Deputy CCO

0000891943-19-000004.txt : 20190815 0000891943-19-000004.hdr.sgml : 20190815 20190814200235 ACCESSION NUMBER: 0000891943-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190815 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CENTAURUS FINANCIAL, INC. CENTRAL INDEX KEY: 0000891943 IRS NUMBER: 330530236 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18315 FILM NUMBER: 191028171 BUSINESS ADDRESS: STREET 1: 2300 E. KATELLA AVENUE STREET 2: SUITE #200 CITY: ANAHEIM STATE: CA ZIP: 92806 BUSINESS PHONE: 714-456-1790 MAIL ADDRESS: STREET 1: 2300 E. KATELLA AVENUE STREET 2: SUITE #200 CITY: ANAHEIM STATE: CA ZIP: 92806 FORMER COMPANY: FORMER CONFORMED NAME: CENTAURUS FINANCIAL INC /BD DATE OF NAME CHANGE: 19920922 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000891943 XXXXXXXX 06-30-2019 06-30-2019 CENTAURUS FINANCIAL, INC.

2300 E. KATELLA AVENUE SUITE #200 ANAHEIM CA 92806

13F HOLDINGS REPORT 028-18315 N Kevin Lee Deputy CCO 714-456-1790 Kevin Lee Anaheim CA 08-14-2019 0 597 634987 false INFORMATION TABLE 2 2019_Q2_CENTAURUS_13F.xml ABBOTT LABS COM 002824100 363 4320 SH SOLE 0 0 4320 ADVANCED MICRO DEVICES INC COM 007903107 842 27733 SH SOLE 0 0 27733 ALARM COM HLDGS INC COM 011642105 11572 216300 SH SOLE 0 0 216300 ALASKA AIR GROUP INC COM 011659109 865 13541 SH SOLE 0 0 13541 AMAZON COM INC COM 023135106 3494 1845 SH SOLE 0 0 1845 AMERICAN ELEC PWR CO INC COM 025537101 263 2988 SH SOLE 0 0 2988 AMERICAN EXPRESS CO COM 025816109 188 1523 SH SOLE 0 0 1523 AMGEN INC COM 031162100 441 2391 SH SOLE 0 0 2391 AMPLIFY ETF TR ONLIN RETL ETF 032108102 119 2420 SH SOLE 0 0 2420 ANNALY CAP MGMT INC COM 035710409 221 24207 SH SOLE 0 0 24207 APPLE INC COM 037833100 8269 41779 SH SOLE 0 0 41779 ARBOR RLTY TR INC COM 038923108 842 69490 SH SOLE 0 0 69490 AUTOMATIC DATA PROCESSING IN COM 053015103 314 1897 SH SOLE 0 0 1897 BB&T CORP COM 054937107 509 10353 SH SOLE 0 0 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464288810 2795 11613 SH SOLE 0 0 11613 ISHARES TR RUS TOP 200 ETF 464289446 766 11262 SH SOLE 0 0 11262 ISHARES TR AGGRES ALLOC ETF 464289859 123 2232 SH SOLE 0 0 2232 ISHARES TR MODERT ALLOC ETF 464289875 250 6415 SH SOLE 0 0 6415 ISHARES TR CONSER ALLOC ETF 464289883 5770 163048 SH SOLE 0 0 163048 JOHNSON & JOHNSON COM 478160104 670 4807 SH SOLE 0 0 4807 KANSAS CITY SOUTHERN COM NEW 485170302 158 1300 SH SOLE 0 0 1300 KEMET CORP COM NEW 488360207 765 40661 SH SOLE 0 0 40661 KEMPER CORP DEL COM 488401100 209 2420 SH SOLE 0 0 2420 KIMBERLY CLARK CORP COM 494368103 294 2207 SH SOLE 0 0 2207 KRAFT HEINZ CO COM 500754106 559 18002 SH SOLE 0 0 18002 LAM RESEARCH CORP COM 512807108 166 886 SH SOLE 0 0 886 LENNOX INTL INC COM 526107107 499 1815 SH SOLE 0 0 1815 LOCKHEED MARTIN CORP COM 539830109 487 1339 SH SOLE 0 0 1339 MFS CHARTER INCOME TR SH BEN INT 552727109 982 120469 SH SOLE 0 0 120469 MCCORMICK & CO INC COM NON VTG 579780206 104 671 SH SOLE 0 0 671 MCDONALDS CORP COM 580135101 604 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693475105 526 3833 SH SOLE 0 0 3833 PATRICK INDS INC COM 703343103 1071 21778 SH SOLE 0 0 21778 PEPSICO INC COM 713448108 421 3208 SH SOLE 0 0 3208 PFIZER INC COM 717081103 1662 38370 SH SOLE 0 0 38370 PHILIP MORRIS INTL INC COM 718172109 282 3585 SH SOLE 0 0 3585 PHILLIPS 66 COM 718546104 214 2283 SH SOLE 0 0 2283 POST HLDGS INC COM 737446104 166 1592 SH SOLE 0 0 1592 PROCTER AND GAMBLE CO COM 742718109 559 5102 SH SOLE 0 0 5102 PRUDENTIAL FINL INC COM 744320102 536 5308 SH SOLE 0 0 5308 QUALCOMM INC COM 747525103 285 3745 SH SOLE 0 0 3745 RAYTHEON CO COM NEW 755111507 351 2020 SH SOLE 0 0 2020 REALTY INCOME CORP COM 756109104 238 3451 SH SOLE 0 0 3451 REAVES UTIL INCOME FD COM SH BEN INT 756158101 165 4621 SH SOLE 0 0 4621 REPLIGEN CORP COM 759916109 129 1506 SH SOLE 0 0 1506 RENAISSANCE CAP GREENWICH FD IPO ETF 759937204 210 6653 SH SOLE 0 0 6653 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 161 2481 SH SOLE 0 0 2481 ROYCE VALUE TR INC COM 780910105 735 52809 SH SOLE 0 0 52809 SCHWAB 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SH SOLE 0 0 23077 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 151 6216 SH SOLE 0 0 6216 SUNTRUST BKS INC COM 867914103 273 4349 SH SOLE 0 0 4349 TCW STRATEGIC INCOME FUND IN COM 872340104 110 19200 SH SOLE 0 0 19200 TABULA RASA HEALTHCARE INC COM 873379101 198 3965 SH SOLE 0 0 3965 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 226 1990 SH SOLE 0 0 1990 TANDEM DIABETES CARE INC COM NEW 875372203 143 2215 SH SOLE 0 0 2215 TASEKO MINES LTD COM 876511106 9 17739 SH SOLE 0 0 17739 THERMO FISHER SCIENTIFIC INC COM 883556102 296 1008 SH SOLE 0 0 1008 TRACTOR SUPPLY CO COM 892356106 128 1178 SH SOLE 0 0 1178 UNION PACIFIC CORP COM 907818108 855 5056 SH SOLE 0 0 5056 UNITED PARCEL SERVICE INC CL B 911312106 401 3881 SH SOLE 0 0 3881 UNITED RENTALS INC COM 911363109 113 851 SH SOLE 0 0 851 UNITED TECHNOLOGIES CORP COM 913017109 267 2054 SH SOLE 0 0 2054 V F CORP COM 918204108 106 1212 SH SOLE 0 0 1212 VANGUARD GROUP DIV APP ETF 921908844 1652 14346 SH SOLE 0 0 14346 VANGUARD STAR FD VG TL INTL STK F 921909768 226 4287 SH SOLE 0 0 4287 VANGUARD WORLD FD MEGA GRWTH IND 921910816 1433 11067 SH SOLE 0 0 11067 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 1549 19239 SH SOLE 0 0 19239 VANGUARD WORLD FD MEGA CAP INDEX 921910873 162 1596 SH SOLE 0 0 1596 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 159 985 SH SOLE 0 0 985 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 4404 30820 SH SOLE 0 0 30820 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 1104 11379 SH SOLE 0 0 11379 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 1380 15956 SH SOLE 0 0 15956 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1209 15008 SH SOLE 0 0 15008 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1184 14248 SH SOLE 0 0 14248 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 2156 51681 SH SOLE 0 0 51681 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2540 29065 SH SOLE 0 0 29065 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 212 2814 SH SOLE 0 0 2814 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 356 6986 SH SOLE 0 0 6986 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 5234 123056 SH SOLE 0 0 123056 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 173 2623 SH SOLE 0 0 2623 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 147 2674 SH SOLE 0 0 2674 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8070 29982 SH SOLE 0 0 29982 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 418 3754 SH SOLE 0 0 3754 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 261 1748 SH SOLE 0 0 1748 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1089 12459 SH SOLE 0 0 12459 VANGUARD INDEX FDS SML CP GRW ETF 922908595 980 5262 SH SOLE 0 0 5262 VANGUARD INDEX FDS SM CP VAL ETF 922908611 560 4290 SH SOLE 0 0 4290 VANGUARD INDEX FDS MID CAP ETF 922908629 1164 6963 SH SOLE 0 0 6963 VANGUARD INDEX FDS LARGE CAP ETF 922908637 152 1130 SH SOLE 0 0 1130 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 6035 50895 SH SOLE 0 0 50895 VANGUARD INDEX FDS GROWTH ETF 922908736 2309 14133 SH SOLE 0 0 14133 VANGUARD INDEX FDS VALUE ETF 922908744 2156 19436 SH SOLE 0 0 19436 VANGUARD INDEX FDS SMALL CP ETF 922908751 1264 8072 SH SOLE 0 0 8072 VANGUARD INDEX FDS TOTAL STK MKT 922908769 451 3004 SH SOLE 0 0 3004 VMWARE INC CL A COM 928563402 1020 6100 SH SOLE 0 0 6100 WALMART INC COM 931142103 497 4501 SH SOLE 0 0 4501 WALGREENS BOOTS ALLIANCE INC COM 931427108 121 2214 SH SOLE 0 0 2214 WEIGHT WATCHERS INTL INC NEW COM 948626106 673 35243 SH SOLE 0 0 35243 WELLS FARGO CO NEW COM 949746101 260 5484 SH SOLE 0 0 5484 WELLS FARGO CO NEW PERP PFD CNV A 949746804 919 674 SH SOLE 0 0 674 WINGSTOP INC COM 974155103 127 1338 SH SOLE 0 0 1338 KIRKLAND LAKE GOLD LTD COM 49741E100 149 3475 SH SOLE 0 0 3475 QUANTA SVCS INC COM 74762E102 123 3231 SH SOLE 0 0 3231 INVESCO QQQ TR UNIT SER 1 46090E103 2931 15697 SH SOLE 0 0 15697 FIRST TR EXCHANGE TRADED FD CAP STRENGTH ETF 33733E104 115 2038 SH SOLE 0 0 2038 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 282 30204 SH SOLE 0 0 30204 TARGET CORP COM 87612E106 161 1862 SH SOLE 0 0 1862 INVESCO EXCHNG TRADED FD TR 1 30 LADER TRE 46138E107 1025 30099 SH SOLE 0 0 30099 TRAVELERS COMPANIES INC COM 89417E109 399 2668 SH SOLE 0 0 2668 GLOBAL X FDS REIT ETF 37950E127 246 16572 SH SOLE 0 0 16572 INVESCO EXCHNG TRADED FD TR S&P SMLCP HELT 46138E149 408 3465 SH SOLE 0 0 3465 INVESCO EXCHNG TRADED FD TR S&P MIDCP LOW 46138E198 346 6742 SH SOLE 0 0 6742 INVESCO EXCHNG TRADED FD TR S&P INTL LOW 46138E230 270 7978 SH SOLE 0 0 7978 GLOBAL X FDS GLOBX SUPDV US 37950E291 105 4641 SH SOLE 0 0 4641 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 3710 25795 SH SOLE 0 0 25795 ALPS ETF TR ALERIAN MLP 00162Q866 1932 196162 SH SOLE 0 0 196162 AT&T INC COM 00206R102 1784 53227 SH SOLE 0 0 53227 ARK ETF TR INNOVATION ETF 00214Q104 102 2124 SH SOLE 0 0 2124 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 325 38941 SH SOLE 0 0 38941 ADOBE INC COM 00724F101 100 340 SH SOLE 0 0 340 ADVANCE AUTO PARTS INC COM 00751Y106 140 911 SH SOLE 0 0 911 ADVENT CLAYMORE CV SECS & IN COM 00764C109 419 27807 SH SOLE 0 0 27807 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 477 2814 SH SOLE 0 0 2814 ALKALINE WTR CO INC COM NEW 01643A207 104 47700 SH SOLE 0 0 47700 ALLISON TRANSMISSION HLDGS I COM 01973R101 122 2636 SH SOLE 0 0 2636 ALPHABET INC CAP STK CL C 02079K107 1287 1191 SH SOLE 0 0 1191 ALPHABET INC CAP STK CL A 02079K305 2257 2084 SH SOLE 0 0 2084 ALTERYX INC COM CL A 02156B103 103 940 SH SOLE 0 0 940 ALTRIA GROUP INC COM 02209S103 1214 25643 SH SOLE 0 0 25643 AMERICAN AIRLS GROUP INC COM 02376R102 137 4202 SH SOLE 0 0 4202 AMERICAN FIN TR INC COM CLASS A 02607T109 790 72494 SH SOLE 0 0 72494 AMERICAN TOWER CORP NEW COM 03027X100 416 2034 SH SOLE 0 0 2034 APOLLO INVT CORP COM NEW 03761U502 378 23955 SH SOLE 0 0 23955 APOLLO COML REAL EST FIN INC COM 03762U105 196 10632 SH SOLE 0 0 10632 ARES CAP CORP COM 04010L103 2736 152482 SH SOLE 0 0 152482 ARES CAP CORP NOTE 4.625% 3/0 04010LAW3 51 50000 PRN SOLE 0 0 50000 ATLAS AIR WORLDWIDE HLDGS IN NOTE 2.250% 6/0 049164BH8 10 10000 PRN SOLE 0 0 10000 BAKER HUGHES A GE CO CL A 05722G100 796 32330 SH SOLE 0 0 32330 BANCO SANTANDER SA ADR 05964H105 68 14782 SH SOLE 0 0 14782 BARCLAYS BK PLC IPATH B SHRT TRM 06746P621 714 27469 SH SOLE 0 0 27469 BIOMARIN PHARMACEUTICAL INC COM 09061G101 131 1530 SH SOLE 0 0 1530 BIOGEN INC COM 09062X103 102 438 SH SOLE 0 0 438 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 207 8723 SH SOLE 0 0 8723 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1630 36685 SH SOLE 0 0 36685 BLACKSTONE GSO LNG SHRT CR I COM SHS BN INT 09257D102 299 19028 SH SOLE 0 0 19028 BLACKSTONE MTG TR INC COM CL A 09257W100 438 12319 SH SOLE 0 0 12319 BLACKROCK MULTI-SECTOR INC T COM 09258A107 376 21558 SH SOLE 0 0 21558 BLUEROCK RESIDENTIAL GRW REI COM CL A 09627J102 1509 128438 SH SOLE 0 0 128438 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 118 921 SH SOLE 0 0 921 CBRE CLARION GLOBAL REAL EST COM 12504G100 1214 162099 SH SOLE 0 0 162099 CBRE GROUP INC CL A 12504L109 499 9732 SH SOLE 0 0 9732 CME GROUP INC COM 12572Q105 126 649 SH SOLE 0 0 649 CENTENE CORP DEL COM 15135B101 790 15060 SH SOLE 0 0 15060 CHIMERA INVT CORP COM NEW 16934Q208 679 35997 SH SOLE 0 0 35997 CISCO SYS INC COM 17275R102 891 16287 SH SOLE 0 0 16287 CLEARBRIDGE ENERGY MIDSTRM O COM 18469P100 1001 108756 SH SOLE 0 0 108756 CLOUDERA INC COM 18914U100 97 18531 SH SOLE 0 0 18531 COLONY CR REAL ESTATE INC COM CL A 19625T101 14539 937985 SH SOLE 0 0 937985 COMCAST CORP NEW CL A 20030N101 122 2880 SH SOLE 0 0 2880 CONOCOPHILLIPS COM 20825C104 164 2696 SH SOLE 0 0 2696 CORNERSTONE STRATEGIC VALUE COM 21924B302 3611 310229 SH SOLE 0 0 310229 COSTCO WHSL CORP NEW COM 22160K105 378 1431 SH SOLE 0 0 1431 DASAN ZHONE SOLUTIONS INC COM NEW 23305L206 117 9042 SH SOLE 0 0 9042 DXC TECHNOLOGY CO COM 23355L106 336 6099 SH SOLE 0 0 6099 DOMINION ENERGY INC COM 25746U109 162 2097 SH SOLE 0 0 2097 DOMINOS PIZZA INC COM 25754A201 107 385 SH SOLE 0 0 385 DUKE ENERGY CORP NEW COM NEW 26441C204 170 1931 SH SOLE 0 0 1931 DYNEX CAP INC COM 26817Q886 3680 219688 SH SOLE 0 0 219688 EPR PPTYS COM SH BEN INT 26884U109 203 2716 SH SOLE 0 0 2716 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 515 12959 SH SOLE 0 0 12959 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 389 12277 SH SOLE 0 0 12277 EATON VANCE TX MGD DIV EQ IN COM 27828N102 565 47112 SH SOLE 0 0 47112 EATON VANCE TX ADV GLBL DIV COM 27828S101 423 26339 SH SOLE 0 0 26339 EATON VANCE TX MNG BY WRT OP COM 27828Y108 409 27218 SH SOLE 0 0 27218 EATON VANCE TXMGD GL BUYWR O COM 27829C105 235 23980 SH SOLE 0 0 23980 EATON VANCE TAX MNGD GBL DV COM 27829F108 495 59684 SH SOLE 0 0 59684 EATON VANCE RISK MNGD DIV EQ COM 27829G106 122 13006 SH SOLE 0 0 13006 ELDORADO RESORTS INC COM 28470R102 3657 79371 SH SOLE 0 0 79371 ENVESTNET INC NOTE 1.750%12/1 29404KAA4 23 20000 PRN SOLE 0 0 20000 EQUITY RESIDENTIAL SH BEN INT 29476L107 751 9890 SH SOLE 0 0 9890 EVERSOURCE ENERGY COM 30040W108 157 2066 SH SOLE 0 0 2066 EXACT SCIENCES CORP COM 30063P105 118 1000 SH SOLE 0 0 1000 EXELON CORP COM 30161N101 184 3828 SH SOLE 0 0 3828 EXXON MOBIL CORP COM 30231G102 1486 19398 SH SOLE 0 0 19398 FACEBOOK INC CL A 30303M102 2267 11748 SH SOLE 0 0 11748 FEDEX CORP COM 31428X106 191 1164 SH SOLE 0 0 1164 FIRST DATA CORP NEW COM CL A 32008D106 311 11475 SH SOLE 0 0 11475 FIRST TR INTER DUR PFD & IN COM 33718W103 1123 49350 SH SOLE 0 0 49350 FIRST TR VALUE LINE DIVID IN SHS 33734H106 6451 191191 SH SOLE 0 0 191191 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 3684 86032 SH SOLE 0 0 86032 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 187 4105 SH SOLE 0 0 4105 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 1153 14882 SH SOLE 0 0 14882 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 306 7225 SH SOLE 0 0 7225 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 219 5678 SH SOLE 0 0 5678 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 674 10129 SH SOLE 0 0 10129 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 213 7428 SH SOLE 0 0 7428 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 277 12031 SH SOLE 0 0 12031 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 234 9294 SH SOLE 0 0 9294 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 5048 107129 SH SOLE 0 0 107129 FIRST TR EXCHANG TRADED FD I MANAGD MUN ETF 33739N108 169 3089 SH SOLE 0 0 3089 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 127 2236 SH SOLE 0 0 2236 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1379 26677 SH SOLE 0 0 26677 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 629 44867 SH SOLE 0 0 44867 FLAHERTY & CRUMRINE DYN PFD SHS 33848W106 581 23202 SH SOLE 0 0 23202 FLEXSHARES TR QLT DIV DEF IDX 33939L845 1385 30797 SH SOLE 0 0 30797 FRANKLIN LTD DURATION INC TR COM 35472T101 806 83682 SH SOLE 0 0 83682 GSV CAP CORP COM 36191J101 789 123350 SH SOLE 0 0 123350 GAMING & LEISURE PPTYS INC COM 36467J108 133 3400 SH SOLE 0 0 3400 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 822 20538 SH SOLE 0 0 20538 GLOBAL X FDS GLBX SUPRINC ETF 37950E333 146 12535 SH SOLE 0 0 12535 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 135 5921 SH SOLE 0 0 5921 GLOBAL X FDS X YIELDCO RENE 37954Y707 193 14260 SH SOLE 0 0 14260 GOLDMAN SACHS GROUP INC COM 38141G104 793 3876 SH SOLE 0 0 3876 GOLDMAN SACHS BDC INC SHS 38147U107 134 6836 SH SOLE 0 0 6836 GUGGENHEIM STRATEGIC OPP FD COM SBI 40167F101 224 10953 SH SOLE 0 0 10953 GUGGENHEIM CR ALLOCATION FD COM 40168G108 104 5000 SH SOLE 0 0 5000 HCA HEALTHCARE INC COM 40412C101 309 2285 SH SOLE 0 0 2285 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 281 16557 SH SOLE 0 0 16557 HANCOCK JOHN PFD INCOME FD I COM 41013X106 385 16743 SH SOLE 0 0 16743 HIGHLAND INCOME FUND HIGHLAND INCOME 43010E404 282 20343 SH SOLE 0 0 20343 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 278 11115 SH SOLE 0 0 11115 ISTAR INC COM 45031U101 1930 155380 SH SOLE 0 0 155380 INDEXIQ ETF TR IQ ENCH COR PL 45409B479 1499 76899 SH SOLE 0 0 76899 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 1080 34220 SH SOLE 0 0 34220 INTUITIVE SURGICAL INC COM NEW 46120E602 205 390 SH SOLE 0 0 390 INVESCO MORTGAGE CAPITAL INC COM 46131B100 104 6445 SH SOLE 0 0 6445 INVESCO QUALITY MUNI INC TRS COM 46133G107 394 31760 SH SOLE 0 0 31760 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 205 976 SH SOLE 0 0 976 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1291 10811 SH SOLE 0 0 10811 INVESCO EXCHANGE TRADED FD T S&P500 EQL UTL 46137V274 609 6163 SH SOLE 0 0 6163 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 1041 7778 SH SOLE 0 0 7778 INVESCO EXCHANGE TRADED FD T S&P MDCP MOMNTUM 46137V464 720 12240 SH SOLE 0 0 12240 INVESCO EXCHANGE TRADED FD T INTL DIVI ACHI 46137V548 925 56627 SH SOLE 0 0 56627 INVESCO EXCHANGE TRADED FD T GBL LISTED PVT 46137V589 494 41338 SH SOLE 0 0 41338 INVESCO EXCHANGE TRADED FD T DYNMC LRG VALU 46137V738 841 22826 SH SOLE 0 0 22826 INVESCO EXCHANGE TRADED FD T DWA UTILS MUMT 46137V795 1015 31244 SH SOLE 0 0 31244 INVESCO EXCHANGE TRADED FD T DWA NASDAQ MNT 46137V829 974 8248 SH SOLE 0 0 8248 INVESCO EXCHANGE TRADED FD T DWA HEALTHCARE 46137V852 977 11083 SH SOLE 0 0 11083 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 4309 78314 SH SOLE 0 0 78314 INVESCO EXCHNG TRADED FD TR CEF INM COMPSI 46138E404 330 14569 SH SOLE 0 0 14569 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 269 18413 SH SOLE 0 0 18413 INVESCO EXCHNG TRADED FD TR KBW PPTY CASUT 46138E586 1039 14877 SH SOLE 0 0 14877 INVESCO EXCHNG TRADED FD TR KBW HIG DV YLD 46138E610 179 8325 SH SOLE 0 0 8325 INVESCO EXCHNG TRADED FD TR GBL SRT TRM HY 46138E669 6777 292490 SH SOLE 0 0 292490 INVESCO EXCHNG TRADED FD TR FNDMNTL HY CRP 46138E719 281 14814 SH SOLE 0 0 14814 INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG 46138E727 707 32726 SH SOLE 0 0 32726 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 1821 62693 SH SOLE 0 0 62693 INVESCO EXCHNG TRADED FD TR S&P SMLCP LOW 46138G102 389 8107 SH SOLE 0 0 8107 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 114 5043 SH SOLE 0 0 5043 INVESCO EXCHNG TRADED FD TR S&P ULTRA DIVIDE 46138G656 1078 28612 SH SOLE 0 0 28612 INVESCO EXCHNG TRADED FD TR S&P SMALLCAP 600 46138G664 341 5403 SH SOLE 0 0 5403 INVESCO EXCHNG TRADED FD TR VAR RATE PFD 46138G870 160 6436 SH SOLE 0 0 6436 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 CB 46138J502 982 46199 SH SOLE 0 0 46199 INVESCO EXCH TRD SLF IDX FD DEFENSIVE EQTY 46138J775 203 3843 SH SOLE 0 0 3843 ISHARES SILVER TRUST ISHARES 46428Q109 564 39379 SH SOLE 0 0 39379 ISHARES TR US TREAS BD ETF 46429B267 186 7208 SH SOLE 0 0 7208 ISHARES TR GNMA BOND ETF 46429B333 730 14561 SH SOLE 0 0 14561 ISHARES TR MSCI INDIA ETF 46429B598 1040 29474 SH SOLE 0 0 29474 ISHARES TR FLTG RATE NT ETF 46429B655 649 12745 SH SOLE 0 0 12745 ISHARES TR CORE HIGH DV ETF 46429B663 246 2607 SH SOLE 0 0 2607 ISHARES TR MIN VOL EAFE ETF 46429B689 3344 46035 SH SOLE 0 0 46035 ISHARES TR MIN VOL USA ETF 46429B697 2658 43063 SH SOLE 0 0 43063 ISHARES TR 0-5 YR TIPS ETF 46429B747 501 4981 SH SOLE 0 0 4981 ISHARES US ETF TR SHT MAT BD ETF 46431W507 685 13604 SH SOLE 0 0 13604 ISHARES TR USA QUALITY FCTR 46432F339 6027 65889 SH SOLE 0 0 65889 ISHARES TR USA MOMENTUM FCT 46432F396 11104 93625 SH SOLE 0 0 93625 ISHARES TR CORE MSCI EAFE 46432F842 834 13580 SH SOLE 0 0 13580 ISHARES TR IBNDS MAR20 ETF 46432FAK3 173 7011 SH SOLE 0 0 7011 ISHARES INC CORE MSCI EMKT 46434G103 5199 101069 SH SOLE 0 0 101069 ISHARES TR MULTIFACTOR INTL 46434V274 241 9192 SH SOLE 0 0 9192 ISHARES TR INTL QLTY FACTOR 46434V456 2248 74455 SH SOLE 0 0 74455 ISHARES TR CORE DIV GRWTH 46434V621 138 3605 SH SOLE 0 0 3605 ISHARES TR TRS FLT RT BD 46434V860 116 2309 SH SOLE 0 0 2309 ISHARES TR ULTR SH TRM BD 46434V878 1970 39092 SH SOLE 0 0 39092 ISHARES TR FALN ANGLS USD 46435G474 823 30926 SH SOLE 0 0 30926 ISHARES TR BROAD USD HIGH 46435U853 178 4349 SH SOLE 0 0 4349 JPMORGAN CHASE & CO COM 46625H100 2995 26793 SH SOLE 0 0 26793 JP MORGAN EXCHANGE TRADED FD DIV RTN GLB EQ 46641Q100 2672 44873 SH SOLE 0 0 44873 JP MORGAN EXCHANGE TRADED FD JPMORGAN DIVER 46641Q407 4974 66455 SH SOLE 0 0 66455 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 2004 39772 SH SOLE 0 0 39772 KIMCO RLTY CORP COM 49446R109 6286 340165 SH SOLE 0 0 340165 KINDER MORGAN INC DEL COM 49456B101 1134 54307 SH SOLE 0 0 54307 LAZARD GLB TTL RET&INCM FD I COM 52106W103 104 6424 SH SOLE 0 0 6424 LEGACY TEX FINL GROUP INC COM 52471Y106 786 19305 SH SOLE 0 0 19305 LIVE OAK BANCSHARES INC COM 53803X105 180 10500 SH SOLE 0 0 10500 MAIN STREET CAPITAL CORP COM 56035L104 3328 80936 SH SOLE 0 0 80936 MARATHON PETE CORP COM 56585A102 705 12610 SH SOLE 0 0 12610 MARKETAXESS HLDGS INC COM 57060D108 229 711 SH SOLE 0 0 711 MASTERCARD INC CL A 57636Q104 1286 4860 SH SOLE 0 0 4860 MERCK & CO INC COM 58933Y105 192 2290 SH SOLE 0 0 2290 MONEYGRAM INTL INC COM NEW 60935Y208 123 49900 SH SOLE 0 0 49900 MONGODB INC CL A 60937P106 1049 6900 SH SOLE 0 0 6900 NGL ENERGY PARTNERS LP COM UNIT REPST 62913M107 272 18420 SH SOLE 0 0 18420 NANO DIMENSION LTD SPONS ADR 63008G104 7 15000 SH SOLE 0 0 15000 NETFLIX INC COM 64110L106 1462 3979 SH SOLE 0 0 3979 NEUBERGER BERMAN MUNI FD INC COM 64124P101 581 39815 SH SOLE 0 0 39815 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 13028 846517 SH SOLE 0 0 846517 NEXTERA ENERGY INC COM 65339F101 397 1937 SH SOLE 0 0 1937 NEXPOINT STRATEGIC OPORTUNT COM NEW 65340G205 306 16167 SH SOLE 0 0 16167 NOVARTIS A G SPONSORED ADR 66987V109 145 1584 SH SOLE 0 0 1584 NVIDIA CORP COM 67066G104 534 3252 SH SOLE 0 0 3252 NUVEEN REAL ESTATE INCOME FD COM 67071B108 116 11069 SH SOLE 0 0 11069 NUVEEN AMT FREE MUN CR INC F COM 67071L106 112 7072 SH SOLE 0 0 7072 NUVEEN PFD & INCM SECURTIES COM 67072C105 143 15029 SH SOLE 0 0 15029 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 129 8359 SH SOLE 0 0 8359 OAKTREE SPECIALTY LENDING CO COM 67401P108 5772 1064929 SH SOLE 0 0 1064929 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 229 8702 SH SOLE 0 0 8702 ORACLE CORP COM 68389X105 198 3483 SH SOLE 0 0 3483 ORGANOVO HLDGS INC COM 68620A104 8 15006 SH SOLE 0 0 15006 PAYCOM SOFTWARE INC COM 70432V102 127 560 SH SOLE 0 0 560 PAYPAL HLDGS INC COM 70450Y103 249 2172 SH SOLE 0 0 2172 PENNYMAC MTG INVT TR COM 70931T103 490 22435 SH SOLE 0 0 22435 PIMCO CORPORATE & INCOME OPP COM 72201B101 980 54004 SH SOLE 0 0 54004 PIMCO INCOME STRATEGY FUND COM 72201H108 582 49257 SH SOLE 0 0 49257 PIMCO ETF TR ACTIVE BD ETF 72201R775 475 4423 SH SOLE 0 0 4423 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 137 1368 SH SOLE 0 0 1368 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 11284 110896 SH SOLE 0 0 110896 PIMCO DYNAMIC INCOME FD SHS 72201Y101 478 14878 SH SOLE 0 0 14878 PIMCO DYNMIC CREDIT AND MRT COM SHS 72202D106 1327 55546 SH SOLE 0 0 55546 PINTEREST INC CL A 72352L106 159 5850 SH SOLE 0 0 5850 PREFERRED APT CMNTYS INC COM 74039L103 124 8300 SH SOLE 0 0 8300 PROSHARES TR PSHS LC COR PLUS 74347R248 960 13623 SH SOLE 0 0 13623 PROSHARES TR SHRT 20+YR TRE 74347X849 217 10643 SH SOLE 0 0 10643 PROSPECT CAPITAL CORPORATION COM 74348T102 528 80799 SH SOLE 0 0 80799 PROSPECT CAPITAL CORPORATION NOTE 4.950% 7/1 74348TAR3 50 50000 PRN SOLE 0 0 50000 PUBLIC STORAGE COM 74460D109 746 3133 SH SOLE 0 0 3133 SPDR S&P 500 ETF TR TR UNIT 78462F103 8558 29208 SH SOLE 0 0 29208 SPDR GOLD TRUST GOLD SHS 78463V107 874 6564 SH SOLE 0 0 6564 SPDR INDEX SHS FDS MSCI ACWI ETF 78463X475 365 4562 SH SOLE 0 0 4562 SPDR INDEX SHS FDS S&P EM MKT DIV 78463X533 106 3260 SH SOLE 0 0 3260 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 167 3343 SH SOLE 0 0 3343 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 215 5472 SH SOLE 0 0 5472 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 2171 56032 SH SOLE 0 0 56032 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 110 3733 SH SOLE 0 0 3733 SPDR SERIES TRUST NYSE TECH ETF 78464A102 252 3465 SH SOLE 0 0 3465 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 481 7898 SH SOLE 0 0 7898 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 144 2370 SH SOLE 0 0 2370 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 462 8729 SH SOLE 0 0 8729 SPDR SERIES TRUST PORTFOLIO LN COR 78464A367 252 8779 SH SOLE 0 0 8779 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 192 5497 SH SOLE 0 0 5497 SPDR SERIES TRUST BLOMBRG BRC MRTG 78464A383 191 7291 SH SOLE 0 0 7291 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 147 3784 SH SOLE 0 0 3784 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 235 7634 SH SOLE 0 0 7634 SPDR SERIES TRUST FTSE INT GVT ETF 78464A490 276 4967 SH SOLE 0 0 4967 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 109 3474 SH SOLE 0 0 3474 SPDR SERIES TRUST COMP SOFTWARE 78464A599 128 1325 SH SOLE 0 0 1325 SPDR SERIES TRUST DJ REIT ETF 78464A607 894 9046 SH SOLE 0 0 9046 SPDR SERIES TRUST AEROSPACE DEF 78464A631 2263 21777 SH SOLE 0 0 21777 SPDR SERIES TRUST PORTFOLIO LN TSR 78464A664 3025 79274 SH SOLE 0 0 79274 SPDR SERIES TRUST S&P REGL BKG 78464A698 290 5425 SH SOLE 0 0 5425 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 2733 100290 SH SOLE 0 0 100290 SPDR SERIES TRUST S&P DIVID ETF 78464A763 183 1812 SH SOLE 0 0 1812 SPDR SERIES TRUST S&P INS ETF 78464A789 1043 30676 SH SOLE 0 0 30676 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 128 2495 SH SOLE 0 0 2495 SPDR SERIES TRUST PORTFOLIO MD ETF 78464A847 825 24220 SH SOLE 0 0 24220 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 163 4706 SH SOLE 0 0 4706 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 927 16085 SH SOLE 0 0 16085 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 351 7585 SH SOLE 0 0 7585 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 471 9598 SH SOLE 0 0 9598 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 6194 23298 SH SOLE 0 0 23298 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 4737 13359 SH SOLE 0 0 13359 SPDR SERIES TRUST BLOMBERG BRC INV 78468R200 2016 65618 SH SOLE 0 0 65618 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 1332 12231 SH SOLE 0 0 12231 SPDR SERIES TRUST SPDR BLOOMBERG 78468R663 268 2927 SH SOLE 0 0 2927 SPDR SERIES TRUST S&P1500MOMTILT 78468R705 224 1749 SH SOLE 0 0 1749 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 2324 61090 SH SOLE 0 0 61090 SPDR SERIES TRUST SSGA US LRG ETF 78468R804 1181 10966 SH SOLE 0 0 10966 SPDR SERIES TRUST PORTFOLIO SM ETF 78468R853 695 22682 SH SOLE 0 0 22682 SPDR SERIES TRUST SSGA US SMAL ETF 78468R887 146 1567 SH SOLE 0 0 1567 SSGA ACTIVE TR SPDR DBLELN EMRG 78470P309 105 2054 SH SOLE 0 0 2054 SABRA HEALTH CARE REIT INC COM 78573L106 741 37611 SH SOLE 0 0 37611 SAIA INC COM 78709Y105 822 12703 SH SOLE 0 0 12703 SALESFORCE COM INC COM 79466L302 281 1849 SH SOLE 0 0 1849 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 3643 62275 SH SOLE 0 0 62275 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 750 8100 SH SOLE 0 0 8100 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 712 12260 SH SOLE 0 0 12260 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 470 3943 SH SOLE 0 0 3943 SELECT SECTOR SPDR TR ENERGY 81369Y506 212 3323 SH SOLE 0 0 3323 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 443 16044 SH SOLE 0 0 16044 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4157 53694 SH SOLE 0 0 53694 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5033 64497 SH SOLE 0 0 64497 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 142 2890 SH SOLE 0 0 2890 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 944 25679 SH SOLE 0 0 25679 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5060 84862 SH SOLE 0 0 84862 SENSEONICS HLDGS INC COM 81727U105 34 16667 SH SOLE 0 0 16667 SHOPIFY INC CL A 82509L107 112 374 SH SOLE 0 0 374 SIRIUS XM HLDGS INC COM 82968B103 110 19744 SH SOLE 0 0 19744 SOLAR CAP LTD COM 83413U100 112 5462 SH SOLE 0 0 5462 SORRENTO THERAPEUTICS INC COM NEW 83587F202 48 18000 SH SOLE 0 0 18000 SPIRIT RLTY CAP INC NEW COM NEW 84860W300 109 2562 SH SOLE 0 0 2562 STARWOOD PPTY TR INC COM 85571B105 183 8060 SH SOLE 0 0 8060 STONE HBR EMERG MKTS TL INC COM 86164W100 1246 97829 SH SOLE 0 0 97829 TABLEAU SOFTWARE INC CL A 87336U105 108 650 SH SOLE 0 0 650 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 456 35677 SH SOLE 0 0 35677 TELADOC HEALTH INC COM 87918A105 104 1570 SH SOLE 0 0 1570 TESLA INC COM 88160R101 249 1114 SH SOLE 0 0 1114 TEUCRIUM COMMODITY TR CORN FD SHS 88166A102 164 9994 SH SOLE 0 0 9994 TEUCRIUM COMMODITY TR SOYBEAN FD 88166A607 151 9592 SH SOLE 0 0 9592 TG THERAPEUTICS INC COM 88322Q108 87 10000 SH SOLE 0 0 10000 3M CO COM 88579Y101 243 1404 SH SOLE 0 0 1404 TWILIO INC CL A 90138F102 3387 24841 SH SOLE 0 0 24841 UNITEDHEALTH GROUP INC COM 91324P102 941 3856 SH SOLE 0 0 3856 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2358 92255 SH SOLE 0 0 92255 VANECK VECTORS ETF TR BDC INCOME ETF 92189F411 576 34659 SH SOLE 0 0 34659 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 397 13546 SH SOLE 0 0 13546 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 195 4068 SH SOLE 0 0 4068 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 147 1334 SH SOLE 0 0 1334 VANECK VECTORS ETF TR VIETNAM ETF 92189F817 162 10117 SH SOLE 0 0 10117 VANECK VECTORS ETF TR JP MORGAN MKTS 92189H300 101 2901 SH SOLE 0 0 2901 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 566 9874 SH SOLE 0 0 9874 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1560 8694 SH SOLE 0 0 8694 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 724 4866 SH SOLE 0 0 4866 VANGUARD WORLD FDS ENERGY ETF 92204A306 1126 13242 SH SOLE 0 0 13242 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 615 8910 SH SOLE 0 0 8910 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2342 13466 SH SOLE 0 0 13466 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 815 5590 SH SOLE 0 0 5590 VANGUARD WORLD FDS INF TECH ETF 92204A702 1492 7075 SH SOLE 0 0 7075 VANGUARD WORLD FDS MATERIALS ETF 92204A801 462 3604 SH SOLE 0 0 3604 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1636 12309 SH SOLE 0 0 12309 VANGUARD WORLD FDS COMM SRVC ETF 92204A884 520 6003 SH SOLE 0 0 6003 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 461 7571 SH SOLE 0 0 7571 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1398 17324 SH SOLE 0 0 17324 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 195 1201 SH SOLE 0 0 1201 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 411 6229 SH SOLE 0 0 6229 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 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