Deputy Chief Compliance Officer

0001213900-20-012458.txt : 20200515 0001213900-20-012458.hdr.sgml : 20200515 20200515113505 ACCESSION NUMBER: 0001213900-20-012458 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Wealth Management, Inc. CENTRAL INDEX KEY: 0001599892 IRS NUMBER: 621518255 STATE OF INCORPORATION: TN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16196 FILM NUMBER: 20882272 BUSINESS ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 BUSINESS PHONE: 901-251-1367 MAIL ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 FORMER COMPANY: FORMER CONFORMED NAME: Wunderlich Securities, Inc. DATE OF NAME CHANGE: 20140211 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599892 XXXXXXXX 03-31-2020 03-31-2020 false B. Riley Wealth Management, Inc.

40 S. Main Street Suite 1800 Memphis TN 38103

13F HOLDINGS REPORT 028-16196 N Candy Palugi Deputy Chief Compliance Officer 901-251-1361 Candy Palugi Memphis TN 05-14-2020 0 869 951684 INFORMATION TABLE 2 infotable.xml ABBOTT LABS Stock 002824100 63 800 SH SOLE 800 0 0 ABBOTT LABS Stock 002824100 6 75 SH SOLE 0 0 75 ABBOTT LABS Stock 002824100 1552 19673 SH SOLE 0 0 19673 ADVANCED MICRO DEVICES INC COM 007903107 415 9125 SH SOLE 0 0 9125 ADVANCED MICRO DEVICES INC Stock 007903107 258 5670 SH SOLE 0 0 5670 AIR PRODS & CHEMS INC COM 009158106 93 467 SH SOLE 0 0 467 AIR PRODS & CHEMS INC Stock 009158106 224 1121 SH SOLE 0 0 1120 ALLIANZGI EQUITY & CONV INCO CEF 018829101 235 12628 SH SOLE 0 0 12628 ALLSTATE CORP Stock 020002101 142 1549 SH SOLE 0 0 1548 AMARIN CORP PLC ADR 023111206 97 24273 SH SOLE 0 0 24273 AMAZON COM INC COM 023135106 10111 5186 SH SOLE 174 0 5012 AMAZON COM INC Common Stock 023135106 181 93 SH SOLE 93 0 0 AMAZON COM INC Stock 023135106 16007 8210 SH SOLE 0 0 8210 AMERICAN ELEC PWR CO INC COM 025537101 5 61 SH SOLE 0 0 61 AMERICAN ELEC PWR CO INC Common Stock 025537101 8 100 SH SOLE 100 0 0 AMERICAN ELEC PWR CO INC Stock 025537101 384 4804 SH SOLE 0 0 4804 AMERICAN EXPRESS CO COM 025816109 196 2292 SH SOLE 0 0 2292 AMERICAN EXPRESS CO Common Stock 025816109 15 180 SH SOLE 180 0 0 AMERICAN EXPRESS CO Stock 025816109 251 2927 SH SOLE 0 0 2926 AMERICAN WTR WKS CO INC NEW COM 030420103 1442 12063 SH SOLE 0 0 12063 AMERICAN WTR WKS CO INC NEW Stock 030420103 63 527 SH SOLE 0 0 527 AMGEN INC COM 031162100 1979 9763 SH SOLE 1450 0 8313 AMGEN INC Stock 031162100 988 4872 SH SOLE 0 0 4871 AMPHENOL CORP NEW Stock 032095101 1015 13922 SH SOLE 0 0 13922 ANALOG DEVICES INC Stock 032654105 526 5867 SH SOLE 0 0 5867 ANNALY CAPITAL MANAGEMENT IN COM 035710409 85 16750 SH SOLE 0 0 16750 ANNALY CAPITAL MANAGEMENT IN REIT 035710409 51 10007 SH SOLE 0 0 10007 APOLLO SR FLOATING RATE FD I Common Stock 037636107 406 34927 SH SOLE 34927 0 0 APOLLO TACTICAL INCOME FD IN Common Stock 037638103 176 15506 SH SOLE 15506 0 0 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ETF 46138E537 258 9989 SH SOLE 0 0 9989 INVESCO EXCHANGE-TRADED FD T ETF 46138E594 1300 78425 SH SOLE 0 0 78425 INVESCO EXCHANGE-TRADED FD T ETF 46138E669 865 43737 SH SOLE 0 0 43737 INVESCO EXCHANGE-TRADED FD T ETF 46138E784 81 3384 SH SOLE 0 0 3383 INVESCO EXCHANGE-TRADED FD T ETF 46138G508 317 15470 SH SOLE 0 0 15470 INVESCO EXCH TRD SLF IDX FD ETF 46138J858 390 17362 SH SOLE 0 0 17362 ISHARES TR Common Stock 46429B655 1535 31487 SH SOLE 31487 0 0 ISHARES TR Common Stock 46429B689 276 4451 SH SOLE 4451 0 0 ISHARES TR ETF 46429B689 25 400 SH SOLE 0 0 400 ISHARES TR Common Stock 46429B697 679 12565 SH SOLE 12565 0 0 ISHARES TR ETF 46429B697 131 2435 SH SOLE 0 0 2434 ISHARES TR Common Stock 46432F842 429 8592 SH SOLE 8592 0 0 ISHARES TR ETF 46432F842 269 5400 SH SOLE 0 0 5400 ISHARES INC Common Stock 46434G103 12 293 SH SOLE 293 0 0 ISHARES INC ETF 46434G103 424 10469 SH SOLE 0 0 10469 ISHARES TR ETF 46434V100 653 13031 SH SOLE 0 0 13031 ISHARES TR Common Stock 46434V878 901 18036 SH SOLE 18036 0 0 ISHARES TR ETF 46434V878 39 780 SH SOLE 0 0 780 J JILL INC Common Stock 46620W102 28 50000 SH SOLE 50000 0 0 JPMORGAN CHASE & CO COM 46625H100 74 817 SH SOLE 0 0 817 JPMORGAN CHASE & CO Common Stock 46625H100 23 254 SH SOLE 254 0 0 JPMORGAN CHASE & CO Stock 46625H100 3666 40717 SH SOLE 0 0 40717 J P MORGAN EXCHANGE-TRADED F ETF 46641Q837 538 10825 SH SOLE 0 0 10825 JANUS DETROIT STR TR ETF 47103U852 3260 62638 SH SOLE 0 0 62638 JD COM INC ADR 47215P106 240 5933 SH SOLE 0 0 5933 KIMBELL RTY PARTNERS LP Stock 49435R102 141 24191 SH SOLE 0 0 24191 KINDER MORGAN INC DEL COM 49456B101 763 54842 SH SOLE 0 0 54842 KINDER MORGAN INC DEL Common Stock 49456B101 7 500 SH SOLE 500 0 0 KINDER MORGAN INC DEL Stock 49456B101 1884 135334 SH SOLE 0 0 135333 MFA FINL INC COM 55272X102 21 13825 SH SOLE 0 0 13825 MFA FINL INC REIT 55272X102 5 3253 SH SOLE 0 0 3252 MPLX LP COM UNIT REP LTD 55336V100 216 18562 SH SOLE 0 0 18562 MPLX LP Stock 55336V100 1323 113863 SH SOLE 0 0 113863 MAIN STR CAP CORP CEF 56035L104 301 14692 SH SOLE 0 0 14692 MASTERCARD INC CL A 57636Q104 5329 22060 SH SOLE 550 0 21510 MASTERCARD INC Stock 57636Q104 667 2761 SH SOLE 0 0 2760 MERCK & CO. INC COM 58933Y105 7258 94338 SH SOLE 2246 0 92092 MERCK & CO. INC Common Stock 58933Y105 107 1392 SH SOLE 1392 0 0 MERCK & CO. INC Stock 58933Y105 1661 21593 SH SOLE 0 0 21593 NETFLIX INC Stock 64110L106 994 2647 SH SOLE 0 0 2647 NEW RESIDENTIAL INVT CORP REIT 64828T201 146 29087 SH SOLE 0 0 29086 NEXTERA ENERGY INC COM 65339F101 6974 28982 SH SOLE 500 0 28482 NEXTERA ENERGY INC Stock 65339F101 729 3030 SH SOLE 0 0 3030 NUSTAR ENERGY LP UNIT COM 67058H102 175 20426 SH SOLE 0 0 20426 NUSTAR ENERGY LP Stock 67058H102 10 1114 SH SOLE 0 0 1114 NUVEEN CALIF SELECT TAX FREE CEF 67063R103 406 28000 SH SOLE 0 0 28000 NVIDIA CORP COM 67066G104 428 1624 SH SOLE 0 0 1624 NVIDIA CORP Stock 67066G104 1903 7218 SH SOLE 0 0 7217 NUVEEN QUALITY MUNCP INCOME COM 67066V101 73 5334 SH SOLE 0 0 5334 NUVEEN QUALITY MUNCP INCOME CEF 67066V101 700 50963 SH SOLE 0 0 50962 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 5 375 SH SOLE 0 0 375 NUVEEN CA QUALTY MUN INCOME CEF 67066Y105 479 35000 SH SOLE 0 0 35000 NUVEEN CALIF MUNICPAL VALUE CEF 6706EB106 344 23400 SH SOLE 0 0 23400 NUVEEN S&P 500 BUY-WRITE INC CEF 6706ER101 250 24777 SH SOLE 0 0 24777 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 410 29140 SH SOLE 0 0 29140 NUVEEN MUNICIPAL CREDIT INC CEF 67070X101 211 14969 SH SOLE 0 0 14968 NUVEEN AMT FREE MUN CR INC F COM 67071L106 60 4089 SH SOLE 0 0 4089 NUVEEN AMT FREE MUN CR INC F CEF 67071L106 209 14269 SH SOLE 0 0 14268 NUVEEN PFD & INCM SECURTIES COM 67072C105 1410 194200 SH SOLE 6896 0 187304 NUVEEN PFD & INCM SECURTIES CEF 67072C105 72 9875 SH SOLE 0 0 9875 NUVEEN TAXABLE MUNICIPAL INC Common Stock 67074C103 214 11171 SH SOLE 11171 0 0 NUVEEN TAXABLE MUNICIPAL INC CEF 67074C103 42 2209 SH SOLE 0 0 2208 NUVEEN DOW 30 DYNAMIC OVERWR CEF 67075F105 174 13901 SH SOLE 0 0 13900 NUVEEN HIGH INCOME 2020 TARG CEF 67075L102 324 36767 SH SOLE 0 0 36767 NUVEEN CR OPPORTUNITIES 2022 CEF 67075U102 645 80704 SH SOLE 0 0 80703 NUVEEN HIGH INCOME NOVEMBER CEF 67077N106 975 113351 SH SOLE 0 0 113351 NUVEEN HIGH INCOME 2023 TARG CEF 67079F101 124 14952 SH SOLE 0 0 14952 O REILLY AUTOMOTIVE INC NEW Stock 67103H107 321 1066 SH SOLE 0 0 1066 OSI ETF TR ETF 67110P704 280 11293 SH SOLE 0 0 11293 180 DEGREE CAP CORP CEF 68235B109 14 10000 SH SOLE 0 0 10000 ORACLE CORP Stock 68389X105 575 11891 SH SOLE 0 0 11890 OUTLOOK THERAPEUTICS INC Stock 69012T206 24 40000 SH SOLE 0 0 40000 PACER FDS TR ETF 69374H105 414 15332 SH SOLE 0 0 15332 PAYPAL HLDGS INC COM 70450Y103 1050 10971 SH SOLE 0 0 10971 PAYPAL HLDGS INC Stock 70450Y103 1089 11371 SH SOLE 0 0 11371 PENNANTPARK FLOATING RATE CA Common Stock 70806A106 1412 290610 SH SOLE 290610 0 0 PENNANTPARK FLOATING RATE CA CEF 70806A106 9 1950 SH SOLE 0 0 1950 PHYSICIANS RLTY TR REIT 71943U104 189 13523 SH SOLE 0 0 13523 PIMCO MUN INCOME FD COM 72200R107 156 12314 SH SOLE 0 0 12314 PIMCO ETF TR Common Stock 72201R718 2404 24278 SH SOLE 24278 0 0 PIMCO ETF TR ETF 72201R775 12140 114343 SH SOLE 0 0 114342 PIMCO ETF TR ETF 72201R783 403 4698 SH SOLE 0 0 4698 PIMCO ETF TR Common Stock 72201R833 6862 69332 SH SOLE 69331 0 0 PIMCO ETF TR ETF 72201R833 261 2637 SH SOLE 0 0 2636 PIMCO ETF TR ETF 72201R866 668 12250 SH SOLE 0 0 12250 PLAINS GP HLDGS L P Stock 72651A207 203 36200 SH SOLE 0 0 36200 PREFERRED APT CMNTYS INC REIT 74039L103 94 13074 SH SOLE 0 0 13074 PROSHARES TR ETF 74347B425 642 23200 SH SOLE 0 0 23200 PROSHARES TR ETF 74347B680 180 3997 SH SOLE 0 0 3996 PROSHARES TR ETF 74347B698 326 7057 SH SOLE 0 0 7057 PROSHARES TR ETF 74347R248 11168 188643 SH SOLE 0 0 188642 PROSHARES TR S&P 500 DV ARIST 74348A467 23 400 SH SOLE 0 0 400 PROSHARES TR ETF 74348A467 548 9498 SH SOLE 0 0 9498 REGIONS FINANCIAL CORP NEW Stock 7591EP100 176 19642 SH SOLE 0 0 19642 RESTAURANT BRANDS INTL INC Stock 76131D103 235 5872 SH SOLE 0 0 5871 RIVERNORTH OPPORTUNITIES FD CEF 76881Y109 232 18647 SH SOLE 0 0 18646 RIVERNORTH MANAGED DUR MUN I CEF 76882H105 208 11651 SH SOLE 0 0 11651 RIVERNORTH OPPORTUNISTIC MUN CEF 76883F108 239 11857 SH SOLE 0 0 11857 ROKU INC COM CL A 77543R102 0 4 SH SOLE 0 0 4 ROKU INC Stock 77543R102 503 5752 SH SOLE 0 0 5752 SBA COMMUNICATIONS CORP NEW CL A 78410G104 1418 5252 SH SOLE 0 0 5252 SBA COMMUNICATIONS CORP NEW REIT 78410G104 101 375 SH SOLE 0 0 375 SPDR S&P 500 ETF TR TR UNIT 78462F103 3898 15125 SH SOLE 485 0 14640 SPDR S&P 500 ETF TR Common Stock 78462F103 2514 9752 SH SOLE 9752 0 0 SPDR S&P 500 ETF TR ETF 78462F103 5977 23188 SH SOLE 0 0 23188 SPDR GOLD TRUST GOLD SHS 78463V107 1262 8527 SH SOLE 0 0 8527 SPDR GOLD TRUST ETF 78463V107 2145 14488 SH SOLE 0 0 14488 SPDR INDEX SHS FDS Common Stock 78463X541 266 8593 SH SOLE 8592 0 0 SPDR INDEX SHS FDS ETF 78463X541 109 3534 SH SOLE 0 0 3534 SPDR INDEX SHS FDS ETF 78463X756 4689 141608 SH SOLE 0 0 141608 SPDR SER TR BLMBRG BRC CNVRT 78464A359 3140 65617 SH SOLE 5951 0 59666 SPDR SER TR ETF 78464A359 1022 21350 SH SOLE 0 0 21350 SPDR SER TR S&P DIVID ETF 78464A763 42 522 SH SOLE 0 0 522 SPDR SER TR ETF 78464A763 385 4826 SH SOLE 0 0 4825 SSGA ACTIVE ETF TR Common Stock 78467V848 75 1563 SH SOLE 1563 0 0 SSGA ACTIVE ETF TR Common Stock 78467V848 49 1028 SH SOLE 1028 0 0 SSGA ACTIVE ETF TR ETF 78467V848 1253 26124 SH SOLE 0 0 26123 SPDR DOW JONES INDL AVRG ETF Common Stock 78467X109 441 2013 SH SOLE 2013 0 0 SPDR DOW JONES INDL AVRG ETF ETF 78467X109 2171 9904 SH SOLE 0 0 9904 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 433 1648 SH SOLE 310 0 1338 SPDR S&P MIDCAP 400 ETF TR ETF 78467Y107 723 2749 SH SOLE 0 0 2749 SPDR SER TR ETF 78468R663 238 2602 SH SOLE 0 0 2601 SPDR SER TR Common Stock 78468R739 20 408 SH SOLE 408 0 0 SPDR SER TR ETF 78468R739 198 4055 SH SOLE 0 0 4055 SPDR SER TR ETF 78468R788 1273 51761 SH SOLE 0 0 51761 SVMK INC Common Stock 78489X103 608 45000 SH SOLE 45000 0 0 SALESFORCE COM INC COM 79466L302 68 475 SH SOLE 0 0 475 SALESFORCE COM INC Common Stock 79466L302 78 540 SH SOLE 540 0 0 SALESFORCE COM INC Stock 79466L302 543 3770 SH SOLE 0 0 3770 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 42 470 SH SOLE 0 0 470 SELECT SECTOR SPDR TR Common Stock 81369Y209 95 1078 SH SOLE 1078 0 0 SELECT SECTOR SPDR TR ETF 81369Y209 1129 12745 SH SOLE 0 0 12744 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 10 192 SH SOLE 0 0 192 SELECT SECTOR SPDR TR ETF 81369Y308 461 8465 SH SOLE 0 0 8464 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1456 14844 SH SOLE 0 0 14844 SELECT SECTOR SPDR TR Common Stock 81369Y407 185 1888 SH SOLE 1888 0 0 SELECT SECTOR SPDR TR ETF 81369Y407 287 2921 SH SOLE 0 0 2921 SELECT SECTOR SPDR TR ENERGY 81369Y506 7 235 SH SOLE 0 0 235 SELECT SECTOR SPDR TR ETF 81369Y506 201 6903 SH SOLE 0 0 6903 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 352 16892 SH SOLE 0 0 16892 SELECT SECTOR SPDR TR Common Stock 81369Y605 4 184 SH SOLE 184 0 0 SELECT SECTOR SPDR TR ETF 81369Y605 753 36149 SH SOLE 0 0 36149 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 392 6650 SH SOLE 0 0 6650 SELECT SECTOR SPDR TR ETF 81369Y704 301 5092 SH SOLE 0 0 5092 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1461 18182 SH SOLE 1500 0 16682 SELECT SECTOR SPDR TR ETF 81369Y803 1157 14401 SH SOLE 0 0 14401 SELECT SECTOR SPDR TR ETF 81369Y852 322 7277 SH SOLE 0 0 7277 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 4 64 SH SOLE 0 0 64 SELECT SECTOR SPDR TR ETF 81369Y886 221 3993 SH SOLE 0 0 3993 SERVICE PPTYS TR COM SH BEN INT 81761L102 2 295 SH SOLE 0 0 295 SERVICE PPTYS TR REIT 81761L102 67 12488 SH SOLE 0 0 12487 SHOPIFY INC Stock 82509L107 757 1815 SH SOLE 0 0 1815 SLACK TECHNOLOGIES INC Stock 83088V102 330 12300 SH SOLE 0 0 12300 SMILEDIRECTCLUB INC Stock 83192H106 59 12550 SH SOLE 0 0 12550 SNAP INC CL A 83304A106 0 6 SH SOLE 0 0 6 SNAP INC Common Stock 83304A106 59 5000 SH SOLE 5000 0 0 SNAP INC Stock 83304A106 661 55566 SH SOLE 0 0 55566 SOLAR CAP LTD Common Stock 83413U100 5005 429970 SH SOLE 429970 0 0 SOLAR SR CAP LTD Common Stock 83416M105 5674 584347 SH SOLE 584346 0 0 SONOS INC Common Stock 83570H108 950 112010 SH SOLE 112010 0 0 SPROTT PHYSICAL GOLD TRUST CEF 85207H104 955 72817 SH SOLE 0 0 72817 STARWOOD PPTY TR INC COM 85571B105 2085 203391 SH SOLE 0 0 203391 STARWOOD PPTY TR INC REIT 85571B105 91 8921 SH SOLE 0 0 8921 SUTTER ROCK CAP CORP Common Stock 86944Q100 79 13433 SH SOLE 13433 0 0 SUTTER ROCK CAP CORP CEF 86944Q100 52 8950 SH SOLE 0 0 8949 TC PIPELINES LP UT COM LTD PRT 87233Q108 770 28020 SH SOLE 0 0 28020 TARGA RES CORP COM 87612G101 30 4366 SH SOLE 0 0 4366 TARGA RES CORP Stock 87612G101 355 51429 SH SOLE 0 0 51429 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 531 29833 SH SOLE 0 0 29833 TEKLA HEALTHCARE INVS CEF 87911J103 1718 96442 SH SOLE 0 0 96442 TEKLA WORLD HEALTHCARE FD CEF 87911L108 193 16964 SH SOLE 0 0 16963 3M CO COM 88579Y101 612 4483 SH SOLE 100 0 4383 3M CO Common Stock 88579Y101 27 200 SH SOLE 200 0 0 3M CO Stock 88579Y101 2862 20966 SH SOLE 0 0 20965 TORTOISE MIDSTRM ENERGY FD I Common Stock 89148B101 181 211756 SH SOLE 211756 0 0 TORTOISE MIDSTRM ENERGY FD I CEF 89148B101 1 925 SH SOLE 0 0 925 TWILIO INC Common Stock 90138F102 19 217 SH SOLE 217 0 0 TWILIO INC Stock 90138F102 939 10490 SH SOLE 0 0 10490 TWITTER INC Common Stock 90184L102 189 7700 SH SOLE 7700 0 0 TWITTER INC Stock 90184L102 249 10125 SH SOLE 0 0 10125 UBER TECHNOLOGIES INC Common Stock 90353T100 1030 36886 SH SOLE 36886 0 0 UBER TECHNOLOGIES INC Stock 90353T100 127 4562 SH SOLE 0 0 4562 UNITEDHEALTH GROUP INC COM 91324P102 3807 15267 SH SOLE 600 0 14667 UNITEDHEALTH GROUP INC Stock 91324P102 1292 5181 SH SOLE 0 0 5180 VANECK VECTORS ETF TR ETF 92189F528 461 26528 SH SOLE 0 0 26528 VANECK VECTORS ETF TR ETF 92189F676 395 3373 SH SOLE 0 0 3372 VANECK VECTORS ETF TR ETF 92189H201 426 8667 SH SOLE 0 0 8666 VANECK VECTORS ETF TR ETF 92189H409 271 5185 SH SOLE 0 0 5185 VANGUARD WORLD FDS ETF 92204A702 669 3158 SH SOLE 0 0 3157 VANGUARD WORLD FDS ETF 92204A801 543 5641 SH SOLE 0 0 5641 VANGUARD SCOTTSDALE FDS Common Stock 92206C102 105 1688 SH SOLE 1688 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C102 229 3673 SH SOLE 0 0 3673 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 206 2601 SH SOLE 0 0 2601 VANGUARD SCOTTSDALE FDS Common Stock 92206C409 10687 135109 SH SOLE 135108 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C409 25300 319854 SH SOLE 0 0 319854 VANGUARD SCOTTSDALE FDS ETF 92206C599 5731 49778 SH SOLE 0 0 49778 VANGUARD SCOTTSDALE FDS ETF 92206C680 209 1351 SH SOLE 0 0 1351 VANGUARD SCOTTSDALE FDS Common Stock 92206C813 534 5500 SH SOLE 5500 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 199 2280 SH SOLE 0 0 2280 VANGUARD SCOTTSDALE FDS Common Stock 92206C870 3428 39367 SH SOLE 39367 0 0 VANGUARD SCOTTSDALE FDS ETF 92206C870 72 832 SH SOLE 0 0 832 VENTAS INC COM 92276F100 379 14138 SH SOLE 975 0 13163 VENTAS INC REIT 92276F100 51 1887 SH SOLE 0 0 1886 VERIZON COMMUNICATIONS INC COM 92343V104 4357 81097 SH SOLE 0 0 81097 VERIZON COMMUNICATIONS INC Common Stock 92343V104 62 1155 SH SOLE 1155 0 0 VERIZON COMMUNICATIONS INC Stock 92343V104 6516 121280 SH SOLE 0 0 121279 VERMILLION INC Stock 92407M206 421 505188 SH SOLE 0 0 505188 VIASAT INC Stock 92552V100 2205 61389 SH SOLE 0 0 61389 VIRGIN GALACTIC HOLDINGS INC Stock 92766K106 149 10087 SH SOLE 0 0 10087 VISA INC COM CL A 92826C839 2876 17847 SH SOLE 0 0 17847 VISA INC Stock 92826C839 5817 36106 SH SOLE 0 0 36106 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 53 11723 SH SOLE 0 0 11723 VOYA GLBL EQTY DIV & PREM OP CEF 92912T100 2 420 SH SOLE 0 0 420 WP CAREY INC COM 92936U109 272 4678 SH SOLE 0 0 4678 WP CAREY INC REIT 92936U109 137 2357 SH SOLE 0 0 2356 WASTE MGMT INC DEL COM 94106L109 1993 21531 SH SOLE 675 0 20856 WASTE MGMT INC DEL Stock 94106L109 209 2260 SH SOLE 0 0 2259 WELLS FARGO INCOME OPPORTUNI CEF 94987B105 111 17400 SH SOLE 0 0 17400 WELLTOWER INC COM 95040Q104 3322 72560 SH SOLE 917 0 71643 WELLTOWER INC REIT 95040Q104 131 2872 SH SOLE 0 0 2871 WESTERN ASSET EMERGING MKTS CEF 95766A101 127 12090 SH SOLE 0 0 12090 WESTERN ASSET MUN HIGH INCOM CEF 95766N103 170 24000 SH SOLE 0 0 24000 WESTERN ASSET INVESTMENT GRA CEF 95766T100 292 21900 SH SOLE 0 0 21900 WESTERN ASSET HGH YLD DFNDFD CEF 95768B107 293 23760 SH SOLE 0 0 23760 WISDOMTREE TR ETF 97717W430 11289 604668 SH SOLE 0 0 604667 WISDOMTREE TR Common Stock 97717W505 96 3960 SH SOLE 3960 0 0 WISDOMTREE TR ETF 97717W505 7 298 SH SOLE 0 0 298 WISDOMTREE TR ETF 97717W703 1647 41705 SH SOLE 0 0 41705 WISDOMTREE TR Common Stock 97717W844 859 16248 SH SOLE 16248 0 0 WORKHORSE GROUP INC Stock 98138J206 72 40000 SH SOLE 0 0 40000 ZOETIS INC Stock 98978V103 251 2129 SH SOLE 0 0 2128 ZOOM VIDEO COMMUNICATIONS IN Common Stock 98980L101 1 7 SH SOLE 7 0 0 ZOOM VIDEO COMMUNICATIONS IN Stock 98980L101 2746 18794 SH SOLE 0 0 18794 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2 15 SH SOLE 0 0 15 ACCENTURE PLC IRELAND Stock G1151C101 258 1579 SH SOLE 0 0 1578 EATON CORP PLC Stock G29183103 623 8013 SH SOLE 0 0 8013 MEDTRONIC PLC SHS G5960L103 81 899 SH SOLE 0 0 899 MEDTRONIC PLC Stock G5960L103 273 3029 SH SOLE 0 0 3028 CHUBB LIMITED COM H1467J104 670 6000 SH SOLE 0 0 6000 CHUBB LIMITED Stock H1467J104 34 307 SH SOLE 0 0 307 TE CONNECTIVITY LTD REG SHS H84989104 4 62 SH SOLE 0 0 62 TE CONNECTIVITY LTD Stock H84989104 699 11100 SH SOLE 0 0 11099 ELASTIC N V Common Stock N14506104 298 5339 SH SOLE 5339 0 0 ELASTIC N V Stock N14506104 3 51 SH SOLE 0 0 51 GLOBAL SHIP LEASE INC NEW Common Stock Y27183600 2049 553686 SH SOLE 553686 0 0 GOLAR LNG PARTNERS LP COM UNIT LPI Y2745C102 36 10618 SH SOLE 0 0 10618 GOLAR LNG PARTNERS LP Stock Y2745C102 39 11465 SH SOLE 0 0 11465 KNOT OFFSHORE PARTNERS LP Stock Y48125101 139 13625 SH SOLE 0 0 13625