE 0 0 7675 SPLUNK INC COM 848637104 347 1745 SH SOLE 0 0 1745 SQUARE INC CL A 852234103 1559 14859 SH SOLE 0 0 14859 SSGA ACTIVE ETF TR MULT ASS RLRTN 78467V103 2183 102676 SH SOLE 0 0 102676 STARBUCKS CORP COM 855244109 481 6532 SH SOLE 0 0 6532 STEEL DYNAMICS INC COM 858119100 853 32681 SH SOLE 0 0 32681 STORE CAP CORP COM 862121100 644 27059 SH SOLE 0 0 27059 SYNNEX CORP COM 87162W100 435 3633 SH SOLE 0 0 3633 SYSCO CORP COM 871829107 852 15579 SH SOLE 0 0 15579 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 350 2506 SH SOLE 0 0 2506 TARGET CORP COM 87612E106 2857 23826 SH SOLE 0 0 23826 TCW STRATEGIC INCOME FD INC COM 872340104 130 23833 SH SOLE 0 0 23833 TESLA INC COM 88160R101 441 408 SH SOLE 0 0 408 TJX COS INC NEW COM 872540109 226 4461 SH SOLE 0 0 4461 TORONTO DOMINION BK ONT COM NEW 891160509 286 6412 SH SOLE 0 0 6412 TRANSDIGM GROUP INC COM 893641100 213 482 SH SOLE 0 0 482 TWILIO INC CL A 90138F102 938 4274 SH SOLE 0 0 4274 TWITTER INC COM 90184L102 241 8091 SH SOLE 0 0 8091 UBER TECHNOLOGIES INC COM 90353T100 234 7517 SH SOLE 0 0 7517 UBS AG LONDON BRANCH ETRACS WF BUS DE 90274D416 654 46767 SH SOLE 0 0 46767 UNDER ARMOUR INC CL A 904311107 141 14438 SH SOLE 0 0 14438 UNILEVER PLC SPON ADR NEW 904767704 206 3747 SH SOLE 0 0 3747 UNION PAC CORP COM 907818108 276 1634 SH SOLE 0 0 1634 UNITED PARCEL SERVICE INC CL B 911312106 691 6214 SH SOLE 0 0 6214 UNITED STATES STL CORP NEW COM 912909108 225 31195 SH SOLE 0 0 31195 UNITEDHEALTH GROUP INC COM 91324P102 708 2399 SH SOLE 0 0 2399 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 579 9771 SH SOLE 0 0 9771 VANECK VECTORS ETF TR MTG REIT INCOME 92189F452 326 24227 SH SOLE 0 0 24227 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 248 1626 SH SOLE 0 0 1626 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 331 3169 SH SOLE 0 0 3169 VANGUARD BD INDEX FDS INTERMED TERM 921937819 328 3519 SH SOLE 0 0 3519 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 4775 57451 SH SOLE 0 0 57451 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 4920 55691 SH SOLE 0 0 55691 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 897 15543 SH SOLE 0 0 15543 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1569 13254 SH SOLE 0 0 13254 VANGUARD INDEX FDS GROWTH ETF 922908736 7514 37183 SH SOLE 0 0 37183 VANGUARD INDEX FDS LARGE CAP ETF 922908637 238 1661 SH SOLE 0 0 1661 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 3491 21146 SH SOLE 0 0 21146 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2912 30430 SH SOLE 0 0 30430 VANGUARD INDEX FDS MID CAP ETF 922908629 2825 17237 SH SOLE 0 0 17237 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4196 53434 SH SOLE 0 0 53434 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1096 3867 SH SOLE 0 0 3867 VANGUARD INDEX FDS SM CP VAL ETF 922908611 852 7966 SH SOLE 0 0 7966 VANGUARD INDEX FDS SMALL CP ETF 922908751 2598 17825 SH SOLE 0 0 17825 VANGUARD INDEX FDS SML CP GRW ETF 922908595 277 1390 SH SOLE 0 0 1390 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3212 20519 SH SOLE 0 0 20519 VANGUARD INDEX FDS VALUE ETF 922908744 6247 62731 SH SOLE 0 0 62731 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 346 7263 SH SOLE 0 0 7263 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5343 134892 SH SOLE 0 0 134892 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1481 15328 SH SOLE 0 0 15328 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 566 12141 SH SOLE 0 0 12141 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 537 10696 SH SOLE 0 0 10696 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1394 14647 SH SOLE 0 0 14647 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1785 16796 SH SOLE 0 0 16796 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 1046 19234 SH SOLE 0 0 19234 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 537 6491 SH SOLE 0 0 6491 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 7494 63949 SH SOLE 0 0 63949 VANGUARD STAR FDS VG TL INTL STK F 921909768 350 7124 SH SOLE 0 0 7124 VANGUARD TAX-MANAGED FDS FTSE DEV MKT ETF 921943858 10142 261471 SH SOLE 0 0 261471 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 2009 25842 SH SOLE 0 0 25842 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 2102 26686 SH SOLE 0 0 26686 VANGUARD WORLD FD MEGA GRWTH IND 921910816 205 1252 SH SOLE 0 0 1252 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 246 4299 SH SOLE 0 0 4299 VANGUARD WORLD FDS INF TECH ETF 92204A702 851 3054 SH SOLE 0 0 3054 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1116 9025 SH SOLE 0 0 9025 VERIZON COMMUNICATIONS INC COM 92343V104 2656 48180 SH SOLE 0 0 48180 VERIZON COMMUNICATIONS INC COM 92343V104 55 1000 SH Call SOLE 0 0 1000 VERTEX PHARMACEUTICALS INC COM 92532F100 371 1279 SH SOLE 0 0 1279 VIACOMCBS INC CL B 92556H206 1643 70475 SH SOLE 0 0 70475 VISA INC COM CL A 92826C839 1675 8672 SH SOLE 0 0 8672 WALMART INC COM 931142103 2585 21579 SH SOLE 0 0 21579 WASTE MGMT INC DEL COM 94106L109 2138 20188 SH SOLE 0 0 20188 WEC ENERGY GROUP INC COM 92939U106 209 2386 SH SOLE 0 0 2386 WELLS FARGO CO NEW COM 949746101 211 8249 SH SOLE 0 0 8249 WESTERN ASSET MTG DEFINED OP COM 95790B109 450 30674 SH SOLE 0 0 30674 WISDOMTREE TR EMER MKT HIGH FD 97717W315 1019 28204 SH SOLE 0 0 28204 WISDOMTREE TR YIELD ENHANCD US 97717X511 998 18544 SH SOLE 0 0 18544 WW INTL INC COM 98262P101 315 12400 SH SOLE 0 0 12400