CHIEF COMPLIANCE OFFICER

0001743413-20-000001.txt : 20200204 0001743413-20-000001.hdr.sgml : 20200204 20200203203838 ACCESSION NUMBER: 0001743413-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200204 DATE AS OF CHANGE: 20200203 EFFECTIVENESS DATE: 20200204 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Principle Wealth Partners LLC CENTRAL INDEX KEY: 0001743413 IRS NUMBER: 822283737 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19590 FILM NUMBER: 20570361 BUSINESS ADDRESS: STREET 1: 99 DURHAM ROAD CITY: MADISON STATE: CT ZIP: 06443 BUSINESS PHONE: 2033188892 MAIL ADDRESS: STREET 1: 99 DURHAM ROAD CITY: MADISON STATE: CT ZIP: 06443 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001743413 XXXXXXXX 12-31-2019 12-31-2019 Principle Wealth Partners LLC

99 DURHAM ROAD MADISON CT 06443

13F HOLDINGS REPORT 028-19590 N Michael Castiello CHIEF COMPLIANCE OFFICER (203) 318-8892 Michael Castiello Madison CT 02-03-2020 1 170 313135 false 1 Gilman Hill INFORMATION TABLE 2 13F-PWPQ42019.xml 3M CO COM Stock 88579Y101 601 3405 SH SOLE 0 0 3404 ABBOTT LABS COM Stock 002824100 273 3145 SH SOLE 0 0 3145 ADOBE INC COM Stock 00724F101 286 867 SH SOLE 0 0 867 ALLSTATE CORP COM Stock 020002101 2819 25073 SH SOLE 0 0 25073 ALLY FINL INC COM Stock 02005N100 284 9300 SH DFND 1 0 9300 0 ALPHABET INC CAP STK CL A Stock 02079K305 3513 2623 SH SOLE 0 0 2623 ALPHABET INC CAP STK CL C Stock 02079K107 3837 2870 SH SOLE 0 0 2870 ALTRIA GROUP INC COM Stock 02209S103 745 14918 SH SOLE 0 0 14918 AMAZON COM INC COM Stock 023135106 5981 3237 SH SOLE 0 0 3237 AMERICAN ELEC PWR CO INC COM Stock 025537101 288 3044 SH SOLE 0 0 3044 AMERICAN EXPRESS CO COM Stock 025816109 270 2167 SH DFND 1 0 2052 0 AMERICAN EXPRESS CO COM Stock 025816109 255 2052 SH SOLE 0 0 2052 AMERICAN TOWER CORP NEW COM REIT 03027X100 624 2716 SH SOLE 0 0 2716 AMGEN INC COM Stock 031162100 13952 57877 SH SOLE 0 0 57877 ANALOG DEVICES INC COM Stock 032654105 202 1701 SH SOLE 0 0 1701 APPLE INC COM Stock 037833100 17284 58859 SH SOLE 0 0 58859 ARK GENOMIC REVOLUTION ETF ETF 00214Q302 214 6395 SH SOLE 0 0 6395 ARK INNOVATION ETF ETF 00214Q104 1096 21889 SH SOLE 0 0 21888 AT&T INC COM Stock 00206R102 260 6649 SH DFND 1 0 6649 0 AT&T INC COM Stock 00206R102 617 15785 SH SOLE 0 0 15785 AUTOMATIC DATA PROCESSING INC COM Stock 053015103 253 1484 SH SOLE 0 0 1484 AVANGRID INC COM Stock 05351W103 478 9340 SH SOLE 0 0 9340 BANK AMER CORP 7.25 CNV PFD L Convertible Preferred 060505682 840 580 SH SOLE 0 0 580 BANK AMER CORP COM Stock 060505104 4093 116224 SH SOLE 0 0 116224 BERKSHIRE HATHAWAY INC DEL CL A Stock 084670108 3056 9 SH SOLE 0 0 9 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 4335 19137 SH SOLE 0 0 19137 BLACKROCK INC COM Stock 09247X101 479 953 SH SOLE 0 0 953 BLACKSTONE GROUP INC COM CL A Stock 09260D107 792 14150 SH SOLE 0 0 14150 BOEING CO COM Stock 097023105 11906 36547 SH SOLE 0 0 36547 BORGWARNER INC COM Stock 099724106 217 5000 SH SOLE 0 0 5000 BRISTOL MYERS SQUIBB CO COM Stock 110122108 809 12609 SH SOLE 0 0 12609 CENTURYLINK INC COM Stock 156700106 133 10090 SH DFND 1 0 10090 0 CHEVRON CORP NEW COM Stock 166764100 644 5343 SH SOLE 0 0 5343 CISCO SYS INC COM Stock 17275R102 963 20083 SH SOLE 0 0 20082 CITIGROUP INC COM NEW Stock 172967424 263 3295 SH SOLE 0 0 3295 CME GROUP INC COM Stock 12572Q105 532 2650 SH SOLE 0 0 2650 COCA COLA CO COM Stock 191216100 651 11764 SH SOLE 0 0 11764 COLGATE PALMOLIVE CO COM Stock 194162103 200 2900 SH SOLE 0 0 2900 COMCAST CORP NEW CL A Stock 20030N101 448 9962 SH SOLE 0 0 9961 CONOCOPHILLIPS COM Stock 20825C104 2976 45760 SH SOLE 0 0 45760 CORTEVA INC COM Stock 22052L104 370 12524 SH SOLE 0 0 12524 COSTCO WHSL CORP NEW COM Stock 22160K105 407 1386 SH SOLE 0 0 1386 CUMMINS INC COM Stock 231021106 325 1817 SH SOLE 0 0 1817 CVS HEALTH CORP COM Stock 126650100 1641 22089 SH SOLE 0 0 22089 DANAHER CORPORATION COM Stock 235851102 425 2770 SH SOLE 0 0 2770 DISNEY WALT CO COM DISNEY Stock 254687106 1887 13050 SH SOLE 0 0 13049 DOUBLELINE INCOME SOLUTIONS FD COM CEF 258622109 205 10350 SH SOLE 0 0 10350 DOW INC COM Stock 260557103 679 12413 SH SOLE 0 0 12413 DUNKIN BRANDS GROUP INC COM Stock 265504100 283 3750 SH DFND 1 0 3750 0 DUPONT DE NEMOURS INC COM Stock 26614N102 784 12212 SH SOLE 0 0 12212 EOG RES INC COM Stock 26875P101 422 5040 SH SOLE 0 0 5040 EVERSOURCE ENERGY COM Stock 30040W108 313 3674 SH SOLE 0 0 3674 EXXON MOBIL CORP COM Stock 30231G102 1373 19676 SH SOLE 0 0 19676 FACEBOOK INC CL A Stock 30303M102 1997 9732 SH SOLE 0 0 9732 FINANCIAL SELECT SECTOR SPDR FUND ETF 81369Y605 618 20085 SH SOLE 0 0 20085 FIRST TRUST CAPITAL STRENGTH ETF ETF 33733E104 350 5804 SH SOLE 0 0 5804 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 570 11012 SH SOLE 0 0 11012 FIRST TRUST MANAGED MUNICIPAL ETF ETF 33739N108 261 4700 SH SOLE 0 0 4700 FISERV INC COM Stock 337738108 231 2000 SH SOLE 0 0 2000 GENERAL DYNAMICS CORP COM Stock 369550108 2433 13796 SH SOLE 0 0 13796 GENERAL ELECTRIC CO COM Stock 369604103 2252 201749 SH SOLE 0 0 201749 GOLDMAN SACHS GROUP INC COM Stock 38141G104 2494 10846 SH SOLE 0 0 10846 HEALTH CARE SELECT SECTOR SPDR FUND ETF 81369Y209 399 3920 SH SOLE 0 0 3920 HOLOGIC INC COM Stock 436440101 287 5500 SH SOLE 0 0 5500 HOME DEPOT INC COM Stock 437076102 1978 9059 SH SOLE 0 0 9058 HONEYWELL INTL INC COM Stock 438516106 753 4255 SH SOLE 0 0 4255 INTEL CORP COM Stock 458140100 7801 130342 SH SOLE 0 0 130342 INTERNATIONAL BUSINESS MACHS COM Stock 459200101 2257 16840 SH SOLE 0 0 16840 INTUIT COM Stock 461202103 236 900 SH SOLE 0 0 900 INVESCO DWA MOMENTUM ETF ETF 46137V837 283 4395 SH SOLE 0 0 4395 INVESCO FTSE RAFI US 1000 ETF ETF 46137V613 2557 20183 SH SOLE 0 0 20183 INVESCO FTSE RAFI US 1500A SMALL-MIDA ETF ETF 46137V597 1069 7823 SH SOLE 0 0 7823 INVESCO INTERNATIONAL BUYBACK ACHIEVERSA ETF ETF 46138E644 360 10655 SH SOLE 0 0 10655 INVESCO PREFERRED ETF ETF 46138E511 192 12764 SH SOLE 0 0 12764 INVESCO QQQ TRUST ETF 46090E103 1457 6854 SH SOLE 0 0 6853 INVESCO S&P 500 EQUAL WEIGHT ETF ETF 46137V357 972 8403 SH SOLE 0 0 8403 IQVIA HLDGS INC COM Stock 46266C105 297 1920 SH SOLE 0 0 1920 ISHARES COMEX GOLD TRUST ETF 464285105 464 32000 SH SOLE 0 0 32000 ISHARES CORE S&P 500 ETF ETF 464287200 595 1842 SH SOLE 0 0 1842 ISHARES EDGE MSCI MIN VOL GLOBAL ETF ETF 464286525 246 2562 SH SOLE 0 0 2562 ISHARES EDGE MSCI MIN VOL USA ETF ETF 46429B697 262 4000 SH SOLE 0 0 4000 ISHARES NASDAQ BIOTECHNOLOGY INDEX FUND ETF 464287556 259 2153 SH SOLE 0 0 2153 ISHARES PREFERRED AND INCOME SECURITIES ETF ETF 464288687 272 7241 SH SOLE 0 0 7241 ISHARES RUSSELL 1000 GROWTH ETF ETF 464287614 200 1138 SH SOLE 0 0 1138 ISHARES RUSSELL 1000 VALUE ETF ETF 464287598 235 1720 SH SOLE 0 0 1720 ISHARES S&P MIDCAP FUND ETF 464287507 684 3325 SH SOLE 0 0 3325 ISHARES S&P SMALL-CAP FUND ETF 464287804 900 10736 SH SOLE 0 0 10736 ISHARES U.S. AEROSPACE & DEFENSE ETF ETF 464288760 391 1760 SH SOLE 0 0 1760 ISHARES U.S. TECHNOLOGY ETF ETF 464287721 713 3064 SH SOLE 0 0 3064 JOHNSON & JOHNSON COM Stock 478160104 8347 57225 SH SOLE 0 0 57225 JPMORGAN CHASE & CO COM Stock 46625H100 4620 33144 SH SOLE 0 0 33144 KIMBERLY CLARK CORP COM Stock 494368103 528 3840 SH SOLE 0 0 3840 LILLY ELI & CO COM Stock 532457108 253 1925 SH SOLE 0 0 1925 LOCKHEED MARTIN CORP COM Stock 539830109 1234 3168 SH SOLE 0 0 3168 LOWES COS INC COM Stock 548661107 1036 8650 SH SOLE 0 0 8650 M & T BK CORP COM Stock 55261F104 297 1751 SH SOLE 0 0 1751 MARKEL CORP COM Stock 570535104 775 678 SH SOLE 0 0 678 MASTERCARD INC CL A Stock 57636Q104 1455 4872 SH SOLE 0 0 4871 MCDONALDS CORP COM Stock 580135101 1204 6092 SH SOLE 0 0 6092 MEDTRONIC PLC SHS Stock G5960L103 222 1960 SH SOLE 0 0 1960 MERCK & CO INC COM Stock 58933Y105 781 8588 SH SOLE 0 0 8588 MICROSOFT CORP COM Stock 594918104 5159 32717 SH SOLE 0 0 32717 MONDELEZ INTL INC CL A Stock 609207105 304 5525 SH SOLE 0 0 5524 MORGAN STANLEY COM NEW Stock 617446448 729 14253 SH SOLE 0 0 14253 MOTOROLA SOLUTIONS INC COM NEW Stock 620076307 1381 8571 SH SOLE 0 0 8571 MSA SAFETY INC COM Stock 553498106 366 2900 SH DFND 1 0 2900 0 NETFLIX INC COM Stock 64110L106 315 974 SH SOLE 0 0 974 NEXTERA ENERGY INC COM Stock 65339F101 488 2016 SH SOLE 0 0 2016 NIKE INC CL B Stock 654106103 655 6464 SH SOLE 0 0 6464 NORFOLK SOUTHERN CORP COM Stock 655844108 1096 5645 SH SOLE 0 0 5645 NORTHROP GRUMMAN CORP COM Stock 666807102 719 2091 SH SOLE 0 0 2090 OMEGA FLEX INC COM Stock 682095104 43575 406145 SH SOLE 0 0 406145 PEPSICO INC COM Stock 713448108 661 4840 SH SOLE 0 0 4839 PFIZER INC COM Stock 717081103 8378 213842 SH SOLE 0 0 213842 PHILIP MORRIS INTL INC COM Stock 718172109 759 8917 SH SOLE 0 0 8917 PHILLIPS 66 COM Stock 718546104 2924 26244 SH SOLE 0 0 26244 PNC FINL SVCS GROUP INC COM Stock 693475105 668 4183 SH SOLE 0 0 4183 PROCTER & GAMBLE CO COM Stock 742718109 2477 19829 SH SOLE 0 0 19828 PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF ETF 74348A467 527 6971 SH SOLE 0 0 6971 PROSPECT CAPITAL CORPORATION COM CEF 74348T102 135 20948 SH SOLE 0 0 20947 REALTY INCOME CORP COM REIT 756109104 278 3770 SH SOLE 0 0 3770 S&P GLOBAL INC COM Stock 78409V104 256 938 SH SOLE 0 0 938 SALESFORCE COM INC COM Stock 79466L302 533 3279 SH SOLE 0 0 3279 SCHWAB U.S. REIT ETF ETF 808524847 478 10411 SH SOLE 0 0 10411 SCHWAB U.S. SMALL-CAP ETF ETF 808524607 3354 44336 SH SOLE 0 0 44336 SCHWAB US DIVIDEND EQUITY ETF ETF 808524797 2249 38822 SH SOLE 0 0 38822 SOUTHERN CO COM Stock 842587107 667 10477 SH SOLE 0 0 10477 SPDR DOW JONES INDUSTRIAL AVERAGE ETF ETF 78467X109 200 700 SH SOLE 0 0 700 SPDR S&P 500 ETF ETF 78462F103 1833 5696 SH SOLE 0 0 5696 SPDR S&P AEROSPACE & DEFENSE ETF ETF 78464A631 356 3260 SH SOLE 0 0 3260 SPDR S&P BIOTECH ETF ETF 78464A870 213 2240 SH SOLE 0 0 2240 SPDR S&P DIVIDEND ETF ETF 78464A763 213 1983 SH SOLE 0 0 1983 STARBUCKS CORP COM Stock 855244109 625 7111 SH SOLE 0 0 7111 STRYKER CORP COM Stock 863667101 289 1378 SH SOLE 0 0 1378 TARGET CORP COM Stock 87612E106 305 2380 SH SOLE 0 0 2380 TE CONNECTIVITY LTD REG SHS Stock H84989104 250 2607 SH SOLE 0 0 2607 TESLA INC COM Stock 88160R101 490 1171 SH SOLE 0 0 1171 TEXAS INSTRS INC COM Stock 882508104 200 1558 SH SOLE 0 0 1558 THERMO FISHER SCIENTIFIC INC COM Stock 883556102 778 2396 SH SOLE 0 0 2396 TJX COS INC NEW COM Stock 872540109 239 3910 SH SOLE 0 0 3910 UNION PACIFIC CORP COM Stock 907818108 479 2648 SH SOLE 0 0 2648 UNITED PARCEL SERVICE INC CL B Stock 911312106 244 2083 SH DFND 1 0 2083 0 UNITED PARCEL SERVICE INC CL B Stock 911312106 240 2050 SH SOLE 0 0 2050 UNITED TECHNOLOGIES CORP COM Stock 913017109 2197 14670 SH SOLE 0 0 14670 UNITEDHEALTH GROUP INC COM Stock 91324P102 1100 3741 SH SOLE 0 0 3741 US BANCORP DEL COM NEW Stock 902973304 818 13803 SH SOLE 0 0 13803 VANGUARD DIVIDEND APPRECIATION INDEX FUND ETF 921908844 11030 88482 SH SOLE 0 0 88481 VANGUARD FINANCIALS INDEX FUND ETF 92204A405 3001 39344 SH SOLE 0 0 39344 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1619 36396 SH SOLE 0 0 36396 VANGUARD GROWTH INDEX FUND ETF 922908736 5257 28856 SH SOLE 0 0 28856 VANGUARD HEALTH CARE INDEX FUND ETF 92204A504 1600 8344 SH SOLE 0 0 8344 VANGUARD INFORMATION TECHNOLOGY INDEX FUND ETF 92204A702 2734 11165 SH SOLE 0 0 11165 VANGUARD INTERNATIONAL DIVIDEND APPRECIATION ETF ETF 921946810 10232 141996 SH SOLE 0 0 141995 VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD ETF ETF 921946794 421 6596 SH SOLE 0 0 6596 VANGUARD MID-CAP INDEX FUND ETF 922908629 502 2815 SH SOLE 0 0 2815 VANGUARD REAL ESTATE ETF ETF 922908553 3363 36246 SH SOLE 0 0 36245 VANGUARD S&P 500 GROWTH ETF ETF 921932505 6269 35949 SH SOLE 0 0 35948 VANGUARD SHORT-TERM GOVERNMENT BOND ETF ETF 92206C102 1470 24158 SH SOLE 0 0 24158 VANGUARD SMALL-CAP INDEX FUND ETF 922908751 6923 41793 SH SOLE 0 0 41792 VANGUARD TOTAL INTERNATIONAL STOCK ETF ETF 921909768 301 5413 SH SOLE 0 0 5413 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 2564 15673 SH SOLE 0 0 15673 VANGUARD TOTAL WORLD STOCK INDEX FUND ETF 922042742 341 4209 SH SOLE 0 0 4209 VANGUARD VALUE INDEX FUND ETF 922908744 619 5164 SH SOLE 0 0 5164 VERIZON COMMUNICATIONS INC COM Stock 92343V104 357 5820 SH DFND 1 0 5820 0 VERIZON COMMUNICATIONS INC COM Stock 92343V104 614 9997 SH SOLE 0 0 9997 VISA INC COM CL A Stock 92826C839 6527 34738 SH SOLE 0 0 34738 WASHINGTON TR BANCORP COM Stock 940610108 582 10814 SH SOLE 0 0 10814 WEC ENERGY GROUP INC COM Stock 92939U106 203 2200 SH SOLE 0 0 2200 WELLS FARGO CO NEW COM Stock 949746101 1012 18811 SH SOLE 0 0 18811 WELLS FARGO CO NEW PERP PFD CNV A Convertible Preferred 949746804 734 506 SH SOLE 0 0 506