Chief Compliance Officer

0001606587-17-000483.txt : 20170809 0001606587-17-000483.hdr.sgml : 20170809 20170809151923 ACCESSION NUMBER: 0001606587-17-000483 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170809 DATE AS OF CHANGE: 20170809 EFFECTIVENESS DATE: 20170809 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sheaff Brock Investment Advisors, LLC CENTRAL INDEX KEY: 0001666789 IRS NUMBER: 352145824 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17380 FILM NUMBER: 171017644 BUSINESS ADDRESS: STREET 1: 8801 RIVER CROSSING BLVD STREET 2: SUITE 100 CITY: INDIANAPOLIS STATE: IN ZIP: 46240 BUSINESS PHONE: 317-705-5700 MAIL ADDRESS: STREET 1: 8801 RIVER CROSSING BLVD STREET 2: SUITE 100 CITY: INDIANAPOLIS STATE: IN ZIP: 46240 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001666789 XXXXXXXX 06-30-2017 06-30-2017 false Sheaff Brock Investment Advisors, LLC

8801 River Crossing Blvd Suite 100 Indianapolis IN 46240

13F HOLDINGS REPORT 028-17380 N Audrey Kurzawa Chief Compliance Officer 317-705-5700 Audrey Kurzawa Indianapolis IN 08-09-2017 0 606 759542 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 895 4300 SH SOLE NONE 0 0 4300 AARONS INC COM PAR $0.50 002535300 368 9470 SH SOLE NONE 0 0 9470 ABBOTT LABS COM 002824100 778 16007 SH SOLE NONE 0 0 16007 ABBVIE INC COM 00287Y109 7853 108303 SH SOLE NONE 0 0 108303 ABERDEEN ASIA PACIFIC INCOM COM 003009107 95 19025 SH SOLE NONE 0 0 19025 ACADIA PHARMACEUTICALS INC COM 004225108 1422 51000 SH SOLE NONE 0 0 51000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1851 14968 SH SOLE NONE 0 0 14968 ACHILLION PHARMACEUTICALS IN COM 00448Q201 46 10000 SH SOLE NONE 0 0 10000 ACTIVISION BLIZZARD INC COM 00507V109 287 4991 SH SOLE NONE 0 0 4991 ADOBE SYS INC COM 00724F101 320 2265 SH SOLE NONE 0 0 2265 ADTRAN INC COM 00738A106 2891 140001 SH SOLE NONE 0 0 140001 ADVANCE AUTO PARTS INC COM 00751Y106 455 3900 SH SOLE NONE 0 0 3900 ADVANCED ENERGY INDS COM 007973100 841 12997 SH SOLE NONE 0 0 12997 ADVANCED MICRO DEVICES INC COM 007903107 280 22425 SH SOLE NONE 0 0 22425 ADVANTAGE OIL & GAS LTD COM 00765F101 374 55400 SH SOLE NONE 0 0 55400 AFLAC INC COM 001055102 379 4878 SH SOLE NONE 0 0 4878 AGNC INVT CORP COM 00123Q104 754 35419 SH SOLE NONE 0 0 35419 AIR PRODS & CHEMS INC COM 009158106 205 1431 SH SOLE NONE 0 0 1431 AK STL HLDG CORP COM 001547108 89 13600 SH SOLE NONE 0 0 13600 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2305 16360 SH SOLE NONE 0 0 16360 ALLERGAN PLC SHS G0177J108 1027 4223 SH SOLE NONE 0 0 4223 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 334 25784 SH SOLE NONE 0 0 25784 ALLIANZGI CONV & INCOME FD I COM 018825109 159 25493 SH SOLE NONE 0 0 25493 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 137 10441 SH SOLE NONE 0 0 10441 ALLSTATE CORP COM 020002101 1586 17930 SH SOLE NONE 0 0 17930 ALON USA ENERGY INC COM 020520102 155 11667 SH SOLE NONE 0 0 11667 ALPHABET INC CAP STK CL 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SH SOLE NONE 0 0 10162 COLUMBIA SELIGM PREM TECH GR COM 19842X109 264 12271 SH SOLE NONE 0 0 12271 COMCAST CORP NEW CL A 20030N101 745 19136 SH SOLE NONE 0 0 19136 COMERICA INC COM 200340107 291 3969 SH SOLE NONE 0 0 3969 CONAGRA BRANDS INC COM 205887102 514 14367 SH SOLE NONE 0 0 14367 CONOCOPHILLIPS COM 20825C104 2472 56231 SH SOLE NONE 0 0 56231 CONSOLIDATED EDISON INC COM 209115104 859 10633 SH SOLE NONE 0 0 10633 CONSTELLATION BRANDS INC CL A 21036P108 310 1600 SH SOLE NONE 0 0 1600 CORNING INC COM 219350105 1733 57659 SH SOLE NONE 0 0 57659 COSTCO WHSL CORP NEW COM 22160K105 953 5960 SH SOLE NONE 0 0 5960 COVANTA HLDG CORP COM 22282E102 173 13082 SH SOLE NONE 0 0 13082 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 265 93483 SH SOLE NONE 0 0 93483 CREDIT SUISSE NASSAU BRH INVRS VIX MDTERM 22542D829 430 6124 SH SOLE NONE 0 0 6124 CSX CORP COM 126408103 2443 44781 SH SOLE NONE 0 0 44781 CUMMINS INC COM 231021106 1212 7473 SH SOLE NONE 0 0 7473 CVR REFNG LP COMUNIT REP LT 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155951 EXPRESS SCRIPTS HLDG CO COM 30219G108 880 13779 SH SOLE NONE 0 0 13779 EXXON MOBIL CORP COM 30231G102 23256 288068 SH SOLE NONE 0 0 288068 F5 NETWORKS INC COM 315616102 259 2040 SH SOLE NONE 0 0 2040 FACEBOOK INC CL A 30303M102 17222 114071 SH SOLE NONE 0 0 114071 FARMLAND PARTNERS INC COM 31154R109 143 16000 SH SOLE NONE 0 0 16000 FEDEX CORP COM 31428X106 583 2684 SH SOLE NONE 0 0 2684 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 58 12737 SH SOLE NONE 0 0 12737 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 6035 134631 SH SOLE NONE 0 0 134631 FIFTH STREET FINANCE CORP COM 31678A103 208 42764 SH SOLE NONE 0 0 42764 FIFTH THIRD BANCORP COM 316773100 1523 58648 SH SOLE NONE 0 0 58648 FIRST DATA CORP NEW COM CL A 32008D106 1123 61700 SH SOLE NONE 0 0 61700 FIRST US BANCSHARES INC COM 33744V103 599 53416 SH SOLE NONE 0 0 53416 FIRSTENERGY CORP COM 337932107 277 9504 SH SOLE NONE 0 0 9504 FISERV INC COM 337738108 453 3700 SH SOLE NONE 0 0 3700 FIVE BELOW INC COM 33829M101 314 6367 SH SOLE NONE 0 0 6367 FLAHERTY&CRMN PFD SEC INCOM COM 338478100 265 12082 SH SOLE NONE 0 0 12082 FONAR CORP COM NEW 344437405 389 14030 SH SOLE NONE 0 0 14030 FOOT LOCKER INC COM 344849104 1369 27784 SH SOLE NONE 0 0 27784 FORD MTR CO DEL COM PAR $0.01 345370860 4326 386616 SH SOLE NONE 0 0 386616 FORTUNA SILVER MINES INC COM 349915108 57 11640 SH SOLE NONE 0 0 11640 FORTUNE BRANDS HOME & SEC IN COM 34964C106 217 3330 SH SOLE NONE 0 0 3330 FREEPORT-MCMORAN INC CL B 35671D857 272 22657 SH SOLE NONE 0 0 22657 GABELLI DIVD & INCOME TR COM 36242H104 248 11367 SH SOLE NONE 0 0 11367 GABELLI EQUITY TR INC COM 362397101 1025 165861 SH SOLE NONE 0 0 165861 GABELLI HLTHCARE & WELLNESS SHS 36246K103 136 12541 SH SOLE NONE 0 0 12541 GABELLI MULTIMEDIA TR INC COM 36239Q109 193 21551 SH SOLE NONE 0 0 21551 GALLAGHER ARTHUR J & CO COM 363576109 864 15100 SH SOLE NONE 0 0 15100 GAMESTOP CORP NEW CL A 36467W109 304 14052 SH SOLE NONE 0 0 14052 GAMING & LEISURE PPTYS INC COM 36467J108 259 6876 SH SOLE NONE 0 0 6876 GAP INC DEL COM 364760108 659 29971 SH SOLE NONE 0 0 29971 GATX CORP COM 361448103 885 13771 SH SOLE NONE 0 0 13771 GENERAL ELECTRIC CO COM 369604103 5842 216304 SH SOLE NONE 0 0 216304 GENERAL MLS INC COM 370334104 417 7530 SH SOLE NONE 0 0 7530 GENERAL MTRS CO COM 37045V100 1257 36000 SH SOLE NONE 0 0 36000 GENTEX CORP COM 371901109 194 10211 SH SOLE NONE 0 0 10211 GILEAD SCIENCES INC COM 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40416M105 551 18000 SH SOLE NONE 0 0 18000 HECLA MNG CO COM 422704106 287 56201 SH SOLE NONE 0 0 56201 HESS CORP COM 42809H107 644 14678 SH SOLE NONE 0 0 14678 HOLLYFRONTIER CORP COM 436106108 212 7707 SH SOLE NONE 0 0 7707 HOME BANCSHARES INC COM 436893200 10463 420182 SH SOLE NONE 0 0 420182 HOME DEPOT INC COM 437076102 8934 58241 SH SOLE NONE 0 0 58241 HONEYWELL INTL INC COM 438516106 607 4552 SH SOLE NONE 0 0 4552 HORIZON PHARMA PLC SHS G4617B105 125 10500 SH SOLE NONE 0 0 10500 HORMEL FOODS CORP COM 440452100 1010 29600 SH SOLE NONE 0 0 29600 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 5306 182018 SH SOLE NONE 0 0 182018 HOULIHAN LOKEY INC CL A 441593100 901 25826 SH SOLE NONE 0 0 25826 HUANENG PWR INTL INC SPON ADR H SHS 443304100 250 8984 SH SOLE NONE 0 0 8984 HUDSON TECHNOLOGIES INC COM 444144109 123 14500 SH SOLE NONE 0 0 14500 HUGOTON RTY TR TEX UNIT BEN INT 444717102 24 13333 SH SOLE NONE 0 0 13333 HUMANA INC COM 444859102 560 2329 SH SOLE NONE 0 0 2329 HUNTINGTON 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464287556 383 1236 SH SOLE NONE 0 0 1236 ISHARES TR IBOXX HI YD ETF 464288513 825 9333 SH SOLE NONE 0 0 9333 ISHARES TR FLTG RATE BD ETF 46429B655 204 4000 SH SOLE NONE 0 0 4000 ISHARES TR SELECT DIVID ETF 464287168 845 9168 SH SOLE NONE 0 0 9168 ISHARES TR CORE US AGGBD ET 464287226 287 2625 SH SOLE NONE 0 0 2625 JOHNSON & JOHNSON COM 478160104 3662 27685 SH SOLE NONE 0 0 27685 JPMORGAN CHASE & CO COM 46625H100 10416 113960 SH SOLE NONE 0 0 113960 KCAP FINL INC COM 48668E101 80 22585 SH SOLE NONE 0 0 22585 KERYX BIOPHARMACEUTICALS INC COM 492515101 83 11500 SH SOLE NONE 0 0 11500 KIMBERLY CLARK CORP COM 494368103 566 4383 SH SOLE NONE 0 0 4383 KINDER MORGAN INC DEL COM 49456B101 1123 58594 SH SOLE NONE 0 0 58594 KINGOLD JEWELRY INC COM NEW 49579A204 28 16950 SH SOLE NONE 0 0 16950 KITE PHARMA INC COM 49803L109 238 2300 SH SOLE NONE 0 0 2300 KKR & CO L P DEL COM UNITS 48248M102 188 10121 SH SOLE NONE 0 0 10121 KRAFT HEINZ CO COM 500754106 2135 24934 SH SOLE NONE 0 0 24934 KROGER CO COM 501044101 275 11809 SH SOLE NONE 0 0 11809 LABORATORY CORP AMER HLDGS COM NEW 50540R409 2148 13934 SH SOLE NONE 0 0 13934 LAM RESEARCH CORP COM 512807108 1372 9700 SH SOLE NONE 0 0 9700 LAMAR ADVERTISING CO NEW CL A 512816109 5572 75734 SH SOLE NONE 0 0 75734 LAMB WESTON HLDGS INC COM 513272104 243 5511 SH SOLE NONE 0 0 5511 LAS VEGAS SANDS CORP COM 517834107 1371 21465 SH SOLE NONE 0 0 21465 LAUDER ESTEE COS INC CL A 518439104 819 8538 SH SOLE NONE 0 0 8538 LEGG MASON BW GLB INC OPP FD COM 52469B100 159 12000 SH SOLE NONE 0 0 12000 LEGGETT & PLATT INC COM 524660107 259 4923 SH SOLE NONE 0 0 4923 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 1134 200374 SH SOLE NONE 0 0 200374 LILLY ELI & CO COM 532457108 2712 32950 SH SOLE NONE 0 0 32950 LOCKHEED MARTIN CORP COM 539830109 1965 7077 SH SOLE NONE 0 0 7077 LOWES COS INC COM 548661107 1493 19256 SH SOLE NONE 0 0 19256 M & T BK CORP COM 55261F104 648 4000 SH SOLE NONE 0 0 4000 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 2200 30873 SH SOLE NONE 0 0 30873 MAIN STREET CAPITAL CORP COM 56035L104 860 22369 SH SOLE NONE 0 0 22369 MALLINCKRODT PUB LTD CO SHS G5785G107 609 13585 SH SOLE NONE 0 0 13585 MARATHON OIL CORP COM 565849106 170 14324 SH SOLE NONE 0 0 14324 MARATHON PETE CORP COM 56585A102 321 6125 SH SOLE NONE 0 0 6125 MARRIOTT INTL INC NEW CL A 571903202 320 3186 SH SOLE NONE 0 0 3186 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 978 59188 SH SOLE NONE 0 0 59188 MASCO CORP COM 574599106 465 12171 SH SOLE NONE 0 0 12171 MASIMO CORP COM 574795100 972 10658 SH SOLE NONE 0 0 10658 MASTERCARD INCORPORATED CL A 57636Q104 2424 19956 SH SOLE NONE 0 0 19956 MATTHEWS INTL CORP CL A 577128101 1694 27650 SH SOLE NONE 0 0 27650 MB FINANCIAL INC NEW COM 55264U108 289 6558 SH SOLE NONE 0 0 6558 MCCORMICK & CO INC COM NON VTG 579780206 293 3005 SH SOLE NONE 0 0 3005 MCDONALDS CORP COM 580135101 8201 53545 SH SOLE NONE 0 0 53545 MCEWEN MNG INC COM 58039P107 71 26995 SH SOLE NONE 0 0 26995 MCKESSON CORP COM 58155Q103 331 2013 SH SOLE NONE 0 0 2013 MEDALLION FINL CORP COM 583928106 61 25600 SH SOLE NONE 0 0 25600 MEDICAL PPTYS TRUST INC COM 58463J304 398 30916 SH SOLE NONE 0 0 30916 MEDTRONIC PLC SHS G5960L103 2510 28284 SH SOLE NONE 0 0 28284 MERCK & CO INC COM 58933Y105 2562 39979 SH SOLE NONE 0 0 39979 METLIFE INC COM 59156R108 677 12314 SH SOLE NONE 0 0 12314 MFS HIGH INCOME MUN TR SH BEN INT 59318D104 217 41742 SH SOLE NONE 0 0 41742 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 233 37500 SH SOLE NONE 0 0 37500 MICROCHIP TECHNOLOGY INC COM 595017104 278 3608 SH SOLE NONE 0 0 3608 MICRON TECHNOLOGY INC COM 595112103 403 13492 SH SOLE NONE 0 0 13492 MICROSOFT CORP COM 594918104 4411 63986 SH SOLE NONE 0 0 63986 MIDDLEBY CORP COM 596278101 426 3509 SH SOLE NONE 0 0 3509 MONDELEZ INTL INC CL A 609207105 1579 36570 SH SOLE NONE 0 0 36570 MORGAN STANLEY COM NEW 617446448 1109 24892 SH SOLE NONE 0 0 24892 MPLX LP COM UNIT REP LTD 55336V100 710 21251 PRN SOLE NONE 0 0 21251 MYLAN N V SHS EURO N59465109 210 5405 SH SOLE NONE 0 0 5405 NATIONAL BANKSHARES INC VA COM 634865109 772 18928 SH SOLE NONE 0 0 18928 NATIONAL FUEL GAS CO N J COM 636180101 207 3700 SH SOLE NONE 0 0 3700 NATIONAL GRID PLC SPONSORED ADR NE 636274409 225 3588 SH SOLE NONE 0 0 3588 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 19 11751 SH SOLE NONE 0 0 11751 NETAPP INC COM 64110D104 483 12066 SH SOLE NONE 0 0 12066 NETFLIX INC COM 64110L106 2166 14500 SH SOLE NONE 0 0 14500 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 438 28174 SH SOLE NONE 0 0 28174 NEW YORK CMNTY BANCORP INC COM 649445103 272 20734 SH SOLE NONE 0 0 20734 NEW YORK MTG TR INC COM PAR $.02 649604501 180 28928 SH SOLE NONE 0 0 28928 NEXTERA ENERGY INC COM 65339F101 361 2578 SH SOLE NONE 0 0 2578 NIKE INC CL B 654106103 1293 21910 SH SOLE NONE 0 0 21910 NOKIA CORP SPONSORED ADR 654902204 687 111546 SH SOLE NONE 0 0 111546 NORDIC AMERICAN TANKERS LIMI COM G65773106 143 22507 SH SOLE NONE 0 0 22507 NORFOLK SOUTHERN CORP COM 655844108 1021 8387 SH SOLE NONE 0 0 8387 NORTHROP GRUMMAN CORP COM 666807102 1286 5011 SH SOLE NONE 0 0 5011 NOVAGOLD RES INC COM NEW 66987E206 120 26300 SH SOLE NONE 0 0 26300 NOVARTIS A G SPONSORED ADR 66987V109 228 2731 SH SOLE NONE 0 0 2731 NUCOR CORP COM 670346105 241 4173 SH SOLE NONE 0 0 4173 NUSTAR ENERGY LP UNIT COM 67058H102 383 8219 SH SOLE NONE 0 0 8219 NUVEEN AMT FREE MUN CR INC F COM 67071L106 160 10592 SH SOLE NONE 0 0 10592 NUVEEN AMT FREE QLTY MUN INC COM 670657105 323 23564 SH SOLE NONE 0 0 23564 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 133 11400 SH SOLE NONE 0 0 11400 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 268 17954 SH SOLE NONE 0 0 17954 NUVEEN PREFERRED SECURITIES COM 67072C105 392 38310 SH SOLE NONE 0 0 38310 NUVEEN QUALITY MUNCP INCOME COM 67066V101 400 28497 SH SOLE NONE 0 0 28497 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 336 24274 SH SOLE NONE 0 0 24274 NUVEEN S&P 500 DYN OVERWRITE COM 6706EW100 620 40357 SH SOLE NONE 0 0 40357 NVIDIA CORP COM 67066G104 2068 14303 SH SOLE NONE 0 0 14303 OBSIDIAN ENERGY LTD COM 674482104 37 29000 SH SOLE NONE 0 0 29000 OCCIDENTAL PETE CORP DEL COM 674599105 356 5941 SH SOLE NONE 0 0 5941 OCEAN BIO CHEM INC COM 674631106 170 41500 SH SOLE NONE 0 0 41500 OMEGA HEALTHCARE INVS INC COM 681936100 384 11615 SH SOLE NONE 0 0 11615 OMEROS CORP COM 682143102 478 24000 SH SOLE NONE 0 0 24000 ONEOK INC NEW COM 682680103 5438 104261 SH SOLE NONE 0 0 104261 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 944 18494 SH SOLE NONE 0 0 18494 ORACLE CORP COM 68389X105 2942 58682 SH SOLE NONE 0 0 58682 ORANGE SPONSORED ADR 684060106 220 13736 SH SOLE NONE 0 0 13736 ORBITAL ATK INC COM 68557N103 775 7881 SH SOLE NONE 0 0 7881 ORCHID IS CAP INC COM 68571X103 112 11407 SH SOLE NONE 0 0 11407 PACWEST BANCORP DEL COM 695263103 302 6473 SH SOLE NONE 0 0 6473 PAN AMERICAN SILVER CORP COM 697900108 194 11516 SH SOLE NONE 0 0 11516 PARKER HANNIFIN CORP COM 701094104 244 1525 SH SOLE NONE 0 0 1525 PAYPAL HLDGS INC COM 70450Y103 665 12387 SH SOLE NONE 0 0 12387 PDC ENERGY INC COM 69327R101 497 11522 SH SOLE NONE 0 0 11522 PDL BIOPHARMA INC COM 69329Y104 32 13018 SH SOLE NONE 0 0 13018 PEMBINA PIPELINE CORP COM 706327103 341 10301 SH SOLE NONE 0 0 10301 PENGROWTH ENERGY CORP COM 70706P104 106 134333 SH SOLE NONE 0 0 134333 PENNANTPARK FLOATING RATE CA COM 70806A106 285 20226 SH SOLE NONE 0 0 20226 PENNANTPARK INVT CORP COM 708062104 113 15300 SH SOLE NONE 0 0 15300 PENNS WOODS BANCORP INC COM 708430103 206 5005 SH SOLE NONE 0 0 5005 PEPSICO INC COM 713448108 2280 19742 SH SOLE NONE 0 0 19742 PFIZER INC COM 717081103 8624 256752 SH SOLE NONE 0 0 256752 PHILIP MORRIS INTL INC COM 718172109 8680 73902 SH SOLE NONE 0 0 73902 PHILLIPS 66 COM 718546104 742 8975 SH SOLE NONE 0 0 8975 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 269 12045 SH SOLE NONE 0 0 12045 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 338 3324 SH SOLE NONE 0 0 3324 PIMCO ETF TR ACTIVE BD ETF 72201R775 599 5650 SH SOLE NONE 0 0 5650 PIMCO HIGH INCOME FD COM SHS 722014107 1303 148968 SH SOLE NONE 0 0 148968 PIMCO INCOME STRATEGY FUND I COM 72201J104 141 13501 SH SOLE NONE 0 0 13501 PIMCO MUN INCOME FD II COM 72200W106 176 13384 SH SOLE NONE 0 0 13384 PIONEER HIGH INCOME TR COM 72369H106 181 18326 SH SOLE NONE 0 0 18326 PIONEER NAT RES CO COM 723787107 453 2837 SH SOLE NONE 0 0 2837 PITNEY BOWES INC COM 724479100 159 10559 SH SOLE NONE 0 0 10559 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 433 16480 SH SOLE NONE 0 0 16480 PLATINUM GROUP METALS LTD COM 72765Q601 8 10000 SH SOLE NONE 0 0 10000 PNC FINL SVCS GROUP INC COM 693475105 973 7790 SH SOLE NONE 0 0 7790 POLARIS INDS INC COM 731068102 745 8080 SH SOLE NONE 0 0 8080 POOL CORPORATION COM 73278L105 906 7703 SH SOLE NONE 0 0 7703 POTASH CORP SASK INC COM 73755L107 210 12875 SH SOLE NONE 0 0 12875 POWERSHARES ETF TR II FDM HG YLD RAFI 73936T557 278 14600 SH SOLE NONE 0 0 14600 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 245 19631 SH SOLE NONE 0 0 19631 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 311 16269 SH SOLE NONE 0 0 16269 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 244 14504 SH SOLE NONE 0 0 14504 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 324 14015 SH SOLE NONE 0 0 14015 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1857 13488 SH SOLE NONE 0 0 13488 PPG INDS INC COM 693506107 200 1822 SH SOLE NONE 0 0 1822 PPL CORP COM 69351T106 202 5214 SH SOLE NONE 0 0 5214 PRA HEALTH SCIENCES INC COM 69354M108 1016 13544 SH SOLE NONE 0 0 13544 PRAXAIR INC COM 74005P104 251 1897 SH SOLE NONE 0 0 1897 PREFERRED BK LOS ANGELES CA COM NEW 740367404 220 4115 SH SOLE NONE 0 0 4115 PRICELINE GRP INC COM NEW 741503403 569 304 SH SOLE NONE 0 0 304 PRIMERICA INC COM 74164M108 878 11593 SH SOLE NONE 0 0 11593 PROCTER AND GAMBLE CO COM 742718109 1649 18924 SH SOLE NONE 0 0 18924 PROSHARES TR ULTRA FNCLS NEW 74347X633 416 4000 SH SOLE NONE 0 0 4000 PROSHARES TR ULTRA 20YR TRE 74347R172 416 5158 SH SOLE NONE 0 0 5158 PROSHARES TR PSHS ULT S&P 500 74347R107 1415 15823 SH SOLE NONE 0 0 15823 PROSHARES TR PSHS ULTRA QQQ 74347R206 231 2000 SH SOLE NONE 0 0 2000 PROSHARES TR PSHS ULT NASB 74347R214 543 10175 SH SOLE NONE 0 0 10175 PROSPECT CAPITAL CORPORATION COM 74348T102 1545 190257 SH SOLE NONE 0 0 190257 PROSPERITY BANCSHARES INC COM 743606105 848 13200 SH SOLE NONE 0 0 13200 PRUDENTIAL FINL INC COM 744320102 464 4291 SH SOLE NONE 0 0 4291 PRUDENTIAL GLB SHT DUR HG YL COM 74433A109 215 14500 SH SOLE NONE 0 0 14500 PUBLIC SVC ENTERPRISE GROUP COM 744573106 242 5630 SH SOLE NONE 0 0 5630 PULTE GROUP INC COM 745867101 242 9880 SH SOLE NONE 0 0 9880 PUTNAM MANAGED MUN INCOM TR COM 746823103 586 78050 SH SOLE NONE 0 0 78050 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 336 71772 SH SOLE NONE 0 0 71772 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 179 14300 SH SOLE NONE 0 0 14300 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 278 51176 SH SOLE NONE 0 0 51176 QUALCOMM INC COM 747525103 2207 39961 SH SOLE NONE 0 0 39961 RANGE RES CORP COM 75281A109 788 34020 SH SOLE NONE 0 0 34020 RAYTHEON CO COM NEW 755111507 360 2231 SH SOLE NONE 0 0 2231 REALTY INCOME CORP COM 756109104 782 14179 SH SOLE NONE 0 0 14179 REGENERON PHARMACEUTICALS COM 75886F107 314 640 SH SOLE NONE 0 0 640 REGIONS FINL CORP NEW COM 7591EP100 3680 251340 SH SOLE NONE 0 0 251340 REVOLUTION LIGHTING TECHNOLO COM NEW 76155G206 528 80195 SH SOLE NONE 0 0 80195 REYNOLDS AMERICAN INC COM 761713106 736 11317 SH SOLE NONE 0 0 11317 RING ENERGY INC COM 76680V108 169 13000 SH SOLE NONE 0 0 13000 RITE AID CORP COM 767754104 397 134700 SH SOLE NONE 0 0 134700 ROCKWELL AUTOMATION INC COM 773903109 554 3423 SH SOLE NONE 0 0 3423 ROCKWELL COLLINS INC COM 774341101 395 3759 SH SOLE NONE 0 0 3759 ROLLINS INC COM 775711104 2316 56878 SH SOLE NONE 0 0 56878 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 1500 27553 SH SOLE NONE 0 0 27553 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 753 14159 SH SOLE NONE 0 0 14159 RPM INTL INC COM 749685103 268 4908 SH SOLE NONE 0 0 4908 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 3251 35076 SH SOLE NONE 0 0 35076 SAIA INC COM 78709Y105 740 14431 SH SOLE NONE 0 0 14431 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 111 16300 SH SOLE NONE 0 0 16300 SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007T101 61 42000 SH SOLE NONE 0 0 42000 SCHLUMBERGER LTD COM 806857108 452 6865 SH SOLE NONE 0 0 6865 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 216 4300 SH SOLE NONE 0 0 4300 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 256 5686 SH SOLE NONE 0 0 5686 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 223 6643 SH SOLE NONE 0 0 6643 SEAGATE TECHNOLOGY PLC SHS G7945M107 444 11467 SH SOLE NONE 0 0 11467 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 480 5354 SH SOLE NONE 0 0 5354 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 545 6880 SH SOLE NONE 0 0 6880 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 493 9484 SH SOLE NONE 0 0 9484 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 380 11808 SH SOLE NONE 0 0 11808 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 503 9153 SH SOLE NONE 0 0 9153 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 773 14127 SH SOLE NONE 0 0 14127 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 815 11968 SH SOLE NONE 0 0 11968 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 377 15289 SH SOLE NONE 0 0 15289 SELECT SECTOR SPDR TR ENERGY 81369Y506 497 7660 SH SOLE NONE 0 0 7660 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 242 4505 SH SOLE NONE 0 0 4505 SEMPRA ENERGY COM 816851109 839 7442 SH SOLE NONE 0 0 7442 SENSIENT TECHNOLOGIES CORP COM 81725T100 1694 21041 SH SOLE NONE 0 0 21041 SHIP FINANCE INTERNATIONAL L SHS G81075106 136 10010 SH SOLE NONE 0 0 10010 SIMON PPTY GROUP INC NEW COM 828806109 265 1638 SH SOLE NONE 0 0 1638 SIRIUS XM HLDGS INC COM 82968B103 4514 825279 SH SOLE NONE 0 0 825279 SKYWORKS SOLUTIONS INC COM 83088M102 443 4619 SH SOLE NONE 0 0 4619 SMITH A O COM 831865209 997 17697 SH SOLE NONE 0 0 17697 SNAP ON INC COM 833034101 1147 7259 SH SOLE NONE 0 0 7259 SOUTHERN CO COM 842587107 1867 39004 SH SOLE NONE 0 0 39004 SOUTHERN COPPER CORP COM 84265V105 250 7211 SH SOLE NONE 0 0 7211 SOUTHWEST AIRLS CO COM 844741108 678 10919 SH SOLE NONE 0 0 10919 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1300 6094 SH SOLE NONE 0 0 6094 SPDR GOLD TRUST GOLD SHS 78463V107 235 1987 SH SOLE NONE 0 0 1987 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 331 6935 SH SOLE NONE 0 0 6935 SPDR S&P 500 ETF TR TR UNIT 78462F103 3648 15086 SH SOLE NONE 0 0 15086 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 569 1790 SH SOLE NONE 0 0 1790 SPDR SER TR BLOOMBERG SRT TR 78468R408 235 8407 SH SOLE NONE 0 0 8407 SPIRIT RLTY CAP INC NEW COM 84860W102 119 16100 SH SOLE NONE 0 0 16100 SRC ENERGY INC COM 78470V108 244 36192 SH SOLE NONE 0 0 36192 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 246 5000 SH SOLE NONE 0 0 5000 STANLEY BLACK & DECKER INC COM 854502101 1280 9094 SH SOLE NONE 0 0 9094 STARBUCKS CORP COM 855244109 1563 26804 SH SOLE NONE 0 0 26804 STATE STR CORP COM 857477103 952 10612 SH SOLE NONE 0 0 10612 STEEL DYNAMICS INC COM 858119100 229 6408 SH SOLE NONE 0 0 6408 STRYKER CORP COM 863667101 576 4150 SH SOLE NONE 0 0 4150 SUNCOKE ENERGY PARTNERS L P COMUNIT REP LT 86722Y101 195 11100 SH SOLE NONE 0 0 11100 SYNCHRONY FINL COM 87165B103 866 29050 SH SOLE NONE 0 0 29050 SYNOPSYS INC COM 871607107 933 12799 SH SOLE NONE 0 0 12799 SYNTHETIC BIOLOGICS INC COM 87164U102 79 140012 SH SOLE NONE 0 0 140012 SYSCO CORP COM 871829107 5286 105031 SH SOLE NONE 0 0 105031 T MOBILE US INC COM 872590104 824 13587 SH SOLE NONE 0 0 13587 TARGET CORP COM 87612E106 471 9007 SH SOLE NONE 0 0 9007 TC PIPELINES LP UT COM LTD PRT 87233Q108 253 4600 SH SOLE NONE 0 0 4600 TCP CAP CORP COM 87238Q103 182 10777 SH SOLE NONE 0 0 10777 TD AMERITRADE HLDG CORP COM 87236Y108 336 7825 SH SOLE NONE 0 0 7825 TEEKAY TANKERS LTD CL A Y8565N102 27 14183 SH SOLE NONE 0 0 14183 TEMPUR SEALY INTL INC COM 88023U101 404 7561 SH SOLE NONE 0 0 7561 TERRA NITROGEN CO L P COM UNIT 881005201 214 2490 SH SOLE NONE 0 0 2490 TESLA INC COM 88160R101 361 997 SH SOLE NONE 0 0 997 TESORO CORP COM 881609101 589 6298 SH SOLE NONE 0 0 6298 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 279 8389 SH SOLE NONE 0 0 8389 TEXAS INSTRS INC COM 882508104 6789 88254 SH SOLE NONE 0 0 88254 TEXTRON INC COM 883203101 805 17100 SH SOLE NONE 0 0 17100 THOR INDS INC COM 885160101 932 8921 SH SOLE NONE 0 0 8921 TICC CAPITAL CORP COM 87244T109 135 21260 SH SOLE NONE 0 0 21260 TIME WARNER INC COM NEW 887317303 634 6316 SH SOLE NONE 0 0 6316 TJX COS INC NEW COM 872540109 1226 16991 SH SOLE NONE 0 0 16991 TORCHMARK CORP COM 891027104 5124 66984 SH SOLE NONE 0 0 66984 TORO CO COM 891092108 1100 15877 SH SOLE NONE 0 0 15877 TORONTO DOMINION BK ONT COM NEW 891160509 213 4226 SH SOLE NONE 0 0 4226 TOTAL S A SPONSORED ADR 89151E109 960 19362 SH SOLE NONE 0 0 19362 TOWNEBANK PORTSMOUTH VA COM 89214P109 770 25000 SH SOLE NONE 0 0 25000 TRANSMONTAIGNE PARTNERS L P COM UNIT L P 89376V100 340 8100 SH SOLE NONE 0 0 8100 TRANSOCEAN LTD REG SHS H8817H100 151 18298 SH SOLE NONE 0 0 18298 TRANSUNION COM 89400J107 922 21286 SH SOLE NONE 0 0 21286 TRAVELERS COMPANIES INC COM 89417E109 1221 9651 SH SOLE NONE 0 0 9651 TRI CONTL CORP COM 895436103 481 19739 SH SOLE NONE 0 0 19739 TRIANGLE CAP CORP COM 895848109 231 13106 SH SOLE NONE 0 0 13106 TRICO BANCSHARES COM 896095106 3799 108079 SH SOLE NONE 0 0 108079 TRIMBLE INC COM 896239100 261 7314 SH SOLE NONE 0 0 7314 TRITON INTL LTD CL A G9078F107 791 23650 SH SOLE NONE 0 0 23650 TTM TECHNOLOGIES INC COM 87305R109 928 53431 SH SOLE NONE 0 0 53431 TURQUOISE HILL RES LTD COM 900435108 74 28078 SH SOLE NONE 0 0 28078 TWENTY FIRST CENTY FOX INC CL A 90130A101 1141 40253 SH SOLE NONE 0 0 40253 TWITTER INC COM 90184L102 429 24015 SH SOLE NONE 0 0 24015 TWO HBRS INVT CORP COM 90187B101 185 18698 SH SOLE NONE 0 0 18698 TYSON FOODS INC CL A 902494103 627 10005 SH SOLE NONE 0 0 10005 ULTA BEAUTY INC COM 90384S303 1194 4154 SH SOLE NONE 0 0 4154 ULTRA PETROLEUM CORP COM NEW 903914208 162 14922 SH SOLE NONE 0 0 14922 UNDER ARMOUR INC CL A 904311107 259 11910 SH SOLE NONE 0 0 11910 UNILEVER PLC SPON ADR NEW 904767704 265 4892 SH SOLE NONE 0 0 4892 UNION PAC CORP COM 907818108 1115 10240 SH SOLE NONE 0 0 10240 UNITED PARCEL SERVICE INC CL B 911312106 10899 98551 SH SOLE NONE 0 0 98551 UNITED RENTALS INC COM 911363109 894 7932 SH SOLE NONE 0 0 7932 UNITED TECHNOLOGIES CORP COM 913017109 6713 54978 SH SOLE NONE 0 0 54978 UNITEDHEALTH GROUP INC COM 91324P102 3355 18094 SH SOLE NONE 0 0 18094 US BANCORP DEL COM NEW 902973304 468 9014 SH SOLE NONE 0 0 9014 VALEANT PHARMACEUTICALS INTL COM 91911K102 198 11434 SH SOLE NONE 0 0 11434 VALERO ENERGY CORP NEW COM 91913Y100 6610 97989 SH SOLE NONE 0 0 97989 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 270 3196 SH SOLE NONE 0 0 3196 VANGUARD INDEX FDS GROWTH ETF 922908736 228 1792 SH SOLE NONE 0 0 1792 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1399 11244 SH SOLE NONE 0 0 11244 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 597 5072 SH SOLE NONE 0 0 5072 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 409 1843 SH SOLE NONE 0 0 1843 VANGUARD INDEX FDS MID CAP ETF 922908629 697 4890 SH SOLE NONE 0 0 4890 VANGUARD INDEX FDS REIT ETF 922908553 269 3236 SH SOLE NONE 0 0 3236 VANGUARD INDEX FDS SM CP VAL ETF 922908611 414 3369 SH SOLE NONE 0 0 3369 VANGUARD INDEX FDS SML CP GRW ETF 922908595 608 4170 SH SOLE NONE 0 0 4170 VANGUARD INDEX FDS SMALL CP ETF 922908751 357 2631 SH SOLE NONE 0 0 2631 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 329 8064 SH SOLE NONE 0 0 8064 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 275 4984 SH SOLE NONE 0 0 4984 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 228 4565 SH SOLE NONE 0 0 4565 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 286 3569 SH SOLE NONE 0 0 3569 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 217 2342 SH SOLE NONE 0 0 2342 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 527 6737 SH SOLE NONE 0 0 6737 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 220 1490 SH SOLE NONE 0 0 1490 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 211 1486 SH SOLE NONE 0 0 1486 VECTOR GROUP LTD COM 92240M108 212 9938 SH SOLE NONE 0 0 9938 VENTAS INC COM 92276F100 418 6016 SH SOLE NONE 0 0 6016 VEREIT INC COM 92339V100 114 14033 SH SOLE NONE 0 0 14033 VERIZON COMMUNICATIONS INC COM 92343V104 5120 114636 SH SOLE NONE 0 0 114636 VISA INC COM CL A 92826C839 2103 22425 SH SOLE NONE 0 0 22425 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1151 40058 SH SOLE NONE 0 0 40058 W P CAREY INC COM 92936U109 398 6028 SH SOLE NONE 0 0 6028 WALGREENS BOOTS ALLIANCE INC COM 931427108 3362 42930 SH SOLE NONE 0 0 42930 WAL-MART STORES INC COM 931142103 7594 100350 SH SOLE NONE 0 0 100350 WASTE MGMT INC DEL COM 94106L109 521 7098 SH SOLE NONE 0 0 7098 WEATHERFORD INTL PLC ORD SHS G48833100 45 11555 SH SOLE NONE 0 0 11555 WEC ENERGY GROUP INC COM 92939U106 344 5598 SH SOLE NONE 0 0 5598 WELLS FARGO CO NEW COM 949746101 2102 37937 SH SOLE NONE 0 0 37937 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 486 56768 SH SOLE NONE 0 0 56768 WELLS FARGO MULTI SECTOR INC COM 94987D101 150 11215 SH SOLE NONE 0 0 11215 WELLTOWER INC COM 95040Q104 574 7664 SH SOLE NONE 0 0 7664 WENDYS CO COM 95058W100 219 14149 SH SOLE NONE 0 0 14149 WESTERN ASSET EMRG MKT DEBT COM 95766A101 159 10229 SH SOLE NONE 0 0 10229 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 200 13100 SH SOLE NONE 0 0 13100 WESTERN ASSET HIGH INCM OPP COM 95766K109 233 46012 SH SOLE NONE 0 0 46012 WESTERN DIGITAL CORP COM 958102105 889 10037 SH SOLE NONE 0 0 10037 WEYERHAEUSER CO COM 962166104 241 7204 SH SOLE NONE 0 0 7204 WHEATON PRECIOUS METALS CORP COM 962879102 1434 72085 SH SOLE NONE 0 0 72085 WHITING PETE CORP NEW COM 966387102 231 41867 SH SOLE NONE 0 0 41867 WILLIAMS COS INC DEL COM 969457100 258 8506 SH SOLE NONE 0 0 8506 WILLIAMS PARTNERS L P NEW COM UNIT LTD PAR 96949L105 390 9722 SH SOLE NONE 0 0 9722 WORLD WRESTLING ENTMT INC CL A 98156Q108 817 40100 SH SOLE NONE 0 0 40100 WYNN RESORTS LTD COM 983134107 1026 7653 SH SOLE NONE 0 0 7653 XCEL ENERGY INC COM 98389B100 267 5825 SH SOLE NONE 0 0 5825 YAMANA GOLD INC COM 98462Y100 26 10790 SH SOLE NONE 0 0 10790 YUM BRANDS INC COM 988498101 876 11879 SH SOLE NONE 0 0 11879 ZEBRA TECHNOLOGIES CORP CL A 989207105 851 8462 SH SOLE NONE 0 0 8462 ZILLOW GROUP INC CL C CAP STK 98954M200 285 5821 SH SOLE NONE 0 0 5821 ZIOPHARM ONCOLOGY INC COM 98973P101 75 11982 SH SOLE NONE 0 0 11982