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 |
ABBOTT LABS | COM | 002824100 | 290 | 3,631 | SH | SOLE | 3,631 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 7,031 | 87,240 | SH | SOLE | 76,730 | 0 | 10,510 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 156 | 36,800 | SH | SOLE | 36,800 | 0 | 0 | ||
ABERDEEN STD GOLD ETF TR | PHYSCL SWISS GLD | 00326A104 | 250 | 2,005 | SH | SOLE | 1,705 | 0 | 300 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 506 | 19,812 | SH | SOLE | 19,412 | 0 | 400 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 650 | 3,565 | SH | SOLE | 3,560 | 0 | 5 | ||
ALLERGAN PLC | SHS | G0177J108 | 415 | 2,834 | SH | SOLE | 2,834 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 9,820 | 8,344 | SH | SOLE | 7,621 | 0 | 723 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 2,256 | 224,935 | SH | SOLE | 163,165 | 0 | 61,770 | ||
ALTAIR ENGR INC | COM CL A | 021369103 | 1,012 | 27,500 | SH | SOLE | 27,500 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 8,934 | 5,017 | SH | SOLE | 4,615 | 0 | 402 | ||
AMGEN INC | COM | 031162100 | 479 | 2,519 | SH | SOLE | 2,519 | 0 | 0 | ||
ANNALY CAP MGMT INC | COM | 035710409 | 1,568 | 156,980 | SH | SOLE | 118,030 | 0 | 38,950 | ||
APPLE INC | COM | 037833100 | 13,212 | 69,554 | SH | SOLE | 64,174 | 0 | 5,380 | ||
AT&T INC | COM | 00206R102 | 11,649 | 371,453 | SH | SOLE | 324,348 | 0 | 47,105 | ||
BAIDU INC | SPON ADR REP A | 056752108 | 206 | 1,252 | SH | SOLE | 1,252 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 6,814 | 246,969 | SH | SOLE | 223,174 | 0 | 23,795 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 301 | 1 | SH | SOLE | 1 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 2,288 | 11,388 | SH | SOLE | 7,738 | 0 | 3,650 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 3,608 | 290,720 | SH | SOLE | 273,095 | 0 | 17,625 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 890 | 71,200 | SH | SOLE | 68,700 | 0 | 2,500 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 964 | 58,100 | SH | SOLE | 50,875 | 0 | 7,225 | ||
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 726 | 53,885 | SH | SOLE | 46,218 | 0 | 7,667 | ||
BLACKROCK MUNIYIELD CALIF FD | COM | 09254M105 | 193 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
BOEING CO | COM | 097023105 | 779 | 2,042 | SH | SOLE | 2,042 | 0 | 0 | ||
BROADCOM INC | COM | 11135F101 | 249 | 828 | SH | SOLE | 678 | 0 | 150 | ||
BROWN FORMAN CORP | CL B | 115637209 | 3,974 | 75,295 | SH | SOLE | 72,280 | 0 | 3,015 | ||
CAPRICOR THERAPEUTICS INC | COM | 14070B101 | 23 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CENTURYLINK INC | COM | 156700106 | 121 | 10,105 | SH | SOLE | 10,105 | 0 | 0 | ||
CHEVRON CORP NEW | COM | 166764100 | 789 | 6,407 | SH | SOLE | 5,651 | 0 | 756 | ||
CISCO SYS INC | COM | 17275R102 | 10,984 | 203,450 | SH | SOLE | 185,699 | 0 | 17,751 | ||
CITIGROUP INC | COM NEW | 172967424 | 378 | 6,071 | SH | SOLE | 6,071 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 6,803 | 42,399 | SH | SOLE | 38,497 | 0 | 3,902 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 5,036 | 205,377 | SH | SOLE | 182,252 | 0 | 23,125 | ||
COMMERCE BANCSHARES INC | COM | 200525103 | 250 | 4,312 | SH | SOLE | 4,312 | 0 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 8,452 | 99,657 | SH | SOLE | 87,692 | 0 | 11,965 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 363 | 1,498 | SH | SOLE | 1,498 | 0 | 0 | ||
CVB FINL CORP | COM | 126600105 | 966 | 45,912 | SH | SOLE | 45,912 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 495 | 4,462 | SH | SOLE | 4,457 | 0 | 5 | ||
DNP SELECT INCOME FD | COM | 23325P104 | 297 | 25,800 | SH | SOLE | 25,800 | 0 | 0 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 330 | 16,350 | SH | SOLE | 15,650 | 0 | 700 | ||
DOWDUPONT INC | COM | 26078J100 | 723 | 13,560 | SH | SOLE | 13,560 | 0 | 0 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 288 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
EATON CORP PLC | SHS | G29183103 | 8,265 | 102,596 | SH | SOLE | 89,607 | 0 | 12,989 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 8,990 | 710,644 | SH | SOLE | 663,515 | 0 | 47,129 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 1,173 | 52,640 | SH | SOLE | 47,940 | 0 | 4,700 | ||
EMERSON ELEC CO | COM | 291011104 | 3,957 | 57,792 | SH | SOLE | 50,477 | 0 | 7,315 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 361 | 12,398 | SH | SOLE | 12,398 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 15,417 | 190,802 | SH | SOLE | 180,027 | 0 | 10,775 | ||
FACEBOOK INC | CL A | 30303M102 | 859 | 5,152 | SH | SOLE | 4,577 | 0 | 575 | ||
FIRST FNDTN INC | COM | 32026V104 | 271 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
FUELCELL ENERGY INC | COM NEW | 35952H502 | 4 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 254 | 25,389 | SH | SOLE | 25,143 | 0 | 246 | ||
GENERAL MLS INC | COM | 370334104 | 325 | 6,280 | SH | SOLE | 6,280 | 0 | 0 | ||
GERON CORP | COM | 374163103 | 17 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
GILEAD SCIENCES INC | COM | 375558103 | 213 | 3,275 | SH | SOLE | 3,125 | 0 | 150 | ||
HOME DEPOT INC | COM | 437076102 | 596 | 3,103 | SH | SOLE | 3,003 | 0 | 100 | ||
HONEYWELL INTL INC | COM | 438516106 | 463 | 2,912 | SH | SOLE | 2,912 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 362 | 6,735 | SH | SOLE | 6,735 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 325 | 2,303 | SH | SOLE | 2,303 | 0 | 0 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 601 | 22,814 | SH | SOLE | 21,564 | 0 | 1,250 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2019 CB | 46138J304 | 514 | 24,375 | SH | SOLE | 24,375 | 0 | 0 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 46137V282 | 1,208 | 7,100 | SH | SOLE | 100 | 0 | 7,000 | ||
INVESCO EXCHNG TRADED FD TR | PFD ETF | 46138E511 | 5,879 | 405,466 | SH | SOLE | 354,181 | 0 | 51,285 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 1,975 | 10,991 | SH | SOLE | 4,780 | 0 | 6,211 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 312 | 1,097 | SH | SOLE | 1,097 | 0 | 0 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 664 | 5,935 | SH | SOLE | 2,935 | 0 | 3,000 | ||
ISHARES TR | US HLTHCARE ETF | 464287762 | 1,126 | 5,812 | SH | SOLE | 1,712 | 0 | 4,100 | ||
ISHARES TR | INTRM TR CRP ETF | 464288638 | 1,022 | 18,540 | SH | SOLE | 14,940 | 0 | 3,600 | ||
ISHARES TR | US AER DEF ETF | 464288760 | 1,425 | 7,140 | SH | SOLE | 140 | 0 | 7,000 | ||
JOHNSON & JOHNSON | COM | 478160104 | 378 | 2,707 | SH | SOLE | 2,707 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 7,969 | 78,721 | SH | SOLE | 70,031 | 0 | 8,690 | ||
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 265 | 10,400 | SH | SOLE | 9,750 | 0 | 650 | ||
KIMBERLY CLARK CORP | COM | 494368103 | 248 | 2,000 | SH | SOLE | 1,675 | 0 | 325 | ||
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 5,827 | 142,616 | SH | SOLE | 128,559 | 0 | 14,057 | ||
LAM RESEARCH CORP | COM | 512807108 | 220 | 1,230 | SH | SOLE | 1,230 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 680 | 6,215 | SH | SOLE | 6,065 | 0 | 150 | ||
MERCK & CO INC | COM | 58933Y105 | 974 | 11,705 | SH | SOLE | 11,505 | 0 | 200 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 367 | 8,889 | SH | SOLE | 8,889 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 432 | 3,665 | SH | SOLE | 3,665 | 0 | 0 | ||
NAVIOS MARITIME HLDGS INC | COM | Y62197119 | 29 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 1,003 | 2,812 | SH | SOLE | 2,632 | 0 | 180 | ||
NIO INC | SPON ADS | 62914V106 | 51 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 2,514 | 182,447 | SH | SOLE | 169,897 | 0 | 12,550 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 2,113 | 151,814 | SH | SOLE | 143,114 | 0 | 8,700 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 1,997 | 151,259 | SH | SOLE | 118,359 | 0 | 32,900 | ||
NVIDIA CORP | COM | 67066G104 | 334 | 1,861 | SH | SOLE | 1,861 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 262 | 1,080 | SH | SOLE | 880 | 0 | 200 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 601 | 5,785 | SH | SOLE | 5,785 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 8,671 | 204,175 | SH | SOLE | 182,425 | 0 | 21,750 | ||
PHILLIPS 66 | COM | 718546104 | 229 | 2,406 | SH | SOLE | 2,406 | 0 | 0 | ||
PPG INDS INC | COM | 693506107 | 350 | 3,100 | SH | SOLE | 3,100 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 668 | 6,420 | SH | SOLE | 6,270 | 0 | 150 | ||
QUALCOMM INC | COM | 747525103 | 481 | 8,427 | SH | SOLE | 8,427 | 0 | 0 | ||
ROKU INC | COM CL A | 77543R102 | 342 | 5,300 | SH | SOLE | 5,300 | 0 | 0 | ||
SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 619 | 3,100 | SH | SOLE | 3,100 | 0 | 0 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 7,165 | 105,288 | SH | SOLE | 102,764 | 0 | 2,524 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 74,472 | 1,101,491 | SH | SOLE | 1,063,832 | 0 | 37,659 | ||
SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 914 | 11,503 | SH | SOLE | 11,482 | 0 | 21 | ||
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 1,853 | 33,855 | SH | SOLE | 13,855 | 0 | 20,000 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 292 | 4,170 | SH | SOLE | 4,148 | 0 | 22 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 14,830 | 570,183 | SH | SOLE | 539,104 | 0 | 31,079 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 1,767 | 33,805 | SH | SOLE | 7,805 | 0 | 26,000 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 896 | 28,631 | SH | SOLE | 27,781 | 0 | 850 | ||
SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 38,647 | 744,938 | SH | SOLE | 687,894 | 0 | 57,044 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 1,118 | 16,905 | SH | SOLE | 5,255 | 0 | 11,650 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 1,988 | 77,333 | SH | SOLE | 16,908 | 0 | 60,425 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 426 | 5,674 | SH | SOLE | 5,524 | 0 | 150 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,664 | 45,800 | SH | SOLE | 1,000 | 0 | 44,800 | ||
SIRIUS XM HLDGS INC | COM | 82968B103 | 315 | 55,640 | SH | SOLE | 55,640 | 0 | 0 | ||
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,167 | 4,505 | SH | SOLE | 505 | 0 | 4,000 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 232 | 1,900 | SH | SOLE | 1,900 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,941 | 13,952 | SH | SOLE | 5,452 | 0 | 8,500 | ||
SQUARE INC | CL A | 852234103 | 240 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
STARBUCKS CORP | COM | 855244109 | 1,348 | 18,126 | SH | SOLE | 17,676 | 0 | 450 | ||
TESLA INC | COM | 88160R101 | 994 | 3,551 | SH | SOLE | 1,264 | 0 | 2,287 | ||
THE CHARLES SCHWAB CORPORATI | COM | 808513105 | 328 | 7,664 | SH | SOLE | 7,664 | 0 | 0 | ||
TWILIO INC | CL A | 90138F102 | 426 | 3,300 | SH | SOLE | 3,300 | 0 | 0 | ||
UNION PACIFIC CORP | COM | 907818108 | 498 | 2,979 | SH | SOLE | 2,979 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 6,855 | 53,184 | SH | SOLE | 49,154 | 0 | 4,030 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,170 | 52,200 | SH | SOLE | 2,200 | 0 | 50,000 | ||
VANECK VECTORS ETF TR | PFD SECS EX FINL | 92189F429 | 487 | 25,075 | SH | SOLE | 24,275 | 0 | 800 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 311 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 381 | 5,974 | SH | SOLE | 5,524 | 0 | 450 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,625 | 27,484 | SH | SOLE | 27,484 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 263 | 5,450 | SH | SOLE | 5,450 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 289 | 2,280 | SH | SOLE | 2,280 | 0 | 0 | ||
YUM BRANDS INC | COM | 988498101 | 219 | 2,196 | SH | SOLE | 2,196 | 0 | 0 |