CCO

0001398344-19-018837.txt : 20191031 0001398344-19-018837.hdr.sgml : 20191031 20191031083129 ACCESSION NUMBER: 0001398344-19-018837 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191031 DATE AS OF CHANGE: 20191031 EFFECTIVENESS DATE: 20191031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Kovack Advisors, Inc. CENTRAL INDEX KEY: 0001728321 IRS NUMBER: 200981614 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18240 FILM NUMBER: 191182200 BUSINESS ADDRESS: STREET 1: 6451 N. FEDERAL HWY. STREET 2: STE 1201 CITY: FT. LAUDERDALE STATE: FL ZIP: 33308 BUSINESS PHONE: 954-670-8134 MAIL ADDRESS: STREET 1: 6451 N. FEDERAL HWY. STREET 2: STE 1201 CITY: FT. LAUDERDALE STATE: FL ZIP: 33308 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001728321 XXXXXXXX 09-30-2019 09-30-2019 false Kovack Advisors, Inc.

6451 N. FEDERAL HWY. STE 1201 FT. LAUDERDALE FL 33308

13F HOLDINGS REPORT 028-18240 N Chris Mills CCO 954-670-8134 /s/ Chris Mills Ft. Lauderdale FL 10-30-2019 0 551 487379 INFORMATION TABLE 2 fp0046714_13fhr-table.xml 13F INFORMATION TABLE APPLE ORD ORD 037833100 20519 91615 SH SOLE 0 0 91615 APPLE JAN 17, 2020 CALL 180 ORD 037833100 61 15 SH Call SOLE 0 0 15 ABBVIE ORD ORD 00287Y109 1669 22043 SH SOLE 0 0 22043 ABBVIE JAN 17, 2020 PUT 75 ORD 00287Y109 3 7 SH Put SOLE 0 0 7 ABBOTT LABORATORIES ORD ORD 002824100 1160 13867 SH SOLE 0 0 13867 AURORA CANNABIS ORD ORD 05156X108 72 16336 SH SOLE 0 0 16336 ACCENTURE CL A ORD CL A ORD G1151C101 1052 5471 SH SOLE 0 0 5471 ISHARES MSCI ACWI ETF MSCI ACWI ETF 464288257 440 5962 SH SOLE 0 0 5962 ADOBE ORD ORD 00724F101 1541 5580 SH SOLE 0 0 5580 AUTOMATIC DATA PROCESSING ORD ORD 053015103 232 1437 SH SOLE 0 0 1437 AMERICAN ELECTRIC POWER ORD ORD 025537101 581 6199 SH SOLE 0 0 6199 AMERICAN FIN CL A ORD ORD 02607T109 310 22208 SH SOLE 0 0 22208 AFLAC ORD ORD 001055102 323 6170 SH SOLE 0 0 6170 ISHARES CORE US AGGREGATE BOND ETF US AGGREGATE BOND ETF 464287226 1867 16497 SH SOLE 0 0 16497 AGNC INVESTMENT REIT ORD REIT ORD 00123Q104 304 18887 SH SOLE 0 0 18887 AMGEN ORD ORD 031162100 680 3515 SH SOLE 0 0 3515 AMGEN JAN 17, 2020 CALL 230 ORD 031162100 0 1 SH Call SOLE 0 0 1 ALPS ALERIAN MLP ETF MLP ETF 00162Q866 1091 119399 SH SOLE 0 0 119399 AMERICAN TOWER REIT REIT 03027X100 477 2156 SH SOLE 0 0 2156 AMAZON COM ORD ORD 023135106 13969 8047 SH SOLE 0 0 8047 AMAZON.COM JAN 15, 2021 CALL 2000 ORD 023135106 20 4 SH Call SOLE 0 0 4 AMAZON.COM JAN 17, 2020 PUT 1600 ORD 023135106 65 4 SH Put SOLE 0 0 4 ABERCROMBIE AND FITCH CL A ORD CL A ORD 002896207 1161 74448 SH SOLE 0 0 74448 ISHARES CORE AGGRESSIVE ALLOCATI ETF AGGRESSIVE ALLOCATI ETF 464289859 407 7404 SH SOLE 0 0 7404 ISHARES CORE MODERATE ALLOCATIN ETF MODERATE ALLOCATIN ETF 464289875 855 21765 SH SOLE 0 0 21765 ISHARES CORE GROWTH ALLOCATION ETF GROWTH ALLOCATION ETF 464289867 555 12050 SH SOLE 0 0 12050 APOLLO GLOBAL MANAGEMENT CL A ORD CL A ORD 03768E105 676 17865 SH SOLE 0 0 17865 PREFERRED APARTMENT COMM REIT ORD ORDM REIT ORD 74039L103 427 29549 SH SOLE 0 0 29549 ARES DYNAMIC CREDIT ALLOCATION CF CREDIT ALLOCATION CF 04014F102 253 17000 SH SOLE 0 0 17000 APOLLO COMM REAL EST FIN REIT ORD REIT ORD 03762U105 369 19224 SH SOLE 0 0 19224 ARK GENOMIC REVOLUTION ETF REVOLUTION ETF 00214Q302 645 21834 SH SOLE 0 0 21834 AMERICAN EXPRESS ORD ORD 025816109 450 3803 SH SOLE 0 0 3803 AMERICAN EXPRESS JAN 17, 2020 PUT 110 ORD 025816109 2 6 SH Put SOLE 0 0 6 ALTERYX CL A ORD CL A ORD 02156B103 240 2230 SH SOLE 0 0 2230 BOEING ORD ORD 097023105 3440 9041 SH SOLE 0 0 9041 BOEING JAN 17, 2020 PUT 350 ORD 097023105 3 3 SH Put SOLE 0 0 3 ALIBABA GROUP HOLDING ADR REP 8 ORD ADR REP 8 ORD 01609W102 1066 6372 SH SOLE 0 0 6372 ALIBABA JAN 17, 2020 CALL 150 ADR REP 8 ORD 01609W102 11 8 SH Call SOLE 0 0 8 BANK OF AMERICA ORD ORD 060505104 900 30867 SH SOLE 0 0 30867 BB AND T ORD ORD 054937107 1051 19684 SH SOLE 0 0 19684 BECTON DICKINSON ORD ORD 075887109 255 1007 SH SOLE 0 0 1007 BLACKROCK CORE BOND CF CORE BOND CF 09249E101 180 12475 SH SOLE 0 0 12475 VANGUARD INTERMEDIATE TERM BOND ETF INT TERM BOND ETF 921937819 694 7885 SH SOLE 0 0 7885 BOOKING HOLDINGS ORD ORD 09857L108 1099 560 SH SOLE 0 0 560 BLACKROCK ORD ORD 09247X101 529 1186 SH SOLE 0 0 1186 BLACKROCK JAN 17, 2020 CALL 700 ORD 09247X101 0 1 SH Call SOLE 0 0 1 VANGUARD LONG TERM BOND ETF LONG TERM BOND ETF 921937793 337 3281 SH SOLE 0 0 3281 BRISTOL MYERS SQUIBB ORD ORD 110122108 941 18551 SH SOLE 0 0 18551 BRISTOL-MYERS JAN 17, 2020 CALL 45 ORD 110122108 2 3 SH Call SOLE 0 0 3 VANGUARD TOTAL BOND MARKET ETF TOTAL BOND MKT ETF 921937835 275 3251 SH SOLE 0 0 3251 VANGUARD TOTAL INTERNATIONAL BND ETF TOTAL INTL BOND ETF 92203J407 749 12739 SH SOLE 0 0 12739 BP ADR EACH REPSTNG SIX ORD ADR EACH REPSTNG SIX ORD 055622104 1144 30108 SH SOLE 0 0 30108 BLUEROCK RESIDENTIAL GRWTH CL A REIT GROWTH CL A REIT 09627J102 171 14489 SH SOLE 0 0 14489 BERKSHIRE HATHWAY CL B ORD CL B ORD 084670702 1327 6381 SH SOLE 0 0 6381 INVSC BULLETSHARES 2021 CRP BND ETF BULLETSHARES 2021 CRP BND ETF 46138J700 376 17707 SH SOLE 0 0 17707 INVSC BULTSH 2019 HG YLD CRP BND ETF BULTSH 2019 HG YLD CRP BND ETF 46138J403 486 20311 SH SOLE 0 0 20311 INVSC BULTSH 2020 HG YLD CRP BND ETF BULTSH 2020 HG YLD CRP BND ETF 46138J601 326 13627 SH SOLE 0 0 13627 INVSC BULTSH 2021 HG YLD CRP BND ETF BULTSH 2021 HG YLD CRP BND ETF 46138J809 213 8661 SH SOLE 0 0 8661 VANGUARD SHORT-TERM BOND ETF SHORT-TERM BOND ETF 921937827 2115 26174 SH SOLE 0 0 26174 BOSTON SCIENTIFIC ORD ORD 101137107 297 7306 SH SOLE 0 0 7306 ANHEUSER BUSCH ADR REP 1 ORD ADR REP 1 ORD 03524A108 691 7260 SH SOLE 0 0 7260 BLACKSTONE GROUP CL A ORD CL A ORD 09260D107 987 20211 SH SOLE 0 0 20211 BLACKSTONE GROUP L P CALL JAN00040000 CL A ORD 09260D107 0 5 SH Call SOLE 0 0 5 BLACKSTONE MORTGAGE CL A REIT ORD CL A REIT ORD 09257W100 890 24830 SH SOLE 0 0 24830 BAOZUN ADR REP 3 ORD ADR REP 3 ORD 06684L103 202 4725 SH SOLE 0 0 4725 CITIGROUP ORD ORD 172967424 317 4596 SH SOLE 0 0 4596 CITIGROUP INC CALL JAN00065000 ORD 172967424 1 1 SH Call SOLE 0 0 1 CONAGRA BRANDS ORD ORD 205887102 246 8012 SH SOLE 0 0 8012 CATERPILLAR ORD ORD 149123101 688 5446 SH SOLE 0 0 5446 CATERPILLAR JAN 17, 2020 CALL 180 ORD 149123101 0 2 SH Call SOLE 0 0 2 CHUBB ORD ORD H1467J104 340 2106 SH SOLE 0 0 2106 VCTRYSRS US EQ INCM ENHNCD WTD ETF S EQ INCM ENHNCD WTD ETF 92647N824 234 5028 SH SOLE 0 0 5028 CELGENE ORD ORD 151020104 1691 17030 SH SOLE 0 0 17030 CELGENE CORP CALL OCT00120000 ORD 151020104 0 1 SH Call SOLE 0 0 1 CULLEN FROST BANKERS ORD ORD 229899109 351 3965 SH SOLE 0 0 3965 CARLYLE GROUP UNT UNT 14309L102 241 9428 SH SOLE 0 0 9428 CANOPY GROWTH ORD ORD 138035100 556 24262 SH SOLE 0 0 24262 CHURCH AND DWIGHT ORD ORD 171340102 362 4814 SH SOLE 0 0 4814 CINCINNATI FINANCIAL ORD ORD 172062101 215 1841 SH SOLE 0 0 1841 CLEVELAND CLIFFS ORD ORD 185899101 195 26958 SH SOLE 0 0 26958 CORNERSTONE STRATEGIC VALUE CF STRATEGIC VALUE CF 21924B302 311 27401 SH SOLE 0 0 27401 COLONY CREDIT REAL ESTATE CL A ORD REAL ESTATE CL A ORD 19625T101 487 33666 SH SOLE 0 0 33666 COLONY CAPITAL CL A ORD CL A ORD 19626G108 98 16321 SH SOLE 0 0 16321 CLOROX ORD ORD 189054109 503 3315 SH SOLE 0 0 3315 COMCAST CL A ORD ORD 20030N101 897 19902 SH SOLE 0 0 19902 CHIPOTLE MEXICAN GRILL ORD ORD 169656105 873 1039 SH SOLE 0 0 1039 COMPASS MINERALS INTERNATIONAL ORD ORD 20451N101 1219 21571 SH SOLE 0 0 21571 CONOCOPHILLIPS ORD ORD 20825C104 410 7190 SH SOLE 0 0 7190 COSTCO WHOLESALE ORD ORD 22160K105 1584 5498 SH SOLE 0 0 5498 CORNERSTONE TOTAL RETURN CF TOTAL RETURN CF 21924U300 306 27823 SH SOLE 0 0 27823 SALESFORCE.COM ORD ORD 79466L302 1355 9126 SH SOLE 0 0 9126 CROWDSTRIKE HOLDINGS CL A ORD CL A ORD 22788C105 842 14439 SH SOLE 0 0 14439 CISCO SYSTEMS ORD ORD 17275R102 2197 44473 SH SOLE 0 0 44473 CINTAS ORD ORD 172908105 444 1657 SH SOLE 0 0 1657 CENTURYLINK ORD ORD 156700106 256 20549 SH SOLE 0 0 20549 CVS HEALTH ORD ORD 126650100 587 9311 SH SOLE 0 0 9311 CVS HEALTH JAN 17, 2020 CALL 60 ORD 126650100 4 11 SH Call SOLE 0 0 11 CVS CAREMARK CORP CALL AUG00105000 ORD 126650100 0 3 SH Call SOLE 0 0 3 CHEVRON ORD ORD 166764100 2851 24039 SH SOLE 0 0 24039 CHEVRON OCT 18, 2019 PUT 110 ORD 166764100 0 2 SH Put SOLE 0 0 2 SPDR BLMBERG BRCLY CONV SECRT ETF BLMBERG BRCLY CONV SECRT ETF 78464A359 469 8938 SH SOLE 0 0 8938 CARTER VALIDUS MISSN CRITL REIT ORD REIT ORD 146282108 410 76997 SH SOLE 0 0 76997 DOMINION ENERGY ORD ORD 25746U109 1578 19468 SH SOLE 0 0 19468 DOMINION US JAN 17, 2020 PUT 70 ORD 25746U109 0 6 SH Put SOLE 0 0 6 DIEBOLD NIXDORF ORD ORD 253651103 337 30083 SH SOLE 0 0 30083 DEERE ORD ORD 244199105 244 1447 SH SOLE 0 0 1447 DECKERS OUTDOOR ORD ORD 243537107 252 1711 SH SOLE 0 0 1711 DIAGEO ADR REP 4 ORD ORD 25243Q205 462 2824 SH SOLE 0 0 2824 DEAN FOODS ORD ORD 242370203 43 36800 SH SOLE 0 0 36800 ISHARES CORE DIVIDEND GROWTH ETF CORE DIVIDEND GROWTH ETF 46434V621 11242 287229 SH SOLE 0 0 287229 WISDOMTREE US QLT DIV GRW ETF US QLT DIV GRW ETF 97717X669 876 19430 SH SOLE 0 0 19430 DANAHER ORD ORD 235851102 508 3519 SH SOLE 0 0 3519 SPDR DOW JONES INDUSTRIAL AVRG ETF DOW JONES INDUSTRIAL AVRG ETF 78467X109 8338 30975 SH SOLE 0 0 30975 WALT DISNEY ORD ORD 254687106 2433 18668 SH SOLE 0 0 18668 WALT DISNEY JAN 17, 2020 CALL 135 ORD 254687106 0 2 SH Call SOLE 0 0 2 DISNEY WALT COMPANY CALL JAN00160000 ORD 254687106 0 1 SH Call SOLE 0 0 1 WISDOMTREE US LARGECAP DIVIDEND ETF US LARGECAP DIVIDEND ETF 97717W307 2178 21981 SH SOLE 0 0 21981 DERMTECH ORD ORD 24984K105 73 13000 SH SOLE 0 0 13000 WISDOMTREE US MIDCAP DIVIDEND ETF US MIDCAP DIVIDEND ETF 97717W505 2069 56974 SH SOLE 0 0 56974 DOW ORD ORD 260557103 544 11424 SH SOLE 0 0 11424 DASEKE ORD ORD 23753F107 87 34900 SH SOLE 0 0 34900 DUKE ENERGY ORD ORD 26441C204 295 3082 SH SOLE 0 0 3082 ISHARES SELECT DIVIDEND ETF SELECT DIVIDEND ETF 464287168 1782 17482 SH SOLE 0 0 17482 ELECTRONIC ARTS ORD ORD 285512109 204 2084 SH SOLE 0 0 2084 CONSOLIDATED EDISON ORD ORD 209115104 372 3937 SH SOLE 0 0 3937 STONE HARBOR EMERGING MARKETS CF EMERGING MARKETS CF 86164T107 176 13411 SH SOLE 0 0 13411 ISHARES MSCI EMERGING MARKETS ETF MSCI EMERGING MARKETS ETF 464287234 284 6945 SH SOLE 0 0 6945 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 1286 19716 SH SOLE 0 0 19716 ISHARES JPMORGAN USD MTS BOND ETF JPMORGAN USD MTS BOND ETF 464288281 254 2236 SH SOLE 0 0 2236 WESTERN ASSET EMERGING MRKTS DEBT CF EMERGING MRKTS DEBT CF 95766A101 835 60085 SH SOLE 0 0 60085 EMERSON ELECTRIC ORD ORD 291011104 216 3235 SH SOLE 0 0 3235 EMERSON ELECTRIC JAN 17, 2020 CALL 62.5 ORD 291011104 2 5 SH Call SOLE 0 0 5 ENBRIDGE ORD ORD 29250N105 667 19002 SH SOLE 0 0 19002 WELLS FARGO GLOBAL DIVIDEND OPPO CF GLOBAL DIVIDEND OPPO CF 94987C103 64 11764 SH SOLE 0 0 11764 EATON VANCE ENHANCED EQTY INCOME CF ENHANCED EQTY INORDE CF 278274105 1216 80305 SH SOLE 0 0 80305 ENTERPRISE PRODUCTS PARTNERS UNT UNT 293792107 403 14098 SH SOLE 0 0 14098 ENTERPRISE PRODT JAN 17, 2020 PUT 27 UNT 293792107 2 36 SH Put SOLE 0 0 36 ENTERPRISE PRODT MAR 20, 2020 PUT 28 UNT 293792107 0 2 SH Put SOLE 0 0 2 ALPS EQUAL SECTOR WEIGHT ETF EQUAL SECTOR WEIGHT ETF 00162Q205 485 6416 SH SOLE 0 0 6416 ENERGY TRANSFER UNT UNT 29273V100 198 15149 SH SOLE 0 0 15149 ENERGY TRANSFER OCT 18, 2019 PUT 12.5 UNT 29273V100 0 32 SH Put SOLE 0 0 32 EATON VANCE TX ADVNT GLBL DVD OPP CF TX ADVNT GLBL DVD OPP CF 27828U106 240 9481 SH SOLE 0 0 9481 ETSY ORD ORD 29786A106 236 4175 SH SOLE 0 0 4175 EDWARDS LIFESCIENCES ORD ORD 28176E108 418 1901 SH SOLE 0 0 1901 ISHARES MSCI JAPAN ETF MSCI JAPAN ETF 46434G822 230 4048 SH SOLE 0 0 4048 EXACT SCIENCES ORD ORD 30063P105 225 2485 SH SOLE 0 0 2485 EXELON ORD ORD 30161N101 268 5547 SH SOLE 0 0 5547 EXELON CORP CALL OCT00034000 ORD 30161N101 0 3 SH Call SOLE 0 0 3 FORD MOTOR ORD ORD 345370860 666 72738 SH SOLE 0 0 72738 FACEBOOK CL A ORD CL A ORD 30303M102 3694 20743 SH SOLE 0 0 20743 FACEBOOK JAN 17, 2020 PUT 180 CL A ORD 30303M102 12 10 SH Put SOLE 0 0 10 FACEBOOK INC CALL JAN00160000 CL A ORD 30303M102 7 12 SH Call SOLE 0 0 12 FIDELITY TOTAL BOND ETF TOTAL BOND ETF 316188309 266 5152 SH SOLE 0 0 5152 FIRST TRUST NYSE ARCA BIOTECH ID ETF ARCA BIOTECH ID ETF 33733E203 267 2154 SH SOLE 0 0 2154 FREEPORT MCMORAN ORD ORD 35671D857 102 10637 SH SOLE 0 0 10637 FREEPORT MCMORAN NOV 15, 2019 CALL 12 ORD 35671D857 0 2 SH Call SOLE 0 0 2 FIRST TRUST MORNINGSTAR DIV LDRS ETF DIV LDRS ETF 336917109 231 7442 SH SOLE 0 0 7442 FIDELITY LOW VOLATILITY FACTR ETF LOW VOLATILITY FACTR ETF 316092824 1210 32943 SH SOLE 0 0 32943 FIRST TRUST INTERNET INDEX CF ETF INTERNET INDEX CF ETF 33733E302 1131 8402 SH SOLE 0 0 8402 FIDELITY HIGH DIVIDEND ETF HIGH DIVIDEND ETF 316092840 1046 34624 SH SOLE 0 0 34624 FEDEX ORD ORD 31428X106 223 1535 SH SOLE 0 0 1535 FEDEX CORP CALL JAN00195000 ORD 31428X106 8 2 SH Call SOLE 0 0 2 FIRST TRUST LRGE CAP CORE APADEX ETF LRGE CAP CORE APADEX ETF 33734K109 524 8599 SH SOLE 0 0 8599 FIDELITY MSCI INDUSTRIALS INDX ETF MSCI INDUSTRIALS INDX ETF 316092709 297 7461 SH SOLE 0 0 7461 FIRST TRUST ISE WATER INDEX ETF ISE WATER INDEX ETF 33733B100 363 6462 SH SOLE 0 0 6462 FIRST TRUST TCW OPPORTUNISTIC FI ETF TCW OPPORTUNISTIC FI ETF 33740F805 1874 35594 SH SOLE 0 0 35594 VANCK VCTRS INVST GRD FLOTNG ETF INVST GRD FLOTNG ETF 92189F486 2223 88080 SH SOLE 0 0 88080 FIRST TRUST MORTGAGE INCOME CF MORTGAGE INORDE CF 33734E103 287 20500 SH SOLE 0 0 20500 FEDERAL NATIONAL MORTGAGE ORD ORD 313586109 89 23390 SH SOLE 0 0 23390 FIRST TRUST PREFERRED SEC INCOME ETF PREFERRED SEC INORDE ETF 33739E108 339 17174 SH SOLE 0 0 17174 FRANCHISE GROUP ORD ORD 35180X105 517 43400 SH SOLE 0 0 43400 FOREST LABS INC COM ORD 345838106 250 2522 SH SOLE 0 0 2522 FS KKR CAPITAL ORD ORD 302635107 78 13339 SH SOLE 0 0 13339 FASTLY CL A ORD ORD 31188V100 214 8900 SH SOLE 0 0 8900 FIRST TRUST CAPITAL STRENGTH ETF CAPITAL STRENGTH ETF 33733E104 549 9668 SH SOLE 0 0 9668 FORTINET ORD ORD 34959E109 297 3870 SH SOLE 0 0 3870 FIRST TRUST ENHANCED SHORT MTRTY ETF ENHANCED SHORT MTRTY ETF 33739Q408 551 9172 SH SOLE 0 0 9172 FIRST TRUST ULTRA SHRT DUR MUNIC ETF ULTRA SHRT DUR MUNIC ETF 33740J104 503 25000 SH SOLE 0 0 25000 FIRST TRUST VALUE DIVIDEND INDEX ETF VALUE DIVIDEND INDEX ETF 33734H106 2745 78734 SH SOLE 0 0 78734 FIRST TRUST TECHNOLOGY ALPHADEX ETF TECHNOLOGY ALPHADEX ETF 33734X176 359 5507 SH SOLE 0 0 5507 FIRST TRUST FINANCIALS ALPHADEX ETF FINANCIALS ALPHADEX ETF 33734X135 251 7890 SH SOLE 0 0 7890 FIRST TRUST UTILITIES ALPHADEX ETF UTILITIES ALPHADEX ETF 33734X184 219 7385 SH SOLE 0 0 7385 GENERAL DYNAMICS ORD ORD 369550108 510 2791 SH SOLE 0 0 2791 GENERAL ELECTRIC ORD ORD 369604103 797 89136 SH SOLE 0 0 89136 GENERAL ELECTRIC CO CALL SEP00030000 ORD 369604103 0 1 SH Call SOLE 0 0 1 GUESS ORD ORD 401617105 573 30910 SH SOLE 0 0 30910 GAMCO GLOBAL GOLD NTRL RSRCS INC CF GOLD NTRL RSRCS INC CF 36465A109 70 15997 SH SOLE 0 0 15997 GILEAD SCIENCES ORD ORD 375558103 346 5460 SH SOLE 0 0 5460 GILEAD SCIENCES INC CALL AUG00100000 ORD 375558103 0 3 SH Call SOLE 0 0 3 GENERAL MILLS ORD ORD 370334104 1127 20455 SH SOLE 0 0 20455 SPDR GOLD SHARES ETF GOLD SHARES ETF 78463V107 606 4365 SH SOLE 0 0 4365 CLOUGH GLOBAL OPPORTUNITIES CF GLOBAL OPPORTUNITIES CF 18914E106 91 10000 SH SOLE 0 0 10000 CORNING ORD ORD 219350105 290 10182 SH SOLE 0 0 10182 GMS ORD ORD 36251C103 201 7000 SH SOLE 0 0 7000 ALPHABET CL C ORD CL C ORD 02079K107 2353 1930 SH SOLE 0 0 1930 ALPHABET CL A ORD CL A ORD 02079K305 3779 3095 SH SOLE 0 0 3095 GOLDMAN SACHS GROUP ORD ORD 38141G104 395 1907 SH SOLE 0 0 1907 GOLDMAN SACHS BDC ORD BDC ORD 38147U107 219 10900 SH SOLE 0 0 10900 GLAXOSMITHKLINE ADR REP TWO ORD ADR REP TWO ORD 37733W105 581 13617 SH SOLE 0 0 13617 GOLDMAN SACHS ACTVBETA US LRG ETF ACTVBETA US LRG ETF 381430503 663 11065 SH SOLE 0 0 11065 GABELLI UTILITY CF UTILITY CF 36240A101 138 18531 SH SOLE 0 0 18531 HUNTINGTON BANCSHARES ORD ORD 446150104 202 14134 SH SOLE 0 0 14134 HANESBRANDS ORD ORD 410345102 222 14461 SH SOLE 0 0 14461 HOME DEPOT ORD ORD 437076102 3889 16761 SH SOLE 0 0 16761 ISHARES CORE HIGH DIVIDEND ETF CORE HIGH DIVIDEND ETF 46429B663 403 4277 SH SOLE 0 0 4277 ISHARES CURRENCY HEDG MSCI EAFE ETF CURRENCY HEDG MSCI EAFE ETF 46434V803 1035 34572 SH SOLE 0 0 34572 HONEYWELL INTERNATIONAL ORD ORD 438516106 1528 9033 SH SOLE 0 0 9033 HONEYWELL INTL OCT 18, 2019 PUT 150 ORD 438516106 0 1 SH Put SOLE 0 0 1 HELMERICH AND PAYNE ORD ORD 423452101 555 13856 SH SOLE 0 0 13856 HORMEL FOODS ORD ORD 440452100 526 12027 SH SOLE 0 0 12027 HEALTHCAR TRST OF AM CL A REIT ORD CL A REIT ORD 42225P501 348 11830 SH SOLE 0 0 11830 HERCULES CAPITAL ORD ORD 427096508 180 13430 SH SOLE 0 0 13430 HUMANA ORD ORD 444859102 484 1894 SH SOLE 0 0 1894 ISHARES IBOXX HIGH YIELD BOND ETF IBOXX HIGH YIELD BOND ETF 464288513 353 4051 SH SOLE 0 0 4051 FIRST TRUST TACTICAL HIGH YIELD ETF TACTICAL HIGH YIELD ETF 33738D408 611 12659 SH SOLE 0 0 12659 PIMCO 0-5 YEAR HIGH YLD BND IDX ETF 0-5 YEAR HIGH YLD BND IDX ETF 72201R783 585 5868 SH SOLE 0 0 5868 BLACKROCK CORPORATE HIGH YIELD CF CORPORATE HIGH YIELD CF 09255P107 133 12400 SH SOLE 0 0 12400 INVENTRUST PPTYS REIT ORD REIT ORD 46124J102 79 51123 SH SOLE 0 0 51123 ISHARES GOLD ETF GOLD ETF 464285105 911 64635 SH SOLE 0 0 64635 ISHARES NASDAQ BIOTECHNOLOGY ETF BIOTECHNOLOGY ETF 464287556 365 3673 SH SOLE 0 0 3673 ISHARES NASDAQ BIOTECH CALL JAN00110000 BIOTECHNOLOGY ETF 464287556 0 6 SH Call SOLE 0 0 6 INTERNATIONAL BUSINESS MACHINES ORD ORD 459200101 561 3855 SH SOLE 0 0 3855 IBM JAN 17, 2020 CALL 190 ORD 459200101 0 5 SH Call SOLE 0 0 5 IBM JAN 17, 2020 PUT 130 ORD 459200101 4 14 SH Put SOLE 0 0 14 INTERNATIONAL BANCSHARES ORD ORD 459044103 8023 207748 SH SOLE 0 0 207748 INTERCONTINENTAL EXCHANGE ORD ORD 45866F104 301 3262 SH SOLE 0 0 3262 IDACORP ORD ORD 451107106 225 2000 SH SOLE 0 0 2000 IDEXX LABORATORIES ORD ORD 45168D104 2538 9334 SH SOLE 0 0 9334 ISHARES 7-10 YEAR TRSURY BOND ETF 7-10 YEAR TRSURY BOND ETF 464287440 508 4514 SH SOLE 0 0 4514 ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE ETF 46432F842 2112 34588 SH SOLE 0 0 34588 ISHARES CORE MSCI EMERGING ETF CORE MSCI EMERGING ETF 46434G103 2774 56590 SH SOLE 0 0 56590 FST TRT DSY WRGHT INTRNL FOCS 5 ETF DSY WRGHT INTRNL FOCS 5 ETF 33738R886 225 11845 SH SOLE 0 0 11845 ISHARES INTERMEDT TERM CORP BOND ETF INTERMEDT TERM CORP BOND ETF 464288638 661 11405 SH SOLE 0 0 11405 ISHARES SHORT TERM CORPORAT BD ETF SHORT TERM CORPORAT BD ETF 464288646 1662 30971 SH SOLE 0 0 30971 ISHARES EXPANDED TECH STW SCTR ETF EXPANDED TECH STW SCTR ETF 464287515 316 1492 SH SOLE 0 0 1492 ISHARES US MEDICAL DEVICES ETF US MEDICAL DEVICES ETF 464288810 870 3518 SH SOLE 0 0 3518 INVESCO VALUE MUNICIPAL INCOME CF VALUE MUNICIPAL INORDE CF 46132P108 1528 99477 SH SOLE 0 0 99477 ISHARES CORE S&P MID CAP ETF CORE S&P MID CAP ETF 464287507 1013 5242 SH SOLE 0 0 5242 ISHARES CORE S&P SMALL CAP ETF CORE S&P SMALL CAP ETF 464287804 1452 18650 SH SOLE 0 0 18650 ISHARES S&P SMLL CAP 600 GRTH ETF S&P SMLL CAP 600 GRTH ETF 464287887 347 1944 SH SOLE 0 0 1944 INTEL ORD ORD 458140100 2678 51964 SH SOLE 0 0 51964 INTEL JAN 17, 2020 CALL 45 ORD 458140100 5 9 SH Call SOLE 0 0 9 INTUIT ORD ORD 461202103 677 2545 SH SOLE 0 0 2545 IRON MOUNTAIN ORD ORD 46284V101 534 16485 SH SOLE 0 0 16485 INTUITIVE SURGICAL ORD ORD 46120E602 629 1165 SH SOLE 0 0 1165 ISHARES US AEROSPACE DEFENSE ETF US AEROSPACE DEFENSE ETF 464288760 3227 14361 SH SOLE 0 0 14361 ISHARES TOTAL US STOCK MARKET ETF TOTAL US STOCK MARKET ETF 464287150 1193 17780 SH SOLE 0 0 17780 ILLINOIS TOOL ORD ORD 452308109 470 3003 SH SOLE 0 0 3003 ISHARES TOTAL USD BOND MARKET ETF TOTAL USD BOND MARKET ETF 46434V613 423 8071 SH SOLE 0 0 8071 ISHARES CORE S&P US GROWTH ETF CORE S&P US GROWTH ETF 464287671 299 4749 SH SOLE 0 0 4749 ISHARES CORE S&P US VALUE ETF CORE S&P US VALUE ETF 464287663 479 8280 SH SOLE 0 0 8280 ISHARES S&P 500 VALUE ETF S&P 500 VALUE ETF 464287408 1208 10143 SH SOLE 0 0 10143 ISHARES CORE S&P 500 ETF CORE S&P 500 ETF 464287200 7354 24635 SH SOLE 0 0 24635 ISHARES S&P 500 GROWTH ETF S&P 500 GROWTH ETF 464287309 1597 8873 SH SOLE 0 0 8873 ISHARES RUSSELL 1000 VALUE ETF RUSSELL 1000 VALUE ETF 464287598 286 2227 SH SOLE 0 0 2227 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 593 3917 SH SOLE 0 0 3917 ISHARES RUSSELL 2000 GROWTH ETF RUSSELL 2000 GROWTH ETF 464287648 320 1659 SH SOLE 0 0 1659 ISHARES RUSSELL 3000 ETF RUSSELL 3000 ETF 464287689 2469 14209 SH SOLE 0 0 14209 ISHARES GLOBAL TECH ETF GLOBAL TECH ETF 464287291 588 3178 SH SOLE 0 0 3178 ISHARES US FINANCIALS ETF US FINANCIALS ETF 464287788 1323 10280 SH SOLE 0 0 10280 ISHARES US INDUSTRIALS ETF US INDUSTRIALS ETF 464287754 399 2509 SH SOLE 0 0 2509 ISHARES MORN MLTI ASS INC IND ETF MORN MLTI ASS INC IND ETF 46432F875 1364 54632 SH SOLE 0 0 54632 ISHARES US TECHNOLOGY ETF US TECHNOLOGY ETF 464287721 413 2023 SH SOLE 0 0 2023 ISHARES MRNSTAR LRG CAP GRW ETF MRNSTAR LRG CAP GRW ETF 464287119 1675 8749 SH SOLE 0 0 8749 JOHNSON & JOHNSON ORD ORD 478160104 3235 25007 SH SOLE 0 0 25007 JOHNSON&JOHNSON JAN 17, 2020 PUT 130 ORD 478160104 2 3 SH Put SOLE 0 0 3 SPDR BLMBRG BRCLY HGH YLD BND ETF HGH YLD BND ETF 78468R622 507 4660 SH SOLE 0 0 4660 NUVEEN PREFERRED AND INCM OPP CF PREFERRED AND INCM OPP CF 67073B106 153 15227 SH SOLE 0 0 15227 JPMORGAN CHASE ORD ORD 46625H100 2152 18289 SH SOLE 0 0 18289 JPMORGAN CHASE & CO PUT AUG00043000 ORD 46625H100 0 6 SH Put SOLE 0 0 6 JPMORGAN CHASE & CO CALL JAN00090000 ORD 46625H100 2 1 SH Call SOLE 0 0 1 NUVEEN PREF AND INCM SECURITIES CF PREF AND INCM SECURITIES CF 67072C105 4875 494885 SH SOLE 0 0 494885 NUVEEN FLOATG RATE INCM OPPORTNTY CF FLOATG RATE INCM OPPORTNTY CF 6706EN100 1390 145715 SH SOLE 0 0 145715 KRAIG BIOCRAFT LABORATORIES ORD BIOCRAFT LABORATORIES ORD 50075W104 5 23500 SH SOLE 0 0 23500 KIRKLAND LAKE GOLD ORD GOLD ORD 49741E100 219 4882 SH SOLE 0 0 4882 KIMBERLY CLARK ORD ORD 494368103 624 4395 SH SOLE 0 0 4395 KIMBERLY CLARK NOV 15, 2019 PUT 135 ORD 494368103 0 1 SH Put SOLE 0 0 1 KINDER MORGAN CL P ORD CL P ORD 49456B101 238 11556 SH SOLE 0 0 11556 COCA-COLA ORD ORD 191216100 930 17075 SH SOLE 0 0 17075 COCA-COLA JAN 17, 2020 CALL 50 ORD 191216100 1 1 SH Call SOLE 0 0 1 COCA-COLA JAN 17, 2020 PUT 52.5 ORD 191216100 0 2 SH Put SOLE 0 0 2 SPDR S&P REGIONAL BANKING ETF S&P REGIONAL BANKING ETF 78464A698 378 7167 SH SOLE 0 0 7167 KRANESHARES CSI CHINA INTERNET ETF CSI CHINA INTERNET ETF 500767306 634 15347 SH SOLE 0 0 15347 ELI LILLY ORD ORD 532457108 458 4096 SH SOLE 0 0 4096 FRST TRT LOW DRTN OPPRNTS ETF LOW DRTN OPPRNTS ETF 33739Q200 350 6732 SH SOLE 0 0 6732 LOCKHEED MARTIN ORD ORD 539830109 2719 6971 SH SOLE 0 0 6971 LOCKHEED JAN 17, 2020 CALL 400 ORD 539830109 1 1 SH Call SOLE 0 0 1 LOWE'S COMPANIES ORD ORD 548661107 337 3064 SH SOLE 0 0 3064 ISHARES IBOXX INVT GRADE BOND ETF IBOXX INVT GRADE BOND ETF 464287242 492 3857 SH SOLE 0 0 3857 LTC PROPERTIES REIT ORD REIT ORD 502175102 333 6500 SH SOLE 0 0 6500 LAMB WESTON HOLDINGS ORD ORD 513272104 320 4401 SH SOLE 0 0 4401 LEXINGTON REALTY REIT ORD REIT ORD 529043101 200 19500 SH SOLE 0 0 19500 LLOYDS BANKING GROUP ADR 4 ORD ADR 4 ORD 539439109 55 20970 SH SOLE 0 0 20970 MASTERCARD CL A ORD CL A ORD 57636Q104 1194 4396 SH SOLE 0 0 4396 MATTEL ORD ORD 577081102 434 38137 SH SOLE 0 0 38137 MOBILE TELESYSTEMS ADR REP 2 ORD ADR REP 2 ORD 607409109 242 29825 SH SOLE 0 0 29825 MCDONALD'S ORD ORD 580135101 1897 8833 SH SOLE 0 0 8833 BARINGS CORPORATE INVESTORS CF CORPORATE INVESTORS CF 06759X107 361 21441 SH SOLE 0 0 21441 MONGODB CL A ORD CL A ORD 60937P106 233 1930 SH SOLE 0 0 1930 MONDELEZ INTERNATIONAL CL A ORD CL A ORD 609207105 402 7265 SH SOLE 0 0 7265 MCDERMOTT INTERNATIONAL ORD INTERNATIONAL ORD 580037703 27 13420 SH SOLE 0 0 13420 MEDTRONIC ORD ORD G5960L103 1088 10020 SH SOLE 0 0 10020 MERCADOLIBRE ORD ORD 58733R102 710 1289 SH SOLE 0 0 1289 VANGUARD MEGA CAP GROWTH ETF MEGA CAP GROWTH ETF 921910816 633 4770 SH SOLE 0 0 4770 MAIDEN HOLDINGS ORD ORD G5753U112 11 15200 SH SOLE 0 0 15200 MACQUARIE INFRASTRUCTURE ORD ORD 55608B105 1179 29880 SH SOLE 0 0 29880 MCCORMICK ORD ORD 579780206 357 2283 SH SOLE 0 0 2283 3M ORD ORD 88579Y101 628 3822 SH SOLE 0 0 3822 MAGELLAN MIDSTREAM PARTNERS UNT MIDSTREAM PARTNERS UNT 559080106 235 3546 SH SOLE 0 0 3546 MANNING AND NAPIER CL A ORD CL A ORD 56382Q102 59 31604 SH SOLE 0 0 31604 ALTRIA GROUP ORD ORD 02209S103 1463 35776 SH SOLE 0 0 35776 MARATHON PETROLEUM ORD ORD 56585A102 268 4416 SH SOLE 0 0 4416 MEDICAL PROPERTIES REIT ORD REIT ORD 58463J304 325 16625 SH SOLE 0 0 16625 MERCK & CO ORD ORD 58933Y105 1574 18694 SH SOLE 0 0 18694 MERCK & CO JAN 17, 2020 CALL 87.5 ORD 58933Y105 0 1 SH Call SOLE 0 0 1 MORGAN STANLEY ORD ORD 617446448 272 6372 SH SOLE 0 0 6372 MORGAN STANLEY CALL JAN00042000 ORD 617446448 2 1 SH Call SOLE 0 0 1 MICROSOFT ORD ORD 594918104 7461 53665 SH SOLE 0 0 53665 MICROSOFT JAN 17, 2020 CALL 100 ORD 594918104 4 1 SH Call SOLE 0 0 1 ISHARES EDGE MSCI USA MOMNTM ETF MSCI USA MOMNTM ETF 46432F396 777 6512 SH SOLE 0 0 6512 ISHARES NATIONAL MUNI BOND ETF NATIONAL MUNI BOND ETF 464288414 432 3788 SH SOLE 0 0 3788 BLACKROCK MUNIVEST II CF MUNIVEST II CF 09253T101 215 14620 SH SOLE 0 0 14620 NABORS INDUSTRIES ORD ORD G6359F103 21 11000 SH SOLE 0 0 11000 ALLIANZGI CNV AND INCM II CF CNV AND INCM II CF 018825109 56 11191 SH SOLE 0 0 11191 ISHARES SHORT MATURITY BOND ETF SHORT MATURITY BOND ETF 46431W507 3350 66550 SH SOLE 0 0 66550 NEXTERA ENERGY ORD ORD 65339F101 1969 8451 SH SOLE 0 0 8451 NETFLIX ORD ORD 64110L106 519 1940 SH SOLE 0 0 1940 NIKE CL B ORD CL B ORD 654106103 237 2527 SH SOLE 0 0 2527 ANNALY CAPITAL MANAGEMENT REIT ORD REIT ORD 035710409 274 31183 SH SOLE 0 0 31183 NEW MOUNTAIN FINANCE NTS NTS 647551209 231 9000 SH SOLE 0 0 9000 PROSHARES S&P 500 DIV ARISTOCRAT ETF S&P 500 DIV ARISTOCRAT ETF 74348A467 1268 17708 SH SOLE 0 0 17708 NORTHROP GRUMMAN ORD ORD 666807102 498 1329 SH SOLE 0 0 1329 NOKIA ADR REPSG 1 SER A ORD ORD 654902204 170 33630 SH SOLE 0 0 33630 SERVICENOW ORD ORD 81762P102 1406 5539 SH SOLE 0 0 5539 SERVICENOW JAN 17, 2020 PUT 240 ORD 81762P102 6 4 SH Put SOLE 0 0 4 NEW RESIDENTIAL INVESTMENT REIT ORD REIT ORD 64828T201 172 10948 SH SOLE 0 0 10948 NUSTAR ENERGY UNT ENERGY UNT 67058H102 282 9940 SH SOLE 0 0 9940 NOVOCURE ORD ORD G6674U108 207 2768 SH SOLE 0 0 2768 NVIDIA ORD ORD 67066G104 1099 6314 SH SOLE 0 0 6314 NOVARTIS ADR REPSG 1 ORD ORD 66987V109 375 4317 SH SOLE 0 0 4317 NEW YORK MORTGAGE REIT ORD REIT ORD 649604501 86 14044 SH SOLE 0 0 14044 ONEOK ORD ORD 682680103 320 4342 SH SOLE 0 0 4342 ONEOK JAN 17, 2020 PUT 70 ORD 682680103 0 1 SH Put SOLE 0 0 1 OKTA CL A ORD CL A ORD 679295105 777 7895 SH SOLE 0 0 7895 FIDELITY NASDAQ COMPOSITE INDX ETF NASDAQ ORDPOSITE INDX ETF 315912808 3252 10356 SH SOLE 0 0 10356 OPKO HEALTH ORD ORD 68375N103 45 21651 SH SOLE 0 0 21651 ORBCOMM ORD ORD 68555P100 131 27530 SH SOLE 0 0 27530 OWL ROCK CAPITAL ORD ORD 69121K104 312 19800 SH SOLE 0 0 19800 ORACLE ORD ORD 68389X105 469 8519 SH SOLE 0 0 8519 ORACLE JAN 17, 2020 CALL 47 ORD 68389X105 1 1 SH Call SOLE 0 0 1 ORACLE JAN 17, 2020 CALL 60 ORD 68389X105 0 1 SH Call SOLE 0 0 1 O'REILLY AUTOMOTIVE ORD ORD 67103H107 554 1391 SH SOLE 0 0 1391 OCCIDENTAL PETROLEUM ORD ORD 674599105 661 14862 SH SOLE 0 0 14862 PLAINS GP HOLDINGS CL A ORD CL A ORD 72651A207 223 10500 SH SOLE 0 0 10500 PALO ALTO NETWORKS ORD ORD 697435105 1633 8013 SH SOLE 0 0 8013 PALO ALTO OCT 04, 2019 CALL 210 ORD 697435105 0 3 SH Call SOLE 0 0 3 PAYCOM SOFTWARE ORD ORD 70432V102 309 1473 SH SOLE 0 0 1473 PAYCHEX ORD ORD 704326107 216 2610 SH SOLE 0 0 2610 PAYCHEX JAN 17, 2020 CALL 75 ORD 704326107 2 2 SH Call SOLE 0 0 2 PAYCHEX JAN 17, 2020 PUT 77.5 ORD 704326107 1 4 SH Put SOLE 0 0 4 PITNEY BOWES ORD ORD 724479100 178 39009 SH SOLE 0 0 39009 PERMIAN BASIN ROYALTY UNT UNT 714236106 104 20000 SH SOLE 0 0 20000 PIMCO DYNMC CRDT AND MRTG INCM CF CRDT AND MRTG INCM CF 72202D106 692 28267 SH SOLE 0 0 28267 PIMCO CORP INCOME CF INORDE CF 72200U100 187 10194 SH SOLE 0 0 10194 PEPSICO ORD ORD 713448108 2110 15392 SH SOLE 0 0 15392 PFIZER ORD ORD 717081103 2503 69672 SH SOLE 0 0 69672 PFIZER INC PUT AUG00027000 ORD 717081103 0 3 SH Put SOLE 0 0 3 ISHARES PREFERRED INCOME SEC ETF PREFERRED INORDE SEC ETF 464288687 777 20711 SH SOLE 0 0 20711 PROCTER & GAMBLE ORD ORD 742718109 2816 22643 SH SOLE 0 0 22643 PROCTER GAMBLE JAN 15, 2021 PUT 155 ORD 742718109 7 2 SH Put SOLE 0 0 2 PROCTER & GAMBLE CO CALL JAN00092500 ORD 742718109 0 1 SH Call SOLE 0 0 1 INVSC PREFERRED ETF ETF 46138E511 939 62496 SH SOLE 0 0 62496 POLYMET MINING ORD ORD 731916102 13 40000 SH SOLE 0 0 40000 PHILIP MORRIS INTERNATIONAL ORD ORD 718172109 884 11640 SH SOLE 0 0 11640 PENNYMAC MORTGAGE INVEST REIT ORD REIT ORD 70931T103 240 10780 SH SOLE 0 0 10780 INVSC NASDAQ INTERNET ETF NASDAQ INTERNET ETF 46137V530 408 3136 SH SOLE 0 0 3136 PINNACLE WEST ORD ORD 723484101 230 2365 SH SOLE 0 0 2365 INVSC AEROSPACE DEFENSE ETF DEFENSE ETF 46137V100 323 4768 SH SOLE 0 0 4768 3D PRINTING ETF 3D PRINTING ETF 00214Q500 534 25874 SH SOLE 0 0 25874 SPDR WELLS FARGO PREFERRED STOCK ETF PREFERRED STOCK ETF 78464A292 214 4845 SH SOLE 0 0 4845 PHILLIPS 66 ORD ORD 718546104 504 4919 SH SOLE 0 0 4919 PAYPAL HOLDINGS ORD ORD 70450Y103 900 8686 SH SOLE 0 0 8686 PAYPAL HLDG OCT 18, 2019 PUT 100 ORD 70450Y103 1 4 SH Put SOLE 0 0 4 INVSC NATIONAL AMTFREE MNCPL BND ETF NATIONAL AMTFREE MNCPL BND ETF 46138E537 250 9422 SH SOLE 0 0 9422 QUALCOMM ORD ORD 747525103 470 6158 SH SOLE 0 0 6158 QUALCOMM JAN 17, 2020 CALL 80 ORD 747525103 1 4 SH Call SOLE 0 0 4 INVSC QQQ TRUST SRS 1 ETF SRS 1 ETF 46090E103 2991 15841 SH SOLE 0 0 15841 FIRST TST NASDAQ 100 TEC ID ETF NASDAQ 100 TEC ID ETF 337345102 394 4507 SH SOLE 0 0 4507 ISHARS EDG MSCI USA QLTY FCTR ETF MSCI USA QLTY FCTR ETF 46432F339 976 10568 SH SOLE 0 0 10568 REYNOLDS AMERICAN INC COM ORD 761713106 236 3613 SH SOLE 0 0 3613 RCM TECHNOLOGIES ORD ORD 749360400 37 12339 SH SOLE 0 0 12339 PIMCO STRATEGIC INCOME CF STRATEGIC INORDE CF 72200X104 190 20548 SH SOLE 0 0 20548 ROYAL DUTCH SHELL ADR REP 2 CL A ORD ADR REP 2 CL A ORD 780259206 660 11213 SH SOLE 0 0 11213 ROYAL DUTCH SHELL ADR REP 2 CL B ORD ADR REP 2 CL B ORD 780259107 594 9923 SH SOLE 0 0 9923 FT RISING DIVIDEND ACHIEVERS ETF DIVIDEND ACHIEVERES ETF 33738R506 5530 173637 SH SOLE 0 0 173637 RYDEX ETF TRUST GUG S&P MC400 PG GUG S&P MC 400 PG 78355W601 294 1899 SH SOLE 0 0 1899 ROYAL GOLD ORD GOLD ORD 780287108 801 6500 SH SOLE 0 0 6500 RIO TINTO ADR REP ONE ORD ADR REP ONE ORD 767204100 292 5605 SH SOLE 0 0 5605 ROSS STORES ORD ORD 778296103 306 2788 SH SOLE 0 0 2788 INVSC S P 500 PURE GROWTH ETF SP 500 PURE GROWTH ETF 46137V266 1125 9500 SH SOLE 0 0 9500 RYDEX ETF TRUST GUG S&P500 PU GR GUG S&P 500 PU GR 78355W403 360 3263 SH SOLE 0 0 3263 RYDEX ETF TRUST GUG S&P500 PU VA GUG S&P 500 PU VA 78355W304 414 6183 SH SOLE 0 0 6183 REPUBLIC SERVICES ORD ORD 760759100 306 3534 SH SOLE 0 0 3534 INVSC S P 500 EQUAL WEIGHT ETF S P 500 EQUAL WEIGHT ETF 46137V357 614 5678 SH SOLE 0 0 5678 RAYTHEON ORD ORD 755111507 1191 6070 SH SOLE 0 0 6070 INVSC SP 500 EQL WGHT HLTH CARE ETF SP 500 EQL WGHT HLTH CARE ETF 46137V332 232 1186 SH SOLE 0 0 1186 INVSC RAYMOND JAMES SB 1 EQUITY ETF SB 1 EQUITY ETF 46137V522 315 7395 SH SOLE 0 0 7395 INVSC SP 500 EQUAL WEIGHT TECH ETF SP EQUAL WEIGHT TECH ETF 46137V282 302 1690 SH SOLE 0 0 1690 RYDEX ETF TRUST GUG S&P SC600 PV ETF TRUST GUG S&P SC600 PV 78355W700 358 4928 SH SOLE 0 0 4928 BANCO SANTANDER ADR REP 1 ORD ADR REP 1 ORD 05964H105 127 31602 SH SOLE 0 0 31602 STARBUCKS ORD ORD 855244109 1004 11351 SH SOLE 0 0 11351 STARBUCKS CORP CALL JAN00070000 ORD 855244109 0 1 SH Call SOLE 0 0 1 SCHWAB US DIVIDEND EQUITY ETF US DIVIDEND EQUITY ETF 808524797 605 11037 SH SOLE 0 0 11037 SCHWAB US LARGE CAP ETF US LARGE CAP ETF 808524201 213 2998 SH SOLE 0 0 2998 SPDR S&P DIVIDEND ETF S&P DIVIDEND ETF 78464A763 873 8508 SH SOLE 0 0 8508 PROSHARES SHORT S&P 500 ETF SHORT S&P 500 ETF 74347B425 479 18316 SH SOLE 0 0 18316 SHOPIFY CL A SUB VTG ORD CL A SUB VTG ORD 82509L107 1620 5197 SH SOLE 0 0 5197 SAN JUAN BASIN UNT UNT 798241105 53 17700 SH SOLE 0 0 17700 FIRST TRUST CLOUD COMPUTING ETF CLOUD COMPUTING ETF 33734X192 416 7380 SH SOLE 0 0 7380 ISHARES SILVER TRUST ETF SILVER TRUST ETF 46428Q109 283 17777 SH SOLE 0 0 17777 SPDR S&P 600 SMALL CAP ETF S&P 600 SMALL CAP ETF 78464A813 278 4142 SH SOLE 0 0 4142 SPDR SSGA US SL CP LW VLT INX ETF SSGA US SL CP LW VLT INX ETF 78468R887 872 9169 SH SOLE 0 0 9169 SOUTHERN ORD ORD 842587107 1149 18608 SH SOLE 0 0 18608 ISHARES PHLX SEMICONDUCTOR ETF PHLX SEMICONDUCTOR ETF 464287523 294 1391 SH SOLE 0 0 1391 FIDELITY GOV MMF GOV MMF 31617H102 259 258825 SH SOLE 0 0 258825 S&P GLOBAL ORD GLOBAL ORD 78409V104 254 1039 SH SOLE 0 0 1039 INVSC S P 500 HIGH DIV LW VLTLTY ETF SP 500 HIGH DIV LW VLTLTY ETF 46138E362 724 16994 SH SOLE 0 0 16994 INVSC S P 500 QUALITY ETF SP 500 QUALITY ETF 46137V241 756 22550 SH SOLE 0 0 22550 INVSC S P 500 LOW VOLATILITY ETF SP 500 LOW VOLATILITY ETF 46138E354 1073 18526 SH SOLE 0 0 18526 SPDR S&P 500 ETF SP 500 ETF 78462F103 21465 72328 SH SOLE 0 0 72328 SPDR S&P 500 GROWTH ETF SP 500 GROWTH ETF 78464A409 308 7931 SH SOLE 0 0 7931 SQUARE CL A ORD CL A ORD 852234103 704 11359 SH SOLE 0 0 11359 SPDR BLACKSTONE GSO SENIOR LOAN ETF GSO SENIOR LOAN ETF 78467V608 3558 76822 SH SOLE 0 0 76822 SIERRA TACTICAL CR INCM CL INSTL MF CR INCM CL INSTL MF 66537Y488 2537 118477 SH SOLE 0 0 118477 PROSHARES ULTRA S&P 500 ETF ULTRA S&P 500 ETF 74347R107 282 2193 SH SOLE 0 0 2193 STARWOOD PROPERTY REIT REIT 85571B105 1422 58694 SH SOLE 0 0 58694 SEAGATE TECHNOLOGY ORD TECHNOLOGY ORD G7945M107 446 8299 SH SOLE 0 0 8299 SEAGATE TECH JAN 17, 2020 PUT 45 TECHNOLOGY ORD G7945M107 1 4 SH Put SOLE 0 0 4 CONSTELLATION BRANDS CL A ORD CL A ORD 21036P108 997 4809 SH SOLE 0 0 4809 STRYKER ORD ORD 863667101 518 2397 SH SOLE 0 0 2397 SYSCO ORD ORD 871829107 658 8288 SH SOLE 0 0 8288 AT&T ORD ORD 00206R102 3880 102545 SH SOLE 0 0 102545 AT&T INC PUT SEP00032000 ORD 00206R102 0 1 SH Put SOLE 0 0 1 CARROLS RESTAURANT GROUP ORD ORD 14574X104 304 36715 SH SOLE 0 0 36715 TORONTO DOMINION ORD ORD 891160509 361 6189 SH SOLE 0 0 6189 TELEDYNE TECH ORD ORD 879360105 425 1321 SH SOLE 0 0 1321 ATLASSIAN CL A ORD CL A ORD G06242104 284 2261 SH SOLE 0 0 2261 TEVA PHARMA IND ADR REP 1 ORD IND ADR REP 1 ORD 881624209 76 11085 SH SOLE 0 0 11085 TFS FINANCIAL ORD ORD 87240R107 409 22700 SH SOLE 0 0 22700 TARGET ORD ORD 87612E106 280 2619 SH SOLE 0 0 2619 ISHARES TIPS BOND ETF TIPS BOND ETF 464287176 996 8564 SH SOLE 0 0 8564 TJX ORD ORD 872540109 643 11543 SH SOLE 0 0 11543 ISHARES 20 PLS YEAR TREASURY BND ETF 20 PLS YEAR TREASURY BND ETF 464287432 895 6259 SH SOLE 0 0 6259 TOYOTA MOTOR ADR REP 2 ORD ADR REP 2 ORD 892331307 203 1508 SH SOLE 0 0 1508 THERMO FISHER SCIENTIFIC ORD ORD 883556102 1219 4186 SH SOLE 0 0 4186 TANDEM DIABETES CARE ORD ORD 875372203 220 3738 SH SOLE 0 0 3738 TOTAL ADR REP 1 ORD ADR REP 1 ORD 89151E109 203 3905 SH SOLE 0 0 3905 SPDR DOUBLELINE TTL RTRN TTCL ETF TTL RTRN TTCL ETF 78467V848 209 4245 SH SOLE 0 0 4245 TRIPLEPOINT VNTR GRTH BDC 5.75 NTS VNTR GRTH BDC 5.75 NTS 89677Y308 299 11500 SH SOLE 0 0 11500 TREVENA ORD ORD 89532E109 10 10300 SH SOLE 0 0 10300 TESLA ORD ORD 88160R101 619 2568 SH SOLE 0 0 2568 TESLA MOTORS INC PUT SEP00050000 ORD 88160R101 0 1 SH Put SOLE 0 0 1 THL CREDIT SENIOR LOAN CF SENIOR LOAN CF 87244R103 151 10026 SH SOLE 0 0 10026 TWILIO CL A ORD CL A ORD 90138F102 965 8778 SH SOLE 0 0 8778 TWITTER ORD ORD 90184L102 217 5263 SH SOLE 0 0 5263 TEXAS INSTRUMENTS ORD ORD 882508104 361 2789 SH SOLE 0 0 2789 UNITED DEVELOPMENT IV ORD IV ORD 910187103 86 23539 SH SOLE 0 0 23539 UNITED HEALTH PRODUCTS ORD ORD 91059D100 14 10049 SH SOLE 0 0 10049 UNILEVER ADR REP 1 ORD ADR REP 1 ORD 904767704 210 3489 SH SOLE 0 0 3489 ULTA BEAUTY ORD ORD 90384S303 1146 4574 SH SOLE 0 0 4574 UNITEDHEALTH GRP ORD ORD 91324P102 988 4544 SH SOLE 0 0 4544 UNITEDHEALTH JAN 17, 2020 CALL 300 ORD 91324P102 0 2 SH Call SOLE 0 0 2 UNION PACIFIC ORD ORD 907818108 427 2634 SH SOLE 0 0 2634 INNOVATOR S P 500 ULTRA BUFFR ETF S P 500 ULTRA BUFFR ETF 45782C821 1163 46692 SH SOLE 0 0 46692 UNITED PARCEL SERVICE CL B ORD CL B ORD 911312106 656 5476 SH SOLE 0 0 5476 UPS JUN 19, 2020 CALL 115 CL B ORD 911312106 0 1 SH Call SOLE 0 0 1 LIBERTY ALL STAR EQUITY CF EQUITY CF 530158104 74 11560 SH SOLE 0 0 11560 US BANCORP ORD ORD 902973304 780 14097 SH SOLE 0 0 14097 ISHARES EDGE MSCI MIN VOL USA ETF MSCI MIN VOL USA ETF 46429B697 5918 92320 SH SOLE 0 0 92320 COHEN AND STEERS INFRASTRUCTURE CF INFRASTRUCTURE CF 19248A109 276 10124 SH SOLE 0 0 10124 UNITED TECHNOLOGIES ORD ORD 913017109 781 5721 SH SOLE 0 0 5721 UTC JAN 17, 2020 CALL 160 ORD 913017109 0 1 SH Call SOLE 0 0 1 VISA CL A ORD CL A ORD 92826C839 2714 15778 SH SOLE 0 0 15778 VISA JAN 17, 2020 CALL 140 CL A ORD 92826C839 4 1 SH SOLE 0 0 1 VANGUARD SMALL CAP ETF SMALL CAP ETF 922908751 802 5211 SH SOLE 0 0 5211 VANGUARD SMALL CAP VALUE ETF SMALL CAP ETF 922908611 339 2627 SH SOLE 0 0 2627 VANGUARD INTERMEDIATE TERM COR ETF INTERMEDIATE TERM COR ETF 92206C870 397 4351 SH SOLE 0 0 4351 VANGUARD SHORT TERM COR BD ETF SHORT TERM COR BD ETF 92206C409 2237 27597 SH SOLE 0 0 27597 VANGUARD CONSUMER STAPLES ETF CONSUMER STAPLES ETF 92204A207 515 3288 SH SOLE 0 0 3288 VANGUARD FTSE DEVELOPED MARKETS ETF FTSE DEVELOPED MARKETS ETF 921943858 1183 28793 SH SOLE 0 0 28793 VEEVA SYSTEMS ORD ORD 922475108 287 1878 SH SOLE 0 0 1878 VEREIT ORD ORD 92339V100 196 20073 SH SOLE 0 0 20073 VF ORD ORD 918204108 259 2907 SH SOLE 0 0 2907 VANGUARD INTRMDIAT TRM TRSRY ETF INTRMDIAT TRM TRSRY ETF 92206C706 1191 17871 SH SOLE 0 0 17871 VANGUARD FTSE EUROPE ETF FTSE EUROPE ETF 922042874 770 14366 SH SOLE 0 0 14366 VANGUARD SHORT TERM TREASURY ETF SHORT TERM TREASURY ETF 92206C102 3168 51999 SH SOLE 0 0 51999 VANGUARD HEALTH CARE ETF HEALTH CARE ETF 92204A504 306 1824 SH SOLE 0 0 1824 VANGUARD DIVIDEND APPRECIATION ETF DIVIDEND APPRECIATION ETF 921908844 6961 58215 SH SOLE 0 0 58215 VALERO ENERGY ORD ORD 91913Y100 264 3099 SH SOLE 0 0 3099 VALERO ENERGY CORP CALL JAN00085000 ORD 91913Y100 1 4 SH Call SOLE 0 0 4 VALLEY NATIONAL ORD ORD 919794107 193 17718 SH SOLE 0 0 17718 VANGUARD MORTGAGE BACKED SEC ETF MORTGAGE BACKED SEC ETF 92206C771 464 8704 SH SOLE 0 0 8704 VANGUARD REAL ESTATE ETF REAL ESTATE ETF 922908553 2509 26910 SH SOLE 0 0 26910 VANGUARD MID CAP ETF MID CAP ETF 922908629 2424 14464 SH SOLE 0 0 14464 VANGUARD MID CAP VALUE ETF MID CAP VALUE ETF 922908512 533 4713 SH SOLE 0 0 4713 VANGUARD S&P 500 ETF S&P ETF 922908363 2237 8207 SH SOLE 0 0 8207 INVSC VARIABLE RT INVSTMNT ETF VARIABLE RT INVSTMNT ETF 46090A879 2586 103911 SH SOLE 0 0 103911 INVSC VARIABLE RATE PREFERRED ETF VARIABLE RATE PREFERRED ETF 46138G870 444 17447 SH SOLE 0 0 17447 VANGUARD TOTAL WORLD STOCK ETF TOTAL WORLD STOCK ETF 922042742 231 3084 SH SOLE 0 0 3084 VANGUARD TOTAL STOCK MARKET ETF TOTAL STOCK MARKET ETF 922908769 6786 44943 SH SOLE 0 0 44943 VANGUARD SHRT INF PROT SEC INDEX ETF SHRT INF PROT SEC INDEX ETF 922020805 488 9940 SH SOLE 0 0 9940 VANGUARD VALUE ETF VALUE ETF 922908744 4668 41819 SH SOLE 0 0 41819 VANGUARD GROWTH ETF GROWTH ETF 922908736 3360 20205 SH SOLE 0 0 20205 VIDENT CORE US EQUITY ETF CORE US EQUITY ETF 26922A503 1740 56158 SH SOLE 0 0 56158 VANGUARD LARGE CAP ETF LARGE CAP ETF 922908637 402 2946 SH SOLE 0 0 2946 INVESCO SNR INCOME CF SNR INCOME CF 46131H107 78 18536 SH SOLE 0 0 18536 VANGUARD FTSE EMERGING MARKETS ETF FTSE EMERGING MARKETS ETF 922042858 597 14836 SH SOLE 0 0 14836 VANGUARD EXTENDED MARKET ETF EXTENDED MARKET ETF 922908652 450 3871 SH SOLE 0 0 3871 VANGUARD TOTAL INTERNATIONAL STK ETF TOTAL INTERNATIONAL STK ETF 921909768 245 4746 SH SOLE 0 0 4746 VANGUARD HIGH DIVIDEND YIELD ETF HIGH DIVIDEND YIELD ETF 921946406 861 9702 SH SOLE 0 0 9702 VERIZON COMMUNICATIONS ORD ORD 92343V104 2829 46871 SH SOLE 0 0 46871 WESTPAC BANKING ADR REP 1 ORD ADR REP 1 ORD 961214301 531 26565 SH SOLE 0 0 26565 WORKDAY CL A ORD CL A ORD 98138H101 537 3158 SH SOLE 0 0 3158 WADDELL REED FINANCIAL CL A ORD CL A ORD 930059100 331 19256 SH SOLE 0 0 19256 WEC ENERGY GROUP ORD ORD 92939U106 357 3754 SH SOLE 0 0 3754 WELLS FARGO ORD ORD 949746101 392 7763 SH SOLE 0 0 7763 WELLS FARGO JAN 17, 2020 CALL 70 ORD 949746101 0 1 SH Call SOLE 0 0 1 WASTE MANAGEMENT ORD ORD 94106L109 2127 18492 SH SOLE 0 0 18492 WALMART ORD ORD 931142103 1983 16710 SH SOLE 0 0 16710 WALMART JAN 17, 2020 PUT 105 ORD 931142103 0 2 SH Put SOLE 0 0 2 W P CAREY REIT ORD ORD 92936U109 769 8587 SH SOLE 0 0 8587 AQUA AMERICA ORD ORD 03836W103 341 7616 SH SOLE 0 0 7616 SPDR S&P AEROSPACE DEFENSE ETF S&P AEROSPACE DEFENSE ETF 78464A631 2542 23791 SH SOLE 0 0 23791 SPDR S&P HEALTH CARE EQUIPMENT ETF S&P HEALTH CARE EQUIPMENT ETF 78464A581 3342 42811 SH SOLE 0 0 42811 SPDR FUND MATERIALS SELECT SECTR ETF MATERIALS SELECT SECTR ETF 81369Y100 208 3573 SH SOLE 0 0 3573 ENERGY SELECT SECTOR SPDR ETF SELECT SECTOR SPDR ETF 81369Y506 601 10144 SH SOLE 0 0 10144 SELECT STR FINANCIAL SELECT SPDR ETF FINANCIAL SELECT SPDR ETF 81369Y605 982 35057 SH SOLE 0 0 35057 SELECT SECTOR INDUSTRIAL SPDR ETF INDUSTRIAL SPDR ETF 81369Y704 362 4664 SH SOLE 0 0 4664 TECHNOLOGY SELECT SECTOR SPDR ETF TECHNOLOGY SPDR ETF 81369Y803 2880 35760 SH SOLE 0 0 35760 SEL SECTOR TECH SPDR OCT 18, 2019 PUT 77 TECHNOLOGY SPDR ETF 81369Y803 0 6 SH Put SOLE 0 0 6 SECTOR-SPDR-TECHNOLOGY CALL JAN00055000 TECHNOLOGY SPDR ETF 81369Y803 1 1 SH Call SOLE 0 0 1 SPDR FUND CONSUMER STAPLES ETF CONSUMER STAPLES ETF 81369Y308 514 8365 SH SOLE 0 0 8365 SELECT SECTOR UTI SELECT SPDR ETF UTI SELECT SPDR ETF 81369Y886 1462 22575 SH SOLE 0 0 22575 SECTOR SPDR-UTILITIES CALL JAN00041000 UTILITIES SPDR 81369Y886 0 1 SH Call SOLE 0 0 1 SELECT SECTOR HEALTH CARE SPDR ETF HEALTH CARE SPDR ETF 81369Y209 1116 12385 SH SOLE 0 0 12385 SPDR FUND CONSUMER DISCRE SELECT ETF CONSUMER DISCRETION SELECT ETF 81369Y407 1035 8572 SH SOLE 0 0 8572 SECTOR SPDR-CONSUMER CALL JAN00095000 CONSUMER DISCRETION SELECT ETF 81369Y407 1 1 SH Call SOLE 0 0 1 EXXON MOBIL ORD ORD 30231G102 2231 31596 SH SOLE 0 0 31596 YUM BRANDS ORD ORD 988498101 465 4103 SH SOLE 0 0 4103 YUM CHINA ORD ORD 98850P109 227 4997 SH SOLE 0 0 4997 ZYNGA CL A ORD CL A ORD 98986T108 71 12210 SH SOLE 0 0 12210