Regulatory Consultant

0001085146-21-003190.txt : 20211112 0001085146-21-003190.hdr.sgml : 20211112 20211112104714 ACCESSION NUMBER: 0001085146-21-003190 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Quad-Cities Investment Group, LLC CENTRAL INDEX KEY: 0001741426 IRS NUMBER: 272935760 STATE OF INCORPORATION: IA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18795 FILM NUMBER: 211401305 BUSINESS ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 BUSINESS PHONE: 563-484-5000 MAIL ADDRESS: STREET 1: 5177 UTICA RIDGE ROAD CITY: DAVENPORT STATE: IA ZIP: 52807 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001741426 XXXXXXXX 09-30-2021 09-30-2021 false Quad-Cities Investment Group, LLC

5177 UTICA RIDGE ROAD DAVENPORT IA 52807

13F HOLDINGS REPORT 028-18795 N Alex Butters Regulatory Consultant 310-275-7300 /s/ Alex Butters Beverly Hills CA 11-11-2021 0 173 143107 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 442 2518 SH SOLE 0 0 2518 ABBVIE INC COM 00287Y109 401 3714 SH SOLE 0 0 3714 ABERDEEN GLOBAL PREMIER PPTY COM SH BEN INT 00302L108 714 117846 SH SOLE 0 0 117846 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 342 1069 SH SOLE 0 0 1069 ADAMS DIVERSIFIED EQUITY FD COM 006212104 430 21720 SH SOLE 0 0 21720 ADVENT CONV & INCOME FD COM 00764C109 862 47916 SH SOLE 0 0 47916 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 1210 98592 SH SOLE 0 0 98592 ALLIANT ENERGY CORP COM 018802108 377 6742 SH SOLE 0 0 6742 ALPHABET INC CAP STK CL A 02079K305 417 156 SH SOLE 0 0 156 ALPHABET INC CAP STK CL C 02079K107 762 286 SH SOLE 0 0 286 AMAZON COM INC COM 023135106 3610 1099 SH SOLE 0 0 1099 AMERICAN TOWER CORP NEW COM 03027X100 439 1656 SH SOLE 0 0 1656 APPLE INC COM 037833100 12662 89485 SH SOLE 0 0 89485 ARES CAPITAL CORP COM 04010L103 556 27351 SH SOLE 0 0 27351 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 422 5401 SH SOLE 0 0 5401 ARK ETF TR FINTECH INNOVA 00214Q708 253 5135 SH SOLE 0 0 5135 ARK ETF TR INNOVATION ETF 00214Q104 304 2752 SH SOLE 0 0 2752 ARK ETF TR NEXT GNRTN INTER 00214Q401 383 2758 SH SOLE 0 0 2758 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 297 5702 SH SOLE 0 0 5702 BLACKSTONE INC COM 09260D107 673 5786 SH SOLE 0 0 5786 BOEING CO COM 097023105 400 1817 SH SOLE 0 0 1817 BRISTOL-MYERS SQUIBB CO COM 110122108 240 4058 SH SOLE 0 0 4058 CALAMOS DYNAMIC CONV & INCOM COM 12811V105 1642 53998 SH SOLE 0 0 53998 CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 128125101 594 33498 SH SOLE 0 0 33498 CATERPILLAR INC COM 149123101 671 3493 SH SOLE 0 0 3493 CBRE CLARION GLOBAL REAL EST COM 12504G100 167 19989 SH SOLE 0 0 19989 CENTRAL SECS CORP COM 155123102 585 13856 SH SOLE 0 0 13856 CINTAS CORP COM 172908105 587 1541 SH SOLE 0 0 1541 COHEN & STEERS INFRASTRUCTUR COM 19248A109 624 23035 SH SOLE 0 0 23035 COHEN & STEERS QUALITY INCOM COM 19247L106 1899 127458 SH SOLE 0 0 127458 CUMMINS INC COM 231021106 309 1378 SH SOLE 0 0 1378 CVS HEALTH CORP COM 126650100 365 4300 SH SOLE 0 0 4300 DEERE & CO COM 244199105 2475 7387 SH SOLE 0 0 7387 DIAGEO PLC SPON ADR NEW 25243Q205 350 1816 SH SOLE 0 0 1816 DIAMONDBACK ENERGY INC COM 25278X109 300 3170 SH SOLE 0 0 3170 DISNEY WALT CO COM 254687106 421 2489 SH SOLE 0 0 2489 DOW INC COM 260557103 270 4694 SH SOLE 0 0 4694 DUKE ENERGY CORP NEW COM NEW 26441C204 398 4073 SH SOLE 0 0 4073 EATON VANCE LTD DURATION INC COM 27828H105 462 35090 SH SOLE 0 0 35090 EATON VANCE TAX-MANAGED GLOB COM 27829C105 248 22932 SH SOLE 0 0 22932 EATON VANCE TAX-MANAGED GLOB COM 27829F108 187 18729 SH SOLE 0 0 18729 ENTERPRISE PRODS PARTNERS L COM 293792107 603 27862 SH SOLE 0 0 27862 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 200 2961 SH SOLE 0 0 2961 EXXON MOBIL CORP COM 30231G102 333 5669 SH SOLE 0 0 5669 FACEBOOK INC CL A 30303M102 1111 3273 SH SOLE 0 0 3273 FERRARI N V COM N3167Y103 213 1015 SH SOLE 0 0 1015 FIRST TR DYNAMIC EUROPE EQUI COM SHS 33740D107 182 14086 SH SOLE 0 0 14086 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 727 12808 SH SOLE 0 0 12808 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 7249 352919 SH SOLE 0 0 352919 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 651 9400 SH SOLE 0 0 9400 FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 33737J307 421 9955 SH SOLE 0 0 9955 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 202 7491 SH SOLE 0 0 7491 FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 33739H101 1132 46940 SH SOLE 0 0 46940 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 268 2540 SH SOLE 0 0 2540 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 282 6381 SH SOLE 0 0 6381 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 886 15448 SH SOLE 0 0 15448 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 1038 18537 SH SOLE 0 0 18537 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 544 4429 SH SOLE 0 0 4429 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 2244 29988 SH SOLE 0 0 29988 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 2447 10373 SH SOLE 0 0 10373 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 1016 22194 SH SOLE 0 0 22194 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 2828 47177 SH SOLE 0 0 47177 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 1582 32834 SH SOLE 0 0 32834 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 518 10237 SH SOLE 0 0 10237 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 700 29582 SH SOLE 0 0 29582 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1441 8678 SH SOLE 0 0 8678 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 659 13887 SH SOLE 0 0 13887 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 2921 61036 SH SOLE 0 0 61036 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 992 18533 SH SOLE 0 0 18533 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1820 55541 SH SOLE 0 0 55541 FIRST TR NASDAQ 100 TECH IND SHS 337345102 698 4422 SH SOLE 0 0 4422 FIRST TR SPECIALTY FIN & FIN COM BEN INTR 33733G109 278 70030 SH SOLE 0 0 70030 FORD MTR CO DEL COM 345370860 326 23017 SH SOLE 0 0 23017 GABELLI DIVID & INCOME TR COM 36242H104 353 13679 SH SOLE 0 0 13679 GABELLI EQUITY TR INC COM 362397101 170 25545 SH SOLE 0 0 25545 GOLDMAN SACHS ETF TR ACCESS INFLATI 381430362 287 4963 SH SOLE 0 0 4963 GOLDMAN SACHS GROUP INC COM 38141G104 218 576 SH SOLE 0 0 576 GUGGENHEIM STRATEGIC OPPORTU COM SBI 40167F101 301 15726 SH SOLE 0 0 15726 HARTFORD FDS EXCHANGE TRADED SHRT DURTN ETF 41653L602 381 9309 SH SOLE 0 0 9309 HOME DEPOT INC COM 437076102 612 1863 SH SOLE 0 0 1863 HONEYWELL INTL INC COM 438516106 236 1111 SH SOLE 0 0 1111 INTERCONTINENTAL EXCHANGE IN COM 45866F104 210 1825 SH SOLE 0 0 1825 INVESCO ADVANTAGE MUN INCOME SH BEN INT 46132E103 243 19509 SH SOLE 0 0 19509 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 399 26538 SH SOLE 0 0 26538 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 220 9457 SH SOLE 0 0 9457 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 280 11049 SH SOLE 0 0 11049 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 HY 46138J833 253 10090 SH SOLE 0 0 10090 INVESCO EXCH TRD SLF IDX FD BULSHS 2025 HY 46138J817 226 9178 SH SOLE 0 0 9178 INVESCO EXCHANGE TRADED FD T RYMND JMS SB 1 46137V522 200 3336 SH SOLE 0 0 3336 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 784 5231 SH SOLE 0 0 5231 INVESCO MUN OPPORTUNITY TR COM 46132C107 670 48911 SH SOLE 0 0 48911 INVESCO QQQ TR UNIT SER 1 46090E103 906 2530 SH SOLE 0 0 2530 INVESCO QUALITY MUN INCOME T COM 46133G107 188 14280 SH SOLE 0 0 14280 IRON MTN INC NEW COM 46284V101 210 4840 SH SOLE 0 0 4840 ISHARES INC CORE MSCI EMKT 46434G103 1151 18641 SH SOLE 0 0 18641 ISHARES TR 0-5 YR TIPS ETF 46429B747 893 8458 SH SOLE 0 0 8458 ISHARES TR CONV BD ETF 46435G102 615 6171 SH SOLE 0 0 6171 ISHARES TR CORE 1 5 YR USD 46432F859 364 7122 SH SOLE 0 0 7122 ISHARES TR CORE DIV GRWTH 46434V621 2768 55101 SH SOLE 0 0 55101 ISHARES TR CORE INTL AGGR 46435G672 962 17482 SH SOLE 0 0 17482 ISHARES TR CORE MSCI EAFE 46432F842 2021 27213 SH SOLE 0 0 27213 ISHARES TR CORE MSCI TOTAL 46432F834 783 11030 SH SOLE 0 0 11030 ISHARES TR CORE S&P MCP ETF 464287507 1769 6725 SH SOLE 0 0 6725 ISHARES TR CORE S&P SCP ETF 464287804 1560 14285 SH SOLE 0 0 14285 ISHARES TR CORE S&P TTL STK 464287150 2411 24509 SH SOLE 0 0 24509 ISHARES TR CORE S&P500 ETF 464287200 2326 5400 SH SOLE 0 0 5400 ISHARES TR CORE US AGGBD ET 464287226 1219 10615 SH SOLE 0 0 10615 ISHARES TR CRE U S REIT ETF 464288521 449 7660 SH SOLE 0 0 7660 ISHARES TR JPMORGAN USD EMG 464288281 1013 9208 SH SOLE 0 0 9208 ISHARES TR MORTGE REL ETF 46435G342 484 13391 SH SOLE 0 0 13391 ISHARES TR S&P 500 GRWT ETF 464287309 252 3408 SH SOLE 0 0 3408 ISHARES TR SP SMCP600VL ETF 464287879 218 2168 SH SOLE 0 0 2168 ISHARES TR TIPS BD ETF 464287176 1614 12637 SH SOLE 0 0 12637 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1247 24850 SH SOLE 0 0 24850 JOHNSON & JOHNSON COM 478160104 486 3010 SH SOLE 0 0 3010 KANSAS CITY SOUTHERN COM NEW 485170302 1117 4127 SH SOLE 0 0 4127 KINDER MORGAN INC DEL COM 49456B101 550 32900 SH SOLE 0 0 32900 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 293 34112 SH SOLE 0 0 34112 LIBERTY ALL-STAR GROWTH FD I COM 529900102 676 78352 SH SOLE 0 0 78352 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 243 5336 SH SOLE 0 0 5336 MAINSTAY MACKAY DEFINEDTERM COM 56064K100 213 9727 SH SOLE 0 0 9727 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 2247 103062 SH SOLE 0 0 103062 MERCK & CO INC COM 58933Y105 224 2983 SH SOLE 0 0 2983 MICROSOFT CORP COM 594918104 3547 12583 SH SOLE 0 0 12583 MORGAN STANLEY EMKT DBT FD I COM 61744H105 1222 134144 SH SOLE 0 0 134144 NEWPARK RES INC COM PAR $.01NEW 651718504 92 28000 SH SOLE 0 0 28000 NUVEEN AMT FREE MUN CR INC F COM 67071L106 178 10401 SH SOLE 0 0 10401 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 208 31707 SH SOLE 0 0 31707 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 259 17559 SH SOLE 0 0 17559 NUVEEN QUALITY MUNCP INCOME COM 67066V101 343 21973 SH SOLE 0 0 21973 OMEROS CORP COM 682143102 181 13150 SH SOLE 0 0 13150 ONEOK INC NEW COM 682680103 225 3882 SH SOLE 0 0 3882 OWL ROCK CAPITAL CORPORATION COM 69121K104 173 12241 SH SOLE 0 0 12241 PEPSICO INC COM 713448108 1082 7197 SH SOLE 0 0 7197 PFIZER INC COM 717081103 1060 24641 SH SOLE 0 0 24641 PROCTER AND GAMBLE CO COM 742718109 508 3636 SH SOLE 0 0 3636 PROSHARES TR S&P MDCP 400 DIV 74347B680 332 4901 SH SOLE 0 0 4901 PUTNAM MANAGED MUN INCOME TR COM 746823103 345 41403 SH SOLE 0 0 41403 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 2161 472760 SH SOLE 0 0 472760 REALTY INCOME CORP COM 756109104 660 10173 SH SOLE 0 0 10173 SALESFORCE COM INC COM 79466L302 394 1452 SH SOLE 0 0 1452 SCHWAB STRATEGIC TR US TIPS ETF 808524870 371 5925 SH SOLE 0 0 5925 SPDR S&P 500 ETF TR TR UNIT 78462F103 237 552 SH SOLE 0 0 552 SPDR SER TR BLMBRG BRC CNVRT 78464A359 397 4651 SH SOLE 0 0 4651 SPDR SER TR PORTFLI TIPS ETF 78464A656 2923 93973 SH SOLE 0 0 93973 SQUARE INC CL A 852234103 221 920 SH SOLE 0 0 920 STRYKER CORPORATION COM 863667101 264 1000 SH SOLE 0 0 1000 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 640 17140 SH SOLE 0 0 17140 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 214 10302 SH SOLE 0 0 10302 TESLA INC COM 88160R101 289 373 SH SOLE 0 0 373 TRI CONTL CORP COM 895436103 293 8783 SH SOLE 0 0 8783 TRITON INTL LTD CL A G9078F107 707 13595 SH SOLE 0 0 13595 TWITTER INC COM 90184L102 332 5500 SH SOLE 0 0 5500 UBER TECHNOLOGIES INC COM 90353T100 688 15352 SH SOLE 0 0 15352 UNITED PARCEL SERVICE INC CL B 911312106 392 2151 SH SOLE 0 0 2151 US BANCORP DEL COM NEW 902973304 1273 21412 SH SOLE 0 0 21412 VALERO ENERGY CORP COM 91913Y100 342 4853 SH SOLE 0 0 4853 VANECK ETF TRUST HIGH YLD MUNIETF 92189H409 251 4020 SH SOLE 0 0 4020 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 211 2572 SH SOLE 0 0 2572 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 214 3751 SH SOLE 0 0 3751 VANGUARD INDEX FDS GROWTH ETF 922908736 297 1025 SH SOLE 0 0 1025 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 261 1867 SH SOLE 0 0 1867 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 428 8141 SH SOLE 0 0 8141 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 354 7006 SH SOLE 0 0 7006 VERIZON COMMUNICATIONS INC COM 92343V104 716 13254 SH SOLE 0 0 13254 VIRTUS DIVIDEND INTEREST & P COM 92840R101 206 13873 SH SOLE 0 0 13873 VISA INC COM CL A 92826C839 438 1967 SH SOLE 0 0 1967 WALGREENS BOOTS ALLIANCE INC COM 931427108 201 4262 SH SOLE 0 0 4262 WALMART INC COM 931142103 1579 11332 SH SOLE 0 0 11332 WELLS FARGO CO NEW COM 949746101 1125 24232 SH SOLE 0 0 24232 WESTERN ASSET EMERGING MKTS COM 95766A101 399 29303 SH SOLE 0 0 29303 WESTERN ASSET MTG DEFINED OP COM 95790B109 476 30807 SH SOLE 0 0 30807 ZOETIS INC CL A 98978V103 621 3199 SH SOLE 0 0 3199