0001737109-19-000002.txt : 20190515 0001737109-19-000002.hdr.sgml : 20190515 20190515150302 ACCESSION NUMBER: 0001737109-19-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Integrated Wealth Concepts LLC CENTRAL INDEX KEY: 0001737109 IRS NUMBER: 813433658 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18776 FILM NUMBER: 19827411 BUSINESS ADDRESS: STREET 1: 300 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 781-890-3045 MAIL ADDRESS: STREET 1: 300 FIFTH AVENUE CITY: WALTHAM STATE: MA ZIP: 02451 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001737109 XXXXXXXX 03-31-2019 03-31-2019 Integrated Wealth Concepts LLC
300 FIFTH AVENUE WALTHAM MA 02451
13F COMBINATION REPORT 028-18776 ABNER HERRMAN AND BROCK BRANDES INVESTMENT PARTNERS CHILTON CAPITAL MANAGEMENT CLARK CAPITAL MANAGEMENT GROUP CONGRESS ASSET MANAGEMENT DAVIS SELECT ADVISORS EATON VANCE FEDERATED FEDERATED INVESTORS LPL RESEARCH MANNING & NAPIER NATIXIS AIA PARAMETRIC PORTFOLIO ASSOCIATES POLEN CAPITAL MANAGEMENT RNC GENTER SCHAFER CULLEN CAPITAL MGMT ZACKS INVESTMENT MGMT N
John Cataldo President 781-373-4474 John Cataldo Waltham MA 05-15-2019 17 330 590690 false 1 ABNER HERRMAN AND BROCK 2 BRANDES INVESTMENT PARTNERS 3 CHILTON CAPITAL MANAGEMENT 4 CLARK CAPITAL MANAGEMENT 5 CONGRESS ASSET MANAGEMENT 6 DAVIS SELECT ADVISORS 7 EATON VANCE 8 FEDERATED 9 FEDERATED INVESTORS 10 LPL RESEARCH 11 MANNING & NAPIER 12 NATIXIS AIA 13 PARAMETRIC PORTFOLIO ASSOC 14 POLEN CAPITAL MANAGEMENT 15 RNC GENTER 16 SCHAFER CULLEN CAPITAL MGMT 17 ZACKS INVESTMENT MGMT
INFORMATION TABLE 2 IWC2019Q1_13FReport.xml IWC 2019 Q1 13F REPORT 3M COMPANY Common Stock 88579Y101 410 1971 SH SOLE 0 0 1971 ABBOTT LABORATORIES Common Stock 002824100 223 2793 SH OTR 5 0 0 2793 ABBVIE INC Common Stock 00287Y109 488 6056 SH OTR 5 0 0 6056 ACCELERON PHARMA Common Stock 00434H108 233 5000 SH SOLE 0 0 5000 ACCENTURE PLC Common Stock G1151C101 299 1698 SH OTR 5,13,17 0 0 1698 AGNC INVESTMENT Common Stock 00123Q104 276 15306 SH OTR 4,5,6,10,11,13,14 0 0 15306 AIR PRODUCTS Common Stock 009158106 415 2173 SH OTR 4,5,13 0 0 2173 ALEXION PHARMACEUTICALS Common Stock 015351109 223 1651 SH OTR 1,5,10,12,13,15,16,17 0 0 1651 ALIBABA GROUP Common Stock 01609W102 240 1317 SH SOLE 0 0 1317 ALIGN TECHNOLOGY Common Stock 016255101 300 1054 SH OTR 5,8,9 0 0 1054 ALLSTATE CORP Common Stock 020002101 219 2322 SH SOLE 0 0 2322 ALPHABET INC Common Stock 02079K107 693 591 SH SOLE 0 0 591 ALPHABET INC Common Stock 02079K305 1369 1163 SH SOLE 0 0 1163 ALPS ALERIAN MF Closed and MF Open 00162Q866 219 21882 SH OTR 5,6 0 0 21882 ALPS SECTOR MF Closed and MF Open 00162Q858 255 5948 SH SOLE 0 0 5948 ALTRIA GROUP Common Stock 02209S103 894 15563 SH SOLE 0 0 15563 AMAZON COM Common Stock 023135106 3366 1890 SH OTR 5,10,11,12,13,15,17 0 0 1890 AMGEN INC Common Stock 031162100 335 1762 SH OTR 5 0 0 1762 AMPHENOL CORP Common Stock 032095101 250 2650 SH SOLE 0 0 2650 ANNALY CAPITAL Common Stock 035710409 131 13089 SH OTR 1,5,10,12,13,14 0 0 13089 APPLE INC Common Stock 037833100 5498 28944 SH OTR 1,5,8,9,10,12,13,14,15,16,17 0 0 28944 ARES DYNAMIC MF Closed and MF Open 04014F102 402 27077 SH SOLE 0 0 27077 AT&T INC Common Stock 00206R102 1628 51923 SH SOLE 0 0 51923 AURORA CANNABIS Common Stock 05156X108 115 12648 SH OTR 5 0 0 12648 BANK AMERICA Common Stock 060505104 2123 76942 SH OTR 5,8,9 0 0 76942 BCE INC Common Stock 05534B760 215 4835 SH SOLE 0 0 4835 BERKSHIRE HATHAWAY Common Stock 084670702 1758 8750 SH OTR 4,5,11,12,13,17 0 0 8750 BHP GROUP Common Stock 088606108 204 3723 SH SOLE 0 0 3723 BLACKROCK MUNICIPAL MF Closed and MF Open 09248F109 142 10563 SH SOLE 0 0 10563 BLACKSTONE GSO MF Closed and MF Open 09257R101 392 27481 SH OTR 1,2,5,12,13,15,16,17 0 0 27481 BLACKSTONE MORTGAGE Common Stock 09257W100 292 8435 SH SOLE 0 0 8435 BOEING CO Common Stock 097023105 1036 2715 SH OTR 12,13 0 0 2715 BP PLC Common Stock 055622104 593 13575 SH SOLE 0 0 13575 BRISTOL MYERS Common Stock 110122108 420 8800 SH SOLE 0 0 8800 CATERPILLAR INC Common Stock 149123101 271 2001 SH SOLE 0 0 2001 CHEVRON CORP Common Stock 166764100 1292 10485 SH SOLE 0 0 10485 CHURCH & DWIGHT Common Stock 171340102 253 3546 SH SOLE 0 0 3546 CINTAS CORP Common Stock 172908105 348 1720 SH SOLE 0 0 1720 CISCO SYSTEMS Common Stock 17275R102 1170 21669 SH SOLE 0 0 21669 CITIGROUP INC Common Stock 172967424 424 6821 SH SOLE 0 0 6821 CME GROUP Common Stock 12572Q105 382 2318 SH SOLE 0 0 2318 COCA COLA COMPANY Common Stock 191216100 777 16579 SH SOLE 0 0 16579 COLONY CREDIT Common Stock 19625T101 191 12176 SH SOLE 0 0 12176 COMCAST CORP Common Stock 20030N101 608 15202 SH SOLE 0 0 15202 CONSOLIDATED EDISON Common Stock 209115104 237 2797 SH SOLE 0 0 2797 CONSUMER DISCRETIONARY MF Closed and MF Open 81369Y407 213 1867 SH SOLE 0 0 1867 COSTCO WHOLESALE Common Stock 22160K105 447 1846 SH SOLE 0 0 1846 CREDIT SUISSE HIGH YLD MF Closed and MF Open 22544F103 55 22119 SH SOLE 0 0 22119 CROWN CASTLE Common Stock 22822V101 479 3739 SH SOLE 0 0 3739 CSP INC Common Stock 126389105 340 30472 SH SOLE 0 0 30472 CVS HEALTH Common Stock 126650100 314 5824 SH SOLE 0 0 5824 DOMINION ENERGY Common Stock 25746U109 1061 13835 SH SOLE 0 0 13835 DOWDUPONT INC Common Stock 26078J100 314 5883 SH SOLE 0 0 5883 DUKE ENERGY Common Stock 26441C204 472 5240 SH SOLE 0 0 5240 DUNKIN BRANDS Common Stock 265504100 490 6521 SH SOLE 0 0 6521 EATON CORP Common Stock G29183103 267 3315 SH SOLE 0 0 3315 EATON VANCE MF Closed and MF Open 27829W101 1025 105471 SH SOLE 0 0 105471 EATON VANCE MF Closed and MF Open 27829G106 102 11084 SH SOLE 0 0 11084 EDWARDS LIFESCIENCES Common Stock 28176E108 300 1569 SH SOLE 0 0 1569 ELECTRONIC ARTS Common Stock 285512109 205 2019 SH SOLE 0 0 2019 ELI LILLY Common Stock 532457108 456 3516 SH SOLE 0 0 3516 EVERSOURCE ENERGY Common Stock 30040W108 627 8839 SH SOLE 0 0 8839 EXXON MOBIL Common Stock 30231G102 1487 18402 SH OTR 5,13 0 0 18402 FACEBOOK INC Common Stock 30303M102 1140 6841 SH SOLE 0 0 6841 FAIR ISAAC Common Stock 303250104 281 1035 SH SOLE 0 0 1035 FIRST REPUBLIC Common Stock 33616C100 272 2709 SH SOLE 0 0 2709 FIRST TRUST MF Closed and MF Open 33734K109 972 16333 SH SOLE 0 0 16333 FIRST TRUST MF Closed and MF Open 33734X200 243 10440 SH SOLE 0 0 10440 FIRST TRUST MF Closed and MF Open 336920103 472 6300 SH SOLE 0 0 6300 FIRST TRUST MF Closed and MF Open 33735K108 1145 17099 SH SOLE 0 0 17099 FIRST TRUST MF Closed and MF Open 33738R605 481 16000 SH SOLE 0 0 16000 FIRST TRUST MF Closed and MF Open 33734H106 1460 44974 SH SOLE 0 0 44974 FIRST TRUST MF Closed and MF Open 33737M300 542 11735 SH SOLE 0 0 11735 FIRST TRUST MF Closed and MF Open 33738R506 208 6969 SH SOLE 0 0 6969 FIVE BELOW Common Stock 33829M101 245 1973 SH SOLE 0 0 1973 FLEXSHARES MORNINGSTAR MF Closed and MF Open 33939L100 1424 12534 SH SOLE 0 0 12534 FLEXSHARES MORNINGSTAR MF Closed and MF Open 33939L803 1044 17201 SH SOLE 0 0 17201 FORD MOTOR Common Stock 345370860 190 21630 SH SOLE 0 0 21630 FRANKLIN STREET Common Stock 35471R106 261 36347 SH SOLE 0 0 36347 FS KKR MF Closed and MF Open 302635107 177 29217 SH SOLE 0 0 29217 GAMING & LEISURE Common Stock 36467J108 313 8124 SH SOLE 0 0 8124 GENERAL ELECTRIC Common Stock 369604103 368 36799 SH SOLE 0 0 36799 GLAXOSMITHKLINE PLC Common Stock 37733W105 275 6586 SH SOLE 0 0 6586 GLOBAL X MF Closed and MF Open 37950E226 2307 174899 SH OTR 4,5,10,11,12,13,14,15,16,17 0 0 174899 GLOBAL X MF Closed and MF Open 37950E416 257 8049 SH SOLE 0 0 8049 GOLDMAN SACHS MF Closed and MF Open 381430503 4555 80158 SH SOLE 0 0 80158 GREAT PANTHER Common Stock 39115V101 36 38000 SH SOLE 0 0 38000 HEICO CORP Common Stock 422806109 203 2144 SH SOLE 0 0 2144 HENRY JACK & ASSOC INC Common Stock 426281101 269 1942 SH SOLE 0 0 1942 HOME DEPOT Common Stock 437076102 2099 10940 SH SOLE 0 0 10940 HONEYWELL INTL Common Stock 438516106 314 1977 SH SOLE 0 0 1977 HOSPITALITY PROPERTIES Common Stock 44106M102 276 10490 SH SOLE 0 0 10490 ILLUMINA INC Common Stock 452327109 297 956 SH SOLE 0 0 956 INTEL CORP Common Stock 458140100 1027 19132 SH SOLE 0 0 19132 INTL BUSINESS Common Stock 459200101 602 4266 SH SOLE 0 0 4266 INVESCO BULLETSHARES MF Closed and MF Open 46138J304 1428 67789 SH OTR 5,12,13 0 0 67789 INVESCO BULLETSHARES MF Closed and MF Open 46138J502 3069 144605 SH OTR 2,3,5,6,8,9,12,13,15,17 0 0 144605 INVESCO BULLETSHARES MF Closed and MF Open 46138J700 5238 249066 SH OTR 5,6,8,9,12,13,16 0 0 249066 INVESCO BULLETSHARES MF Closed and MF Open 46138J882 2026 95924 SH OTR 5 0 0 95924 INVESCO BULLETSHARES MF Closed and MF Open 46138J866 2730 131246 SH OTR 5,10,11,12,13,15,16,17 0 0 131246 INVESCO BULLETSHARES MF Closed and MF Open 46138J841 485 23418 SH OTR 1,8,9,13 0 0 23418 INVESCO BULLETSHARES MF Closed and MF Open 46138J403 10404 433499 SH OTR 4,5,6,13,14,16,17 0 0 433499 INVESCO BULLETSHARES MF Closed and MF Open 46138J601 11435 474861 SH OTR 2,5,6,8,9,10,12,13,17 0 0 474861 INVESCO BULLETSHARES MF Closed and MF Open 46138J809 1815 73435 SH SOLE 0 0 73435 INVESCO BULLETSHARES MF Closed and MF Open 46138J874 632 25828 SH SOLE 0 0 25828 INVESCO BULLETSHARES MF Closed and MF Open 46138J858 213 8175 SH SOLE 0 0 8175 INVESCO BULLETSHARES MF Closed and MF Open 46138J833 332 13302 SH SOLE 0 0 13302 INVESCO CHINA MF Closed and MF Open 46138E800 537 10931 SH SOLE 0 0 10931 INVESCO EXCHANGE MF Closed and MF Open 46138E354 608 11543 SH SOLE 0 0 11543 INVESCO EXCHANGE MF Closed and MF Open 46138E198 455 9164 SH SOLE 0 0 9164 INVESCO FTSE MF Closed and MF Open 46137V613 490 4321 SH OTR 5 0 0 4321 INVESCO HIGH Common Stock 46135X108 811 78708 SH SOLE 0 0 78708 INVESCO NATIONAL MF Closed and MF Open 46138E537 224 8748 SH SOLE 0 0 8748 INVESCO QQQ MF Closed and MF Open 46090E103 2231 12419 SH SOLE 0 0 12419 INVESCO S&P MF Closed and MF Open 46138E362 539 12706 SH SOLE 0 0 12706 INVESCO SENIOR MF Closed and MF Open 46138G508 695 30706 SH OTR 11,12,13 0 0 30706 ISHARES 1-3YR MF Closed and MF Open 464287457 272 3231 SH SOLE 0 0 3231 ISHARES 20 MF Closed and MF Open 464287432 274 2170 SH SOLE 0 0 2170 ISHARES CHINA MF Closed and MF Open 464287184 7243 163618 SH OTR 5 0 0 163618 ISHARES CORE MF Closed and MF Open 464287226 2746 25178 SH OTR 1,5,6,12,13,14 0 0 25178 ISHARES CORE MF Closed and MF Open 46429B663 525 5631 SH SOLE 0 0 5631 ISHARES CORE MF Closed and MF Open 46432F842 7275 119709 SH OTR 5 0 0 119709 ISHARES CORE MF Closed and MF Open 46434G103 9874 190952 SH SOLE 0 0 190952 ISHARES CORE MF Closed and MF Open 46434V738 298 6504 SH SOLE 0 0 6504 ISHARES CORE MF Closed and MF Open 464287507 14209 75022 SH SOLE 0 0 75022 ISHARES CORE MF Closed and MF Open 464287804 2716 35199 SH SOLE 0 0 35199 ISHARES CORE MF Closed and MF Open 46434V696 399 7180 SH SOLE 0 0 7180 ISHARES CORE MF Closed and MF Open 464287150 13958 216733 SH SOLE 0 0 216733 ISHARES CORE MF Closed and MF Open 46434V613 1147 22664 SH SOLE 0 0 22664 ISHARES CORE MF Closed and MF Open 464287663 8223 149979 SH SOLE 0 0 149979 ISHARES CORE MF Closed and MF Open 464287200 7188 25260 SH SOLE 0 0 25260 ISHARES CORE MF Closed and MF Open 46432F834 546 9403 SH SOLE 0 0 9403 ISHARES EDGE MF Closed and MF Open 464286525 430 4810 SH OTR 5 0 0 4810 ISHARES EDGE MF Closed and MF Open 464286533 240 4045 SH SOLE 0 0 4045 ISHARES EDGE MF Closed and MF Open 46429B689 958 13302 SH SOLE 0 0 13302 ISHARES EDGE MF Closed and MF Open 46434V274 22560 856801 SH OTR 5 0 0 856801 ISHARES EDGE MF Closed and MF Open 46434V282 17127 551938 SH OTR 1,5,8,9,13,16,17 0 0 551938 ISHARES EDGE MF Closed and MF Open 46432F396 17835 158984 SH SOLE 0 0 158984 ISHARES EDGE MF Closed and MF Open 46432F339 9393 106076 SH SOLE 0 0 106076 ISHARES EDGE MF Closed and MF Open 46434V290 8079 201419 SH OTR 5,8,9,12,13,17 0 0 201419 ISHARES EDGE MF Closed and MF Open 46435G433 366 11356 SH SOLE 0 0 11356 ISHARES EDGE MF Closed and MF Open 46429B697 8066 137183 SH OTR 5,7 0 0 137183 ISHARES EDGE MF Closed and MF Open 46432F388 6828 85498 SH OTR 5,7 0 0 85498 ISHARES FLOATING MF Closed and MF Open 46429B655 2743 53871 SH SOLE 0 0 53871 ISHARES GLOBAL MF Closed and MF Open 464287291 2433 14225 SH SOLE 0 0 14225 ISHARES IBONDS MF Closed and MF Open 46434VBK5 281 11357 SH SOLE 0 0 11357 ISHARES IBONDS MF Closed and MF Open 46429B564 309 12145 SH SOLE 0 0 12145 ISHARES IBONDS MF Closed and MF Open 46434V571 265 10400 SH SOLE 0 0 10400 ISHARES IBONDS MF Closed and MF Open 46435G789 306 11907 SH SOLE 0 0 11907 ISHARES IBOXX MF Closed and MF Open 464288513 461 5328 SH SOLE 0 0 5328 ISHARES IBOXX MF Closed and MF Open 464287242 12032 101062 SH OTR 1,5,11,12,13,15,16,17 0 0 101062 ISHARES INC MF Closed and MF Open 46434G889 7816 182836 SH OTR 5 0 0 182836 ISHARES INTEREST MF Closed and MF Open 46431W705 274 2933 SH OTR 10,12,13,15,16,17 0 0 2933 ISHARES INTERMEDIATE MF Closed and MF Open 464288638 610 11058 SH SOLE 0 0 11058 ISHARES INTL MF Closed and MF Open 464288448 210 6799 SH SOLE 0 0 6799 ISHARES JPMORGAN MF Closed and MF Open 464288281 1669 15166 SH SOLE 0 0 15166 ISHARES MBS MF Closed and MF Open 464288588 395 3716 SH OTR 1,2 0 0 3716 ISHARES MORNINGSTAR MF Closed and MF Open 464288208 860 4574 SH SOLE 0 0 4574 ISHARES MSCI MF Closed and MF Open 464287234 492 11460 SH SOLE 0 0 11460 ISHARES MSCI MF Closed and MF Open 464287465 1900 29287 SH SOLE 0 0 29287 ISHARES MSCI MF Closed and MF Open 464288877 260 5317 SH SOLE 0 0 5317 ISHARES MSCI MF Closed and MF Open 464286400 6874 167701 SH SOLE 0 0 167701 ISHARES MSCI MF Closed and MF Open 46429B598 7378 209316 SH SOLE 0 0 209316 ISHARES NATIONAL MF Closed and MF Open 464288414 2271 20420 SH SOLE 0 0 20420 ISHARES RUSS MF Closed and MF Open 464287473 566 6511 SH SOLE 0 0 6511 ISHARES RUSSELL MF Closed and MF Open 464287622 213 1354 SH SOLE 0 0 1354 ISHARES RUSSELL MF Closed and MF Open 464287598 682 5524 SH SOLE 0 0 5524 ISHARES RUSSELL MF Closed and MF Open 464287614 1035 6839 SH SOLE 0 0 6839 ISHARES RUSSELL MF Closed and MF Open 464287655 5450 35599 SH OTR 11 0 0 35599 ISHARES RUSSELL MF Closed and MF Open 464287481 277 2038 SH SOLE 0 0 2038 ISHARES RUSSELL MF Closed and MF Open 464287499 301 5577 SH SOLE 0 0 5577 ISHARES S&P MF Closed and MF Open 464287606 477 2175 SH SOLE 0 0 2175 ISHARES S&P MF Closed and MF Open 464287671 10912 180906 SH OTR 11 0 0 180906 ISHARES S&P MF Closed and MF Open 464287408 1163 10320 SH SOLE 0 0 10320 ISHARES S&P MF Closed and MF Open 464287309 1115 6469 SH SOLE 0 0 6469 ISHARES S&P MF Closed and MF Open 464287101 1961 15654 SH OTR 8,9 0 0 15654 ISHARES SELECT MF Closed and MF Open 464287168 1598 16281 SH SOLE 0 0 16281 ISHARES SHORT MF Closed and MF Open 464288646 5292 100181 SH SOLE 0 0 100181 ISHARES TIPS MF Closed and MF Open 464287176 3474 30725 SH OTR 1,2,4,5,6,8,9,10,12,13,14,15,17 0 0 30725 ISHARES U S MF Closed and MF Open 46429B267 936 37078 SH OTR 5 0 0 37078 ISHARES U S MF Closed and MF Open 464287739 7334 84263 SH OTR 5 0 0 84263 ISHARES U S MF Closed and MF Open 46431W507 1530 30455 SH SOLE 0 0 30455 ISHARES U S MF Closed and MF Open 464288687 301 8234 SH SOLE 0 0 8234 JOHNSON & JOHNSON Common Stock 478160104 1500 10728 SH SOLE 0 0 10728 JP MORGAN MF Closed and MF Open 46641Q209 2012 36383 SH SOLE 0 0 36383 JPMORGAN MF Closed and MF Open 46641Q837 593 11791 SH SOLE 0 0 11791 JPMORGAN CHASE Common Stock 46625H100 1095 10814 SH SOLE 0 0 10814 JPMORGAN DIVERSIFIED MF Closed and MF Open 46641Q407 3820 52227 SH SOLE 0 0 52227 KIMBERLY CLARK Common Stock 494368103 355 2869 SH SOLE 0 0 2869 KINDER MORGAN Common Stock 49456B101 225 11244 SH SOLE 0 0 11244 LAMB WESTON Common Stock 513272104 209 2791 SH OTR 11 0 0 2791 LENDINGTREE INC Common Stock 52603B107 202 574 SH SOLE 0 0 574 LEXINGTON REALTY Common Stock 529043101 223 24589 SH OTR 5,13,14 0 0 24589 LOWES COMPANIES Common Stock 548661107 351 3207 SH SOLE 0 0 3207 MASTERCARD INC Common Stock 57636Q104 830 3525 SH OTR 13 0 0 3525 MC CORMICK Common Stock 579780206 319 2117 SH SOLE 0 0 2117 MCDONALDS CORP Common Stock 580135101 492 2593 SH OTR 11,13,16,17 0 0 2593 MEDICAL PROPERTIES Common Stock 58463J304 341 18405 SH SOLE 0 0 18405 MERCK & COMPANY Common Stock 58933Y105 932 11212 SH SOLE 0 0 11212 MICROSOFT CORP Common Stock 594918104 3017 25583 SH SOLE 0 0 25583 NETFLIX INC Common Stock 64110L106 536 1502 SH OTR 8,9,12,13 0 0 1502 NIKE INC Common Stock 654106103 551 6541 SH OTR 6,13,17 0 0 6541 NORTHROP GRUMMAN Common Stock 666807102 229 848 SH OTR 2,17 0 0 848 NOVARTIS AG Common Stock 66987V109 237 2467 SH OTR 12,13,15,16,17 0 0 2467 NUVEEN FLOATING MF Closed and MF Open 6706EN100 382 39835 SH SOLE 0 0 39835 NUVEEN FLOATING RATE MF Closed and MF Open 67072T108 382 39648 SH SOLE 0 0 39648 NUVEEN HIGH MF Closed and MF Open 67077N106 1017 103953 SH SOLE 0 0 103953 NUVEEN HIGH MF Closed and MF Open 67076E107 8860 895834 SH SOLE 0 0 895834 NUVEEN HIGH MF Closed and MF Open 67075L102 9739 980768 SH OTR 5 0 0 980768 NUVEEN MORTGAGE MF Closed and MF Open 67074R100 9613 427252 SH SOLE 0 0 427252 NUVEEN PFD MF Closed and MF Open 67075T105 835 36629 SH SOLE 0 0 36629 NUVEEN SR MF Closed and MF Open 67067Y104 461 79416 SH OTR 10,13,16,17 0 0 79416 NVIDIA CORP Common Stock 67066G104 260 1449 SH OTR 4,8,9,17 0 0 1449 OCCIDENTAL PETROLEUM Common Stock 674599105 255 3848 SH SOLE 0 0 3848 OPPENHEIMER S&P MF Closed and MF Open 68386C401 247 6509 SH SOLE 0 0 6509 ORACLE CORP Common Stock 68389X105 753 14025 SH OTR 10,12,13,17 0 0 14025 PAYPAL HOLDINGS Common Stock 70450Y103 544 5236 SH SOLE 0 0 5236 PEPSICO INC Common Stock 713448108 1094 8925 SH SOLE 0 0 8925 PFIZER INC Common Stock 717081103 2532 59615 SH OTR 1,12,13,16,17 0 0 59615 PHILIP MORRIS Common Stock 718172109 762 8615 SH OTR 5,11,13,15 0 0 8615 PIMCO EHNANCED MF Closed and MF Open 72201R833 354 3488 SH SOLE 0 0 3488 PIMCO INTERMEDIATE MF Closed and MF Open 72201R866 389 7203 SH SOLE 0 0 7203 PROCTER & GAMBLE Common Stock 742718109 993 9539 SH OTR 5 0 0 9539 PROSHARES TRUST MF Closed and MF Open 74348A467 3463 51095 SH OTR 1,2,5,8,9,11,12,13,14,17 0 0 51095 PROSPECT CAP 4.7520 Debt 74348TAQ5 20 20000 PRN SOLE 0 0 20000 PRUDENTIAL FINANCIAL Common Stock 744320102 236 2569 SH OTR 10,13 0 0 2569 PUBLIC SERVICE Common Stock 744573106 273 4601 SH SOLE 0 0 4601 RAYTHEON COMPANY Common Stock 755111507 443 2434 SH SOLE 0 0 2434 REDWOOD TRUST INC Common Stock 758075402 208 12868 SH SOLE 0 0 12868 RESONANT INC Common Stock 76118L102 33 11000 SH SOLE 0 0 11000 ROCKWELL AUTOMATION Common Stock 773903109 351 1998 SH SOLE 0 0 1998 ROYAL DUTCH Common Stock 780259206 568 9068 SH SOLE 0 0 9068 S&P GLOBAL Common Stock 78409V104 462 2192 SH SOLE 0 0 2192 SALESFORCE.COM INC Common Stock 79466L302 325 2051 SH SOLE 0 0 2051 SCHWAB SHORT MF Closed and MF Open 808524862 975 19427 SH SOLE 0 0 19427 SCHWAB US MF Closed and MF Open 808524300 390 4915 SH SOLE 0 0 4915 SECTOR ENERGY MF Closed and MF Open 81369Y506 271 4100 SH SOLE 0 0 4100 SECTOR FINANCIAL MF Closed and MF Open 81369Y605 804 31273 SH SOLE 0 0 31273 SECTOR HEALTHCARE MF Closed and MF Open 81369Y209 558 6086 SH OTR 16 0 0 6086 SECTOR INDUSTRIAL MF Closed and MF Open 81369Y704 321 4276 SH SOLE 0 0 4276 SECTOR TECHNOLOGY MF Closed and MF Open 81369Y803 7355 99390 SH SOLE 0 0 99390 SELECT UTILITIES MF Closed and MF Open 81369Y886 7178 123390 SH OTR 1,2,5,6,8,9,10,11,12,13,14,15,16,17 0 0 123390 SHERWIN WILLIAMS Common Stock 824348106 224 520 SH SOLE 0 0 520 SMITH AO Common Stock 831865209 221 4151 SH SOLE 0 0 4151 SORRENTO THERAPEUTICS Common Stock 83587F202 681 143391 SH SOLE 0 0 143391 SOUTHERN COMPANY Common Stock 842587107 405 7843 SH SOLE 0 0 7843 SPDR BLACKSTONE MF Closed and MF Open 78467V608 3431 74503 SH OTR 5 0 0 74503 SPDR BLOOMBERG MF Closed and MF Open 78464A516 298 10681 SH SOLE 0 0 10681 SPDR BLOOMBERG MF Closed and MF Open 78464A417 1909 53081 SH SOLE 0 0 53081 SPDR DOUBLELINE MF Closed and MF Open 78467V848 374 7744 SH SOLE 0 0 7744 SPDR DOW MF Closed and MF Open 78463X749 280 5590 SH SOLE 0 0 5590 SPDR GOLD Common Stock 78463V107 470 3852 SH SOLE 0 0 3852 SPDR NUVEEN MF Closed and MF Open 78468R739 339 6997 SH SOLE 0 0 6997 SPDR PORTFOLIO MF Closed and MF Open 78464A649 212 7435 SH SOLE 0 0 7435 SPDR PORTFOLIO MF Closed and MF Open 78463X889 698 23909 SH SOLE 0 0 23909 SPDR PORTFOLIO MF Closed and MF Open 78464A375 200 5861 SH SOLE 0 0 5861 SPDR PORTFOLIO MF Closed and MF Open 78464A854 342 10296 SH SOLE 0 0 10296 SPDR PORTFOLIO MF Closed and MF Open 78464A474 282 9235 SH SOLE 0 0 9235 SPDR S&P MF Closed and MF Open 78467Y107 502 1454 SH OTR 1,2,4,5,6 0 0 1454 SPDR S&P MF Closed and MF Open 78462F103 2385 8444 SH SOLE 0 0 8444 SPDR SERIES MF Closed and MF Open 78464A763 640 6435 SH SOLE 0 0 6435 STANLEY BLACK Common Stock 854502101 263 1932 SH SOLE 0 0 1932 STARBUCKS CORP Common Stock 855244109 232 3115 SH SOLE 0 0 3115 TESLA INC Common Stock 88160R101 320 1143 SH SOLE 0 0 1143 TEXAS INSTRUMENTS Common Stock 882508104 205 1929 SH SOLE 0 0 1929 THERMO FISHER Common Stock 883556102 264 966 SH SOLE 0 0 966 TJX COS Common Stock 872540109 301 5652 SH SOLE 0 0 5652 TONIX PHARMACEUTICALS HOLDINGS Common Stock 890260508 25 10213 SH SOLE 0 0 10213 TOTAL S A Common Stock 89151E109 262 4716 SH SOLE 0 0 4716 TOWNEBANK PORTSMOUTH Common Stock 89214P109 437 17643 SH SOLE 0 0 17643 U S BANCORP DE Common Stock 902973304 236 4907 SH SOLE 0 0 4907 UNION PACIFIC CORP Common Stock 907818108 480 2872 SH SOLE 0 0 2872 UNITED PARCEL Common Stock 911312106 202 1808 SH SOLE 0 0 1808 UNITED TECHNOLOGIES Common Stock 913017109 636 4934 SH SOLE 0 0 4934 UNITEDHEALTH GROUP Common Stock 91324P102 741 2995 SH SOLE 0 0 2995 VANECK VECTORS MF Closed and MF Open 92189F106 2000 89203 SH SOLE 0 0 89203 VANECK VECTORS MF Closed and MF Open 92189F643 375 8049 SH SOLE 0 0 8049 VANGUARD DIVIDEND MF Closed and MF Open 921908844 1199 10936 SH SOLE 0 0 10936 VANGUARD EXTENDED MF Closed and MF Open 922908652 548 4746 SH OTR 17 0 0 4746 VANGUARD FINANCIALS MF Closed and MF Open 92204A405 210 3253 SH OTR 11 0 0 3253 VANGUARD FSTE MF Closed and MF Open 922042858 1344 31617 SH OTR 8,9,12,17 0 0 31617 VANGUARD FTSE MF Closed and MF Open 921943858 2684 65670 SH SOLE 0 0 65670 VANGUARD FTSE MF Closed and MF Open 922042874 669 12479 SH SOLE 0 0 12479 VANGUARD FTSE MF Closed and MF Open 922042718 257 2467 SH SOLE 0 0 2467 VANGUARD GROWTH MF Closed and MF Open 922908736 3287 21017 SH OTR 5,7 0 0 21017 VANGUARD HIGH MF Closed and MF Open 921946406 5154 60163 SH OTR 5,8,9 0 0 60163 VANGUARD INFORMATION MF Closed and MF Open 92204A702 495 2469 SH SOLE 0 0 2469 VANGUARD INTERMEDIATE MF Closed and MF Open 921937819 924 11005 SH OTR 5,6,8,9,10,12,13,16 0 0 11005 VANGUARD INTERMEDIATE MF Closed and MF Open 92206C870 8601 99011 SH OTR 5,7,11 0 0 99011 VANGUARD LARGE MF Closed and MF Open 922908637 2308 17783 SH SOLE 0 0 17783 VANGUARD LONG MF Closed and MF Open 921937793 347 3765 SH OTR 13 0 0 3765 VANGUARD MID MF Closed and MF Open 922908629 659 4097 SH SOLE 0 0 4097 VANGUARD MID MF Closed and MF Open 922908512 365 3379 SH SOLE 0 0 3379 VANGUARD MORTGAGE MF Closed and MF Open 92206C771 425 8115 SH SOLE 0 0 8115 VANGUARD REAL MF Closed and MF Open 922908553 1032 11874 SH SOLE 0 0 11874 VANGUARD RUSSELL MF Closed and MF Open 92206C680 877 5642 SH SOLE 0 0 5642 VANGUARD RUSSELL MF Closed and MF Open 92206C714 687 6352 SH SOLE 0 0 6352 VANGUARD S&P MF Closed and MF Open 922908363 3966 15282 SH SOLE 0 0 15282 VANGUARD SHORT MF Closed and MF Open 921937827 1658 20832 SH SOLE 0 0 20832 VANGUARD SHORT MF Closed and MF Open 92206C409 298 3739 SH SOLE 0 0 3739 VANGUARD SMALL MF Closed and MF Open 922908751 3455 22613 SH SOLE 0 0 22613 VANGUARD SMALL MF Closed and MF Open 922908595 482 2681 SH SOLE 0 0 2681 VANGUARD SMALL MF Closed and MF Open 922908611 874 6790 SH SOLE 0 0 6790 VANGUARD TOTAL MF Closed and MF Open 921937835 9997 123148 SH OTR 1,2,4,5,8,9,10,12,13,15,16,17 0 0 123148 VANGUARD TOTAL MF Closed and MF Open 92203J407 1087 19483 SH OTR 5,8,9,10,11,13 0 0 19483 VANGUARD TOTAL MF Closed and MF Open 922042742 1382 18892 SH SOLE 0 0 18892 VANGUARD TOTAL MF Closed and MF Open 922908769 18190 125698 SH OTR 11 0 0 125698 VANGUARD TOTAL MF Closed and MF Open 921909768 397 7654 SH SOLE 0 0 7654 VANGUARD VALUE MF Closed and MF Open 922908744 3381 31412 SH SOLE 0 0 31412 VENTAS INC Common Stock 92276F100 276 4330 SH SOLE 0 0 4330 VEREIT INC Common Stock 92339V100 505 60337 SH SOLE 0 0 60337 VERIZON COMMUNICATIONS Common Stock 92343V104 2701 45675 SH OTR 5,11,13,15,17 0 0 45675 VERTEX PHARMACEUTICALS Common Stock 92532F100 219 1191 SH SOLE 0 0 1191 VICTORYSHARES DEVELOPED MF Closed and MF Open 92647N816 1503 47550 SH SOLE 0 0 47550 VICTORYSHARES U S MF Closed and MF Open 92647N824 11970 268745 SH OTR 1,4,5,6,10,12,13,17 0 0 268745 VICTORYSHARES US MF Closed and MF Open 92647N766 307 6119 SH SOLE 0 0 6119 VICTORYSHARES US MF Closed and MF Open 92647N782 10846 231947 SH OTR 10,12,13,15,16,17 0 0 231947 VICTORYSHARES US MF Closed and MF Open 92647N774 1343 33979 SH SOLE 0 0 33979 VISA INC Common Stock 92826C839 1895 12131 SH SOLE 0 0 12131 W P CAREY Common Stock 92936U109 303 3869 SH SOLE 0 0 3869 WALMART INC Common Stock 931142103 380 3900 SH SOLE 0 0 3900 WALT DISNEY Common Stock 254687106 1045 9413 SH SOLE 0 0 9413 WELLS FARGO Common Stock 949746101 473 9781 SH SOLE 0 0 9781 WELLTOWER INC Common Stock 95040Q104 250 3225 SH SOLE 0 0 3225 WISDOMTREE JAPAN MF Closed and MF Open 97717W851 1025 20258 SH SOLE 0 0 20258 WISDOMTREE TRUST MF Closed and MF Open 97717X669 201 4667 SH SOLE 0 0 4667 WISDOMTREE TRUST MF Closed and MF Open 97717X701 662 10363 SH SOLE 0 0 10363 X TRACKERS MF Closed and MF Open 233051200 421 13483 SH SOLE 0 0 13483 XILINX INC Common Stock 983919101 355 2798 SH SOLE 0 0 2798 ZOETIS INC Common Stock 98978V103 478 4747 SH OTR 5,13,14 0 0 4747