0001606587-21-000535.txt : 20210503 0001606587-21-000535.hdr.sgml : 20210503 20210503134228 ACCESSION NUMBER: 0001606587-21-000535 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210503 DATE AS OF CHANGE: 20210503 EFFECTIVENESS DATE: 20210503 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CALTON & ASSOCIATES, INC. CENTRAL INDEX KEY: 0000822648 IRS NUMBER: 592845944 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18259 FILM NUMBER: 21882606 BUSINESS ADDRESS: STREET 1: 2701 N ROCKY POINT DRIVE STREET 2: SUITE 1000 CITY: TAMPA STATE: FL ZIP: 33607 BUSINESS PHONE: 813-264-0440 MAIL ADDRESS: STREET 1: 2701 N ROCKY POINT DRIVE STREET 2: SUITE 1000 CITY: TAMPA STATE: FL ZIP: 33607 FORMER COMPANY: FORMER CONFORMED NAME: CALTON & ASSOCIATES INC /BD DATE OF NAME CHANGE: 20020215 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000822648 XXXXXXXX 03-31-2021 03-31-2021 false Calton & Associates, Inc.

2701 N Rocky Point Drive Suite 1000 Tampa FL 33607

13F HOLDINGS REPORT 028-18259 N Ramu Singh 813-264-0440 Ramu Singh Tampa FL 05-03-2021 0 397 513739 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COMPANY COM 88579Y101 509 2639 SH SOLE NONE 0 0 2639 ABBOTT LABORATORIES COM 002824100 865 7214 SH SOLE NONE 0 0 7214 ABBVIE INC COM USD0.01 COM 00287Y109 1140 10538 SH SOLE NONE 0 0 10538 ACCELERON PHARMA COM USD0.001 COM 00434H108 304 2239 SH SOLE NONE 0 0 2239 ACCENTURE PLC CLS A USD0.0000225 SHS CLASS A G1151C101 336 1215 SH SOLE NONE 0 0 1215 ADOBE SYS INC COM 00724F101 1154 2427 SH SOLE NONE 0 0 2427 ADVANCED MICRO DEVICES INC COM COM 007903107 632 8048 SH SOLE NONE 0 0 8048 AES CORP COM 00130H105 246 9166 SH SOLE NONE 0 0 9166 AFLAC INC COM 001055102 328 6412 SH SOLE NONE 0 0 6412 AGILENT TECH INC COM 00846U101 474 3728 SH SOLE NONE 0 0 3728 AIR LEASE CORP USD0.01 CL A 00912X302 204 4156 SH SOLE NONE 0 0 4156 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1036 4567 SH SOLE NONE 0 0 4567 ALLOGENE 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CAPITAL ONE FINANCIAL CORP COM 14040H105 553 4345 SH SOLE NONE 0 0 4345 CATERPILLAR INC COM 149123101 347 1494 SH SOLE NONE 0 0 1494 CEL SCI CORP COM PAR 0.01 COM PAR NEW 150837607 427 28100 SH SOLE NONE 0 0 28100 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 15234Q207 267 43801 SH SOLE NONE 0 0 43801 CHEVRON CORP NEW COM COM 166764100 1336 12744 SH SOLE NONE 0 0 12744 CISCO SYS INC COM COM 17275R102 845 16345 SH SOLE NONE 0 0 16345 CITIGROUP INC COM NEW COM NEW 172967424 277 3802 SH SOLE NONE 0 0 3802 COCA COLA CO COM 191216100 602 11423 SH SOLE NONE 0 0 11423 COGNIZANT TECH SOLUTIONS CORP CL A 192446102 223 2857 SH SOLE NONE 0 0 2857 COMCAST CORP NEW CL A CL A 20030N101 446 8245 SH SOLE NONE 0 0 8245 CONSTELLATION BRANDS INC CL A CL A 21036P108 518 2271 SH SOLE NONE 0 0 2271 CORNING INC COM 219350105 253 5813 SH SOLE NONE 0 0 5813 COSTCO WHOLESALE CORP COM 22160K105 617 1749 SH SOLE NONE 0 0 1749 CUMMINS INC COM 231021106 501 1931 SH SOLE NONE 0 0 1931 CVS HEALTH CORP COM COM 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SH SOLE NONE 0 0 5795 EATON CORP PLC COM SHS G29183103 383 2769 SH SOLE NONE 0 0 2769 EATON VANCE MUN INCOME TR SH BEN INT SH BEN INT 27826U108 214 15548 SH SOLE NONE 0 0 15548 EMERSON ELECTRIC CO COM 291011104 241 2672 SH SOLE NONE 0 0 2672 ENTERGY CORP NEW COM 29364G103 396 3980 SH SOLE NONE 0 0 3980 EVERGY INC COM COM 30034W106 253 4251 SH SOLE NONE 0 0 4251 EVERSOURCE ENERGY COM COM 30040W108 457 5283 SH SOLE NONE 0 0 5283 EXACT SCIENCES CORP COM 30063P105 249 1890 SH SOLE NONE 0 0 1890 EXELON CORP COM 30161N101 234 5356 SH SOLE NONE 0 0 5356 EXXON MOBIL CORPORATION 3 COM 30231G102 1314 28439 SH SOLE NONE 0 0 28439 FACEBOOK INC COM USD0.000006 CL A CL A 30303M102 902 3061 SH SOLE NONE 0 0 3061 FEDEX CORP COM COM 31428X106 393 1382 SH SOLE NONE 0 0 1382 FIDELITY COVINGTON TR NEW MILLENNIUM COMMON STOCK NEW MILLENNIUM 316092360 214 7755 SH SOLE NONE 0 0 7755 FIDELITY NASDAQ COMPOSITE INDEX TRACKING STOCK NASDAQ COMPSIT 315912808 448 872 SH SOLE NONE 0 0 872 FIRST TR EXCHANGE TRADED 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NEW 33739Q408 2732 45548 SH SOLE NONE 0 0 45548 FIRST TRUST FST LOW OPPT EFT E TF FST LOW OPPT EFT 33739Q200 481 9430 SH SOLE NONE 0 0 9430 FIRST TRUST NASDAQ 100 EQUAL W EIGHT INDEX SHS 337344105 201 1945 SH SOLE NONE 0 0 1945 First Trust Senior Loan Fund Loan SENIOR LN FD 33738D309 361 7536 SH SOLE NONE 0 0 7536 FIRST TRUST WATER ETF FORMERLY FIRST TRUST ISE WATER INDEX WTR ETF 33733B100 359 4585 SH SOLE NONE 0 0 4585 FIVE BELOW INC COM COM 33829M101 308 1615 SH SOLE NONE 0 0 1615 FLEXSHARES TRUST READY ACCESS VAR READY ACC VARI 33939L886 476 6250 SH SOLE NONE 0 0 6250 FORD MTR CO DEL COM COM 345370860 242 19773 SH SOLE NONE 0 0 19773 FORTIS INC COM COM 349553107 254 5848 SH SOLE NONE 0 0 5848 FS KKR CAP CORP II COM COM 35952V303 371 18974 SH SOLE NONE 0 0 18974 FS KKR CAPITAL CORP COM COM 302635206 258 13010 SH SOLE NONE 0 0 13010 FULTON FINL CORP PA COM 360271100 207 12176 SH SOLE NONE 0 0 12176 GENERAL DYNAMICS CRP COM 369550108 239 1313 SH SOLE NONE 0 0 1313 GENERAL ELECTRIC CO COM 369604103 234 17857 SH SOLE NONE 0 0 17857 GENERAL MILLS INC COM 370334104 239 3899 SH SOLE NONE 0 0 3899 GILEAD SCIENCES INC COM 375558103 228 3529 SH SOLE NONE 0 0 3529 GLAXOSMITHKLINE ADR EACH CNV INTO 2 ORD GBP0.25 SPONSORED ADR 37733W105 333 9317 SH SOLE NONE 0 0 9317 GLOBAL BLOOD THERAPEUTICS INC COM COM 37890U108 252 6188 SH SOLE NONE 0 0 6188 GLOBAL X FDS GLOBAL X LITHIUM ETF LITHIUM BTRY ETF 37954Y855 387 6619 SH SOLE NONE 0 0 6619 GOLDMAN SACHS GROUP 6.300 COM 38141G104 305 1346 SH SOLE NONE 0 0 1346 GRANITESHARES GOLD TR SHS BEN INT SHS BEN INT 38748G101 864 50902 SH SOLE NONE 0 0 50902 GUARDANT HEALTH INC COM COM 40131M109 271 1773 SH SOLE NONE 0 0 1773 HEWLETT PACKARD ENTERPRISE CO COM COM 42824C109 228 14496 SH SOLE NONE 0 0 14496 HOME DEPOT INC COM COM 437076102 3178 10412 SH SOLE NONE 0 0 10412 HONEYWELL INTL INC COM 438516106 839 3863 SH SOLE NONE 0 0 3863 HORIZON PHARMA PLC ISIN IE00BQPVQZ61 SHS G46188101 349 3794 SH SOLE NONE 0 0 3794 INSMED INCORPORATED COM COM PAR $.01 457669307 306 8988 SH SOLE NONE 0 0 8988 INTEL CORP COM 458140100 655 10226 SH SOLE NONE 0 0 10226 INTL BUSINESS MACH COM 459200101 797 5981 SH SOLE NONE 0 0 5981 INTUIT INCORPORATED COM COM 461202103 472 1231 SH SOLE NONE 0 0 1231 INVESCO BULLETSHARES 2022 HI YIELD CORP BOND ETF BULSHS 2022 HY 46138J874 463 19821 SH SOLE NONE 0 0 19821 INVESCO BULLETSHARES 2024 CO BULSHS 2024 CB 46138J841 310 13965 SH SOLE NONE 0 0 13965 INVESCO BULLETSHARES 2025 CO BULSHS 2025 CB 46138J825 306 13834 SH SOLE NONE 0 0 13834 INVESCO BULLETSHARES 2026 CO BULSHS 2026 CB 46138J791 320 15005 SH SOLE NONE 0 0 15005 INVESCO BULLETSHARES 2027 CO BULSHS 2027 CB 46138J783 282 13070 SH SOLE NONE 0 0 13070 INVESCO BUYBACK ACHIEVERS ETF BUYBACK ACHIEV 46137V308 627 7448 SH SOLE NONE 0 0 7448 INVESCO DWA CONSUMER STAPLE MOMENTUM ETF DWA STAPLES 46137V886 811 8753 SH SOLE NONE 0 0 8753 INVESCO DWA HEALTHCARE MOMENTUM ETF DWA HEALTHCARE 46137V852 1676 10670 SH SOLE NONE 0 0 10670 INVESCO DWA MOMENTUM ETF DWA MOMENTUM 46137V837 994 11677 SH SOLE NONE 0 0 11677 INVESCO EXCH TRADED FD TR II NASDAQNXTGEN100 COMMON STOCK NASDAQNXTGEN100 46138G631 367 11530 SH SOLE NONE 0 0 11530 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 423 16704 SH SOLE NONE 0 0 16704 INVESCO EXCHANGE TRADED FD TR DWA INDLS MUMT COMMON STOCK DWA INDLS MUMT 46137V845 960 9391 SH SOLE NONE 0 0 9391 INVESCO HIGH YIELD EQTY DIVIDEND ACHIEVERS ETF HIG YLD EQ DIV 46137V563 281 13889 SH SOLE NONE 0 0 13889 INVESCO INTERNATIONAL DIV ACHIEVERS ETF INTL DIVI ACHI 46137V548 194 11610 SH SOLE NONE 0 0 11610 INVESCO NAT AMT-FREE MUNI BOND ETF NATL AMT MUNI 46138E537 1802 67357 SH SOLE NONE 0 0 67357 INVESCO PREFERRED ETF PFD ETF 46138E511 951 63417 SH SOLE NONE 0 0 63417 INVESCO QQQ TRUST UNIT SER 1 46090E103 11229 35186 SH SOLE NONE 0 0 35186 INVESCO SP 500 EQUAL WEIGHT ETF S&P500 EQL WGT 46137V357 442 3121 SH SOLE NONE 0 0 3121 INVESCO SP 500 HIGH DIVID LOW VOLATILITY ETF S&P500 HDL VOL 46138E362 346 8072 SH SOLE NONE 0 0 8072 INVESCO SP 500 LOW VOLATILITY ETF S&P500 LOW VOL 46138E354 338 5815 SH SOLE NONE 0 0 5815 INVESCO SP MIDCAP LOW VOLATILITY ETF S&P MIDCP LOW 46138E198 2525 48227 SH SOLE NONE 0 0 48227 INVESCO SP SMALLCALL LOW VOLATILITY ETF S&P SMLCP LOW 46138G102 1770 38573 SH SOLE NONE 0 0 38573 INVESCO SENIOR LOAN ETF SR LN ETF 46138G508 243 11003 SH SOLE NONE 0 0 11003 INVESCO SOLAR ETF SOLAR ETF 46138G706 213 2320 SH SOLE NONE 0 0 2320 INVESCO ULTRA SHORT DURATION ETF ULTRA SHRT DUR 46090A887 435 8620 SH SOLE NONE 0 0 8620 ISHARE EDGE MSCI MIN VOL GLOBAL ETF FORMERLY ISHARES MSCI ALL COUNTRY WORLD MSCI GBL MIN VOL 464286525 1177 11927 SH SOLE NONE 0 0 11927 ISHARES CALIFORNIA MUNI BOND ETF CALIF MUN BD ETF 464288356 300 4824 SH SOLE NONE 0 0 4824 ISHARES CHINA LARGE CAP ETF CHINA LG-CAP ETF 464287184 230 4937 SH SOLE NONE 0 0 4937 ISHARES CORE GROWTH ALLOCATION ETF GRWT ALLOCAT ETF 464289867 3399 63452 SH SOLE NONE 0 0 63452 ISHARES CORE INTL STOCK ETF CORE MSCI TOTAL 46432F834 4947 70388 SH SOLE NONE 0 0 70388 ISHARES CORE SP 500 ETF CORE S&P500 ETF 464287200 15286 38423 SH SOLE NONE 0 0 38423 ISHARES CORE SP MID-CAP ETF CORE S&P MCP ETF 464287507 12044 46271 SH SOLE NONE 0 0 46271 ISHARES CORE SP SMALL-CAP ETF CORE S&P SCP ETF 464287804 994 9159 SH SOLE NONE 0 0 9159 ISHARES CORE SP TOTAL US STOCK MARKET ETF CORE S&P TTL STK 464287150 31807 347238 SH SOLE NONE 0 0 347238 ISHARES CORE SP US GROWTH ETF CORE S&P US GWT 464287671 5295 58319 SH SOLE NONE 0 0 58319 ISHARES CORE U.S. AGGREGATE BOND ETF CORE US AGGBD ET 464287226 7889 69306 SH SOLE NONE 0 0 69306 ISHARES CORE US REIT ETF CRE U S REIT ETF 464288521 410 7828 SH SOLE NONE 0 0 7828 ISHARES EDGE MSCI MIN VOL EAFE ETF MSCI EAFE MIN VL 46429B689 2171 29742 SH SOLE NONE 0 0 29742 ISHARES EDGE MSCI MIN VOL USA ETF MSCI USA MIN VOL 46429B697 4307 62255 SH SOLE NONE 0 0 62255 ISHARES EDGE MSCI USA QUALITY FACTOR ETF MSCI USA QLT FCT 46432F339 767 6302 SH SOLE NONE 0 0 6302 ISHARES GOLD TRUST ISHARES ISIN US4642851053 SEDOL B0SF3S5 ISHARES 464285105 3202 196909 SH SOLE NONE 0 0 196909 ISHARES IBOXX INVESTMENT GRADE CORPORATE BOND ETF IBOXX INV CP ETF 464287242 477 3670 SH SOLE NONE 0 0 3670 ISHARES INC CORE MSCI EMERGING MKTS ETF CORE MSCI EMKT 46434G103 11202 174052 SH SOLE NONE 0 0 174052 ISHARES MORNINGSTAR MID-CAP MRGSTR MD CP GRW 464288307 1213 3208 SH SOLE NONE 0 0 3208 ISHARES MORNINGSTAR SMALL - CAP MRGSTR SM CP GR 464288604 1185 3943 SH SOLE NONE 0 0 3943 ISHARES MSCI BRAZIL ETF MSCI BRAZIL ETF 464286400 300 8971 SH SOLE NONE 0 0 8971 ISHARES MSCI CANADA ETF MSCI CDA ETF 464286509 398 11690 SH SOLE NONE 0 0 11690 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 13636 179730 SH SOLE NONE 0 0 179730 ISHARES MSCI EMERGING MARKETS ETF MSCI EMG MKT ETF 464287234 783 14687 SH SOLE NONE 0 0 14687 ISHARES NASDAQ BIOTECHNOLOGY ETF NASDAQ BIOTECH 464287556 588 3907 SH SOLE NONE 0 0 3907 ISHARES NATIONAL MUNI BOND ETF NATIONAL MUN ETF 464288414 2365 20378 SH SOLE NONE 0 0 20378 ISHARES RUSSELL 1000 GROWTH ETF RUS 1000 GRW ETF 464287614 20090 82662 SH SOLE NONE 0 0 82662 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 14905 98350 SH SOLE NONE 0 0 98350 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 9624 43557 SH SOLE NONE 0 0 43557 ISHARES SP 100 ETF S&P 100 ETF 464287101 337 1875 SH SOLE NONE 0 0 1875 ISHARES SP 500 GROWTH ETF S&P 500 GRWT ETF 464287309 2235 34330 SH SOLE NONE 0 0 34330 ISHARES SP SMALLCAP GROWTH ETF S&P SML 600 GWT 464287887 903 7040 SH SOLE NONE 0 0 7040 ISHARES SELECT DIVIDEND ETF SELECT DIVID ETF 464287168 1049 9194 SH SOLE NONE 0 0 9194 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF SHRT NAT MUN ETF 464288158 883 8189 SH SOLE NONE 0 0 8189 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 2985 23788 SH SOLE NONE 0 0 23788 ISHARES TR BARCLAYS 1-3 YR TREAS BD FD 1 3 YR TREAS BD 464287457 861 9988 SH SOLE NONE 0 0 9988 ISHARES TR BARCLAYS SHORT TREAS BD FD SHORT TREAS BD 464288679 8061 72943 SH SOLE NONE 0 0 72943 ISHARES TR IBOXX HI YD ETF IBOXX HI YD ETF 464288513 1555 17836 SH SOLE NONE 0 0 17836 ISHARES TR JP MOR EM MK ETF JPMORGAN USD EMG 464288281 412 3781 SH SOLE NONE 0 0 3781 ISHARES TR RUS MID-CAP ETF RUS MID CAP ETF 464287499 602 8145 SH SOLE NONE 0 0 8145 ISHARES TR SP GLOBAL CLEAN ENERGY INDEX GL CLEAN ENE ETF 464288224 284 11685 SH SOLE NONE 0 0 11685 ISHARES TR SP GLOBAL CONSUMER STAPLES INDEX GLB CNSM STP ETF 464288737 633 10899 SH SOLE NONE 0 0 10899 ISHARES TR SP GSSI TECHNOLOGY INDEX FD EXPND TEC SC ETF 464287549 998 2765 SH SOLE NONE 0 0 2765 ISHARES TR U.S. AERDEF ETF US AER DEF ETF 464288760 598 5741 SH SOLE NONE 0 0 5741 ISHARES TR U.S. PFD STK ETF PFD AND INCM SEC 464288687 1241 32328 SH SOLE NONE 0 0 32328 ISHARES TRUST CORE DIVID GWTH CORE DIV GRWTH 46434V621 1366 28289 SH SOLE NONE 0 0 28289 ISHARES TRUST CORE MSCI EAFE ETF CORE MSCI EAFE 46432F842 1674 23239 SH SOLE NONE 0 0 23239 ISHARES TRUST CORE TOTAL USD B OND MRKT ETF CORE TOTAL USD 46434V613 27050 512801 SH SOLE NONE 0 0 512801 ISHARES TRUST FLOATING RATE BD ETF FLTG RATE NT ETF 46429B655 449 8843 SH SOLE NONE 0 0 8843 ISHARES TRUST MSCI EUROPE FINANCIALS ISIN US4642891802 SEDOL B633900 MSCI EURO FL ETF 464289180 249 12931 SH SOLE NONE 0 0 12931 ISHARES TRUST MSCI INDIA INDEX FD MSCI INDIA ETF 46429B598 936 22186 SH SOLE NONE 0 0 22186 ISHARES TRUST MSCI USA MOMENTUM FACTOR ETF MSCI USA MMENTM 46432F396 773 4806 SH SOLE NONE 0 0 4806 ISHARES U S CONSUMER GOODS ETF U.S. CNSM GD ETF 464287812 568 3212 SH SOLE NONE 0 0 3212 ISHARES U S ENERGY ETF U.S. ENERGY ETF 464287796 4060 154797 SH SOLE NONE 0 0 154797 iShares U.S. Industrials US INDUSTRIALS 464287754 418 3956 SH SOLE NONE 0 0 3956 ISHARES US TECHNOLOGY ETF U.S. TECH ETF 464287721 444 5058 SH SOLE NONE 0 0 5058 JOHNSON JOHNSON COM 478160104 1372 8346 SH SOLE NONE 0 0 8346 JPMORGAN CHASE CO 4.203 COM 46625H100 2233 19633 SH SOLE NONE 0 0 19633 JPMORGAN ULTRA-SHORT INCOME ULTRA SHRT INC 46641Q837 582 11457 SH SOLE NONE 0 0 11457 KAMADA ORD ILS1.00 SHS M6240T109 119 19150 SH SOLE NONE 0 0 19150 L BRANDS INC COM COM 501797104 422 6827 SH SOLE NONE 0 0 6827 LILLY ELI CO COM NPV COM 532457108 502 2688 SH SOLE NONE 0 0 2688 LINDE PLC SH SHS G5494J103 239 854 SH SOLE NONE 0 0 854 LOCKHEED MARTIN CORP COM 539830109 870 2353 SH SOLE NONE 0 0 2353 LOWES COS INC COM COM 548661107 643 3382 SH SOLE NONE 0 0 3382 MAIN STREET CAPITAL CORP COM COM 56035L104 317 8105 SH SOLE NONE 0 0 8105 MARRIOTT INTL INC CL A CL A 571903202 211 1424 SH SOLE NONE 0 0 1424 MASTERCARD INCORPORATED CL A CL A 57636Q104 750 2105 SH SOLE NONE 0 0 2105 MCDONALDS CORP COM 580135101 1031 4599 SH SOLE NONE 0 0 4599 MEDTRONIC PLC USD0.0001 SHS G5960L103 562 4756 SH SOLE NONE 0 0 4756 MERCK CO INC NEW COM COM 58933Y105 900 11674 SH SOLE NONE 0 0 11674 METLIFE INC 5.625 PFD SE COM 59156R108 599 17122 SH SOLE NONE 0 0 17122 MICRON TECHNOLOGY COM 595112103 656 7433 SH SOLE NONE 0 0 7433 MICROSOFT CORP COM 594918104 5844 24787 SH SOLE NONE 0 0 24787 MODERNA INC COM COM 60770K107 428 3267 SH SOLE NONE 0 0 3267 MONDELEZ INTL INC COM CL A 609207105 320 5465 SH SOLE NONE 0 0 5465 MONROE CAPITAL CORP COM 610335101 107 10657 SH SOLE NONE 0 0 10657 MORGAN STANLEY COM NEW 617446448 313 4036 SH SOLE NONE 0 0 4036 NATIONAL HEALTHCARE CORP COM 635906100 2842 36477 SH SOLE NONE 0 0 36477 NEOGENOMICS INC COM NEW COM NEW 64049M209 255 5285 SH SOLE NONE 0 0 5285 NETFLIX COM INC COM COM 64110L106 431 826 SH SOLE NONE 0 0 826 NEUROCRINE BIOSCIENCES INC COM 64125C109 229 2351 SH SOLE NONE 0 0 2351 NEW MTN FIN CORP COM COM 647551100 175 14133 SH SOLE NONE 0 0 14133 NEW YORK MTG TR INC COM PAR COM PAR $.02 649604501 67 15091 SH SOLE NONE 0 0 15091 NEXPOINT RESIDENTIAL TR INC COM COM 65341D102 210 4560 SH SOLE NONE 0 0 4560 NEXTERA ENERGY INC COM COM 65339F101 1101 14559 SH SOLE NONE 0 0 14559 NIKE INC CLASS B CL B 654106103 426 3205 SH SOLE NONE 0 0 3205 NISOURCE INC COM 65473P105 247 10227 SH SOLE NONE 0 0 10227 NORFOLK SOUTHERN CRP COM 655844108 380 1415 SH SOLE NONE 0 0 1415 NORTHROP GRUMMAN CORP HOLDING CO COM 666807102 346 1067 SH SOLE NONE 0 0 1067 NRG ENERGY INC COM NEW COM NEW 629377508 238 6318 SH SOLE NONE 0 0 6318 NUCOR CORP COM COM 670346105 285 3552 SH SOLE NONE 0 0 3552 NVIDIA CORP COM 67066G104 1856 3475 SH SOLE NONE 0 0 3475 OAKTREE SPECIALTY LENDING CORP COM COM 67401P108 150 24173 SH SOLE NONE 0 0 24173 OMEROS CORP COM COM 682143102 263 14797 SH SOLE NONE 0 0 14797 ONEOK INC COM 682680103 240 4743 SH SOLE NONE 0 0 4743 ORACLE CORP COM COM 68389X105 608 8657 SH SOLE NONE 0 0 8657 PALANTIR TECHNOLOGIES INC CL A 69608A108 315 13512 SH SOLE NONE 0 0 13512 PALATIN TECHNOLOGIES INC COM PAR .01 COM PAR $ .01 696077403 23 34000 SH SOLE NONE 0 0 34000 PAYCHEX INC COM COM 704326107 443 4523 SH SOLE NONE 0 0 4523 PAYPAL HLDGS INC COM COM 70450Y103 1109 4566 SH SOLE NONE 0 0 4566 PEPSICO INC COM 713448108 363 2564 SH SOLE NONE 0 0 2564 PFIZER INC COM 717081103 1060 29247 SH SOLE NONE 0 0 29247 PHILIP MORRIS INTL INC COM COM 718172109 352 3969 SH SOLE NONE 0 0 3969 PIMCO ETF TR ENHANCED SHORT MAT ACTIVE ETF ENHAN SHRT MA AC 72201R833 940 9221 SH SOLE NONE 0 0 9221 PIMCO ETF TRUST TOTAL RETURN ACTIVE EXCH-TRADED FUND ACTIVE BD ETF 72201R775 3386 30929 SH SOLE NONE 0 0 30929 PNC FINL SVCS GROUP COM 693475105 758 4321 SH SOLE NONE 0 0 4321 PORTMAN RIDGE FIN CORP COM 73688F102 41 18788 SH SOLE NONE 0 0 18788 PROCTER AND GAMBLE CO COM COM 742718109 973 7187 SH SOLE NONE 0 0 7187 PROSPECT CAP CORP COM 74348T102 85 11127 SH SOLE NONE 0 0 11127 PUBLIC SERVICE ENTERPRISE GROUP INC COM 744573106 681 11310 SH SOLE NONE 0 0 11310 PUTNAM MANAGED MUN INCOME TR COM 746823103 112 13683 SH SOLE NONE 0 0 13683 Q2 HLDGS INC COM COM 74736L109 1436 14335 SH SOLE NONE 0 0 14335 QUALCOMM INC COM 747525103 611 4604 SH SOLE NONE 0 0 4604 RAYMOND JAMES FINL INC COM 754730109 222 1810 SH SOLE NONE 0 0 1810 RAYTHEON TECHNOLOGIES CORP COM COM 75513E101 231 2993 SH SOLE NONE 0 0 2993 RBB FD INC MOTLEY FOL ETF MOTLEY FOL ETF 74933W601 634 17809 SH SOLE NONE 0 0 17809 RBB FUND INC MFAF SMALL CAP GR OWTH ETF MFAM SMLCP GRWTH 74933W874 333 8887 SH SOLE NONE 0 0 8887 REPLIGEN CORP COM COM 759916109 252 1297 SH SOLE NONE 0 0 1297 RESMED INC COM 761152107 307 1580 SH SOLE NONE 0 0 1580 RETROPHIN INC COM 89422G107 252 10098 SH SOLE NONE 0 0 10098 SP GLOBAL INC COM 78409V104 628 1780 SH SOLE NONE 0 0 1780 SALESFORCE COM INC COM 79466L302 529 2498 SH SOLE NONE 0 0 2498 SCHWAB SHORT TERM US TREA SHT TM US TRES 808524862 1223 23835 SH SOLE NONE 0 0 23835 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 5236 54522 SH SOLE NONE 0 0 54522 SCHWAB STRATEGIC TR SCHWAB FUNDAMENTAL U SCHWAB FDT US LG 808524771 226 4382 SH SOLE NONE 0 0 4382 SCHWAB STRATEGIC TR US DIVIDEND EQUITY ETF US DIVIDEND EQ 808524797 453 6213 SH SOLE NONE 0 0 6213 SCHWAB STRATEGIC TR US LARGE CAP GROWTH ETF US LCAP GR ETF 808524300 587 4522 SH SOLE NONE 0 0 4522 SCHWAB STRATEGIC TR US SMALL-CAP ETF US SML CAP ETF 808524607 405 4065 SH SOLE NONE 0 0 4065 SECTOR SPDR TR SHS BEN INT ENERGY ENERGY 81369Y506 249 5076 SH SOLE NONE 0 0 5076 SECTOR SPDR TR SHS BEN INT FINANCIAL SBI INT-FINL 81369Y605 808 23726 SH SOLE NONE 0 0 23726 SECTOR SPDR TR SHS BEN INT TECHNOLOGY TECHNOLOGY 81369Y803 2177 16389 SH SOLE NONE 0 0 16389 SECTOR SPDR TR SHS BEN INT UTILITIES SBI INT-UTILS 81369Y886 253 3951 SH SOLE NONE 0 0 3951 SELECT SECTOR SPDR TR HEALTH CARE FORMERLY CONSUMER SVCS TO 06242002 SBI HEALTHCARE 81369Y209 4319 36994 SH SOLE NONE 0 0 36994 SHOPIFY INC NPV SUBORDINATED A ISIN CA82509L1076 SEDOL BX865C7 CL A 82509L107 862 779 SH SOLE NONE 0 0 779 SKYWORKS SOLUTIONS INC COM COM 83088M102 292 1593 SH SOLE NONE 0 0 1593 SOLAR SENIOR CAPITAL LTD COM 83416M105 156 10638 SH SOLE NONE 0 0 10638 SOUTHERN CO COM 842587107 279 4488 SH SOLE NONE 0 0 4488 SOUTHWEST AIRLNS CO COM 844741108 673 11026 SH SOLE NONE 0 0 11026 SPDR BBG BARC 1-3 MONTH T SPDR BLOOMBERG 78468R663 1816 19851 SH SOLE NONE 0 0 19851 SPDR BLACKSTONEGSO SENIOR LOAN BLACKSTONE SENR 78467V608 3410 74547 SH SOLE NONE 0 0 74547 SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1 UT SER 1 78467X109 725 2195 SH SOLE NONE 0 0 2195 SPDR GOLD TR GOLD SHS GOLD SHS 78463V107 925 5783 SH SOLE NONE 0 0 5783 SPDR INDEX SHS FDS EURO STOXX 50 ETF EURO STOXX 50 78463X202 756 16988 SH SOLE NONE 0 0 16988 SPDR PRTFOLIO EMERGING MARKETS ETF PORTFOLIO EMG MK 78463X509 648 14790 SH SOLE NONE 0 0 14790 SPDR PRTFOLIO WORLD EX-US ETF PORTFOLIO DEVLPD 78463X889 431 12178 SH SOLE NONE 0 0 12178 SPDR SP 500 ETF TRUST UNIT SER 1 SP TR UNIT 78462F103 7141 18018 SH SOLE NONE 0 0 18018 SPDR SP HEALTH CARE EQUIPMENT ETF HLTH CR EQUIP 78464A581 229 1915 SH SOLE NONE 0 0 1915 SPDR SP MIDCAP 400 ETF TR UTSER1 SPDCRP UTSER1 S&PDCRP 78467Y107 2272 4773 SH SOLE NONE 0 0 4773 SPDR SER TR BLOMBERG BRC INV BLOMBERG BRC INV 78468R200 3167 103377 SH SOLE NONE 0 0 103377 SPDR SER TR BLOOMBERG SRT TR BLOOMBERG SRT TR 78468R408 915 33488 SH SOLE NONE 0 0 33488 SPDR SER TR DB INTL GOVT INFLATION- PROTECTED FTSE INT GVT ETF 78464A490 622 11194 SH SOLE NONE 0 0 11194 SPDR SER TR DJ WILSHIRE MID CAP GROWTH ETF S&P 400 MDCP GRW 78464A821 1105 14708 SH SOLE NONE 0 0 14708 SPDR SER TR DJ WILSHIRE SMALL CAP VALUE ETF S&P 600 SMCP VAL 78464A300 1645 20065 SH SOLE NONE 0 0 20065 SPDR SER TR NUVEEN BLMBRG SR NUVEEN BLMBRG SR 78468R739 289 5835 SH SOLE NONE 0 0 5835 SPDR SER TR SP DIVID ETF S&P DIVID ETF 78464A763 385 3260 SH SOLE NONE 0 0 3260 SPDR SER TR SP METALS MNG ETF S&P METALS MNG 78464A755 419 10508 SH SOLE NONE 0 0 10508 SPDR SER TR SP REGL BKG ETF S&P REGL BKG 78464A698 1022 15408 SH SOLE NONE 0 0 15408 SPDR SER TR SP500 HIGH DIV PRTFLO S&P500 HI 78468R788 1494 38803 SH SOLE NONE 0 0 38803 SPDR SERIES TRUST BLMBRG BRC CNVRT BLMBRG BRC CNVRT 78464A359 882 10579 SH SOLE NONE 0 0 10579 SPDR SERIES TRUST BLOOMBERG BRCLYS BLOOMBERG BRCLYS 78468R622 502 4617 SH SOLE NONE 0 0 4617 SPDR SERIES TRUST BLOOMBERG LNG TR PORTFOLIO LN TSR 78464A664 350 8988 SH SOLE NONE 0 0 8988 SPDR SERIES TRUST NUVEEN SP HIGH YLD MUN B ETF NUVEEN BBG BRCLY 78464A284 931 15692 SH SOLE NONE 0 0 15692 SPDR SERIES TRUST PORTFOLIO TL STK ETF PORTFOLI S&P1500 78464A805 1418 28817 SH SOLE NONE 0 0 28817 SPDR SERIES TRUST SP 500 GROWTH ETF PRTFLO S&P500 GW 78464A409 282 4996 SH SOLE NONE 0 0 4996 SPECIAL OPPORTUNITIES FUND COM 84741T104 198 13516 SH SOLE NONE 0 0 13516 SQUARE INC CL A CL A 852234103 369 1625 SH SOLE NONE 0 0 1625 SSGA ACTIVE ETF TR SPDR TR TACTIC SPDR TR TACTIC 78467V848 1669 34611 SH SOLE NONE 0 0 34611 STARBUCKS CORP COM USD0.001 COM 855244109 297 2714 SH SOLE NONE 0 0 2714 STRATEGY SHARES NS 7HANDL IDX ETF NS 7HANDL IDX 86280R506 208 8398 SH SOLE NONE 0 0 8398 STRYKER CORP COM 863667101 442 1813 SH SOLE NONE 0 0 1813 SURGALIGN HOLDINGS INC COM 86882C105 54 24579 SH SOLE NONE 0 0 24579 TARGET CORP COM COM 87612E106 1108 5591 SH SOLE NONE 0 0 5591 TCP CAP CORP COM COM 09259E108 198 14284 SH SOLE NONE 0 0 14284 TESLA MOTORS INC COM USD0.001 COM 88160R101 1541 2307 SH SOLE NONE 0 0 2307 TEXAS INSTRUMENTS INC COM 882508104 396 2092 SH SOLE NONE 0 0 2092 THERAPEUTICS MD INC COM 88338N107 16 12000 SH SOLE NONE 0 0 12000 THERMO FISHER SCIENTIFIC INC COM 883556102 254 557 SH SOLE NONE 0 0 557 TORONTO-DOMINION BANK COM NPV SEDOL 2897222 COM NEW 891160509 289 4426 SH SOLE NONE 0 0 4426 TRADE DESK INCTHE -CLASS A COM CL A 88339J105 286 439 SH SOLE NONE 0 0 439 TWILIO INC CL A CL A 90138F102 248 727 SH SOLE NONE 0 0 727 UGI CORP NEW COM 902681105 267 6514 SH SOLE NONE 0 0 6514 UNION PACIFIC CORP COM 907818108 398 1804 SH SOLE NONE 0 0 1804 UNITED CONTINENTAL HOLDINGS INC COM USD0.01 COM 910047109 570 9904 SH SOLE NONE 0 0 9904 UNITED PARCEL SVC INC CL B CL B 911312106 254 1496 SH SOLE NONE 0 0 1496 UNITEDHEALTH GROUP INC COM COM 91324P102 793 2130 SH SOLE NONE 0 0 2130 UNIVERSAL DISPLAY CORP COM 91347P105 481 2032 SH SOLE NONE 0 0 2032 Van Eck Vectors ETF Trust Floating Rate INVT GRADE FLTG 92189F486 1031 40618 SH SOLE NONE 0 0 40618 VANECK VECTORS ETF TR GOLD MINERS ETF GOLD MINERS ETF 92189F106 751 23122 SH SOLE NONE 0 0 23122 VANECK VECTORS ETF TR JP MORGAN MKTS JP MORGAN MKTS 92189H300 393 12794 SH SOLE NONE 0 0 12794 VANECK VECTORS HIGH-YIELD MUNICIPAL ETF HIGH YLD MUN ETF 92189H409 312 5025 SH SOLE NONE 0 0 5025 VANGUARD BD INDEX FD INC INTERMEDIATE TERM BD ETF INTERMED TERM 921937819 1049 11825 SH SOLE NONE 0 0 11825 VANGUARD BD INDEX FD INC SHORT TERM BD ETF SHORT TRM BOND 921937827 2145 26092 SH SOLE NONE 0 0 26092 VANGUARD BD INDEX FD INC TOTAL BD MARKET ETF TOTAL BND MRKT 921937835 2819 33278 SH SOLE NONE 0 0 33278 VANGUARD CHARLOTTE TOTAL INTL BD INDEX FD ETF INTL BD IDX ETF 92203J407 1824 31927 SH SOLE NONE 0 0 31927 VANGUARD FTSE DEVELOPED MARKET ETF FTSE DEV MKT ETF 921943858 2889 58820 SH SOLE NONE 0 0 58820 VANGUARD INDEX FDS MIDCAP GROWTH INDEX VIPER SHS MCAP GR IDXVIP 922908538 299 1394 SH SOLE NONE 0 0 1394 VANGUARD INDEX FDS SP 500 ETF NEW S&P 500 ETF SHS 922908363 1443 3962 SH SOLE NONE 0 0 3962 VANGUARD INDEX FDS VANGUARD GROWTH ETF FORMERLY VANGUARD INDEX TR VIPERS GROWTH ETF 922908736 2735 10641 SH SOLE NONE 0 0 10641 VANGUARD INDEX FDS VANGUARD REIT ETF FORMERLY VANGUARD INDEX TR TO 052401 REIT VIPER SHS REAL ESTATE ETF 922908553 1293 14078 SH SOLE NONE 0 0 14078 VANGUARD INDEX FDS VANGUARD SMALL CAP GROWTH VIPERS FORMERLY VANGUARD INDEX TR SML CP GRW ETF 922908595 277 1010 SH SOLE NONE 0 0 1010 VANGUARD INDEX FDS VANGUARD SMALL CAP VALUE VIPERS FORMERLY VANGUARD INDEX TR SM CP VAL ETF 922908611 480 2896 SH SOLE NONE 0 0 2896 VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETF TOTAL STK MKT 922908769 657 3177 SH SOLE NONE 0 0 3177 VANGUARD INDEX FDS VANGUARD VALUE ETF FORMERLY VANGUARD INDEX TR VALUE ETF 922908744 763 5806 SH SOLE NONE 0 0 5806 VANGUARD INTERM-TERM GOVT BD INTER TERM TREAS 92206C706 253 3765 SH SOLE NONE 0 0 3765 VANGUARD INTL EQUITY INDEX FUND INC FTSE EMERGING MARKETS ETF FTSE EMR MKT ETF 922042858 2104 40416 SH SOLE NONE 0 0 40416 VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHS STRM INFPROIDX 922020805 657 12739 SH SOLE NONE 0 0 12739 VANGUARD SP 500 GRW ETF 500 GRTH IDX F 921932505 3348 14250 SH SOLE NONE 0 0 14250 VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FD ETF SHS SHRT TRM CORP BD 92206C409 1046 12680 SH SOLE NONE 0 0 12680 VANGUARD SECTOR INDEX FDS VANGUARD CONSUMER STAPLES VIPERS CONSUM STP ETF 92204A207 3147 17657 SH SOLE NONE 0 0 17657 VANGUARD SECTOR INDEX FDS VANGUARD ENERGY VIPERS ENERGY ETF 92204A306 650 9558 SH SOLE NONE 0 0 9558 VANGUARD SECTOR INDEX FDS VANGUARD FINLS VIPERS FINANCIALS ETF 92204A405 4365 51655 SH SOLE NONE 0 0 51655 VANGUARD SECTOR INDEX FDS VANGUARD HEALTH CARE VIPERS HEALTH CAR ETF 92204A504 2582 11288 SH SOLE NONE 0 0 11288 VANGUARD SECTOR INDEX FDS VANGUARD INDLS VIPERS INDUSTRIAL ETF 92204A603 678 3583 SH SOLE NONE 0 0 3583 VANGUARD SECTOR INDEX FDS VANGUARD UTILS VIPERS UTILITIES ETF 92204A876 1631 11608 SH SOLE NONE 0 0 11608 VANGUARD TAX-EXEMPT BOND TAX EXEMPT BD 922907746 339 6203 SH SOLE NONE 0 0 6203 VANGUARD WORLD FD MEGA CAP 300 INDEX ETF MEGA CAP INDEX 921910873 2157 15384 SH SOLE NONE 0 0 15384 VANGUARD WORLD FD MEGA CAP GROWTH ETF MEGA GRWTH IND 921910816 444 2142 SH SOLE NONE 0 0 2142 VANGUARD WORLD FD MEGA CAP VALUE ETF MEGA CAP VAL ETF 921910840 323 3396 SH SOLE NONE 0 0 3396 VERIZON COMMUNICATIONS COM 92343V104 1887 32455 SH SOLE NONE 0 0 32455 VICTORY PORTFOLIOS II CEMP US EQ INCOM VCSHS US EQ INCM 92647N824 1165 18691 SH SOLE NONE 0 0 18691 VICTORYSHARES US 500 ENHANCED VOLATILITY WTD ETF VCSHS US 500 ENH 92647N782 1848 27509 SH SOLE NONE 0 0 27509 VICTORYSHARES US 500 VOLATILITY WTD ETF VCSHS US 500 VOL 92647N766 316 4708 SH SOLE NONE 0 0 4708 VICTORYSHARES US LARGE CAP HIGH DIV VOLATILITY WTD ETF VCSHS US LRG CAP 92647N865 208 3796 SH SOLE NONE 0 0 3796 VISA INC COM CL A COM CL A 92826C839 1418 6695 SH SOLE NONE 0 0 6695 VISTRA ENERGY CORP COM 92840M102 207 11735 SH SOLE NONE 0 0 11735 WAL-MART STORES INC COM COM 931142103 1073 7901 SH SOLE NONE 0 0 7901 WASTE MANAGEMENT INC COM 94106L109 329 2549 SH SOLE NONE 0 0 2549 WELLS FARGO COMPANY COM USD1.666 COM 949746101 328 8383 SH SOLE NONE 0 0 8383 WISDOMTREE TR BRCLYS US AGGR YIELD ENHANCD US 97717X511 229 4474 SH SOLE NONE 0 0 4474 WISDOMTREE TR INTL SMALLCAP DIVID FD INTL SMCAP DIV 97717W760 307 4256 SH SOLE NONE 0 0 4256 WISDOMTREE TR MIDCAP DIVID FD US MIDCAP DIVID 97717W505 464 11472 SH SOLE NONE 0 0 11472 WISDOMTREE TR US QUALITY DIVID GROWTH FD US QTLY DIV GRT 97717X669 473 8278 SH SOLE NONE 0 0 8278 WISDOMTREE TRUST JAPAN HEDGE EQT JAPN HEDGE EQT 97717W851 375 6117 SH SOLE NONE 0 0 6117 WW GRAINGER INC COM 384802104 421 1050 SH SOLE NONE 0 0 1050 XCEL ENERGY INC COM COM 98389B100 251 3772 SH SOLE NONE 0 0 3772 ZAI LAB LTD-ADR ADR 98887Q104 260 1945 SH SOLE NONE 0 0 1945