Chief Compliance Officer

0001606587-20-000545.txt : 20200430 0001606587-20-000545.hdr.sgml : 20200430 20200430134432 ACCESSION NUMBER: 0001606587-20-000545 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200430 DATE AS OF CHANGE: 20200430 EFFECTIVENESS DATE: 20200430 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: 20834748 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 03-31-2020 03-31-2020 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 04-29-2020 0 414 755927 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE AFLAC INC COM 001055102 273 7969 SH SOLE None 0 0 7969 AGNC INVT CORP COM 00123Q104 272 25726 SH SOLE None 0 0 25726 AT&T INC COM 00206R102 5198 178308 SH SOLE None 0 0 178308 ABBOTT LABS COM 002824100 696 8814 SH SOLE None 0 0 8814 ABBVIE INC COM 00287Y109 8625 113206 SH SOLE None 0 0 113206 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 128 19487 SH SOLE None 0 0 19487 ACTIVISION BLIZZARD INC COM 00507V109 272 4573 SH SOLE None 0 0 4573 ADOBE INC COM 00724F101 763 2396 SH SOLE None 0 0 2396 ADVANCED MICRO DEVICES INC COM 007903107 990 21770 SH SOLE None 0 0 21770 AIR PRODS & CHEMS INC COM 009158106 286 1431 SH SOLE None 0 0 1431 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2683 13797 SH SOLE None 0 0 13797 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 50 16000 SH SOLE None 0 0 16000 ALLSTATE CORP COM 020002101 703 7669 SH SOLE None 0 0 7669 ALPHABET INC CAP STK CL C 02079K107 3293 2832 SH SOLE None 0 0 2832 ALPHABET INC CAP STK CL A 02079K305 3808 3277 SH SOLE None 0 0 3277 ALTRIA GROUP INC COM 02209S103 2703 69890 SH SOLE None 0 0 69890 AMAZON COM INC COM 023135106 10817 5548 SH SOLE None 0 0 5548 AMEREN CORP COM 023608102 394 5415 SH SOLE None 0 0 5415 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 646 54858 SH SOLE None 0 0 54858 AMERICAN AIRLS GROUP INC COM 02376R102 136 11136 SH SOLE None 0 0 11136 AMERICAN ELEC PWR CO INC COM 025537101 300 3755 SH SOLE None 0 0 3755 AMERICAN EXPRESS CO COM 025816109 1217 14215 SH SOLE None 0 0 14215 AMERICAN TOWER CORP NEW COM 03027X100 981 4507 SH SOLE None 0 0 4507 AMETEK INC COM 031100100 2121 29454 SH SOLE None 0 0 29454 AMGEN INC COM 031162100 6564 32377 SH SOLE None 0 0 32377 AMPIO PHARMACEUTICALS INC COM 03209T109 10 25000 SH SOLE None 0 0 25000 ANNALY CAPITAL MANAGEMENT IN COM 035710409 228 45052 SH SOLE None 0 0 45052 APPLE INC COM 037833100 381 1500 SH Call SOLE None 0 0 1500 APPLE INC COM 037833100 74941 294707 SH SOLE None 0 0 294707 APPLIED MATLS INC COM 038222105 593 12938 SH SOLE None 0 0 12938 ARCHER DANIELS MIDLAND CO COM 039483102 376 10696 SH SOLE None 0 0 10696 ARES CAPITAL CORP COM 04010L103 497 46103 SH SOLE None 0 0 46103 ARMOUR RESIDENTIAL REIT INC COM NEW 042315507 92 10433 SH SOLE None 0 0 10433 AURORA CANNABIS INC COM 05156X108 13 14356 SH SOLE None 0 0 14356 AUTOMATIC DATA PROCESSING IN COM 053015103 663 4848 SH SOLE None 0 0 4848 AVALONBAY CMNTYS INC COM 053484101 498 3383 SH SOLE None 0 0 3383 AXON ENTERPRISE INC COM 05464C101 271 3832 SH SOLE None 0 0 3832 BP PLC SPONSORED ADR 055622104 504 20667 SH SOLE None 0 0 20667 BADGER METER INC COM 056525108 1018 19000 SH SOLE None 0 0 19000 BALL CORP COM 058498106 718 11100 SH SOLE None 0 0 11100 BANCO BBVA ARGENTINA S A SPONSORED ADS 058934100 419 160000 SH SOLE None 0 0 160000 BANCO SANTANDER SA ADR 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CO COM 097023105 4587 30756 SH SOLE None 0 0 30756 BOOKING HLDGS INC COM 09857L108 412 306 SH SOLE None 0 0 306 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 883 12860 SH SOLE None 0 0 12860 BRANDYWINEGBL GLBAL INM OPRT COM 10537L104 126 12000 SH SOLE None 0 0 12000 BRISTOL-MYERS SQUIBB CO COM 110122108 8779 157494 SH SOLE None 0 0 157494 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 82 21667 SH SOLE None 0 0 21667 BROADCOM INC COM 11135F101 423 1786 SH SOLE None 0 0 1786 BROOKDALE SR LIVING INC COM 112463104 64 20500 SH SOLE None 0 0 20500 CBL & ASSOC PPTYS INC COM 124830100 5 23600 SH SOLE None 0 0 23600 CBRE GROUP INC CL A 12504L109 671 17801 SH SOLE None 0 0 17801 CDW CORP COM 12514G108 755 8099 SH SOLE None 0 0 8099 CIGNA CORP NEW COM 125523100 396 2233 SH SOLE None 0 0 2233 CME GROUP INC COM 12572Q105 3664 21192 SH SOLE None 0 0 21192 CSX CORP COM 126408103 1322 23065 SH SOLE None 0 0 23065 CVS HEALTH CORP COM 126650100 833 14041 SH SOLE None 0 0 14041 CADENCE DESIGN SYSTEM 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154512 CLEVELAND CLIFFS INC COM 185899101 109 27578 SH SOLE None 0 0 27578 CLOROX CO DEL COM 189054109 381 2200 SH Put SOLE None 0 0 2200 CLOVIS ONCOLOGY INC COM 189464100 87 13601 SH SOLE None 0 0 13601 COCA COLA CO COM 191216100 2998 67744 SH SOLE None 0 0 67744 COHEN & STEERS QUALITY INCOM COM 19247L106 118 13026 SH SOLE None 0 0 13026 COLGATE PALMOLIVE CO COM 194162103 625 9413 SH SOLE None 0 0 9413 COMCAST CORP NEW CL A 20030N101 1191 34650 SH SOLE None 0 0 34650 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 225 16800 SH SOLE None 0 0 16800 CONAGRA BRANDS INC COM 205887102 379 12919 SH SOLE None 0 0 12919 CONOCOPHILLIPS COM 20825C104 527 17096 SH SOLE None 0 0 17096 CONSOLIDATED EDISON INC COM 209115104 309 3962 SH SOLE None 0 0 3962 CONSTELLATION BRANDS INC CL A 21036P108 220 1537 SH SOLE None 0 0 1537 CORNERSTONE STRATEGIC VALUE COM 21924B302 92 11346 SH SOLE None 0 0 11346 CORNERSTONE TOTAL RETURN FD COM 21924U300 80 10042 SH SOLE None 0 0 10042 CORNING INC COM 219350105 1088 52978 SH SOLE None 0 0 52978 COSTCO WHSL CORP NEW COM 22160K105 1065 3734 SH SOLE None 0 0 3734 CRESUD S A C I F Y A SPONSORED ADR 226406106 122 35000 SH SOLE None 0 0 35000 CRONOS GROUP INC COM 22717L101 60 10500 SH SOLE None 0 0 10500 CROWN CASTLE INTL CORP NEW COM 22822V101 377 2609 SH SOLE None 0 0 2609 CUMMINS INC COM 231021106 828 6117 SH SOLE None 0 0 6117 DNP SELECT INCOME FD COM 23325P104 169 17291 SH SOLE None 0 0 17291 D R HORTON INC COM 23331A109 595 17504 SH SOLE None 0 0 17504 DTE ENERGY CO COM 233331107 255 2683 SH SOLE None 0 0 2683 DEERE & CO COM 244199105 476 3446 SH SOLE None 0 0 3446 DELL TECHNOLOGIES INC CL C 24703L202 490 12379 SH SOLE None 0 0 12379 DELTA AIR LINES INC DEL COM NEW 247361702 3791 132873 SH SOLE None 0 0 132873 DENISON MINES CORP COM 248356107 10 39825 SH SOLE None 0 0 39825 DIAMOND EAGLE ACQUISITION CO UNIT 06/30/2026 25258L208 142 10900 SH SOLE None 0 0 10900 DIGI INTL INC COM 253798102 129 13500 SH SOLE None 0 0 13500 DIGITAL RLTY TR INC 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GILEAD SCIENCES INC COM 375558103 807 10790 SH SOLE None 0 0 10790 GLOBUS MED INC CL A 379577208 1320 31042 SH SOLE None 0 0 31042 GLOBE LIFE INC COM 37959E102 4013 55761 SH SOLE None 0 0 55761 GRACO INC COM 384109104 267 5474 SH SOLE None 0 0 5474 GUGGENHEIM ENHANCED EQUITY I COM 40167B100 67 13651 SH SOLE None 0 0 13651 HALLIBURTON CO COM 406216101 134 19579 SH SOLE None 0 0 19579 HEALTHPEAK PROPERTIES INC COM 42250P103 684 28683 SH SOLE None 0 0 28683 HOME DEPOT INC COM 437076102 10519 56341 SH SOLE None 0 0 56341 HONEYWELL INTL INC COM 438516106 573 4286 SH SOLE None 0 0 4286 HORMEL FOODS CORP COM 440452100 604 12950 SH SOLE None 0 0 12950 HORIZON TECHNOLOGY FIN CORP COM 44045A102 85 10498 SH SOLE None 0 0 10498 HOST HOTELS & RESORTS INC COM 44107P104 449 40690 SH SOLE None 0 0 40690 HUMANA INC COM 444859102 695 2214 SH SOLE None 0 0 2214 HUNTINGTON BANCSHARES INC COM 446150104 242 29433 SH SOLE None 0 0 29433 IDEXX LABS INC COM 45168D104 867 3581 SH SOLE None 0 0 3581 ILLINOIS 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539830109 8215 24237 SH SOLE None 0 0 24237 LOWES COS INC COM 548661107 402 4672 SH SOLE None 0 0 4672 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 70 15000 SH SOLE None 0 0 15000 M & T BK CORP COM 55261F104 414 4000 SH SOLE None 0 0 4000 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 189 37500 SH SOLE None 0 0 37500 MPLX LP COM UNIT REP LTD 55336V100 232 20005 SH SOLE None 0 0 20005 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 875 23982 SH SOLE None 0 0 23982 MAIN STR CAP CORP COM 56035L104 508 24764 SH SOLE None 0 0 24764 MARRIOTT INTL INC NEW CL A 571903202 200 2680 SH SOLE None 0 0 2680 MASTEC INC COM 576323109 483 14749 SH SOLE None 0 0 14749 MASTERCARD INC CL A 57636Q104 5517 22840 SH SOLE None 0 0 22840 MCDONALDS CORP COM 580135101 1865 11277 SH SOLE None 0 0 11277 MEDALLION FINL CORP COM 583928106 48 25600 SH SOLE None 0 0 25600 MEDICAL PPTYS TRUST INC COM 58463J304 567 32783 SH SOLE None 0 0 32783 MERCK & CO. INC COM 58933Y105 2642 34337 SH SOLE None 0 0 34337 MFS HIGH INCOME MUN TR SH BEN INT 59318D104 164 35000 SH SOLE None 0 0 35000 MICROSOFT CORP COM 594918104 411 2600 SH Call SOLE None 0 0 2600 MICROSOFT CORP COM 594918104 7855 49808 SH SOLE None 0 0 49808 MICRON TECHNOLOGY INC COM 595112103 537 12770 SH SOLE None 0 0 12770 MONDELEZ INTL INC CL A 609207105 1373 27416 SH SOLE None 0 0 27416 NATIONAL BANKSHARES INC VA COM 634865109 206 6464 SH SOLE None 0 0 6464 NETAPP INC COM 64110D104 500 12000 SH SOLE None 0 0 12000 NETFLIX INC COM 64110L106 4347 11577 SH SOLE None 0 0 11577 NEW AMER HIGH INCOME FD INC COM NEW 641876800 92 13219 SH SOLE None 0 0 13219 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 152 30253 SH SOLE None 0 0 30253 NEW YORK MTG TR INC COM PAR $.02 649604501 61 39452 SH SOLE None 0 0 39452 NEXTERA ENERGY INC COM 65339F101 781 3246 SH SOLE None 0 0 3246 NIKE INC CL B 654106103 1100 13300 SH SOLE None 0 0 13300 NOKIA CORP SPONSORED ADR 654902204 93 30044 SH SOLE None 0 0 30044 NORFOLK SOUTHERN CORP COM 655844108 384 2633 SH SOLE None 0 0 2633 NORTHERN OIL & GAS INC NEV COM 665531109 7 10768 SH SOLE None 0 0 10768 NORTHROP GRUMMAN CORP COM 666807102 366 1210 SH SOLE None 0 0 1210 NUSTAR ENERGY LP UNIT COM 67058H102 111 12905 SH SOLE None 0 0 12905 NVIDIA CORP COM 67066G104 396 1500 SH Call SOLE None 0 0 1500 NVIDIA CORP COM 67066G104 5499 20861 SH SOLE None 0 0 20861 NUVEEN QUALITY MUNCP INCOME COM 67066V101 252 18358 SH SOLE None 0 0 18358 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 148 14659 SH SOLE None 0 0 14659 NUVEEN S&P 500 DYNAMIC OVERW COM 6706EW100 296 25591 SH SOLE None 0 0 25591 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 260 18503 SH SOLE None 0 0 18503 NUVEEN AMT FREE MUN CR INC F COM 67071L106 214 14605 SH SOLE None 0 0 14605 NUVEEN PFD & INCM SECURTIES COM 67072C105 132 18160 SH SOLE None 0 0 18160 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 366 42500 SH SOLE None 0 0 42500 OAKTREE SPECIALTY LENDING CO COM 67401P108 34 10450 SH SOLE None 0 0 10450 OCCIDENTAL PETE CORP COM 674599105 116 10000 SH Call SOLE None 0 0 10000 OKTA INC CL A 679295105 212 1737 SH SOLE None 0 0 1737 OLD DOMINION FREIGHT LINE IN COM 679580100 994 7571 SH SOLE None 0 0 7571 OMEROS CORP COM 682143102 312 23330 SH SOLE None 0 0 23330 ONEOK INC NEW COM 682680103 2331 106897 SH SOLE None 0 0 106897 ORACLE CORP COM 68389X105 2538 52512 SH SOLE None 0 0 52512 ORGANIGRAM HLDGS INC COM 68620P101 20 10214 SH SOLE None 0 0 10214 PDC ENERGY INC COM 69327R101 72 11522 SH SOLE None 0 0 11522 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 155 14000 SH SOLE None 0 0 14000 PNC FINL SVCS GROUP INC COM 693475105 357 3734 SH SOLE None 0 0 3734 PARKER HANNIFIN CORP COM 701094104 213 1641 SH SOLE None 0 0 1641 PAYPAL HLDGS INC COM 70450Y103 1274 13310 SH SOLE None 0 0 13310 PEBBLEBROOK HOTEL TR COM 70509V100 276 25304 SH SOLE None 0 0 25304 PENNANTPARK FLOATING RATE CA COM 70806A106 62 12730 SH SOLE None 0 0 12730 PEPSICO INC COM 713448108 1653 13762 SH SOLE None 0 0 13762 PFIZER INC COM 717081103 2387 73138 SH SOLE None 0 0 73138 PHILIP MORRIS INTL INC COM 718172109 3549 48640 SH SOLE None 0 0 48640 PHILLIPS 66 COM 718546104 218 4060 SH SOLE None 0 0 4060 PHYSICIANS RLTY TR COM 71943U104 517 37065 SH SOLE None 0 0 37065 PIMCO HIGH INCOME FD COM SHS 722014107 209 42693 SH SOLE None 0 0 42693 PIMCO CORPORATE & INCOME OPP COM 72201B101 155 11970 SH SOLE None 0 0 11970 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 2267 22908 SH SOLE None 0 0 22908 PIONEER MUN HIGH INCOME TR COM SHS 723763108 338 29891 SH SOLE None 0 0 29891 POLARIS INC COM 731068102 364 7550 SH SOLE None 0 0 7550 POPULAR INC COM NEW 733174700 545 15581 SH SOLE None 0 0 15581 PRIMERICA INC COM 74164M108 624 7048 SH SOLE None 0 0 7048 PROCTER & GAMBLE CO COM 742718109 1594 14488 SH SOLE None 0 0 14488 PROLOGIS INC. COM 74340W103 727 9043 SH SOLE None 0 0 9043 PROSHARES TR PSHS ULT NASB 74347R214 694 15000 SH SOLE None 0 0 15000 PROSHARES TR II ULTRA VIX SHORT 74347W148 287 4900 SH SOLE None 0 0 4900 PROSHARES TR ULTRAPRO QQQ 74347X831 391 8215 SH SOLE None 0 0 8215 PROSPECT CAPITAL CORPORATION COM 74348T102 507 119387 SH SOLE None 0 0 119387 PROSPERITY BANCSHARES INC COM 743606105 637 13200 SH SOLE None 0 0 13200 PRUDENTIAL FINL INC COM 744320102 3595 68945 SH SOLE None 0 0 68945 PUBLIC STORAGE COM 74460D109 616 3103 SH SOLE None 0 0 3103 PUTNAM MANAGED MUN INCOME TR COM 746823103 782 108672 SH SOLE None 0 0 108672 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 232 51176 SH SOLE None 0 0 51176 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 270 66272 SH SOLE None 0 0 66272 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 143 12000 SH SOLE None 0 0 12000 QUALCOMM INC COM 747525103 2017 29822 SH SOLE None 0 0 29822 RPM INTL INC COM 749685103 380 6386 SH SOLE None 0 0 6386 RAYTHEON CO COM NEW 755111507 625 4768 SH SOLE None 0 0 4768 REALTY INCOME CORP COM 756109104 223 4465 SH SOLE None 0 0 4465 REGIONS FINANCIAL CORP NEW COM 7591EP100 4012 447250 SH SOLE None 0 0 447250 RING ENERGY INC COM 76680V108 58 87400 SH SOLE None 0 0 87400 RITE AID CORP COM 767754872 178 11878 SH SOLE None 0 0 11878 ROKU INC COM CL A 77543R102 543 6211 SH SOLE None 0 0 6211 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 347 10631 SH SOLE None 0 0 10631 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 393 11263 SH SOLE None 0 0 11263 S&P GLOBAL INC COM 78409V104 1177 4802 SH SOLE None 0 0 4802 SPDR S&P 500 ETF TR TR UNIT 78462F103 196534 762500 SH Put SOLE None 0 0 762500 SPDR S&P 500 ETF TR TR UNIT 78462F103 3456 13408 SH SOLE None 0 0 13408 SPDR SER TR PRTFLO S&P500 GW 78464A409 237 6642 SH SOLE None 0 0 6642 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 3213 14654 SH SOLE None 0 0 14654 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 286 1087 SH SOLE None 0 0 1087 SPDR SER TR SPDR BLOOMBERG 78468R663 687 7500 SH SOLE None 0 0 7500 SABRA HEALTH CARE REIT INC COM 78573L106 117 10671 SH SOLE None 0 0 10671 SALESFORCE COM INC COM 79466L302 648 4500 SH SOLE None 0 0 4500 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 9 20180 SH SOLE None 0 0 20180 SAREPTA THERAPEUTICS INC COM 803607100 293 3000 SH SOLE None 0 0 3000 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 312 7040 SH SOLE None 0 0 7040 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 229 5090 SH SOLE None 0 0 5090 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 247 10143 SH SOLE None 0 0 10143 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 221 2490 SH SOLE None 0 0 2490 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 403 5008 SH SOLE None 0 0 5008 SEMPRA ENERGY COM 816851109 351 3110 SH SOLE None 0 0 3110 SENSIENT TECHNOLOGIES CORP COM 81725T100 915 21041 SH SOLE None 0 0 21041 SERVICE PPTYS TR COM SH BEN INT 81761L102 132 24355 SH SOLE None 0 0 24355 SHOPIFY INC CL A 82509L107 547 1313 SH SOLE None 0 0 1313 SIMON PPTY GROUP INC NEW COM 828806109 496 9047 SH SOLE None 0 0 9047 SIRIUS XM HLDGS INC COM 82968B103 4159 841812 SH SOLE None 0 0 841812 SKYWORKS SOLUTIONS INC COM 83088M102 212 2376 SH SOLE None 0 0 2376 SLACK TECHNOLOGIES INC COM CL A 83088V102 232 8645 SH SOLE None 0 0 8645 SNAP ON INC COM 833034101 589 5409 SH SOLE None 0 0 5409 SOUTHERN CO COM 842587107 1785 32976 SH SOLE None 0 0 32976 SOUTHWEST AIRLS CO COM 844741108 367 10317 SH SOLE None 0 0 10317 SQUARE INC CL A 852234103 563 10747 SH SOLE None 0 0 10747 STARBUCKS CORP COM 855244109 1329 20213 SH SOLE None 0 0 20213 STORE CAP CORP COM 862121100 369 20376 SH SOLE None 0 0 20376 STRYKER CORP COM 863667101 591 3550 SH SOLE None 0 0 3550 SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD 866142102 12 20000 SH SOLE None 0 0 20000 SYNOPSYS INC COM 871607107 906 7038 SH SOLE None 0 0 7038 SYNCHRONY FINL COM 87165B103 324 20159 SH SOLE None 0 0 20159 SYSCO CORP COM 871829107 4612 101072 SH SOLE None 0 0 101072 TJX COS INC NEW COM 872540109 893 18676 SH SOLE None 0 0 18676 TARGET CORP COM 87612E106 6278 67529 SH SOLE None 0 0 67529 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 479 42063 SH SOLE None 0 0 42063 TELEDYNE TECHNOLOGIES INC COM 879360105 386 1300 SH Call SOLE None 0 0 1300 TEMPUR SEALY INTL INC COM 88023U101 496 11355 SH SOLE None 0 0 11355 TESLA INC COM 88160R101 863 1646 SH SOLE None 0 0 1646 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 205 22860 SH SOLE None 0 0 22860 TEXAS INSTRS INC COM 882508104 7120 71248 SH SOLE None 0 0 71248 TG THERAPEUTICS INC COM 88322Q108 148 15000 SH SOLE None 0 0 15000 THERMO FISHER SCIENTIFIC INC COM 883556102 235 829 SH SOLE None 0 0 829 3M CO COM 88579Y101 487 3569 SH SOLE None 0 0 3569 TIMKEN CO COM 887389104 554 17135 SH SOLE None 0 0 17135 TOPBUILD CORP COM 89055F103 593 8271 SH SOLE None 0 0 8271 TOTAL S.A. SPONSORED ADS 89151E109 271 7270 SH SOLE None 0 0 7270 TOWNEBANK PORTSMOUTH VA COM 89214P109 362 20000 SH SOLE None 0 0 20000 TRANSUNION COM 89400J107 778 11756 SH SOLE None 0 0 11756 TRAVELERS COMPANIES INC COM 89417E109 2275 22894 SH SOLE None 0 0 22894 TRI CONTL CORP COM 895436103 397 18965 SH SOLE None 0 0 18965 TRICO BANCSHARES COM 896095106 3223 108079 SH SOLE None 0 0 108079 TRUIST FINL CORP COM 89832Q109 767 24882 SH SOLE None 0 0 24882 TWILIO INC CL A 90138F102 887 9909 SH SOLE None 0 0 9909 US BANCORP DEL COM NEW 902973304 309 8960 SH SOLE None 0 0 8960 UNION PAC CORP COM 907818108 526 3729 SH SOLE None 0 0 3729 UNITED PARCEL SERVICE INC CL B 911312106 4602 49265 SH SOLE None 0 0 49265 UNITED TECHNOLOGIES CORP COM 913017109 6228 66022 SH SOLE None 0 0 66022 UNITEDHEALTH GROUP INC COM 91324P102 5110 20493 SH SOLE None 0 0 20493 UNIVERSAL DISPLAY CORP COM 91347P105 224 1700 SH SOLE None 0 0 1700 URSTADT BIDDLE PPTYS INC CL A 917286205 431 30560 SH SOLE None 0 0 30560 VALERO ENERGY CORP COM 91913Y100 296 6524 SH SOLE None 0 0 6524 VANGUARD WORLD FD MEGA GRWTH IND 921910816 387 3044 SH SOLE None 0 0 3044 VANGUARD WORLD FD MEGA CAP INDEX 921910873 215 2359 SH SOLE None 0 0 2359 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 260 3680 SH SOLE None 0 0 3680 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 290 8653 SH SOLE None 0 0 8653 VENTAS INC COM 92276F100 442 16483 SH SOLE None 0 0 16483 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 666 2811 SH SOLE None 0 0 2811 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 230 3292 SH SOLE None 0 0 3292 VANGUARD INDEX FDS SM CP VAL ETF 922908611 245 2760 SH SOLE None 0 0 2760 VANGUARD INDEX FDS MID CAP ETF 922908629 668 5073 SH SOLE None 0 0 5073 VANGUARD INDEX FDS GROWTH ETF 922908736 352 2246 SH SOLE None 0 0 2246 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1408 10922 SH SOLE None 0 0 10922 VEREIT INC COM 92339V100 405 82738 SH SOLE None 0 0 82738 VERIZON COMMUNICATIONS INC COM 92343V104 12930 240656 SH SOLE None 0 0 240656 VISA INC COM CL A 92826C839 4411 27375 SH SOLE None 0 0 27375 VIRTUS TOTAL RETURN FUND INC COM 92835W107 73 10075 SH SOLE None 0 0 10075 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 428 31054 SH SOLE None 0 0 31054 WP CAREY INC COM 92936U109 397 6838 SH SOLE None 0 0 6838 WEC ENERGY GROUP INC COM 92939U106 329 3737 SH SOLE None 0 0 3737 WALMART INC COM 931142103 4585 40351 SH SOLE None 0 0 40351 WALGREENS BOOTS ALLIANCE INC COM 931427108 4000 87441 SH SOLE None 0 0 87441 WASHINGTON PRIME GROUP NEW COM 93964W108 18 22053 SH SOLE None 0 0 22053 WASTE MGMT INC DEL COM 94106L109 600 6480 SH SOLE None 0 0 6480 WELLS FARGO CO NEW COM 949746101 768 26753 SH SOLE None 0 0 26753 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 243 38019 SH SOLE None 0 0 38019 WELLS FARGO MULTI SECTOR INC COM 94987D101 135 14015 SH SOLE None 0 0 14015 WELLTOWER INC COM 95040Q104 358 7829 SH SOLE None 0 0 7829 WESTERN ASSET HIGH INCM OPP COM 95766K109 198 47122 SH SOLE None 0 0 47122 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 150 12200 SH SOLE None 0 0 12200 WESTERN DIGITAL CORP. COM 958102105 216 5200 SH SOLE None 0 0 5200 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 20 21500 SH SOLE None 0 0 21500 WINNEBAGO INDS INC COM 974637100 513 18433 SH SOLE None 0 0 18433 XCEL ENERGY INC COM 98389B100 299 4962 SH SOLE None 0 0 4962 YUM BRANDS INC COM 988498101 231 3373 SH SOLE None 0 0 3373 ZEBRA TECHNOLOGIES CORP CL A 989207105 711 3871 SH SOLE None 0 0 3871 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 253 1730 SH SOLE None 0 0 1730 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1401 8580 SH SOLE None 0 0 8580 MALLINCKRODT PUB LTD CO SHS G5785G107 36 18027 SH SOLE None 0 0 18027 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 933 41217 SH SOLE None 0 0 41217 MEDTRONIC PLC SHS G5960L103 1027 11392 SH SOLE None 0 0 11392 SEAGATE TECHNOLOGY PLC SHS G7945M107 368 7550 SH SOLE None 0 0 7550 TRITON INTL LTD CL A G9078F107 279 10793 SH SOLE None 0 0 10793 TRANSOCEAN LTD REG SHS H8817H100 30 26200 SH SOLE None 0 0 26200