CHIEF COMPLIANCE OFFICER

0001763608-19-000004.txt : 20191114 0001763608-19-000004.hdr.sgml : 20191114 20191114163034 ACCESSION NUMBER: 0001763608-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Capital Financial Planning, LLC CENTRAL INDEX KEY: 0001763608 IRS NUMBER: 050558883 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19406 FILM NUMBER: 191220853 BUSINESS ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 BUSINESS PHONE: 5188674000 MAIL ADDRESS: STREET 1: 6 TOWER PLACE CITY: ALBANY STATE: NY ZIP: 12203 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001763608 XXXXXXXX 09-30-2019 09-30-2019 Capital Financial Planning, LLC

6 TOWER PLACE ALBANY NY 12203

13F HOLDINGS REPORT 028-19406 N TODD SLINGERLAND CHIEF COMPLIANCE OFFICER (518) 867-4000 TODD SLINGERLAND Albany NY 11-14-2019 0 13 139779 false INFORMATION TABLE 2 13F_CFP_2019Q3.xml Alphabet, Inc. A COMMON STOCKS 02079K305 381 312 SH DFND 7 0 0 312 Amazon.com, Inc. COMMON STOCKS 023135106 1142 658 SH DFND 1 0 0 658 Apple, Inc. COMMON STOCKS 037833100 2950 13173 SH DFND 5 0 0 13173 AT&T, Inc. COMMON STOCKS 00206R102 361 9534 SH DFND 3 0 0 9534 Automatic Data Processing, Inc. COMMON STOCKS 053015103 317 1961 SH DFND 5 0 0 1961 Berkshire Hathaway, Inc. Cl B COMMON STOCKS 084670702 525 2526 SH DFND 4 0 0 2526 Cisco Systems, Inc. COMMON STOCKS 17275R102 216 4380 SH DFND 3,4,11 0 0 4380 Coca-Cola Company COMMON STOCKS 191216100 253 4642 SH DFND 2 0 0 4642 Consumer Discretionary SPDR ETF - EQUITY 81369Y407 4499 37273 SH DFND 1,2,3,13 0 0 37273 Consumer Staples Select Sector SPDR ETF - EQUITY 81369Y308 424 6902 SH DFND 1,2,3,13 0 0 6902 Deutsche X Trackers USD Corp ETF - FIXED INCOME 233051432 213 4248 SH DFND 1 0 0 4248 Duke Energy Corp COMMON STOCKS 26441C204 315 3282 SH DFND 2,3,7 0 0 3282 FIRST TRUST ETF 33740F805 1266 24039 SH SOLE 0 0 24039 FIRST TRUST ETF 33739Q200 8315 159933 SH SOLE 0 0 159933 GENERAL ELECTRIC Common Stock 369604103 542 60677 SH SOLE 0 0 60677 Health Care Select Sector SPDR ETF - EQUITY 81369Y209 437 4849 SH DFND 2,13 0 0 4849 Home Depot, Inc. COMMON STOCKS 437076102 208 897 SH DFND 3 0 0 897 IBM COMMON STOCKS 459200101 251 1724 SH DFND 3 0 0 1724 INVESCO S&P ETF 46137V373 488 3475 SH SOLE 0 0 3475 INVESCO S&P ETF 46137V274 621 5821 SH SOLE 0 0 5821 iShares Barclay Agency Bond Fund ETF - FIXED INCOME 464288166 248 2128 SH DFND 2 0 0 2128 iShares Barclays 1-3 Yr Trs Bond ETF - FIXED INCOME 464287457 390 4603 SH DFND 3 0 0 4603 iShares Barclays 10-20 Year Treas Bd ETF - FIXED INCOME 464288653 244 1633 SH DFND 1 0 0 1633 iShares Barclays 7-10 Year Treasury ETF - FIXED INCOME 464287440 1125 10004 SH DFND 1 0 0 10004 iShares Barclays Government/Cr Bond ETF - FIXED INCOME 464288596 247 2074 SH DFND 3,4 0 0 2074 iShares Barclays MBS Fixed-Rate Bond ETF - FIXED INCOME 464288588 640 5911 SH DFND 1 0 0 5911 iShares Barclays Short Treasury Bond ETF - FIXED INCOME 464288679 375 3389 SH DFND 3 0 0 3389 iShares Barclays TIPS Bond ETF - FIXED INCOME 464287176 393 3379 SH DFND 7 0 0 3379 iShares Core Div Growth ETF - EQUITY 46434V621 2794 71397 SH DFND 1,3,4,7 0 0 71397 iShares Core MSCI EAFE ETF - EQUITY 46432F842 3352 54884 SH DFND 1,3,4,7 0 0 54884 iShares Core MSCI Emerging Mkts ETF - EQUITY 46434G103 214 4371 SH DFND 1,2,3,4,7,9,12 0 0 4371 iShares Core S&P 500 ETF ETF - EQUITY 464287200 321 1076 SH DFND 3 0 0 1076 iShares Dow Jones Select Dividend ETF - EQUITY 464287168 1629 15975 SH DFND 7 0 0 15975 iShares Floating Rate Note Fund ETF - FIXED INCOME 46429B655 611 11989 SH DFND 1,2,3,4,7,12 0 0 11989 iShares GS Semiconductor Index ETF - EQUITY 464287523 436 2060 SH DFND 6 0 0 2060 iShares High Dividend Equity ETF - EQUITY 46429B663 8006 85024 SH DFND 1,4,7 0 0 85024 ISHARES IBONDS ETF 46434VAX8 421 16430 SH SOLE 0 0 16430 ISHARES IBONDS ETF 46434VBG4 424 16509 SH SOLE 0 0 16509 ISHARES IBONDS ETF 46434VAQ3 599 23628 SH SOLE 0 0 23628 ISHARES IBONDS ETF 46434VBA7 642 25346 SH SOLE 0 0 25346 ISHARES IBONDS ETF 46434VBK5 659 26362 SH SOLE 0 0 26362 iShares iBoxx $ Invest Grade Corp Bd ETF - FIXED INCOME 464287242 9469 74277 SH DFND 2 0 0 74277 iShares iBoxx High Yield Corporate Bd ETF - FIXED INCOME 464288513 1507 17287 SH DFND 1 0 0 17287 iShares JPMorgan USD Emerg Markets Bond ETF - FIXED INCOME 464288281 1084 9567 SH DFND 4 0 0 9567 ISHARES MSCI ETF 464287465 1828 28026 SH SOLE 0 0 28026 iShares MSCI Australia Index ETF - EQUITY 464286103 413 18579 SH DFND 2 0 0 18579 iShares MSCI Brazil Capped Index ETF - EQUITY 464286400 414 9828 SH DFND 3 0 0 9828 iShares MSCI Emerging Markets ETF - EQUITY 464287234 1599 39124 SH DFND 7 0 0 39124 iShares New York Muni ETF - FIXED INCOME 464288323 235 4101 SH DFND 7 0 0 4101 iShares Russell Mid Cap Growth ETF - EQUITY 464287481 227 1606 SH DFND 4 0 0 1606 iShares S&P Global Technology ETF - EQUITY 464287291 412 2227 SH DFND 3 0 0 2227 iShares S&P Global Utilities ETF - EQUITY 464288711 439 7522 SH DFND 7 0 0 7522 iShares S&P National AMT-Free Mun ETF - FIXED INCOME 464288414 926 8117 SH DFND 3 0 0 8117 Johnson & Johnson COMMON STOCKS 478160104 274 2116 SH DFND 1 0 0 2116 JPMorgan Chase & Co COMMON STOCKS 46625H100 264 2240 SH DFND 1 0 0 2240 McDonalds Corp COMMON STOCKS 580135101 350 1629 SH DFND 8 0 0 1629 Microsoft Corporation COMMON STOCKS 594918104 478 3437 SH DFND 2 0 0 3437 Nuveen Enhanced Yield US Aggre ETF - FIXED INCOME 67092P102 402 16137 SH DFND 1 0 0 16137 Pepsico, Inc. COMMON STOCKS 713448108 225 1644 SH DFND 2 0 0 1644 PIMCO 0-5 Year Hi Yld Corp Bond Idx ETF - FIXED INCOME 72201R783 232 2329 SH DFND 1,2,3,4,12 0 0 2329 Procter & Gamble Company COMMON STOCKS 742718109 540 4343 SH DFND 8 0 0 4343 Public Service Enter Group, Inc. COMMON STOCKS 744573106 305 4912 SH DFND 3 0 0 4912 SECTOR ENERGY ETF 81369Y506 1485 25077 SH SOLE 0 0 25077 SECTOR FINANCIAL ETF 81369Y605 5573 199023 SH SOLE 0 0 199023 SIRIUS XM Common Stock 82968B103 68 10806 SH SOLE 0 0 10806 SPDR Barclays 1-3 Month T Bill ETF - FIXED INCOME 78468R663 367 4010 SH DFND 2,3,10,13 0 0 4010 SPDR BLM Barclays High Yld Bond ETF - FIXED INCOME 78468R622 587 5397 SH DFND 1,2,3,4,7,9,13 0 0 5397 SPDR PORTFOLIO ETF 78464A474 203 6574 SH SOLE 0 0 6574 SPDR S&P ETF 78464A698 286 5409 SH SOLE 0 0 5409 SPDR S&P 500 ETF - EQUITY 78462F103 734 2475 SH DFND 1,3 0 0 2475 SPDR SERIES ETF 78464A763 278 2709 SH SOLE 0 0 2709 Technology Select Sector SPDR ETF - EQUITY 81369Y803 866 10750 SH DFND 1,2,3 0 0 10750 Utilities Select Sector SPDR ETF - EQUITY 81369Y886 853 13180 SH DFND 1,2,3,10 0 0 13180 Vanguard FTSE All-World ex-US ETF ETF - EQUITY 922042775 410 8220 SH DFND 7 0 0 8220 Vanguard Growth ETF ETF - EQUITY 922908736 15494 93180 SH DFND 7 0 0 93180 Vanguard High Dividend Yield Indx ETF - EQUITY 921946406 250 2818 SH DFND 7 0 0 2818 VANGUARD LARGE ETF 922908637 246 1807 SH SOLE 0 0 1807 VANGUARD MEGA ETF 921910873 309 2996 SH SOLE 0 0 2996 Vanguard Mid Cap ETF ETF - EQUITY 922908629 10001 59671 SH DFND 3 0 0 59671 Vanguard S&P 500 ETF - EQUITY 922908363 946 3471 SH DFND 1 0 0 3471 VANGUARD SHORT ETF 921937827 328 4064 SH SOLE 0 0 4064 Vanguard Small Cap ETF ETF - EQUITY 922908751 8319 54060 SH DFND 3 0 0 54060 Vanguard Small Cap Growth ETF ETF - EQUITY 922908595 206 1131 SH DFND 7 0 0 1131 VANGUARD TOTAL ETF 922908769 1698 11245 SH SOLE 0 0 11245 Vanguard Value ETF ETF - EQUITY 922908744 18574 166406 SH DFND 1 0 0 166406 VERISK ANALYTICS Common Stock 92345Y106 841 5316 SH SOLE 0 0 5316 Verizon Communications, Inc. COMMON STOCKS 92343V104 852 14117 SH DFND 2,3,8 0 0 14117 Walt Disney Co COMMON STOCKS 254687106 888 6814 SH DFND 3 0 0 6814