President

0001437749-19-020039.txt : 20191015 0001437749-19-020039.hdr.sgml : 20191015 20191015123431 ACCESSION NUMBER: 0001437749-19-020039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191015 DATE AS OF CHANGE: 20191015 EFFECTIVENESS DATE: 20191015 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bay Harbor Wealth Management, LLC CENTRAL INDEX KEY: 0001767989 IRS NUMBER: 451032121 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19245 FILM NUMBER: 191150375 BUSINESS ADDRESS: STREET 1: 201 INTERNATIONAL CIRCLE, STE 200 CITY: HUNT VALLEY STATE: MD ZIP: 21030 BUSINESS PHONE: 4104032060 MAIL ADDRESS: STREET 1: 201 INTERNATIONAL CIRCLE, STE 200 CITY: HUNT VALLEY STATE: MD ZIP: 21030 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001767989 XXXXXXXX 09-30-2019 09-30-2019 Bay Harbor Wealth Management, LLC

201 INTERNATIONAL CIRCLE, STE 200 HUNT VALLEY MD 21030

13F HOLDINGS REPORT 028-19245 N Lance Scott President (410) 403-2060 /s/ Lance Scott Hunt Valley MD 10-14-2019 5 394 167331 false 1 0001427514 028-13023 Dana Investment Advisors, Inc. 2 0001704642 028-18046 Global Financial Private Capital, LLC 3 0001714343 028-18135 State Street Global Advisors Trust Co 4 0001056288 028-04375 FEDERATED INVESTORS INC /PA/ 5 0001598416 028-16121 Astor Investment Management LLC INFORMATION TABLE 2 infotable_bhw093019.xml INFORMATION TABLE 3D Systems Corp Common Stock 88554D205 1 90 SH SOLE 0 0 90 3M Co Common Stock 88579Y101 337 2197 SH SOLE 0 0 2197 AbbVie Inc Common Stock 00287Y109 397 5345 SH OTR 4 0 0 5338 Accenture PLC A Common Stock G1151C101 48 255 SH OTR 1,2 0 0 255 Adobe Systems Inc Common Stock 00724F101 209 756 SH SOLE 0 0 756 Advanced Micro Devices Inc Common Stock 007903107 1 32 SH SOLE 0 0 32 Agilent Technologies Inc Common Stock 00846U101 64 855 SH SOLE 0 0 855 Air Products & Chemicals Inc Common Stock 009158106 5 25 SH OTR 1 0 0 25 Alibaba Group Holding Ltd ADR Common Stock 01609W102 15 91 SH SOLE 0 0 91 Align Technology Inc Common Stock 016255101 23 125 SH SOLE 0 0 125 Alliant Energy Corp Common Stock 018802108 30 566 SH SOLE 0 0 566 Allison Transmission Holdings Inc Common Stock 01973R101 2 48 SH OTR 1 0 0 48 Alphabet Inc A Common Stock 02079K305 117 97 SH OTR 1 0 0 97 Alphabet Inc C Common Stock 02079K107 46 38 SH SOLE 0 0 38 Altria Group Inc Common Stock 02209S103 121 2872 SH OTR 4 0 0 2872 Amarin Corp PLC ADR Common Stock 023111206 1 60 SH SOLE 0 0 60 Amazon.com Inc Common Stock 023135106 142 82 SH SOLE 0 0 82 Amcor PLC Common Stock G0250X107 80 8533 SH OTR 4 0 0 8533 American Express Co Common Stock 025816109 41 359 SH OTR 1,2 0 0 359 American International Group Inc Common Stock 026874156 2 155 SH SOLE 0 0 155 American Outdoor Brands Corp Common Stock 02874P103 1 144 SH SOLE 0 0 144 American Tower Corp Common Stock 03027X100 44 194 SH OTR 1,2 0 0 194 Amgen Inc Common Stock 031162100 89 452 SH OTR 1,2 0 0 217 Amphenol Corp Common Stock 032095101 1 12 SH SOLE 0 0 12 Ansys Inc Common Stock 03662Q105 2 8 SH OTR 1 0 0 8 Aphria Inc Common Stock 03765K104 4 691 SH SOLE 0 0 691 Apple Inc Common Stock 037833100 2365 10418 SH OTR 1,2 0 0 10418 Arista Networks Inc Common Stock 040413106 16 68 SH SOLE 0 0 68 AT&T Inc Common Stock 00206R102 644 17091 SH OTR 4 0 0 17091 Atlassian Corporation PLC Common Stock G06242104 13 100 SH SOLE 0 0 100 Aurora Cannabis Inc Common Stock 05156X108 1 247 SH SOLE 0 0 247 AutoZone Inc Common Stock 053332102 40 38 SH OTR 1 0 0 38 Avery Dennison Corp Common Stock 053611109 1 11 SH OTR 1 0 0 11 Avis Budget Group Inc Common Stock 053774105 0 1 SH SOLE 0 0 1 Bank of America Corporation Common Stock 060505104 78 2748 SH OTR 1,2 0 0 2748 Baristas Coffee Co Inc Common Stock 067594309 0 2000 SH SOLE 0 0 2000 Barrick Gold Corp Common Stock 067901108 1 50 SH SOLE 0 0 50 Bausch Health Companies Inc Common Stock 071734107 4 212 SH SOLE 0 0 212 BB&T Corp Common Stock 054937107 14 280 SH OTR 1 0 0 280 Bce Inc Com New Common Stock 05534B760 347 7149 SH OTR 4 0 0 7125 Berkshire Hathaway Inc A Common Stock 084670108 1243 4 SH SOLE 0 0 4 Berkshire Hathaway Inc B Common Stock 084670702 315 1522 SH SOLE 0 0 1522 Best Buy Co Inc Common Stock 086516101 46 689 SH OTR 1,2 0 0 689 Biogen Inc Common Stock 09062X103 2 10 SH SOLE 0 0 10 Bioscience Neutraceuticals Inc Common Stock 09075H202 0 3 SH SOLE 0 0 3 Blackstone Group LP Common Stock 09260D107 1 15 SH SOLE 0 0 15 Boeing Co Common Stock 097023105 2 6 SH SOLE 0 0 6 Box Inc Common Stock 10316T104 2 100 SH SOLE 0 0 100 BP PLC ADR Common Stock 055622104 378 10232 SH OTR 4 0 0 10232 Bristol-Myers Squibb Company Common Stock 110122108 266 5234 SH OTR 1,2 0 0 5234 British American Tobacco PLC Common Stock 110448107 124 3564 SH OTR 4 0 0 3564 Broadcom Inc Com Common Stock 11135F101 9 32 SH SOLE 0 0 32 Brunswick Corp Common Stock 117043109 2 38 SH SOLE 0 0 38 BYD Co Ltd Common Stock 05606L100 1 125 SH SOLE 0 0 125 Canadian Imperial Bank of Commerce Common Stock 136069101 371 4564 SH OTR 4 0 0 4564 Canopy Growth Corp Common Stock 138035100 3 122 SH SOLE 0 0 122 Cantel Medical Corp Common Stock 138098108 40 559 SH SOLE 0 0 559 Carnival Corp Common Stock 143658300 8 200 SH SOLE 0 0 200 Caterpillar Inc Common Stock 149123101 6 54 SH SOLE 0 0 54 CDW Corp Common Stock 12514G108 53 434 SH OTR 1,2 0 0 434 Celgene Corp Common Stock 151020104 5 50 SH SOLE 0 0 50 CenterPoint Energy Inc Common Stock 15189T107 31 1090 SH OTR 1,2 0 0 1090 CenturyLink Inc Common Stock 156700106 0 10 SH SOLE 0 0 10 Chevron Corp Common Stock 166764100 753 6645 SH OTR 1,2,4 0 0 3181 Chubb Ltd Common Stock H1467J104 6 36 SH SOLE 0 0 36 Cigna Corp Common Stock 125523100 37 249 SH SOLE 0 0 249 Cisco Systems Inc Common Stock 17275R102 57 1200 SH OTR 1,2 0 0 1200 Citigroup Inc Common Stock 172967424 0 6 SH SOLE 0 0 6 Citizens Financial Group Inc Common Stock 174610105 37 1086 SH OTR 1,2 0 0 1086 Coca-Cola Co Common Stock 191216100 339 6285 SH OTR 4 0 0 6285 Comcast Corp Class A Common Stock 20030N101 112 2505 SH OTR 1,2 0 0 2571 ConocoPhillips Common Stock 20825C104 1 26 SH SOLE 0 0 26 Corteva Inc com Common Stock 22052L104 1 39 SH SOLE 0 0 39 Crown Castle International Corp Common Stock 22822V101 0 0 SH OTR 4 0 0 302 CSX Corp Common Stock 126408103 45 675 SH SOLE 0 0 700 CVS Health Corp Common Stock 126650100 1 14 SH SOLE 0 0 14 D.R. Horton Inc Common Stock 23331A109 53 1008 SH OTR 1,2 0 0 1008 Daimler AG Common Stock D1668R123 6 131 SH SOLE 0 0 131 DATADOG INC CL A Common Stock 23804L103 4 100 SH SOLE 0 0 100 Dell Technologies Inc Common Stock 24703L202 3 55 SH SOLE 0 0 55 Delta Air Lines Inc Common Stock 247361702 42 778 SH OTR 1,2 0 0 778 Dominion Resources Inc Common Stock 25746U109 353 4354 SH OTR 4 0 0 4354 Dow Inc Common Stock 260557103 2 39 SH SOLE 0 0 39 Dropbox Inc Common Stock 26210C104 1 49 SH SOLE 0 0 49 Duke Energy Corp Common Stock 26441C204 385 3969 SH OTR 4 0 0 3969 DuPont de Nemours Inc Common Stock 26614N102 3 39 SH SOLE 0 0 39 Eaton Corp PLC Common Stock G29183103 44 563 SH OTR 1,2 0 0 563 eBay Inc Common Stock 278642103 14 360 SH SOLE 0 0 360 Emergent BioSolutions Inc Common Stock 29089Q105 2 37 SH SOLE 0 0 37 Enbridge Inc Com Common Stock 29250N105 164 4704 SH OTR 4 0 0 4704 Encompass Health Corp Common Stock 29261A100 1 19 SH OTR 1 0 0 19 Energizer Holdings Inc Common Stock 29272W109 1 17 SH SOLE 0 0 17 Equinix Inc Common Stock 29444U700 2 4 SH SOLE 0 0 4 Esc Seventy Seven Common Stock 818ESC998 0 14 SH SOLE 0 0 14 Exelon Corp Common Stock 30161N101 46 941 SH OTR 1,2 0 0 941 Exxon Mobil Corp Common Stock 30231G102 454 6677 SH OTR 1,2,4 0 0 6111 Facebook Inc A Common Stock 30303M102 121 676 SH OTR 1,2 0 0 676 FedEx Corp Common Stock 31428X106 10 70 SH SOLE 0 0 70 Fidelity National Information Services Inc Common Stock 31620M106 42 319 SH OTR 1,2 0 0 319 First Solar Inc Common Stock 336433107 0 3 SH SOLE 0 0 3 Ford Motor Co Common Stock 345370860 1 136 SH SOLE 0 0 136 Frontier Communications Corp Class B Common Stock 35906A306 0 9 SH SOLE 0 0 9 Gartner Inc Common Stock 366651107 2 11 SH SOLE 0 0 11 General Electric Co Common Stock 369604103 4 465 SH SOLE 0 0 465 General Mills Inc Common Stock 370334104 13 236 SH OTR 1 0 0 236 General Motors Co Common Stock 37045V100 1 42 SH SOLE 0 0 42 Gilead Sciences Inc Common Stock 375558103 269 4283 SH OTR 4 0 0 4283 GlaxoSmithKline PLC ADR Common Stock 37733W105 328 7764 SH OTR 4 0 0 7747 Globe Life Inc Common Stock 37959E102 11 118 SH SOLE 0 0 118 Goldman Sachs Group Inc Common Stock 38141G104 6 31 SH SOLE 0 0 31 Halozyme Therapeutics Inc Common Stock 40637H109 19 1197 SH SOLE 0 0 1197 Hannon Armstrong Sustainable Infrastructure Capital Inc Common Stock 41068X100 1 51 SH OTR 1 0 0 51 Healthcare Trust of America Inc Common Stock 42225P501 40 1366 SH SOLE 0 0 1366 Hill-Rom Holdings Inc Common Stock 431475102 72 705 SH OTR 1,2 0 0 705 Himax Technologies Inc Common Stock 43289P106 0 11 SH SOLE 0 0 11 Hologic Inc Common Stock 436440101 8 156 SH SOLE 0 0 156 Huntington Bancshares Inc Common Stock 446150104 225 16261 SH OTR 4 0 0 16261 Illinois Tool Works Inc Common Stock 452308109 30 200 SH SOLE 0 0 200 Insperity Inc Common Stock 45778Q107 2 21 SH OTR 1 0 0 21 Intel Corp Common Stock 458140100 56 1105 SH OTR 1,2 0 0 1105 Intercontinental Exchange Inc Common Stock 45866F104 2 16 SH SOLE 0 0 16 Invesco Ltd Common Stock G491BT108 90 5730 SH OTR 4 0 0 5730 Invitation Homes Inc Common Stock 46187W107 1 22 SH SOLE 0 0 22 Iqvia Hldgs Inc Common Stock 46266C105 3 19 SH OTR 1 0 0 19 JM Smucker Co Common Stock 832696405 0 1 SH SOLE 0 0 1 Johnson & Johnson Common Stock 478160104 32 241 SH SOLE 0 0 241 JPMorgan Chase & Co Common Stock 46625H100 65 567 SH OTR 1,2 0 0 567 Kadant Inc Common Stock 48282T104 15 172 SH SOLE 0 0 172 Keysight Technologies Inc Common Stock 49338L103 1 13 SH SOLE 0 0 13 Kimberly-Clark Corp Common Stock 494368103 151 1076 SH OTR 1,2,4 0 0 1076 Laboratory Corp of America Holdings Common Stock 50540R409 59 352 SH SOLE 0 0 352 Lam Research Corp Common Stock 512807108 71 304 SH OTR 1,2 0 0 304 Leidos Holdings Inc Common Stock 525327102 182 2177 SH SOLE 0 0 2177 Lululemon Athletica Inc Common Stock 550021109 23 119 SH SOLE 0 0 119 LyondellBasell Industries NV Common Stock N53745100 150 1785 SH OTR 4 0 0 1173 Marathon Petroleum Corp Common Stock 56585A102 27 447 SH OTR 1,2 0 0 447 Mastercard Inc A Common Stock 57636Q104 52 192 SH OTR 1,2 0 0 192 Mattel Inc Common Stock 577081102 3 269 SH SOLE 0 0 269 McCormick & Co Inc Common Stock 579780107 5 30 SH SOLE 0 0 30 McCormick & Co Inc Non-Voting Common Stock 579780206 30 176 SH SOLE 0 0 176 McDonald's Corp Common Stock 580135101 23 110 SH SOLE 0 0 110 Medtronic PLC Common Stock G5960L103 2 20 SH OTR 1 0 0 20 Merck & Co Inc Common Stock 58933Y105 73 861 SH OTR 1,2 0 0 861 Meridian Bioscience Inc Common Stock 589584101 0 8 SH SOLE 0 0 8 MetLife Inc Common Stock 59156R108 41 920 SH OTR 1,2 0 0 920 Microbest Inc Common Stock 59500X108 0 500 SH SOLE 0 0 500 Microchip Technology Inc Common Stock 595017104 9 94 SH SOLE 0 0 94 Micron Technology Inc Common Stock 595112103 8 187 SH SOLE 0 0 187 Microsoft Corp Common Stock 594918104 281 2047 SH OTR 1,2 0 0 2042 MKS Instruments Inc Common Stock 55306N104 0 1 SH SOLE 0 0 1 Mondelez International Inc Class A Common Stock 609207105 45 826 SH OTR 1,2 0 0 826 Morgan Stanley Common Stock 617446448 38 935 SH OTR 1,2 0 0 935 National Grid PLC ADR Common Stock 636274409 253 4675 SH OTR 4 0 0 4675 Nektar Therapeutics Inc Common Stock 640268108 0 1 SH SOLE 0 0 1 Netflix Inc Common Stock 64110L106 15 55 SH SOLE 0 0 55 Newell Brands Inc Common Stock 651229106 3 152 SH SOLE 0 0 152 NextEra Energy Inc Common Stock 65339F101 2 8 SH OTR 1 0 0 8 Nike Inc B Common Stock 654106103 1 6 SH SOLE 0 0 6 Norfolk Southern Corp Common Stock 655844108 49 286 SH OTR 1,2 0 0 286 Novo Nordisk A/S Common Stock 670100205 4 75 SH SOLE 0 0 75 NVIDIA Corp Common Stock 67066G104 283 1537 SH SOLE 0 0 1537 NXP Semiconductors NV Common Stock N6596X109 3 25 SH SOLE 0 0 25 Oaktree Capital Group LLC Common Stock 674001201 1 17 SH SOLE 0 0 17 Oasis Midstream Partners LP Common Stock 67420T206 1 46 SH SOLE 0 0 46 Occidental Petroleum Corp Common Stock 674599105 151 3587 SH OTR 1,4 0 0 3587 Omega Healthcare Investors Inc Common Stock 681936100 218 5146 SH SOLE 0 0 5146 ONEOK Inc Common Stock 682680103 30 426 SH OTR 1,2 0 0 426 Packaging Corp of America Common Stock 695156109 27 257 SH OTR 1,2 0 0 257 Palo Alto Networks Inc Common Stock 697435105 1 4 SH SOLE 0 0 4 PayPal Holdings Inc Common Stock 70450Y103 40 392 SH SOLE 0 0 392 Pembina Pipeline Corp Common Stock 706327103 19 546 SH SOLE 0 0 546 PepsiCo Inc Common Stock 713448108 266 1920 SH OTR 4 0 0 2186 Petroleo Brasileiro SA Common Stock 71654V408 1 100 SH SOLE 0 0 100 Pfizer Inc Common Stock 717081103 312 8695 SH OTR 4 0 0 6632 Philip Morris International Inc Common Stock 718172109 368 4763 SH OTR 4 0 0 4763 PNC Financial Services Group Inc Common Stock 693475105 184 1314 SH OTR 4 0 0 1314 PPL Corp Common Stock 69351T106 259 8402 SH OTR 4 0 0 8402 Principal Financial Group Inc Common Stock 74251V102 2 33 SH SOLE 0 0 33 Procter & Gamble Co Common Stock 742718109 128 1042 SH SOLE 0 0 1042 Profitable Developments Inc Common Stock 74317C106 0 2 SH SOLE 0 0 2 Prologis Inc Common Stock 74340W103 36 417 SH OTR 1,2 0 0 417 Q BioMed Inc Common Stock 74736N105 0 142 SH SOLE 0 0 142 Qorvo Inc Common Stock 74736K101 0 2 SH SOLE 0 0 2 QUALCOMM Inc Common Stock 747525103 4 50 SH SOLE 0 0 50 Qurate Retail Inc Common Stock 74915M100 0 13 SH SOLE 0 0 13 Raytheon Co Common Stock 755111507 48 250 SH OTR 1,2 0 0 250 Realty Income Corp Common Stock 756109104 112 1445 SH OTR 4 0 0 1445 Regeneron Pharmaceuticals Inc Common Stock 75886F107 2 6 SH SOLE 0 0 6 Regions Financial Corp Common Stock 7591EP100 103 6689 SH OTR 4 0 0 6689 ResMed Inc Common Stock 761152107 2 12 SH SOLE 0 0 12 Roche Holding AG ADR Common Stock 771195104 3 70 SH SOLE 0 0 70 Royal Caribbean Cruises Ltd Common Stock V7780T103 56 548 SH OTR 1,2 0 0 548 Salesforce.com Inc Common Stock 79466L302 12 82 SH SOLE 0 0 82 Schlumberger Ltd Common Stock 806857108 1 35 SH OTR 1 0 0 35 Science Applications International Corp Common Stock 808625107 79 935 SH SOLE 0 0 935 Sea Ltd Common Stock 81141R100 0 12 SH SOLE 0 0 12 Seagate Technology PLC Common Stock G7945M107 4 80 SH SOLE 0 0 80 Severn Bancorp Inc Common Stock 81811M100 70 8722 SH SOLE 0 0 8722 Shopify Inc Common Stock 82509L107 1 3 SH SOLE 0 0 3 Silicon Motion Technology Corp Common Stock 82706C108 0 3 SH SOLE 0 0 3 Sirius XM Holdings Inc Common Stock 82968B103 0 8 SH SOLE 0 0 8 SoftBank Group Corp Common Stock 83404D109 0 7 SH SOLE 0 0 7 Southern Co Common Stock 842587107 278 4486 SH OTR 4 0 0 4486 Southwest Airlines Co Common Stock 844741108 1 21 SH SOLE 0 0 21 Spectrum Brands Holdings Inc Com Common Stock 84790A105 2 43 SH SOLE 0 0 43 Square Inc Common Stock 852234103 1 12 SH SOLE 0 0 12 SS&C Technologies Holdings Inc Common Stock 78467J100 2 40 SH SOLE 0 0 40 Stanley Black & Decker Inc Common Stock 854502101 112 807 SH SOLE 0 0 807 Starwood Property Trust Inc Common Stock 85571B105 42 1733 SH OTR 1,2 0 0 1733 Steel Dynamics Inc Common Stock 858119100 20 696 SH OTR 1,2 0 0 696 STORE Capital Corp Common Stock 862121100 1 18 SH SOLE 0 0 18 Stryker Corp Common Stock 863667101 47 223 SH OTR 1,2 0 0 223 Sturm Ruger & Co Inc Common Stock 864159108 2 48 SH SOLE 0 0 48 SunTrust Banks Inc Common Stock 867914103 501 7534 SH SOLE 0 0 7534 Sysco Corp Common Stock 871829107 46 582 SH OTR 1,2 0 0 582 T-Mobile US Inc Common Stock 872590104 45 568 SH OTR 1,2 0 0 568 Tapestry Inc Common Stock 876030107 15 600 SH SOLE 0 0 600 TC Energy Corpcom Common Stock 87807B107 97 1891 SH OTR 4 0 0 1891 Teck Resources Ltd Common Stock 878742204 1 50 SH SOLE 0 0 50 Tencent Holdings Ltd ADR Common Stock 88032Q109 3 75 SH SOLE 0 0 75 Tesla Motors Inc Common Stock 88160R101 11 46 SH SOLE 0 0 46 Teva Pharmaceutical Industries Ltd ADR Common Stock 881624209 1 77 SH SOLE 0 0 77 Texas Instruments Inc Common Stock 882508104 149 1155 SH SOLE 0 0 1155 Texas Pacific Land Trust Common Stock 882610108 5 8 SH SOLE 0 0 8 The Estee Lauder Companies Inc Class A Common Stock 518439104 18 90 SH SOLE 0 0 90 The Home Depot Inc Common Stock 437076102 66 292 SH OTR 1,2 0 0 292 The Kraft Heinz Co Common Stock 500754106 11 392 SH SOLE 0 0 392 The Travelers Companies Inc Common Stock 89417E109 0 1 SH SOLE 0 0 1 The Western Union Co Common Stock 959802109 0 7 SH SOLE 0 0 7 TherapeuticsMD Inc Common Stock 88338N107 1 300 SH SOLE 0 0 300 Thermo Fisher Scientific Inc Common Stock 883556102 63 216 SH OTR 1 0 0 216 Tilray Inc Common Stock 88688T100 0 9 SH SOLE 0 0 9 Toronto Dominion Bk Ont Com New Common Stock 891160509 233 4211 SH SOLE 0 0 4211 Total Sa Common Stock 89151E109 228 4385 SH OTR 4 0 0 4385 Tractor Supply Co Common Stock 892356106 2 22 SH OTR 1 0 0 22 TransDigm Group Inc Common Stock 893641100 7 13 SH SOLE 0 0 13 Transocean Ltd Common Stock H8817H100 0 100 SH SOLE 0 0 100 Twitter Inc Common Stock 90184L102 16 391 SH SOLE 0 0 391 Uber Technologies Inc Common Stock 90353T100 3 85 SH SOLE 0 0 85 Under Armour Inc A Common Stock 904311107 21 1079 SH SOLE 0 0 1079 Under Armour Inc C Common Stock 904311206 25 1451 SH SOLE 0 0 1451 United Bankshares Inc Common Stock 909907107 4 118 SH SOLE 0 0 118 United Parcel Service Inc Class B Common Stock 911312106 253 2186 SH OTR 4 0 0 2498 UnitedHealth Group Inc Common Stock 91324P102 34 154 SH OTR 1,2 0 0 154 Universal Display Corp Common Stock 91347P105 9 54 SH SOLE 0 0 54 Vale SA Common Stock 91912E105 1 100 SH SOLE 0 0 100 Valero Energy Corp Common Stock 91913Y100 24 292 SH SOLE 0 0 292 Ventas Inc Common Stock 92276F100 273 3700 SH OTR 4 0 0 3690 Verizon Communications Inc Common Stock 92343V104 413 6861 SH OTR 4 0 0 6861 Visa Inc Class A Common Stock 92826C839 49 280 SH OTR 1,2 0 0 280 Vista Outdoor Inc Common Stock 928377100 1 100 SH SOLE 0 0 100 Vodafone Group PLC ADR Common Stock 92857W308 187 9471 SH OTR 4 0 0 9471 W.P. Carey Inc Common Stock 92936U109 68 743 SH SOLE 0 0 743 Wal-Mart Stores Inc Common Stock 931142103 42 358 SH OTR 1,2 0 0 358 Walt Disney Co Common Stock 254687106 54 411 SH OTR 1,2 0 0 411 Waste Management Inc Common Stock 94106L109 54 469 SH OTR 1,2 0 0 469 Weatherford International PLC Common Stock G48833100 0 7398 SH SOLE 0 0 7398 Wells Fargo & Co Common Stock 949746101 7 141 SH SOLE 0 0 141 Welltower Inc Com Common Stock 95040Q104 256 2794 SH OTR 4 0 0 2794 Western Digital Corp Common Stock 958102105 0 1 SH SOLE 0 0 1 Westinghouse Air Brake Technologies Corp Common Stock 929740108 0 1 SH SOLE 0 0 1 Whirlpool Corp Common Stock 963320106 3 20 SH SOLE 0 0 20 Wintrust Financial Corp Common Stock 97650W108 2 25 SH OTR 1 0 0 25 Wyndham Destinations Inc Common Stock 98310W108 6 128 SH SOLE 0 0 128 Wyndham Hotels & Resorts Inc Common Stock 98311A105 7 128 SH SOLE 0 0 128 Wynn Resorts Ltd Common Stock 983134107 3 26 SH SOLE 0 0 26 Xilinx Inc Common Stock 983919101 152 1645 SH SOLE 0 0 1645 Yum Brands Inc Common Stock 988498101 59 523 SH SOLE 0 0 523 Yum China Hldgs Inc Com Common Stock 98850P109 22 498 SH SOLE 0 0 498 Zebra Technologies Corp Common Stock 989207105 43 214 SH OTR 1,2 0 0 214 Zimmer Biomet Holdings Inc Common Stock 98956P102 1 5 SH SOLE 0 0 5 Zoetis Inc Common Stock 98978V103 3 22 SH OTR 1 0 0 22 Alerian MLP ETF Exchange Traded Fund 00162Q866 0 5 SH SOLE 0 0 5 Communication Services Sel Sect SPDR ETF Exchange Traded Fund 81369Y852 1693 34191 SH OTR 3 0 0 34191 ETFMG Alternative Harvest ETF Exchange Traded Fund 26924G508 11 549 SH SOLE 0 0 549 ETFMG Prime Cyber Security ETF Exchange Traded Fund 26924G201 0 6 SH SOLE 0 0 6 First Trust Dorsey Wright Dynamic Foc 5 Exchange Traded Fund 33738R878 22 816 SH SOLE 0 0 816 First Trust Dorsey Wright Focus 5 ETF Exchange Traded Fund 33738R605 1 29 SH SOLE 0 0 29 First Trust Health Care AlphaDEX ETF Exchange Traded Fund 33734X143 75 1007 SH OTR 5 0 0 1007 First Trust Low Duration Oppos ETF Exchange Traded Fund 33739Q200 498 9574 SH OTR 5 0 0 9574 First Trust Senior Loan ETF Exchange Traded Fund 33738D309 501 10567 SH OTR 2,5 0 0 10567 First Trust Technology AlphaDEX ETF Exchange Traded Fund 33734X176 92 1411 SH OTR 5 0 0 1411 Global X Robotics & Artfcl Intllgnc ETF Exchange Traded Fund 37954Y715 0 1 SH SOLE 0 0 1 Industrial Select Sector SPDR ETF Exchange Traded Fund 81369Y704 45 579 SH OTR 5 0 0 579 Invesco BuyBack Achievers ETF Exchange Traded Fund 46137V308 7 111 SH SOLE 0 0 111 Invesco Dynamic Large Cap Value ETF Exchange Traded Fund 46137V738 8 208 SH OTR 2 0 0 208 Invesco QQQ Trust Exchange Traded Fund 46090E103 9 50 SH SOLE 0 0 50 Invesco S&P 500 Equal Weight ETF Exchange Traded Fund 46137V357 1015 9393 SH OTR 2,5. 0 0 9393 Invesco S&P 500 High Div Low Vol ETF Exchange Traded Fund 46138E362 10 228 SH OTR 2 0 0 228 Invesco S&P 500 Quality ETF Exchange Traded Fund 46137V241 8 237 SH OTR 2 0 0 237 Invesco Ultra Short Duration ETF Exchange Traded Fund 46090A887 38 752 SH OTR 2 0 0 752 Ishares 20 Plus Year Treasury Bond Etf Exchange Traded Fund 464287432 415 2899 SH SOLE 0 0 2899 iShares CMBS ETF Exchange Traded Fund 46429B366 10 188 SH OTR 2 0 0 188 iShares Core Aggressive Allocation ETF Exchange Traded Fund 464289859 131 2388 SH SOLE 0 0 2388 iShares Core Conservative Allocation ETF Exchange Traded Fund 464289883 595 16685 SH SOLE 0 0 16685 iShares Core Dividend Growth ETF Exchange Traded Fund 46434V621 0 10 SH SOLE 0 0 10 iShares Core Growth Allocation ETF Exchange Traded Fund 464289867 397 8616 SH SOLE 0 0 8616 iShares Core Moderate Allocation ETF Exchange Traded Fund 464289875 555 14137 SH SOLE 0 0 14137 iShares Core MSCI EAFE Exchange Traded Fund 46432F842 2028 33207 SH SOLE 0 0 33207 iShares Core MSCI Emerging Markets ETF Exchange Traded Fund 46434G103 1158 23617 SH SOLE 0 0 23617 iShares Core S&P 500 Exchange Traded Fund 464287200 5196 17407 SH SOLE 0 0 17407 iShares Core S&P Mid-Cap Exchange Traded Fund 464287507 302 1560 SH SOLE 0 0 1560 iShares Core S&P Small-Cap Exchange Traded Fund 464287804 245 3147 SH SOLE 0 0 3147 iShares Core S&P Total US Stock Mkt ETF Exchange Traded Fund 464287150 2897 43187 SH OTR 5 0 0 43187 iShares Core US Aggregate Bond Exchange Traded Fund 464287226 4 36 SH OTR 2 0 0 36 iShares Edge MSCI Min Vol Emerging Mkts Exchange Traded Fund 464286533 7 131 SH SOLE 0 0 131 iShares Edge MSCI Min Vol USA Exchange Traded Fund 46429B697 2891 45094 SH OTR 5 0 0 45094 iShares Edge MSCI USA Momentum Fctr ETF Exchange Traded Fund 46432F396 611 5127 SH SOLE 0 0 5127 iShares Floating Rate Bond ETF Exchange Traded Fund 46429B655 527 10337 SH OTR 2,5 0 0 10337 iShares Global Tech ETF Exchange Traded Fund 464287291 947 5121 SH SOLE 0 0 5121 iShares iBoxx High Yield Corporate Bd Exchange Traded Fund 464288513 16 184 SH OTR 2 0 0 184 iShares iBoxx Investment Grade Corporate Bond ETF Exchange Traded Fund 464287242 701 5497 SH SOLE 0 0 5497 iShares Intermediate Govt/Crdt Bd ETF Exchange Traded Fund 464288612 105 927 SH OTR 2 0 0 927 iShares JPMorgan USD Emerg Markets Bond Exchange Traded Fund 464288281 273 2406 SH OTR 2 0 0 2406 iShares MBS Exchange Traded Fund 464288588 1311 12101 SH OTR 2 0 0 12101 iShares MSCI EAFE Exchange Traded Fund 464287465 72 1104 SH OTR 2 0 0 1104 iShares MSCI Emerging Markets Exchange Traded Fund 464287234 44 1073 SH OTR 2 0 0 1073 iShares MSCI Japan Exchange Traded Fund 46434G822 0 8 SH SOLE 0 0 8 iShares National Muni Bond ETF Exchange Traded Fund 464288414 137 1200 SH SOLE 0 0 1200 iShares Russell 1000 Exchange Traded Fund 464287622 42 257 SH OTR 2 0 0 257 iShares Russell 1000 Growth Exchange Traded Fund 464287614 132 828 SH SOLE 0 0 828 iShares Russell 1000 Value Exchange Traded Fund 464287598 17 136 SH SOLE 0 0 136 iShares Russell 2000 Exchange Traded Fund 464287655 7 45 SH OTR 2 0 0 45 iShares Russell 3000 Exchange Traded Fund 464287689 19 112 SH SOLE 0 0 112 iShares Russell Mid-Cap Growth ETF Exchange Traded Fund 464287481 22 157 SH SOLE 0 0 157 iShares Russell Mid-Cap Value ETF Exchange Traded Fund 464287473 3 33 SH SOLE 0 0 33 iShares S&P 500 Growth Exchange Traded Fund 464287309 30 169 SH SOLE 0 0 169 iShares S&P 500 Value Exchange Traded Fund 464287408 31 259 SH SOLE 0 0 259 iShares Select Dividend Exchange Traded Fund 464287168 1 14 SH SOLE 0 0 14 iShares Short Maturity Bond ETF Exchange Traded Fund 46431W507 2924 58078 SH OTR 2,5 0 0 58078 Ishares Tr Intrm Tr Crp Etf Exchange Traded Fund 464288638 1463 25264 SH OTR 2 0 0 25264 Ishares Tr Sh Tr Crport Etf Exchange Traded Fund 464288646 536 9991 SH OTR 2,5 0 0 9991 iShares US Treasury Bond Exchange Traded Fund 46429B267 3211 121974 SH SOLE 0 0 121974 JPMorgan Ultra-Short Income ETF Exchange Traded Fund 46641Q837 989 19612 SH OTR 5 0 0 19612 KraneShares CSI China Internet ETF Exchange Traded Fund 500767306 0 1 SH SOLE 0 0 1 O'Shares FTSE US Quality Dividend ETF Exchange Traded Fund 67110P407 321 9234 SH OTR 5 0 0 9234 PIMCO 0-5 Year High Yield Corp Bd ETF Exchange Traded Fund 72201R783 15 147 SH OTR 2 0 0 147 PIMCO Active Bond ETF Exchange Traded Fund 72201R775 4 33 SH SOLE 0 0 33 PIMCO Enhanced Short Maturity Active ETF Exchange Traded Fund 72201R833 28 275 SH SOLE 0 0 275 ProShares Russell 2000 Dividend Growers Exchange Traded Fund 74347B698 6 109 SH SOLE 0 0 109 ProShares S&P 500 Dividend Aristocrats Exchange Traded Fund 74348A467 20 274 SH SOLE 0 0 274 ProShares S&P MidCap 400 Dividend Arst Exchange Traded Fund 74347B680 6 100 SH SOLE 0 0 100 Real Estate Select Sector SPDR Exchange Traded Fund 81369Y860 1737 44161 SH OTR 3,5 0 0 44161 RiverFront Strategic Income ETF Exchange Traded Fund 00162Q783 6 260 SH OTR 2 0 0 260 Schwab International Equity ETF Exchange Traded Fund 808524805 14 443 SH SOLE 0 0 443 Select Sector Spdr Trust Shs Ben Int Energy Exchange Traded Fund 81369Y506 13 222 SH OTR 5 0 0 222 SPDR Blackstone / GSO Senior Loan ETF Exchange Traded Fund 78467V608 24 517 SH OTR 2 0 0 517 SPDR Blmbg Barclays Em Mkts Lcl Bd ETF Exchange Traded Fund 78464A391 536 19696 SH OTR 3 0 0 19696 SPDR Blmbg Barclays High Yield Bd ETF Exchange Traded Fund 78468R622 1793 16486 SH OTR 3 0 0 16486 SPDR Blmbg Barclays Inv Grd Flt Rt ETF Exchange Traded Fund 78468R200 293 9515 SH OTR 5 0 0 9515 SPDR Citi Intl Govt Infl-Prot Bd ETF Exchange Traded Fund 78464A490 12 218 SH OTR 3 0 0 218 SPDR DoubleLine Total Return Tact ETF Exchange Traded Fund 78467V848 5348 108624 SH OTR 2,3 0 0 108624 SPDR Dow Jones Industrial Average ETF Exchange Traded Fund 78467X109 6 21 SH SOLE 0 0 21 SPDR Dow Jones International RelEst ETF Exchange Traded Fund 78463X863 501 12686 SH OTR 3 0 0 12686 SPDR Dow Jones REIT ETF Exchange Traded Fund 78464A607 1918 18346 SH OTR 3 0 0 18346 SPDR Gold Shares Exchange Traded Fund 78463V107 814 5858 SH OTR 3 0 0 5858 SPDR Nuveen Blmbg Barclays Muni Bd ETF Exchange Traded Fund 78468R721 94 1859 SH SOLE 0 0 1859 SPDR Nuveen Blmbg Barclays ST MunBd ETF Exchange Traded Fund 78468R739 58 1193 SH SOLE 0 0 1193 SPDR Portfolio Aggregate Bond ETF Exchange Traded Fund 78464A649 4154 140135 SH OTR 3 0 0 140135 SPDR Portfolio Developed Wld ex-US ETF Exchange Traded Fund 78463X889 1607 54730 SH OTR 3 0 0 54730 SPDR Portfolio Europe ETF Exchange Traded Fund 78463X103 263 7921 SH OTR 3 0 0 7921 SPDR Portfolio TIPS ETF Exchange Traded Fund 78464A656 1056 37018 SH OTR 3 0 0 37018 SPDR Russell 2000 ETF Exchange Traded Fund 78468R853 554 18455 SH OTR 3 0 0 18455 SPDR S&P 500 ETF Exchange Traded Fund 78462F103 2705 9116 SH OTR 3 0 0 9116 SPDR S&P Emerging Markets ETF Exchange Traded Fund 78463X509 301 8780 SH OTR 3,5 0 0 8780 SPDR S&P International Small Cap ETF Exchange Traded Fund 78463X871 439 14941 SH OTR 3 0 0 14941 SPDR S&P MidCap 400 ETF Exchange Traded Fund 78467Y107 436 1236 SH OTR 3 0 0 1236 Technology Select Sector SPDR ETF Exchange Traded Fund 81369Y803 1695 21054 SH OTR 3 0 0 21054 United States Oil Exchange Traded Fund 91232N108 7 640 SH SOLE 0 0 640 VanEck Vectors Fallen Angel HiYld Bd ETF Exchange Traded Fund 92189F437 12 415 SH OTR 2 0 0 415 VanEck Vectors High-Yield Municipal ETF Exchange Traded Fund 92189H409 34 535 SH SOLE 0 0 535 VanEck Vectors Vdo Gaming and eSprts ETF Exchange Traded Fund 92189F114 0 1 SH SOLE 0 0 1 Vanguard 500 ETF Exchange Traded Fund 922908363 867 3182 SH OTR 5 0 0 3182 Vanguard Dividend Appreciation ETF Exchange Traded Fund 921908844 0 3 SH SOLE 0 0 3 Vanguard FTSE Developed Markets ETF Exchange Traded Fund 921943858 13657 332452 SH SOLE 0 0 332452 Vanguard FTSE Emerging Markets ETF Exchange Traded Fund 922042858 3754 93234 SH SOLE 0 0 93234 Vanguard Growth ETF Exchange Traded Fund 922908736 11884 71472 SH SOLE 0 0 71472 Vanguard Intermediate-Term Bond ETF Exchange Traded Fund 921937819 5344 60725 SH SOLE 0 0 60725 Vanguard Large-Cap ETF Exchange Traded Fund 922908637 109 797 SH SOLE 0 0 797 Vanguard Long-Term Bond ETF Exchange Traded Fund 921937793 4902 47745 SH OTR 2 0 0 47745 Vanguard Mortgage-Backed Secs ETF Exchange Traded Fund 92206C771 5698 106980 SH SOLE 0 0 106980 Vanguard REIT ETF Exchange Traded Fund 922908553 19 204 SH SOLE 0 0 204 Vanguard Short-Term Bond ETF Exchange Traded Fund 921937827 10324 127788 SH SOLE 0 0 127788 Vanguard Short-Term Infl-Prot Secs ETF Exchange Traded Fund 922020805 1 24 SH SOLE 0 0 24 Vanguard Small-Cap ETF Exchange Traded Fund 922908751 3301 21452 SH SOLE 0 0 21452 Vanguard Telecommunication Services ETF Exchange Traded Fund 92204A884 44 505 SH OTR 5 0 0 505 Vanguard Total Bond Market ETF Exchange Traded Fund 921937835 31 367 SH SOLE 0 0 367 Vanguard Total International Bond ETF Exchange Traded Fund 92203J407 11719 199206 SH OTR 2 0 0 199206 Vanguard Total International Stock ETF Exchange Traded Fund 921909768 32 620 SH SOLE 0 0 620 Vanguard Total Stock Market ETF Exchange Traded Fund 922908769 109 722 SH SOLE 0 0 722 Vanguard Value ETF Exchange Traded Fund 922908744 12108 108478 SH SOLE 0 0 108478 Wisdomtree Europe Hedged Equity ETF Exchange Traded Fund 97717X701 326 4845 SH OTR 5 0 0 4845 WisdomTree Floating Rate Treasury ETF Exchange Traded Fund 97717X628 10 407 SH SOLE 0 0 407 WisdomTree Managed Futures Strategy ETF Exchange Traded Fund 97717W125 0 4 SH SOLE 0 0 4