0001415889-24-025629.txt : 20241025 0001415889-24-025629.hdr.sgml : 20241025 20241025104213 ACCESSION NUMBER: 0001415889-24-025629 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240930 FILED AS OF DATE: 20241025 DATE AS OF CHANGE: 20241025 EFFECTIVENESS DATE: 20241025 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALDWELL SUTTER CAPITAL, INC. CENTRAL INDEX KEY: 0000702007 ORGANIZATION NAME: 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: 241395334 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 09-30-2024 09-30-2024 CALDWELL SUTTER CAPITAL, INC.

PO BOX 190 SAUSALITO CA 94966-0190

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58 ESG AWARE MSCI 46435U663 42155 1008 SH SOLE 0 0 1008 ESG SCRD S&P MID 46436E551 41908 991 SH SOLE 0 0 991 EXPND TEC SC ETF 464287549 1621578 16902 SH SOLE 0 0 16902 GLOBAL ENERG ETF 464287341 8501 210 SH SOLE 0 0 210 GLOBAL REIT ETF 46434V647 3817 143 SH SOLE 0 0 143 ISHARES NEW 464285204 177181 3565 SH SOLE 0 0 3565 IBOXX HI YD ETF 464288513 89856 1119 SH SOLE 0 0 1119 IBOXX INV CP ETF 464287242 230140 2037 SH SOLE 0 0 2037 INTRM GOV CR ETF 464288612 18207 170 SH SOLE 0 0 170 MBS ETF 464288588 67738 707 SH SOLE 0 0 707 MSCI ACWI ETF 464288257 119670 1001 SH SOLE 0 0 1001 MSCI AC ASIA ETF 464288182 485762 6192 SH SOLE 0 0 6192 MSCI AUST ETF 464286103 13501 498 SH SOLE 0 0 498 MSCI BELGIUM ETF 464286301 2922 140 SH SOLE 0 0 140 MSCI CDA ETF 464286509 17314 417 SH SOLE 0 0 417 MSCI EAFE ETF 464287465 24420 292 SH SOLE 0 0 292 EAFE GRWTH ETF 464288885 3768 35 SH SOLE 0 0 35 EAFE SML CP ETF 464288273 42245 624 SH SOLE 0 0 624 EAFE VALUE ETF 464288877 3739 65 SH SOLE 0 0 65 MSCI EM ASIA ETF 464286426 7130 91 SH SOLE 0 0 91 MSCI EMG MKT ETF 464287234 58747 1281 SH SOLE 0 0 1281 MSCI EMRG CHN 46434G764 10205 167 SH SOLE 0 0 167 MSCI EURZONE ETF 464286608 95999 1838 SH SOLE 0 0 1838 MSCI GERMANY ETF 464286806 96478 2851 SH SOLE 0 0 2851 MSCI GBL MIN VOL 464286525 18554 162 SH SOLE 0 0 162 MSCI JPN ETF NEW 46434G822 1431 20 SH SOLE 0 0 20 MSCI MEXICO ETF 464286822 806 15 SH SOLE 0 0 15 MSCI SWITZERLAND 464286749 7294 140 SH SOLE 0 0 140 MSCI TAIWAN ETF 46434G772 13198 245 SH SOLE 0 0 245 MSCI UK ETF NEW 46435G334 46463 1242 SH SOLE 0 0 1242 MSCI USA ESG SLC 464288802 2648 22 SH SOLE 0 0 22 MSCI USA MIN VOL 46429B697 48303 529 SH SOLE 0 0 529 PFD AND INCM SEC 464288687 94672 2849 SH SOLE 0 0 2849 RESIDENTIAL MULT 464288562 977 11 SH SOLE 0 0 11 RUS 1000 GRW ETF 464287614 109236 291 SH SOLE 0 0 291 RUS 1000 VAL ETF 464287598 108945 574 SH SOLE 0 0 574 RUSSELL 2000 ETF 464287655 140174 635 SH SOLE 0 0 635 RUS 2000 GRW ETF 464287648 9372 33 SH SOLE 0 0 33 RUS 2000 VAL ETF 464287630 8007 48 SH SOLE 0 0 48 RUS MID CAP ETF 464287499 499225 5664 SH SOLE 0 0 5664 RUS MD CP GR ETF 464287481 11964 102 SH SOLE 0 0 102 RUS BDCP VAL ETF 464287473 8596 65 SH SOLE 0 0 65 SP SMCP600VL ETF 464287879 9259 86 SH SOLE 0 0 86 SELECT DIVID ETF 464287168 102113 756 SH SOLE 0 0 756 ISHARES SEMICDTR 464287523 1384 6 SH SOLE 0 0 6 ISHARES 46428Q109 4546 160 SH SOLE 0 0 160 TIPS BD ETF 464287176 20106 182 SH SOLE 0 0 182 TRS FLT RT BD 46434V860 23175 458 SH SOLE 0 0 458 US AER DEF ETF 464288760 61652 412 SH SOLE 0 0 412 U.S. BAS MTL ETF 464287838 27028 180 SH SOLE 0 0 180 US CONSM STAPLES 464287812 28369 402 SH SOLE 0 0 402 U.S. ENERGY ETF 464287796 34292 740 SH SOLE 0 0 740 U.S. FINLS ETF 464287788 66600 641 SH SOLE 0 0 641 US HLTHCARE ETF 464287762 277225 4265 SH SOLE 0 0 4265 US INDUSTRIALS 464287754 26734 200 SH SOLE 0 0 200 US OIL GS EX ETF 464288851 18290 200 SH SOLE 0 0 200 U.S. REAL ES ETF 464287739 19967 196 SH SOLE 0 0 196 US TREAS BD ETF 46429B267 5956 254 SH SOLE 0 0 254 CLO ETF 47103U845 32105 631 SH SOLE 0 0 631 COM NEW 47733C207 20916 4200 SH SOLE 0 0 4200 ORD SHS M6191J100 29 1 SH SOLE 0 0 1 COM 478160104 978059 6035 SH SOLE 0 0 6035 SHS G51502105 47653 614 SH SOLE 0 0 614 BETABULDRS JAPAN 46641Q217 23890 403 SH SOLE 0 0 403 COM 46625H100 1981586 9398 SH SOLE 0 0 9398 EQUITY PREMIUM 46641Q332 51595 867 SH SOLE 0 0 867 ULTRA SHRT INC 46641Q837 228412 4502 SH SOLE 0 0 4502 COM 486606106 1808339 164394 SH SOLE 0 0 164394 COM 487836108 206375 2557 SH SOLE 0 0 2557 COM 49177J102 546192 23614 SH SOLE 0 0 23614 COM 493267108 359744 21477 SH SOLE 0 0 21477 COM 49338L103 275108 1731 SH SOLE 0 0 1731 COM 494368103 475087 3339 SH SOLE 0 0 3339 COM 49446R109 3855 166 SH SOLE 0 0 166 COM 49456B101 294968 13353 SH SOLE 0 0 13353 NEW CL A 02215L209 3924042 86700 SH SOLE 0 0 86700 COM 49714P108 2793 6 SH SOLE 0 0 6 COMMON STOCK 498894104 55243 618 SH SOLE 0 0 618 SHS NEW 500472303 46655 1426 SH SOLE 0 0 1426 COM 500754106 5072 144 SH SOLE 0 0 144 COM NEW 50077B207 139800 6000 SH SOLE 0 0 6000 COM 501044101 51570 900 SH SOLE 0 0 900 COMMON STOCK 50155Q100 18981 826 SH SOLE 0 0 826 COM 502431109 34253 144 SH SOLE 0 0 144 COM NEW 512807306 163216 200 SH SOLE 0 0 200 COM 513272104 12948 200 SH SOLE 0 0 200 CL A 518439104 2093 21 SH SOLE 0 0 21 COM NEW 52187K200 10 4 SH SOLE 0 0 4 COM 526107107 3021 5 SH SOLE 0 0 5 CL A COM STK 52736R102 436 20 SH SOLE 0 0 20 COM 50186A108 652790 106491 SH SOLE 0 0 106491 COM LBTY ONE S C 531229755 13241 171 SH SOLE 0 0 171 COM 532746104 1431 54 SH SOLE 0 0 54 COM 534187109 1134 36 SH SOLE 0 0 36 NEW COM NEW 53630X203 2115 471 SH SOLE 0 0 471 COM 539830109 945818 1618 SH SOLE 0 0 1618 COM 548661107 443923 1639 SH SOLE 0 0 1639 COM 502160104 201000 25000 SH SOLE 0 0 25000 COM 549498103 3530 1000 SH SOLE 0 0 1000 COM 550241103 1363 192 SH SOLE 0 0 192 COM 55024U109 190 3 SH SOLE 0 0 3 SHS - A - N53745100 6138 64 SH SOLE 0 0 64 COM CL A 558256103 638 15 SH SOLE 0 0 15 CL A 55825T103 3124 15 SH SOLE 0 0 15 COM 56064Y100 162692 8818 SH SOLE 0 0 8818 COM 563420108 961182 170725 SH SOLE 0 0 170725 COM 56501R106 55968 1894 SH SOLE 0 0 1894 COM 565849106 8974 337 SH SOLE 0 0 337 COM 56585A102 55226 339 SH SOLE 0 0 339 NEW CL A 571903202 49720 200 SH SOLE 0 0 200 COM 57164Y107 1249 17 SH SOLE 0 0 17 COM 571748102 63804 286 SH SOLE 0 0 286 COM 573874104 211239 2929 SH SOLE 0 0 2929 CL A 57636Q104 375288 760 SH SOLE 0 0 760 COM 577081102 29813 1565 SH SOLE 0 0 1565 COM NON VTG 579780206 1235 15 SH SOLE 0 0 15 COM 580135101 1018992 3346 SH SOLE 0 0 3346 COM 58155Q103 7416 15 SH SOLE 0 0 15 COM 552690109 40430 1475 SH SOLE 0 0 1475 COM 58463J304 6512 1113 SH SOLE 0 0 1113 SHS G5960L103 349586 3883 SH SOLE 0 0 3883 COM 58733R102 2052 1 SH SOLE 0 0 1 COM 58933Y105 730418 6432 SH SOLE 0 0 6432 CL A 30303M102 1844974 3223 SH SOLE 0 0 3223 COM 59151K108 1034 25 SH SOLE 0 0 25 COM 59156R108 123225 1494 SH SOLE 0 0 1494 COM 592770101 48560 4000 SH SOLE 0 0 4000 COM 595017104 3051 38 SH SOLE 0 0 38 COM 595112103 38373 370 SH SOLE 0 0 370 COM 594918104 4156717 9660 SH SOLE 0 0 9660 COM 607828100 2435236 18339 SH SOLE 0 0 18339 CL B 60871R209 4026 70 SH SOLE 0 0 70 CL A 609207105 88109 1196 SH SOLE 0 0 1196 CL A 60937P106 1622 6 SH SOLE 0 0 6 COM NEW 617446448 104136 999 SH SOLE 0 0 999 MOTLEY FOOL GBL 74933W635 11354 358 SH SOLE 0 0 358 COM 553498106 6100319 34399 SH SOLE 0 0 34399 COM 55380K109 158964 3813 SH SOLE 0 0 3813 COM 631103108 219030 3000 SH SOLE 0 0 3000 SPONSORED ADR NE 636274409 3484 50 SH SOLE 0 0 50 COM NEW 638842302 2374942 414475 SH SOLE 0 0 414475 COM 64110D104 25443 206 SH SOLE 0 0 206 COM 64110L106 46103 65 SH SOLE 0 0 65 DEPOSITORY RCPT 644206104 2430080 30376 SH SOLE 0 0 30376 COM 651639106 32177 602 SH SOLE 0 0 602 COM NEW 65340G205 202459 32394 SH SOLE 0 0 32394 COM 65341D102 1584 36 SH SOLE 0 0 36 COM 65339F101 541415 6405 SH SOLE 0 0 6405 COM UNIT PART IN 65341B106 2762 100 SH SOLE 0 0 100 COM 65406E102 68854 720 SH SOLE 0 0 720 CL B 654106103 184579 2088 SH SOLE 0 0 2088 COM 65473P105 34650 1000 SH SOLE 0 0 1000 ORD SHS G6564A105 23291 1222 SH SOLE 0 0 1222 COM 655844108 447300 1800 SH SOLE 0 0 1800 COM 664121100 264500 10000 SH SOLE 0 0 10000 COM 666762109 866534 12167 SH SOLE 0 0 12167 COM 666807102 28516 54 SH SOLE 0 0 54 COM NEW 670002401 316 25 SH SOLE 0 0 25 ADR 670100205 26434 222 SH SOLE 0 0 222 COM 670346105 259487 1726 SH SOLE 0 0 1726 COM 67077M108 34651 721 SH SOLE 0 0 721 COM 67073B106 219052 27144 SH SOLE 0 0 27144 COM 67066G104 567611 4674 SH SOLE 0 0 4674 COM 62944T105 9812 1 SH SOLE 0 0 1 COM 671807105 27 1 SH SOLE 0 0 1 COM 67401P405 73395 4500 SH SOLE 0 0 4500 COM 674599105 30254 587 SH SOLE 0 0 587 *W EXP 08/03/202 674599162 921 31 SH SOLE 0 0 31 COM 675234108 143552 7722 SH SOLE 0 0 7722 SHS BEN INT 67623C109 10163 4662 SH SOLE 0 0 4662 CL A 679295105 892 12 SH SOLE 0 0 12 COM 679580100 4767 24 SH SOLE 0 0 24 COM 65373J209 975373 153602 SH SOLE 0 0 153602 COM 680033107 597344 32012 SH SOLE 0 0 32012 COM 680223104 194810 5500 SH SOLE 0 0 5500 COM 681919106 7651 74 SH SOLE 0 0 74 COM 682189105 8786 121 SH SOLE 0 0 121 NEW COM 682680103 785632 8621 SH SOLE 0 0 8621 COM 68389X105 519038 3046 SH SOLE 0 0 3046 COMMON STOCK 68622V106 10273 537 SH SOLE 0 0 537 COM 68629Y103 680 170 SH SOLE 0 0 170 COM 688239201 2505 25 SH SOLE 0 0 25 COM 68902V107 141982 1366 SH SOLE 0 0 1366 COM 69047Q102 55550 1450 SH SOLE 0 0 1450 NEW COM 690732102 6276 400 SH SOLE 0 0 400 COM 693718108 23190 235 SH SOLE 0 0 235 DEVELOPED MRKT 69374H873 53992 1707 SH SOLE 0 0 1707 PAC ASSET FLTG 69374H428 2375 50 SH SOLE 0 0 50 US CASH COWS 100 69374H881 83688 1447 SH SOLE 0 0 1447 PACER US SMALL 69374H857 66990 1440 SH SOLE 0 0 1440 COM 697435105 191066 559 SH SOLE 0 0 559 COM 698813102 4848 90 SH SOLE 0 0 90 COM 92556H206 6149 579 SH SOLE 0 0 579 COM 700885106 1994174 95415 SH SOLE 0 0 95415 COM 70319R109 234137 14773 SH SOLE 0 0 14773 COM NEW 70336F203 285762 150401 SH SOLE 0 0 150401 COM 70450Y103 12641 162 SH SOLE 0 0 162 COM 707569109 18860 1000 SH SOLE 0 0 1000 COM 70805E109 1785 50 SH SOLE 0 0 50 COM 70959W103 75525 465 SH SOLE 0 0 465 SHS G7S00T104 196 2 SH SOLE 0 0 2 COM 713448108 1738735 10225 SH SOLE 0 0 10225 COM 714167103 2959388 227996 SH SOLE 0 0 227996 COM 717081103 2146733 74179 SH SOLE 0 0 74179 COM 69331C108 237359 12006 SH SOLE 0 0 12006 PGIM ULTRA SH BD 69344A107 2141 43 SH SOLE 0 0 43 COM NEW 71715X104 4 2 SH SOLE 0 0 2 COM 718172109 436433 3595 SH SOLE 0 0 3595 COM 718546104 187147 1424 SH SOLE 0 0 1424 ACTIVE BD ETF 72201R775 1199068 12674 SH SOLE 0 0 12674 COM 72200M108 7649 1218 SH SOLE 0 0 1218 ENHNCD LW DUR AC 72201R718 704192 7338 SH SOLE 0 0 7338 ENHAN SHRT MA AC 72201R833 1611 16 SH SOLE 0 0 16 CL A 72352L106 324 10 SH SOLE 0 0 10 COM 724479100 3565 500 SH SOLE 0 0 500 UNIT LTD PARTN 726503105 158727 9138 SH SOLE 0 0 9138 COM 729273102 32624 800 SH SOLE 0 0 800 COM 693475105 293727 1589 SH SOLE 0 0 1589 COM 73278L105 1884 5 SH SOLE 0 0 5 COM 73933H101 415 550 SH SOLE 0 0 550 COM 69351T106 3870 117 SH SOLE 0 0 117 CL A 74051N102 720 36 SH SOLE 0 0 36 COM 74144T108 12854 118 SH SOLE 0 0 118 COM 742718109 829457 4789 SH SOLE 0 0 4789 COM 74316X101 1008 600 SH SOLE 0 0 600 COM 74340W103 2526 20 SH SOLE 0 0 20 LARGE CAP CRE 74347R248 217690 3330 SH SOLE 0 0 3330 MSCI EMRG MKTS 74347B847 2603 55 SH SOLE 0 0 55 MSCI EUR DIV 74347B540 52835 1009 SH SOLE 0 0 1009 RUSS 2000 DIVD 74347B698 138312 1997 SH SOLE 0 0 1997 S&P 500 DV ARIST 74348A467 136119 1275 SH SOLE 0 0 1275 S&P MDCP 400 DIV 74347B680 229066 2801 SH SOLE 0 0 2801 COM 744320102 264846 2187 SH SOLE 0 0 2187 COM NEW 744375205 578 250 SH SOLE 0 0 250 COM 69370C100 542 3 SH SOLE 0 0 3 COM 745867101 9904 69 SH SOLE 0 0 69 COM 74736L109 798 10 SH SOLE 0 0 10 QUADRTC INT RT 500767736 1136 59 SH SOLE 0 0 59 COM 747525103 724513 4261 SH SOLE 0 0 4261 COM 74762E102 1491 5 SH SOLE 0 0 5 COM CL A 74767V109 719 125 SH SOLE 0 0 125 COM 75508B104 38520 4500 SH SOLE 0 0 4500 COM 754907103 14159 440 SH SOLE 0 0 440 CL A 755408101 1630 1000 SH SOLE 0 0 1000 COM 756109104 452946 7142 SH SOLE 0 0 7142 COM 758075402 43825 5669 SH SOLE 0 0 5669 SPONSORED ADR 759530108 5410 114 SH SOLE 0 0 114 COM 759720105 4240 2000 SH SOLE 0 0 2000 COM 76118Y104 16777 833 SH SOLE 0 0 833 COM 761152107 488 2 SH SOLE 0 0 2 COM 76131D103 169987 2357 SH SOLE 0 0 2357 SPONSORED ADR 767204100 2847 40 SH SOLE 0 0 40 COM 769397100 87135 18500 SH SOLE 0 0 18500 COM CL A 76954A103 5352 477 SH SOLE 0 0 477 CUM CONV PFD A 74965L200 67808 2600 SH SOLE 0 0 2600 CL A 74967R106 108804 4287 SH SOLE 0 0 4287 COM CL A 770700102 117 5 SH SOLE 0 0 5 CL A 771049103 1107 25 SH SOLE 0 0 25 COM 773903109 2416 9 SH SOLE 0 0 9 COM CL A 77543R102 7466 100 SH SOLE 0 0 100 COM 776696106 5564 10 SH SOLE 0 0 10 COM 778296103 3612 24 SH SOLE 0 0 24 ROUNDHILL BALL 53656F417 33590 2490 SH SOLE 0 0 2490 COM 780087102 46774 375 SH SOLE 0 0 375 COM 780287108 2806 20 SH SOLE 0 0 20 COM 75513E101 402130 3319 SH SOLE 0 0 3319 COM 78349D107 10875 220 SH SOLE 0 0 220 COM 79466L302 78828 288 SH SOLE 0 0 288 SPONSORED ADR 80105N105 4034 70 SH SOLE 0 0 70 COM STK 806857108 257993 6150 SH SOLE 0 0 6150 COM 808513105 22943 354 SH SOLE 0 0 354 INT-TRM U.S TRES 808524854 557 11 SH SOLE 0 0 11 INTERNL DIVID 808524672 73538 2810 SH SOLE 0 0 2810 US REIT ETF 808524847 2780 120 SH SOLE 0 0 120 US DIVIDEND EQ 808524797 229885 2720 SH SOLE 0 0 2720 US TIPS ETF 808524870 1448 27 SH SOLE 0 0 27 COM 808625107 836 6 SH SOLE 0 0 6 COM G7997W102 26825 675 SH SOLE 0 0 675 COM 816851109 7025 84 SH SOLE 0 0 84 NEW CL A 817070501 1328003 21306 SH SOLE 0 0 21306 COM 817565104 4025 51 SH SOLE 0 0 51 COM 81762P102 23254 26 SH SOLE 0 0 26 SPON ADS 780259305 48737 739 SH SOLE 0 0 739 CL A 82509L107 3206 40 SH SOLE 0 0 40 COM 82657M105 14175 2250 SH SOLE 0 0 2250 SPONSORED ADR 82706C108 1944 32 SH SOLE 0 0 32 COM 82835P103 24035 5500 SH SOLE 0 0 5500 NEW COM 828806109 90764 537 SH SOLE 0 0 537 COM CL A 83067L208 56 10 SH SOLE 0 0 10 COM NEW 83190L208 828479 28431 SH SOLE 0 0 28431 COM 832156103 142642 4272 SH SOLE 0 0 4272 COM NEW 832696405 15195 125 SH SOLE 0 0 125 CL A 83304A106 1070 100 SH SOLE 0 0 100 CL A 833445109 689 6 SH SOLE 0 0 6 CLASS A COM 83422N105 2025 1500 SH SOLE 0 0 1500 SHS 83444M101 47340 679 SH SOLE 0 0 679 COM 83600C103 1591 1315 SH SOLE 0 0 1315 COM 842587107 101272 1123 SH SOLE 0 0 1123 COM 843878307 571394 18594 SH SOLE 0 0 18594 COM 844741108 26371 890 SH SOLE 0 0 890 BLOOMBERG 1-3 MO 78468R663 23136 252 SH SOLE 0 0 252 BBG CONV SEC ETF 78464A359 11489 150 SH SOLE 0 0 150 BLOOMBERG INVT 78468R200 17307 561 SH SOLE 0 0 561 SPDR TR TACTIC 78467V848 48024 1160 SH SOLE 0 0 1160 GOLD SHS 78463V107 49584 204 SH SOLE 0 0 204 ICE PFD SEC ETF 78464A292 4921 138 SH SOLE 0 0 138 SPDR MSCI USA GE 78468R747 2045 18 SH SOLE 0 0 18 NUVEEN BLOOMBERG 78464A284 3678 140 SH SOLE 0 0 140 PORTFOLIO DEVLPD 78463X889 22498 599 SH SOLE 0 0 599 COMPOSITE STOCK MARKET ETF 78464A805 21298 304 SH SOLE 0 0 304 PORTFOLIO S&P400 78464A847 1312 24 SH SOLE 0 0 24 PORTFOLIO S&P500 78464A854 50295 745 SH SOLE 0 0 745 PORTFLO S&P500 GW 78464A409 82940 1000 SH SOLE 0 0 1000 PRTFLO S&P500 HI 78468R788 15658 343 SH SOLE 0 0 343 PORTFOLIO S&P500 78468R853 31265 687 SH SOLE 0 0 687 PORTFOLIO SHORT 78464A474 17472 577 SH SOLE 0 0 577 TR UNIT 78462F103 255323 445 SH SOLE 0 0 445 S&P BK ETF 78464A797 26088 493 SH SOLE 0 0 493 S&P BIOTECH 78464A870 5236 53 SH SOLE 0 0 53 S&P DIVID ETF 78464A763 152693 1075 SH SOLE 0 0 1075 S&P HOMEBUILD 78464A888 872 7 SH SOLE 0 0 7 S&P METALS MNG 78464A755 55819 876 SH SOLE 0 0 876 UTSER1 S&PDCRP 78467Y107 3988 7 SH SOLE 0 0 7 COM 84920Y106 13550 5000 SH SOLE 0 0 5000 SHS L8681T102 5528 15 SH SOLE 0 0 15 COM NEW 852066208 15159 350 SH SOLE 0 0 350 TR UNIT 85208R101 124899 5100 SH SOLE 0 0 5100 TR UNIT 85207K107 107635 10300 SH SOLE 0 0 10300 COM 85209E109 475 1000 SH SOLE 0 0 1000 COM 101507101 169202 10709 SH SOLE 0 0 10709 COM 85254J102 938 24 SH SOLE 0 0 24 COM CL A 85256A109 405054 57700 SH SOLE 0 0 57700 COM 854502101 26982 245 SH SOLE 0 0 245 COM 855244109 631053 6473 SH SOLE 0 0 6473 COM 85571B105 2486 122 SH SOLE 0 0 122 COM 857477103 380421 4300 SH SOLE 0 0 4300 LTD PRTRSHIP U 85814R107 338042 8255 SH SOLE 0 0 8255 COM 858912108 2440 40 SH SOLE 0 0 40 COM 863667101 6141 17 SH SOLE 0 0 17 COM 864159108 335774 8056 SH SOLE 0 0 8056 COM 866264203 1930563 228469 SH SOLE 0 0 228469 COM 866674104 811 6 SH SOLE 0 0 6 COM UT REP LP 86765K109 14010 261 SH SOLE 0 0 261 NEW COM 867892101 144480 14000 SH SOLE 0 0 14000 COMMON STOCK 871332102 15232 177 SH SOLE 0 0 177 COM 871829107 18500 237 SH SOLE 0 0 237 SPONSORED ADS 874039100 22403 129 SH SOLE 0 0 129 COM 87538X105 8 2 SH SOLE 0 0 2 COM 876030107 3758 80 SH SOLE 0 0 80 COM 87612E106 122974 789 SH SOLE 0 0 789 COM 87807B107 7560 159 SH SOLE 0 0 159 ORD SHS G87052109 4077 27 SH SOLE 0 0 27 TECHNOLOGY 81369Y803 325094 1440 SH SOLE 0 0 1440 COM NEW 878739200 2355 750 SH SOLE 0 0 750 CL B 878742204 33747 646 SH SOLE 0 0 646 COM 879360105 3939 9 SH SOLE 0 0 9 ADR 87936R205 2075 202 SH SOLE 0 0 202 COM 88076W103 1214 40 SH SOLE 0 0 40 COM 880770102 1071 8 SH SOLE 0 0 8 COM 88160R101 75088 287 SH SOLE 0 0 287 COM 882508104 230945 1118 SH SOLE 0 0 1118 COM 88262P102 45122 51 SH SOLE 0 0 51 COM 882681109 883 5 SH SOLE 0 0 5 COM 883203101 709 8 SH SOLE 0 0 8 COM 125523100 36376 105 SH SOLE 0 0 105 COM CL A 88339J105 12062 110 SH SOLE 0 0 110 COM 883556102 51341 83 SH SOLE 0 0 83 COM 88677Q109 98850 15000 SH SOLE 0 0 15000 COM 88688T100 708 402 SH SOLE 0 0 402 COM 887389104 65325 775 SH SOLE 0 0 775 COM NEW 888314705 5 1 SH SOLE 0 0 1 NEW COM 872540109 19394 165 SH SOLE 0 0 165 CL A 87256C101 3093 25 SH SOLE 0 0 25 COM 872590104 43650 212 SH SOLE 0 0 212 COM 891092108 867 10 SH SOLE 0 0 10 COM NEW 891160509 54277 858 SH SOLE 0 0 858 SPONSORED ADS 89151E109 11050 171 SH SOLE 0 0 171 ADS 892331307 22678 127 SH SOLE 0 0 127 ACTIVEBETA US LG 381430503 31397 278 SH SOLE 0 0 278 COM 892356106 15419 53 SH SOLE 0 0 53 SHS G8994E103 9718 25 SH SOLE 0 0 25 COM NEW 893617209 120918 4200 SH SOLE 0 0 4200 SHS H8817H100 476 112 SH SOLE 0 0 112 COMPANIES INC COM 89417E109 291284 1244 SH SOLE 0 0 1244 COM 896095106 115965 2719 SH SOLE 0 0 2719 COM 896239100 559 9 SH SOLE 0 0 9 COM 89832Q109 143066 3345 SH SOLE 0 0 3345 COM 25400Q105 804 50 SH SOLE 0 0 50 COM 90353T100 33070 440 SH SOLE 0 0 440 COM 90278Q108 249299 1900 SH SOLE 0 0 1900 CL A 90364P105 75494 5898 SH SOLE 0 0 5898 COM 90384S303 778 2 SH SOLE 0 0 2 COM 90400D108 6833 123 SH SOLE 0 0 123 COM 903002103 1813456 92194 SH SOLE 0 0 92194 CL C 904311206 125 15 SH SOLE 0 0 15 ADR NEW 904767704 44822 690 SH SOLE 0 0 690 COM 907818108 1524232 6184 SH SOLE 0 0 6184 COM 90984P303 1163 40 SH SOLE 0 0 40 CL B 911312106 539826 3959 SH SOLE 0 0 3959 COM 911363109 17004 21 SH SOLE 0 0 21 COM 911460103 87666 10065 SH SOLE 0 0 10065 NEW COM 912909108 102457 2900 SH SOLE 0 0 2900 COM 91324P102 610991 1045 SH SOLE 0 0 1045 COM 91332U101 56550 2500 SH SOLE 0 0 2500 COM 91680M107 1000 25 SH SOLE 0 0 25 COM NEW 902973304 504213 11026 SH SOLE 0 0 11026 COM 912008109 6519 106 SH SOLE 0 0 106 COM 918204108 738 37 SH SOLE 0 0 37 COM 91879Q109 3834 22 SH SOLE 0 0 22 CL A G9460G101 154706 2775 SH SOLE 0 0 2775 *W EXP 04/29/202 G9460G119 16800 2000 SH SOLE 0 0 2000 COM 91913Y100 4591 34 SH SOLE 0 0 34 COM 92047W101 3097 74 SH SOLE 0 0 74 GOLD MINERS ETF 92189F106 35639 895 SH SOLE 0 0 895 DIV APP ETF 921908844 2597025 13112 SH SOLE 0 0 13112 ENERGY ETF 92204A306 612350 5000 SH SOLE 0 0 5000 ESG US STK ETF 921910733 61803 608 SH SOLE 0 0 608 ALLWRLD EX US 922042775 2520 40 SH SOLE 0 0 40 FTSE SMCAP ETF 922042718 5038 40 SH SOLE 0 0 40 VAN FTSE DEV MKT 921943858 274117 5191 SH SOLE 0 0 5191 FTSE EMR MKT ETF 922042858 146217 3056 SH SOLE 0 0 3056 GLB EX US ETF 922042676 5066 108 SH SOLE 0 0 108 GROWTH ETF 922908736 1144520 2981 SH SOLE 0 0 2981 HIGH DIV YLD 921946406 173070 1350 SH SOLE 0 0 1350 INF TECH ETF 92204A702 33432 57 SH SOLE 0 0 57 INTERMED TERM 921937819 7053 90 SH SOLE 0 0 90 INT-TERM CORP 92206C870 419 5 SH SOLE 0 0 5 INTER TERM TREAS 92206C706 2658 44 SH SOLE 0 0 44 LARGE CAP ETF 922908637 233538 887 SH SOLE 0 0 887 LONG TERM TREAS 92206C847 2215 36 SH SOLE 0 0 36 MEGA GRWTH IND 921910816 15454 48 SH SOLE 0 0 48 MID CAP ETF 922908629 363326 1377 SH SOLE 0 0 1377 MCAP VL IDXVIP 922908512 8216 49 SH SOLE 0 0 49 REAL ESTATE ETF 922908553 35266 362 SH SOLE 0 0 362 VNG RUS1000GRW 92206C680 5791 60 SH SOLE 0 0 60 VNG RUS1000VAL 92206C714 3500 42 SH SOLE 0 0 42 S&P 500 ETF SHS 922908363 339292 643 SH SOLE 0 0 643 500 GRTH IDX F 921932505 1381 4 SH SOLE 0 0 4 SHORT TRM BOND 921937827 21010 267 SH SOLE 0 0 267 SHRT TRM CORP BD 92206C409 107058 1348 SH SOLE 0 0 1348 STRM INFPROIDX 922020805 2959 60 SH SOLE 0 0 60 SM CP VAL ETF 922908611 28712 143 SH SOLE 0 0 143 SMALL CP ETF 922908751 219458 925 SH SOLE 0 0 925 SML CP GRW ETF 922908595 54543 204 SH SOLE 0 0 204 TOTAL BND MRKT 921937835 22458 299 SH SOLE 0 0 299 TOTAL INT BD ETF 92203J407 12972 258 SH SOLE 0 0 258 VG TL INTL STK F 921909768 48231 745 SH SOLE 0 0 745 TOTAL STK MKT 922908769 1777678 6278 SH SOLE 0 0 6278 VALUE ETF 922908744 738669 4231 SH SOLE 0 0 4231 COM 92243G108 43308 379 SH SOLE 0 0 379 COM 92276F100 7952 124 SH SOLE 0 0 124 SHS 92338C103 89488 800 SH SOLE 0 0 800 COM 92345Y106 3216 12 SH SOLE 0 0 12 COMMUNICATIONS INC COM 92343V104 1124167 25032 SH SOLE 0 0 25032 COM 92532F100 10232 22 SH SOLE 0 0 22 COM 92556V106 22836 1967 SH SOLE 0 0 1967 COM 925550105 162 18 SH SOLE 0 0 18 COM CL A 92645B103 314561 5678 SH SOLE 0 0 5678 SHORT TRM BD ETF 92647N535 8434 166 SH SOLE 0 0 166 COM CL A 92826C839 3720971 13533 SH SOLE 0 0 13533 SPONSORED ADR 92857W308 12445 1242 SH SOLE 0 0 1242 COM 928881101 43693 1295 SH SOLE 0 0 1295 COM 929089100 1822 23 SH SOLE 0 0 23 COM 929160109 24793 99 SH SOLE 0 0 99 COM 929740108 547 3 SH SOLE 0 0 3 COM 938824109 2893 83 SH SOLE 0 0 83 COM 931427108 8064 900 SH SOLE 0 0 900 COM 931142103 648584 8032 SH SOLE 0 0 8032 COM SER A 934423104 18851 2285 SH SOLE 0 0 2285 COM 94106B101 3934 22 SH SOLE 0 0 22 COM 94106L109 736565 3548 SH SOLE 0 0 3548 COM 92939U106 9618 100 SH SOLE 0 0 100 NEW COM 949746101 262923 4654 SH SOLE 0 0 4654 COM 95040Q104 323276 2525 SH SOLE 0 0 2525 CL A NEW 957541204 8344 5600 SH SOLE 0 0 5600 COM 957638109 4152 48 SH SOLE 0 0 48 COM 958102105 1639 24 SH SOLE 0 0 24 COM 959802109 2088 175 SH SOLE 0 0 175 COM NEW 962166104 4233 125 SH SOLE 0 0 125 COM 962879102 4581 75 SH SOLE 0 0 75 CL A 968223206 1637426 33936 SH SOLE 0 0 33936 CL B 968223305 586072 12134 SH SOLE 0 0 12134 COM 969457100 617051 13517 SH SOLE 0 0 13517 EM EX ST-OWNED 97717X578 2180 66 SH SOLE 0 0 66 EUROPE HEDGED EQ 97717X701 365306 8136 SH SOLE 0 0 8136 FLOATING RAT TREA 97717Y527 499575 9948 SH SOLE 0 0 9948 INDIA ERNGS FD 97717W422 18166 360 SH SOLE 0 0 360 US HIGH DIVIDEND 97717W208 158522 1690 SH SOLE 0 0 1690 SHS 92942W107 3970 232 SH SOLE 0 0 232 SPONSORED ADR 980228308 52 3 SH SOLE 0 0 3 CL A 98138H101 219969 900 SH SOLE 0 0 900 SHS 98138J305 2 2 SH SOLE 0 0 2 COM 98419M100 3106 23 SH SOLE 0 0 23 COM 98850P109 8869 197 SH SOLE 0 0 197 COM 98942X102 140 200 SH SOLE 0 0 200 SHS M9T951109 16679 650 SH SOLE 0 0 650 COM 98956P102 1943 18 SH SOLE 0 0 18 COM 989701107 1842 39 SH SOLE 0 0 39 CL A 98978V103 9769 50 SH SOLE 0 0 50 COM 98980G102 1709 10 SH SOLE 0 0 10