0001776033-20-000006.txt : 20201112 0001776033-20-000006.hdr.sgml : 20201112 20201112141747 ACCESSION NUMBER: 0001776033-20-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Golden State Wealth Management, LLC CENTRAL INDEX KEY: 0001776033 IRS NUMBER: 463329328 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19519 FILM NUMBER: 201305747 BUSINESS ADDRESS: STREET 1: 201 E. SANDPOINTE AVE STREET 2: #460 CITY: SANTA ANA STATE: CA ZIP: 92707 BUSINESS PHONE: 7143227410 MAIL ADDRESS: STREET 1: 201 E. SANDPOINTE AVE STREET 2: #460 CITY: SANTA ANA STATE: CA ZIP: 92707 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001776033 XXXXXXXX 09-30-2020 09-30-2020 Golden State Wealth Management, LLC

201 E. SANDPOINTE AVE #460 SANTA ANA CA 92707

13F HOLDINGS REPORT 028-19519 N Patrick Catone 818-626-9747 Patrick Catone South Coast Metro CA 11-12-2020 0 425 299214 false INFORMATION TABLE 2 GSWM13F3Q2020.xml GSWM13F3Q2020 INTUITIVE SURGICAL Common Stock 46120E602 315 444 SH SOLE 300 0 144 ALPHABET INC Common Stock 02079K107 908 618 SH SOLE 89 0 529 ISHARES PHLX MF Closed and MF Open 464287523 226 742 SH SOLE 580 0 162 ISHARES S&P MF Closed and MF Open 464287309 208 898 SH SOLE 370 0 528 ISHARES RUSSELL MF Closed and MF Open 464287614 204 941 SH SOLE 288 0 653 BROADCOM INC Common Stock 11135F101 353 970 SH SOLE 383 0 587 ABRAXAS PETROLEUM Common Stock 003830106 0 1000 SH SOLE 0 0 1000 BANK MARIN Common Stock 063425102 29 1000 SH SOLE 0 0 1000 CLEVELAND CLIFFS Common Stock 185899101 6 1000 SH SOLE 1000 0 0 FUNKO INC Common Stock 361008105 6 1000 SH SOLE 1000 0 0 JETBLUE AIRWAYS Common Stock 477143101 11 1000 SH SOLE 0 0 1000 LATTICE HARTFORD MF Closed and MF Open 518416508 26 1000 SH SOLE 500 0 500 LEVI STRAUSS Common Stock 52736R102 13 1000 SH SOLE 0 0 1000 MITSUBISHI UFJ Common Stock 606822104 4 1000 SH SOLE 0 0 1000 SIRIUS XM Common Stock 82968B103 5 1000 SH SOLE 0 0 1000 VAXART INC Common Stock 92243A200 7 1000 SH SOLE 0 0 1000 WAITR HOLDINGS Common Stock 930752100 3 1000 SH SOLE 0 0 1000 NOKIA CORP Common Stock 654902204 4 1003 SH SOLE 0 0 1003 SECTOR INDUSTRIAL MF Closed and MF Open 81369Y704 77 1006 SH SOLE 0 0 1006 ROYAL CARIBBEAN Common Stock V7780T103 65 1011 SH SOLE 328 0 683 GENERAL MILLS Common Stock 370334104 63 1022 SH SOLE 135 0 887 INVESCO DB Common Stock 46140H304 10 1025 SH SOLE 1025 0 0 ADVENT CONV MF Closed and MF Open 00764C109 14 1026 SH SOLE 0 0 1026 SPDR HIGH MF Closed and MF Open 78468R606 26 1029 SH SOLE 0 0 1029 VANGUARD EMERGING MF Closed and MF Open 921946885 81 1031 SH SOLE 1031 0 0 SOUTHWEST GAS Common Stock 844895102 66 1040 SH SOLE 0 0 1040 FIRST TRUST MF Closed and MF Open 33738D408 49 1045 SH SOLE 0 0 1045 SPDR PORTFOLIO MF Closed and MF Open 78464A664 49 1047 SH SOLE 0 0 1047 VIRGIN GALACTIC Common Stock 92766K106 20 1050 SH SOLE 0 0 1050 WISDOMTREE U S MF Closed and MF Open 97717W570 36 1050 SH SOLE 0 0 1050 ULTA BEAUTY Common Stock 90384S303 237 1057 SH SOLE 730 0 327 REDWOOD TRUST INC Common Stock 758075402 8 1058 SH SOLE 0 0 1058 FIRST TRUST MF Closed and MF Open 33735K108 89 1062 SH SOLE 0 0 1062 EKSO BIONICS Common Stock 282644301 5 1065 SH SOLE 0 0 1065 ETF SER MF Closed and MF Open 26922A842 18 1077 SH SOLE 0 0 1077 ACCENTURE PLC Common Stock G1151C101 244 1078 SH SOLE 60 0 1018 SECTOR ENERGY MF Closed and MF Open 81369Y506 32 1079 SH SOLE 328 0 751 EDISON INTL Common Stock 281020107 55 1080 SH SOLE 0 0 1080 ADOBE INC Common Stock 00724F101 532 1084 SH SOLE 536 0 548 REGIONS FINANCIAL Common Stock 7591EP100 12 1084 SH SOLE 0 0 1084 SONOS INC Common Stock 83570H108 17 1087 SH SOLE 0 0 1087 SCHWAB CHARLES Common Stock 808513105 40 1094 SH SOLE 0 0 1094 WISDOMTREE U S MF Closed and MF Open 97717W208 68 1095 SH SOLE 0 0 1095 AMERICAN AIRLINES Common Stock 02376R102 14 1100 SH SOLE 0 0 1100 ACTIVISION BLIZZARD Common Stock 00507V109 90 1107 SH SOLE 307 0 800 VICTORYSHARES US MF Closed and MF Open 92647N873 42 1118 SH SOLE 1118 0 0 ISHARES GLOBAL MF Closed and MF Open 464287291 296 1123 SH SOLE 0 0 1123 ROYAL DUTCH Common Stock 780259206 28 1125 SH SOLE 0 0 1125 ISHARES CORE MF Closed and MF Open 46434G103 60 1133 SH SOLE 39 0 1094 DIAGEO PLC Common Stock 25243Q205 156 1136 SH SOLE 55 0 1081 VANGUARD HIGH MF Closed and MF Open 921946406 92 1137 SH SOLE 0 0 1137 NUVEEN GLOBAL MF Closed and MF Open 67075G103 16 1150 SH SOLE 0 0 1150 ISHARES 1-3YR MF Closed and MF Open 464287457 100 1151 SH SOLE 0 0 1151 MARATHON PETROLEUM Common Stock 56585A102 34 1160 SH SOLE 0 0 1160 BROOKFIELD REAL MF Closed and MF Open 112830104 19 1166 SH SOLE 539 0 627 SPDR SERIES MF Closed and MF Open 78464A813 71 1167 SH SOLE 0 0 1167 UNION PACIFIC CORP Common Stock 907818108 238 1210 SH SOLE 20 0 1190 FREEPORT MCMORAN Common Stock 35671D857 19 1214 SH SOLE 681 0 533 MEDICAL PROPERTIES Common Stock 58463J304 21 1215 SH SOLE 215 0 1000 TARGET CORP Common Stock 87612E106 192 1219 SH SOLE 173 0 1046 DISH NETWORK Common Stock 25470M109 36 1229 SH SOLE 220 0 1009 MASTERCARD INC Common Stock 57636Q104 417 1234 SH SOLE 574 0 660 NEW YORK Common Stock 649604501 3 1250 SH SOLE 0 0 1250 PACER BENCHMARK MF Closed and MF Open 69374H741 45 1283 SH SOLE 0 0 1283 GOLDMAN SACHS Common Stock 38141G104 261 1301 SH SOLE 10 0 1291 ISHARES SILVER Common Stock 46428Q109 28 1310 SH SOLE 259 0 1051 SPDR S&P MF Closed and MF Open 78463X871 40 1321 SH SOLE 0 0 1321 UNITED PARCEL Common Stock 911312106 222 1335 SH SOLE 0 0 1335 MEDTRONIC PLC Common Stock G5960L103 139 1336 SH SOLE 100 0 1236 NAUTILUS INC Common Stock 63910B102 24 1379 SH SOLE 514 0 865 GENASYS INC Common Stock 36872P103 8 1380 SH SOLE 0 0 1380 SYSCO CORP Common Stock 871829107 87 1391 SH SOLE 0 0 1391 GAMCO GLOBAL MF Closed and MF Open 36465A109 5 1394 SH SOLE 874 0 520 SKYWORKS SOLUTIONS Common Stock 83088M102 203 1395 SH SOLE 880 0 515 JD.COM INC Common Stock 47215P106 108 1396 SH SOLE 566 0 830 CRONOS GROUP Common Stock 22717L101 7 1400 SH SOLE 1000 0 400 MFS MULTIMARKET MF Closed and MF Open 552737108 8 1400 SH SOLE 0 0 1400 NOVOCURE LTD Common Stock G6674U108 156 1400 SH SOLE 1400 0 0 CAPITAL ONE Common Stock 14040H105 101 1400 SH SOLE 0 0 1400 ISHARES CONV MF Closed and MF Open 46435G102 113 1401 SH SOLE 0 0 1401 2U INC Common Stock 90214J101 47 1401 SH SOLE 876 0 525 CENTENE CORP Common Stock 15135B101 82 1408 SH SOLE 0 0 1408 ETFMG ALTERNATIVE MF Closed and MF Open 26924G508 15 1413 SH SOLE 104 0 1309 UNITED STATES MF Closed and MF Open 912318300 16 1414 SH SOLE 494 0 920 NETFLIX INC Common Stock 64110L106 710 1420 SH SOLE 424 0 996 THERMO FISHER Common Stock 883556102 644 1459 SH SOLE 390 0 1069 SPDR GOLD Common Stock 78463V107 259 1460 SH SOLE 386 0 1074 ISHARES 7-10YR MF Closed and MF Open 464287440 179 1468 SH SOLE 0 0 1468 PAYPAL HOLDINGS Common Stock 70450Y103 290 1474 SH SOLE 100 0 1374 ISHARES CORE MF Closed and MF Open 46432F859 77 1484 SH SOLE 311 0 1173 ALLIANCE DATA Common Stock 018581108 63 1500 SH SOLE 350 0 1150 CONTINENTAL RESOURCES Common Stock 212015101 18 1500 SH SOLE 0 0 1500 FIRST TRUST MF Closed and MF Open 33718W103 32 1500 SH SOLE 0 0 1500 SALESFORCE.COM INC Common Stock 79466L302 377 1502 SH SOLE 810 0 692 ISHARES RUSSELL MF Closed and MF Open 464287655 226 1512 SH SOLE 350 0 1162 ISHARES RUSSELL MF Closed and MF Open 464287598 179 1517 SH SOLE 767 0 750 ALIBABA GROUP Common Stock 01609W102 460 1565 SH SOLE 0 0 1565 VIACOMCBS INC Common Stock 92556H206 44 1571 SH SOLE 685 0 886 LAS VEGAS SANDS Common Stock 517834107 74 1578 SH SOLE 22 0 1556 ENERGY TRANSFER Oil & Gas, Real Estate and REIT 29273V100 9 1595 SH SOLE 386 0 1209 CAMPBELL SOUP Common Stock 134429109 77 1600 SH SOLE 0 0 1600 FIRST TRUST MF Closed and MF Open 33740F888 42 1600 SH SOLE 600 0 1000 GOLDEN STAR Common Stock 38119T807 7 1600 SH SOLE 0 0 1600 INVESCO FINANCIAL MF Closed and MF Open 46137V621 30 1600 SH SOLE 0 0 1600 ARTHUR J Common Stock 363576109 170 1609 SH SOLE 0 0 1609 OSI OSHARES MF Closed and MF Open 67110P704 71 1610 SH SOLE 0 0 1610 KRAFT HEINZ Common Stock 500754106 50 1654 SH SOLE 46 0 1608 NEWMONT CORP Common Stock 651639106 105 1660 SH SOLE 1600 0 60 SOUTHERN COMPANY Common Stock 842587107 91 1673 SH SOLE 128 0 1545 CVS HEALTH Common Stock 126650100 99 1689 SH SOLE 271 0 1418 CSX CORP Common Stock 126408103 132 1700 SH SOLE 0 0 1700 SPDR TIPS MF Closed and MF Open 78464A656 53 1705 SH SOLE 0 0 1705 ISHARES MSCI MF Closed and MF Open 464288877 69 1706 SH SOLE 441 0 1265 MACYS INC Common Stock 55616P104 10 1708 SH SOLE 854 0 854 FIRST TRUST MF Closed and MF Open 33733E203 269 1711 SH SOLE 335 0 1376 WHITESTONE REIT Common Stock 966084204 10 1722 SH SOLE 297 0 1425 KEYCORP NEW Common Stock 493267108 21 1731 SH SOLE 0 0 1731 LOWES COMPANIES Common Stock 548661107 288 1736 SH SOLE 439 0 1297 INTERNATIONAL PAPER Common Stock 460146103 71 1744 SH SOLE 0 0 1744 WALGREENS BOOTS Common Stock 931427108 63 1762 SH SOLE 1758 0 4 ORACLE CORP Common Stock 68389X105 106 1774 SH SOLE 139 0 1635 TEKLA WORLD MF Closed and MF Open 87911L108 26 1781 SH SOLE 0 0 1781 AMERICAN WATER Common Stock 030420103 258 1784 SH SOLE 40 0 1744 EYEGATE PHARMACEUTICALS Common Stock 30233M503 7 1786 SH SOLE 0 0 1786 GABELLI HEALTHCARE MF Closed and MF Open 36246K103 19 1811 SH SOLE 0 0 1811 DOW INC Common Stock 260557103 85 1815 SH SOLE 1262 0 553 SPDR BLOOMBERG MF Closed and MF Open 78464A391 48 1828 SH SOLE 0 0 1828 BLACKROCK ENERGY MF Closed and MF Open 09250U101 11 1830 SH SOLE 0 0 1830 NVIDIA CORP Common Stock 67066G104 993 1834 SH SOLE 987 0 847 ISHARES SELECT MF Closed and MF Open 464287168 150 1836 SH SOLE 0 0 1836 AMGEN INC Common Stock 031162100 467 1837 SH SOLE 149 0 1688 CAMPING WORLD Common Stock 13462K109 55 1846 SH SOLE 673 0 1173 INVESCO EXCHANGE MF Closed and MF Open 46137V548 24 1862 SH SOLE 0 0 1862 GABELLI MULTIMEDIA MF Closed and MF Open 36239Q109 12 1872 SH SOLE 1872 0 0 VANECK MERK MF Closed and MF Open 921078101 34 1875 SH SOLE 0 0 1875 ISHARES IBOXX MF Closed and MF Open 464288513 158 1884 SH SOLE 20 0 1864 TERADYNE INC Common Stock 880770102 150 1891 SH SOLE 0 0 1891 SPDR PORTFOLIO MF Closed and MF Open 78464A805 77 1894 SH SOLE 947 0 947 ISHARES U S MF Closed and MF Open 46431W507 95 1899 SH SOLE 0 0 1899 FIRST TRUST MF Closed and MF Open 33738D309 87 1900 SH SOLE 135 0 1765 PULTEGROUP INC Common Stock 745867101 88 1900 SH SOLE 1450 0 450 ISHARES FLOATING MF Closed and MF Open 46429B655 96 1902 SH SOLE 0 0 1902 ISHARES NASDAQ MF Closed and MF Open 464287556 258 1907 SH SOLE 504 0 1403 SUNRUN INC Common Stock 86771W105 148 1920 SH SOLE 0 0 1920 UBER TECHNOLOGIES Common Stock 90353T100 72 1970 SH SOLE 300 0 1670 XCEL ENERGY Common Stock 98389B100 136 1971 SH SOLE 0 0 1971 GLAXOSMITHKLINE PLC Common Stock 37733W105 74 1975 SH SOLE 327 0 1648 ABERDEEN ASIA MF Closed and MF Open 003009107 8 2000 SH SOLE 0 0 2000 FIRST TRUST MF Closed and MF Open 33734X119 96 2000 SH SOLE 0 0 2000 SUNOCO LTD Common Stock 86765K109 49 2000 SH SOLE 1000 0 1000 STONECO LTD Common Stock G85158106 106 2000 SH SOLE 0 0 2000 VANGUARD TOTAL MF Closed and MF Open 921909768 105 2005 SH SOLE 0 0 2005 VANGUARD RUSSELL MF Closed and MF Open 92206C664 247 2039 SH SOLE 0 0 2039 PEPSICO INC Common Stock 713448108 284 2048 SH SOLE 424 0 1624 WESTERN ASSET MF Closed and MF Open 95766J102 13 2056 SH SOLE 0 0 2056 EATON VANCE MF Closed and MF Open 27829C105 18 2068 SH SOLE 1383 0 685 PIMCO EHNANCED MF Closed and MF Open 72201R833 212 2074 SH SOLE 0 0 2074 AMERICAN FINANCE Common Stock 02607T109 13 2088 SH SOLE 2088 0 0 NXP SEMICONDUCTORS Common Stock N6596X109 261 2090 SH SOLE 1600 0 490 WISDOMTREE EMERGING MF Closed and MF Open 97717X578 70 2091 SH SOLE 0 0 2091 CATERPILLAR INC Common Stock 149123101 312 2095 SH SOLE 147 0 1948 SPDR PORTFOLIO MF Closed and MF Open 78464A375 77 2105 SH SOLE 0 0 2105 SPDR S&P MF Closed and MF Open 78467Y107 728 2149 SH SOLE 1291 0 858 FIRST TRUST MF Closed and MF Open 33733E302 409 2170 SH SOLE 197 0 1973 KINDER MORGAN Common Stock 49456B101 27 2176 SH SOLE 83 0 2093 W P CAREY Common Stock 92936U109 142 2176 SH SOLE 0 0 2176 PGIM ULTRA MF Closed and MF Open 69344A107 109 2181 SH SOLE 0 0 2181 VANGUARD FTSE MF Closed and MF Open 922042775 111 2192 SH SOLE 1370 0 822 VANGUARD MID MF Closed and MF Open 922908629 390 2214 SH SOLE 0 0 2214 FIRST TRUST MF Closed and MF Open 336917109 58 2215 SH SOLE 1215 0 1000 QORVO INC Common Stock 74736K101 289 2244 SH SOLE 994 0 1250 SEMPRA ENERGY Common Stock 816851109 267 2260 SH SOLE 0 0 2260 ENBRIDGE INC Common Stock 29250N105 66 2262 SH SOLE 0 0 2262 NUVEEN PFD MF Closed and MF Open 67075A106 50 2274 SH SOLE 1174 0 1100 MANITOWOC COMPANY Common Stock 563571405 19 2300 SH SOLE 1600 0 700 TRICO BANCSHARES Common Stock 896095106 57 2321 SH SOLE 0 0 2321 ISHARES MSCI MF Closed and MF Open 46432F388 175 2368 SH SOLE 0 0 2368 CARNIVAL CORP Common Stock 143658300 36 2383 SH SOLE 980 0 1403 VANGUARD SHORT MF Closed and MF Open 921937827 199 2397 SH SOLE 32 0 2365 LENNAR CORP Common Stock 526057104 196 2400 SH SOLE 1100 0 1300 ALLSTATE CORP Common Stock 020002101 228 2421 SH SOLE 0 0 2421 ROKU INC Common Stock 77543R102 459 2432 SH SOLE 0 0 2432 PERMIAN BASIN Common Stock 714236106 6 2446 SH SOLE 0 0 2446 VANGUARD SMALL MF Closed and MF Open 922908751 377 2449 SH SOLE 0 0 2449 DOUBLELINE INCOME MF Closed and MF Open 258622109 39 2454 SH SOLE 0 0 2454 ISHARES RUSSELL MF Closed and MF Open 464287630 247 2483 SH SOLE 386 0 2097 KKR & CO Common Stock 48251W104 86 2490 SH SOLE 0 0 2490 SPDR DOUBLELINE MF Closed and MF Open 78467V848 123 2490 SH SOLE 0 0 2490 PHILIP MORRIS Common Stock 718172109 188 2507 SH SOLE 192 0 2315 ASTRAZENECA PLC Common Stock 046353108 138 2510 SH SOLE 1520 0 990 NORWEGIAN CRUISE Common Stock G66721104 44 2567 SH SOLE 905 0 1662 EATON VANCE MF Closed and MF Open 27827X101 34 2577 SH SOLE 0 0 2577 HILTON WORLDWIDE Common Stock 43300A203 221 2585 SH SOLE 0 0 2585 ROCKWELL AUTOMATION Common Stock 773903109 574 2600 SH SOLE 0 0 2600 FIDELITY NATIONAL Common Stock 31620R303 82 2635 SH SOLE 145 0 2490 EATON VANCE MF Closed and MF Open 27828X100 36 2659 SH SOLE 1313 0 1346 ISHARES CORE MF Closed and MF Open 46435G326 144 2660 SH SOLE 200 0 2460 PRINCIPAL SPECTRUM MF Closed and MF Open 74255Y888 54 2665 SH SOLE 0 0 2665 PRINCIPAL REAL MF Closed and MF Open 74255X104 29 2671 SH SOLE 0 0 2671 CONOCOPHILLIPS Common Stock 20825C104 88 2694 SH SOLE 134 0 2560 AMAZON COM Common Stock 023135106 8530 2709 SH SOLE 1119 0 1590 ISHARES MSCI MF Closed and MF Open 46432F396 402 2728 SH SOLE 0 0 2728 PROSPECT CAPITAL MF Closed and MF Open 74348T102 14 2729 SH SOLE 279 0 2450 NORTHROP GRUMMAN Common Stock 666807102 864 2739 SH SOLE 1411 0 1328 INTL BUSINESS Common Stock 459200101 334 2745 SH SOLE 1433 0 1312 KOHLS CORP Common Stock 500255104 51 2750 SH SOLE 1000 0 1750 FIRST TRUST MF Closed and MF Open 33739P871 79 2754 SH SOLE 0 0 2754 MCDONALDS CORP Common Stock 580135101 609 2777 SH SOLE 126 0 2651 ALPHABET INC Common Stock 02079K305 4090 2791 SH SOLE 1193 0 1598 CAPRI HOLDINGS Common Stock G1890L107 50 2800 SH SOLE 2800 0 0 WISDOMTREE TRUST MF Closed and MF Open 97717X669 140 2825 SH SOLE 0 0 2825 VANGUARD TOTAL MF Closed and MF Open 92203J407 167 2878 SH SOLE 0 0 2878 PROSHARES TRUST MF Closed and MF Open 74348A467 210 2905 SH SOLE 482 0 2423 ISHARES 20 MF Closed and MF Open 464287432 482 2951 SH SOLE 613 0 2338 ISHARES CORE MF Closed and MF Open 46432F842 179 2976 SH SOLE 90 0 2886 FIRST TRUST MF Closed and MF Open 33739P889 82 2983 SH SOLE 0 0 2983 VANGUARD S&P MF Closed and MF Open 922908363 922 2998 SH SOLE 912 0 2086 GLOBAL X MF Closed and MF Open 37954Y715 84 3000 SH SOLE 0 0 3000 REMARK HOLDINGS Common Stock 75955K102 4 3000 SH SOLE 3000 0 0 U S BANCORP DE Common Stock 902973304 108 3003 SH SOLE 982 0 2021 SCHWAB US MF Closed and MF Open 808524300 346 3006 SH SOLE 3006 0 0 SPDR PORTFOLIO MF Closed and MF Open 78463X509 110 3014 SH SOLE 0 0 3014 SPDR INTERMEDIATE MF Closed and MF Open 78464A672 101 3045 SH SOLE 0 0 3045 AMC NETWORKS Common Stock 00164V103 75 3050 SH SOLE 500 0 2550 TJX COS Common Stock 872540109 172 3086 SH SOLE 1956 0 1130 INVESCO DWA MF Closed and MF Open 46137V795 91 3100 SH SOLE 0 0 3100 ISHARES CORE MF Closed and MF Open 464287150 238 3157 SH SOLE 520 0 2637 HUNTINGTON BANCSHARES Common Stock 446150104 29 3198 SH SOLE 0 0 3198 EDWARDS LIFESCIENCES Common Stock 28176E108 260 3258 SH SOLE 1929 0 1329 SOUTHWEST AIRLINES Common Stock 844741108 125 3329 SH SOLE 170 0 3159 WALMART INC Common Stock 931142103 476 3399 SH SOLE 65 0 3334 LEGG MASON MF Closed and MF Open 524682309 111 3400 SH SOLE 700 0 2700 STMICROELECTRONICS N V Common Stock 861012102 105 3425 SH SOLE 0 0 3425 SLACK TECHNOLOGIES Common Stock 83088V102 93 3461 SH SOLE 0 0 3461 COSTCO WHOLESALE Common Stock 22160K105 1246 3510 SH SOLE 585 0 2925 SPDR MSCI MF Closed and MF Open 78463X475 155 3581 SH SOLE 0 0 3581 FACEBOOK INC Common Stock 30303M102 946 3612 SH SOLE 1025 0 2587 HALLIBURTON COMPANY Common Stock 406216101 44 3653 SH SOLE 60 0 3593 VANGUARD TOTAL MF Closed and MF Open 921937835 325 3687 SH SOLE 269 0 3418 SUBURBAN PROPANE Oil & Gas, Real Estate and REIT 864482104 60 3700 SH SOLE 0 0 3700 VANGUARD INTERMEDIATE MF Closed and MF Open 92206C870 356 3716 SH SOLE 0 0 3716 BARRICK GOLD Common Stock 067901108 105 3725 SH SOLE 3725 0 0 ISHARES MF Closed and MF Open 46434V407 169 3840 SH SOLE 0 0 3840 TWITTER INC Common Stock 90184L102 171 3845 SH SOLE 3166 0 679 JOHNSON & JOHNSON Common Stock 478160104 575 3864 SH SOLE 1225 0 2639 ISHARES 1-5 YEAR MF Closed and MF Open 464288646 213 3883 SH SOLE 0 0 3883 PRINCIPAL ACTIVE MF Closed and MF Open 74255Y102 149 3945 SH SOLE 0 0 3945 SELECT SECTOR MF Closed and MF Open 81369Y852 235 3950 SH SOLE 0 0 3950 SPDR SER TR MF Closed and MF Open 78468R796 331 3972 SH SOLE 3972 0 0 FIRST TRUST MF Closed and MF Open 33734X135 101 3975 SH SOLE 0 0 3975 BLACKROCK MUNIHOLDINGS MF Closed and MF Open 09254L107 56 4000 SH SOLE 0 0 4000 DNP SELECT MF Closed and MF Open 23325P104 40 4000 SH SOLE 0 0 4000 3D SYSTEMS Common Stock 88554D205 20 4000 SH SOLE 0 0 4000 AMERICAN EXPRESS Common Stock 025816109 402 4008 SH SOLE 1590 0 2418 INVESCO S&P MF Closed and MF Open 46138E362 134 4070 SH SOLE 0 0 4070 BRISTOL MYERS Common Stock 110122108 247 4100 SH SOLE 875 0 3225 BNY MELLON MF Closed and MF Open 09662E109 30 4133 SH SOLE 0 0 4133 VANGUARD SHORT MF Closed and MF Open 92206C409 351 4242 SH SOLE 0 0 4242 MONDELEZ INTERNATIONAL Common Stock 609207105 250 4358 SH SOLE 75 0 4283 SPDR PORTFOLIO MF Closed and MF Open 78468R853 121 4405 SH SOLE 0 0 4405 APHRIA INC Common Stock 03765K104 20 4430 SH SOLE 1130 0 3300 BOEING COMPANY Common Stock 097023105 747 4520 SH SOLE 221 0 4299 LEGG MASON MF Closed and MF Open 524682101 180 4550 SH SOLE 1200 0 3350 UNITEDHEALTH GROUP Common Stock 91324P102 1424 4567 SH SOLE 629 0 3938 SPDR S&P MF Closed and MF Open 78464A532 266 4582 SH SOLE 2213 0 2369 JPMORGAN MF Closed and MF Open 46641Q837 234 4599 SH SOLE 0 0 4599 PROCTER & GAMBLE Common Stock 742718109 648 4662 SH SOLE 560 0 4102 RAYTHEON TECHNOLOGIES Common Stock 75513E101 268 4663 SH SOLE 215 0 4448 MICRON TECHNOLOGY INC Common Stock 595112103 221 4709 SH SOLE 0 0 4709 CENTRAL VY Common Stock 155685100 59 4737 SH SOLE 0 0 4737 ISHARES INTL MF Closed and MF Open 464288448 118 4743 SH SOLE 2265 0 2478 ARES CAPITAL MF Closed and MF Open 04010L103 66 4744 SH SOLE 0 0 4744 TESLA INC Common Stock 88160R101 2057 4794 SH SOLE 850 0 3944 MARVELL TECHNOLOGY Common Stock G5876H105 192 4845 SH SOLE 4300 0 545 BIG LOTS Common Stock 089302103 219 4900 SH SOLE 0 0 4900 REALTY INCOME Common Stock 756109104 298 4903 SH SOLE 304 0 4599 VANGUARD TOTAL MF Closed and MF Open 922908769 842 4945 SH SOLE 2987 0 1958 INVESCO CEF MF Closed and MF Open 46138E404 100 4950 SH SOLE 0 0 4950 AMERICAN FINANCIAL Common Stock 025932104 335 5000 SH SOLE 0 0 5000 B&G FOODS Common Stock 05508R106 141 5068 SH SOLE 2534 0 2534 ABBOTT LABORATORIES COM 002824100 564 5186 SH SOLE 4041 0 1145 FIRST TRUST MF Closed and MF Open 33734X192 409 5209 SH SOLE 58 0 5151 WESTAMERICA BANCORP Common Stock 957090103 286 5266 SH SOLE 0 0 5266 ISHARES S&P Common Stock 46428R107 57 5291 SH SOLE 5291 0 0 ISHARES MSCI MF Closed and MF Open 464288885 480 5336 SH SOLE 1316 0 4020 FIRST TRUST MF Closed and MF Open 33739N108 299 5386 SH SOLE 4436 0 950 FS KKR Common Stock 302635206 86 5435 SH SOLE 1018 0 4417 NEW RESIDENTIAL Common Stock 64828T201 44 5568 SH SOLE 1254 0 4314 PACER TRENDPILOT MF Closed and MF Open 69374H105 167 5646 SH SOLE 5571 0 75 VANGUARD MORTGAGE MF Closed and MF Open 92206C771 307 5653 SH SOLE 3899 0 1754 SECTOR HEALTHCARE MF Closed and MF Open 81369Y209 603 5715 SH SOLE 2322 0 3393 LOCKHEED MARTIN Common Stock 539830109 2222 5796 SH SOLE 60 0 5736 FORD MOTOR Common Stock 345370860 39 5814 SH SOLE 513 0 5301 STARBUCKS CORP Common Stock 855244109 508 5916 SH SOLE 945 0 4971 APOLLO INVESTMENT MF Closed and MF Open 03761U502 49 5920 SH SOLE 0 0 5920 LIQUIDITY SERVICES Common Stock 53635B107 44 5950 SH SOLE 0 0 5950 COCA COLA COMPANY Common Stock 191216100 295 5972 SH SOLE 1512 0 4460 FIRST TRUST MF Closed and MF Open 33734X143 567 5990 SH SOLE 0 0 5990 CONSUMER DISCRETIONARY MF Closed and MF Open 81369Y407 885 6022 SH SOLE 149 0 5873 ISHARES IBOXX MF Closed and MF Open 464287242 817 6063 SH SOLE 0 0 6063 CHEVRON CORP Common Stock 166764100 438 6086 SH SOLE 711 0 5375 HOME DEPOT Common Stock 437076102 1708 6150 SH SOLE 1648 0 4502 CANOPY GROWTH Common Stock 138035100 90 6308 SH SOLE 1750 0 4558 MERCK & COMPANY Common Stock 58933Y105 523 6309 SH SOLE 630 0 5679 INTEL CORP Common Stock 458140100 328 6328 SH SOLE 1197 0 5131 PG&E CORP Common Stock 69331C108 60 6377 SH SOLE 1010 0 5367 ENTERPRISE PRODUCTS Oil & Gas, Real Estate and REIT 293792107 102 6480 SH SOLE 1802 0 4678 INVESCO BULLETSHARES MF Closed and MF Open 46138J502 138 6492 SH SOLE 0 0 6492 CITIGROUP INC Common Stock 172967424 281 6515 SH SOLE 2146 0 4369 ISHARES ESG MF Closed and MF Open 46434G863 233 6543 SH SOLE 0 0 6543 PUBLIC SERVICE Common Stock 744573106 361 6577 SH SOLE 0 0 6577 INVESCO BULLETSHARES MF Closed and MF Open 46138J882 144 6581 SH SOLE 0 0 6581 VANGUARD VALUE MF Closed and MF Open 922908744 688 6584 SH SOLE 63 0 6521 INVESCO BULLETSHARES MF Closed and MF Open 46138J825 148 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J841 146 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J866 144 6600 SH SOLE 0 0 6600 INVESCO BULLETSHARES MF Closed and MF Open 46138J700 141 6617 SH SOLE 0 0 6617 ANNALY CAPITAL Common Stock 035710409 48 6759 SH SOLE 705 0 6054 NIKE INC Common Stock 654106103 870 6933 SH SOLE 31 0 6902 FLAHERTY & CRUMRINE MF Closed and MF Open 33848W106 191 6998 SH SOLE 858 0 6140 ADVANCED MICRO Common Stock 007903107 601 7336 SH SOLE 2400 0 4936 ISHARES RUSSELL MF Closed and MF Open 464287481 1292 7475 SH SOLE 962 0 6513 BLACKROCK CORP MF Closed and MF Open 09255P107 80 7514 SH SOLE 0 0 7514 WALT DISNEY Common Stock 254687106 936 7546 SH SOLE 1185 0 6361 AMERICAN ELECTRIC Common Stock 025537101 620 7581 SH SOLE 0 0 7581 ISHARES U S MF Closed and MF Open 464288687 284 7780 SH SOLE 3710 0 4070 ISHARES ESG MF Closed and MF Open 46435G425 600 7869 SH SOLE 0 0 7869 FIRST TRUST MF Closed and MF Open 33739E108 152 7931 SH SOLE 550 0 7381 ISHARES MSCI MF Closed and MF Open 464287465 505 7938 SH SOLE 5523 0 2415 FIRST TRUST MF Closed and MF Open 33737J174 401 7975 SH SOLE 465 0 7510 SCHWAB EMERGING MF Closed and MF Open 808524706 218 8132 SH SOLE 8132 0 0 BLACKBERRY LTD Common Stock 09228F103 37 8150 SH SOLE 0 0 8150 COMCAST CORP Common Stock 20030N101 380 8209 SH SOLE 4297 0 3912 SPDR DOW MF Closed and MF Open 78467X109 2336 8417 SH SOLE 6310 0 2107 PACIFIC PREMIER Common Stock 69478X105 172 8536 SH SOLE 0 0 8536 SPDR PORTFOLIO MF Closed and MF Open 78463X889 256 8760 SH SOLE 0 0 8760 QUALCOMM INC Common Stock 747525103 1034 8786 SH SOLE 365 0 8421 WELLS FARGO Common Stock 949746101 208 8842 SH SOLE 3608 0 5234 APOLLO GLOBAL Common Stock 03768E105 396 8850 SH SOLE 3235 0 5615 VANGUARD INTERMEDIATE MF Closed and MF Open 921937819 830 8876 SH SOLE 4397 0 4479 VISA INC Common Stock 92826C839 1575 8895 SH SOLE 3274 0 5621 FIRST TRUST MF Closed and MF Open 33733F101 773 8982 SH SOLE 450 0 8532 LIBERTY ALL-STAR MF Closed and MF Open 530158104 54 9016 SH SOLE 0 0 9016 SCHWAB INTL MF Closed and MF Open 808524805 285 9063 SH SOLE 9057 0 6 ISHARES MSCI MF Closed and MF Open 464286509 251 9148 SH SOLE 9148 0 0 SPDR SERIES MF Closed and MF Open 78464A763 1681 18194 SH SOLE 18171 0 23 VANGUARD DIVIDEND MF Closed and MF Open 921908844 1184 9206 SH SOLE 462 0 8744 GLOBAL X MF Closed and MF Open 37950E549 103 9550 SH SOLE 1500 0 8050 NAVIENT CORP Common Stock 63938C108 82 9750 SH SOLE 2000 0 7750 FIRST TRUST MF Closed and MF Open 33734K109 629 9943 SH SOLE 0 0 9943 BERKSHIRE HATHAWAY Common Stock 084670702 2122 9967 SH SOLE 523 0 9444 CLEAN ENERGY Common Stock 184499101 25 10000 SH SOLE 0 0 10000 SORRENTO THERAPEUTICS Common Stock 83587F202 112 10000 SH SOLE 0 0 10000 SPDR PORTFOLIO MF Closed and MF Open 78468R101 315 10244 SH SOLE 0 0 10244 INVESCO PFD MF Closed and MF Open 46138E511 154 10448 SH SOLE 10448 0 0 CISCO SYSTEMS Common Stock 17275R102 413 10495 SH SOLE 3949 0 6546 SECTOR TECHNOLOGY MF Closed and MF Open 81369Y803 1227 10510 SH SOLE 924 0 9586 X TRACKERS MF Closed and MF Open 233051200 331 10812 SH SOLE 0 0 10812 ISHARES MSCI MF Closed and MF Open 464287234 489 11082 SH SOLE 954 0 10128 GENERAL ELECTRIC Common Stock 369604103 71 11417 SH SOLE 418 0 10999 SPDR PORTFOLIO MF Closed and MF Open 78468R788 319 11643 SH SOLE 5304 0 6339 ISHARES TR MF Closed and MF Open 46435G193 327 11818 SH SOLE 11818 0 0 CEMEX S A B Common Stock 151290889 46 12000 SH SOLE 0 0 12000 ISHARES MSCI MF Closed and MF Open 464288257 962 12034 SH SOLE 0 0 12034 EXXON MOBIL Common Stock 30231G102 414 12072 SH SOLE 765 0 11307 FIRST TRUST MF Closed and MF Open 33738R118 530 12116 SH SOLE 1975 0 10141 ABBVIE INC COM 00287Y109 1075 12284 SH SOLE 6410 0 5874 OASIS PETROLEUM Common Stock 674215108 4 12645 SH SOLE 1995 0 10650 VANGUARD FSTE MF Closed and MF Open 922042858 548 12672 SH SOLE 1281 0 11391 JPMORGAN CHASE Common Stock 46625H100 1230 12779 SH SOLE 2182 0 10597 ISHARES INTL MF Closed and MF Open 46429B135 182 12972 SH SOLE 12972 0 0 ISHARES MSCI MF Closed and MF Open 46429B697 827 12977 SH SOLE 571 0 12406 SPDR PORTFOLIO MF Closed and MF Open 78464A854 525 13336 SH SOLE 0 0 13336 REVLON INC Common Stock 761525609 85 13500 SH SOLE 2500 0 11000 VERIZON COMMUNICATIONS Common Stock 92343V104 808 13577 SH SOLE 2375 0 11202 AMERICAN CENTURY MF Closed and MF Open 025072208 560 14840 SH SOLE 7420 0 7420 VANGUARD FTSE MF Closed and MF Open 921943858 612 14964 SH SOLE 2373 0 12591 INVESCO SOLAR MF Closed and MF Open 46138G706 991 15295 SH SOLE 0 0 15295 SECTOR CONSUMER MF Closed and MF Open 81369Y308 982 15316 SH SOLE 550 0 14766 PIMCO DYNAMIC MF Closed and MF Open 72201Y101 390 15379 SH SOLE 9502 0 5877 PFIZER INC Common Stock 717081103 565 15406 SH SOLE 3901 0 11505 ALTRIA GROUP Common Stock 02209S103 644 16678 SH SOLE 5146 0 11532 FIRST TRUST MF Closed and MF Open 33738R506 556 16985 SH SOLE 246 0 16739 MICROSOFT CORP Common Stock 594918104 3834 18230 SH SOLE 3103 0 15127 FIRST TRUST MF Closed and MF Open 33739Q200 943 18254 SH SOLE 11757 0 6497 FRANKLIN LIBERTY MF Closed and MF Open 353506108 1771 18483 SH SOLE 18412 0 71 COMPASS DIVERSIFIED Common Stock 20451Q104 355 18606 SH SOLE 2806 0 15800 INVESCO QQQ MF Closed and MF Open 46090E103 5175 18627 SH SOLE 8860 0 9767 AT&T INC Common Stock 00206R102 582 20410 SH SOLE 4187 0 16223 SPDR PORTFOLIO PRTFLO S&P500 GW 78464A409 1026 20472 SH SOLE 16830 0 3642 MALLINCKRODT PUBLIC Common Stock G5785G107 20 20476 SH SOLE 0 0 20476 MAINSTAY DEFINEDTERM MF Closed and MF Open 56064K100 435 21015 SH SOLE 19020 0 1995 ISHARES CORE MF Closed and MF Open 464287507 3935 21233 SH SOLE 10188 0 11045 ISHARES RUSSELL MF Closed and MF Open 464287648 4887 22061 SH SOLE 1702 0 20359 VANGUARD TOTAL MF Closed and MF Open 922042742 1779 22063 SH SOLE 21555 0 508 BANK AMERICA Common Stock 060505104 555 23019 SH SOLE 949 0 22070 ISHARES U S MF Closed and MF Open 46429B267 647 23161 SH SOLE 0 0 23161 ISHARES CORE MF Closed and MF Open 46434V621 1016 25548 SH SOLE 25548 0 0 WISDOMTREE U S US SMALLCAP FUND 97717W562 811 27175 SH SOLE 27048 0 127 WISDOMTREE U S MF Closed and MF Open 97717W505 971 33603 SH SOLE 32515 0 1088 FS KKR Common Stock 35952V303 534 36314 SH SOLE 0 0 36314 ISHARES S&P MF Closed and MF Open 464287671 3250 40637 SH SOLE 2155 0 38482 ISHARES CORE MF Closed and MF Open 464287804 2904 41349 SH SOLE 21988 0 19361 SPDR S&P MF Closed and MF Open 78462F103 13877 41438 SH SOLE 4432 0 37006 GLOBAL X MF Closed and MF Open 37954Y764 1555 49820 SH SOLE 19200 0 30620 WISDOMTREE YIELD YIELD ENHANCD US 97717X511 2721 50569 SH SOLE 47767 0 2802 SECTOR FINANCIAL MF Closed and MF Open 81369Y605 1238 51416 SH SOLE 5568 0 45848 GABELLI EQUITY MF Closed and MF Open 362397101 282 55390 SH SOLE 0 0 55390 FIRST TRUST MF Closed and MF Open 336920103 5478 56680 SH SOLE 4357 0 52323 BLACKSTONE GROUP Common Stock 09260D107 3305 63323 SH SOLE 29926 0 33397 VICTORYSHARES US MF Closed and MF Open 92647N766 3457 63749 SH SOLE 63309 0 440 LATTICE HARTFORD MF Closed and MF Open 518416102 1650 63797 SH SOLE 59055 0 4742 FIRST TRUST MF Closed and MF Open 33738R605 2178 63831 SH SOLE 7065 0 56766 ISHARES CORE MF Closed and MF Open 464287200 22355 66522 SH SOLE 17947 0 48575 PIMCO CA MUN INC FD III MF Closed and MF Open 72201C109 747 70179 SH SOLE 60725 0 9454 PRINCIPAL US MF Closed and MF Open 74255Y870 2734 82817 SH SOLE 15389 0 67428 PIMCO DYNAMIC MF Closed and MF Open 72202D106 1767 87974 SH SOLE 43700 0 44274 HARTFORD TOTAL MF Closed and MF Open 41653L305 3692 89279 SH SOLE 85685 0 3594 FIRST TRUST MF Closed and MF Open 33733E104 6864 108487 SH SOLE 11884 0 96603 FIRST TRUST MF Closed and MF Open 33739Q408 8114 135189 SH SOLE 12776 0 122413 JANUS HENDERSON MF Closed and MF Open 47103U886 6855 136039 SH SOLE 836 0 135203 APPLE INC COM 037833100 17270 149130 SH SOLE 46817 0 102313 SPDR PORTFOLIO MF Closed and MF Open 78464A649 7035 228334 SH SOLE 96020 0 132314 FIRST TRUST MF Closed and MF Open 33734H106 7490 238066 SH SOLE 34635 0 203431 ISHARES CORE MF Closed and MF Open 464287226 30815 261013 SH SOLE 123208 0 137805