The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
AT&T INC | COM | 00206R102 | 571 | 17,037 | SH | SOLE | 0 | 0 | 17,036 | ||
ARK ETF TR | INNOVATION ETF | 00214Q104 | 2,626 | 54,740 | SH | SOLE | 0 | 0 | 54,740 | ||
ADVISORSHARES TR | ADVISORSHS ETF | 00768Y206 | 657 | 13,213 | SH | SOLE | 0 | 0 | 13,213 | ||
ADVISORSHARES TR | DORSY SHRT ETF | 00768Y529 | 284 | 11,363 | SH | SOLE | 0 | 0 | 11,363 | ||
AGEX THERAPEUTICS INC | COM | 00848H108 | 44 | 12,000 | SH | SOLE | 0 | 0 | 12,000 | ||
AIR PRODS & CHEMS INC | COM | 009158106 | 503 | 2,212 | SH | SOLE | 0 | 0 | 2,212 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 304 | 1,794 | SH | SOLE | 0 | 0 | 1,794 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 406 | 376 | SH | SOLE | 0 | 0 | 376 | ||
ALTERYX INC | COM CL A | 02156B103 | 331 | 3,033 | SH | SOLE | 0 | 0 | 3,033 | ||
ALTRIA GROUP INC | COM | 02209S103 | 424 | 8,812 | SH | SOLE | 0 | 0 | 8,812 | ||
AMAZON COM INC | COM | 023135106 | 1,024 | 541 | SH | SOLE | 0 | 0 | 541 | ||
AMGEN INC | COM | 031162100 | 602 | 3,266 | SH | SOLE | 0 | 0 | 3,266 | ||
ANADARKO PETE CORP | COM | 032511107 | 293 | 4,151 | SH | SOLE | 0 | 0 | 4,151 | ||
ANTHEM INC | COM | 036752103 | 369 | 1,308 | SH | SOLE | 0 | 0 | 1,308 | ||
APPLE INC | COM | 037833100 | 1,206 | 6,094 | SH | SOLE | 0 | 0 | 6,094 | ||
AT HOME GROUP INC | COM | 04650Y100 | 107 | 16,067 | SH | SOLE | 0 | 0 | 16,067 | ||
AVON PRODS INC | COM | 054303102 | 492 | 126,750 | SH | SOLE | 0 | 0 | 126,750 | ||
BP PLC | SPONSORED ADR | 055622104 | 375 | 8,964 | SH | SOLE | 0 | 0 | 8,964 | ||
BP MIDSTREAM PARTNERS LP | UNIT LTD PTNR | 0556EL109 | 286 | 18,475 | SH | SOLE | 0 | 0 | 18,475 | ||
BANK AMER CORP | COM | 060505104 | 3,132 | 108,014 | SH | SOLE | 0 | 0 | 108,013 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 217 | 1,016 | SH | SOLE | 0 | 0 | 1,016 | ||
BIOGEN INC | COM | 09062X103 | 584 | 2,499 | SH | SOLE | 0 | 0 | 2,499 | ||
BIOTIME INC | COM | 09066L105 | 50 | 45,000 | SH | SOLE | 0 | 0 | 45,000 | ||
BLACKBERRY LTD | COM | 09228F103 | 77 | 10,318 | SH | SOLE | 0 | 0 | 10,318 | ||
BROADCOM INC | COM | 11135F101 | 988 | 3,403 | SH | SOLE | 0 | 0 | 3,403 | ||
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 317 | 7,716 | SH | SOLE | 0 | 0 | 7,716 | ||
CHEVRON CORP NEW | COM | 166764100 | 758 | 6,093 | SH | SOLE | 0 | 0 | 6,093 | ||
CISCO SYS INC | COM | 17275R102 | 381 | 6,966 | SH | SOLE | 0 | 0 | 6,966 | ||
CONOCOPHILLIPS | COM | 20825C104 | 230 | 3,769 | SH | SOLE | 0 | 0 | 3,769 | ||
DEERE & CO | COM | 244199105 | 240 | 1,441 | SH | SOLE | 0 | 0 | 1,441 | ||
DENBURY RES INC | COM NEW | 247916208 | 19 | 15,000 | SH | SOLE | 0 | 0 | 15,000 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 283 | 3,207 | SH | SOLE | 0 | 0 | 3,207 | ||
DURECT CORP | COM | 266605104 | 819 | 1,256,435 | SH | SOLE | 0 | 0 | 1,256,435 | ||
ETF SER SOLUTIONS | DEEP VALUE ETF | 26922A701 | 2,032 | 65,284 | SH | SOLE | 0 | 0 | 65,283 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 640 | 22,179 | SH | SOLE | 0 | 0 | 22,178 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 479 | 6,327 | SH | SOLE | 0 | 0 | 6,326 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 283 | 2,400 | SH | SOLE | 0 | 0 | 2,400 | ||
EXXON MOBIL CORP | COM | 30231G102 | 1,634 | 21,324 | SH | SOLE | 0 | 0 | 21,324 | ||
FACEBOOK INC | CL A | 30303M102 | 369 | 1,910 | SH | SOLE | 0 | 0 | 1,910 | ||
FIRST DATA CORP NEW | COM CL A | 32008D106 | 287 | 10,588 | SH | SOLE | 0 | 0 | 10,588 | ||
FIRST TR NASDAQ100 TECH INDE | SHS | 337345102 | 220 | 2,571 | SH | SOLE | 0 | 0 | 2,571 | ||
FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 223 | 3,350 | SH | SOLE | 0 | 0 | 3,350 | ||
FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 33734X184 | 311 | 10,845 | SH | SOLE | 0 | 0 | 10,845 | ||
FIRST TR EXCHANGE TRADED FD | NO AMER ENERGY | 33738D101 | 3,079 | 122,409 | SH | SOLE | 0 | 0 | 122,409 | ||
FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 33738D408 | 1,017 | 21,137 | SH | SOLE | 0 | 0 | 21,137 | ||
FIRST TR EXCHANGE TRADED FD | NASDAQ BK ETF | 33738R860 | 2,222 | 87,658 | SH | SOLE | 0 | 0 | 87,658 | ||
FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 33739Q200 | 307 | 5,933 | SH | SOLE | 0 | 0 | 5,933 | ||
FIRST TR EXCHANGE TRADED FD | FIRST TR ENH NEW | 33739Q408 | 3,984 | 66,203 | SH | SOLE | 0 | 0 | 66,203 | ||
GLOBAL X FDS | GLB X SUPERDIV | 37950E549 | 281 | 16,312 | SH | SOLE | 0 | 0 | 16,311 | ||
HONEYWELL INTL INC | COM | 438516106 | 385 | 2,207 | SH | SOLE | 0 | 0 | 2,207 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 761 | 7,064 | SH | SOLE | 0 | 0 | 7,064 | ||
INVESCO EXCHANGE TRADED FD T | DYNMC LRG GWTH | 46137V746 | 508 | 10,500 | SH | SOLE | 0 | 0 | 10,500 | ||
INVESCO EXCHNG TRADED FD TR | S&P500 LOW VOL | 46138E354 | 533 | 9,688 | SH | SOLE | 0 | 0 | 9,688 | ||
INVESCO EXCHNG TRADED FD TR | NATL AMT MUNI | 46138E537 | 961 | 36,759 | SH | SOLE | 0 | 0 | 36,759 | ||
INVESCO EXCHNG TRADED FD TR | EMRNG MKT SVRG | 46138E784 | 291 | 10,016 | SH | SOLE | 0 | 0 | 10,015 | ||
INVESCO EXCHNG TRADED FD TR | DWA EMERG MKTS | 46138E867 | 507 | 28,569 | SH | SOLE | 0 | 0 | 28,569 | ||
INVESCO EXCHNG TRADED FD TR | S&P ULTRA DIVIDE | 46138G656 | 1,231 | 32,696 | SH | SOLE | 0 | 0 | 32,696 | ||
INVESCO EXCHNG TRADED FD TR | TAXABLE MUN BD | 46138G805 | 3,133 | 99,665 | SH | SOLE | 0 | 0 | 99,665 | ||
ION GEOPHYSICAL CORP | COM NEW | 462044207 | 81 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
IONIS PHARMACEUTICALS INC | COM | 462222100 | 375 | 5,837 | SH | SOLE | 0 | 0 | 5,837 | ||
ISHARES TR | CORE S&P TTL STK | 464287150 | 224 | 3,361 | SH | SOLE | 0 | 0 | 3,361 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 5,083 | 17,244 | SH | SOLE | 0 | 0 | 17,244 | ||
ISHARES TR | CORE US AGGBD ET | 464287226 | 3,560 | 31,975 | SH | SOLE | 0 | 0 | 31,975 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 1,930 | 44,984 | SH | SOLE | 0 | 0 | 44,984 | ||
ISHARES TR | IBOXX INV CP ETF | 464287242 | 307 | 2,472 | SH | SOLE | 0 | 0 | 2,472 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 662 | 10,067 | SH | SOLE | 0 | 0 | 10,067 | ||
ISHARES TR | CORE S&P MCP ETF | 464287507 | 976 | 5,026 | SH | SOLE | 0 | 0 | 5,026 | ||
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 835 | 6,563 | SH | SOLE | 0 | 0 | 6,562 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 1,576 | 10,015 | SH | SOLE | 0 | 0 | 10,015 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 807 | 5,191 | SH | SOLE | 0 | 0 | 5,191 | ||
ISHARES TR | S&P MC 400VL ETF | 464287705 | 1,013 | 6,354 | SH | SOLE | 0 | 0 | 6,354 | ||
ISHARES TR | NATIONAL MUN ETF | 464288414 | 294 | 2,602 | SH | SOLE | 0 | 0 | 2,602 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 1,702 | 19,527 | SH | SOLE | 0 | 0 | 19,526 | ||
ISHARES SILVER TRUST | ISHARES | 46428Q109 | 712 | 49,701 | SH | SOLE | 0 | 0 | 49,701 | ||
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 905 | 17,767 | SH | SOLE | 0 | 0 | 17,767 | ||
ISHARES TR | CORE MSCI TOTAL | 46432F834 | 211 | 3,593 | SH | SOLE | 0 | 0 | 3,593 | ||
ISHARES TR | CORE MSCI EAFE | 46432F842 | 1,857 | 30,244 | SH | SOLE | 0 | 0 | 30,244 | ||
ISHARES INC | CORE MSCI EMKT | 46434G103 | 1,544 | 30,025 | SH | SOLE | 0 | 0 | 30,024 | ||
ISHARES INC | MLT FCTR EMG MKT | 46434G889 | 1,475 | 35,002 | SH | SOLE | 0 | 0 | 35,002 | ||
ISHARES TR | MULTIFACTOR INTL | 46434V274 | 1,751 | 66,683 | SH | SOLE | 0 | 0 | 66,683 | ||
ISHARES TR | MULTIFACTOR USA | 46434V282 | 5,121 | 161,255 | SH | SOLE | 0 | 0 | 161,255 | ||
ISHARES TR | MULTIFACTOR USA | 46434V290 | 2,192 | 54,413 | SH | SOLE | 0 | 0 | 54,412 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 345 | 3,086 | SH | SOLE | 0 | 0 | 3,086 | ||
JD COM INC | SPON ADR CL A | 47215P106 | 553 | 18,245 | SH | SOLE | 0 | 0 | 18,245 | ||
JOHNSON & JOHNSON | COM | 478160104 | 486 | 3,491 | SH | SOLE | 0 | 0 | 3,491 | ||
MPLX LP | COM UNIT REP LTD | 55336V100 | 557 | 17,308 | SH | SOLE | 0 | 0 | 17,307 | ||
MANAGED PORTFOLIO SER | TORTOISE NRAM PI | 56167N720 | 970 | 40,577 | SH | SOLE | 0 | 0 | 40,577 | ||
MANNKIND CORP | COM NEW | 56400P706 | 73 | 63,200 | SH | SOLE | 0 | 0 | 63,200 | ||
MICROSOFT CORP | COM | 594918104 | 1,011 | 7,549 | SH | SOLE | 0 | 0 | 7,549 | ||
NEWMONT GOLDCORP CORPORATION | COM | 651639106 | 210 | 5,456 | SH | SOLE | 0 | 0 | 5,455 | ||
NOVARTIS A G | SPONSORED ADR | 66987V109 | 202 | 2,214 | SH | SOLE | 0 | 0 | 2,214 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 266 | 19,198 | SH | SOLE | 0 | 0 | 19,198 | ||
ORACLE CORP | COM | 68389X105 | 232 | 4,078 | SH | SOLE | 0 | 0 | 4,078 | ||
PPL CORP | COM | 69351T106 | 536 | 17,068 | SH | SOLE | 0 | 0 | 17,068 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 330 | 1,620 | SH | SOLE | 0 | 0 | 1,620 | ||
PAN AMERICAN SILVER CORP | COM | 697900108 | 542 | 41,994 | SH | SOLE | 0 | 0 | 41,994 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 658 | 5,749 | SH | SOLE | 0 | 0 | 5,749 | ||
PHILIP MORRIS INTL INC | COM | 718172109 | 416 | 5,222 | SH | SOLE | 0 | 0 | 5,222 | ||
PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 516 | 10,461 | SH | SOLE | 0 | 0 | 10,461 | ||
PIVOTAL SOFTWARE INC | COM CL A | 72582H107 | 241 | 22,785 | SH | SOLE | 0 | 0 | 22,785 | ||
POST HLDGS INC | COM | 737446104 | 208 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
PROSHARES TR | ULTRA FNCLS NEW | 74347X633 | 517 | 11,484 | SH | SOLE | 0 | 0 | 11,484 | ||
RESIDEO TECHNOLOGIES INC | COM | 76118Y104 | 412 | 18,789 | SH | SOLE | 0 | 0 | 18,789 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,169 | 3,970 | SH | SOLE | 0 | 0 | 3,970 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 2,923 | 21,948 | SH | SOLE | 0 | 0 | 21,948 | ||
SAREPTA THERAPEUTICS INC | COM | 803607100 | 662 | 4,355 | SH | SOLE | 0 | 0 | 4,355 | ||
SHELL MIDSTREAM PARTNERS L P | UNIT LTD INT | 822634101 | 203 | 9,799 | SH | SOLE | 0 | 0 | 9,799 | ||
SQUARE INC | CL A | 852234103 | 272 | 3,754 | SH | SOLE | 0 | 0 | 3,754 | ||
SWEDISH EXPT CR CORP | ROG TTL ETN 22 | 870297801 | 148 | 28,350 | SH | SOLE | 0 | 0 | 28,350 | ||
TALLGRASS ENERGY LP | CLASS A SHS | 874696107 | 325 | 15,414 | SH | SOLE | 0 | 0 | 15,414 | ||
TWITTER INC | COM | 90184L102 | 470 | 13,470 | SH | SOLE | 0 | 0 | 13,470 | ||
UGI CORP NEW | COM | 902681105 | 322 | 6,000 | SH | SOLE | 0 | 0 | 6,000 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 243 | 1,867 | SH | SOLE | 0 | 0 | 1,867 | ||
VANECK VECTORS ETF TR | HIGH YLD MUN ETF | 92189H409 | 223 | 3,501 | SH | SOLE | 0 | 0 | 3,501 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 452 | 5,443 | SH | SOLE | 0 | 0 | 5,443 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 1,590 | 38,121 | SH | SOLE | 0 | 0 | 38,121 | ||
VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 919 | 10,521 | SH | SOLE | 0 | 0 | 10,521 | ||
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 910 | 17,852 | SH | SOLE | 0 | 0 | 17,851 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 2,100 | 49,378 | SH | SOLE | 0 | 0 | 49,377 | ||
VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 2,171 | 24,164 | SH | SOLE | 0 | 0 | 24,164 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 489 | 1,807 | SH | SOLE | 0 | 0 | 1,807 | ||
VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 | 1,568 | 17,773 | SH | SOLE | 0 | 0 | 17,772 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 397 | 2,370 | SH | SOLE | 0 | 0 | 2,369 | ||
VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 211 | 1,289 | SH | SOLE | 0 | 0 | 1,289 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 612 | 10,704 | SH | SOLE | 0 | 0 | 10,704 | ||
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 212 | 1,154 | SH | SOLE | 0 | 0 | 1,154 | ||
VISA INC | COM CL A | 92826C839 | 212 | 1,220 | SH | SOLE | 0 | 0 | 1,220 | ||
WESTERN DIGITAL CORP | COM | 958102105 | 351 | 7,308 | SH | SOLE | 0 | 0 | 7,308 | ||
WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 958669103 | 422 | 13,699 | SH | SOLE | 0 | 0 | 13,698 | ||
WHEATON PRECIOUS METALS CORP | COM | 962879102 | 278 | 11,479 | SH | SOLE | 0 | 0 | 11,479 | ||
WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 935 | 19,194 | SH | SOLE | 0 | 0 | 19,194 | ||
XPO LOGISTICS INC | COM | 983793100 | 432 | 7,468 | SH | SOLE | 0 | 0 | 7,468 | ||
ALLERGAN PLC | SHS | G0177J108 | 669 | 3,994 | SH | SOLE | 0 | 0 | 3,994 | ||
SEAGATE TECHNOLOGY PLC | SHS | G7945M107 | 432 | 9,161 | SH | SOLE | 0 | 0 | 9,161 |