Compliance Operations Manager

0001597298-22-000004.txt : 20220523 0001597298-22-000004.hdr.sgml : 20220523 20220523143122 ACCESSION NUMBER: 0001597298-22-000004 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220523 DATE AS OF CHANGE: 20220523 EFFECTIVENESS DATE: 20220523 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Verity Asset Management, Inc. CENTRAL INDEX KEY: 0001597298 IRS NUMBER: 561981693 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-15857 FILM NUMBER: 22950954 BUSINESS ADDRESS: STREET 1: 280 S MANGUM ST STE 550 CITY: DURHAM STATE: NC ZIP: 27701-3683 BUSINESS PHONE: 919-490-6717 MAIL ADDRESS: STREET 1: 280 S MANGUM ST STE 550 CITY: DURHAM STATE: NC ZIP: 27701-3683 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001597298 XXXXXXXX 03-31-2022 03-31-2022 true 1 RESTATEMENT Verity Asset Management, Inc.

280 S MANGUM ST STE 550 DURHAM NC 27701-3683

13F HOLDINGS REPORT 028-15857 N Michael Hazen Compliance Operations Manager 9194906717 Michael Hazen Austin TX 05-23-2022 0 207 157363 false INFORMATION TABLE 2 Verity.13F.May.2022.xml 3M CO COM COM 88579Y101 660 4432 SH SOLE 0 0 4432 A10 NETWORKS INC COM 002121101 1095 78427 SH SOLE 0 0 78427 ABBOTT LABS COM 002824100 786 6638 SH SOLE 0 0 6638 ABRDN PHYSICAL GOLD SHARES ETF PHYSCL GOLD SHS 00326A104 280 15066 SH SOLE 0 0 15066 ADVANCED MICRO DEVICES INC COM 007903107 1197 10942 SH SOLE 0 0 10942 AFLAC INC. COM 001055102 792 12291 SH SOLE 0 0 12291 AIR PRODUCTS & CHEMICALS COM 009158106 287 1148 SH SOLE 0 0 1148 ALPHABET INC CAP STK CL A CASP STK CL A 02079K305 243 86 SH SOLE 0 0 86 AMAZON.COM, INC COM 023135106 1186 362 SH SOLE 0 0 362 AMGEN COMMON COM 031162100 767 3158 SH SOLE 0 0 3158 ANTHEM INC COM STK COM 036752103 632 1276 SH SOLE 0 0 1276 APPLE INC COM 037833100 3204 18125 SH SOLE 0 0 18125 APPLIED MATERIALS COM 038222105 442 3346 SH SOLE 0 0 3346 ARLO TECHNOLOGIES INC COM 04206A101 245 27544 SH SOLE 0 0 27544 ASHLAND GLOBAL HOLDINGS INC COM 044186104 235 2379 SH SOLE 0 0 2379 AUTOMATIC DATA PROCESSING COM COM 053015103 276 1212 SH SOLE 0 0 1212 AVNET INC COM 053807103 420 10335 SH SOLE 0 0 10335 B&G FOODS INC CL A COM 05508R106 383 14169 SH SOLE 0 0 14169 BANK AMERICA CORP COM 060505104 204 4932 SH SOLE 0 0 4932 BANK OF NEW YORK MELLON CORP COM COM 064058100 358 7205 SH SOLE 0 0 7205 BARCLAYS BANK PLC IPATH B S&P500 VIX STF ETN IPTH SR B S&P 06747R477 428 16631 SH SOLE 0 0 16631 BARCLAYS PLC ETN LKD 48 06746P555 265 11181 SH SOLE 0 0 11181 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 563 1583 SH SOLE 0 0 1583 BIG LOTS INC COM 089302103 442 12759 SH SOLE 0 0 12759 Bionano Genomics, Inc. COM 09075F107 33 12753 SH SOLE 0 0 12753 BLACKROCK INC COM 09247X101 570 745 SH SOLE 0 0 745 BOISE CASCADE CO DEL COM 09739D100 520 7473 SH SOLE 0 0 7473 BRISTOL MYERS SQUIBB CORPORATION COM 110122108 464 6352 SH SOLE 0 0 6352 BROADCOM INC COM 11135F101 332 526 SH SOLE 0 0 526 BROOKFIELD INFRASTRUCTURE PARTNERS L.P. LIMITED PARTNERSHIP UNITS LP INT UNIT G16252101 424 6392 SH SOLE 0 0 6392 CAMPBELL SOUP COM 134429109 349 7824 SH SOLE 0 0 7824 CARDINAL HEALTH, INC. COM 14149Y108 260 4575 SH SOLE 0 0 4575 CARECLOUD INC COM 14167R100 208 40334 SH SOLE 0 0 40334 CATERPILLAR INC. COM 149123101 389 1739 SH SOLE 0 0 1739 CHARLES SCHWAB COM 808513105 242 2867 SH SOLE 0 0 2867 CHARLES SCHWAB CORP COM 808513600 1780 70292 SH SOLE 0 0 70292 CHEVRON CORP NEW COM 166764100 831 5091 SH SOLE 0 0 5091 CISCO SYSTEMS, INC. COM 17275R102 339 6064 SH SOLE 0 0 6064 COCA-COLA CO COM 191216100 916 14748 SH SOLE 0 0 14748 COMCAST CORP CL A CL A 20030N101 485 10350 SH SOLE 0 0 10350 COMMERCIAL METALS CO COM 201723103 2074 49813 SH SOLE 0 0 49813 CONSUMER STAPLES SPDR SBI CONS STPLS 81369Y308 321 4218 SH SOLE 0 0 4218 CONTRA AVI GENOMIC MEDICINE INC COM 008CVR011 5 30500 SH SOLE 0 0 30500 COTERRA ENERGY INC COM 127097103 943 34952 SH SOLE 0 0 34952 CVS HEALTH CORP COM 126650100 529 5198 SH SOLE 0 0 5198 DISNEY (WALT) CO COM DISNEY 254687106 698 5088 SH SOLE 0 0 5088 DOMINION ENERGY INC COM 25746U109 377 4434 SH SOLE 0 0 4434 DUKE ENERGY CORP COM NEW 26441C501 201 7721 SH SOLE 0 0 7721 DUKE ENERGY CORP NEW COM COM NEW 26441C204 738 6601 SH SOLE 0 0 6601 EASTMAN CHEMICAL COMPANY COM 277432100 437 3891 SH SOLE 0 0 3891 EDWARDS LIFESCIENCES CORP COM 28176E108 779 6615 SH SOLE 0 0 6615 EMERSON ELEC. CO. COM 291011104 860 8759 SH SOLE 0 0 8759 ENTERPRISE PRODUCTS PARTNERS L P COM 293792107 551 21328 SH SOLE 0 0 21328 ETHAN ALLEN INTERIORS INC. COM 297602104 449 17215 SH SOLE 0 0 17215 EVERGY INC COM 30034W106 225 3281 SH SOLE 0 0 3281 EXXON MOBIL CORP COM COM 30231G102 258 3120 SH SOLE 0 0 3120 FIDELITY LOW VOLATILITY FACTOR ETF LOW VOLITY ETF 316092824 313 6259 SH SOLE 0 0 6259 FIDELITY MSCI CONSUMER STAPLES INDEX ETF CONSMR STAPLES 316092303 403 8783 SH SOLE 0 0 8783 FIDELITY MSCI REAL ESTATE INDEX ETF MSCI RL EST ETF 316092857 256 7902 SH SOLE 0 0 7902 FRANKLIN RES INC COM COM 354613101 308 11004 SH SOLE 0 0 11004 G III APPAREL GROUP LTD COM 36237H101 658 24293 SH SOLE 0 0 24293 GENERAL DYNAMICS CORPORATION COM 369550108 656 2715 SH SOLE 0 0 2715 GENERAL MILLS COM 370334104 226 3329 SH SOLE 0 0 3329 GENUINE PARTS CO. COM 372460105 247 1957 SH SOLE 0 0 1957 GILEAD SCIENCE INC. COM 375558103 673 11316 SH SOLE 0 0 11316 GLOBAL X FDS GLOBAL X FTSE ARGENTINA 20 ETF NEW GB MSCI AR ETF 37950E259 218 6112 SH SOLE 0 0 6112 HALOZYME THERAPEUTICS, INC COM 40637H109 1249 31296 SH SOLE 0 0 31296 HEICO CORPORATION COM 422806109 1046 6809 SH SOLE 0 0 6809 HILLENBRAND INC COM COM 431571108 394 8920 SH SOLE 0 0 8920 HONEYWELL INTL COM 438516106 365 1871 SH SOLE 0 0 1871 HYLIION HOLDINGS CORP COM 449109107 190 42726 SH SOLE 0 0 42726 II-VI INCORPORATED COM 902104108 1146 15801 SH SOLE 0 0 15801 INFINERA CORP COM COM 45667G103 246 28315 SH SOLE 0 0 28315 INTEL CORP COM 458140100 713 14381 SH SOLE 0 0 14381 INTERCONTINENTAL EXCHANGE INC COM 45866F104 207 1567 SH SOLE 0 0 1567 INTERNATIONAL BUSINESS MACHINES CORP COM 459200101 2261 17384 SH SOLE 0 0 17384 INTL FLAVORS & FRAGRANCES COM 459506101 366 2783 SH SOLE 0 0 2783 INTREPID POTASH INC COM 46121Y201 203 2460 SH SOLE 0 0 2460 INTUIT INC COM 461202103 331 687 SH SOLE 0 0 687 INVESCO QQQ TRUST UNIT SER 1 46090E103 1073 2958 SH SOLE 0 0 2958 INVESCO S&P 500 EQUAL WEIGHT ETF S&P500 EQL WGT 46137V357 1396 8848 SH SOLE 0 0 8848 INVESCO S&P 500 LOW VOLATILTIY ETF S&P500 LOW VOL 46138E354 2069 30832 SH SOLE 0 0 30832 INVESCO SOLAR ETF SOLAR ETF 46138G706 913 12086 SH SOLE 0 0 12086 INVESCO WATER RESOURCES ETF WATER RES ETF 46137V142 1508 28441 SH SOLE 0 0 28441 IONQ INC COM 46222L108 222 17395 SH SOLE 0 0 17395 ISHARES COR TOTAL USD BOND MARKET THE ETF CORE TOTAL USD 46434V613 1106 22265 SH SOLE 0 0 22265 ISHARES CORE S&P 500 ETF CORE S&P500 ETF 464287200 2150 4738 SH SOLE 0 0 4738 ISHARES CORE S&P SMALL-CAP ETF CORE S&P SCP ETF 464287804 569 5270 SH SOLE 0 0 5270 ISHARES CORE S&P US VALUE ETF CORE S&P US VLU 464287663 305 4015 SH SOLE 0 0 4015 ISHARES FLOATING RATE BOND ETF FLTG RATE NT ETF 46429B655 1435 28401 SH SOLE 0 0 28401 ISHARES GOLD TRUST ISHARES NEW 464285204 1736 47128 SH SOLE 0 0 47128 ISHARES IBOXX INVESTMENT GRADE CO ETF ETF 464287242 535 4420 SH SOLE 0 0 4420 ISHARES INC MSCI GLOBAL AGRICULTURE PRODUCERS ETF GLB AGRIC PR ETF 464286350 209 4377 SH SOLE 0 0 4377 ISHARES LATIN AMERICA 40ETF IV LATN AMER 40 ETF 464287390 943 30866 SH SOLE 0 0 30866 ISHARES MSCI SAUDI ARABIA ETF MSCI SAUDI ARBIA 46434V423 237 4975 SH SOLE 0 0 4975 ISHARES S&P 500 GROWTH ETF S&P 500 GRWT ETF 464287309 311 4064 SH SOLE 0 0 4064 ISHARES SILVER TRUST ISHARES 46428Q109 956 41757 SH SOLE 0 0 41757 ISHARES TR BARCLAYS 1-3 TREAS BD ETF 1 3 YR TREAS BD 464287457 425 5095 SH SOLE 0 0 5095 ISHARES TR BARCLAYS 20 YR TREAS BD ETF 20 YR TR BD ETF 464287432 451 3409 SH SOLE 0 0 3409 ISHARES TR RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 1290 6282 SH SOLE 0 0 6282 ISHARES TR S&P US PFD STOCK INDEX FUND PFD AND INCM SEC 464288687 1105 30322 SH SOLE 0 0 30322 J P MORGAN CHASE & CO COM COM 46625H100 389 2844 SH SOLE 0 0 2844 JACK HENRY & ASSOCIATES, INC. COM 426281101 252 1274 SH SOLE 0 0 1274 JOHN WILEY & SONS INC CL-A CL A 968223206 590 11118 SH SOLE 0 0 11118 JOHNSON & JOHNSON COM 478160104 744 4191 SH SOLE 0 0 4191 KELLOGG CO COM 487836108 583 9029 SH SOLE 0 0 9029 KLA CORPORATION COM NEW 482480100 227 620 SH SOLE 0 0 620 KROGER CO COM 501044101 223 3878 SH SOLE 0 0 3878 LAM RESEARCH CORP COM 512807108 419 778 SH SOLE 0 0 778 LA-Z-BOY INC COM 505336107 206 7775 SH SOLE 0 0 7775 LOCKHEED MARTIN CORP COM 539830109 1251 2831 SH SOLE 0 0 2831 MADRIGAL PHARMACEUTICALS INC COM 558868105 275 2801 SH SOLE 0 0 2801 MAGELLAN MIDSTREAM PARTNERS LP COM UNIT REPSTG LTD PARTNER INT UNIT LP 559080106 357 7273 SH SOLE 0 0 7273 MARTEN TRANSPORT, LTD. COM 573075108 438 24608 SH SOLE 0 0 24608 MASTERCARD INCORPORATED CLASS A COMMON CL A 57636Q104 533 1491 SH SOLE 0 0 1491 MATSON INC COM COM 57686G105 463 3835 SH SOLE 0 0 3835 MCDONALDS CORP COM 580135101 491 1982 SH SOLE 0 0 1982 MDC HOLDINGS INC COM 552676108 874 23091 SH SOLE 0 0 23091 MEDTRONIC PLC SHS SHS G5960L103 508 4573 SH SOLE 0 0 4573 MERCK & CO INC NEW COM 58933Y105 775 9434 SH SOLE 0 0 9434 MICROSOFT CORP COM 594918104 3512 11368 SH SOLE 0 0 11368 MONDELEZ INTL INC CL A CL A 609207105 252 4013 SH SOLE 0 0 4013 MOSAIC CO NEW COM COM 61945C103 1325 19916 SH SOLE 0 0 19916 MSC INDL DIRECT INC CL A CL A 553530106 441 5173 SH SOLE 0 0 5173 NEXSTAR MEDIA GROUP INC CL A 65336K103 562 2978 SH SOLE 0 0 2978 NEXTERA ENERGY INC COM COM 65339F101 377 4443 SH SOLE 0 0 4443 NIKE INC CLASS B CL B 654106103 395 2920 SH SOLE 0 0 2920 NU SKIN ASIA PACIFIC INC CL A CL A 67018T105 444 9270 SH SOLE 0 0 9270 NVIDIA CORP COM 67066G104 1279 4688 SH SOLE 0 0 4688 OMNICOM GROUP INC COM COM 681919106 563 6629 SH SOLE 0 0 6629 ORACLE CORP COM 68389X105 531 6401 SH SOLE 0 0 6401 PATTERSON COS INC COM COM 703395103 271 8342 SH SOLE 0 0 8342 PAYCHEX INC COM 704326107 357 2607 SH SOLE 0 0 2607 PAYPAL HLDGS INC COM 70450Y103 1571 13581 SH SOLE 0 0 13581 PEPSICO INC COM 713448108 544 3235 SH SOLE 0 0 3235 PFIZER INC COM 717081103 1269 24457 SH SOLE 0 0 24457 PHILIP MORRIS INTL INC COM COM 718172109 1282 13628 SH SOLE 0 0 13628 PHILLIPS 66 COM COM 718546104 447 5163 SH SOLE 0 0 5163 POLARIS INC. COM 731068102 217 2058 SH SOLE 0 0 2058 PRIMORIS SVCS CORP COM COM 74164F103 379 15886 SH SOLE 0 0 15886 PROCTER & GAMBLE COM 742718109 217 1413 SH SOLE 0 0 1413 PROSHARES TR ULTRASHORT 20 YR TREAS NEW PSHS TR 74347B201 1076 52535 SH SOLE 0 0 52535 PROSHARES ULTRASHORT QQQ ULTSHRT QQQ 74347G739 216 12374 SH SOLE 0 0 12374 PROSHARES ULTRASHORT RUSSELL2000 ULTSHT RUSS2000 74347G689 192 13355 SH SOLE 0 0 13355 PUBLIC SERVICE ENTERPRISE GP COM 744573106 264 3760 SH SOLE 0 0 3760 RAYTHEON TECHNOLOGIES CORP COM 75513E101 322 3243 SH SOLE 0 0 3243 ROCKWELL INTERNATIONAL CORPORATION COM 773903109 320 1141 SH SOLE 0 0 1141 ROPER TECHNOLGIES INC COM COM 776696106 538 1137 SH SOLE 0 0 1137 ROYAL GOLD, INC. COM 780287108 1129 7991 SH SOLE 0 0 7991 ROYALTY PHARMA PLC SHS CLASS A G7709Q104 240 6139 SH SOLE 0 0 6139 SARATOGA INVT CORP COM 80349A604 328 12858 SH SOLE 0 0 12858 SCIENCE APPLICATINOS INTL CORP NEW COM COM 808625107 263 2847 SH SOLE 0 0 2847 SEAGEN INC COM 81181C104 780 5413 SH SOLE 0 0 5413 SELECT SECTOR SPDR FD HEALTH CARE SBI HEALTHCARE 81369Y209 538 3923 SH SOLE 0 0 3923 SELECT SECTOR SPDR TR CONSUMER SPDR TR 81369Y407 590 3185 SH SOLE 0 0 3185 SIEMENS GAMESA RENEWABLE ENERGY COM 82621P101 38 10758 SH SOLE 0 0 10758 SILGAN HOLDINGS INC COM 827048109 454 9806 SH SOLE 0 0 9806 SKECHERS U.S.A. INC CL A 830566105 850 20837 SH SOLE 0 0 20837 SKYWORKS SOLUTIONS INC COM COM 83088M102 1106 8296 SH SOLE 0 0 8296 SOUTHERN CO COM 842587107 696 9592 SH SOLE 0 0 9592 SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1 ETF 78467X109 770 2219 SH SOLE 0 0 2219 SPDR GOLD TR GOLD SHS GOLD SHS 78463V107 2519 13941 SH SOLE 0 0 13941 SPDR S&P 500 ETF TR TR UNIT TR UNIT 78462F103 2334 5167 SH SOLE 0 0 5167 SPDR SER TR S&P AEROSPACE & DEFENSE ETF AEROSPACE DEF 78464A631 237 1893 SH SOLE 0 0 1893 SPDR SER TR S&P BIOTECH ETF S&P BIOTECH 78464A870 1263 14052 SH SOLE 0 0 14052 SPIRIT AEROSYSTEMS HLDGS INC CL A COM CL A 848574109 993 20295 SH SOLE 0 0 20295 SPROTT PHYSICAL GOLD TR UNIT UNIT 85207H104 366 23793 SH SOLE 0 0 23793 STARBUCKS CORPORATION COM 855244109 657 7214 SH SOLE 0 0 7214 SVENSKA HANDELSBANKEN ADR COM 86959C103 49 10704 SH SOLE 0 0 10704 SWEDISH EXPT CR CORP ELEMENTS LKD TO ROGERS INTL COMMODITY INDEX AGRI TOTAL RETURN ROG AGRI ETN22 870297603 2126 210003 SH SOLE 0 0 210003 T. ROWE PRICE GROUP, INC. COM 74144T108 615 4062 SH SOLE 0 0 4062 TEXAS INSTRUMENTS INC. COM 882508104 804 4369 SH SOLE 0 0 4369 THE NECESSITY RETAIL REIT WHERE AMERICA SHOPS COM 02607T406 424 16306 SH SOLE 0 0 16306 THOR INDUSTRIES INC. COM 885160101 274 3481 SH SOLE 0 0 3481 TYSON FOODS INC CL A 902494103 1053 11738 SH SOLE 0 0 11738 UNION PACIFIC CORP. COM 907818108 579 2113 SH SOLE 0 0 2113 UNITED BANKSHARES INC COM 909907107 641 18351 SH SOLE 0 0 18351 UNITED PARCEL SERVICE COM 911312106 340 1582 SH SOLE 0 0 1582 UNITED STATES NAT GAS FD LP ETF NEW UNIT PAR 912318300 211 10659 SH SOLE 0 0 10659 UNITEDHEALTH GROUP INC COM COM 91324P102 237 465 SH SOLE 0 0 465 UR ENERGY INC COM COM 91688R108 215 134360 SH SOLE 0 0 134360 US ENERGY CORP COM 911805307 173 39689 SH SOLE 0 0 39689 UTILITIES SELECT SECTOR SPDR FUND SBI INT-UTILS 81369Y886 466 6257 SH SOLE 0 0 6257 VANECK GOLD MINERS ETF GOLD MINERS ETF 92189F106 818 21314 SH SOLE 0 0 21314 VANGUARD CHARLOTTE FDS TOTAL INTL BD INDEX FD INTL BD IDX ETF 92203J407 829 15791 SH SOLE 0 0 15791 VANGUARD EXTENDED DURATION ETF EXTENDED DUR 921910709 452 3713 SH SOLE 0 0 3713 VANGUARD GROWTH VIPERS GROWTH ETF 922908736 1701 5912 SH SOLE 0 0 5912 VANGUARD INDEX FDS S&P 500 ETF SHS NEW S&P 500 ETF SHS 922908363 12709 30611 SH SOLE 0 0 30611 VANGUARD INTL EQUITY INDEX FDS FTSE EMR MKT ETF FTSE EMR MKT ETF 922042858 264 5721 SH SOLE 0 0 5721 VANGUARD MALVERN FDS SHORT TERM INFLATION PROTECTED SECS INDEX ETF STRM INFPROIDX 922020805 298 5805 SH SOLE 0 0 5805 VANGUARD MUN BD FDS TAX EXEMPT BD INDEX FD ETF TAX EXEMPT BD 922907746 952 18463 SH SOLE 0 0 18463 VANGUARD SHORT TERM GOVT BOND ETF SHORT TERM TREAS 92206C102 401 6754 SH SOLE 0 0 6754 VANGUARD SMALL-CAP GROWTH VIPERS SML CP GRW ETF 922908595 1671 6733 SH SOLE 0 0 6733 VANGUARD SMALL-CAP VALUE VIPERS SM CP VAL ETF 922908611 2705 15373 SH SOLE 0 0 15373 VANGUARD STAR FD VANGUARD TOTAL INTL STOCK INDEX FD ETF SHS VG TL INTL STK F 921909768 2831 47388 SH SOLE 0 0 47388 VANGUARD TOTAL STOCK MARKET VIPERS TOTAL STK MKT 922908769 3782 16604 SH SOLE 0 0 16604 VANGUARD VALUE VIPERS VALUE ETF 922908744 2098 14193 SH SOLE 0 0 14193 VERIZON COMMUNICATIONS COM 92343V104 830 16283 SH SOLE 0 0 16283 VISA INC COM CL A COM CL A 92826C839 677 3035 SH SOLE 0 0 3035 WACCAMAW BANKSHARES INC - COMMON STOCK COM 929741106 0 20000 SH SOLE 0 0 20000 WALGREEN BOOTS ALLIANCE INC COM COM 931427108 383 8542 SH SOLE 0 0 8542 WALMART, INC. COM 931142103 2282 15314 SH SOLE 0 0 15314 WESTPORT FUEL SYSTEMS COM NEW 960908309 176 111203 SH SOLE 0 0 111203 WINNEBAGO INDS COM 974637100 207 3818 SH SOLE 0 0 3818 WISDOMTREE TR INDIA EARNINGS FD INDIA TR 97717W422 574 15919 SH SOLE 0 0 15919 WORTHINGTON INDUSTRIES INC COM 981811102 1008 19600 SH SOLE 0 0 19600