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 |
Alphabet Inc. Class A | COM | 02079K305 | 5,973 | 5,290 | SH | SOLE | 5,290 | 0 | 0 | ||
Alphabet Inc. Class C | COM | 02079K107 | 818 | 733 | SH | SOLE | 733 | 0 | 0 | ||
Amazon Com Inc | COM | 023135106 | 9,886 | 5,816 | SH | SOLE | 5,816 | 0 | 0 | ||
American Electrical Power Inc | COM | 025537101 | 390 | 5,625 | SH | SOLE | 5,625 | 0 | 0 | ||
Amgen Inc | COM | 031162100 | 1,016 | 5,505 | SH | SOLE | 5,505 | 0 | 0 | ||
Apple Inc. | COM | 037833100 | 8,161 | 44,088 | SH | SOLE | 44,088 | 0 | 0 | ||
Applied Materials Inc. | COM | 038222105 | 2,826 | 61,185 | SH | SOLE | 61,185 | 0 | 0 | ||
AT&T Corp | COM | 00206R102 | 2,271 | 70,711 | SH | SOLE | 70,711 | 0 | 0 | ||
Bank of America Corp | COM | 060505104 | 1,309 | 46,451 | SH | SOLE | 46,451 | 0 | 0 | ||
Berkshire Hathaway Inc Cl B | COM | 084670702 | 280 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
Boeing Co | COM | 097023105 | 4,913 | 14,642 | SH | SOLE | 14,642 | 0 | 0 | ||
Bristol-Myers Squibb Co | COM | 110122108 | 274 | 4,959 | SH | SOLE | 4,959 | 0 | 0 | ||
Buckeye Partners LP | COM | 118230101 | 302 | 8,600 | SH | SOLE | 8,600 | 0 | 0 | ||
Caterpillar Inc | COM | 149123101 | 3,771 | 27,794 | SH | SOLE | 27,794 | 0 | 0 | ||
CBS Corporation | COM | 124857202 | 250 | 4,450 | SH | SOLE | 4,450 | 0 | 0 | ||
Chevron Corp. | COM | 166764100 | 686 | 5,425 | SH | SOLE | 5,425 | 0 | 0 | ||
Cisco Systems Inc | COM | 17275R102 | 301 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
Citigroup Inc. | COM | 172967424 | 4,263 | 63,708 | SH | SOLE | 63,708 | 0 | 0 | ||
Coca Cola Co. | COM | 191216100 | 211 | 4,820 | SH | SOLE | 4,820 | 0 | 0 | ||
Comcast Corp New | Cl. A | 20030N101 | 444 | 13,550 | SH | SOLE | 13,550 | 0 | 0 | ||
Consolidated Edison | COM | 209115104 | 969 | 12,425 | SH | SOLE | 12,425 | 0 | 0 | ||
Costco Wholesale Corp | COM | 22160K105 | 439 | 2,100 | SH | SOLE | 2,100 | 0 | 0 | ||
CVS Health Corp | COM | 126650100 | 853 | 13,250 | SH | SOLE | 13,250 | 0 | 0 | ||
Deere & Co | COM | 244199105 | 3,494 | 24,993 | SH | SOLE | 24,993 | 0 | 0 | ||
Disney Walt Co | COM | 254687106 | 781 | 7,450 | SH | SOLE | 7,450 | 0 | 0 | ||
Dow Du Pont Inc. | COM | 26078J100 | 3,361 | 50,984 | SH | SOLE | 50,984 | 0 | 0 | ||
Energizer Holdings Inc. | COM | 29272W109 | 3,750 | 59,557 | SH | SOLE | 59,557 | 0 | 0 | ||
Exxon Mobil Corp | COM | 30231G102 | 745 | 9,005 | SH | SOLE | 9,005 | 0 | 0 | ||
Facebook Inc. | Cl. A | 30303M102 | 471 | 2,425 | SH | SOLE | 2,425 | 0 | 0 | ||
Fedex Corp. | COM | 31428X106 | 3,211 | 14,141 | SH | SOLE | 14,141 | 0 | 0 | ||
Freeport McMoran Copper & Gold Inc | COM | 35671D857 | 379 | 21,950 | SH | SOLE | 21,950 | 0 | 0 | ||
General Dynamics Corp. | COM | 369550108 | 2,841 | 15,242 | SH | SOLE | 15,242 | 0 | 0 | ||
General Electric Co | COM | 369604103 | 778 | 57,200 | SH | SOLE | 57,200 | 0 | 0 | ||
Gilead Sciences Inc | COM | 375558103 | 997 | 14,075 | SH | SOLE | 14,075 | 0 | 0 | ||
Goldman Sachs Group Inc. | COM | 38141G104 | 2,279 | 10,334 | SH | SOLE | 10,334 | 0 | 0 | ||
Gulfmark Offshore Inc. | COM | 402629505 | 344 | 10,254 | SH | SOLE | 10,254 | 0 | 0 | ||
Home Depot Inc | COM | 437076102 | 585 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
Illinois Tool Wks Inc. | COM | 452308109 | 1,394 | 10,059 | SH | SOLE | 10,059 | 0 | 0 | ||
Intel Corp | COM | 458140100 | 1,234 | 24,827 | SH | SOLE | 24,827 | 0 | 0 | ||
International Business Machines | COM | 459200101 | 398 | 2,847 | SH | SOLE | 2,847 | 0 | 0 | ||
Johnson & Johnson | COM | 478160104 | 4,190 | 34,527 | SH | SOLE | 34,527 | 0 | 0 | ||
JP Morgan Chase & Co | COM | 46625H100 | 4,203 | 40,338 | SH | SOLE | 40,338 | 0 | 0 | ||
Lam Research Corp. | COM | 512807108 | 2,656 | 15,364 | SH | SOLE | 15,364 | 0 | 0 | ||
Mastercard Inc. | Cl. A | 57636Q104 | 4,201 | 21,377 | SH | SOLE | 21,377 | 0 | 0 | ||
McCormick & Co. Inc. | COM | 579780206 | 2,717 | 23,402 | SH | SOLE | 23,402 | 0 | 0 | ||
Merck & Co New | COM | 58933Y105 | 1,354 | 22,302 | SH | SOLE | 22,302 | 0 | 0 | ||
Microsoft Corp | COM | 594918104 | 5,111 | 51,835 | SH | SOLE | 51,835 | 0 | 0 | ||
3M Company | COM | 88579Y101 | 2,614 | 13,288 | SH | SOLE | 13,288 | 0 | 0 | ||
Mohawk Industries Inc. | COM | 608190104 | 2,664 | 12,435 | SH | SOLE | 12,435 | 0 | 0 | ||
Netflix Inc | COM | 64110L106 | 1,028 | 2,625 | SH | SOLE | 2,625 | 0 | 0 | ||
Obsidian Energy Ltd. | COM | 674482104 | 90 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Parker Hannifin Corp. | COM | 701094104 | 2,716 | 17,429 | SH | SOLE | 17,429 | 0 | 0 | ||
Pepsico Inc. | COM | 713448108 | 724 | 6,650 | SH | SOLE | 6,650 | 0 | 0 | ||
Pfizer Inc | COM | 717081103 | 766 | 21,100 | SH | SOLE | 21,100 | 0 | 0 | ||
Procter & Gamble Co. | COM | 742718109 | 320 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
Raytheon Co. | COM | 755111507 | 270 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
Royal Dutch Shell PLC | Spons. ADR | 780259206 | 893 | 12,900 | SH | SOLE | 12,900 | 0 | 0 | ||
Salesforce.com Inc | COM | 79466L302 | 4,657 | 34,142 | SH | SOLE | 34,142 | 0 | 0 | ||
Servicenow Inc. | COM | 81762P102 | 4,615 | 26,760 | SH | SOLE | 26,760 | 0 | 0 | ||
SVB Finl Group | COM | 78486Q101 | 563 | 1,950 | SH | SOLE | 1,950 | 0 | 0 | ||
Sysco Corp. | COM | 871829107 | 266 | 3,900 | SH | SOLE | 3,900 | 0 | 0 | ||
Texas Instruments Inc. | COM | 882508104 | 3,733 | 33,855 | SH | SOLE | 33,855 | 0 | 0 | ||
Union Pacific Corp | COM | 907818108 | 3,594 | 25,365 | SH | SOLE | 25,365 | 0 | 0 | ||
United Technologies Co | COM | 913017109 | 385 | 3,080 | SH | SOLE | 3,080 | 0 | 0 | ||
Uranium Energy Corp. | COM | 916896103 | 41 | 25,500 | SH | SOLE | 25,500 | 0 | 0 | ||
Verizon Communications Inc. | COM | 92343V104 | 889 | 17,667 | SH | SOLE | 17,667 | 0 | 0 | ||
Volkswagen AG | Spons. ADR | 928662303 | 2,605 | 78,845 | SH | SOLE | 78,845 | 0 | 0 | ||
Citigroup Inc. Preferred Ser S | Preferred | 172967317 | 341 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
Goldman Sachs Group Inc. Prfrd Ser N | Preferred | 38148B504 | 373 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
UBS AG Ldn Trigger Phoenix AC Euro Stx 50 | COM | 90274T494 | 647 | 67,500 | SH | SOLE | 67,500 | 0 | 0 | ||
Wells Fargo & Co Prfd J | Preferred | 949746879 | 360 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
Tortoise MLP Fund | COM | 89148B101 | 248 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
Eaton Vance High Inc 2021 FD | COM | 27829W101 | 194 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
Eaton Vance Muni Bond Fund | COM | 27827X101 | 396 | 33,500 | SH | SOLE | 33,500 | 0 | 0 | ||
First Trust Intermediate Duration Pfd Incm. | COM | 33718W103 | 718 | 33,250 | SH | SOLE | 33,250 | 0 | 0 | ||
Flaherty & Crumrine Dynamic Pfd | Preferred | 33848W106 | 1,426 | 60,800 | SH | SOLE | 60,800 | 0 | 0 | ||
John Hancock Tax Advantaged Div. Income Fd | COM | 41013V100 | 356 | 15,250 | SH | SOLE | 15,250 | 0 | 0 | ||
Nuveen Connecticut Quality Incm Muni Fd | COM | 67060D107 | 315 | 26,500 | SH | SOLE | 26,500 | 0 | 0 | ||
Nuveen High Income 11/21 Tgt Trm Fd. | COM | 67077N106 | 287 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Nuveen NY AMT-FREE Quality INCM | COM | 670656107 | 208 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
Nuveen Muni Value Fund Inc. | COM | 670928100 | 206 | 21,500 | SH | SOLE | 21,500 | 0 | 0 | ||
Pimco Dynamic Credit Income Fund | COM | 72202D106 | 1,584 | 67,200 | SH | SOLE | 67,200 | 0 | 0 | ||
ALPS Alerian MLP ETF | COM | 00162Q866 | 315 | 31,200 | SH | SOLE | 31,200 | 0 | 0 | ||
Consumer Staples Select Sector SPDR | COM | 81369Y308 | 383 | 7,425 | SH | SOLE | 7,425 | 0 | 0 | ||
Energy Select Sector SPDR ETF | COM | 81369Y506 | 892 | 11,750 | SH | SOLE | 11,750 | 0 | 0 | ||
Exponential Technologies ETF | COM | 46434V381 | 1,262 | 34,825 | SH | SOLE | 34,825 | 0 | 0 | ||
Financial Sector SPDR ETF | COM | 81369Y605 | 1,099 | 41,320 | SH | SOLE | 41,320 | 0 | 0 | ||
First Trust DJ Internet Index ETF | COM | 33733E302 | 3,430 | 24,920 | SH | SOLE | 24,920 | 0 | 0 | ||
Industrial Select Sector SPDR ETF | COM | 81369Y704 | 1,680 | 23,450 | SH | SOLE | 23,450 | 0 | 0 | ||
Invesco QQQ Trust, Series 1 | COM | 46090E103 | 972 | 5,660 | SH | SOLE | 5,660 | 0 | 0 | ||
Invesco S&P 500 Equal Weight ETF | COM | 46137V357 | 237 | 2,325 | SH | SOLE | 2,325 | 0 | 0 | ||
Ishares Biotechnology ETF | COM | 464287556 | 1,331 | 12,120 | SH | SOLE | 12,120 | 0 | 0 | ||
Ishares Core S&P500 ETF | COM | 464287200 | 356 | 1,305 | SH | SOLE | 1,305 | 0 | 0 | ||
Ishares Dow Jones US ETF | COM | 464287846 | 1,539 | 11,285 | SH | SOLE | 11,285 | 0 | 0 | ||
Ishares Global Healthcare ETF | COM | 464287325 | 579 | 10,250 | SH | SOLE | 10,250 | 0 | 0 | ||
Ishares North American Tech ETF | COM | 464287549 | 7,550 | 39,140 | SH | SOLE | 39,140 | 0 | 0 | ||
Ishares North American Tech Software ETF | COM | 464287515 | 2,301 | 12,595 | SH | SOLE | 12,595 | 0 | 0 | ||
Ishares Russell 1000 Growth ETF | COM | 464287614 | 2,768 | 19,250 | SH | SOLE | 19,250 | 0 | 0 | ||
Ishares Russell 2000 ETF | COM | 464287655 | 2,797 | 17,077 | SH | SOLE | 17,077 | 0 | 0 | ||
Ishares Russell 2000 Growth ETF | COM | 464287648 | 1,662 | 8,135 | SH | SOLE | 8,135 | 0 | 0 | ||
Ishares Russell 2000 Value ETF | COM | 464287630 | 547 | 4,150 | SH | SOLE | 4,150 | 0 | 0 | ||
Ishares Russell Mid-Cap ETF | COM | 464287499 | 811 | 3,825 | SH | SOLE | 3,825 | 0 | 0 | ||
Ishares Russell Mid-Cap Growth ETF | COM | 464287481 | 2,492 | 19,665 | SH | SOLE | 19,665 | 0 | 0 | ||
Ishares Russell Mid-Cap Value ETF | COM | 464287473 | 375 | 4,240 | SH | SOLE | 4,240 | 0 | 0 | ||
Ishares S&P 500 Value ETF | COM | 464287408 | 396 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
Ishares S&P Small-Cap 600 Growth ETF | COM | 464287887 | 2,626 | 13,895 | SH | SOLE | 13,895 | 0 | 0 | ||
Ishares US Medical Devices ETF | COM | 464288810 | 1,538 | 7,665 | SH | SOLE | 7,665 | 0 | 0 | ||
Ishares US Preferred Stock ETF | COM | 464288687 | 1,165 | 30,900 | SH | SOLE | 30,900 | 0 | 0 | ||
Robo Global Robotics & Automation | COM | 301505707 | 1,642 | 41,050 | SH | SOLE | 41,050 | 0 | 0 | ||
SPDR S&P Metals and Mining | COM | 07846A755 | 384 | 10,825 | SH | SOLE | 10,825 | 0 | 0 | ||
SPDR S&P Oil & Gas Equip Svc | COM | 78464A748 | 520 | 30,650 | SH | SOLE | 30,650 | 0 | 0 | ||
SPDR Healthcare Select Sector | COM | 81369Y209 | 830 | 9,950 | SH | SOLE | 9,950 | 0 | 0 | ||
Proshares Short 20 Year Treasury | COM | 74347X849 | 221 | 9,750 | SH | SOLE | 9,750 | 0 | 0 | ||
SPDR Gold Trust | COM | 78463V107 | 314 | 2,650 | SH | SOLE | 2,650 | 0 | 0 | ||
SPDR S&P 500 ETF Trust | COM | 78462F103 | 2,398 | 8,840 | SH | SOLE | 8,840 | 0 | 0 | ||
SPDR S&P 600 Small Cap ETF | COM | 78464A813 | 705 | 9,750 | SH | SOLE | 9,750 | 0 | 0 | ||
SPDR Ser Tr S&P Dividend | COM | 78464A763 | 830 | 8,950 | SH | SOLE | 8,950 | 0 | 0 | ||
SPDR S&P Midcap 400 | COM | 78467Y107 | 1,207 | 3,400 | SH | SOLE | 3,400 | 0 | 0 | ||
SPDR S&P Regional Banking ETF | COM | 78464A698 | 1,424 | 23,350 | SH | SOLE | 23,350 | 0 | 0 | ||
SPDR Fd Technology | COM | 81369Y803 | 716 | 10,300 | SH | SOLE | 10,300 | 0 | 0 | ||
SPDR Fd Utilities | COM | 81369Y886 | 244 | 4,700 | SH | SOLE | 4,700 | 0 | 0 | ||
Vaneck Gold Miners ETF | COM | 92189F106 | 301 | 13,500 | SH | SOLE | 13,500 | 0 | 0 | ||
Vanguard Extended Market ETF | COM | 922908652 | 1,172 | 9,950 | SH | SOLE | 9,950 | 0 | 0 | ||
Vanguard Growth ETF | COM | 922908736 | 3,860 | 25,765 | SH | SOLE | 25,765 | 0 | 0 | ||
Vanguard High Div Yield | COM | 921946406 | 562 | 6,766 | SH | SOLE | 6,766 | 0 | 0 | ||
Vanguard Large-Cap ETF | COM | 922908637 | 2,075 | 16,631 | SH | SOLE | 16,631 | 0 | 0 | ||
Vanguard Mid Cap ETF | COM | 922908629 | 252 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
Vanguard Mid Cap Growth ETF | COM | 922908538 | 1,105 | 8,220 | SH | SOLE | 8,220 | 0 | 0 | ||
Vanguard Total Stock Market ETF | COM | 922908769 | 2,608 | 18,570 | SH | SOLE | 18,570 | 0 | 0 | ||
Vanguard Value ETF | COM | 922908744 | 323 | 3,112 | SH | SOLE | 3,112 | 0 | 0 | ||
Ishares Floating Rate Bond ETF | COM | 46429B655 | 306 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
Ishares TIPS Bond ETF | COM | 464287176 | 821 | 7,273 | SH | SOLE | 7,273 | 0 | 0 | ||
SPDR Barclays High Yield Bond ETF | COM | 78464A417 | 252 | 7,100 | SH | SOLE | 7,100 | 0 | 0 | ||
Vanguard Short Term Inflation Protected ETF | COM | 922020805 | 293 | 6,000 | SH | SOLE | 6,000 | 0 | 0 |