Sr. Compliance Officer

0000049096-21-000010.txt : 20211112 0000049096-21-000010.hdr.sgml : 20211112 20211112161118 ACCESSION NUMBER: 0000049096-21-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WINTRUST INVESTMENTS LLC CENTRAL INDEX KEY: 0000049096 IRS NUMBER: 361245570 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17513 FILM NUMBER: 211403570 BUSINESS ADDRESS: STREET 1: 231 SOUTH LASALLE STREET STREET 2: 13TH FLOOR CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 312-373-1167 MAIL ADDRESS: STREET 1: P.O. BOX 750 CITY: CHICAGO STATE: IL ZIP: 60690-0750 FORMER COMPANY: FORMER CONFORMED NAME: WINTRUST INVESTMENTS LLC DATE OF NAME CHANGE: 20180611 FORMER COMPANY: FORMER CONFORMED NAME: WAYNE HUMMER INVESTMENTS L.L.C. DATE OF NAME CHANGE: 20020222 FORMER COMPANY: FORMER CONFORMED NAME: HUMMER WAYNE INVESTMENTS LLC / /BD DATE OF NAME CHANGE: 20020222 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000049096 XXXXXXXX 09-30-2021 09-30-2021 WINTRUST INVESTMENTS LLC

P.O. BOX 750 CHICAGO IL 60690-0750

13F HOLDINGS REPORT 028-17513 N James A. Sommerfield Jr. Sr. Compliance Officer 3123731167 James A. Sommerfield Jr. Oswego IL 11-12-2021 0 287 740574 false INFORMATION TABLE 2 LST13FREPORTQ32021.xml WTI13FQ32021 BRISTOL MYERS SQUIBB CO COM 110122108 1647 27830 SH SOLE 0 0 27830 BROOKFIELD ASSET MANGMNT CLASS A COM 112585104 915 17099 SH SOLE 0 0 17099 CIGNA CORP NEW COM 125523100 266 1328 SH SOLE 0 0 1328 CVS HEALTH CORPORATION COM 126650100 1962 23118 SH SOLE 0 0 23118 CATERPILLAR INC COM 149123101 1077 5610 SH SOLE 0 0 5610 CHURCHILL DOWNS INC COM 171484108 859 3578 SH SOLE 0 0 3578 CITIGROUP INC NEW COM 172967424 1710 24362 SH SOLE 0 0 24362 COCA-COLA COMPANY COM 191216100 807 15372 SH SOLE 0 0 15372 DTE ENERGY CO COM 233331107 314 2815 SH SOLE 0 0 2815 DANAHER CORP COM 235851102 1941 6376 SH SOLE 0 0 6376 DELUXE CORP COM 248019101 273 7608 SH SOLE 0 0 7608 DOCUSIGN INC COM 256163106 889 3455 SH SOLE 0 0 3455 EASTMAN CHEMICAL CO COM 277432100 373 3700 SH SOLE 0 0 3700 ELECTRONIC ARTS INC COM 285512109 262 1845 SH SOLE 0 0 1845 EMERSON ELECTRIC CO COM 291011104 942 9997 SH SOLE 0 0 9997 EXPEDITORS INTL WASH INC COM 302130109 202 1692 SH SOLE 0 0 1692 FIRST TRUST US ETF EQUITY OPPORTUNITIES COM 336920103 673 5451 SH SOLE 0 0 5451 FIRST TRUST NASDAQ 1 ETF EQUAL WEIGHTED INDEX ETF COM 337344105 3884 34915 SH SOLE 0 0 34915 FIRST TRUST NASDAQ100ETF TECHNOLOGY INDEXFUND COM 337345102 335 2122 SH SOLE 0 0 2122 GARTNER INC NEW COM 366651107 1209 3980 SH SOLE 0 0 3980 JOHN HANCOCK FINANCIAL OPPORTUNITY FD CEF 409735206 795 18703 SH SOLE 0 0 18703 HOME DEPOT INC COM 437076102 4813 14663 SH SOLE 0 0 14663 HONEYWELL INTERNATIONAL INC COM 438516106 2948 13887 SH SOLE 0 0 13887 ILLINOIS TOOL WORKS INC COM 452308109 2255 10911 SH SOLE 0 0 10911 IMPERIAL OIL LTD NEW COM 453038408 472 14966 SH SOLE 0 0 14966 INGREDION INCORPORATED COM 457187102 231 2599 SH SOLE 0 0 2599 INTEL CORP COM 458140100 922 17303 SH SOLE 0 0 17303 INTUIT INC COM 461202103 210 390 SH SOLE 0 0 390 ISHARES MSCI ETF EMERGING MARKETS SMALL CAP COM 464286475 8864 146216 SH SOLE 0 0 146216 ISHARES EDGE MSCI ETF MIN VOL GLOBAL ETF COM 464286525 6606 64304 SH SOLE 0 0 64304 ISHARES SELECT ETF DIVIDEND COM 464287168 551 4800 SH SOLE 0 0 4800 ISHARES TIP BOND ETF COM 464287176 6799 53249 SH SOLE 0 0 53249 ISHARES CORE S&P 500 ETF S&P 500 INDEX FD COM 464287200 44052 102250 SH SOLE 0 0 102250 ISHARES CORE U.S ETF AGGREGATE BOND COM 464287226 224 1947 SH SOLE 0 0 1947 ISHARES MSCI ETF EMERGING MARKETS COM 464287234 325 6458 SH SOLE 0 0 6458 ISHARES IBOXX & ETF INVESTMENT GRADE CORP BD COM 464287242 2962 22269 SH SOLE 0 0 22269 ISHARES S&P 500 ETF GROWTH COM 464287309 1104 14933 SH SOLE 0 0 14933 ISHARES S&P500 VALUE ETF COM 464287408 389 2674 SH SOLE 0 0 2674 ISHARES 20 YEAR ETF TREASURY BOND COM 464287432 2645 18325 SH SOLE 0 0 18325 ISHARES ETF 7-10 YR TREASURY BOND COM 464287440 631 5475 SH SOLE 0 0 5475 ISHARES ETF 1-3 YR TREASURY BOND COM 464287457 2137 24806 SH SOLE 0 0 24806 ISHARES MSCI EAFE IN ETF COM 464287465 449 5762 SH SOLE 0 0 5762 ISHARES ETF RUSSELL MIDCAP GROWTH COM 464287481 850 7582 SH SOLE 0 0 7582 ISHARES RUSSELL ETF MIDCAP COM 464287499 365 4667 SH SOLE 0 0 4667 ISHARES CORE S&P MID ETF ETF COM 464287507 44041 167412 SH SOLE 0 0 167412 ISHARES NASDAQ ETF BIOTECHNOLOGY COM 464287556 523 3235 SH SOLE 0 0 3235 ISHARES ETF GLOBAL 100 COM 464287572 280 3940 SH SOLE 0 0 3940 ISHARES ETF RUSSELL 1000 VALUE COM 464287598 290 1854 SH SOLE 0 0 1854 ISHARES ETF RUSSELL 2000 GROWTH COM 464287648 511 1740 SH SOLE 0 0 1740 ISHARES ETF RUSSELL 2000 COM 464287655 37005 169167 SH SOLE 0 0 169167 ISHARES ETF U.S TELECOMMUNICATIONS COM 464287713 2177 67091 SH SOLE 0 0 67091 ISHARES ETF U.S TECHNOLOGY COM 464287721 799 7892 SH SOLE 0 0 7892 ISHARES ETF U.S REAL ESTATE COM 464287739 245 2389 SH SOLE 0 0 2389 ISHARES CORE S&P ETF SMALLCAP COM 464287804 5771 52849 SH SOLE 0 0 52849 ISHARES ETF S&P SMALL CAP 600 VALUE COM 464287879 2063 20491 SH SOLE 0 0 20491 ISHARES MSCI EAFE ETF SMALL CAP COM 464288273 343 4604 SH SOLE 0 0 4604 ISHARES JP MORGAN ETF USD EMERGING MAKETS BOND COM 464288281 4200 38163 SH SOLE 0 0 38163 ISHARES NATIONAL ETF MUNI BOND COM 464288414 602 5178 SH SOLE 0 0 5178 ISHARES ETF ASIA 50 COM 464288430 552 7065 SH SOLE 0 0 7065 ISHARES MBS ETF COM 464288588 622 5747 SH SOLE 0 0 5747 ISHARES TR ETF SHORT TERM CORP BOND COM 464288646 240 4385 SH SOLE 0 0 4385 ISHARES ETF U.S AEROSPACE & DEFENSE COM 464288760 328 3150 SH SOLE 0 0 3150 ISHARES ETF U.S INSURANCE COM 464288786 254 3250 SH SOLE 0 0 3250 ISHARES ETF U.S PHARMACEUTICALS COM 464288836 258 1411 SH SOLE 0 0 1411 ISHARES ETF MSCI EAFE GROWTH COM 464288885 2587 24297 SH SOLE 0 0 24297 KORN FERRY INTL COM 500643200 1371 18950 SH SOLE 0 0 18950 LIBERTY BROADBAND CORP COM SER A COM 530307107 520 3090 SH SOLE 0 0 3090 LIBERTY BROADBAND CORP COM SER C COM 530307305 2082 12055 SH SOLE 0 0 12055 LIBERTY MEDIA CORP DEL COM SER A SIRIUSXM GRP COM 531229409 486 10295 SH SOLE 0 0 10295 LIBERTY MEDIA CORP DEL COM SER C SIRIUSXM GROUP COM 531229607 422 8884 SH SOLE 0 0 8884 MASTEC INC COM 576323109 237 2750 SH SOLE 0 0 2750 MAXIMUS INC COM 577933104 2029 24387 SH SOLE 0 0 24387 MICROSOFT CORP COM 594918104 33199 117761 SH SOLE 0 0 117761 MICROCHIP TECHNOLOGY INC COM 595017104 361 2350 SH SOLE 0 0 2350 NIKE INC CLASS B COM 654106103 791 5443 SH SOLE 0 0 5443 NORTHERN TRUST CORP COM 665859104 298 2761 SH SOLE 0 0 2761 ONEOK INC NEW COM 682680103 348 6001 SH SOLE 0 0 6001 PNC FINANCIAL SERVICES GROUP COM 693475105 494 2524 SH SOLE 0 0 2524 PEPSICO INCORPORATED COM 713448108 1693 11253 SH SOLE 0 0 11253 PFIZER INCORPORATED COM 717081103 1028 23911 SH SOLE 0 0 23911 PHILIP MORRIS INTERNATIONAL INC COM 718172109 707 7460 SH SOLE 0 0 7460 PHILLIPS 66 COM 718546104 4284 61172 SH SOLE 0 0 61172 PROCTER & GAMBLE CO COM 742718109 1378 9858 SH SOLE 0 0 9858 PRUDENTIAL FINANCIAL INC COM 744320102 1591 15120 SH SOLE 0 0 15120 PUBLIC SVC ENTERPRISE GROUP INC COM 744573106 342 5609 SH SOLE 0 0 5609 REPUBLIC SVCS INC COM 760759100 6016 50110 SH SOLE 0 0 50110 SCHLUMBERGER LTD COM 806857108 918 30967 SH SOLE 0 0 30967 SCHWAB CHARLES CORP NEW COM 808513105 467 6414 SH SOLE 0 0 6414 SCHWAB US LARGE-CAP ETF VALUE COM 808524409 2061 30545 SH SOLE 0 0 30545 SEMPRA ENERGY COM 816851109 371 2936 SH SOLE 0 0 2936 SIMON PROPERTY GROUP REIT INC NEW COM 828806109 584 4493 SH SOLE 0 0 4493 TAIWAN SEMICONDUCTOR MFG CO LTD ADR COM 874039100 627 5613 SH SOLE 0 0 5613 UNION PACIFIC CORP COM 907818108 426 2171 SH SOLE 0 0 2171 UNITED PARCEL SERVICE-B COM 911312106 1143 6275 SH SOLE 0 0 6275 UNITED RENTALS INC COM 911363109 393 1119 SH SOLE 0 0 1119 UNIVERSAL CORP VIRGINIA COM 913456109 1885 39007 SH SOLE 0 0 39007 VANGUARD S&P 500 ETF GROWTH COM 921932505 999 3747 SH SOLE 0 0 3747 VANGUARD FTSE ETF DEVELOPED MARKETS ETF COM 921943858 21743 430648 SH SOLE 0 0 430648 VANGUARD GLOBAL ETF EX-U.S REAL ESTATE COM 922042676 203 3610 SH SOLE 0 0 3610 VANGUARD TOTAL WORLD ETF STOCK INDEX FUND COM 922042742 922 9058 SH SOLE 0 0 9058 VANGUARD INTL EQTY ETF INDEX FDS FTSE ALL WORLD EX US COM 922042775 1260 20675 SH SOLE 0 0 20675 VANGUARD INTL EQUITY ETF INDEX FDS FTSE EMERGING MKTS ETF COM 922042858 26750 534890 SH SOLE 0 0 534890 VANGUARD INDEX FDS ETF S&P 500 ETF SHS NEW COM 922908363 9845 24962 SH SOLE 0 0 24962 VANGUARD MID-CAP ETF GROWTH FUND COM 922908538 1436 6078 SH SOLE 0 0 6078 VANGUARD INDEX FDS ETF REAL ESTATE INDEX FD COM 922908553 639 6274 SH SOLE 0 0 6274 VANGUARD SMALL CAP ETF GROWTH COM 922908595 336 1200 SH SOLE 0 0 1200 VANGUARD SMALL CAP V ETF ETF COM 922908611 1168 6899 SH SOLE 0 0 6899 VANGUARD MID CAP ETF COM 922908629 907 3830 SH SOLE 0 0 3830 VANGUARD LRG CAP ETF COM 922908637 225 1118 SH SOLE 0 0 1118 VANGUARD EXTENDED ETF MARKET COM 922908652 2216 12151 SH SOLE 0 0 12151 VANGUARD GROWTH ETF COM 922908736 474 1635 SH SOLE 0 0 1635 WELLS FARGO & CO NEW COM 949746101 623 13427 SH SOLE 0 0 13427 WEYERHAEUSER CO COM 962166104 644 18105 SH SOLE 0 0 18105 YUM BRANDS INC COM 988498101 313 2556 SH SOLE 0 0 2556 ABBOTT LABORATORIES COM 002824100 2343 19830 SH SOLE 0 0 19830 ABBVIE INC COM 00287Y109 2769 25673 SH SOLE 0 0 25673 ABERDEEN TOTAL DYNAMIC DIVIDEND FD BEN INT CEF 00326L100 135 13876 SH SOLE 0 0 13876 ADAPTHEALTH CORP CL A COM 00653Q102 1165 50000 SH SOLE 0 0 50000 AIR PRODUCTS & CHEMICALS INC COM 009158106 287 1120 SH SOLE 0 0 1120 CALL ALIBABA GRP HOLDING OPT 01609W902 3229 16200 SH SOLE 0 0 16200 CALL ALPHABET INC CL C OPT 02079K907 10249 4300 SH SOLE 0 0 4300 AMAZON COM INC COM 023135106 3526 1073 SH SOLE 0 0 1073 CALL AMAZON.COM INC OPT 023135906 210 100 SH SOLE 0 0 100 AMERICAN EXPRESS COMPANY COM 025816109 1902 11352 SH SOLE 0 0 11352 AMERISOURCEBERGEN CORP COM 03073E105 638 5342 SH SOLE 0 0 5342 AMERIPRISE FINANCIAL INC COM 03076C106 207 784 SH SOLE 0 0 784 AMGEN INC COM 031162100 2064 9705 SH SOLE 0 0 9705 CALL AMGEN INC OPT 031162900 2178 9900 SH SOLE 0 0 9900 AMPHENOL CORP NEW CL A COM 032095101 784 10700 SH SOLE 0 0 10700 CALL ANHEUSER-BUSCH INBV OPT 03524A908 1851 28700 SH SOLE 0 0 28700 ANTHEM INC COM 036752103 224 600 SH SOLE 0 0 600 APOLLO GLOBAL MGMT INC CL A COM 03768E105 277 4504 SH SOLE 0 0 4504 APPLE INC COM 037833100 47379 334831 SH SOLE 0 0 334831 CALL APPLE INC OPT 037833900 4787 34100 SH SOLE 0 0 34100 ARES CAPITAL CORP COM 04010L103 789 38822 SH SOLE 0 0 38822 AVISTA CORP COM 05379B107 275 7034 SH SOLE 0 0 7034 CALL AXON ENTERPRISE IN OPT 05464C900 595 4200 SH SOLE 0 0 4200 BGC PARTNERS INC CL A COM 05541T101 76 14500 SH SOLE 0 0 14500 BP PLC SPONS ADR COM 055622104 345 12619 SH SOLE 0 0 12619 CALL BAIDU INC ADR OPT 056752908 2965 15500 SH SOLE 0 0 15500 BALL CORP COM 058498106 551 6124 SH SOLE 0 0 6124 CALL BANK AMER CORP OPT 060505904 1199 38000 SH SOLE 0 0 38000 BAXTER INTERNATIONAL INC COM 071813109 529 6571 SH SOLE 0 0 6571 BECTON DICKINSON & CO COM 075887109 248 1009 SH SOLE 0 0 1009 CALL BECTON DICKINSON & OPT 075887909 493 2000 SH SOLE 0 0 2000 CALL BERKSHIRE HATHAWAY OPT 084670902 627 3400 SH SOLE 0 0 3400 BHP BILLITON LTD SPON ADR COM 088606108 1592 29746 SH SOLE 0 0 29746 BLACKROCK MULTI-SECTOR INCOME TRUST CEF 09258A107 201 10752 SH SOLE 0 0 10752 BLACKSTONE GROUP INC COM COM 09260D107 2940 25270 SH SOLE 0 0 25270 BOEING CO COM 097023105 665 3024 SH SOLE 0 0 3024 BOOZ ALLEN HAMILTON HOLDING CO COM 099502106 282 3550 SH SOLE 0 0 3550 BROADCOM INC COM 11135F101 739 1524 SH SOLE 0 0 1524 CME GROUP INC COM 12572Q105 2099 10852 SH SOLE 0 0 10852 CALL CVS CORP OPT 126650900 1058 17100 SH SOLE 0 0 17100 CABLE ONE INC COM 12685J105 497 274 SH SOLE 0 0 274 CALL CISCO SYSTEMS OPT 17275R902 3021 65500 SH SOLE 0 0 65500 CALL CITIGROUP INC NEW OPT 172967904 2035 32500 SH SOLE 0 0 32500 COMCAST CORP NEW CL A COM 20030N101 1038 18558 SH SOLE 0 0 18558 CONOCOPHILLIPS COM 20825C104 215 3178 SH SOLE 0 0 3178 CROWN CASTLE INTERNATIONAL CORP COM 22822V101 299 1725 SH SOLE 0 0 1725 DELL TECHNOLOGIES INC CL C COM 24703L202 1715 16481 SH SOLE 0 0 16481 CALL DISNEY WALT COMPANY OPT 254687906 666 4900 SH SOLE 0 0 4900 CALL DISCOVERY INC A OPT 25470F904 1385 34100 SH SOLE 0 0 34100 DOMINION ENERGY INC COM 25746U109 238 3266 SH SOLE 0 0 3266 DUKE ENERGY CORP COM NEW COM 26441C204 543 5568 SH SOLE 0 0 5568 DUPONT DE NEMOURS INC COM 26614N102 864 12703 SH SOLE 0 0 12703 CALL DUPONT DE NEMOURS OPT 26614N902 628 11300 SH SOLE 0 0 11300 EDWARDS LIFESCIENCE CORP COM 28176E108 736 6505 SH SOLE 0 0 6505 CALL EDWARDS LIFESCIENC OPT 28176E908 206 2200 SH SOLE 0 0 2200 EXTRA SPACE STORAGE INC COM 30225T102 570 3394 SH SOLE 0 0 3394 EXXON MOBIL CORP COM 30231G102 1690 28730 SH SOLE 0 0 28730 CALL FACEBOOK INC OPT 30303M902 10930 35700 SH SOLE 0 0 35700 FIDELITY NATIONAL INFORMATION SVCS COM 31620M106 931 7654 SH SOLE 0 0 7654 FIRST TRUST WATER ETF COM 33733B100 2487 29213 SH SOLE 0 0 29213 FIRST TRUST CAPITAL ETF STRENGTH COM 33733E104 7183 95997 SH SOLE 0 0 95997 FIRST TRUST DOW JONE ETF INTERNET INDEX FUND COM 33733E302 821 3480 SH SOLE 0 0 3480 FIRST TR VALUE LINE ETF COM 33734H106 6364 162349 SH SOLE 0 0 162349 FIRST TRUST ETF FINANCIAL ALPHADEX FUND COM 33734X135 360 8142 SH SOLE 0 0 8142 FIRST TRST HLTH CAREETF ALPHADEX FUND COM 33734X143 1360 11428 SH SOLE 0 0 11428 FIRST TRUST TECHNLGY ETF ALPHADEX FUND COM 33734X176 240 1953 SH SOLE 0 0 1953 FIRST TR NASDAQ ETF CYBERSECURITY COM 33734X846 387 7950 SH SOLE 0 0 7950 FIRST TR ETF II ETF INTL IPO ETF COM 33734X853 805 12560 SH SOLE 0 0 12560 FIRST TRUST STOXX ETF EUROPEAN SELECT DIVID INDEX FUND COM 33735T109 394 28353 SH SOLE 0 0 28353 FIRST TR EUROPE ETF ALPHADEX FUND COM 33737J117 218 5206 SH SOLE 0 0 5206 FIRST TRUST FD IV ETF NORTH AMERICAN ENERGY INFRASTRUCTURE FUND COM 33738D101 957 40412 SH SOLE 0 0 40412 FIRST TR FUND IV ETF SENIOR LOAN FUND COM 33738D309 277 5789 SH SOLE 0 0 5789 FIRST TRUST ETF IV ETF FIRST TR TACTICAL HIGH YIELD ETF COM 33738D408 1831 37991 SH SOLE 0 0 37991 FIRST TRUST HIGH INCOME LONG/SHORT FUND CEF 33738E109 220 13873 SH SOLE 0 0 13873 FIRST TRUST RISING ETF DIVIDEND ACHIEVERS COM 33738R506 279 5881 SH SOLE 0 0 5881 FIRST TR DORSEY ETF WRIGHT FOCUS FIVE FUND COM 33738R605 3352 73222 SH SOLE 0 0 73222 FIRST TRUST III ETF PREFERRED SECS & INCOME COM 33739E108 5082 247435 SH SOLE 0 0 247435 FIRST TR MANAGED ETF MUNICIPAL COM 33739N108 565 9949 SH SOLE 0 0 9949 CALL FORD MOTOR CO OPT 345370900 268 26000 SH SOLE 0 0 26000 GABELLI DIVIDEND & INCOME TRUST CEF 36242H104 866 33571 SH SOLE 0 0 33571 CALL GOLDMAN SACHS GRP OPT 38141G904 300 900 SH SOLE 0 0 900 HP INC COM 40434L105 1022 37337 SH SOLE 0 0 37337 CALL HOME DEPOT INC OPT 437076902 3512 11400 SH SOLE 0 0 11400 CALL HUMANA INC OPT 444859902 2976 7500 SH SOLE 0 0 7500 INVESCO QQQ TR ETF UNIT SER 1 COM 46090E103 5641 15757 SH SOLE 0 0 15757 CALL INVESCO QQQ TR OPT 46090E903 7141 20500 SH SOLE 0 0 20500 INVESCO OPTIMUM YLD ETF DIVERSIFIED COMMODITY STRATEGY NO K-1 COM 46090F100 3187 151380 SH SOLE 0 0 151380 INTUITIVE SURGICAL INC COM NEW COM 46120E602 6767 6807 SH SOLE 0 0 6807 INVESCO TR ETF S&P 500 EQUAL WEIGHT PURE GROWTH COM 46137V266 1435 7450 SH SOLE 0 0 7450 INVESCO ETF BUYBACK ACHIEVERS ETF COM 46137V308 433 4805 SH SOLE 0 0 4805 INVESCO TR ETF S&P 500 EQUAL WEIGHT HEALTH CARE COM 46137V332 2386 8003 SH SOLE 0 0 8003 INVESCO TR ETF S&P 500 EQUAL WEIGHT FINL COM 46137V340 1005 16376 SH SOLE 0 0 16376 INVESCO TR ETF S&P 500 EQUAL WEIGHT COM 46137V357 6250 41720 SH SOLE 0 0 41720 INVESCO ETF INTL DIVID ACHIEVERS COM 46137V548 188 10700 SH SOLE 0 0 10700 INVESCO ETF DWA MOMENTUM ETF COM 46137V837 1041 11637 SH SOLE 0 0 11637 CALL INVESCO S&P 500 OPT 46137V907 950 8200 SH SOLE 0 0 8200 INVESCO TR II ETF DWA SMALLCAP MOMENTUM COM 46138E842 382 4352 SH SOLE 0 0 4352 INVESCO TR II ETF NASDAQ NEXT GEN 100 COM 46138G631 445 13450 SH SOLE 0 0 13450 INVESCO DB US DLR ETF INDEX TRUST BEARISH FUND COM 46141D104 425 20600 SH SOLE 0 0 20600 CALL ISHRS EMERG MKTS OPT 464287904 3850 75200 SH SOLE 0 0 75200 CALL ISHRS MSCI EAFE IDX OPT 464287905 4170 62200 SH SOLE 0 0 62200 ISHARES EDGE MSCI ETF MIN VOL USA ETF COM 46429B697 3170 43136 SH SOLE 0 0 43136 ISHARES EDGE MSCI ETF USA QUALITY FACTOR ETF COM 46432F339 3148 23901 SH SOLE 0 0 23901 ISHARES CORE MSCI ETF EAFE ETF COM 46432F842 522 7030 SH SOLE 0 0 7030 ISHARES INC ETF CORE MSCI EMERGING MKTS COM 46434G103 1381 22365 SH SOLE 0 0 22365 ISHARES 0-5 YEAR ETF HIGH YIELD CORPORATE BOND COM 46434V407 2717 59443 SH SOLE 0 0 59443 ISHARES CORE ETF DIVIDEND GROWTH COM 46434V621 250 4973 SH SOLE 0 0 4973 ISHARES TR ETF ISHARES ULTRA SHORT-TERM BD COM 46434V878 1093 21650 SH SOLE 0 0 21650 JPMORGAN CHASE & CO COM 46625H100 7703 47061 SH SOLE 0 0 47061 JPMORGAN CHASE & CO ETN ALERIAN MLP INDEX ETN BASED ON WAP MAT05/24/24 COM 46625H365 811 44650 SH SOLE 0 0 44650 CALL L3HARRIS TECHNOLOG OPT 502431909 230 1000 SH SOLE 0 0 1000 CALL LAM RESEARCH CORP OPT 512807908 290 500 SH SOLE 0 0 500 CALL ELI LILLY & CO OPT 532457908 1181 7200 SH SOLE 0 0 7200 CALL LOCKHEED MARTIN OPT 539830909 4218 11700 SH SOLE 0 0 11700 MKS INSTRUMENTS INC COM 55306N104 991 6568 SH SOLE 0 0 6568 MRC GLOBAL INC COM 55345K103 2178 296742 SH SOLE 0 0 296742 CALL MARRIOTT INTL INC OPT 571903902 857 8900 SH SOLE 0 0 8900 MASTERCARD INC CL A COM 57636Q104 221 636 SH SOLE 0 0 636 CALL MCKESSON CORP OPT 58155Q903 1552 10300 SH SOLE 0 0 10300 NEXTERA ENERGY INC COM 65339F101 5455 69471 SH SOLE 0 0 69471 NOVARTIS AG SPON ADR COM 66987V109 214 2622 SH SOLE 0 0 2622 CALL ORACLE CORP OPT 68389X905 1130 14900 SH SOLE 0 0 14900 PPL CORPORATION COM 69351T106 1058 37950 SH SOLE 0 0 37950 PACER FDS TR ETF TRENDPILOT 750 ETF COM 69374H105 357 9469 SH SOLE 0 0 9469 CALL PAYPAL HOLDINGS INC OPT 70450Y903 3214 13200 SH SOLE 0 0 13200 CALL PHILLIPS 66 OPT 718546904 4067 52900 SH SOLE 0 0 52900 PIMCO MUNICIPAL INCOME FUND II CEF 72200W106 254 17216 SH SOLE 0 0 17216 CALL RAYTHEON TECHNOLOGI OPT 75513E901 1297 22200 SH SOLE 0 0 22200 REGENERON PHARMACEUTICAL INC COM 75886F107 260 430 SH SOLE 0 0 430 S&P GLOBAL INC COM 78409V104 354 834 SH SOLE 0 0 834 SPDR S&P 500 TRUST ETF COM 78462F103 11861 27638 SH SOLE 0 0 27638 PUT SPY OPTION OPT 78462F903 19904 45300 SH SOLE 0 0 45300 SPDR S&P GLOBAL ETF NATURAL RESOURCES COM 78463X541 1943 37842 SH SOLE 0 0 37842 SPDR S&P 600 ETF SMALL CAP GROWTH COM 78464A201 1526 17516 SH SOLE 0 0 17516 SPDR PORTFOLIO ETF LOND TERM TREASURY TREASURY ETF COM 78464A664 440 10659 SH SOLE 0 0 10659 SPDR S&P DIVIDEND ETF COM 78464A763 223 1900 SH SOLE 0 0 1900 SPDR S&P BANK ETF COM 78464A797 592 11190 SH SOLE 0 0 11190 SPDR BLACKSTONE ETF SENIOR LOAN COM 78467V608 1836 39904 SH SOLE 0 0 39904 SPDR S&P MIDCAP 400 ETF TRUST SERIES N COM 78467Y107 291 605 SH SOLE 0 0 605 SPDR SER TR ETF SPDR BLOOMBERG BARCLAYS 1-3 MNTH T BILL ETF NEW COM 78468R663 709 7751 SH SOLE 0 0 7751 SALESFORCE.COM COM 79466L302 1292 4763 SH SOLE 0 0 4763 CALL SALESFORCE.COM OPT 79466L902 1922 8100 SH SOLE 0 0 8100 CALL SCHLUMBERGER LTD OPT 806857908 1867 64100 SH SOLE 0 0 64100 SELECT SECTOR SPDR F ETF HEALTH CARE COM 81369Y209 2280 17911 SH SOLE 0 0 17911 ENERGY SELECT ETF SECTOR SPDR COM 81369Y506 545 10469 SH SOLE 0 0 10469 SELECT SECTOR SPDR ETF TR FINANCIAL COM 81369Y605 1400 37300 SH SOLE 0 0 37300 INDUSTRIAL SELECT ETF SECTOR SPDR COM 81369Y704 647 6614 SH SOLE 0 0 6614 SECTOR SPDR TR ETF TECHNOLOGY SELECT SECTOR COM 81369Y803 541 3623 SH SOLE 0 0 3623 SELECT SECTOR SPDR ETF COMMUNICATION SVCS SELECT SECTOR SPDR FD COM 81369Y852 1757 21930 SH SOLE 0 0 21930 SELECT SECTOR SPDR T ETF UTILITIES SELECT SECTOR COM 81369Y886 371 5806 SH SOLE 0 0 5806 CALL SELECT COMMUNICATIO OPT 81369Y902 224 2800 SH SOLE 0 0 2800 CALL SPY OPTION OPT 81369Y905 38962 88800 SH SOLE 0 0 88800 SERVICENOW INC COM 81762P102 404 649 SH SOLE 0 0 649 TARGET CORP COM 87612E106 1336 5840 SH SOLE 0 0 5840 TESLA INC COM 88160R101 423 545 SH SOLE 0 0 545 PUT TESLA INC OPT 88160R951 2867 3900 SH SOLE 0 0 3900 3M CO COM 88579Y101 1899 10826 SH SOLE 0 0 10826 UNITEDHEALTH GROUP INC COM 91324P102 1850 4736 SH SOLE 0 0 4736 VANECK VECTORS TR ETF MORNINGSTAR WIDE MOAT ETF COM 92189F643 1064 14528 SH SOLE 0 0 14528 VANECK VECTORS TR ETF PHARMACEUTICAL ETF COM 92189F692 861 11820 SH SOLE 0 0 11820 CALL VANECK VECTORS TR OPT 92189F906 268 1000 SH SOLE 0 0 1000 VANGUARD FINANCIALS ETF COM 92204A405 1551 16743 SH SOLE 0 0 16743 VANGUARD HEALTH CARE ETF COM 92204A504 4930 19945 SH SOLE 0 0 19945 VANGUARD SHORT TERM ETF CORP BD COM 92206C409 259 3145 SH SOLE 0 0 3145 VANGUARD RUSSELL ETF 2000 COM 92206C664 2062 23320 SH SOLE 0 0 23320 VERIZON COMMUNICATIONS COM COM 92343V104 995 18426 SH SOLE 0 0 18426 CALL VERTEX PHARMA OPT 92532F900 279 1500 SH SOLE 0 0 1500 CALL VISA OPT 92826C909 1240 7000 SH SOLE 0 0 7000 CALL WEYERHAEUSER CO OPT 962166904 278 8000 SH SOLE 0 0 8000 WINTRUST FINL CORP COM 97650W108 207 2581 SH SOLE 0 0 2581 WISDOMTREE S/C DVD ETF FD COM 97717W604 243 7872 SH SOLE 0 0 7872 YUM CHINA HOLDINGS INC COM 98850P109 208 3583 SH SOLE 0 0 3583 CALL BUNGE LIMITED OPT G16962905 458 7800 SH SOLE 0 0 7800