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| Name: |
SII INVESTMENTS INC/WI |
| City: |
APPLETON |
| State: |
WI |
| Zip: |
45912 |
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 |
Ticker |
Company Name |
Position
Rank |
New/Closed
Postion |
Last
Close |
Value |
Shares Held |
% of
Portfolio |
Value
Change |
Change In
Shares Held |
% of Company |
Industry |
|
REGL |
ProShares S&P MidCap 400 Di... |
130 |
Closed |
$0.00 |
$0 |
0 |
0% |
-268,000 |
-4,891 |
0 |
N/A |
|
|
EMHY |
iShares Emerging Markets Hi... |
162 |
Closed |
$0.00 |
$0 |
0 |
0% |
-375,000 |
-7,456 |
0 |
N/A |
|
|
IAU |
iShares COMEX Gold Trust |
196 |
Closed |
$43.95 |
$0 |
0 |
0% |
-303,000 |
-11,966 |
0 |
Closed - End Fund - E... |
|
|
IHE |
iShares Dow Jones U.S. Phar... |
228 |
Closed |
$63.10 |
$0 |
0 |
0% |
-1,178,000 |
-7,676 |
0 |
Closed - End Fund - E... |
|
|
NVLN |
Novelion Therapeutics Inc |
260 |
Closed |
$0.70 |
$0 |
0 |
0% |
-34,000 |
-11,299 |
0 |
Diagnostic Substances |
|
|
UGI |
UGI Corp |
292 |
Closed |
$24.35 |
$0 |
0 |
0% |
-443,000 |
-9,468 |
0 |
Multi Utilities |
|
|
WIN |
Windstream Holdings Inc |
1 |
Closed |
$0.08 |
$0 |
0 |
0% |
-30,000 |
-3,192 |
0 |
Telecom Services - Do... |
|
|
LRGF |
Ishares Factorselect Msci U... |
324 |
Closed |
$53.13 |
$0 |
0 |
0% |
-561,000 |
-17,648 |
0 |
N/A |
|
|
DIS |
Walt Disney Co |
34 |
Closed |
$116.47 |
$0 |
0 |
0% |
-2,657,000 |
-24,671 |
0 |
Entertainment - Diver... |
|
|
FEMB |
First Trust Emerging Market... |
356 |
Closed |
$0.00 |
$0 |
0 |
0% |
-411,000 |
-9,722 |
0 |
N/A |
|
|
VBR |
Vanguard Small Cap Val VIPER |
66 |
Closed |
$186.45 |
$0 |
0 |
0% |
-687,000 |
-5,154 |
0 |
Closed - End Fund - E... |
|
|
ZION |
Zions Bancorporation |
388 |
Closed |
$43.70 |
$0 |
0 |
0% |
-693,000 |
-13,672 |
0 |
Domestic Regional Banks |
|
|
SO |
Southern Co |
98 |
Closed |
$75.47 |
$0 |
0 |
0% |
-409,000 |
-8,499 |
0 |
Electric Utilities |
|
|
TIP |
iShares Lehman TIPS Bond |
149 |
Closed |
$105.98 |
$0 |
0 |
0% |
-7,739,000 |
-67,887 |
0 |
Closed - End Fund - E... |
|
|
HYLS |
First Trust Tactical High Y... |
182 |
Closed |
$40.81 |
$0 |
0 |
0% |
-338,000 |
-6,945 |
0 |
N/A |
|
|
BNDX |
Vanguard Total Internationa... |
215 |
Closed |
$48.75 |
$0 |
0 |
0% |
-22,353,000 |
-411,157 |
0 |
N/A |
|
|
JPME |
Jpmorgan Diversified Return... |
247 |
Closed |
$0.00 |
$0 |
0 |
0% |
-819,000 |
-12,957 |
0 |
N/A |
|
|
SCHX |
Schwab Strategic Trust |
279 |
Closed |
$61.29 |
$0 |
0 |
0% |
-2,546,000 |
-39,997 |
0 |
Closed - End Fund - Debt |
|
|
VGT |
Vanguard I T VIPERS |
311 |
Closed |
$516.83 |
$0 |
0 |
0% |
-721,000 |
-4,421 |
0 |
Closed - End Fund - E... |
|
|
ACM |
Aecom Technology Corp |
20 |
Closed |
$96.29 |
$0 |
0 |
0% |
-471,000 |
-12,952 |
0 |
Technical Services |
|
|
GSK |
GlaxoSmithKline Plc (ADR) |
343 |
Closed |
$40.41 |
$0 |
0 |
0% |
-692,000 |
-19,496 |
0 |
Drug Manufacturers - ... |
|
|
OC |
Owens Corning |
53 |
Closed |
$177.26 |
$0 |
0 |
0% |
-662,000 |
-7,212 |
0 |
General Building Mate... |
|
|
BLW |
Blackrock Limited Duration ... |
375 |
Closed |
$13.67 |
$0 |
0 |
0% |
-197,000 |
-12,325 |
0 |
Closed - End Fund - Debt |
|
|
DVY |
iShares Dow Select Div |
85 |
Closed |
$121.94 |
$0 |
0 |
0% |
-4,804,000 |
-48,736 |
0 |
Closed - End Fund - E... |
|
|
VBK |
Vanguard Small Cap Gr VIPERS |
117 |
Closed |
$252.02 |
$0 |
0 |
0% |
-653,000 |
-4,076 |
0 |
Closed - End Fund - E... |
|
|
PAYX |
Paychex Inc |
136 |
Closed |
$120.63 |
$0 |
0 |
0% |
-543,000 |
-7,963 |
0 |
Staffing & Outsourcin... |
|
|
HYH |
Halyard Health, Inc. |
168 |
Closed |
$19.73 |
$0 |
0 |
0% |
-200,000 |
-4,355 |
0 |
N/A |
|
|
CAT |
Caterpillar Inc |
202 |
Closed |
$342.10 |
$0 |
0 |
0% |
-9,247,000 |
-58,679 |
0 |
Farm & Construction M... |
|
|
PM |
Philip Morris International... |
234 |
Closed |
$97.45 |
$0 |
0 |
0% |
-530,000 |
-5,004 |
0 |
Cigarettes & Other To... |
|
|
PCI |
Pimco Dynamic Credit Income... |
266 |
Closed |
$20.47 |
$0 |
0 |
0% |
-2,501,000 |
-111,410 |
0 |
N/A |
|
|
BLV |
Vanguard Long-Term Bond ETF |
298 |
Closed |
$69.67 |
$0 |
0 |
0% |
-12,467,000 |
-131,070 |
0 |
Closed - End Fund - Debt |
|
|
T |
AT&T Corp |
7 |
Closed |
$16.99 |
$0 |
0 |
0% |
-3,151,000 |
-80,877 |
0 |
Long Distance Carriers |
|
|
ITOT |
iShares Core S&P Total US |
330 |
Closed |
$113.68 |
$0 |
0 |
0% |
-242,000 |
-3,955 |
0 |
Closed - End Fund - E... |
|
|
GNL |
Global Net Lease Inc |
40 |
Closed |
$7.28 |
$0 |
0 |
0% |
-1,531,000 |
-74,398 |
0 |
N/A |
|
|
LEO |
Dreyfus Strategic Municipal... |
362 |
Closed |
$8.14 |
$0 |
0 |
0% |
-128,000 |
-14,723 |
0 |
Closed - End Fund - Debt |
|
|
VER |
VEREIT, Inc |
72 |
Closed |
$7.70 |
$0 |
0 |
0% |
-1,654,000 |
-212,177 |
0 |
Real Estate Development |
|
|
IVE |
iShares S&P 500/BARRA Value |
104 |
Closed |
$181.40 |
$0 |
0 |
0% |
-21,978,000 |
-192,398 |
0 |
Closed - End Fund - E... |
|
|
FLOT |
Ishares Floating Rate Note ... |
155 |
Closed |
$0.00 |
$0 |
0 |
0% |
-4,445,000 |
-87,420 |
0 |
N/A |
|
|
DHI |
DR Horton Inc |
189 |
Closed |
$151.26 |
$0 |
0 |
0% |
-642,000 |
-12,570 |
0 |
Residential Construct... |
|
|
FXG |
First Trust Exchange-Traded... |
221 |
Closed |
$66.23 |
$0 |
0 |
0% |
-202,000 |
-4,198 |
0 |
Closed - End Fund - Debt |
|
|
MKC |
McCormick & Co Inc |
253 |
Closed |
$75.76 |
$0 |
0 |
0% |
-426,000 |
-4,264 |
0 |
Processed & Packaged ... |
|
|
XBI |
streetTRACKS Series Trust S... |
285 |
Closed |
$90.58 |
$0 |
0 |
0% |
-318,000 |
-3,758 |
0 |
Closed - End Fund - E... |
|
|
V |
Visa Inc |
317 |
Closed |
$272.67 |
$0 |
0 |
0% |
-1,051,000 |
-9,227 |
0 |
Business Services |
|
|
ABBV |
Abbvie Inc. |
26 |
Closed |
$162.73 |
$0 |
0 |
0% |
-1,106,000 |
-11,360 |
0 |
Drug Manufacturers - ... |
|
|
FXL |
First Trust Technology Alph... |
349 |
Closed |
$130.64 |
$0 |
0 |
0% |
-534,000 |
-10,387 |
0 |
Closed - End Fund - Debt |
|
|
SIGM |
Sigma Designs Inc |
59 |
Closed |
$0.28 |
$0 |
0 |
0% |
-166,000 |
-23,929 |
0 |
Computer Peripherals |
|
|
CELG |
Celgene Corp |
381 |
Closed |
$108.24 |
$0 |
0 |
0% |
-264,000 |
-2,557 |
0 |
Drug Manufacturers - ... |
|
|
BYLK |
Baylake Corp |
91 |
Closed |
$80.57 |
$0 |
0 |
0% |
-1,221,000 |
-22,319 |
0 |
Domestic Regional Banks |
|
|
SYF |
Synchrony Financial |
123 |
Closed |
$0.00 |
$0 |
0 |
0% |
-662,000 |
-16,850 |
0 |
N/A |
|
|
NXST |
Nexstar Broadcasting Group Inc |
142 |
Closed |
$168.26 |
$0 |
0 |
0% |
-515,000 |
-6,578 |
0 |
Broadcasting - TV |
|
|
FEI |
First Trust Mlp & Energy In... |
174 |
Closed |
$9.83 |
$0 |
0 |
0% |
-1,272,000 |
-80,632 |
0 |
N/A |
|
|
ARKK |
Ark Innovation ETF |
208 |
Closed |
$46.50 |
$0 |
0 |
0% |
-791,000 |
-21,326 |
0 |
N/A |
|
|
TEL |
Te Connectivity Ltd |
240 |
Closed |
$144.94 |
$0 |
0 |
0% |
-549,000 |
-5,739 |
0 |
Diversified Electronics |
|
|
NOBL |
ProShares S&P 500 Dividend ... |
272 |
Closed |
$0.00 |
$0 |
0 |
0% |
-311,000 |
-4,856 |
0 |
N/A |
|
|
VTV |
Vanguard Value VIPERS |
304 |
Closed |
$158.82 |
$0 |
0 |
0% |
-36,389,000 |
-342,272 |
0 |
Closed - End Fund - E... |
|
|
NLY |
Annaly Capital Management Inc |
13 |
Closed |
$19.62 |
$0 |
0 |
0% |
-273,000 |
-5,691 |
0 |
Mortgage Investment |
|
|
IEMG |
Ishares Core Msci Emerging ... |
336 |
Closed |
$53.45 |
$0 |
0 |
0% |
-10,079,000 |
-177,126 |
0 |
N/A |
|
|
IWS |
iShares Tr Rssll Midcap Valu |
46 |
Closed |
$122.04 |
$0 |
0 |
0% |
-315,000 |
-3,554 |
0 |
Closed - End Fund - E... |
|
|
COP |
ConocoPhillips |
368 |
Closed |
$123.55 |
$0 |
0 |
0% |
-325,000 |
-5,961 |
0 |
Integrated Oil & Gas |
|
|
JNK |
Spdr Lehman Hyb Etf |
78 |
Closed |
$94.37 |
$0 |
0 |
0% |
-703,000 |
-6,345 |
0 |
Closed - End Fund - E... |
|
|
VPU |
Vanguard Utilities VIPERS |
110 |
Closed |
$149.51 |
$0 |
0 |
0% |
-829,000 |
-7,091 |
0 |
Closed - End Fund - E... |
|
|
RCMT |
RCM Technologies Inc |
129 |
Closed |
$19.31 |
$0 |
0 |
0% |
-77,000 |
-12,339 |
0 |
Staffing & Outsourcin... |
|
|
ICF |
iShares Tr Cohen & Steers |
161 |
Closed |
$0.00 |
$0 |
0 |
0% |
-13,737,000 |
-135,703 |
0 |
Closed - End Fund - E... |
|
|
JNJ |
Johnson & Johnson |
195 |
Closed |
$148.58 |
$0 |
0 |
0% |
-2,675,000 |
-19,164 |
0 |
Drug Manufacturers - ... |
|
|
JBLU |
JetBlue Airways Corp |
227 |
Closed |
$5.93 |
$0 |
0 |
0% |
-899,000 |
-40,254 |
0 |
Regional Airlines |
|
|
NKE |
Nike Inc B |
259 |
Closed |
$93.36 |
$0 |
0 |
0% |
-906,000 |
-14,379 |
0 |
Textile - Apparel Foo... |
|
|
UNP |
Union Pacific Corp |
291 |
Closed |
$239.21 |
$0 |
0 |
0% |
-356,000 |
-2,659 |
0 |
Railroads |
|
|
INTF |
Ishares Factorselect Msci I... |
323 |
Closed |
$29.83 |
$0 |
0 |
0% |
-429,000 |
-14,825 |
0 |
N/A |
|
|
CVS |
CVS/Caremark Corp |
32 |
Closed |
$55.97 |
$0 |
0 |
0% |
-875,000 |
-12,032 |
0 |
Drug Stores |
|
|
RFDI |
First Trust Riverfront Dyna... |
355 |
Closed |
$64.33 |
$0 |
0 |
0% |
-4,563,000 |
-71,149 |
0 |
N/A |
|
|
VO |
Vanguard Mid Cap VIPERS |
65 |
Closed |
$243.64 |
$0 |
0 |
0% |
-5,352,000 |
-34,516 |
0 |
Closed - End Fund - E... |
|
|
BCX |
Blackrock Resources & Commo... |
387 |
Closed |
$9.30 |
$0 |
0 |
0% |
-117,000 |
-11,894 |
0 |
Closed - End Fund - E... |
|
|
SDY |
streetTRACKS Series Trust -... |
97 |
Closed |
$129.19 |
$0 |
0 |
0% |
-1,160,000 |
-12,298 |
0 |
Closed - End Fund - E... |
|
|
IYH |
iShares Dow Jones US Health... |
148 |
Closed |
$59.53 |
$0 |
0 |
0% |
-393,000 |
-2,257 |
0 |
Closed - End Fund - E... |
|
|
SKYY |
First Trust Ise Cloud Compu... |
181 |
Closed |
$93.12 |
$0 |
0 |
0% |
-312,000 |
-6,769 |
0 |
N/A |
|
|
TTFS |
Trimtabs Float Shrink |
214 |
Closed |
$111.91 |
$0 |
0 |
0% |
-475,000 |
-6,655 |
0 |
N/A |
|
|
NEAR |
Ishares Short Maturity Bond... |
246 |
Closed |
$0.00 |
$0 |
0 |
0% |
-989,000 |
-19,631 |
0 |
N/A |
|
|
SCHB |
Schwab Strategic Trust |
278 |
Closed |
$60.15 |
$0 |
0 |
0% |
-371,000 |
-5,719 |
0 |
Closed - End Fund - Debt |
|
|
MGC |
Vanguard Mega Cap 300 Index... |
310 |
Closed |
$185.11 |
$0 |
0 |
0% |
-924,000 |
-10,073 |
0 |
Closed - End Fund - E... |
|
|
BABA |
Alibaba Group Holding Limited |
19 |
Closed |
$81.55 |
$0 |
0 |
0% |
-2,443,000 |
-14,193 |
0 |
N/A |
|
|
GS |
Goldman Sachs Group Inc |
342 |
Closed |
$443.67 |
$0 |
0 |
0% |
-628,000 |
-2,475 |
0 |
Investment Brokerage ... |
|
|
PEP |
Pepsico Inc |
52 |
Closed |
$175.82 |
$0 |
0 |
0% |
-1,863,000 |
-15,523 |
0 |
Beverage Soft Drinks... |
|
|
CSCO |
Cisco Systems Inc |
374 |
Closed |
$47.11 |
$0 |
0 |
0% |
-5,219,000 |
-136,441 |
0 |
Networking & Communic... |
|
|
PFF |
iShares S&P U.S. Preferred ... |
84 |
Closed |
$31.67 |
$0 |
0 |
0% |
-1,831,000 |
-48,122 |
0 |
Closed - End Fund - E... |
|
|
VEU |
Vanguard FTSE All-World ETF |
116 |
Closed |
$57.31 |
$0 |
0 |
0% |
-2,748,000 |
-50,134 |
0 |
Closed - End Fund - F... |
|
|
RCS |
PIMCO Strategic Global Gove... |
135 |
Closed |
$5.81 |
$0 |
0 |
0% |
-2,660,000 |
-289,119 |
0 |
Closed - End Fund - F... |
|
|
HAL |
Halliburton Co |
167 |
Closed |
$36.92 |
$0 |
0 |
0% |
-429,000 |
-8,735 |
0 |
Oil & Gas Equipment &... |
|
|
LQD |
iShares Trust Goldman Sachs |
201 |
Closed |
$106.70 |
$0 |
0 |
0% |
-1,345,000 |
-11,171 |
0 |
Closed - End Fund - E... |
|
|
PDBC |
Invesco Actively Managd ETF |
233 |
Closed |
$14.09 |
$0 |
0 |
0% |
-577,000 |
-33,175 |
0 |
N/A |
|
|
PYPL |
Paypal Holdings, Inc. |
265 |
Closed |
$65.61 |
$0 |
0 |
0% |
-560,000 |
-7,605 |
0 |
N/A |
|
|
VLO |
Valero Energy Corp |
297 |
Closed |
$158.20 |
$0 |
0 |
0% |
-868,000 |
-9,549 |
0 |
Oil & Gas Refining, P... |
|
|
AVB |
AvalonBay Communities |
6 |
Closed |
$195.18 |
$0 |
0 |
0% |
-249,000 |
-1,390 |
0 |
REIT - Housing/Apartm... |
|
|
AGG |
iShares Barclays Agency Bond |
329 |
Closed |
$96.26 |
$0 |
0 |
0% |
-32,000,000 |
-292,734 |
0 |
Closed - End Fund - E... |
|
|
FSK |
Fs Kkr Capital Inc |
39 |
Closed |
$4.20 |
$0 |
0 |
0% |
-3,794,000 |
-516,602 |
0 |
N/A |
|
|
DUK |
Duke Energy Corp |
361 |
Closed |
$100.42 |
$0 |
0 |
0% |
-452,000 |
-5,371 |
0 |
Electric Utilities |
|
|
CDC |
Victory CEMP US EQ Inc Enh ... |
71 |
Closed |
$58.65 |
$0 |
0 |
0% |
-538,000 |
-11,577 |
0 |
N/A |
|
|
PGF |
Invesco Financial Preferred... |
103 |
Closed |
$14.86 |
$0 |
0 |
0% |
-223,000 |
-11,857 |
0 |
Closed - End Fund - E... |
|
|
EMB |
iShares JPMorgan USD Emerg ... |
154 |
Closed |
$88.83 |
$0 |
0 |
0% |
-12,842,000 |
-110,458 |
0 |
Closed - End Fund - E... |
|
|
DWDP |
Dowdupont Inc. |
188 |
Closed |
$30.52 |
$0 |
0 |
0% |
-873,000 |
-12,235 |
0 |
N/A |
|
|
FNX |
First Trust Mid Cap Core Al... |
220 |
Closed |
$110.24 |
$0 |
0 |
0% |
-1,665,000 |
-25,374 |
0 |
Closed - End Fund - Debt |
|
