0001415889-23-006827.txt : 20230425 0001415889-23-006827.hdr.sgml : 20230425 20230425135821 ACCESSION NUMBER: 0001415889-23-006827 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230425 DATE AS OF CHANGE: 20230425 EFFECTIVENESS DATE: 20230425 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 IRS NUMBER: 942799654 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22901 FILM NUMBER: 23843850 BUSINESS ADDRESS: STREET 1: 30 LIBERTY SHIP WAY #3225 CITY: SAUSALITO STATE: CA ZIP: 94965-3324 BUSINESS PHONE: 415-367-4981 MAIL ADDRESS: STREET 1: PO BOX 190 CITY: SAUSALITO STATE: CA ZIP: 94966-0190 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INC DATE OF NAME CHANGE: 20100708 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES, INCORPORATED DATE OF NAME CHANGE: 20041201 FORMER COMPANY: FORMER CONFORMED NAME: CALDWELL SECURITIES INC /BD DATE OF NAME CHANGE: 19820422 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0000702007 XXXXXXXX 03-31-2023 03-31-2023 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

13F HOLDINGS REPORT 028-22901 000010489 801-66098 N Christopher Anderson 415-367-4982 Christopher Anderson Sausalito CA 04-25-2023 0 566 137180787 false INFORMATION TABLE 2 form13f-1682445498_infotable.xml COM 88579Y101 209274 1991 SH SOLE 0 0 1991 COM 00181T107 3299027 95210 SH SOLE 0 0 95210 COM 002824100 17721 175 SH SOLE 0 0 175 COM 00287Y109 600506 3768 SH SOLE 0 0 3768 COM 003009107 45486 17100 SH SOLE 0 0 17100 PHYSCL GOLD SHS 00326A104 8397 445 SH SOLE 0 0 445 COM NEW 006743306 78872 71056 SH SOLE 0 0 71056 COM 00724F101 7322 19 SH SOLE 0 0 19 COM 001055102 151816 2353 SH SOLE 0 0 2353 COM 008474108 19369 380 SH SOLE 0 0 380 CL A 00912X302 31496 800 SH SOLE 0 0 800 COM 009158106 52847 184 SH SOLE 0 0 184 COM 013872106 1404 33 SH SOLE 0 0 33 ALERIAN MLP 00162Q452 52641 1362 SH SOLE 0 0 1362 SPONSORED ADS 01609W102 1022 10 SH SOLE 0 0 10 COM 016255101 2005 6 SH SOLE 0 0 6 UNIT LTD PARTN 01881G106 170333 4659 SH SOLE 0 0 4659 CAP STK CL A 02079K305 47716 460 SH SOLE 0 0 460 CAP STK CL C 02079K107 57824 556 SH SOLE 0 0 556 COM 02209S103 157375 3527 SH SOLE 0 0 3527 COM 022671101 129933 7345 SH SOLE 0 0 7345 COM 023135106 85214 825 SH SOLE 0 0 825 COM NEW 02341Q205 1059281 6343 SH SOLE 0 0 6343 COM 023608102 14600 169 SH SOLE 0 0 169 COM 02553E106 53760 4000 SH SOLE 0 0 4000 COM 025537101 77705 854 SH SOLE 0 0 854 COM 025816109 6598 40 SH SOLE 0 0 40 COM 029174109 2232120 84807 SH SOLE 0 0 84807 NEW COM 03027X100 3882 19 SH SOLE 0 0 19 NEW COM 030420103 17579 120 SH SOLE 0 0 120 COM 031162100 208389 862 SH SOLE 0 0 862 NEW CL A 032095101 1144 14 SH SOLE 0 0 14 COM 032159105 767659 54872 SH SOLE 0 0 54872 COM 032654105 2564 13 SH SOLE 0 0 13 COM NEW 035710839 2599 136 SH SOLE 0 0 136 CL A 03748R747 820523 106700 SH SOLE 0 0 106700 COM 037833100 9549588 57911 SH SOLE 0 0 57911 COM 038222105 13757 112 SH SOLE 0 0 112 SHS G6095L109 673 6 SH SOLE 0 0 6 COM 039483102 39830 500 SH SOLE 0 0 500 COM 861780104 36738 2041 SH SOLE 0 0 2041 COM 044186104 2773 27 SH SOLE 0 0 27 COM G0585R106 50 1 SH SOLE 0 0 1 COM 00206R102 404404 21008 SH SOLE 0 0 21008 COM 095229100 53 2 SH SOLE 0 0 2 COM 053611109 35428 198 SH SOLE 0 0 198 COM 05368M106 37520 2000 SH SOLE 0 0 2000 COM 05990K106 25060 2000 SH SOLE 0 0 2000 COM 060505104 254615 8903 SH SOLE 0 0 8903 COM 062540109 40362 775 SH SOLE 0 0 775 COM 063425102 613971 28048 SH SOLE 0 0 28048 COM 063671101 60951 684 SH SOLE 0 0 684 COM NEW 06652V208 66875 1230 SH SOLE 0 0 1230 COM 06759L103 15547 1958 SH SOLE 0 0 1958 COM 06759X107 1240446 87664 SH SOLE 0 0 87664 COM 06760L100 238650 18500 SH SOLE 0 0 18500 SH BEN INT 06761A103 581860 45377 SH SOLE 0 0 45377 COM 68622E104 276704 190830 SH SOLE 0 0 190830 COM 068221100 999 454 SH SOLE 0 0 454 COM 07272M107 1422593 83290 SH SOLE 0 0 83290 COM NEW 05534B760 202182 4514 SH SOLE 0 0 4514 CL A 084670108 465600 1 SH SOLE 0 0 1 CL B NEW 084670702 482299 1562 SH SOLE 0 0 1562 COM 08579W103 9365 159 SH SOLE 0 0 159 SPONSORED ADS 088606108 10146 160 SH SOLE 0 0 160 COM 09062X103 15292 55 SH SOLE 0 0 55 COM 09061G101 778 8 SH SOLE 0 0 8 COM UNIT 09225M101 1658433 105700 SH SOLE 0 0 105700 COM 09255P107 7761 890 SH SOLE 0 0 890 COM 09247X101 81633 122 SH SOLE 0 0 122 COM 09260D107 8784 100 SH SOLE 0 0 100 COM 093671105 7050 200 SH SOLE 0 0 200 COM 097023105 196723 926 SH SOLE 0 0 926 COM 101137107 10006 200 SH SOLE 0 0 200 SPONSORED ADR 055622104 1518 40 SH SOLE 0 0 40 COM NEW 10501E201 0 157009 SH SOLE 0 0 157009 COM 110122108 204950 2957 SH SOLE 0 0 2957 SPONSORED ADR 110448107 2107 60 SH SOLE 0 0 60 COM 11135F101 144988 226 SH SOLE 0 0 226 COM SB VTG SHS A 11275Q107 22017 478 SH SOLE 0 0 478 CL A SUB VTG 11284V105 22403 641 SH SOLE 0 0 641 PARTNERSHIP UNIT G16258108 26657 846 SH SOLE 0 0 846 COM G16962105 43366 454 SH SOLE 0 0 454 COM 13005U101 63525 3256 SH SOLE 0 0 3256 COM 130788102 46560 800 SH SOLE 0 0 800 UT LTD PARTNER 131476103 203763 11724 SH SOLE 0 0 11724 COM 134429109 66911 1217 SH SOLE 0 0 1217 COM 14040H105 5000 52 SH SOLE 0 0 52 COM 140501107 768594 43228 SH SOLE 0 0 43228 COM 14149Y108 4530 60 SH SOLE 0 0 60 COMMON STOCK 14159C103 31675 8101 SH SOLE 0 0 8101 COM 14448C104 2288 50 SH SOLE 0 0 50 COM 149123101 2203043 9627 SH SOLE 0 0 9627 COM 149150104 81122 2350 SH SOLE 0 0 2350 NEW COM NEW 15117B202 12593 350 SH SOLE 0 0 350 COM 15189T107 1296 44 SH SOLE 0 0 44 COM 155123102 221847 6378 SH SOLE 0 0 6378 COM 155685100 412485 20043 SH SOLE 0 0 20043 COM 125269100 1087 15 SH SOLE 0 0 15 NEW CL A 16119P108 2503 7 SH SOLE 0 0 7 COM 16150R104 6912 66 SH SOLE 0 0 66 COM 165167735 161585 2125 SH SOLE 0 0 2125 NEW COM 166764100 1894945 11614 SH SOLE 0 0 11614 COM H1467J104 36117 186 SH SOLE 0 0 186 COM 17275R102 889825 17022 SH SOLE 0 0 17022 COM 189054109 579475 3662 SH SOLE 0 0 3662 COM 12572Q105 1341 7 SH SOLE 0 0 7 COM 125896100 20624 336 SH SOLE 0 0 336 COM 191216100 284183 4581 SH SOLE 0 0 4581 COM 19247X100 58530 3000 SH SOLE 0 0 3000 COM 194162103 81989 1091 SH SOLE 0 0 1091 COM 197236102 25918 1210 SH SOLE 0 0 1210 COM 198516106 243648 2700 SH SOLE 0 0 2700 NEW CL A 20030N101 2767 73 SH SOLE 0 0 73 COMMUNICATION 81369Y852 107187 1849 SH SOLE 0 0 1849 COM 204157101 997541 78857 SH SOLE 0 0 78857 COM 205477102 203638 28088 SH SOLE 0 0 28088 COM 209115104 85625 895 SH SOLE 0 0 895 CL A 21036P108 28688 127 SH SOLE 0 0 127 COM 21037T109 5652 72 SH SOLE 0 0 72 SBI CONS DISCR 81369Y407 206515 1381 SH SOLE 0 0 1381 SBI CONS STPLS 81369Y308 75532 1011 SH SOLE 0 0 1011 COM 22052L104 14897 247 SH SOLE 0 0 247 NEW COM 22160K105 2414855 4860 SH SOLE 0 0 4860 COM NEW 222795502 5773 270 SH SOLE 0 0 270 COM NEW 125525584 1665855 409301 SH SOLE 0 0 409301 COM 22822V101 171449 1281 SH SOLE 0 0 1281 COM 228368106 88582 1071 SH SOLE 0 0 1071 COM 126402106 1273155 9164 SH SOLE 0 0 9164 COM 126408103 16796 561 SH SOLE 0 0 561 COM 231021106 94835 397 SH SOLE 0 0 397 COM 126600105 84534 5068 SH SOLE 0 0 5068 COM 126650100 144979 1951 SH SOLE 0 0 1951 COM 235851102 818374 3247 SH SOLE 0 0 3247 COM 244199105 2890 7 SH SOLE 0 0 7 CL C 24703L202 764 19 SH SOLE 0 0 19 NEW COM 25179M103 513034 10137 SH SOLE 0 0 10137 COM 25278X109 3650 27 SH SOLE 0 0 27 COM 253868103 199864 2033 SH SOLE 0 0 2033 CLASS A COM 25400Q105 703 50 SH SOLE 0 0 50 CL A NEW 25401T603 35167 2933 SH SOLE 0 0 2933 US EQUITY ETF 25434V401 100590 2264 SH SOLE 0 0 2264 US TARGETED VLU 25434V609 4984 112 SH SOLE 0 0 112 US MKTWIDE VALUE 25434V724 90396 2700 SH SOLE 0 0 2700 COM 254687106 137178 1370 SH SOLE 0 0 1370 COM 25746U109 184279 3296 SH SOLE 0 0 3296 COM CL B 257554105 2228 157 SH SOLE 0 0 157 CL A 257701201 3281900 214784 SH SOLE 0 0 214784 COM 260557103 428241 7812 SH SOLE 0 0 7812 NEW COM CL A 26142V105 1936 100 SH SOLE 0 0 100 COMMON STOCK 23345M107 2962 60 SH SOLE 0 0 60 COM 233331107 18074 165 SH SOLE 0 0 165 COM 26414D106 668 42 SH SOLE 0 0 42 NEW COM NEW 26441C204 185029 1918 SH SOLE 0 0 1918 COM 26614N102 39617 552 SH SOLE 0 0 552 COM 27616P103 9316 678 SH SOLE 0 0 678 COM 27627N105 170370 13500 SH SOLE 0 0 13500 SHS G29183103 1713 10 SH SOLE 0 0 10 COM 278279104 9346 812 SH SOLE 0 0 812 COM 278642103 8874 200 SH SOLE 0 0 200 COM NEW 27922Y202 0 4000 SH SOLE 0 0 4000 COM 28176E108 745 9 SH SOLE 0 0 9 COM 28414H103 8385 892 SH SOLE 0 0 892 COM 285233102 1026227 229581 SH SOLE 0 0 229581 COM 291011104 1481 17 SH SOLE 0 0 17 COM 26873J107 16889 8487 SH SOLE 0 0 8487 COM 29250N105 1043342 27348 SH SOLE 0 0 27348 COM 29270J100 115250 5000 SH SOLE 0 0 5000 ENERGY 81369Y506 735945 8885 SH SOLE 0 0 8885 COM UT LTD PTN 29273V100 202014 16200 SH SOLE 0 0 16200 COM 293389102 164502 7800 SH SOLE 0 0 7800 NEW COM 29364G103 32322 300 SH SOLE 0 0 300 COM 293792107 177519 6854 SH SOLE 0 0 6854 COM 29415F104 168262 4116 SH SOLE 0 0 4116 COM 29415B103 37862 1311 SH SOLE 0 0 1311 6.5% CNV PFD D 294628201 104958 4200 SH SOLE 0 0 4200 COM SH BEN INT 294628102 119828 5786 SH SOLE 0 0 5786 COM 30034W106 58431 956 SH SOLE 0 0 956 COM 30057T105 945 19 SH SOLE 0 0 19 COM 30161N101 9132 218 SH SOLE 0 0 218 COM 30231G102 749541 6835 SH SOLE 0 0 6835 COM 303250104 17567 25 SH SOLE 0 0 25 COM 31428X106 2285 10 SH SOLE 0 0 10 COM 316773100 9164 344 SH SOLE 0 0 344 FINANCIAL 81369Y605 428696 13334 SH SOLE 0 0 13334 COM 318916103 351288 13600 SH SOLE 0 0 13600 CL A 31946M103 9731 10 SH SOLE 0 0 10 COM 32026V104 178584 23971 SH SOLE 0 0 23971 COM 320557101 1113602 66883 SH SOLE 0 0 66883 COM 320734106 119941 8885 SH SOLE 0 0 8885 COM 33616C100 39172 2800 SH SOLE 0 0 2800 COM 33718W103 9468 600 SH SOLE 0 0 600 PFD SECS INC ETF 33739E108 36309 2275 SH SOLE 0 0 2275 RISNG DIVD ACHIV 33738R506 1795 40 SH SOLE 0 0 40 COM 337738108 1130 10 SH SOLE 0 0 10 INTL QLTDV DEF 33939L811 21058 1050 SH SOLE 0 0 1050 INTL QLTDV IDX 33939L837 243 11 SH SOLE 0 0 11 QLT DIV DEF IDX 33939L845 32026 605 SH SOLE 0 0 605 COM 345370860 256586 20364 SH SOLE 0 0 20364 COM 34629L103 13680 7817 SH SOLE 0 0 7817 COM 34959J108 305674 4484 SH SOLE 0 0 4484 COM 354613101 26940 1000 SH SOLE 0 0 1000 CL B 35671D857 7077 173 SH SOLE 0 0 173 COM 30292L107 235340 4066 SH SOLE 0 0 4066 COM 30263Y104 494205 16468 SH SOLE 0 0 16468 COM 36242H104 18711 900 SH SOLE 0 0 900 COM 36249W104 1048 90 SH SOLE 0 0 90 COM 364760108 1004 100 SH SOLE 0 0 100 COMMON STOCK 36266G107 16816 205 SH SOLE 0 0 205 COM 369550108 56824 249 SH SOLE 0 0 249 COM NEW 369604301 59463 622 SH SOLE 0 0 622 COM 370334104 173398 2029 SH SOLE 0 0 2029 COM 37045V100 31765 866 SH SOLE 0 0 866 SPONSORED ADS 372303206 831 22 SH SOLE 0 0 22 COM 375558103 383736 4625 SH SOLE 0 0 4625 COM 376546107 172258 13001 SH SOLE 0 0 13001 RBTCS ARTFL INTE 37954Y715 2550 100 SH SOLE 0 0 100 GLOBX SUPDV US 37950E291 1745 100 SH SOLE 0 0 100 ACTIVEBETA US LG 381430503 12102 149 SH SOLE 0 0 149 COM 38141G104 152760 467 SH SOLE 0 0 467 COM 38741L107 239469 48280 SH SOLE 0 0 48280 CL A NEW 395330202 21 58 SH SOLE 0 0 58 SPONSORED ADR 37733W204 128978 3625 SH SOLE 0 0 3625 SPON ADS 405552100 36540 4489 SH SOLE 0 0 4489 COM SH BEN INT 41013T105 25499 2058 SH SOLE 0 0 2058 COM 419870100 226560 5900 SH SOLE 0 0 5900 SBI HEALTHCARE 81369Y209 24209 187 SH SOLE 0 0 187 COM 425885100 3914 505 SH SOLE 0 0 505 COM 806407102 24462 300 SH SOLE 0 0 300 COM 427096508 1934 150 SH SOLE 0 0 150 COM 42809H107 41025 310 SH SOLE 0 0 310 COM 42824C109 19116 1200 SH SOLE 0 0 1200 COM 43300A203 986 7 SH SOLE 0 0 7 COM 437076102 862950 2924 SH SOLE 0 0 2924 COM 43940T109 33388 3400 SH SOLE 0 0 3400 COM 446150104 1042 93 SH SOLE 0 0 93 COM CL A 44951Y102 82 100 SH SOLE 0 0 100 COM 452327109 698 3 SH SOLE 0 0 3 COM 45580R103 335046 5054 SH SOLE 0 0 5054 SHS BEN INT 456237106 100585 32764 SH SOLE 0 0 32764 SBI INT-INDS 81369Y704 61720 610 SH SOLE 0 0 610 COM 458140100 505470 15472 SH SOLE 0 0 15472 COM 458685104 2663405 58408 SH SOLE 0 0 58408 COM 459200101 1106793 8443 SH SOLE 0 0 8443 COM 460146103 144817 4016 SH SOLE 0 0 4016 COM 461202103 4012 9 SH SOLE 0 0 9 COM NEW 46120E602 19160 75 SH SOLE 0 0 75 DYNMC FOOD BEV 46137V753 191234 4126 SH SOLE 0 0 4126 DYNMC LRG GWTH 46137V746 123474 1900 SH SOLE 0 0 1900 FINL PFD ETF 46137V621 3267 225 SH SOLE 0 0 225 GLOBAL WATER 46138E651 3498 100 SH SOLE 0 0 100 COMMODITY STRATEGY NO K-1 ETF 46090F100 3285 231 SH SOLE 0 0 231 PFD ETF 46138E511 2296 200 SH SOLE 0 0 200 UNIT SER 1 46090E103 203149 633 SH SOLE 0 0 633 WATER RES ETF 46137V142 2134 40 SH SOLE 0 0 40 COM 461804106 78369 519 SH SOLE 0 0 519 COM 46266C105 597 3 SH SOLE 0 0 3 0-5YR INVT GR CP 46434V100 3636 75 SH SOLE 0 0 75 1 3 YR TREAS BD 464287457 66385 808 SH SOLE 0 0 808 20 YR TR BD ETF 464287432 135303 1272 SH SOLE 0 0 1272 3 7 YR TREAS BD 464288661 60472 514 SH SOLE 0 0 514 7-10 YR TRSY BD 464287440 7434 75 SH SOLE 0 0 75 ISHARES BIOTECH 464287556 174366 1350 SH SOLE 0 0 1350 CORE MSCI EAFE 46432F842 21325 319 SH SOLE 0 0 319 CORE S&P500 ETF 464287200 41108 100 SH SOLE 0 0 100 CORE S&P SCP ETF 464287804 2998 31 SH SOLE 0 0 31 CORE S&P US GWT 464287671 10475 118 SH SOLE 0 0 118 CORE S&P US VLU 464287663 20954 284 SH SOLE 0 0 284 CORE US AGGBD ET 464287226 13850 139 SH SOLE 0 0 139 EXPND TEC SC ETF 464287549 33932 100 SH SOLE 0 0 100 GLOBAL ENERG ETF 464287341 7363 195 SH SOLE 0 0 195 GLOBAL REIT ETF 46434V647 2178 95 SH SOLE 0 0 95 MSCI AC ASIA ETF 464288182 17171 253 SH SOLE 0 0 253 MSCI BELGIUM ETF 464286301 2650 140 SH SOLE 0 0 140 MSCI SWITZERLAND 464286749 6345 140 SH SOLE 0 0 140 PFD AND INCM SEC 464288687 4808 154 SH SOLE 0 0 154 RUS 1000 GRW ETF 464287614 53997 221 SH SOLE 0 0 221 RUS 1000 VAL ETF 464287598 79175 520 SH SOLE 0 0 520 RUSSELL 2000 ETF 464287655 31577 177 SH SOLE 0 0 177 RUS 2000 GRW ETF 464287648 7485 33 SH SOLE 0 0 33 RUS 2000 VAL ETF 464287630 6577 48 SH SOLE 0 0 48 RUS MD CP GR ETF 464287481 9287 102 SH SOLE 0 0 102 RUS BDCP VAL ETF 464287473 6903 65 SH SOLE 0 0 65 RUS MID CAP ETF 464287499 13984 200 SH SOLE 0 0 200 SP SMCP600VL ETF 464287879 4680 50 SH SOLE 0 0 50 ISHARES 46428Q109 3539 160 SH SOLE 0 0 160 TIPS BD ETF 464287176 1323 12 SH SOLE 0 0 12 TRS FLT RT BD 46434V860 24435 483 SH SOLE 0 0 483 US AER DEF ETF 464288760 46032 400 SH SOLE 0 0 400 U.S. BAS MTL ETF 464287838 23855 180 SH SOLE 0 0 180 U.S. ENERGY ETF 464287796 35000 800 SH SOLE 0 0 800 U.S. FINLS ETF 464287788 45601 641 SH SOLE 0 0 641 US HLTHCARE ETF 464287762 170663 625 SH SOLE 0 0 625 US INDUSTRIALS 464287754 20032 200 SH SOLE 0 0 200 US OIL GS EX ETF 464288851 17162 200 SH SOLE 0 0 200 U.S. REAL ES ETF 464287739 14093 166 SH SOLE 0 0 166 COM NEW 47733C207 23625 4200 SH SOLE 0 0 4200 COM 478160104 460350 2970 SH SOLE 0 0 2970 SHS G51502105 26497 440 SH SOLE 0 0 440 COM 46625H100 816132 6263 SH SOLE 0 0 6263 COM 486606106 1587427 183730 SH SOLE 0 0 183730 COM 48242W106 55050 1000 SH SOLE 0 0 1000 COM 487836108 174966 2613 SH SOLE 0 0 2613 COM 493267108 85324 6815 SH SOLE 0 0 6815 COM 49338L103 906710 5615 SH SOLE 0 0 5615 COM 494368103 249783 1861 SH SOLE 0 0 1861 COM 49446R109 3242 166 SH SOLE 0 0 166 COM 49456B101 115794 6613 SH SOLE 0 0 6613 NEW CL A 02215L209 2876470 91900 SH SOLE 0 0 91900 SHS NEW 500472303 24238 1321 SH SOLE 0 0 1321 COM 500754106 3867 100 SH SOLE 0 0 100 COM NEW 50077B207 107840 8000 SH SOLE 0 0 8000 COMMON STOCK 50155Q100 13579 920 SH SOLE 0 0 920 COM 512807108 99663 188 SH SOLE 0 0 188 CL A 518439104 246 1 SH SOLE 0 0 1 COM 526107107 2513 10 SH SOLE 0 0 10 COM 50186A108 146543 34239 SH SOLE 0 0 34239 COM SER C 530307305 14624 179 SH SOLE 0 0 179 COM SER C FRMLA 531229854 12796 171 SH SOLE 0 0 171 COM 532457108 31938 93 SH SOLE 0 0 93 COM 532746104 900 54 SH SOLE 0 0 54 NEW COM 53630X104 2545 8000 SH SOLE 0 0 8000 COM 539830109 268511 568 SH SOLE 0 0 568 COM 548661107 7999 40 SH SOLE 0 0 40 COM 549498103 8040 1000 SH SOLE 0 0 1000 COM 550241103 509 192 SH SOLE 0 0 192 COM 550550107 948 100 SH SOLE 0 0 100 SHS - A - N53745100 2253 24 SH SOLE 0 0 24 COM UNIT RP LP 559080106 310367 5720 SH SOLE 0 0 5720 COM 56064Y100 207135 8818 SH SOLE 0 0 8818 COM 563420108 905107 173725 SH SOLE 0 0 173725 COM 571748102 67952 408 SH SOLE 0 0 408 COM 573874104 213296 4926 SH SOLE 0 0 4926 CL A 57636Q104 292545 805 SH SOLE 0 0 805 COM 577081102 9205 500 SH SOLE 0 0 500 COM 580135101 743762 2660 SH SOLE 0 0 2660 COM 552690109 44958 1475 SH SOLE 0 0 1475 SHS G5960L103 88682 1100 SH SOLE 0 0 1100 COM 58733R102 1318 1 SH SOLE 0 0 1 COM 58933Y105 623445 5860 SH SOLE 0 0 5860 CL A 30303M102 706396 3333 SH SOLE 0 0 3333 COM 59156R108 43165 745 SH SOLE 0 0 745 COM 595112103 29265 485 SH SOLE 0 0 485 COM 594918104 2233225 7746 SH SOLE 0 0 7746 COM 607828100 557165 24172 SH SOLE 0 0 24172 CL B 60871R209 5013 97 SH SOLE 0 0 97 CL A 609207105 103534 1485 SH SOLE 0 0 1485 COM NEW 617446448 19316 220 SH SOLE 0 0 220 COM 553498106 4792517 35899 SH SOLE 0 0 35899 COM 631103108 164010 3000 SH SOLE 0 0 3000 CL A 638517102 582288 2400 SH SOLE 0 0 2400 COM NEW 638842302 4308543 467304 SH SOLE 0 0 467304 COM 640491106 111676 6030 SH SOLE 0 0 6030 COM 64110D104 33841 530 SH SOLE 0 0 530 COM 64110L106 21420 62 SH SOLE 0 0 62 DEPOSITORY RCPT 644206104 2339328 32939 SH SOLE 0 0 32939 COM 651639106 29510 602 SH SOLE 0 0 602 COM NEW 65340G205 408972 39400 SH SOLE 0 0 39400 COM 65339F101 108991 1414 SH SOLE 0 0 1414 COM NEW 65373J209 980370 159485 SH SOLE 0 0 159485 COM 65406E102 71183 1129 SH SOLE 0 0 1129 CL B 654106103 324138 2643 SH SOLE 0 0 2643 COM 65473P105 27960 1000 SH SOLE 0 0 1000 SHS G6564A105 22900 1222 SH SOLE 0 0 1222 COM 664121100 131200 10000 SH SOLE 0 0 10000 COM 666762109 583475 12367 SH SOLE 0 0 12367 COM 666807102 19392 42 SH SOLE 0 0 42 COM 670346105 395443 2560 SH SOLE 0 0 2560 COM 67058H102 11511 736 SH SOLE 0 0 736 COM 67077M108 24518 332 SH SOLE 0 0 332 COM STK 67062C107 9691 1100 SH SOLE 0 0 1100 COM 67072C105 221281 34254 SH SOLE 0 0 34254 COM 67066G104 316658 1140 SH SOLE 0 0 1140 COM N6596X109 1865 10 SH SOLE 0 0 10 COM 671807105 24 1 SH SOLE 0 0 1 COM 674599105 41245 661 SH SOLE 0 0 661 COM 675234108 147175 7964 SH SOLE 0 0 7964 SHS BEN INT 67623C109 66875 5437 SH SOLE 0 0 5437 COM 680033107 890132 61729 SH SOLE 0 0 61729 COM 680223104 162305 6500 SH SOLE 0 0 6500 NEW COM 682680103 122315 1925 SH SOLE 0 0 1925 COM 68389X105 7619 82 SH SOLE 0 0 82 COMMON STOCK 68622V106 11078 471 SH SOLE 0 0 471 COM 68629Y103 1139 170 SH SOLE 0 0 170 NEW COM 690732102 5820 400 SH SOLE 0 0 400 PAC ASSET FLTG 69374H428 1813 40 SH SOLE 0 0 40 COM 697435105 44542 223 SH SOLE 0 0 223 COM 698813102 6744 90 SH SOLE 0 0 90 COM 92556H206 8924 400 SH SOLE 0 0 400 COM 700885106 1804723 101503 SH SOLE 0 0 101503 COM 70319R109 265492 15373 SH SOLE 0 0 15373 COM NEW 70336F203 971964 110200 SH SOLE 0 0 110200 COM 70450Y103 16023 211 SH SOLE 0 0 211 COM 713448108 1324717 7267 SH SOLE 0 0 7267 COM 714167103 2555519 239057 SH SOLE 0 0 239057 COM 717081103 2356467 57757 SH SOLE 0 0 57757 COM 69331C108 63160 3906 SH SOLE 0 0 3906 COM 718172109 195959 2015 SH SOLE 0 0 2015 COM 718546104 66100 652 SH SOLE 0 0 652 ACTIVE BD ETF 72201R775 462476 4986 SH SOLE 0 0 4986 COM 72200M108 18600 3000 SH SOLE 0 0 3000 ENHNCD LW DUR AC 72201R718 286173 3016 SH SOLE 0 0 3016 CL A 72352L106 273 10 SH SOLE 0 0 10 COM 724479100 6808 1750 SH SOLE 0 0 1750 UNIT LTD PARTN 726503105 97678 7833 SH SOLE 0 0 7833 COM 693475105 78039 614 SH SOLE 0 0 614 COM 73278L105 685 2 SH SOLE 0 0 2 COM 73933H101 7176 1921 SH SOLE 0 0 1921 COM 69351T106 1028 37 SH SOLE 0 0 37 COM 74144T108 16032 142 SH SOLE 0 0 142 COM 742718109 471347 3170 SH SOLE 0 0 3170 MSCI EMRG MKTS 74347B847 1412 30 SH SOLE 0 0 30 MSCI EUR DIV 74347B540 28557 639 SH SOLE 0 0 639 RUSS 2000 DIVD 74347B698 37967 622 SH SOLE 0 0 622 S&P 500 DV ARIST 74348A467 72536 795 SH SOLE 0 0 795 S&P MDCP 400 DIV 74347B680 36507 516 SH SOLE 0 0 516 COM 744320102 74135 896 SH SOLE 0 0 896 COM 747525103 342680 2686 SH SOLE 0 0 2686 COM CL A 74767V109 8180 1000 SH SOLE 0 0 1000 COM 75508B104 28215 4500 SH SOLE 0 0 4500 COM 754907103 5821 175 SH SOLE 0 0 175 COM 75513E101 36724 375 SH SOLE 0 0 375 CL A 755408101 3250 1000 SH SOLE 0 0 1000 COM 756109104 700952 11070 SH SOLE 0 0 11070 COM 760416107 1960 1441 SH SOLE 0 0 1441 COM 76131D103 59620 888 SH SOLE 0 0 888 COM 769397100 98790 18500 SH SOLE 0 0 18500 COM CL A 76954A103 805 52 SH SOLE 0 0 52 CUM CONV PFD A 74965L200 100240 4000 SH SOLE 0 0 4000 CL A 74967R106 125873 4797 SH SOLE 0 0 4797 COM 775711104 375 10 SH SOLE 0 0 10 ROUNDHILL BALL 53656F417 23356 2490 SH SOLE 0 0 2490 COM 780087102 1912 20 SH SOLE 0 0 20 COM 79466L302 37958 190 SH SOLE 0 0 190 SPONSORED ADR 80105N105 4898 90 SH SOLE 0 0 90 COM 808513105 16971 324 SH SOLE 0 0 324 CL A 810186106 837 12 SH SOLE 0 0 12 NEW COM 81211K100 15885 346 SH SOLE 0 0 346 NEW CL A 817070501 16779 321 SH SOLE 0 0 321 COM 81762P102 2788 6 SH SOLE 0 0 6 SPON ADS 780259305 48679 846 SH SOLE 0 0 846 COM 82489T104 2168 10 SH SOLE 0 0 10 NEW COM 828806109 34375 307 SH SOLE 0 0 307 COM NEW 83190L208 657893 28431 SH SOLE 0 0 28431 COM 832156103 345370 18410 SH SOLE 0 0 18410 CL A 83304A106 561 50 SH SOLE 0 0 50 COM 833034101 1975 8 SH SOLE 0 0 8 CLASS A COM 83422N105 4515 1500 SH SOLE 0 0 1500 COM 83600C103 2623 1315 SH SOLE 0 0 1315 COM 842587107 45505 654 SH SOLE 0 0 654 COM 843878307 552340 24494 SH SOLE 0 0 24494 COM 844741108 44743 1375 SH SOLE 0 0 1375 GOLD SHS 78463V107 19605 107 SH SOLE 0 0 107 PORTFOLIO DEVLPD 78463X889 5557 173 SH SOLE 0 0 173 PORTFOLIO S&P400 78464A847 1055 24 SH SOLE 0 0 24 PORTFOLIO S&P500 78464A854 1733 36 SH SOLE 0 0 36 PORTFLO S&P500 GW 78464A409 55360 1000 SH SOLE 0 0 1000 PORTFOLIO S&P500 78468R853 1020 27 SH SOLE 0 0 27 TR UNIT 78462F103 32751 80 SH SOLE 0 0 80 S&P 600 SML CAP 78464A813 22268 265 SH SOLE 0 0 265 S&P BK ETF 78464A797 17608 475 SH SOLE 0 0 475 S&P DIVID ETF 78464A763 68659 555 SH SOLE 0 0 555 S&P METALS MNG 78464A755 37744 710 SH SOLE 0 0 710 COM 848637104 479 5 SH SOLE 0 0 5 COM NEW 852066208 12747 350 SH SOLE 0 0 350 TR UNIT 85208R101 96441 5100 SH SOLE 0 0 5100 UNIT 85207H104 15460 1000 SH SOLE 0 0 1000 TR UNIT 85207K107 85902 10300 SH SOLE 0 0 10300 COM 101507101 172460 14044 SH SOLE 0 0 14044 COM CL A 85256A109 526078 70900 SH SOLE 0 0 70900 COM 854502101 30379 377 SH SOLE 0 0 377 COM 855244109 884549 8495 SH SOLE 0 0 8495 CL A 855668109 2244 200 SH SOLE 0 0 200 COM 85569C107 5163 1250 SH SOLE 0 0 1250 COM 857477103 454140 6000 SH SOLE 0 0 6000 LTD PRTRSHIP U 85814R107 391099 8911 SH SOLE 0 0 8911 COM 858912108 872 20 SH SOLE 0 0 20 COM 864159108 462737 8056 SH SOLE 0 0 8056 COM 866264203 2707091 195176 SH SOLE 0 0 195176 COM 866674104 845 6 SH SOLE 0 0 6 NEW COM 867892101 158080 16000 SH SOLE 0 0 16000 COM 86877M209 140 200 SH SOLE 0 0 200 COMMON STOCK 871332102 7633 165 SH SOLE 0 0 165 COM 871829107 7723 100 SH SOLE 0 0 100 COM 872590104 36210 250 SH SOLE 0 0 250 COM 87612E106 110310 666 SH SOLE 0 0 666 COM 87807B107 4202 108 SH SOLE 0 0 108 TECHNOLOGY 81369Y803 186799 1237 SH SOLE 0 0 1237 COM 88160R101 19916 96 SH SOLE 0 0 96 COM 882508104 11533 62 SH SOLE 0 0 62 COM 125523100 17376 68 SH SOLE 0 0 68 COM 88677Q109 70350 15000 SH SOLE 0 0 15000 COM 88688T100 2024 800 SH SOLE 0 0 800 COM NEW 888314606 2 2 SH SOLE 0 0 2 COM NEW 891160509 20965 350 SH SOLE 0 0 350 ADS 892331307 14169 100 SH SOLE 0 0 100 COM 892356106 23504 100 SH SOLE 0 0 100 COM NEW 893617209 211950 5000 SH SOLE 0 0 5000 SHS H8817H100 712 112 SH SOLE 0 0 112 COMPANIES INC COM 89417E109 146556 855 SH SOLE 0 0 855 COM 896095106 113083 2719 SH SOLE 0 0 2719 COM 89832Q109 31884 935 SH SOLE 0 0 935 COM 90353T100 13314 420 SH SOLE 0 0 420 COM 90278Q108 79470 1000 SH SOLE 0 0 1000 COM 903002103 1375781 93021 SH SOLE 0 0 93021 COM 904607108 27723 25669 SH SOLE 0 0 25669 ADR NEW 904767704 7582 146 SH SOLE 0 0 146 COM 907818108 32000 159 SH SOLE 0 0 159 CL B 911312106 313294 1615 SH SOLE 0 0 1615 COM 911363109 396 1 SH SOLE 0 0 1 COM 911460103 44660 7000 SH SOLE 0 0 7000 NEW COM 912909108 75690 2900 SH SOLE 0 0 2900 COM 91324P102 595463 1260 SH SOLE 0 0 1260 COM 91332U101 324400 10000 SH SOLE 0 0 10000 COM 91347P105 155 1 SH SOLE 0 0 1 COM NEW 902973304 228341 6334 SH SOLE 0 0 6334 COM 91879Q109 935 4 SH SOLE 0 0 4 COM 91913Y100 3071 22 SH SOLE 0 0 22 COM 92047W101 2586 74 SH SOLE 0 0 74 DIV APP ETF 921908844 666555 4328 SH SOLE 0 0 4328 ENERGY ETF 92204A306 615129 5385 SH SOLE 0 0 5385 ALLWRLD EX US 922042775 2139 40 SH SOLE 0 0 40 FTSE SMCAP ETF 922042718 4370 40 SH SOLE 0 0 40 VAN FTSE DEV MKT 921943858 27373 606 SH SOLE 0 0 606 FTSE EMR MKT ETF 922042858 7312 181 SH SOLE 0 0 181 GROWTH ETF 922908736 281178 1127 SH SOLE 0 0 1127 HIGH DIV YLD 921946406 34921 331 SH SOLE 0 0 331 LARGE CAP ETF 922908637 40538 217 SH SOLE 0 0 217 MID CAP ETF 922908629 70236 333 SH SOLE 0 0 333 MCAP VL IDXVIP 922908512 6569 49 SH SOLE 0 0 49 VNG RUS1000GRW 92206C680 3773 60 SH SOLE 0 0 60 VNG RUS1000VAL 92206C714 2806 42 SH SOLE 0 0 42 S&P 500 ETF SHS 922908363 121095 322 SH SOLE 0 0 322 SM CP VAL ETF 922908611 16194 102 SH SOLE 0 0 102 SMALL CP ETF 922908751 28813 152 SH SOLE 0 0 152 SML CP GRW ETF 922908595 40036 185 SH SOLE 0 0 185 TOTAL BND MRKT 921937835 7383 100 SH SOLE 0 0 100 VG TL INTL STK F 921909768 4030 73 SH SOLE 0 0 73 TOTAL STK MKT 922908769 40820 200 SH SOLE 0 0 200 VALUE ETF 922908744 182029 1318 SH SOLE 0 0 1318 COMMUNICATIONS INC COM 92343V104 652433 16776 SH SOLE 0 0 16776 COM 92532F100 1260 4 SH SOLE 0 0 4 COM 92556V106 16700 1736 SH SOLE 0 0 1736 COM CL A 92645B103 193797 6621 SH SOLE 0 0 6621 COM CL A 92826C839 3941550 17482 SH SOLE 0 0 17482 CL A COM 928563402 8490 68 SH SOLE 0 0 68 COM 928881101 49075 1795 SH SOLE 0 0 1795 COM 929160109 16984 99 SH SOLE 0 0 99 COM 929740108 1718 17 SH SOLE 0 0 17 COM 931427108 18500 535 SH SOLE 0 0 535 COM 931142103 185197 1256 SH SOLE 0 0 1256 COM SER A 934423104 40181 2661 SH SOLE 0 0 2661 COM 94106L109 62005 380 SH SOLE 0 0 380 COM 92939U106 9479 100 SH SOLE 0 0 100 NEW COM 949746101 105075 2811 SH SOLE 0 0 2811 COM 95040Q104 153273 2138 SH SOLE 0 0 2138 COM 95058W100 2178 100 SH SOLE 0 0 100 COM NEW 962166104 3013 100 SH SOLE 0 0 100 CL A 968223206 1530961 39488 SH SOLE 0 0 39488 CL B 968223305 13360 350 SH SOLE 0 0 13360 COM 969457100 220128 7372 SH SOLE 0 0 7372 SPONSORED ADR 980228308 1279 57 SH SOLE 0 0 57 CL A 98138H101 200757 972 SH SOLE 0 0 972 COM NEW 98138J206 29 22 SH SOLE 0 0 22 COM 98389B100 43431 644 SH SOLE 0 0 644 CL A 98978V103 9321 56 SH SOLE 0 0 56