Senior Compliance Officer - Advisory Services

0001615774-19-002666.txt : 20190219 0001615774-19-002666.hdr.sgml : 20190219 20190215193105 ACCESSION NUMBER: 0001615774-19-002666 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190219 DATE AS OF CHANGE: 20190215 EFFECTIVENESS DATE: 20190219 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: 19612983 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 12-31-2018 12-31-2018 false B. Riley Wealth Management, Inc.

40 S. Main Street Suite 1800 Memphis TN 38103

13F HOLDINGS REPORT 028-16196 N Candy Palugi Senior Compliance Officer - Advisory Services 901-251-1361 Candy Palugi Memphis TN 02-15-2019 0 442 476868 INFORMATION TABLE 2 infotable.xml 3M CO COM Stock 88579Y101 344 1804 SH SOLE 0 0 1803 ABBOTT LABS Common Stock 002824100 899 12423 SH SOLE 12423 0 0 ABBOTT LABS COM Stock 002824100 481 6647 SH SOLE 0 0 6647 ABBVIE INC COM Stock 00287Y109 782 8477 SH SOLE 0 0 8477 ADOBE SYS INC Stock 00724F101 212 935 SH SOLE 0 0 935 ALIBABA GROUP HLDG LTD ADR 01609W102 1351 9855 SH SOLE 0 0 9855 ALIMERA SCIENCES INC COM Stock 016259103 73 101906 SH SOLE 0 0 101906 ALLERGAN PLC SHS Stock G0177J108 413 3091 SH SOLE 0 0 3091 ALPHABET INC CAP STK CL C 02079K107 181 175 SH SOLE 175 0 0 ALPHABET INC CAP STK CL C 02079K107 750 724 SH SOLE 0 0 724 ALPS SECTOR DIVIDEND DOGS ETF ETF 00162Q858 355 9069 SH SOLE 0 0 9069 ALPS TRUST ETF ALERIAN MLP ETF 00162Q866 269 30810 SH SOLE 0 0 30810 ALTRIA GROUP INC Common Stock 02209S103 15 300 SH SOLE 300 0 0 ALTRIA GROUP INC COM Stock 02209S103 991 20070 SH SOLE 0 0 20070 AMARIN CORP PLC SPONS ADR NEW ADR 023111206 169 12400 SH SOLE 0 0 12400 AMAZON COM INC Common Stock 023135106 197 131 SH SOLE 131 0 0 AMAZON.COM INC Stock 023135106 8790 5852 SH SOLE 0 0 5852 AMERICAN EXPRESS CO Common Stock 025816109 19 200 SH SOLE 200 0 0 AMERICAN EXPRESS CO COM Stock 025816109 326 3415 SH SOLE 0 0 3415 AMERICAN TOWER CORP REIT 03027X100 280 1770 SH SOLE 0 0 1770 AMGEN INC Stock 031162100 292 1500 SH SOLE 0 0 1499 AMPHENOL CORP CL A Stock 032095101 1487 18356 SH SOLE 0 0 18356 AMYRIS INC COM NEW Stock 03236M200 66 19747 SH SOLE 0 0 19747 ANADARKO PETE CORP Stock 032511107 197 4505 SH SOLE 0 0 4505 ANADARKO PETE CORP Common Stock 032511107 7 165 SH SOLE 165 0 0 APOLLO SR FLOATING RATE FD I Common Stock 037636107 713 49555 SH SOLE 49555 0 0 APOLLO TACTICAL INCOME FD IN Common Stock 037638103 270 19598 SH SOLE 19598 0 0 APPLE INC Stock 037833100 8054 51061 SH SOLE 0 0 51060 APPLE INC Common Stock 037833100 1512 9584 SH SOLE 9584 0 0 ARES CAP CORP Common Stock 04010L103 1158 74333 SH SOLE 74333 0 0 ARES DYNAMIC CR ALLOCATION F Common Stock 04014F102 174 12644 SH SOLE 12644 0 0 AT&T INC Common Stock 00206R102 123 4308 SH SOLE 4308 0 0 AT&T INC COM Stock 00206R102 1131 39612 SH SOLE 0 0 39611 AVAGO TECHNOLOGIES LTD Stock 11135F101 1620 6370 SH SOLE 0 0 6369 AVERY DENNISON CORP Common Stock 053611109 11 124 SH SOLE 124 0 0 AVERY DENNISON CORP COM Stock 053611109 366 4075 SH SOLE 0 0 4075 BANK AMER CORP COM Stock 060505104 2352 95467 SH SOLE 0 0 95467 BECTON DICKINSON & CO COM Stock 075887109 228 1010 SH SOLE 0 0 1010 BERKSHIRE HATHAWAY INC DEL Common Stock 084670108 306 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Common Stock 084670702 541 2650 SH SOLE 2650 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 890 4361 SH SOLE 0 0 4361 BILIBILI INC SPONS ADS REP Z ADR 090040106 160 10975 SH SOLE 0 0 10975 BIOSCRIP INC COM Stock 09069N108 375 105061 SH SOLE 0 0 105061 BLACKSTONE GROUP L P Unit 09253U108 89 3000 SH SOLE 3000 0 0 BLACKSTONE GROUP LP Stock 09253U108 322 10788 SH SOLE 0 0 10787 BOEING CO COM Stock 097023105 722 2238 SH SOLE 0 0 2237 BOX INC CL A Stock 10316T104 293 17365 SH SOLE 0 0 17365 BP PLC Common Stock 055622104 10 265 SH SOLE 265 0 0 BP PLC SPONSORED ADR ADR 055622104 341 8993 SH SOLE 0 0 8993 BRISTOL MYERS SQUIBB CO Common Stock 110122108 6 125 SH SOLE 125 0 0 BRISTOL MYERS SQUIBB CO COM Stock 110122108 372 7156 SH SOLE 0 0 7156 BRT APARTMENTS CORP Unit 055645303 648 56616 SH SOLE 56616 0 0 CAPSTONE TURBINE CORP Stock 14067D409 6 10000 SH SOLE 0 0 10000 CARACO PHARMACEUTICAL LABORATORIES LTD Stock 140755109 459 35280 SH SOLE 0 0 35280 CATERPILLAR INC DEL COM Stock 149123101 1115 8772 SH SOLE 0 0 8772 CHENIERE ENERGY PARTNERS L P COM UNIT REPTG LIMITED Stock 16411Q101 217 6000 SH SOLE 0 0 6000 CHEVRON CORP NEW Common Stock 166764100 2728 25074 SH SOLE 25074 0 0 CHEVRON CORP NEW COM Stock 166764100 2415 22196 SH SOLE 0 0 22196 CHURCHILL CAP CORP Common Stock 17142R103 1815 190000 SH SOLE 190000 0 0 CHURCHILL CAP CORP Right/Warrant 17142R111 78 92500 SH SOLE 92500 0 0 CISCO SYS INC Stock 17275R102 1306 30137 SH SOLE 0 0 30137 CISCO SYS INC Common Stock 17275R102 85 1970 SH SOLE 1970 0 0 CITIGROUP INC Stock 172967424 575 11042 SH SOLE 0 0 11041 CITIGROUP INC Common Stock 172967424 33 628 SH SOLE 628 0 0 CLOROX CO DEL COM Stock 189054109 223 1449 SH SOLE 0 0 1448 COCA COLA CO Common Stock 191216100 19 400 SH SOLE 400 0 0 COCA COLA CO COM Stock 191216100 911 19233 SH SOLE 0 0 19233 COHEN &STEERS LTD DUR PFD I Common Stock 19248C105 1177 53960 SH SOLE 53960 0 0 COLGATE PALMOLIVE CO Common Stock 194162103 3 50 SH SOLE 50 0 0 COLGATE PALMOLIVE CO COM Stock 194162103 238 3992 SH SOLE 0 0 3992 COMCAST CORP NEW Common Stock 20030N101 38 1116 SH SOLE 1116 0 0 COMCAST CORP NEW CL A Stock 20030N101 319 9377 SH SOLE 0 0 9376 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 204 4933 SH SOLE 0 0 4932 CONOCOPHILLIPS Common Stock 20825C104 8 134 SH SOLE 134 0 0 CONOCOPHILLIPS COM Stock 20825C104 295 4738 SH SOLE 0 0 4737 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 660 6671 SH SOLE 0 0 6670 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 250 4927 SH SOLE 0 0 4927 CORNING INC COM Stock 219350105 206 6814 SH SOLE 0 0 6814 COSTCO WHOLESALE CORP Stock 22160K105 587 2883 SH SOLE 0 0 2882 COSTCO WHSL CORP NEW Common Stock 22160K105 272 1335 SH SOLE 1335 0 0 CRISPR THERAPEUTICS AG NAMEN AKT Stock H17182108 279 9763 SH SOLE 0 0 9763 CROWN CASTLE INTL CORP REIT 22822V101 310 2851 SH SOLE 0 0 2851 CSX CORP Stock 126408103 214 3443 SH SOLE 0 0 3442 CVS HEALTH CORP Common Stock 126650100 59 905 SH SOLE 905 0 0 CVS HEALTH CORP COM Stock 126650100 197 3000 SH SOLE 0 0 2999 DB COMMODITY INDEX TRACKING ETF 46138B103 169 11646 SH SOLE 0 0 11645 DISNEY WALT CO Common Stock 254687106 271 2468 SH SOLE 2468 0 0 DISNEY WALT CO COM DISNEY Stock 254687106 732 6671 SH SOLE 0 0 6671 DOCUSIGN INC Common Stock 256163106 2063 51466 SH SOLE 51466 0 0 DOUBLELINE INCOME SOLUTIONS Common Stock 258622109 1412 81496 SH SOLE 81496 0 0 DOUBLELINE INCOME SOLUTIONS FUND CEF 258622109 16 930 SH SOLE 0 0 930 DOUBLELINE OPPORTUNISTIC CR Common Stock 258623107 115 6064 SH SOLE 6064 0 0 DOUBLELINE OPPORTUNISTIC CR COM CEF 258623107 17 875 SH SOLE 0 0 875 DOWDUPONT INC Common Stock 26078J100 7 140 SH SOLE 140 0 0 DOWDUPONT INC COM Stock 26078J100 796 14889 SH SOLE 0 0 14889 EATON CORP PLC SHS Stock G29183103 387 5642 SH SOLE 0 0 5642 EATON VANCE TAX MANAGED GLOBAL EQUITY CEF 27829F108 91 12209 SH SOLE 0 0 12209 ECO STIM ENERGY SOLUTIONS INC COM Stock 27888D101 1 10000 SH SOLE 0 0 10000 EMERSON ELEC CO COM Stock 291011104 251 4196 SH SOLE 0 0 4195 ENERGY SELECT SECTOR SPDR ETF 81369Y506 685 11937 SH SOLE 0 0 11937 ENTERPRISE PRODS PARTNERS L P Stock 293792107 2215 90080 SH SOLE 0 0 90080 EXXON MOBIL CORP Common Stock 30231G102 36 525 SH SOLE 525 0 0 EXXON MOBIL CORP COM Stock 30231G102 1439 21105 SH SOLE 0 0 21105 FACEBOOK INC Common Stock 30303M102 397 3031 SH SOLE 3031 0 0 FACEBOOK INC CL A Stock 30303M102 3576 27276 SH SOLE 0 0 27276 FEDEX CORP Stock 31428X106 718 4450 SH SOLE 0 0 4450 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 518 21733 SH SOLE 0 0 21732 FIRST SOLAR INC Stock 336433107 240 5654 SH SOLE 0 0 5654 FIRST TR EXCH TRADED FD TECHNOLOGY ALPHADEX FD ETF 33734X176 1091 20756 SH SOLE 0 0 20756 FIRST TR EXCHANGE TRADED FD DOW JONES INTERNET INDEX FD ETF 33733E302 842 7217 SH SOLE 0 0 7217 FIRST TR EXCHANGE-TRADED FD III FIRST TR PFD SECS & INCOME ETF ETF 33739E108 1319 73505 SH SOLE 0 0 73505 FIRST TR MORNINGSTARDIVID LEADERS INDEX FD SHS ETF 336917109 294 10782 SH SOLE 0 0 10782 FIRST TR SR FLOATING RATE 2022 COM SHS CEF 33740K101 110 13329 SH SOLE 0 0 13329 FIRST TRUST DORSEY WRIGHT DYNAMIC FOCUS 5 ETF ETF 33738R878 566 24159 SH SOLE 0 0 24159 FIRST TRUST ENHANCED SHORT MATURITY ETF ETF 33739Q408 688 11500 SH SOLE 0 0 11500 FIRST TRUST INSTITUTIONAL PREFERRED SECURITIES AND INCOME ETF ETF 33739P855 770 42200 SH SOLE 0 0 42200 FIRST TRUST NASDAQ RISING DIVIDEND ACHIEVERS FUND ETF 33738R506 1379 52000 SH SOLE 0 0 52000 FIRST TRUST TACTICAL HIGH YIELD ETF ETF 33738D408 350 7805 SH SOLE 0 0 7805 FOOT LOCKER INC COM Stock 344849104 1114 20947 SH SOLE 0 0 20947 GAMING & LEISURE PPTYS REIT 36467J108 1386 42900 SH SOLE 0 0 42900 GENERAL ELECTRIC CO Common Stock 369604103 32 4180 SH SOLE 4180 0 0 GENERAL ELECTRIC CO COM Stock 369604103 260 34361 SH SOLE 0 0 34360 GENERAL MLS INC COM Stock 370334104 208 5334 SH SOLE 0 0 5333 GENERAL MOTORS CORP Stock 37045V100 129 3843 SH SOLE 0 0 3842 GENERAL MTRS CO Common Stock 37045V100 134 4000 SH SOLE 4000 0 0 GILEAD SCIENCES INC Stock 375558103 375 5992 SH SOLE 0 0 5992 GILEAD SCIENCES INC Common Stock 375558103 25 400 SH SOLE 400 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR ADR 37733W105 437 11426 SH SOLE 0 0 11425 GLOBAL MED REIT INC COM NEW REIT 37954A204 280 31444 SH SOLE 0 0 31443 GOLDMAN SACHS GROUP INC Stock 38141G104 241 1445 SH SOLE 0 0 1444 GOLDMAN SACHS GROUP INC Common Stock 38141G104 16 97 SH SOLE 97 0 0 GOLDMAN SACHS MLP ENERGY REN Common Stock 38148G107 69 15758 SH SOLE 15758 0 0 GOLDMAN SACHS MLP ENERGY RENAI COM CEF 38148G107 7 1655 SH SOLE 0 0 1655 GOLDMAN SACHS MLP INC OPP FD Common Stock 38147W103 478 68259 SH SOLE 68259 0 0 GOLDMAN SACHS MLP INCOME OPP FD COM SHS CEF 38147W103 13 1849 SH SOLE 0 0 1849 GOOGLE INC Stock 02079K305 3631 3475 SH SOLE 0 0 3475 GORDON POINTE ACQUISITION CO Common Stock 382788107 1250 125000 SH SOLE 125000 0 0 GSV CAP CORP Common Stock 36191J101 76 14600 SH SOLE 14600 0 0 GSV CAPITAL CORP CEF 36191J101 41 7875 SH SOLE 0 0 7875 GUGGENHEIM ETF TRUST S&P 500 EQUAL WEIGHT ETF 46137V357 4075 44585 SH SOLE 0 0 44584 GW PHARMACEUTICALS ADS ADR 36197T103 213 2182 SH SOLE 0 0 2182 GW PHARMACEUTICALS PLC Common Stock 36197T103 4 36 SH SOLE 36 0 0 HC2 HLDGS INC Common Stock 404139107 6 2424 SH SOLE 2424 0 0 HC2 HLDGS INC COM Stock 404139107 45 17031 SH SOLE 0 0 17031 HCA INC Stock 40412C101 266 2138 SH SOLE 0 0 2137 HEALTH CARE REIT INC REIT 95040Q104 267 3852 SH SOLE 0 0 3851 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 1187 13719 SH SOLE 0 0 13719 HENRY JACK & ASSOC INC Stock 426281101 435 3439 SH SOLE 0 0 3439 HENRY JACK &ASSOC INC Common Stock 426281101 13 100 SH SOLE 100 0 0 HENRY SCHEIN INC Stock 806407102 1262 16069 SH SOLE 0 0 16069 HI-CRUSH PARTNERS LPCOM UNIT PARTNER INTS Stock 428337109 42 11800 SH SOLE 0 0 11800 HOME DEPOT Stock 437076102 2461 14324 SH SOLE 0 0 14323 HOME DEPOT INC Common Stock 437076102 241 1400 SH SOLE 1400 0 0 HONEYWELL INTL INC Stock 438516106 3259 24666 SH SOLE 0 0 24665 HONEYWELL INTL INC Common Stock 438516106 57 431 SH SOLE 431 0 0 HORMEL FOODS CORP COM Stock 440452100 499 11686 SH SOLE 0 0 11686 HP INC Common Stock 40434L105 1209 59068 SH SOLE 59068 0 0 HP INC COM Stock 40434L105 44 2129 SH SOLE 0 0 2129 ILLINOIS TOOL WKS INC Common Stock 452308109 6 5 SH SOLE 5 0 0 ILLINOIS TOOL WKS INC COM Stock 452308109 449 3547 SH SOLE 0 0 3546 IMMUNOMEDICS INC COM Stock 452907108 564 39525 SH SOLE 0 0 39525 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 775 12035 SH SOLE 0 0 12034 INTEL CORP Common Stock 458140100 23 500 SH SOLE 500 0 0 INTEL CORP COM Stock 458140100 2482 52881 SH SOLE 0 0 52880 INTELLICHECK INC COM NEW Stock 45817G201 84 39250 SH SOLE 0 0 39250 INTELSAT SA COM Stock L5140P101 438 20500 SH SOLE 0 0 20500 INTERNATIONAL BUSINESS MACHS Common Stock 459200101 2 15 SH SOLE 15 0 0 INTL BUSINESS MACHINES Stock 459200101 654 5755 SH SOLE 0 0 5755 INTUITIVE SURGICAL, INC. Stock 46120E602 327 683 SH SOLE 0 0 683 INVESCO DB OIL FUND ETF 46140H403 147 17304 SH SOLE 0 0 17304 INVESCO DWA TACTICAL SECTOR ROTATION ETF ETF 46138E826 1173 47694 SH SOLE 0 0 47694 INVESCO EXCHANGE TRADED FD T Common Stock 46137V787 355 7548 SH SOLE 7548 0 0 INVESCO EXCHNG TRADED FD TR Common Stock 46138E511 715 53052 SH SOLE 53052 0 0 INVESCO QQQ TR Common Stock 46090E103 1248 8088 SH SOLE 8088 0 0 INVESCO S&P MIDCAP LOW VOLATILITY ETF ETF 46138E198 623 14030 SH SOLE 0 0 14030 INVESCO ULTRA SHORT DURATION ETF ETF 46090A887 1831 36577 SH SOLE 0 0 36577 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 293 3502 SH SOLE 0 0 3502 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 265 2545 SH SOLE 0 0 2545 ISHARES AGGREGATE BOND ETF ETF 464287226 237 2227 SH SOLE 0 0 2227 ISHARES CALIFORNIA MUNI BOND ETF ETF 464288356 501 8570 SH SOLE 0 0 8570 ISHARES CORE MSCI EMERGING MKTS ETF 46434G103 1004 21296 SH SOLE 0 0 21295 ISHARES CORE S&P MID CAP ETF ETF 464287507 233 1402 SH SOLE 0 0 1402 ISHARES DJ SELECT DIVIDEND ETF 464287168 1573 17614 SH SOLE 0 0 17614 ISHARES EDGE MSCI USA QUALITY FACTOR ETF ETF 46432F339 173 2250 SH SOLE 0 0 2250 ISHARES INC Common Stock 464286525 1232 15159 SH SOLE 15159 0 0 ISHARES INC Common Stock 464286400 292 7640 SH SOLE 7640 0 0 ISHARES J.P. MORGAN USD EMERGING MARKETS BOND ETF ETF 464288281 299 2876 SH SOLE 0 0 2876 ISHARES MORNINGSTAR LARGE GROWTH ETF ETF 464287119 774 4881 SH SOLE 0 0 4881 ISHARES MSCI EAFE ETF ETF 464287465 6670 113481 SH SOLE 0 0 113480 ISHARES MSCI EAFE GROWTH INDEX ETF ETF 464288885 5052 73147 SH SOLE 0 0 73147 ISHARES MSCI EAFE SMALL CAP ETF ETF 464288273 229 4411 SH SOLE 0 0 4410 ISHARES MSCI EMERGING MARKETS ETF ETF 464287234 494 12642 SH SOLE 0 0 12641 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 1183 9039 SH SOLE 0 0 9039 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 497 4474 SH SOLE 0 0 4473 ISHARES RUSSELL 2000 ETF ETF 464287655 688 5140 SH SOLE 0 0 5139 ISHARES RUSSELL MIDCAP GROWTH ETF ETF 464287481 4341 38180 SH SOLE 0 0 38179 ISHARES RUSSELL MIDCAP VALUE INDEX ETF 464287473 1558 20405 SH SOLE 0 0 20405 ISHARES S&P 500 GROWTH ETF ETF 464287309 1118 7421 SH SOLE 0 0 7421 ISHARES S&P 500 INDEX ETF 464287200 4481 17808 SH SOLE 0 0 17808 ISHARES S&P 500 VALUE ETF ETF 464287408 1224 12105 SH SOLE 0 0 12105 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 413 2160 SH SOLE 0 0 2159 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 946 13644 SH SOLE 0 0 13643 ISHARES S&P SMALLCAP 600 GROWTH ETF ETF 464287887 212 1314 SH SOLE 0 0 1314 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 858 25059 SH SOLE 0 0 25059 ISHARES TIPS BOND ETF ETF 464287176 351 3206 SH SOLE 0 0 3206 ISHARES TR Common Stock 464288356 373 6382 SH SOLE 6382 0 0 ISHARES TR Common Stock 464287507 434 2616 SH SOLE 2616 0 0 ISHARES TR Common Stock 46429B689 502 7527 SH SOLE 7527 0 0 ISHARES TR Common Stock 46429B697 768 14663 SH SOLE 14663 0 0 ISHARES TR Common Stock 464287242 875 7757 SH SOLE 7757 0 0 ISHARES TR Common Stock 464287390 283 9196 SH SOLE 9196 0 0 ISHARES TR Common Stock 464287465 957 16277 SH SOLE 16277 0 0 ISHARES TR Common Stock 464287234 389 9965 SH SOLE 9965 0 0 ISHARES TR Common Stock 464288414 1077 9875 SH SOLE 9875 0 0 ISHARES TR Common Stock 464288323 1084 19783 SH SOLE 19783 0 0 ISHARES TR Common Stock 464287614 543 4149 SH SOLE 4149 0 0 ISHARES TR Common Stock 464287168 822 9204 SH SOLE 9204 0 0 ISHARES TR Common Stock 46429B655 1714 34042 SH SOLE 34042 0 0 ISHARES TR Common Stock 464288448 1452 50570 SH SOLE 50570 0 0 ISHARES TR Common Stock 464288281 499 4805 SH SOLE 4805 0 0 ISHARES TR Common Stock 464288240 500 11917 SH SOLE 11917 0 0 ISHARES TR Common Stock 464287556 564 5844 SH SOLE 5844 0 0 ISHARES TR Common Stock 464287499 2840 61095 SH SOLE 61095 0 0 ISHARES TR Common Stock 464288646 1263 24456 SH SOLE 24456 0 0 ISHARES TR Common Stock 46432F842 565 10279 SH SOLE 10279 0 0 ISHARES TR DOW JONES U S HEALTHCARE ETF 464287762 288 1594 SH SOLE 0 0 1594 ISHARES TR MSCI INDIA INDEX FD ETF 46429B598 374 11223 SH SOLE 0 0 11223 ISHARES TR RUSSELL MIDCAP INDEX FD ETF 464287499 3913 84190 SH SOLE 0 0 84189 ISHARES TRUST RUSSELL 200 GROWTH INDEX FD ETF 464289438 3115 43412 SH SOLE 0 0 43412 J JILL INC Common Stock 46620W102 107 20000 SH SOLE 20000 0 0 JOHNSON & JOHNSON COM Stock 478160104 3348 25942 SH SOLE 0 0 25941 JOHNSON & JOHNSON COM Stock 478160104 164 1270 SH SOLE 1270 0 0 JOHNSON CTLS INC Stock G51502105 202 6822 SH SOLE 0 0 6822 JOHNSON CTLS INTL PLC Common Stock G51502105 11 367 SH SOLE 367 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 1528 15652 SH SOLE 0 0 15652 JPMORGAN CHASE &CO Common Stock 46625H100 38 387 SH SOLE 387 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2494 49755 SH SOLE 0 0 49755 KAYNE ANDERSN MLP MIDS INVT CO COM Common Stock 486606106 650 47208 SH SOLE 47208 0 0 KBL MERGER CORP IV Common Stock 48242A104 408 40000 SH SOLE 40000 0 0 KBL MERGER CORP IV Right/Warrant 48242A120 16 40000 SH SOLE 40000 0 0 KBL MERGER CORP IV Right/Warrant 48242A112 4 40000 SH SOLE 40000 0 0 KINDER MORGAN INC Stock 49456B101 252 16381 SH SOLE 0 0 16381 KRATOS DEFENSE & SEC SOLUTIONS COM NEW Stock 50077B207 362 25680 SH SOLE 0 0 25680 LADENBURG THALMAN FIN SVCS I Common Stock 50575Q102 353 151591 SH SOLE 151591 0 0 LILLY ELI & CO COM Stock 532457108 340 2936 SH SOLE 0 0 2935 LINCOLN ELEC HLDGS INC Stock 533900106 229 2899 SH SOLE 0 0 2899 LOCKHEED MARTIN CORP Stock 539830109 920 3514 SH SOLE 0 0 3513 MARKET VECTORS ETF EMERGING MKTS LOCAL ETF ETF 92189H300 342 10359 SH SOLE 0 0 10358 MASTERCARD INC Stock 57636Q104 210 1115 SH SOLE 0 0 1114 MCDONALDS CORP COM Stock 580135101 863 4859 SH SOLE 0 0 4859 MERCK & CO INC Stock 58933Y105 1354 17716 SH SOLE 0 0 17715 MERCK &CO INC Common Stock 58933Y105 65 852 SH SOLE 852 0 0 MICRON TECHNOLOGY Stock 595112103 237 7456 SH SOLE 0 0 7456 MICROSOFT Stock 594918104 3156 31072 SH SOLE 0 0 31072 MICROSOFT CORP Common Stock 594918104 3748 36901 SH SOLE 36901 0 0 MNAEXIQ ETF TR IQ ARB MERGER ARBITRAGEETF ETF 45409B800 6817 214977 SH SOLE 0 0 214977 MONDELEZ INTL INC CL A Stock 609207105 363 9056 SH SOLE 0 0 9056 NETEASE.COM INC SPONSORED ADR ADR 64110W102 232 985 SH SOLE 0 0 985 NETFLIX COM INC Stock 64110L106 1062 3967 SH SOLE 0 0 3967 NEW MOUNTAIN FIN CORP CEF 647551100 10 786 SH SOLE 0 0 786 NEW MTN FIN CORP Common Stock 647551100 377 30000 SH SOLE 30000 0 0 NIKE INC CLASS B Stock 654106103 1795 24211 SH SOLE 0 0 24211 NIO INC SPON ADS ADR 62914V106 230 36060 SH SOLE 0 0 36060 NORTHROP GRUMMAN CORP COM Stock 666807102 264 1077 SH SOLE 0 0 1077 NOVAVAX INC COM Stock 670002104 142 77055 SH SOLE 0 0 77055 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 446 35000 SH SOLE 0 0 35000 NUVEEN CA SELECT TAX FREE PRTF SH BEN INT CEF 67063R103 373 28000 SH SOLE 0 0 28000 NUVEEN CALIF MUNICPAL VALU FD2 COM CEF 6706EB106 357 23400 SH SOLE 0 0 23400 NUVEEN CR OPPORTUNITIES 2022 COM CEF 67075U102 577 68223 SH SOLE 0 0 68223 NUVEEN EMERGING MKTS DEBT 2022 COM CEF 67077P101 80 10528 SH SOLE 0 0 10528 NUVEEN HIGH INCOME 2020 TARGET COM CEF 67075L102 613 61798 SH SOLE 0 0 61798 NUVEEN HIGH INCOME DECMBR 2019 COM CEF 67076E107 703 71299 SH SOLE 0 0 71298 NUVEEN HIGH INCOME NOVEMBER 20 COM CEF 67077N106 967 108598 SH SOLE 0 0 108597 NUVEEN PFD &INCM SECURTIES Common Stock 67072C105 441 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