| CCO HLDGS LLC/CAP CORP 05.750% 090123 |
|
BOND |
Purchase
|
April 30, 2018 |
$1,001 - $15,000 |
| BLACKROCK STRATEGIC MUNICIPAL OPPORTUNITIES |
BST |
FUND |
Sale
|
April 25, 2018 |
$15,001 - $50,000 |
| BLACKROCK STRATEGIC MUNICIPAL OPPORTUNITIES |
BST |
FUND |
Sale
|
April 25, 2018 |
$15,001 - $50,000 |
| SPDR DoubleLine Total Return Tactical ETF (ToTL) |
TOTL |
ETF |
Sale
|
April 25, 2018 |
$50,001 - $100,000 |
| GUGGENHEIM TOTAL RETURN BOND [oT] |
GBND |
FUND |
Purchase
|
April 25, 2018 |
$15,001 - $50,000 |
| gUggENHEIM ToTAL RETURN BoND FUND [oT] |
GTBFX |
FUND |
Purchase
|
April 25, 2018 |
$50,001 - $100,000 |
| iShares J.P. Morgan USD Emerging Markets Bond ETF (EMB) [ST] |
EMB |
ETF |
partial
|
April 25, 2018 |
$1,001 - $15,000 |
| iShares J.P. Morgan USD Emerging Markets Bond ETF (EMB) [ST] |
EMB |
ETF |
partial
|
April 25, 2018 |
$1,001 - $15,000 |
| iShares U.S. Preferred Stock ETF (PFF) [ST] |
PFF |
ETF |
Purchase
|
April 25, 2018 |
$15,001 - $50,000 |
| iShares U.S. Preferred Stock ETF (PFF) [ST] |
PFF |
ETF |
Purchase
|
April 25, 2018 |
$15,001 - $50,000 |
| Novartis Ag (NVS) |
NVS |
STOCK |
Purchase
|
April 25, 2018 |
$1,001 - $15,000 |
| SPDR DoubleLine Total Return Tactical ETF (ToTL) |
TOTL |
ETF |
Sale
|
April 25, 2018 |
$15,001 - $50,000 |
| VanEck Vectors J.P. Morgan EM Local Currency Bond ETF (EMLC) |
EMLC |
ETF |
Purchase
|
April 25, 2018 |
$1,001 - $15,000 |
| VanEck Vectors J.P. Morgan EM Local Currency Bond ETF (EMLC) |
EMLC |
ETF |
Purchase
|
April 25, 2018 |
$1,001 - $15,000 |
| NCR CoRP NTS B/E 05.000% P |
|
BOND |
Purchase
|
April 24, 2018 |
$1,001 - $15,000 |
| NETFLIX INC NTS B/E 05.500% P |
NFLX |
BOND |
Purchase
|
April 24, 2018 |
$1,001 - $15,000 |
| BHP Billiton plc Sponsored ADR (BBL) |
BBL |
STOCK |
Sale (partial)
|
April 23, 2018 |
$15,001 - $50,000 |
| Fast Retailing Co Ltd Unsponsored ADR (FRCoY) |
FRCoY |
STOCK |
Sale (partial)
|
April 20, 2018 |
$1,001 - $15,000 |
| SPDR Select Sector Fund - Financial (XLF) |
XLF |
ETF |
Purchase
|
April 18, 2018 |
$15,001 - $50,000 |
| PowerShares S&P 500 Equal Weight Portfolio (RSP) |
RSP |
ETF |
Sale (partial)
|
April 18, 2018 |
$1,001 - $15,000 |
| SunTrust Banks, Inc. (STI) |
STI |
STOCK |
Purchase
|
April 17, 2018 |
$1,001 - $15,000 |
| SunTrust Banks, Inc. (STI) |
STI |
STOCK |
Purchase
|
April 17, 2018 |
$1,001 - $15,000 |
| NextEra Energy, Inc. (NEE) |
NEE |
STOCK |
Sale (partial)
|
April 17, 2018 |
$1,001 - $15,000 |
| Texas Instruments Incorporated (TXN) |
TXN |
STOCK |
Sale (partial)
|
April 17, 2018 |
$1,001 - $15,000 |
| DIAMONDBACK ENERGY INC 05.375% 053125 [CS] |
FANG |
BOND |
Purchase
|
April 17, 2018 |
$1,001 - $15,000 |
| SunTrust Banks, Inc. (STI) |
STI |
STOCK |
Purchase
|
April 17, 2018 |
$1,001 - $15,000 |
| CNH INDL CAPITAL L NTS 03.625% 041518 |
|
NOTE |
Sale
|
April 16, 2018 |
$1,001 - $15,000 |
| NCR CoRP NTS B/E 05.000% P |
|
BOND |
Purchase
|
April 10, 2018 |
$1,001 - $15,000 |
| NETFLIX INC NTS B/E 05.500% P |
NFLX |
BOND |
Purchase
|
April 10, 2018 |
$1,001 - $15,000 |
| NCR CoRP NTS B/E 05.000% 071522 [CS] |
|
BOND |
Purchase
|
April 9, 2018 |
$1,001 - $15,000 |
| Deutsche Post Ag Sponsored ADR (DPSgY) |
DPSgY |
STOCK |
Purchase
|
April 6, 2018 |
$1,001 - $15,000 |
| Deutsche Post Ag Sponsored ADR (DPSgY) |
DPSgY |
STOCK |
Purchase
|
April 5, 2018 |
$1,001 - $15,000 |
| Royal KPN N.V. (KKPNY) |
KKPNY |
STOCK |
Sale
|
April 4, 2018 |
$15,001 - $50,000 |
| MANoR TX ISD UT BE/R/ 5 DUE 080132 [gS] |
|
BOND |
Purchase
|
April 4, 2018 |
$100,001 - $250,000 |
| Deutsche Post Ag Sponsored ADR (DPSgY) |
DPSgY |
STOCK |
Purchase
|
April 4, 2018 |
$15,001 - $50,000 |
| Royal KPN N.V. (KKPNY) |
KKPNY |
STOCK |
Sale (partial)
|
April 3, 2018 |
$1,001 - $15,000 |
| Royal KPN N.V. (KKPNY) |
KKPNY |
STOCK |
Sale (partial)
|
April 3, 2018 |
$1,001 - $15,000 |
| NRg Yield, Inc. Class C (NYLD) |
NYLD |
STOCK |
Purchase
|
April 3, 2018 |
$15,001 - $50,000 |
| Energy Transfer Partners, L.P. Common Units (ETP) |
ET |
STOCK |
Sale
|
April 3, 2018 |
$50,001 - $100,000 |
| Enterprise Products Partners L.P. (EPD) |
EPD |
STOCK |
Purchase
|
April 3, 2018 |
$15,001 - $50,000 |
| Targa Resources, Inc. (TRgP) |
TRGP |
STOCK |
Purchase
|
April 3, 2018 |
$15,001 - $50,000 |
| Union Pacific Corporation (UNP) |
UNP |
STOCK |
Purchase
|
April 2, 2018 |
$1,001 - $15,000 |
| NCR CoRP NTS B/E 05.000% 071522 [CS] |
|
BOND |
Purchase
|
April 2, 2018 |
$1,001 - $15,000 |