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 | 606 | 16,009 | SH | SOLE | 0 | 0 | 16,009 | ||
ARK ETF TR | INNOVATION ETF | 00214Q104 | 2,633 | 61,380 | SH | SOLE | 0 | 0 | 61,380 | ||
ADVISORSHARES TR | ADVISORSHS ETF | 00768Y206 | 626 | 13,131 | SH | SOLE | 0 | 0 | 13,131 | ||
ADVISORSHARES TR | DORSY SHRT ETF | 00768Y529 | 297 | 11,455 | SH | SOLE | 0 | 0 | 11,455 | ||
AGNICO EAGLE MINES LTD | COM | 008474108 | 348 | 6,500 | SH | SOLE | 0 | 0 | 6,499 | ||
AGEX THERAPEUTICS INC | COM | 00848H108 | 24 | 12,000 | SH | SOLE | 0 | 0 | 12,000 | ||
AIR PRODS & CHEMS INC | COM | 009158106 | 493 | 2,212 | SH | SOLE | 0 | 0 | 2,212 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 392 | 2,344 | SH | SOLE | 0 | 0 | 2,344 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 458 | 376 | SH | SOLE | 0 | 0 | 376 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 232 | 190 | SH | SOLE | 0 | 0 | 190 | ||
ALTERYX INC | COM CL A | 02156B103 | 316 | 2,940 | SH | SOLE | 0 | 0 | 2,940 | ||
ALTRIA GROUP INC | COM | 02209S103 | 363 | 8,702 | SH | SOLE | 0 | 0 | 8,702 | ||
AMAZON COM INC | COM | 023135106 | 1,029 | 593 | SH | SOLE | 0 | 0 | 593 | ||
AMGEN INC | COM | 031162100 | 632 | 3,266 | SH | SOLE | 0 | 0 | 3,266 | ||
ANTHEM INC | COM | 036752103 | 314 | 1,308 | SH | SOLE | 0 | 0 | 1,308 | ||
APPLE INC | COM | 037833100 | 1,301 | 5,809 | SH | SOLE | 0 | 0 | 5,809 | ||
AT HOME GROUP INC | COM | 04650Y100 | 121 | 12,604 | SH | SOLE | 0 | 0 | 12,604 | ||
AVON PRODS INC | COM | 054303102 | 266 | 60,500 | SH | SOLE | 0 | 0 | 60,500 | ||
BP PLC | SPONSORED ADR | 055622104 | 322 | 8,482 | SH | SOLE | 0 | 0 | 8,482 | ||
BP MIDSTREAM PARTNERS LP | UNIT LTD PTNR | 0556EL109 | 252 | 17,258 | SH | SOLE | 0 | 0 | 17,257 | ||
BANK AMER CORP | COM | 060505104 | 3,151 | 108,024 | SH | SOLE | 0 | 0 | 108,023 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 211 | 1,016 | SH | SOLE | 0 | 0 | 1,016 | ||
BIOGEN INC | COM | 09062X103 | 575 | 2,471 | SH | SOLE | 0 | 0 | 2,471 | ||
BROADCOM INC | COM | 11135F101 | 941 | 3,376 | SH | SOLE | 0 | 0 | 3,376 | ||
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 282 | 6,863 | SH | SOLE | 0 | 0 | 6,863 | ||
CHEVRON CORP NEW | COM | 166764100 | 721 | 6,082 | SH | SOLE | 0 | 0 | 6,082 | ||
CISCO SYS INC | COM | 17275R102 | 342 | 6,925 | SH | SOLE | 0 | 0 | 6,925 | ||
CONOCOPHILLIPS | COM | 20825C104 | 215 | 3,769 | SH | SOLE | 0 | 0 | 3,769 | ||
DEERE & CO | COM | 244199105 | 244 | 1,441 | SH | SOLE | 0 | 0 | 1,441 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 308 | 3,213 | SH | SOLE | 0 | 0 | 3,213 | ||
DURECT CORP | COM | 266605104 | 2,821 | 1,533,255 | SH | SOLE | 0 | 0 | 1,533,255 | ||
ETF SER SOLUTIONS | DEEP VALUE ETF | 26922A701 | 1,989 | 64,938 | SH | SOLE | 0 | 0 | 64,937 | ||
ETFIS SER TR I | INFRAC ACT MLP | 26923G103 | 402 | 80,681 | SH | SOLE | 0 | 0 | 80,681 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 608 | 21,264 | SH | SOLE | 0 | 0 | 21,263 | ||
EVERSOURCE ENERGY | COM | 30040W108 | 528 | 6,179 | SH | SOLE | 0 | 0 | 6,179 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 217 | 2,400 | SH | SOLE | 0 | 0 | 2,400 | ||
EXXON MOBIL CORP | COM | 30231G102 | 1,438 | 20,362 | SH | SOLE | 0 | 0 | 20,361 | ||
FACEBOOK INC | CL A | 30303M102 | 340 | 1,910 | SH | SOLE | 0 | 0 | 1,910 | ||
FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 33733E302 | 216 | 1,606 | SH | SOLE | 0 | 0 | 1,606 | ||
FIRST TR NASDAQ100 TECH INDE | SHS | 337345102 | 230 | 2,628 | SH | SOLE | 0 | 0 | 2,628 | ||
FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 222 | 3,408 | SH | SOLE | 0 | 0 | 3,408 | ||
FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 33734X184 | 327 | 11,031 | SH | SOLE | 0 | 0 | 11,031 | ||
FIRST TR EXCHANGE TRADED FD | NO AMER ENERGY | 33738D101 | 3,054 | 119,361 | SH | SOLE | 0 | 0 | 119,361 | ||
FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 33738D408 | 970 | 20,119 | SH | SOLE | 0 | 0 | 20,119 | ||
FIRST TR EXCHANGE TRADED FD | NASDAQ BK ETF | 33738R860 | 2,115 | 82,683 | SH | SOLE | 0 | 0 | 82,683 | ||
FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 33739Q200 | 276 | 5,308 | SH | SOLE | 0 | 0 | 5,308 | ||
FIRST TR EXCHANGE TRADED FD | FIRST TR ENH NEW | 33739Q408 | 3,677 | 61,105 | SH | SOLE | 0 | 0 | 61,105 | ||
FISERV INC | COM | 337738108 | 329 | 3,176 | SH | SOLE | 0 | 0 | 3,176 | ||
GLOBAL X FDS | GLB X SUPERDIV | 37950E549 | 195 | 11,475 | SH | SOLE | 0 | 0 | 11,474 | ||
HONEYWELL INTL INC | COM | 438516106 | 373 | 2,207 | SH | SOLE | 0 | 0 | 2,207 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 491 | 2,593 | SH | SOLE | 0 | 0 | 2,593 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 734 | 6,789 | SH | SOLE | 0 | 0 | 6,789 | ||
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 | 556 | 9,598 | SH | SOLE | 0 | 0 | 9,598 | ||
INVESCO EXCHNG TRADED FD TR | NATL AMT MUNI | 46138E537 | 488 | 18,388 | SH | SOLE | 0 | 0 | 18,388 | ||
INVESCO EXCHNG TRADED FD TR | EMRNG MKT SVRG | 46138E784 | 273 | 9,352 | SH | SOLE | 0 | 0 | 9,351 | ||
INVESCO EXCHNG TRADED FD TR | DWA EMERG MKTS | 46138E867 | 475 | 27,132 | SH | SOLE | 0 | 0 | 27,131 | ||
INVESCO EXCHNG TRADED FD TR | S&P ULTRA DIVIDE | 46138G656 | 1,157 | 30,697 | SH | SOLE | 0 | 0 | 30,697 | ||
INVESCO EXCHNG TRADED FD TR | TAXABLE MUN BD | 46138G805 | 3,035 | 93,677 | SH | SOLE | 0 | 0 | 93,677 | ||
IONIS PHARMACEUTICALS INC | COM | 462222100 | 357 | 5,960 | SH | SOLE | 0 | 0 | 5,960 | ||
ISHARES TR | CORE S&P TTL STK | 464287150 | 225 | 3,361 | SH | SOLE | 0 | 0 | 3,361 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 5,854 | 19,611 | SH | SOLE | 0 | 0 | 19,610 | ||
ISHARES TR | CORE US AGGBD ET | 464287226 | 5,927 | 52,377 | SH | SOLE | 0 | 0 | 52,376 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 1,838 | 44,984 | SH | SOLE | 0 | 0 | 44,984 | ||
ISHARES TR | IBOXX INV CP ETF | 464287242 | 306 | 2,403 | SH | SOLE | 0 | 0 | 2,403 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 656 | 10,067 | SH | SOLE | 0 | 0 | 10,067 | ||
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 846 | 6,598 | SH | SOLE | 0 | 0 | 6,598 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 2,044 | 12,807 | SH | SOLE | 0 | 0 | 12,807 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 788 | 5,207 | SH | SOLE | 0 | 0 | 5,207 | ||
ISHARES TR | S&P MC 400VL ETF | 464287705 | 1,008 | 6,304 | SH | SOLE | 0 | 0 | 6,304 | ||
ISHARES TR | US INDUSTRIALS | 464287754 | 280 | 1,763 | SH | SOLE | 0 | 0 | 1,763 | ||
ISHARES TR | NATIONAL MUN ETF | 464288414 | 288 | 2,521 | SH | SOLE | 0 | 0 | 2,521 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 2,225 | 25,525 | SH | SOLE | 0 | 0 | 25,524 | ||
ISHARES SILVER TRUST | ISHARES | 46428Q109 | 901 | 56,601 | SH | SOLE | 0 | 0 | 56,601 | ||
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 1,230 | 24,133 | SH | SOLE | 0 | 0 | 24,133 | ||
ISHARES TR | CORE MSCI TOTAL | 46432F834 | 208 | 3,593 | SH | SOLE | 0 | 0 | 3,593 | ||
ISHARES TR | CORE MSCI EAFE | 46432F842 | 2,110 | 34,544 | SH | SOLE | 0 | 0 | 34,544 | ||
ISHARES INC | CORE MSCI EMKT | 46434G103 | 1,702 | 34,727 | SH | SOLE | 0 | 0 | 34,726 | ||
ISHARES INC | MLT FCTR EMG MKT | 46434G889 | 1,652 | 40,420 | SH | SOLE | 0 | 0 | 40,420 | ||
ISHARES TR | MULTIFACTOR INTL | 46434V274 | 1,970 | 77,243 | SH | SOLE | 0 | 0 | 77,243 | ||
ISHARES TR | MULTIFACTOR USA | 46434V282 | 5,862 | 183,649 | SH | SOLE | 0 | 0 | 183,648 | ||
ISHARES TR | MULTIFACTOR USA | 46434V290 | 2,463 | 61,746 | SH | SOLE | 0 | 0 | 61,746 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 363 | 3,086 | SH | SOLE | 0 | 0 | 3,086 | ||
JD COM INC | SPON ADR CL A | 47215P106 | 515 | 18,245 | SH | SOLE | 0 | 0 | 18,245 | ||
JOHNSON & JOHNSON | COM | 478160104 | 452 | 3,491 | SH | SOLE | 0 | 0 | 3,491 | ||
LINEAGE CELL THERAPEUTICS IN | COM | 53566P109 | 44 | 45,000 | SH | SOLE | 0 | 0 | 45,000 | ||
MPLX LP | COM UNIT REP LTD | 55336V100 | 464 | 16,554 | SH | SOLE | 0 | 0 | 16,554 | ||
MANAGED PORTFOLIO SER | TORTOISE NRAM PI | 56167N720 | 895 | 38,271 | SH | SOLE | 0 | 0 | 38,271 | ||
MANNKIND CORP | COM NEW | 56400P706 | 117 | 93,200 | SH | SOLE | 0 | 0 | 93,200 | ||
MICROSOFT CORP | COM | 594918104 | 1,332 | 9,584 | SH | SOLE | 0 | 0 | 9,584 | ||
NEWMONT GOLDCORP CORPORATION | COM | 651639106 | 207 | 5,465 | SH | SOLE | 0 | 0 | 5,464 | ||
NOVAVAX INC | COM NEW | 670002401 | 233 | 46,500 | SH | SOLE | 0 | 0 | 46,500 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 276 | 19,198 | SH | SOLE | 0 | 0 | 19,198 | ||
ORACLE CORP | COM | 68389X105 | 224 | 4,078 | SH | SOLE | 0 | 0 | 4,078 | ||
PPL CORP | COM | 69351T106 | 545 | 17,068 | SH | SOLE | 0 | 0 | 17,068 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 324 | 1,591 | SH | SOLE | 0 | 0 | 1,591 | ||
PAN AMERICAN SILVER CORP | COM | 697900108 | 1,143 | 72,908 | SH | SOLE | 0 | 0 | 72,907 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 576 | 5,560 | SH | SOLE | 0 | 0 | 5,560 | ||
PHILIP MORRIS INTL INC | COM | 718172109 | 395 | 5,124 | SH | SOLE | 0 | 0 | 5,124 | ||
PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 553 | 9,759 | SH | SOLE | 0 | 0 | 9,758 | ||
PIVOTAL SOFTWARE INC | COM CL A | 72582H107 | 320 | 21,471 | SH | SOLE | 0 | 0 | 21,471 | ||
PLURALSIGHT INC | COM CL A | 72941B106 | 227 | 13,492 | SH | SOLE | 0 | 0 | 13,492 | ||
POST HLDGS INC | COM | 737446104 | 212 | 2,000 | SH | SOLE | 0 | 0 | 2,000 | ||
PROSHARES TR | ULTRA FNCLS NEW | 74347X633 | 540 | 11,484 | SH | SOLE | 0 | 0 | 11,484 | ||
RESIDEO TECHNOLOGIES INC | COM | 76118Y104 | 264 | 18,423 | SH | SOLE | 0 | 0 | 18,423 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,184 | 3,970 | SH | SOLE | 0 | 0 | 3,970 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 3,045 | 21,925 | SH | SOLE | 0 | 0 | 21,925 | ||
SAREPTA THERAPEUTICS INC | COM | 803607100 | 311 | 4,128 | SH | SOLE | 0 | 0 | 4,128 | ||
SQUARE INC | CL A | 852234103 | 301 | 4,856 | SH | SOLE | 0 | 0 | 4,856 | ||
SWEDISH EXPT CR CORP | ROG TTL ETN 22 | 870297801 | 144 | 28,350 | SH | SOLE | 0 | 0 | 28,350 | ||
TALLGRASS ENERGY LP | CLASS A SHS | 874696107 | 292 | 14,504 | SH | SOLE | 0 | 0 | 14,504 | ||
TELLURIAN INC NEW | COM | 87968A104 | 166 | 20,000 | SH | SOLE | 0 | 0 | 20,000 | ||
TWITTER INC | COM | 90184L102 | 530 | 12,863 | SH | SOLE | 0 | 0 | 12,863 | ||
UGI CORP NEW | COM | 902681105 | 304 | 6,000 | SH | SOLE | 0 | 0 | 6,000 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 255 | 1,867 | SH | SOLE | 0 | 0 | 1,867 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 277 | 10,363 | SH | SOLE | 0 | 0 | 10,363 | ||
VANECK VECTORS ETF TR | HIGH YLD MUN ETF | 92189H409 | 226 | 3,501 | SH | SOLE | 0 | 0 | 3,501 | ||
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 479 | 5,675 | SH | SOLE | 0 | 0 | 5,675 | ||
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 1,573 | 38,298 | SH | SOLE | 0 | 0 | 38,297 | ||
VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 891 | 10,041 | SH | SOLE | 0 | 0 | 10,041 | ||
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 835 | 16,737 | SH | SOLE | 0 | 0 | 16,736 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 2,972 | 73,812 | SH | SOLE | 0 | 0 | 73,812 | ||
VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 1,978 | 21,681 | SH | SOLE | 0 | 0 | 21,680 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 495 | 1,807 | SH | SOLE | 0 | 0 | 1,807 | ||
VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 | 1,867 | 20,018 | SH | SOLE | 0 | 0 | 20,018 | ||
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 393 | 2,342 | SH | SOLE | 0 | 0 | 2,342 | ||
VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 214 | 1,289 | SH | SOLE | 0 | 0 | 1,289 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 668 | 11,063 | SH | SOLE | 0 | 0 | 11,063 | ||
VISA INC | COM CL A | 92826C839 | 214 | 1,242 | SH | SOLE | 0 | 0 | 1,242 | ||
WESTERN DIGITAL CORP | COM | 958102105 | 423 | 7,092 | SH | SOLE | 0 | 0 | 7,092 | ||
WESTERN MIDSTREAM PARTNERS L | COM UNIT LP INT | 958669103 | 312 | 12,518 | SH | SOLE | 0 | 0 | 12,517 | ||
WHEATON PRECIOUS METALS CORP | COM | 962879102 | 338 | 12,884 | SH | SOLE | 0 | 0 | 12,883 | ||
WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 877 | 17,379 | SH | SOLE | 0 | 0 | 17,379 | ||
XPO LOGISTICS INC | COM | 983793100 | 497 | 6,940 | SH | SOLE | 0 | 0 | 6,940 | ||
ALLERGAN PLC | SHS | G0177J108 | 664 | 3,947 | SH | SOLE | 0 | 0 | 3,947 | ||
SEAGATE TECHNOLOGY PLC | SHS | G7945M107 | 486 | 8,936 | SH | SOLE | 0 | 0 | 8,936 |