Regulatory Consultant

0001085146-22-004065.txt : 20221114 0001085146-22-004065.hdr.sgml : 20221114 20221114145143 ACCESSION NUMBER: 0001085146-22-004065 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221114 EFFECTIVENESS DATE: 20221114 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: 221384031 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 09-30-2022 09-30-2022 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 11-14-2022 0 173 128849 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 322 2916 SH SOLE 0 0 2916 ABBVIE INC COM 00287Y109 513 3822 SH SOLE 0 0 3822 ABRDN GLOBAL PREMIER PPTYS F COM SH BEN INT 00302L108 472 123506 SH SOLE 0 0 123506 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 276 1071 SH SOLE 0 0 1071 ADAMS DIVERSIFIED EQUITY FD COM 006212104 293 20086 SH SOLE 0 0 20086 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 903 101739 SH SOLE 0 0 101739 ALLIANT ENERGY CORP COM 018802108 362 6827 SH SOLE 0 0 6827 ALPHABET INC CAP STK CL A 02079K305 409 4280 SH SOLE 0 0 4280 ALPHABET INC CAP STK CL C 02079K107 654 6800 SH SOLE 0 0 6800 AMAZON COM INC COM 023135106 2722 24091 SH SOLE 0 0 24091 AMERICAN TOWER CORP NEW COM 03027X100 463 2156 SH SOLE 0 0 2156 APPLE INC COM 037833100 11563 83666 SH SOLE 0 0 83666 ARES CAPITAL CORP COM 04010L103 516 30540 SH SOLE 0 0 30540 AXON ENTERPRISE INC COM 05464C101 214 1850 SH SOLE 0 0 1850 BLACKROCK ENHANCED EQUITY DI COM 09251A104 84 10365 SH SOLE 0 0 10365 BLACKSTONE INC COM 09260D107 532 6355 SH SOLE 0 0 6355 BOEING CO COM 097023105 210 1733 SH SOLE 0 0 1733 BRISTOL-MYERS SQUIBB CO COM 110122108 291 4093 SH SOLE 0 0 4093 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 104 10287 SH SOLE 0 0 10287 CALAMOS STRATEGIC TOTAL RETU COM SH BEN INT 128125101 448 35838 SH SOLE 0 0 35838 CANADIAN PAC RY LTD COM 13645T100 822 12322 SH SOLE 0 0 12322 CATERPILLAR INC COM 149123101 690 4202 SH SOLE 0 0 4202 CBRE GBL REAL ESTATE INC FD COM 12504G100 126 21849 SH SOLE 0 0 21849 CENTRAL SECS CORP COM 155123102 414 12257 SH SOLE 0 0 12257 CHEVRON CORP NEW COM 166764100 246 1712 SH SOLE 0 0 1712 CINTAS CORP COM 172908105 338 872 SH SOLE 0 0 872 CLEVELAND-CLIFFS INC NEW COM 185899101 274 20350 SH SOLE 0 0 20350 COHEN & STEERS INFRASTRUCTUR COM 19248A109 576 24772 SH SOLE 0 0 24772 COHEN & STEERS QUALITY INCOM COM 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COM 26875P101 201 1795 SH SOLE 0 0 1795 EVERI HLDGS INC COM 30034T103 231 14264 SH SOLE 0 0 14264 EXXON MOBIL CORP COM 30231G102 504 5771 SH SOLE 0 0 5771 FIRST TR DYNAMIC EUROPE EQUI COM SHS 33740D107 129 13539 SH SOLE 0 0 13539 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 543 11139 SH SOLE 0 0 11139 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 7222 432445 SH SOLE 0 0 432445 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 336 7278 SH SOLE 0 0 7278 FIRST TR EXCH TRD ALPHDX FD EM SML CP ALPH 33737J307 642 20110 SH SOLE 0 0 20110 FIRST TR EXCHANGE TRAD FD VI FST TR GLB FD 33739H101 3771 148834 SH SOLE 0 0 148834 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 260 7066 SH SOLE 0 0 7066 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 492 10716 SH SOLE 0 0 10716 FIRST TR EXCHANGE TRADED FD INDXX NAT RE ETF 33734X838 224 18350 SH SOLE 0 0 18350 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 918 17700 SH SOLE 0 0 17700 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 321 3697 SH SOLE 0 0 3697 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 1892 28491 SH SOLE 0 0 28491 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 822 6513 SH SOLE 0 0 6513 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 908 22117 SH SOLE 0 0 22117 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 1884 31763 SH SOLE 0 0 31763 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 1209 31553 SH SOLE 0 0 31553 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 817 32856 SH SOLE 0 0 32856 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 1124 8515 SH SOLE 0 0 8515 FIRST TR EXCHANGE-TRADED FD RBA INDL ETF 33738R704 211 5512 SH SOLE 0 0 5512 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 806 20729 SH SOLE 0 0 20729 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 3734 84728 SH SOLE 0 0 84728 FIRST TR EXCHANGE-TRADED FD SMID RISNG ETF 33741X102 247 10673 SH SOLE 0 0 10673 FIRST TR EXCHNG TRADED FD VI CBOE VEST BUFERD 33740U760 224 12370 SH SOLE 0 0 12370 FIRST TR EXCHNG TRADED FD VI CBOE VEST FD DEP 33740U703 212 11117 SH SOLE 0 0 11117 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 1149 26385 SH SOLE 0 0 26385 FIRST TR EXCHNG TRADED FD VI TCW UNCONSTRAI 33740F888 744 31231 SH SOLE 0 0 31231 FIRST TR MORNINGSTAR DIVID L SHS 336917109 1813 56442 SH SOLE 0 0 56442 FIRST TR MULTI CP VAL ALPHA SHS ISSUED FRST 33733C108 371 6094 SH SOLE 0 0 6094 FIRST TR NASDAQ 100 TECH IND SHS 337345102 297 2834 SH SOLE 0 0 2834 FIRST TR SPECIALTY FIN & FIN COM BEN INTR 33733G109 154 53887 SH SOLE 0 0 53887 FLEXSHARES TR MORNSTAR UPSTR 33939L407 571 15197 SH SOLE 0 0 15197 FORD MTR CO DEL COM 345370860 583 52070 SH SOLE 0 0 52070 FREEPORT-MCMORAN INC CL B 35671D857 233 8521 SH SOLE 0 0 8521 GABELLI DIVID & INCOME TR COM 36242H104 235 12529 SH SOLE 0 0 12529 GABELLI EQUITY TR INC COM 362397101 154 27922 SH SOLE 0 0 27922 GOLDMAN SACHS ETF TR EQUAL WEIGHT US 381430438 307 5762 SH SOLE 0 0 5762 GUGGENHEIM STRATEGIC OPPORTU 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0 11704 ISHARES TR IBONDS 23 TRM HG 46435U150 299 12809 SH SOLE 0 0 12809 ISHARES TR JPMORGAN USD EMG 464288281 526 6624 SH SOLE 0 0 6624 ISHARES TR S&P 500 GRWT ETF 464287309 200 3460 SH SOLE 0 0 3460 ISHARES TR SP SMCP600VL ETF 464287879 214 2595 SH SOLE 0 0 2595 ISHARES TR TIPS BD ETF 464287176 580 5529 SH SOLE 0 0 5529 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 835 17217 SH SOLE 0 0 17217 JOHNSON & JOHNSON COM 478160104 488 2988 SH SOLE 0 0 2988 KINDER MORGAN INC DEL COM 49456B101 608 36537 SH SOLE 0 0 36537 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 211 38085 SH SOLE 0 0 38085 LIBERTY ALL-STAR GROWTH FD I COM 529900102 60 12096 SH SOLE 0 0 12096 LOCKHEED MARTIN CORP COM 539830109 376 973 SH SOLE 0 0 973 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 250 5266 SH SOLE 0 0 5266 MAINSTAY MACKAY DEFINEDTERM COM 56064K100 160 10256 SH SOLE 0 0 10256 MANAGED PORTFOLIO SERIES TORTOISE NRAM PI 56167N720 3027 131049 SH SOLE 0 0 131049 MERCK & CO INC COM 58933Y105 278 3233 SH SOLE 0 0 3233 META PLATFORMS INC CL A 30303M102 285 2102 SH SOLE 0 0 2102 MICROSOFT CORP COM 594918104 2924 12554 SH SOLE 0 0 12554 MORGAN STANLEY EMKT DBT FD I COM 61744H105 392 63594 SH SOLE 0 0 63594 NEWPARK RES INC COM PAR $.01NEW 651718504 71 28000 SH SOLE 0 0 28000 NOVARTIS AG SPONSORED ADR 66987V109 236 3107 SH SOLE 0 0 3107 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 134 26150 SH SOLE 0 0 26150 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 123 11982 SH SOLE 0 0 11982 NUVEEN QUALITY MUNCP INCOME COM 67066V101 236 21447 SH SOLE 0 0 21447 NVIDIA CORPORATION COM 67066G104 252 2073 SH SOLE 0 0 2073 ONEOK INC NEW COM 682680103 208 4069 SH SOLE 0 0 4069 OWL ROCK CAPITAL CORPORATION COM 69121K104 130 12584 SH SOLE 0 0 12584 PEPSICO INC COM 713448108 1172 7177 SH SOLE 0 0 7177 PFIZER INC COM 717081103 1083 24744 SH SOLE 0 0 24744 PROCTER AND GAMBLE CO COM 742718109 448 3552 SH SOLE 0 0 3552 PROSHARES TR S&P MDCP 400 DIV 74347B680 316 4909 SH SOLE 0 0 4909 PUTNAM MANAGED MUN INCOME TR COM 746823103 94 16588 SH SOLE 0 0 16588 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1202 335689 SH SOLE 0 0 335689 RAYMOND JAMES FINL INC COM 754730109 280 2835 SH SOLE 0 0 2835 REALTY INCOME CORP COM 756109104 610 10473 SH SOLE 0 0 10473 RLJ LODGING TR CUM CONV PFD A 74965L200 270 10970 SH SOLE 0 0 10970 SALESFORCE INC COM 79466L302 228 1582 SH SOLE 0 0 1582 SIRIUS XM HOLDINGS INC COM 82968B103 131 23000 SH SOLE 0 0 23000 SPDR SER TR BBG CONV SEC ETF 78464A359 297 4691 SH SOLE 0 0 4691 SPDR SER TR PORTFLI TIPS ETF 78464A656 1567 61772 SH SOLE 0 0 61772 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 10 10000 SH SOLE 0 0 10000 STRYKER CORPORATION COM 863667101 203 1000 SH SOLE 0 0 1000 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 698 17909 SH SOLE 0 0 17909 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 143 10457 SH SOLE 0 0 10457 TESLA INC COM 88160R101 760 2867 SH SOLE 0 0 2867 TRITON INTL LTD CL A G9078F107 751 13720 SH SOLE 0 0 13720 UBER TECHNOLOGIES INC COM 90353T100 349 13169 SH SOLE 0 0 13169 UNITED PARCEL SERVICE INC CL B 911312106 243 1504 SH SOLE 0 0 1504 US BANCORP DEL COM NEW 902973304 864 21433 SH SOLE 0 0 21433 VALERO ENERGY CORP COM 91913Y100 527 4928 SH SOLE 0 0 4928 VANGUARD INDEX FDS GROWTH ETF 922908736 346 1619 SH SOLE 0 0 1619 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 248 2036 SH SOLE 0 0 2036 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 291 3624 SH SOLE 0 0 3624 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 407 8464 SH SOLE 0 0 8464 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 323 8871 SH SOLE 0 0 8871 VERIZON COMMUNICATIONS INC COM 92343V104 383 10080 SH SOLE 0 0 10080 VIRTUS DIVIDEND INTEREST & P COM 92840R101 182 17072 SH SOLE 0 0 17072 VISA INC COM CL A 92826C839 373 2102 SH SOLE 0 0 2102 WALMART INC COM 931142103 1427 11002 SH SOLE 0 0 11002 WELLS FARGO CO NEW COM 949746101 1316 32730 SH SOLE 0 0 32730 WESTERN ASSET MTG DEFINED OP COM 95790B109 384 34573 SH SOLE 0 0 34573 WESTERN ASSET MUN HIGH INCOM COM 95766N103 127 20420 SH SOLE 0 0 20420 ZOETIS INC CL A 98978V103 419 2824 SH SOLE 0 0 2824