Chief Compliance Officer

0001104659-21-050116.txt : 20210414 0001104659-21-050116.hdr.sgml : 20210414 20210414121632 ACCESSION NUMBER: 0001104659-21-050116 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210414 DATE AS OF CHANGE: 20210414 EFFECTIVENESS DATE: 20210414 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sound Income Strategies, LLC CENTRAL INDEX KEY: 0001730960 IRS NUMBER: 471933889 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18555 FILM NUMBER: 21825063 BUSINESS ADDRESS: STREET 1: 6550 N FEDERAL HIGHWAY STREET 2: SUITE 510 CITY: FT LAUDERDALE STATE: FL ZIP: 33308 BUSINESS PHONE: 954-487-1860 MAIL ADDRESS: STREET 1: 6550 N FEDERAL HIGHWAY STREET 2: SUITE 510 CITY: FT LAUDERDALE STATE: FL ZIP: 33308 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001730960 XXXXXXXX 03-31-2021 03-31-2021 false Sound Income Strategies, LLC

6550 N Federal Highway Suite 510 Ft Lauderdale FL 33308

13F HOLDINGS REPORT 028-18555 N Charles Radlauer Chief Compliance Officer 954-487-1860 /s/ Charles Radlauer Ft Lauderdale FL 04-14-2021 0 961 590311364 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 63892 332 SH SOLE 0 0 332 ABBOTT LABS COM 002824100 259693 2167 SH SOLE 0 0 2167 ABBVIE INC COM 00287Y109 6522417 60270 SH SOLE 0 0 60270 ABIOMED INC COM 003654100 637 2 SH SOLE 0 0 2 ACADIA PHARMACEUTICALS INC COM 004225108 516 20 SH SOLE 0 0 20 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 35084 127 SH SOLE 0 0 127 ACCURAY INC COM 004397105 4950 1000 SH SOLE 0 0 1000 ACTIVISION BLIZZARD INC COM 00507V109 18879 203 SH SOLE 0 0 203 ADAMS DIVERSIFIED EQUITY FD COM 006212104 55 3 SH SOLE 0 0 3 ADIENT PLC ORD SHS G0084W101 44 1 SH SOLE 0 0 1 ADOBE SYSTEMS INCORPORATED COM 00724F101 31850 67 SH SOLE 0 0 67 ADVANCED ENERGY INDS COM 007973100 328 3 SH SOLE 0 0 3 ADVANCED MICRO DEVICES INC COM 007903107 112883 1438 SH SOLE 0 0 1438 AECOM COM 00766T100 167968 2620 SH SOLE 0 0 2620 AFLAC INC 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CL A 39304D102 366 8 SH SOLE 0 0 8 GREENBRIER COS INC COM 393657101 9444 200 SH SOLE 0 0 200 GREIF INC CL A 397624107 4674 82 SH SOLE 0 0 82 GREIF INC CL B 397624206 5611645 98037 SH SOLE 0 0 98037 GRITSTONE ONCOLOGY INC COM 39868T105 754 80 SH SOLE 0 0 80 GROUP 1 AUTOMOTIVE INC COM 398905109 7890 50 SH SOLE 0 0 50 GROWGENERATION CORP COM 39986L109 32299 650 SH SOLE 0 0 650 GUGGENHEIM TAXABLE MUNICP BO COM 401664107 16848 720 SH SOLE 0 0 720 GW PHARMACEUTICALS PLC ADS 36197T103 30366 140 SH SOLE 0 0 140 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 44441 2150 SH SOLE 0 0 2150 HANCOCK JOHN PFD INCOME FD I COM 41013X106 4160 200 SH SOLE 0 0 200 HANESBRANDS INC COM 410345102 3855564 196012 SH SOLE 0 0 196012 HARLEY DAVIDSON INC COM 412822108 11228 280 SH SOLE 0 0 280 HEALTHCARE RLTY TR COM 421946104 6458 213 SH SOLE 0 0 213 HEALTHEQUITY INC COM 42226A107 5440 80 SH SOLE 0 0 80 HEALTHPEAK PROPERTIES INC COM 42250P103 16505 520 SH SOLE 0 0 520 HELMERICH & PAYNE INC COM 423452101 3882 144 SH SOLE 0 0 144 HENRY JACK & ASSOC INC COM 426281101 13048 86 SH SOLE 0 0 86 HERCULES CAPITAL INC COM 427096508 33367057 2081538 SH SOLE 0 0 2081538 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 4236 382 SH SOLE 0 0 382 HIGHWOODS PPTYS INC COM 431284108 18894 440 SH SOLE 0 0 440 HOME DEPOT INC COM 437076102 665935 2182 SH SOLE 0 0 2182 HONEYWELL INTL INC COM 438516106 106798 492 SH SOLE 0 0 492 HORIZON TECHNOLOGY FIN CORP COM 44045A102 719 50 SH SOLE 0 0 50 HOWMET AEROSPACE INC COM 443201108 2570 80 SH SOLE 0 0 80 HP INC COM 40434L105 7657755 241189 SH SOLE 0 0 241189 HUAZHU GROUP LTD SPONSORED ADS 44332N106 2196 40 SH SOLE 0 0 40 HUMANA INC COM 444859102 6289 15 SH SOLE 0 0 15 HUNTINGTON BANCSHARES INC COM 446150104 22480 1430 SH SOLE 0 0 1430 ICU MED INC COM 44930G107 205 1 SH SOLE 0 0 1 IDEXX LABS INC COM 45168D104 44527 91 SH SOLE 0 0 91 IHS MARKIT LTD SHS G47567105 6387 66 SH SOLE 0 0 66 ILLINOIS TOOL WKS INC COM 452308109 38988 176 SH SOLE 0 0 176 INARI MED INC COM 45332Y109 1712 16 SH SOLE 0 0 16 INDEPENDENCE RLTY TR INC COM 45378A106 7600 500 SH SOLE 0 0 500 INDUSTRIAL LOGISTICS PPTYS T COM SHS BEN INT 456237106 7725 334 SH SOLE 0 0 334 INGERSOLL RAND INC COM 45687V106 935 19 SH SOLE 0 0 19 INNOVATOR ETFS TR S&P 500 BUFFER 45782C581 119118 3852 SH SOLE 0 0 3852 INNOVATOR ETFS TR II S&P INVSTMNT GRD 45783G201 305317 12606 SH SOLE 0 0 12606 INNOVATORETFS TR S&P 500 BUFFER E 45782C557 295855 9289 SH SOLE 0 0 9289 INTEL CORP COM 458140100 253091 3955 SH SOLE 0 0 3955 INTERCONTINENTAL EXCHANGE IN COM 45866F104 3909 35 SH SOLE 0 0 35 INTERNATIONAL BUSINESS MACHS COM 459200101 3537707 26547 SH SOLE 0 0 26547 INTERNATIONAL FLAVORS&FRAGRA COM 459506101 12425 89 SH SOLE 0 0 89 INTERNATIONAL PAPER CO COM 460146103 2339783 43273 SH SOLE 0 0 43273 INVESCO EXCH TRADED FD TR II NATL AMT MUNI 46138E537 7520 281 SH SOLE 0 0 281 INVESCO EXCH TRADED FD TR II S&P500 HDL VOL 46138E362 4287 100 SH SOLE 0 0 100 INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 46138E339 1432 27 SH SOLE 0 0 27 INVESCO EXCH TRADED FD TR II SOLAR ETF 46138G706 30926 337 SH SOLE 0 0 337 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 6506 294 SH SOLE 0 0 294 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 962108 64141 SH SOLE 0 0 64141 INVESCO EXCH TRADED FD TR II EMRNG MKT SVRG 46138E784 30632232 1144275 SH SOLE 0 0 1144275 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 11630 200 SH SOLE 0 0 200 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 2705 122 SH SOLE 0 0 122 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 827 38 SH SOLE 0 0 38 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 2282 108 SH SOLE 0 0 108 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 4068 188 SH SOLE 0 0 188 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 14073 603 SH SOLE 0 0 603 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 2272 99 SH SOLE 0 0 99 INVESCO EXCH TRD SLF IDX FD BULSHS 2026 CB 46138J791 639 30 SH SOLE 0 0 30 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 CB 46138J825 2525 114 SH SOLE 0 0 114 INVESCO EXCHANGE TRADED FD T HIG YLD EQ DIV 46137V563 16666 823 SH SOLE 0 0 823 INVESCO EXCHANGE TRADED FD T DYNMC LRG VALU 46137V738 8532 200 SH SOLE 0 0 200 INVESCO EXCHANGE TRADED FD T BUYBACK ACHIEV 46137V308 68463 813 SH SOLE 0 0 813 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 9100 60 SH SOLE 0 0 60 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 306649 16242 SH SOLE 0 0 16242 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 10625 75 SH SOLE 0 0 75 INVESCO LTD SHS G491BT108 28461 1128 SH SOLE 0 0 1128 INVESCO QQQ TR UNIT SER 1 46090E103 780477 2446 SH SOLE 0 0 2446 INVESCO QUALITY MUN INCOME T COM 46133G107 21504 1658 SH SOLE 0 0 1658 IPG PHOTONICS CORP COM 44980X109 1898 9 SH SOLE 0 0 9 IRON MTN INC NEW COM 46284V101 31088 840 SH SOLE 0 0 840 ISHARES GOLD TR ISHARES 464285105 36097 2220 SH SOLE 0 0 2220 ISHARES INC EM MKTS DIV ETF 464286319 3252 83 SH SOLE 0 0 83 ISHARES INC CORE MSCI EMKT 46434G103 4642 72 SH SOLE 0 0 72 ISHARES INC JP MRGN EM HI BD 464286285 29057330 653414 SH SOLE 0 0 653414 ISHARES INC MSCI EMERG MRKT 464286533 5937 94 SH SOLE 0 0 94 ISHARES INC MSCI GLB SLV&MTL 464286327 3793 257 SH SOLE 0 0 257 ISHARES SILVER TR Other 46428Q909 1427 4 SH Call SOLE 0 0 4 ISHARES SILVER TR ISHARES 46428Q109 35866 1580 SH SOLE 0 0 1580 ISHARES TR TIPS BD ETF 464287176 2259 18 SH SOLE 0 0 18 ISHARES TR IBOXX INV CP ETF 464287242 54374 418 SH SOLE 0 0 418 ISHARES TR RUS 1000 VAL ETF 464287598 2425 16 SH SOLE 0 0 16 ISHARES TR RUS 2000 VAL ETF 464287630 1276 8 SH SOLE 0 0 8 ISHARES TR RUS 2000 GRW ETF 464287648 27984 93 SH SOLE 0 0 93 ISHARES TR Other 464288904 6927 20 SH Call SOLE 0 0 20 ISHARES TR 1 3 YR TREAS BD 464287457 36570 424 SH SOLE 0 0 424 ISHARES TR IBOXX HI YD ETF 464288513 60939 699 SH SOLE 0 0 699 ISHARES TR PFD AND INCM SEC 464288687 896267 23340 SH SOLE 0 0 23340 ISHARES TR CORE US AGGBD ET 464287226 676641 5944 SH SOLE 0 0 5944 ISHARES TR JPMORGAN USD EMG 464288281 15611 143 SH SOLE 0 0 143 ISHARES TR RESIDENTIAL MULT 464288562 110778 1497 SH SOLE 0 0 1497 ISHARES TR NORTH AMERN NAT 464287374 276 10 SH SOLE 0 0 10 ISHARES TR EXPONENTIAL TECH 46434V381 2369 40 SH SOLE 0 0 40 ISHARES TR FLTG RATE NT ETF 46429B655 406 8 SH SOLE 0 0 8 ISHARES TR MSCI EMG MKT ETF 464287234 20638 387 SH SOLE 0 0 387 ISHARES TR SP SMCP600VL ETF 464287879 10399 103 SH SOLE 0 0 103 ISHARES TR S&P SML 600 GWT 464287887 16132 126 SH SOLE 0 0 126 ISHARES TR INTL SEL DIV ETF 464288448 4974 158 SH SOLE 0 0 158 ISHARES TR CORE HIGH DV ETF 46429B663 22204 234 SH SOLE 0 0 234 ISHARES TR S&P 500 VAL ETF 464287408 587 4 SH SOLE 0 0 4 ISHARES TR US TREAS BD ETF 46429B267 1532 59 SH SOLE 0 0 59 ISHARES TR CORE S&P TTL STK 464287150 240208 2622 SH SOLE 0 0 2622 ISHARES TR GLOBAL TECH ETF 464287291 16001 52 SH SOLE 0 0 52 ISHARES TR MSCI ACWI EX US 464288240 11367 206 SH SOLE 0 0 206 ISHARES TR CORE MSCI EURO 46434V738 8905 165 SH SOLE 0 0 165 ISHARES TR CORE MSCI EAFE 46432F842 8086 112 SH SOLE 0 0 112 ISHARES TR GLOBAL 100 ETF 464287572 2244 34 SH SOLE 0 0 34 ISHARES TR MSCI USA MMENTM 46432F396 3398 21 SH SOLE 0 0 21 ISHARES TR IBONDS DEC22 ETF 46434VBA7 2471 97 SH SOLE 0 0 97 ISHARES TR IBONDS DEC21 ETF 46434VBK5 2406 97 SH SOLE 0 0 97 ISHARES TR ISHS 5-10YR INVT 464288638 18596 314 SH SOLE 0 0 314 ISHARES TR ISHS 1-5YR INVS 464288646 12030 220 SH SOLE 0 0 220 ISHARES TR GLOBAL REIT ETF 46434V647 1554 61 SH SOLE 0 0 61 ISHARES TR GL CLEAN ENE ETF 464288224 33534 1380 SH SOLE 0 0 1380 ISHARES TR MSCI GLOBAL IMP 46435G532 21624 228 SH SOLE 0 0 228 ISHARES TR BROAD USD HIGH 46435U853 2060 50 SH SOLE 0 0 50 ISHARES TR NATIONAL MUN ETF 464288414 13462 116 SH SOLE 0 0 116 ISHARES TR 0-5YR HI YL CP 46434V407 50066469 1092916 SH SOLE 0 0 1092916 ISHARES TR FALN ANGLS USD 46435G474 5117868 175030 SH SOLE 0 0 175030 ISHARES TR INTL TREA BD ETF 464288117 5141 99 SH SOLE 0 0 99 ISHARES TR SELECT DIVID ETF 464287168 31606 277 SH SOLE 0 0 277 ISHARES TR CORE S&P MCP ETF 464287507 12002 46 SH SOLE 0 0 46 ISHARES TR CORE S&P SCP ETF 464287804 2078 19 SH SOLE 0 0 19 ISHARES TR CORE S&P500 ETF 464287200 3664123 9211 SH SOLE 0 0 9211 ISHARES TR CORE LT USDB ETF 464289479 837060 12211 SH SOLE 0 0 12211 ISHARES TR CORE TOTAL USD 46434V613 768177 14563 SH SOLE 0 0 14563 ISHARES TR BARCLAYS 7 10 YR 464287440 60635 537 SH SOLE 0 0 537 ISHARES TR 10+ YR INVST GRD 464289511 5447456 81708 SH SOLE 0 0 81708 ISHARES TR S&P MC 400GR ETF 464287606 24451 312 SH SOLE 0 0 312 ISHARES TR S&P MC 400VL ETF 464287705 10622 104 SH SOLE 0 0 104 ISHARES TR MSCI EAFE ETF 464287465 1517 20 SH SOLE 0 0 20 ISHARES TR 20 YR TR BD ETF 464287432 57846 427 SH SOLE 0 0 427 ISHARES TR AGENCY BOND ETF 464288166 33082 281 SH SOLE 0 0 281 ISHARES TR MSCI USA MIN VOL 46429B697 9298 134 SH SOLE 0 0 134 ISHARES TR HDG MSCI EAFE 46434V803 3358 102 SH SOLE 0 0 102 ISHARES TR RUSSELL 2000 ETF 464287655 236413 1070 SH SOLE 0 0 1070 ISHARES TR MBS ETF 464288588 3144 29 SH SOLE 0 0 29 ISHARES TR S&P 500 GRWT ETF 464287309 27159 417 SH SOLE 0 0 417 ISHARES TR MSCI EAFE MIN VL 46429B689 5036 69 SH SOLE 0 0 69 ISHARES TR RUS MD CP GR ETF 464287481 10310 101 SH SOLE 0 0 101 ISHARES TR INTRM GOV CR ETF 464288612 1953 17 SH SOLE 0 0 17 ISHARES TR MSCI AC ASIA ETF 464288182 9266 100 SH SOLE 0 0 100 ISHARES TR MRGSTR MD CP VAL 464288406 3319 18 SH SOLE 0 0 18 ISHARES TR MSCI DENMARK ETF 46429B523 1937 20 SH SOLE 0 0 20 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 2894 58 SH SOLE 0 0 58 J P MORGAN EXCHANGE-TRADED F HIGH YLD RESRCH 46641Q878 825 16 SH SOLE 0 0 16 J P MORGAN EXCHANGE-TRADED F BETBULD MSCI 46641Q738 112555 1310 SH SOLE 0 0 1310 JBG SMITH PPTYS COM 46590V100 858 27 SH SOLE 0 0 27 JFROG LTD ORD SHS M6191J100 4437 100 SH SOLE 0 0 100 JOHNSON & JOHNSON COM 478160104 4306964 26206 SH SOLE 0 0 26206 JOHNSON CTLS INTL PLC SHS G51502105 2327 39 SH SOLE 0 0 39 JPMORGAN CHASE & CO COM 46625H100 259308 1703 SH SOLE 0 0 1703 JUNIPER NETWORKS INC COM 48203R104 5066 200 SH SOLE 0 0 200 KAR AUCTION SVCS INC COM 48238T109 895245 59683 SH SOLE 0 0 59683 KBR INC COM 48242W106 15356 400 SH SOLE 0 0 400 KEYCORP COM 493267108 340 17 SH SOLE 0 0 17 KILROY RLTY CORP COM 49427F108 2625 40 SH SOLE 0 0 40 KIMBERLY-CLARK CORP COM 494368103 83986 604 SH SOLE 0 0 604 KIMCO RLTY CORP COM 49446R109 24188 1290 SH SOLE 0 0 1290 KINDER MORGAN INC DEL COM 49456B101 13503 811 SH SOLE 0 0 811 KKR & CO INC COM 48251W104 7865 161 SH SOLE 0 0 161 KLA CORP COM NEW 482480100 1652 5 SH SOLE 0 0 5 KONINKLIJKE PHILIPS N V NY REG SH NEW 500472303 1939 34 SH SOLE 0 0 34 KRAFT HEINZ CO COM 500754106 24560 614 SH SOLE 0 0 614 L3HARRIS TECHNOLOGIES INC COM 502431109 3040 15 SH SOLE 0 0 15 LABORATORY CORP AMER HLDGS COM NEW 50540R409 4591 18 SH SOLE 0 0 18 LAM RESEARCH CORP COM 512807108 27381 46 SH SOLE 0 0 46 LAMAR ADVERTISING CO NEW CL A 512816109 6480 69 SH SOLE 0 0 69 LAMB WESTON HLDGS INC COM 513272104 5579 72 SH SOLE 0 0 72 LANDS END INC NEW COM 51509F105 25 1 SH SOLE 0 0 1 LANTRONIX INC COM NEW 516548203 2285 500 SH SOLE 0 0 500 LAS VEGAS SANDS CORP COM 517834107 19316 318 SH SOLE 0 0 318 LEGGETT & PLATT INC COM 524660107 7395 162 SH SOLE 0 0 162 LIBERTY BROADBAND CORP COM SER C 530307305 150 1 SH SOLE 0 0 1 LIBERTY TRIPADVISOR HLDGS IN COM SER A 531465102 13 2 SH SOLE 0 0 2 LILLY ELI & CO COM 532457108 55299 296 SH SOLE 0 0 296 LINDE PLC SHS G5494J103 17649 63 SH SOLE 0 0 63 LIVE VENTURES INC COM NEW 538142308 48 2 SH SOLE 0 0 2 LOCKHEED MARTIN CORP COM 539830109 3947918 10684 SH SOLE 0 0 10684 LOGITECH INTL S A SHS H50430232 1045 10 SH SOLE 0 0 10 LOWES COS INC COM 548661107 120476 633 SH SOLE 0 0 633 LPL FINL HLDGS INC COM 50212V100 995 7 SH SOLE 0 0 7 LTC PPTYS INC COM 502175102 29746 713 SH SOLE 0 0 713 LULULEMON ATHLETICA INC COM 550021109 6441 21 SH SOLE 0 0 21 LUMENTUM HLDGS INC COM 55024U109 91 1 SH SOLE 0 0 1 LYFT INC CL A COM 55087P104 3159 50 SH SOLE 0 0 50 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 6866987 65997 SH SOLE 0 0 65997 MACERICH CO COM 554382101 11074 946 SH SOLE 0 0 946 MADISON SQUARE GRDN ENTERTNM CL A 55826T102 82 1 SH SOLE 0 0 1 MADISON SQUARE GRDN SPRT COR CL A 55825T103 179 1 SH SOLE 0 0 1 MAGNA INTL INC COM 559222401 2553 29 SH SOLE 0 0 29 MAIN STR CAP CORP COM 56035L104 18516224 472956 SH SOLE 0 0 472956 MANAGED PORTFOLIO SERIES ECOFIN GBL WATER 56167N753 11893 286 SH SOLE 0 0 286 MARATHON OIL CORP COM 565849106 5981 560 SH SOLE 0 0 560 MARATHON PETE CORP COM 56585A102 10698 200 SH SOLE 0 0 200 MASCO CORP COM 574599106 1078 18 SH SOLE 0 0 18 MASIMO CORP COM 574795100 10105 44 SH SOLE 0 0 44 MASTEC INC COM 576323109 469 5 SH SOLE 0 0 5 MASTERCARD INCORPORATED CL A 57636Q104 74829 210 SH SOLE 0 0 210 MATTEL INC COM 577081102 7848 394 SH SOLE 0 0 394 MCCORMICK & CO INC COM NON VTG 579780206 32811 368 SH SOLE 0 0 368 MCDONALDS CORP COM 580135101 533683 2381 SH SOLE 0 0 2381 MCKESSON CORP COM 58155Q103 8387 43 SH SOLE 0 0 43 MEDICAL PPTYS TRUST INC COM 58463J304 45624 2144 SH SOLE 0 0 2144 MEDTRONIC PLC SHS G5960L103 43472 368 SH SOLE 0 0 368 MERCK & CO. INC COM 58933Y105 186712 2422 SH SOLE 0 0 2422 METLIFE INC COM 59156R108 41583 684 SH SOLE 0 0 684 MGM GROWTH PPTYS LLC CL A COM 55303A105 1550449 47531 SH SOLE 0 0 47531 MGM RESORTS INTERNATIONAL COM 552953101 94443 2486 SH SOLE 0 0 2486 MICRO FOCUS INTL PLC SPON ADR NEW 594837403 468 61 SH SOLE 0 0 61 MICROBOT MED INC COM NEW 59503A204 9 1 SH SOLE 0 0 1 MICROCHIP TECHNOLOGY INC. COM 595017104 621 4 SH SOLE 0 0 4 MICRON TECHNOLOGY INC COM 595112103 2382 27 SH SOLE 0 0 27 MICROSOFT CORP COM 594918104 1509882 6404 SH SOLE 0 0 6404 MID-AMER APT CMNTYS INC COM 59522J103 2454 17 SH SOLE 0 0 17 MKS INSTRS INC COM 55306N104 556 3 SH SOLE 0 0 3 MODERNA INC COM 60770K107 32738 250 SH SOLE 0 0 250 MOELIS & CO CL A 60786M105 2415 44 SH SOLE 0 0 44 MOLSON COORS BEVERAGE CO CL B 60871R209 2264257 44267 SH SOLE 0 0 44267 MOMO INC ADR 60879B107 486 33 SH SOLE 0 0 33 MONDELEZ INTL INC CL A 609207105 3453 59 SH SOLE 0 0 59 MONOLITHIC PWR SYS INC COM 609839105 1413 4 SH SOLE 0 0 4 MORGAN STANLEY COM NEW 617446448 5980 77 SH SOLE 0 0 77 MOSAIC CO NEW COM 61945C103 3161 100 SH SOLE 0 0 100 MSC INDL DIRECT INC CL A 553530106 1448416 16060 SH SOLE 0 0 16060 MSG NETWORK INC CL A 553573106 45 3 SH SOLE 0 0 3 NASDAQ INC COM 631103108 9290 63 SH SOLE 0 0 63 NATIONAL BEVERAGE CORP COM 635017106 196 4 SH SOLE 0 0 4 NATIONAL HEALTH INVS INC COM 63633D104 1565640 21661 SH SOLE 0 0 21661 NATIONAL RETAIL PROPERTIES I COM 637417106 20272 460 SH SOLE 0 0 460 NAVIDEA BIOPHARMACEUTICALS I COM NEW 63937X202 1210 599 SH SOLE 0 0 599 NAVIENT CORPORATION COM 63938C108 2433 170 SH SOLE 0 0 170 NCR CORP NEW COM 62886E108 911 24 SH SOLE 0 0 24 NEOGENOMICS INC COM NEW 64049M209 9646 200 SH SOLE 0 0 200 NETFLIX INC COM 64110L106 1284849 2463 SH SOLE 0 0 2463 NETSCOUT SYS INC COM 64115T104 11208 398 SH SOLE 0 0 398 NEUBERGER BERMAN MLP & ENERG COM 64129H104 206 49 SH SOLE 0 0 49 NEUROCRINE BIOSCIENCES INC COM 64125C109 5835 60 SH SOLE 0 0 60 NEW ORIENTAL ED & TECHNOLOGY SPON ADR 647581107 1120 80 SH SOLE 0 0 80 NEW YORK CITY REIT INC COM 649439205 1987 231 SH SOLE 0 0 231 NEW YORK CMNTY BANCORP INC COM 649445103 1391027 110224 SH SOLE 0 0 110224 NEW YORK MTG TR INC COM PAR $.02 649604501 4470 1000 SH SOLE 0 0 1000 NEWELL BRANDS INC COM 651229106 5624 210 SH SOLE 0 0 210 NEXPOINT STRATEGIC OPPORTES COM NEW 65340G205 2870 252 SH SOLE 0 0 252 NEXTERA ENERGY INC COM 65339F101 1334015 17643 SH SOLE 0 0 17643 NIKE INC CL B 654106103 32957 248 SH SOLE 0 0 248 NIKOLA CORP COM 654110105 486 35 SH SOLE 0 0 35 NISOURCE INC COM 65473P105 95693 3969 SH SOLE 0 0 3969 NOKIA CORP SPONSORED ADR 654902204 4213 1064 SH SOLE 0 0 1064 NORDIC AMERICAN TANKERS LIMI COM G65773106 436 134 SH SOLE 0 0 134 NORFOLK SOUTHN CORP COM 655844108 158051 589 SH SOLE 0 0 589 NORTHERN LTS FD TR IV FRMLAFOLIOS TATL 66538H666 14716 616 SH SOLE 0 0 616 NORTHERN LTS FD TR IV FORMULA FOLIOS 66538H674 2607 77 SH SOLE 0 0 77 NORTHERN LTS FD TR IV FRMLAFLIO TACT 66538H575 8963 313 SH SOLE 0 0 313 NORTHROP GRUMMAN CORP COM 666807102 647 2 SH SOLE 0 0 2 NORTHWESTERN CORP COM NEW 668074305 1278281 19606 SH SOLE 0 0 19606 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 62933 2281 SH SOLE 0 0 2281 NOVANTA INC COM 67000B104 1319 10 SH SOLE 0 0 10 NOVARTIS AG SPONSORED ADR 66987V109 12480 146 SH SOLE 0 0 146 NOVO-NORDISK A S ADR 670100205 8562 127 SH SOLE 0 0 127 NOW INC COM 67011P100 10 1 SH SOLE 0 0 1 NRG ENERGY INC COM NEW 629377508 4679 124 SH SOLE 0 0 124 NUCOR CORP COM 670346105 17900 223 SH SOLE 0 0 223 NUVEEN AMT FREE MUN CR INC F COM 67071L106 19148 1133 SH SOLE 0 0 1133 NUVEEN AMT FREE QLTY MUN INC COM 670657105 30129 2033 SH SOLE 0 0 2033 NUVEEN DIVERSIFIED DIVID & I COM 6706EP105 30810 3250 SH SOLE 0 0 3250 NUVEEN DOW 30 DYNAMIC OVERWR SHS 67075F105 9896 609 SH SOLE 0 0 609 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 6977 451 SH SOLE 0 0 451 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 516 19 SH SOLE 0 0 19 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 37011 3900 SH SOLE 0 0 3900 NUVEEN QUALITY MUNCP INCOME COM 67066V101 62831 4150 SH SOLE 0 0 4150 NVENT ELECTRIC PLC SHS G6700G107 84 3 SH SOLE 0 0 3 NVIDIA CORPORATION COM 67066G104 73682 138 SH SOLE 0 0 138 NXP SEMICONDUCTORS N V COM N6596X109 1812 9 SH SOLE 0 0 9 OCCIDENTAL PETE CORP COM 674599105 6069 228 SH SOLE 0 0 228 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 298 25 SH SOLE 0 0 25 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 24630 895 SH SOLE 0 0 895 OKTA INC CL A 679295105 9258 42 SH SOLE 0 0 42 OMEGA HEALTHCARE INVS INC COM 681936100 1583641 43233 SH SOLE 0 0 43233 OMNICOM GROUP INC COM 681919106 4691928 63276 SH SOLE 0 0 63276 ON SEMICONDUCTOR CORP COM 682189105 2746 66 SH SOLE 0 0 66 ONE LIBERTY PPTYS INC COM 682406103 114652 5148 SH SOLE 0 0 5148 ONEOK INC NEW COM 682680103 1426512 28159 SH SOLE 0 0 28159 ORACLE CORP COM 68389X105 44347 632 SH SOLE 0 0 632 OSISKO GOLD ROYALTIES LTD COM 68827L101 2204 200 SH SOLE 0 0 200 OTIS WORLDWIDE CORP COM 68902V107 36963 540 SH SOLE 0 0 540 OTTER TAIL CORP COM 689648103 23085 500 SH SOLE 0 0 500 OWENS CORNING NEW COM 690742101 553 6 SH SOLE 0 0 6 OWL ROCK CAPITAL CORPORATION COM 69121K104 21247 1543 SH SOLE 0 0 1543 PACCAR INC COM 693718108 465 5 SH SOLE 0 0 5 PACER FDS TR TRENDPILOT INTL 69374H683 19136 693 SH SOLE 0 0 693 PACER FDS TR TRENDP US LAR CP 69374H105 18551 534 SH SOLE 0 0 534 PACKAGING CORP AMER COM 695156109 1210 9 SH SOLE 0 0 9 PALANTIR TECHNOLOGIES INC CL A 69608A108 2329 100 SH SOLE 0 0 100 PARKER-HANNIFIN CORP COM 701094104 121441 385 SH SOLE 0 0 385 PATTERSON COS INC COM 703395103 42302 1324 SH SOLE 0 0 1324 PAYCHEX INC COM 704326107 3431 35 SH SOLE 0 0 35 PAYCOM SOFTWARE INC COM 70432V102 1480 4 SH SOLE 0 0 4 PAYPAL HLDGS INC COM 70450Y103 180187 742 SH SOLE 0 0 742 PEBBLEBROOK HOTEL TR COM 70509V100 2356 97 SH SOLE 0 0 97 PEGASYSTEMS INC COM 705573103 343 3 SH SOLE 0 0 3 PELOTON INTERACTIVE INC CL A COM 70614W100 4273 38 SH SOLE 0 0 38 PENNANTPARK FLOATING RATE CA COM 70806A106 28794006 2423738 SH SOLE 0 0 2423738 PENSKE AUTOMOTIVE GRP INC COM 70959W103 401 5 SH SOLE 0 0 5 PENTAIR PLC SHS G7S00T104 187 3 SH SOLE 0 0 3 PEOPLES UNITED FINANCIAL INC COM 712704105 5927527 331147 SH SOLE 0 0 331147 PEPSICO INC COM 713448108 548828 3880 SH SOLE 0 0 3880 PERSPECTA INC COM 715347100 755 26 SH SOLE 0 0 26 PFIZER INC COM 717081103 5880032 162297 SH SOLE 0 0 162297 PHILIP MORRIS INTL INC COM 718172109 125478 1414 SH SOLE 0 0 1414 PHILLIPS 66 COM 718546104 897 11 SH SOLE 0 0 11 PHYSICIANS RLTY TR COM 71943U104 26028 1473 SH SOLE 0 0 1473 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 41827 2408 SH SOLE 0 0 2408 PIMCO ETF TR ACTIVE BD ETF 72201R775 13135 120 SH SOLE 0 0 120 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 207693 2038 SH SOLE 0 0 2038 PIMCO INCOME STRATEGY FD II COM 72201J104 59377 5776 SH SOLE 0 0 5776 PINNACLE WEST CAP CORP COM 723484101 8623 106 SH SOLE 0 0 106 PINTEREST INC CL A 72352L106 11845 160 SH SOLE 0 0 160 PITNEY BOWES INC COM 724479100 16488 2001 SH SOLE 0 0 2001 PJT PARTNERS INC COM CL A 69343T107 203 3 SH SOLE 0 0 3 PLYMOUTH INDL REIT INC COM 729640102 1656357 98300 SH SOLE 0 0 98300 PNC FINL SVCS GROUP INC COM 693475105 17716 101 SH SOLE 0 0 101 POLARIS INC COM 731068102 10349 78 SH SOLE 0 0 78 POOL CORP COM 73278L105 6214 18 SH SOLE 0 0 18 PPG INDS INC COM 693506107 150260 1000 SH SOLE 0 0 1000 PPL CORP COM 69351T106 15054 522 SH SOLE 0 0 522 PRECIGEN INC COM 74017N105 7 1 SH SOLE 0 0 1 PREFERRED APT CMNTYS INC COM 74039L103 4600 467 SH SOLE 0 0 467 PRICE T ROWE GROUP INC COM 74144T108 3260 19 SH SOLE 0 0 19 PRINCIPAL EXCHANGE-TRADED FD PRNC INVT GRAD 74255Y821 1643051 63368 SH SOLE 0 0 63368 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 6784587 113152 SH SOLE 0 0 113152 PROCTER AND GAMBLE CO COM 742718109 421429 3112 SH SOLE 0 0 3112 PROGRESSIVE CORP COM 743315103 33801 354 SH SOLE 0 0 354 PROLOGIS INC. COM 74340W103 16854 159 SH SOLE 0 0 159 PROSHARES TR PSHS ULTRA QQQ 74347R206 28360 242 SH SOLE 0 0 242 PROSHARES TR SHORT S&P 500 NE 74347B425 15402 919 SH SOLE 0 0 919 PROSHARES TR Other 74347X903 2760 6 SH Call SOLE 0 0 6 PROSHARES TR Other 74347X904 890 4 SH Call SOLE 0 0 4 PROSPECT CAP CORP COM 74348T102 3068 400 SH SOLE 0 0 400 PRUDENTIAL FINL INC COM 744320102 8381 92 SH SOLE 0 0 92 PTC INC COM 69370C100 2891 21 SH SOLE 0 0 21 PUBLIC STORAGE COM 74460D109 208422 845 SH SOLE 0 0 845 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 14089 234 SH SOLE 0 0 234 QORVO INC COM 74736K101 6577 36 SH SOLE 0 0 36 QUALCOMM INC COM 747525103 91297 689 SH SOLE 0 0 689 QUANEX BUILDING PRODUCTS COR COM 747619104 3422 130 SH SOLE 0 0 130 QUEST DIAGNOSTICS INC COM 74834L100 4620 36 SH SOLE 0 0 36 QUIDEL CORP COM 74838J101 42857 335 SH SOLE 0 0 335 QURATE RETAIL INC COM SER A 74915M100 247 21 SH SOLE 0 0 21 RANGE RES CORP COM 75281A109 6642 643 SH SOLE 0 0 643 RAYTHEON TECHNOLOGIES CORP COM 75513E101 184675 2390 SH SOLE 0 0 2390 REALPAGE INC COM 75606N109 1046 12 SH SOLE 0 0 12 REALTY INCOME CORP COM 756109104 56525 890 SH SOLE 0 0 890 REDHILL BIOPHARMA LTD SPONSORED ADS 757468103 3660 500 SH SOLE 0 0 500 REGENERON PHARMACEUTICALS COM 75886F107 946 2 SH SOLE 0 0 2 REGIONS FINANCIAL CORP NEW COM 7591EP100 22519 1090 SH SOLE 0 0 1090 REINSURANCE GRP OF AMERICA I COM NEW 759351604 1008 8 SH SOLE 0 0 8 RENASANT CORP COM 75970E107 2235 54 SH SOLE 0 0 54 REPUBLIC SVCS INC COM 760759100 22155 223 SH SOLE 0 0 223 RETAIL PPTYS AMER INC CL A 76131V202 2756 263 SH SOLE 0 0 263 RETAIL VALUE INC COM 76133Q102 149 8 SH SOLE 0 0 8 REVOLVE GROUP INC CL A 76156B107 23364 520 SH SOLE 0 0 520 RIO TINTO PLC SPONSORED ADR 767204100 9473 122 SH SOLE 0 0 122 RIOT BLOCKCHAIN INC COM 767292105 4262 80 SH SOLE 0 0 80 RITE AID CORP COM 767754872 2148 105 SH SOLE 0 0 105 RMR GROUP INC CL A 74967R106 1061 26 SH SOLE 0 0 26 ROBERT HALF INTL INC COM 770323103 156 2 SH SOLE 0 0 2 ROBLOX CORP CL A 771049103 12966 200 SH SOLE 0 0 200 ROKU INC COM CL A 77543R102 345316 1060 SH SOLE 0 0 1060 ROLLINS INC COM 775711104 344 10 SH SOLE 0 0 10 ROYAL CARIBBEAN GROUP COM V7780T103 54191 633 SH SOLE 0 0 633 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 10902 296 SH SOLE 0 0 296 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3254 83 SH SOLE 0 0 83 ROYCE GLOBAL VALUE TR INC COM 78081T104 316 22 SH SOLE 0 0 22 S&P GLOBAL INC COM 78409V104 15879 45 SH SOLE 0 0 45 SABRA HEALTH CARE REIT INC COM 78573L106 14930 860 SH SOLE 0 0 860 SALESFORCE COM INC COM 79466L302 172250 813 SH SOLE 0 0 813 SANOFI SPONSORED ADR 80105N105 19438 393 SH SOLE 0 0 393 SAP SE SPON ADR 803054204 6508 53 SH SOLE 0 0 53 SCHLUMBERGER LTD COM 806857108 16642 612 SH SOLE 0 0 612 SCHWAB CHARLES CORP COM 808513105 4823 74 SH SOLE 0 0 74 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 6347 161 SH SOLE 0 0 161 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 9552 255 SH SOLE 0 0 255 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 4809 122 SH SOLE 0 0 122 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 21966 714 SH SOLE 0 0 714 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 13507 425 SH SOLE 0 0 425 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 18240 183 SH SOLE 0 0 183 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 4667 64 SH SOLE 0 0 64 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 30057 313 SH SOLE 0 0 313 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 23459 457 SH SOLE 0 0 457 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 4168 56 SH SOLE 0 0 56 SCHWAB STRATEGIC TR US REIT ETF 808524847 5301 129 SH SOLE 0 0 129 SCHWAB STRATEGIC TR US TIPS ETF 808524870 45014 736 SH SOLE 0 0 736 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 31939 849 SH SOLE 0 0 849 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 11973 373 SH SOLE 0 0 373 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 12057 238 SH SOLE 0 0 238 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 18550 359 SH SOLE 0 0 359 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 4964 88 SH SOLE 0 0 88 SCOTTS MIRACLE-GRO CO CL A 810186106 18128 74 SH SOLE 0 0 74 SEAGATE TECHNOLOGY PLC SHS G7945M107 4180253 54466 SH SOLE 0 0 54466 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 26164 197 SH SOLE 0 0 197 SELECT SECTOR SPDR TR ENERGY 81369Y506 30172 615 SH SOLE 0 0 615 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 10244 130 SH SOLE 0 0 130 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 8368 85 SH SOLE 0 0 85 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 120681 3056 SH SOLE 0 0 3056 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 53873 461 SH SOLE 0 0 461 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 8880 130 SH SOLE 0 0 130 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 12941 77 SH SOLE 0 0 77 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 55472 1629 SH SOLE 0 0 1629 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 19825 310 SH SOLE 0 0 310 SEMPRA ENERGY COM 816851109 265 2 SH SOLE 0 0 2 SERVICE PPTYS TR COM SH BEN INT 81761L102 31204 2631 SH SOLE 0 0 2631 SHERWIN WILLIAMS CO COM 824348106 18450 25 SH SOLE 0 0 25 SHOPIFY INC CL A 82509L107 57538 52 SH SOLE 0 0 52 SIERRA WIRELESS INC COM 826516106 103 7 SH SOLE 0 0 7 SIMON PPTY GROUP INC NEW COM 828806109 1697895 14924 SH SOLE 0 0 14924 SIMPSON MFG INC COM 829073105 519 5 SH SOLE 0 0 5 SITE CTRS CORP COM 82981J109 1166 86 SH SOLE 0 0 86 SIX FLAGS ENTMT CORP NEW COM 83001A102 14669 316 SH SOLE 0 0 316 SIXTH STREET SPECIALTY LENDN COM 83012A109 29989015 1426011 SH SOLE 0 0 1426011 SKYWORKS SOLUTIONS INC COM 83088M102 9541 52 SH SOLE 0 0 52 SLACK TECHNOLOGIES INC COM CL A 83088V102 18852 464 SH SOLE 0 0 464 SMUCKER J M CO COM NEW 832696405 759 6 SH SOLE 0 0 6 SNOWFLAKE INC CL A 833445109 24074 105 SH SOLE 0 0 105 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 25725 1500 SH SOLE 0 0 1500 SOCIEDAD QUIMICA Y MINERA DE SPON ADR SER B 833635105 1327 25 SH SOLE 0 0 25 SORRENTO THERAPEUTICS INC COM NEW 83587F202 124 15 SH SOLE 0 0 15 SOUTH ST CORP COM 840441109 14132 180 SH SOLE 0 0 180 SOUTHERN CO COM 842587107 192099 3090 SH SOLE 0 0 3090 SOUTHWEST AIRLS CO COM 844741108 6533 107 SH SOLE 0 0 107 SOUTHWESTERN ENERGY CO COM 845467109 1056 227 SH SOLE 0 0 227 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 30222 92 SH SOLE 0 0 92 SPDR GOLD TR GOLD SHS 78463V107 67343 421 SH SOLE 0 0 421 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 30282 692 SH SOLE 0 0 692 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 43471 1229 SH SOLE 0 0 1229 SPDR S&P 500 ETF TR TR UNIT 78462F103 136914 345 SH SOLE 0 0 345 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 10473 22 SH SOLE 0 0 22 SPDR SER TR PORTFOLIO INTRMD 78464A375 4713 130 SH SOLE 0 0 130 SPDR SER TR BLOMBRG BRC EMRG 78464A391 2524 97 SH SOLE 0 0 97 SPDR SER TR PORTFOLIO LN TSR 78464A664 3040 78 SH SOLE 0 0 78 SPDR SER TR PRTFLO S&P500 HI 78468R788 1155 30 SH SOLE 0 0 30 SPDR SER TR PRTFLO S&P500 GW 78464A409 5302 94 SH SOLE 0 0 94 SPDR SER TR PORTFLI INTRMDIT 78464A672 38336 1195 SH SOLE 0 0 1195 SPDR SER TR PORTFOLIO AGRGTE 78464A649 115363 3891 SH SOLE 0 0 3891 SPDR SER TR PORTFOLI S&P1500 78464A805 73961 1504 SH SOLE 0 0 1504 SPDR SER TR WELLS FG PFD ETF 78464A292 331371 7630 SH SOLE 0 0 7630 SPDR SER TR BLOOMBERG SRT TR 78468R408 5749321 210367 SH SOLE 0 0 210367 SPDR SER TR PORTFOLIO LN COR 78464A367 983485 32598 SH SOLE 0 0 32598 SPDR SER TR BLOOMBERG BRCLYS 78468R622 6238092 57335 SH SOLE 0 0 57335 SPDR SER TR PORTFLI MORTGAGE 78464A383 8298 320 SH SOLE 0 0 320 SPDR SER TR PRTFLO S&P500 VL 78464A508 39658 1046 SH SOLE 0 0 1046 SPIRIT RLTY CAP INC NEW COM NEW 84860W300 1714199 40334 SH SOLE 0 0 40334 SPLUNK INC COM 848637104 2439 18 SH SOLE 0 0 18 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 9554 550 SH SOLE 0 0 550 SQUARE INC CL A 852234103 16121 71 SH SOLE 0 0 71 STAG INDL INC COM 85254J102 3630 108 SH SOLE 0 0 108 STANLEY BLACK & DECKER INC COM 854502101 1134126 5680 SH SOLE 0 0 5680 STANTEC INC COM 85472N109 11166 261 SH SOLE 0 0 261 STAR BULK CARRIERS CORP. Call Y8162K904 1884 4 SH Call SOLE 0 0 4 STARBUCKS CORP COM 855244109 124896 1143 SH SOLE 0 0 1143 STATE STR CORP COM 857477103 1260 15 SH SOLE 0 0 15 STERIS PLC SHS USD G8473T100 6476 34 SH SOLE 0 0 34 STMICROELECTRONICS N V NY REGISTRY 861012102 4676 122 SH SOLE 0 0 122 STORE CAP CORP COM 862121100 257850 7697 SH SOLE 0 0 7697 STRATASYS LTD SHS M85548101 1166 45 SH SOLE 0 0 45 STRYKER CORPORATION COM 863667101 13397 55 SH SOLE 0 0 55 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 104644 7061 SH SOLE 0 0 7061 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 3407 107 SH SOLE 0 0 107 SYNCHRONY FINANCIAL COM 87165B103 2391638 58820 SH SOLE 0 0 58820 SYNOPSYS INC COM 871607107 496 2 SH SOLE 0 0 2 SYNOVUS FINL CORP COM NEW 87161C501 46 1 SH SOLE 0 0 1 SYSCO CORP COM 871829107 23622 300 SH SOLE 0 0 300 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 22828 193 SH SOLE 0 0 193 TAIWAN SEMICONDUCTOR MFG LTD Other 874039900 1470 3 SH Call SOLE 0 0 3 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 4218 231 SH SOLE 0 0 231 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1060 6 SH SOLE 0 0 6 TAL EDUCATION GROUP SPONSORED ADS 874080104 539 10 SH SOLE 0 0 10 TAPESTRY INC COM 876030107 989 24 SH SOLE 0 0 24 TARGA RES CORP COM 87612G101 4763 150 SH SOLE 0 0 150 TARGET CORP COM 87612E106 76257 385 SH SOLE 0 0 385 TC ENERGY CORP COM 87807B107 5902 129 SH SOLE 0 0 129 TCG BDC INC COM 872280102 8395 636 SH SOLE 0 0 636 TE CONNECTIVITY LTD REG SHS H84989104 2711 21 SH SOLE 0 0 21 TECK RESOURCES LTD CL B 878742204 710 37 SH SOLE 0 0 37 TELADOC HEALTH INC COM 87918A105 12723 70 SH SOLE 0 0 70 TEMPLETON GLOBAL INCOME FD COM 880198106 5310 1000 SH SOLE 0 0 1000 TERADYNE INC COM 880770102 4867 40 SH SOLE 0 0 40 TESLA INC COM 88160R101 547703 820 SH SOLE 0 0 820 TEXAS INSTRS INC COM 882508104 100732 533 SH SOLE 0 0 533 TEXTAINER GROUP HOLDINGS LTD SHS G8766E109 9741 340 SH SOLE 0 0 340 THE TRADE DESK INC COM CL A 88339J105 64514 99 SH SOLE 0 0 99 THERMO FISHER SCIENTIFIC INC COM 883556102 16886 37 SH SOLE 0 0 37 TIDAL ETF TR SOUND ENHANCED 886364819 72953 3598 SH SOLE 0 0 3598 TIDAL ETF TR SOUND EQUITY INM 886364793 2986194 123036 SH SOLE 0 0 123036 TILRAY INC COM CL 2 88688T100 6319 278 SH SOLE 0 0 278 TIVITY HEALTH INC COM 88870R102 45 2 SH SOLE 0 0 2 TJX COS INC NEW COM 872540109 24939 377 SH SOLE 0 0 377 T-MOBILE US INC COM 872590104 251 2 SH SOLE 0 0 2 TOOTSIE ROLL INDS INC COM 890516107 232 7 SH SOLE 0 0 7 TORO CO COM 891092108 309 3 SH SOLE 0 0 3 TORONTO DOMINION BK ONT COM NEW 891160509 22367 343 SH SOLE 0 0 343 TOTAL SE SPONSORED ADS 89151E109 4007739 86114 SH SOLE 0 0 86114 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 8739 56 SH SOLE 0 0 56 TRACTOR SUPPLY CO COM 892356106 11333 64 SH SOLE 0 0 64 TRANSOCEAN LTD REG SHS H8817H100 245 69 SH SOLE 0 0 69 TRI CONTL CORP COM 895436103 2766 85 SH SOLE 0 0 85 TRIPLEPOINT VENTURE GROWTH B COM 89677Y100 5062988 350380 SH SOLE 0 0 350380 TRUIST FINL CORP COM 89832Q109 46889 804 SH SOLE 0 0 804 TUPPERWARE BRANDS CORP COM 899896104 211 8 SH SOLE 0 0 8 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 467 100 SH SOLE 0 0 100 TUTOR PERINI CORP COM 901109108 95 5 SH SOLE 0 0 5 TWILIO INC CL A 90138F102 45662 134 SH SOLE 0 0 134 TWITTER INC COM 90184L102 28188 443 SH SOLE 0 0 443 UBER TECHNOLOGIES INC COM 90353T100 38321 703 SH SOLE 0 0 703 UBIQUITI INC COM 90353W103 41464 139 SH SOLE 0 0 139 UBS AG LONDON BRANCH FI ENHANCD ETN 90274D218 30222 146 SH SOLE 0 0 146 UBS GROUP AG SHS H42097107 6740 434 SH SOLE 0 0 434 ULTA BEAUTY INC COM 90384S303 618 2 SH SOLE 0 0 2 UNDER ARMOUR INC CL C 904311206 1200 65 SH SOLE 0 0 65 UNILEVER PLC SPON ADR NEW 904767704 52201 935 SH SOLE 0 0 935 UNION PAC CORP COM 907818108 262729 1192 SH SOLE 0 0 1192 UNITED AIRLS HLDGS INC COM 910047109 2302 40 SH SOLE 0 0 40 UNITED PARCEL SERVICE INC CL B 911312106 109847 646 SH SOLE 0 0 646 UNITED RENTALS INC COM 911363109 988 3 SH SOLE 0 0 3 UNITED STATES STL CORP NEW COM 912909108 1570 60 SH SOLE 0 0 60 UNITED STATES STL CORP NEW Other 912909908 2037 2 SH Call SOLE 0 0 2 UNITEDHEALTH GROUP INC COM 91324P102 125711 338 SH SOLE 0 0 338 UNITI GROUP INC COM 91325V108 66 6 SH SOLE 0 0 6 US BANCORP DEL COM NEW 902973304 35067 634 SH SOLE 0 0 634 V F CORP COM 918204108 21099 264 SH SOLE 0 0 264 VAIL RESORTS INC COM 91879Q109 292 1 SH SOLE 0 0 1 VALE S A SPONSORED ADS 91912E105 38862 2236 SH SOLE 0 0 2236 VALERO ENERGY CORP COM 91913Y100 5236145 73131 SH SOLE 0 0 73131 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 460 15 SH SOLE 0 0 15 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 6194196 193993 SH SOLE 0 0 193993 VANECK VECTORS ETF TR EMERGING MKTS HI 92189F353 41413303 1752573 SH SOLE 0 0 1752573 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 287532 13817 SH SOLE 0 0 13817 VANECK VECTORS ETF TR SOCIAL SENTIMENT 92189H839 12075 500 SH SOLE 0 0 500 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 866308 53476 SH SOLE 0 0 53476 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 14336 75 SH SOLE 0 0 75 Vaneck Vectors Etf Trust Gdx M Ay 21 21 34.0 C None 57060U900 995 10 SH Call SOLE 0 0 10 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 3067 55 SH SOLE 0 0 55 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 513 4 SH SOLE 0 0 4 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 1367 10 SH SOLE 0 0 10 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 8133 96 SH SOLE 0 0 96 VANGUARD BD INDEX FDS LONG TERM BOND 921937793 61860 630 SH SOLE 0 0 630 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 22027 268 SH SOLE 0 0 268 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 9768 171 SH SOLE 0 0 171 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 144616 397 SH SOLE 0 0 397 VANGUARD INDEX FDS MID CAP ETF 922908629 1992 9 SH SOLE 0 0 9 VANGUARD INDEX FDS SM CP VAL ETF 922908611 9274 56 SH SOLE 0 0 56 VANGUARD INDEX FDS GROWTH ETF 922908736 10025 39 SH SOLE 0 0 39 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 7822 58 SH SOLE 0 0 58 VANGUARD INDEX FDS TOTAL STK MKT 922908769 46083 223 SH SOLE 0 0 223 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 129890 1414 SH SOLE 0 0 1414 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 34561 664 SH SOLE 0 0 664 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2393 29 SH SOLE 0 0 29 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 11955 224 SH SOLE 0 0 224 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 5109 76 SH SOLE 0 0 76 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 31621 514 SH SOLE 0 0 514 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 56190 604 SH SOLE 0 0 604 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 23533 160 SH SOLE 0 0 160 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 69638 1418 SH SOLE 0 0 1418 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 27502 272 SH SOLE 0 0 272 VANGUARD WORLD FD MEGA CAP INDEX 921910873 7012 50 SH SOLE 0 0 50 VANGUARD WORLD FD MEGA GRWTH IND 921910816 45089 218 SH SOLE 0 0 218 VANGUARD WORLD FDS ENERGY ETF 92204A306 25047 368 SH SOLE 0 0 368 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 9150 40 SH SOLE 0 0 40 VANGUARD WORLD FDS INF TECH ETF 92204A702 8962 25 SH SOLE 0 0 25 VENTAS INC COM 92276F100 41290 774 SH SOLE 0 0 774 VERIZON COMMUNICATIONS INC COM 92343V104 556094 9563 SH SOLE 0 0 9563 VERTEX PHARMACEUTICALS INC COM 92532F100 2364 11 SH SOLE 0 0 11 VIACOMCBS INC CL B 92556H206 163806 3632 SH SOLE 0 0 3632 VIATRIS INC COM 92556V106 1006050 72015 SH SOLE 0 0 72015 VIAVI SOLUTIONS INC COM 925550105 94 6 SH SOLE 0 0 6 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 43325 645 SH SOLE 0 0 645 VIRNETX HLDG CORP COM 92823T108 45117 8100 SH SOLE 0 0 8100 VISA INC COM CL A 92826C839 123650 584 SH SOLE 0 0 584 VMWARE INC CL A COM 928563402 903 6 SH SOLE 0 0 6 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 13601 738 SH SOLE 0 0 738 VONTIER CORPORATION COM 928881101 3875 128 SH SOLE 0 0 128 VORNADO RLTY TR SH BEN INT 929042109 7489 165 SH SOLE 0 0 165 WABTEC COM 929740108 6967 88 SH SOLE 0 0 88 WALGREENS BOOTS ALLIANCE INC COM 931427108 2244867 40890 SH SOLE 0 0 40890 WALMART INC COM 931142103 456287 3359 SH SOLE 0 0 3359 WASTE MGMT INC DEL COM 94106L109 6580 51 SH SOLE 0 0 51 WEBSTER FINL CORP CONN COM 947890109 8818 160 SH SOLE 0 0 160 WEC ENERGY GROUP INC COM 92939U106 33806 361 SH SOLE 0 0 361 WEIBO CORP SPONSORED ADR 948596101 706 14 SH SOLE 0 0 14 WEINGARTEN RLTY INVS SH BEN INT 948741103 8611 320 SH SOLE 0 0 320 WELLS FARGO CO NEW COM 949746101 8869 227 SH SOLE 0 0 227 WELLTOWER INC COM 95040Q104 48350 675 SH SOLE 0 0 675 WESTAMERICA BANCORPORATION COM 957090103 502 8 SH SOLE 0 0 8 WESTERN DIGITAL CORP. COM 958102105 3218891 48223 SH SOLE 0 0 48223 WESTERN DIGITAL CORP. Other 958102905 1930 4 SH Call SOLE 0 0 4 WESTLAKE CHEM CORP COM 960413102 1332 15 SH SOLE 0 0 15 WESTROCK CO COM 96145D105 1625387 31227 SH SOLE 0 0 31227 WEX INC COM 96208T104 3138 15 SH SOLE 0 0 15 WEYERHAEUSER CO MTN BE COM NEW 962166104 13386 376 SH SOLE 0 0 376 WHITEHORSE FIN INC COM 96524V106 1957046 129008 SH SOLE 0 0 129008 WHITESTONE REIT COM 966084204 13726 1415 SH SOLE 0 0 1415 WILLIAMS COS INC COM 969457100 11869 501 SH SOLE 0 0 501 WILLIAMS SONOMA INC COM 969904101 10752 60 SH SOLE 0 0 60 WINTRUST FINL CORP COM 97650W108 4093 54 SH SOLE 0 0 54 WISDOMTREE TR US LARGECAP FUND 97717W588 23236 536 SH SOLE 0 0 536 WISDOMTREE TR US TOTAL DIVIDND 97717W109 7574 67 SH SOLE 0 0 67 WISDOMTREE TR US QTLY DIV GRT 97717X669 18758 328 SH SOLE 0 0 328 WISDOMTREE TR US LARGECAP DIVD 97717W307 6078 53 SH SOLE 0 0 53 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 13897 191 SH SOLE 0 0 191 WIX COM LTD SHS M98068105 5584 20 SH SOLE 0 0 20 WORKHORSE GROUP INC COM NEW 98138J206 16455 1195 SH SOLE 0 0 1195 WORLD GOLD TR SPDR GLD MINIS 98149E204 13549 797 SH SOLE 0 0 797 WP CAREY INC COM 92936U109 93792 1326 SH SOLE 0 0 1326 WYNN RESORTS LTD COM 983134107 4889 39 SH SOLE 0 0 39 XENIA HOTELS & RESORTS INC COM 984017103 9604 493 SH SOLE 0 0 493 XEROX HOLDINGS CORP COM NEW 98421M106 1111877 45813 SH SOLE 0 0 45813 XILINX INC COM 983919101 7186 58 SH SOLE 0 0 58 XPENG INC ADS 98422D105 21906 600 SH SOLE 0 0 600 YANDEX N V SHS CLASS A N97284108 3844 60 SH SOLE 0 0 60 YUM BRANDS INC COM 988498101 29425 272 SH SOLE 0 0 272 YUM CHINA HLDGS INC COM 98850P109 4263 72 SH SOLE 0 0 72 ZENDESK INC COM 98936J101 4244 32 SH SOLE 0 0 32 ZIMMER BIOMET HOLDINGS INC COM 98956P102 50585 316 SH SOLE 0 0 316 ZOETIS INC CL A 98978V103 2047 13 SH SOLE 0 0 13 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 6426 20 SH SOLE 0 0 20 ZYNERBA PHARMACEUTICALS INC COM 98986X109 1628 350 SH SOLE 0 0 350 ZYNEX INC Call 98986M903 1884 4 SH Call SOLE 0 0 4 ZYNGA INC CL A 98986T108 1021 100 SH SOLE 0 0 100