Compliance Officer

0001085146-21-000699.txt : 20210212 0001085146-21-000699.hdr.sgml : 20210212 20210212111314 ACCESSION NUMBER: 0001085146-21-000699 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBOR FINANCIAL SERVICES, LLC CENTRAL INDEX KEY: 0000857602 IRS NUMBER: 200629176 STATE OF INCORPORATION: AL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20735 FILM NUMBER: 21624198 BUSINESS ADDRESS: STREET 1: RSA BATTLEHOUSE TOWER STREET 2: 11 NORTH WATER STREET, STE 21290 CITY: MOBILE STATE: AL ZIP: 36602 BUSINESS PHONE: 251-445-2434 MAIL ADDRESS: STREET 1: RSA BATTLEHOUSE TOWER STREET 2: 11 NORTH WATER STREET, STE 21290 CITY: MOBILE STATE: AL ZIP: 36602 FORMER COMPANY: FORMER CONFORMED NAME: J. ROE BURTON & CO. INC. DATE OF NAME CHANGE: 20040325 FORMER COMPANY: FORMER CONFORMED NAME: HARBOR FINANCIAL SERVICES, LLC DATE OF NAME CHANGE: 20040325 FORMER COMPANY: FORMER CONFORMED NAME: J. ROE BURTON & CO. INC. DATE OF NAME CHANGE: 20040312 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000857602 XXXXXXXX 12-31-2020 12-31-2020 false HARBOR FINANCIAL SERVICES, LLC

RSA BATTLEHOUSE TOWER 11 NORTH WATER STREET, STE 21290 MOBILE AL 36602

13F HOLDINGS REPORT 028-20735 N Jason Fry Compliance Officer 972-284-5478 /s/ Dallas TX 02-11-2021 0 328 231618 INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 3M CO COM 88579Y101 480 2745 SH SOLE 0 0 2745 3M CO COM 88579Y101 0 300 SH Call SOLE 0 0 300 ABBOTT LABS COM 002824100 1212 11066 SH SOLE 0 0 11066 ABBVIE INC COM 00287Y109 2032 18960 SH SOLE 0 0 18960 ACORDA THERAPEUTICS INC COM 00484M106 21 30000 SH SOLE 0 0 30000 ADOBE SYSTEMS INCORPORATED COM 00724F101 412 823 SH SOLE 0 0 823 ADVISORSHARES TR RANGER EQUITY BE 00768Y883 58 19100 SH SOLE 0 0 19100 AEROJET ROCKETDYNE HLDGS INC COM 007800105 1057 20000 SH SOLE 0 0 20000 AFLAC INC COM 001055102 416 9350 SH SOLE 0 0 9350 AGNC INVT CORP COM 00123Q104 282 18057 SH SOLE 0 0 18057 AIR PRODS & CHEMS INC COM 009158106 311 1137 SH SOLE 0 0 1137 ALBEMARLE CORP COM 012653101 230 1560 SH SOLE 0 0 1560 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1357 5829 SH SOLE 0 0 5829 ALLIANZGI DIVIDEND INT & PRM COM 01883A107 153 11400 SH SOLE 0 0 11400 ALLSTATE CORP COM 020002101 373 3390 SH SOLE 0 0 3390 ALPHABET INC CAP STK CL A 02079K305 550 314 SH SOLE 0 0 314 ALPHABET INC CAP STK CL C 02079K107 1133 647 SH SOLE 0 0 647 ALTRIA GROUP INC COM 02209S103 412 10045 SH SOLE 0 0 10045 AMAZON COM INC COM 023135106 5989 1839 SH SOLE 0 0 1839 AMERICAN TOWER CORP NEW COM 03027X100 267 1189 SH SOLE 0 0 1189 AMGEN INC COM 031162100 301 1310 SH SOLE 0 0 1310 ANTARES PHARMA INC COM 036642106 479 120000 SH SOLE 0 0 120000 ANTERO MIDSTREAM CORP COM 03676B102 154 20000 SH SOLE 0 0 20000 APPIAN CORP CL A 03782L101 233 1439 SH SOLE 0 0 1439 APPLE INC COM 037833100 11332 85406 SH SOLE 0 0 85406 APPLE INC COM 037833100 5 1200 SH Call SOLE 0 0 1200 ARK ETF TR INNOVATION ETF 00214Q104 1575 12650 SH SOLE 0 0 12650 ARK ETF TR NEXT GNRTN INTER 00214Q401 374 2554 SH SOLE 0 0 2554 AT&T INC COM 00206R102 1756 61048 SH SOLE 0 0 61048 AT&T INC COM 00206R102 1 1000 SH Call SOLE 0 0 1000 AXON ENTERPRISE INC COM 05464C101 262 2135 SH SOLE 0 0 2135 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 952 4107 SH SOLE 0 0 4107 BEYOND MEAT INC COM 08862E109 212 1693 SH SOLE 0 0 1693 BGC PARTNERS INC CL A 05541T101 107 26813 SH SOLE 0 0 26813 BILIBILI INC SPONS ADS REP Z 090040106 242 2820 SH SOLE 0 0 2820 BK OF AMERICA CORP COM 060505104 501 16531 SH SOLE 0 0 16531 BLACKROCK ENHANCED GLOBAL DI COM 092501105 308 28196 SH SOLE 0 0 28196 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 247 4640 SH SOLE 0 0 4640 BLACKROCK TCP CAPITAL CORP NOTE 4.625% 3/0 87238QAD5 10 10000 PRN SOLE 0 0 10000 BLINK CHARGING CO COM 09354A100 10 10000 SH Put SOLE 0 0 10000 BOEING CO COM 097023105 664 3104 SH SOLE 0 0 3104 BOEING CO COM 097023105 0 1000 SH Call SOLE 0 0 1000 BROADCOM INC COM 11135F101 858 1959 SH SOLE 0 0 1959 BROOKDALE SR LIVING INC COM 112463104 44 10000 SH SOLE 0 0 10000 CATERPILLAR INC COM 149123101 573 3150 SH SOLE 0 0 3150 CDW CORP COM 12514G108 524 3974 SH SOLE 0 0 3974 CHEVRON CORP NEW COM 166764100 1354 16038 SH SOLE 0 0 16038 CHUBB LIMITED COM H1467J104 216 1405 SH SOLE 0 0 1405 CISCO SYS INC COM 17275R102 522 11671 SH SOLE 0 0 11671 CISCO SYS INC COM 17275R102 0 400 SH Call SOLE 0 0 400 CITIGROUP INC COM NEW 172967424 841 13645 SH SOLE 0 0 13645 CLEVER LEAVES HOLDINGS INC COM 186760104 409 45970 SH SOLE 0 0 45970 COCA COLA CO COM 191216100 347 6332 SH SOLE 0 0 6332 COCA COLA CO COM 191216100 1 200 SH Call SOLE 0 0 200 COHEN & STEERS INFRASTRUCTUR COM 19248A109 519 20111 SH SOLE 0 0 20111 COHEN & STEERS QUALITY INCOM COM 19247L106 378 30450 SH SOLE 0 0 30450 COHEN & STEERS REIT & PFD &I COM 19247X100 485 21250 SH SOLE 0 0 21250 COLUMBIA SELIGM PREM TECH GR COM 19842X109 220 8061 SH SOLE 0 0 8061 CONOCOPHILLIPS COM 20825C104 669 16721 SH SOLE 0 0 16721 COSTCO WHSL CORP NEW COM 22160K105 524 1390 SH SOLE 0 0 1390 CROWDSTRIKE HLDGS INC CL A 22788C105 329 1554 SH SOLE 0 0 1554 CVS HEALTH CORP COM 126650100 1088 15931 SH SOLE 0 0 15931 DAVIS FUNDAMENTAL ETF TR SELECT US EQTY 23908L207 1002 34105 SH SOLE 0 0 34105 DIGITAL TURBINE INC COM NEW 25400W102 406 7170 SH SOLE 0 0 7170 DIREXION SHS ETF TR CONNECTED CONSUM 25460G724 516 8635 SH SOLE 0 0 8635 DISNEY WALT CO COM 254687106 1593 8794 SH SOLE 0 0 8794 DISNEY WALT CO COM 254687106 1 2000 SH Call SOLE 0 0 2000 DOLLAR GEN CORP NEW COM 256677105 604 2872 SH SOLE 0 0 2872 DUKE ENERGY CORP NEW COM NEW 26441C204 268 2924 SH SOLE 0 0 2924 DUPONT DE NEMOURS INC COM 26614N102 205 2883 SH SOLE 0 0 2883 EATON CORP PLC SHS G29183103 347 2892 SH SOLE 0 0 2892 EATON VANCE TAX-MANAGED GLOB COM 27829F108 130 14815 SH SOLE 0 0 14815 EMERSON ELEC CO COM 291011104 732 9111 SH SOLE 0 0 9111 ENCORE CAP GROUP INC NOTE 2.875% 3/1 292554AH5 15 15000 PRN SOLE 0 0 15000 ENDO INTL PLC SHS G30401106 126 17532 SH SOLE 0 0 17532 ENERGOUS CORP COM 29272C103 19 10400 SH SOLE 0 0 10400 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 183 29637 SH SOLE 0 0 29637 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 1 2000 SH Call SOLE 0 0 2000 ENPHASE ENERGY INC COM 29355A107 491 2801 SH SOLE 0 0 2801 ENTERPRISE PRODS PARTNERS L COM 293792107 236 12067 SH SOLE 0 0 12067 EQUINIX INC COM 29444U700 225 315 SH SOLE 0 0 315 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 242 4200 SH SOLE 0 0 4200 EXXON MOBIL CORP COM 30231G102 2611 63333 SH SOLE 0 0 63333 FACEBOOK INC CL A 30303M102 2007 7349 SH SOLE 0 0 7349 FASTLY INC CL A 31188V100 264 3021 SH SOLE 0 0 3021 FEDEX CORP COM 31428X106 374 1442 SH SOLE 0 0 1442 FIDELITY COVINGTON TRUST CONSMR STAPLES 316092303 254 6235 SH SOLE 0 0 6235 FIDELITY COVINGTON TRUST MSCI INDL INDX 316092709 351 7476 SH SOLE 0 0 7476 FIDUS INVT CORP COM 316500107 166 12685 SH SOLE 0 0 12685 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 1004 49733 SH SOLE 0 0 49733 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 222 1985 SH SOLE 0 0 1985 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 345 5104 SH SOLE 0 0 5104 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 885 4168 SH SOLE 0 0 4168 FIRST TR EXCHANGE-TRADED FD DORSEYWRIGHT MOM 33738R696 265 10674 SH SOLE 0 0 10674 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 705 13691 SH SOLE 0 0 13691 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 404 8158 SH SOLE 0 0 8158 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 271 1615 SH SOLE 0 0 1615 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 498 12464 SH SOLE 0 0 12464 FIRST TR VALUE LINE DIVID IN SHS 33734H106 907 25874 SH SOLE 0 0 25874 FORD MTR CO DEL COM 345370860 207 23545 SH SOLE 0 0 23545 FREIGHTCAR AMER INC COM 357023100 24 10000 SH SOLE 0 0 10000 FUBOTV INC COM 35953D104 839 29972 SH SOLE 0 0 29972 GABELLI EQUITY TR INC COM 362397101 315 50299 SH SOLE 0 0 50299 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 42 12000 SH SOLE 0 0 12000 GENERAC HLDGS INC COM 368736104 597 2627 SH SOLE 0 0 2627 GENERAL ELECTRIC CO COM 369604103 388 35899 SH SOLE 0 0 35899 GLOBAL X FDS MSCI CHINA CNSMR 37950E408 386 10850 SH SOLE 0 0 10850 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 403 17661 SH SOLE 0 0 17661 GLOBAL X FDS SOCIAL MED ETF 37950E416 352 5700 SH SOLE 0 0 5700 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 357 3566 SH SOLE 0 0 3566 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 971 25433 SH SOLE 0 0 25433 GOLDMAN SACHS ETF TR HEDGE IND ETF 381430545 489 5357 SH SOLE 0 0 5357 GROUPON INC COM NEW 399473206 323 8510 SH SOLE 0 0 8510 HOME DEPOT INC COM 437076102 1650 6210 SH SOLE 0 0 6210 HONEYWELL INTL INC COM 438516106 492 2314 SH SOLE 0 0 2314 HUNTINGTON BANCSHARES INC COM 446150104 226 17869 SH SOLE 0 0 17869 INTEL CORP COM 458140100 395 7931 SH SOLE 0 0 7931 INTERNATIONAL BUSINESS MACHS COM 459200101 508 4034 SH SOLE 0 0 4034 INVESCO EXCH TRADED FD TR II SOLAR ETF 46138G706 326 3177 SH SOLE 0 0 3177 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1324 10383 SH SOLE 0 0 10383 INVESCO QQQ TR UNIT SER 1 46090E103 3329 10612 SH SOLE 0 0 10612 INVESCO QQQ TR UNIT SER 1 46090E103 0 31000 SH Put SOLE 0 0 31000 ISHARES INC MSCI AUST ETF 464286103 635 26495 SH SOLE 0 0 26495 ISHARES TR 0-5YR HI YL CP 46434V407 281 6187 SH SOLE 0 0 6187 ISHARES TR 0-5YR INVT GR CP 46434V100 349 6675 SH SOLE 0 0 6675 ISHARES TR 1 3 YR TREAS BD 464287457 456 5280 SH SOLE 0 0 5280 ISHARES TR 20 YR TR BD ETF 464287432 715 4530 SH SOLE 0 0 4530 ISHARES TR BARCLAYS 7 10 YR 464287440 565 4708 SH SOLE 0 0 4708 ISHARES TR CONV BD ETF 46435G102 217 2246 SH SOLE 0 0 2246 ISHARES TR CORE 1 5 YR USD 46432F859 2214 42878 SH SOLE 0 0 42878 ISHARES TR CORE DIV GRWTH 46434V621 1074 23953 SH SOLE 0 0 23953 ISHARES TR CORE MSCI EAFE 46432F842 365 5278 SH SOLE 0 0 5278 ISHARES TR CORE MSCI TOTAL 46432F834 281 4180 SH SOLE 0 0 4180 ISHARES TR CORE S&P MCP ETF 464287507 725 3156 SH SOLE 0 0 3156 ISHARES TR CORE S&P SCP ETF 464287804 641 6977 SH SOLE 0 0 6977 ISHARES TR CORE S&P TTL STK 464287150 1120 12985 SH SOLE 0 0 12985 ISHARES TR CORE S&P500 ETF 464287200 3244 8641 SH SOLE 0 0 8641 ISHARES TR CORE US AGGBD ET 464287226 1733 14664 SH SOLE 0 0 14664 ISHARES TR EAFE SML CP ETF 464288273 234 3419 SH SOLE 0 0 3419 ISHARES TR IBOXX HI YD ETF 464288513 221 2531 SH SOLE 0 0 2531 ISHARES TR IBOXX INV CP ETF 464287242 1597 11559 SH SOLE 0 0 11559 ISHARES TR INTL SEL DIV ETF 464288448 1118 37928 SH SOLE 0 0 37928 ISHARES TR MRGSTR MD CP GRW 464288307 233 609 SH SOLE 0 0 609 ISHARES TR MSCI EAFE ETF 464287465 422 5778 SH SOLE 0 0 5778 ISHARES TR MSCI EAFE MIN VL 46429B689 267 3642 SH SOLE 0 0 3642 ISHARES TR MSCI EMG MKT ETF 464287234 245 4733 SH SOLE 0 0 4733 ISHARES TR MSCI USA MIN VOL 46429B697 2115 31163 SH SOLE 0 0 31163 ISHARES TR MSCI USA MMENTM 46432F396 1151 7138 SH SOLE 0 0 7138 ISHARES TR NATIONAL MUN ETF 464288414 343 2931 SH SOLE 0 0 2931 ISHARES TR PFD AND INCM SEC 464288687 253 6574 SH SOLE 0 0 6574 ISHARES TR RUS 1000 GRW ETF 464287614 1115 4623 SH SOLE 0 0 4623 ISHARES TR RUS 1000 VAL ETF 464287598 270 1975 SH SOLE 0 0 1975 ISHARES TR RUS 2000 VAL ETF 464287630 370 2808 SH SOLE 0 0 2808 ISHARES TR RUSSELL 2000 ETF 464287655 634 3235 SH SOLE 0 0 3235 ISHARES TR RUSSELL 2000 ETF 464287655 20 105000 SH Put SOLE 0 0 105000 ISHARES TR RUSSELL 3000 ETF 464287689 202 905 SH SOLE 0 0 905 ISHARES TR S&P 100 ETF 464287101 341 1986 SH SOLE 0 0 1986 ISHARES TR S&P 500 GRWT ETF 464287309 795 12463 SH SOLE 0 0 12463 ISHARES TR SELECT DIVID ETF 464287168 835 8677 SH SOLE 0 0 8677 ISHARES TR TIPS BD ETF 464287176 329 2581 SH SOLE 0 0 2581 ISHARES TR U.S. MED DVC ETF 464288810 270 825 SH SOLE 0 0 825 JOHNSON & JOHNSON COM 478160104 877 5570 SH SOLE 0 0 5570 JPMORGAN CHASE & CO COM 46625H100 1608 12657 SH SOLE 0 0 12657 JPMORGAN CHASE & CO COM 46625H100 3 100 SH Call SOLE 0 0 100 KINDER MORGAN INC DEL COM 49456B101 168 12259 SH SOLE 0 0 12259 LAM RESEARCH CORP COM 512807108 848 1796 SH SOLE 0 0 1796 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 309 44756 SH SOLE 0 0 44756 LOCKHEED MARTIN CORP COM 539830109 457 1287 SH SOLE 0 0 1287 LOWES COS INC COM 548661107 295 1839 SH SOLE 0 0 1839 LULULEMON ATHLETICA INC COM 550021109 263 756 SH SOLE 0 0 756 MACYS INC COM 55616P104 113 10000 SH SOLE 0 0 10000 MARATHON OIL CORP COM 565849106 213 31912 SH SOLE 0 0 31912 MARATHON PETE CORP COM 56585A102 412 9961 SH SOLE 0 0 9961 MASTERCARD INCORPORATED CL A 57636Q104 265 743 SH SOLE 0 0 743 MCDONALDS CORP COM 580135101 458 2135 SH SOLE 0 0 2135 MCKESSON CORP COM 58155Q103 283 1628 SH SOLE 0 0 1628 MEDICAL PPTYS TRUST INC COM 58463J304 326 14965 SH SOLE 0 0 14965 MEDTRONIC PLC SHS G5960L103 493 4211 SH SOLE 0 0 4211 MERCK & CO. INC COM 58933Y105 830 10151 SH SOLE 0 0 10151 MICROCHIP TECHNOLOGY INC. COM 595017104 292 2112 SH SOLE 0 0 2112 MICRON TECHNOLOGY INC COM 595112103 234 3115 SH SOLE 0 0 3115 MICRON TECHNOLOGY INC COM 595112103 4 200 SH Call SOLE 0 0 200 MICROSOFT CORP COM 594918104 4692 21095 SH SOLE 0 0 21095 MONEYGRAM INTL INC COM NEW 60935Y208 58 10550 SH SOLE 0 0 10550 MONOLITHIC PWR SYS INC COM 609839105 258 704 SH SOLE 0 0 704 MOTOROLA SOLUTIONS INC COM NEW 620076307 213 1253 SH SOLE 0 0 1253 NCINO INC COM 63947U107 1075 14844 SH SOLE 0 0 14844 NCINO INC COM 63947U107 0 1000 SH Call SOLE 0 0 1000 NETFLIX INC COM 64110L106 409 756 SH SOLE 0 0 756 NEXTERA ENERGY INC COM 65339F101 575 7457 SH SOLE 0 0 7457 NIKE INC CL B 654106103 302 2133 SH SOLE 0 0 2133 NUVEEN DOW 30 DYNAMIC OVERWR SHS 67075F105 356 23414 SH SOLE 0 0 23414 NUVEEN MUN VALUE FD INC COM 670928100 227 20447 SH SOLE 0 0 20447 NUVEEN PFD & INCOME OPPORTUN COM 67073B106 238 25000 SH SOLE 0 0 25000 NVIDIA CORPORATION COM 67066G104 967 1852 SH SOLE 0 0 1852 OI SA SPONSORED ADR NE 670851500 25 12392 SH SOLE 0 0 12392 ONEOK INC NEW COM 682680103 500 13021 SH SOLE 0 0 13021 ORACLE CORP COM 68389X105 316 4882 SH SOLE 0 0 4882 OREILLY AUTOMOTIVE INC COM 67103H107 242 535 SH SOLE 0 0 535 PACER FDS TR TRENDP US LAR CP 69374H105 418 12787 SH SOLE 0 0 12787 PACER FDS TR TRENDP US MID CP 69374H204 200 6146 SH SOLE 0 0 6146 PACER FDS TR TRENDPILOT US BD 69374H642 425 15447 SH SOLE 0 0 15447 PALO ALTO NETWORKS INC COM 697435105 421 1186 SH SOLE 0 0 1186 PAYPAL HLDGS INC COM 70450Y103 417 1779 SH SOLE 0 0 1779 PDC ENERGY INC NOTE 1.125% 9/1 69327RAD3 10 10000 PRN SOLE 0 0 10000 PELOTON INTERACTIVE INC CL A COM 70614W100 578 3810 SH SOLE 0 0 3810 PEPSICO INC COM 713448108 783 5279 SH SOLE 0 0 5279 PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 1058 38168 SH SOLE 0 0 38168 PFIZER INC COM 717081103 779 21168 SH SOLE 0 0 21168 PFIZER INC COM 717081103 0 100 SH Call SOLE 0 0 100 PHILIP MORRIS INTL INC COM 718172109 596 7200 SH SOLE 0 0 7200 PHILLIPS 66 COM 718546104 580 8291 SH SOLE 0 0 8291 PHILLIPS 66 COM 718546104 4 500 SH Call SOLE 0 0 500 PINDUODUO INC SPONSORED ADS 722304102 227 1275 SH SOLE 0 0 1275 PINE IS ACQUISITION CORP UNIT 99/99/9999 722615200 303 29390 SH SOLE 0 0 29390 PPL CORP COM 69351T106 818 29000 SH SOLE 0 0 29000 PROCTER AND GAMBLE CO COM 742718109 664 4770 SH SOLE 0 0 4770 PROSHARES TR S&P 500 DV ARIST 74348A467 523 6553 SH SOLE 0 0 6553 PSYCHEMEDICS CORP COM NEW 744375205 61 12000 SH SOLE 0 0 12000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 339 72847 SH SOLE 0 0 72847 QUALCOMM INC COM 747525103 692 4542 SH SOLE 0 0 4542 QUIDEL CORP COM 74838J101 305 1700 SH SOLE 0 0 1700 RAYTHEON TECHNOLOGIES CORP COM 75513E101 404 5652 SH SOLE 0 0 5652 RAYTHEON TECHNOLOGIES CORP COM 75513E101 10 1200 SH Call SOLE 0 0 1200 REDFIN CORP COM 75737F108 219 3195 SH SOLE 0 0 3195 REDWOOD TR INC NOTE 4.750% 8/1 758075AC9 47 50000 PRN SOLE 0 0 50000 RH COM 74967X103 207 462 SH SOLE 0 0 462 ROKU INC COM CL A 77543R102 598 1800 SH SOLE 0 0 1800 ROYAL BK CDA COM 780087102 410 5000 SH SOLE 0 0 5000 SALESFORCE COM INC COM 79466L302 427 1921 SH SOLE 0 0 1921 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 345 8028 SH SOLE 0 0 8028 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 4798 74803 SH SOLE 0 0 74803 SEA LTD SPONSORD ADS 81141R100 1207 6066 SH SOLE 0 0 6066 SELECT SECTOR SPDR TR ENERGY 81369Y506 223 5891 SH SOLE 0 0 5891 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 511 4505 SH SOLE 0 0 4505 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 932 31608 SH SOLE 0 0 31608 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 560 6322 SH SOLE 0 0 6322 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 280 3872 SH SOLE 0 0 3872 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1765 13574 SH SOLE 0 0 13574 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 4 500 SH Call SOLE 0 0 500 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1 1500 SH Put SOLE 0 0 1500 SERVISFIRST BANCSHARES INC COM 81768T108 685 17000 SH SOLE 0 0 17000 SHOCKWAVE MED INC COM 82489T104 233 2247 SH SOLE 0 0 2247 SHOPIFY INC CL A 82509L107 1278 1129 SH SOLE 0 0 1129 SILVERGATE CAP CORP CL A 82837P408 1711 23026 SH SOLE 0 0 23026 SLACK TECHNOLOGIES INC COM CL A 83088V102 238 5640 SH SOLE 0 0 5640 SOUTHERN CO COM 842587107 2163 35214 SH SOLE 0 0 35214 SPDR GOLD TR GOLD SHS 78463V107 605 3391 SH SOLE 0 0 3391 SPDR S&P 500 ETF TR TR UNIT 78462F103 1511 4042 SH SOLE 0 0 4042 SPDR S&P 500 ETF TR TR UNIT 78462F103 9 2400 SH Call SOLE 0 0 2400 SPDR S&P 500 ETF TR TR UNIT 78462F103 10 25000 SH Put SOLE 0 0 25000 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 275 654 SH SOLE 0 0 654 SPDR SER TR AEROSPACE DEF 78464A631 232 2025 SH SOLE 0 0 2025 SPDR SER TR MSCI USA STRTGIC 78468R812 3130 29965 SH SOLE 0 0 29965 SPDR SER TR PORTFLI INTRMDIT 78464A672 284 8596 SH SOLE 0 0 8596 SPDR SER TR PORTFOLIO LN TSR 78464A664 585 12953 SH SOLE 0 0 12953 SPDR SER TR PORTFOLIO SH TSR 78468R101 768 25017 SH SOLE 0 0 25017 SPDR SER TR PRTFLO S&P500 VL 78464A508 1336 38849 SH SOLE 0 0 38849 SPDR SER TR S&P DIVID ETF 78464A763 289 2729 SH SOLE 0 0 2729 SPDR SER TR S&P HOMEBUILD 78464A888 363 6305 SH SOLE 0 0 6305 SPDR SER TR S&P RETAIL ETF 78464A714 473 7350 SH SOLE 0 0 7350 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 257 13264 SH SOLE 0 0 13264 SQUARE INC CL A 852234103 311 1427 SH SOLE 0 0 1427 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 2495 50634 SH SOLE 0 0 50634 ST JOE CO COM 790148100 6877 162000 SH SOLE 0 0 162000 ST JOE CO COM 790148100 85 50200 SH Call SOLE 0 0 50200 STITCH FIX INC COM CL A 860897107 200 3412 SH SOLE 0 0 3412 SYNLOGIC INC COM 87166L100 35 16000 SH SOLE 0 0 16000 TANDEM DIABETES CARE INC COM NEW 875372203 567 5925 SH SOLE 0 0 5925 TELADOC HEALTH INC COM 87918A105 206 1028 SH SOLE 0 0 1028 TELEPHONE & DATA SYS INC COM NEW 879433829 232 12498 SH SOLE 0 0 12498 TESLA INC COM 88160R101 4373 6197 SH SOLE 0 0 6197 TEXAS INSTRS INC COM 882508104 251 1532 SH SOLE 0 0 1532 THE TRADE DESK INC COM CL A 88339J105 1412 1763 SH SOLE 0 0 1763 TRACTOR SUPPLY CO COM 892356106 357 2542 SH SOLE 0 0 2542 TRIMTABS ETF TR US FREE CASH FLW 89628W302 1175 25379 SH SOLE 0 0 25379 TWILIO INC CL A 90138F102 396 1171 SH SOLE 0 0 1171 UBER TECHNOLOGIES INC COM 90353T100 444 8713 SH SOLE 0 0 8713 UNION PAC CORP COM 907818108 419 2014 SH SOLE 0 0 2014 UNITED STATES STL CORP NEW COM 912909108 173 10301 SH SOLE 0 0 10301 UNITEDHEALTH GROUP INC COM 91324P102 485 1383 SH SOLE 0 0 1383 UNUM GROUP COM 91529Y106 381 16600 SH SOLE 0 0 16600 VALERO ENERGY CORP COM 91913Y100 225 3976 SH SOLE 0 0 3976 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 201 3700 SH SOLE 0 0 3700 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1906 30740 SH SOLE 0 0 30740 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 364 2361 SH SOLE 0 0 2361 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 461 2962 SH SOLE 0 0 2962 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2907 35062 SH SOLE 0 0 35062 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 488 5532 SH SOLE 0 0 5532 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 617 10539 SH SOLE 0 0 10539 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 661 4013 SH SOLE 0 0 4013 VANGUARD INDEX FDS GROWTH ETF 922908736 1835 7243 SH SOLE 0 0 7243 VANGUARD INDEX FDS MID CAP ETF 922908629 201 972 SH SOLE 0 0 972 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 317 3733 SH SOLE 0 0 3733 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2390 6954 SH SOLE 0 0 6954 VANGUARD INDEX FDS SMALL CP ETF 922908751 556 2857 SH SOLE 0 0 2857 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2443 12552 SH SOLE 0 0 12552 VANGUARD INDEX FDS VALUE ETF 922908744 1653 13900 SH SOLE 0 0 13900 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 925 18451 SH SOLE 0 0 18451 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 504 6333 SH SOLE 0 0 6333 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 946 9739 SH SOLE 0 0 9739 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 296 5470 SH SOLE 0 0 5470 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 421 6836 SH SOLE 0 0 6836 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 587 7057 SH SOLE 0 0 7057 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 259 1481 SH SOLE 0 0 1481 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 408 3409 SH SOLE 0 0 3409 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 465 2938 SH SOLE 0 0 2938 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1717 12159 SH SOLE 0 0 12159 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1232 13468 SH SOLE 0 0 13468 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 210 2584 SH SOLE 0 0 2584 VANGUARD WORLD FD MEGA CAP INDEX 921910873 1461 10951 SH SOLE 0 0 10951 VANGUARD WORLD FD MEGA GRWTH IND 921910816 1072 5260 SH SOLE 0 0 5260 VANGUARD WORLD FDS ENERGY ETF 92204A306 437 8417 SH SOLE 0 0 8417 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 888 12190 SH SOLE 0 0 12190 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 602 2691 SH SOLE 0 0 2691 VANGUARD WORLD FDS INF TECH ETF 92204A702 984 2782 SH SOLE 0 0 2782 VEEVA SYS INC CL A COM 922475108 302 1108 SH SOLE 0 0 1108 VERIZON COMMUNICATIONS INC COM 92343V104 1657 28212 SH SOLE 0 0 28212 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 1152 18471 SH SOLE 0 0 18471 VICTORY PORTFOLIOS II VCSHS US 500 VOL 92647N766 4666 74912 SH SOLE 0 0 74912 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1134 21064 SH SOLE 0 0 21064 VISA INC COM CL A 92826C839 615 2812 SH SOLE 0 0 2812 WALMART INC COM 931142103 1932 13402 SH SOLE 0 0 13402 WESCO INTL INC COM 95082P105 200 2551 SH SOLE 0 0 2551 WISDOMTREE TR FLOATNG RAT TREA 97717X628 377 15018 SH SOLE 0 0 15018 WISDOMTREE TR GLB US QTLY DIV 97717W844 1084 14245 SH SOLE 0 0 14245 YRC WORLDWIDE INC COM PAR $.01 984249607 435 98144 SH SOLE 0 0 98144 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 579 1716 SH SOLE 0 0 1716