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 |
3M CO | COM | 88579Y101 | 9,680 | 58,883 | SH | SOLE | 52,319 | 0 | 6,564 | ||
ABBOTT LABS | COM | 002824100 | 260 | 3,106 | SH | SOLE | 3,106 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 805 | 10,626 | SH | SOLE | 9,401 | 0 | 1,225 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 156 | 37,300 | SH | SOLE | 37,300 | 0 | 0 | ||
ABERDEEN STD GOLD ETF TR | PHYSCL GOLD SHS | 00326A104 | 214 | 1,505 | SH | SOLE | 805 | 0 | 700 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 643 | 22,182 | SH | SOLE | 21,702 | 0 | 480 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 215 | 1,285 | SH | SOLE | 1,285 | 0 | 0 | ||
ALLERGAN PLC | SHS | G0177J108 | 438 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 11,269 | 9,228 | SH | SOLE | 8,403 | 0 | 825 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 324 | 266 | SH | SOLE | 266 | 0 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 1,746 | 190,986 | SH | SOLE | 130,961 | 0 | 60,025 | ||
ALTAIR ENGR INC | COM CL A | 021369103 | 589 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 8,515 | 4,905 | SH | SOLE | 4,466 | 0 | 439 | ||
AMGEN INC | COM | 031162100 | 494 | 2,552 | SH | SOLE | 2,552 | 0 | 0 | ||
ANNALY CAP MGMT INC | COM | 035710409 | 1,127 | 128,060 | SH | SOLE | 91,110 | 0 | 36,950 | ||
APPLE INC | COM | 037833100 | 14,684 | 65,562 | SH | SOLE | 59,501 | 0 | 6,061 | ||
AT&T INC | COM | 00206R102 | 14,484 | 382,770 | SH | SOLE | 333,594 | 0 | 49,175 | ||
BANK AMER CORP | COM | 060505104 | 7,093 | 243,154 | SH | SOLE | 217,489 | 0 | 25,666 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 2,242 | 10,776 | SH | SOLE | 7,126 | 0 | 3,650 | ||
BIOGEN INC | COM | 09062X103 | 11,614 | 49,883 | SH | SOLE | 44,990 | 0 | 4,893 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 3,516 | 258,162 | SH | SOLE | 238,862 | 0 | 19,300 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 719 | 57,000 | SH | SOLE | 54,500 | 0 | 2,500 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 837 | 48,800 | SH | SOLE | 42,325 | 0 | 6,475 | ||
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 661 | 45,960 | SH | SOLE | 38,868 | 0 | 7,092 | ||
BLACKROCK MUNIYIELD CALIF FD | COM | 09254M105 | 207 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
BOEING CO | COM | 097023105 | 4,190 | 11,012 | SH | SOLE | 11,012 | 0 | 0 | ||
BROWN FORMAN CORP | CL B | 115637209 | 4,750 | 75,666 | SH | SOLE | 72,011 | 0 | 3,655 | ||
CHEVRON CORP NEW | COM | 166764100 | 1,059 | 8,930 | SH | SOLE | 7,924 | 0 | 1,006 | ||
CISCO SYS INC | COM | 17275R102 | 9,153 | 185,242 | SH | SOLE | 166,240 | 0 | 19,002 | ||
CITIGROUP INC | COM NEW | 172967424 | 419 | 6,065 | SH | SOLE | 6,065 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 7,422 | 48,868 | SH | SOLE | 39,931 | 0 | 8,937 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 1,130 | 41,471 | SH | SOLE | 34,321 | 0 | 7,150 | ||
COMCAST CORP NEW | CL A | 20030N101 | 218 | 4,840 | SH | SOLE | 4,840 | 0 | 0 | ||
COMMERCE BANCSHARES INC | COM | 200525103 | 262 | 4,312 | SH | SOLE | 4,312 | 0 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 8,797 | 93,119 | SH | SOLE | 80,159 | 0 | 12,960 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 462 | 1,604 | SH | SOLE | 1,604 | 0 | 0 | ||
CVB FINL CORP | COM | 126600105 | 958 | 45,912 | SH | SOLE | 45,912 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 647 | 4,965 | SH | SOLE | 4,960 | 0 | 5 | ||
DNP SELECT INCOME FD | COM | 23325P104 | 255 | 19,800 | SH | SOLE | 15,800 | 0 | 4,000 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 261 | 13,083 | SH | SOLE | 10,583 | 0 | 2,500 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 268 | 12,950 | SH | SOLE | 12,250 | 0 | 700 | ||
DOW INC | COM | 260557103 | 223 | 4,686 | SH | SOLE | 4,686 | 0 | 0 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 307 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
DUPONT DE NEMOURS INC | COM | 26614N102 | 322 | 4,519 | SH | SOLE | 4,519 | 0 | 0 | ||
EATON CORP PLC | SHS | G29183103 | 8,263 | 99,380 | SH | SOLE | 85,866 | 0 | 13,514 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 7,890 | 631,180 | SH | SOLE | 584,708 | 0 | 46,472 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 1,184 | 48,175 | SH | SOLE | 44,175 | 0 | 4,000 | ||
EDISON INTL | COM | 281020107 | 230 | 3,048 | SH | SOLE | 2,623 | 0 | 425 | ||
EMERSON ELEC CO | COM | 291011104 | 3,965 | 59,309 | SH | SOLE | 51,909 | 0 | 7,400 | ||
EXXON MOBIL CORP | COM | 30231G102 | 14,092 | 199,570 | SH | SOLE | 189,400 | 0 | 10,170 | ||
FACEBOOK INC | CL A | 30303M102 | 684 | 3,841 | SH | SOLE | 3,491 | 0 | 350 | ||
FIRST FNDTN INC | COM | 32026V104 | 306 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 294 | 24,500 | SH | SOLE | 24,500 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 206 | 23,024 | SH | SOLE | 22,545 | 0 | 479 | ||
GENERAL MLS INC | COM | 370334104 | 1,442 | 26,158 | SH | SOLE | 23,433 | 0 | 2,725 | ||
HOME DEPOT INC | COM | 437076102 | 613 | 2,642 | SH | SOLE | 2,405 | 0 | 237 | ||
HONEYWELL INTL INC | COM | 438516106 | 493 | 2,912 | SH | SOLE | 2,912 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 423 | 8,206 | SH | SOLE | 8,206 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 369 | 2,538 | SH | SOLE | 2,413 | 0 | 125 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 46137V282 | 1,270 | 7,100 | SH | SOLE | 100 | 0 | 7,000 | ||
INVESCO EXCHNG TRADED FD TR | CALIF AMT MUN | 46138E206 | 629 | 22,984 | SH | SOLE | 17,734 | 0 | 5,250 | ||
INVESCO EXCHNG TRADED FD TR | CHINA TECHNLGY | 46138E800 | 212 | 4,635 | SH | SOLE | 4,635 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR | PFD ETF | 46138E511 | 5,615 | 373,808 | SH | SOLE | 322,423 | 0 | 51,385 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 2,046 | 10,837 | SH | SOLE | 4,625 | 0 | 6,212 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 316 | 1,057 | SH | SOLE | 1,057 | 0 | 0 | ||
ISHARES TR | INTRM TR CRP ETF | 464288638 | 1,056 | 18,240 | SH | SOLE | 14,640 | 0 | 3,600 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 208 | 3,189 | SH | SOLE | 3,189 | 0 | 0 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 598 | 6,015 | SH | SOLE | 2,715 | 0 | 3,300 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 1,596 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
ISHARES TR | US HLTHCARE ETF | 464287762 | 1,048 | 5,542 | SH | SOLE | 1,492 | 0 | 4,050 | ||
JOHNSON & JOHNSON | COM | 478160104 | 10,728 | 82,919 | SH | SOLE | 74,547 | 0 | 8,371 | ||
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 299 | 12,850 | SH | SOLE | 12,200 | 0 | 650 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 8,983 | 76,324 | SH | SOLE | 67,104 | 0 | 9,220 | ||
KIMBERLY CLARK CORP | COM | 494368103 | 259 | 1,825 | SH | SOLE | 1,350 | 0 | 475 | ||
KLA CORPORATION | COM NEW | 482480100 | 7,333 | 45,988 | SH | SOLE | 38,803 | 0 | 7,185 | ||
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 218 | 5,275 | SH | SOLE | 5,275 | 0 | 0 | ||
LAM RESEARCH CORP | COM | 512807108 | 321 | 1,390 | SH | SOLE | 1,390 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 10,236 | 93,093 | SH | SOLE | 82,656 | 0 | 10,437 | ||
LULULEMON ATHLETICA INC | COM | 550021109 | 202 | 1,050 | SH | SOLE | 1,050 | 0 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 914 | 10,855 | SH | SOLE | 10,655 | 0 | 200 | ||
MICROSOFT CORP | COM | 594918104 | 559 | 4,017 | SH | SOLE | 4,017 | 0 | 0 | ||
NAVIOS MARITIME HLDGS INC | COM | Y62197119 | 87 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 563 | 2,103 | SH | SOLE | 1,923 | 0 | 180 | ||
NIO INC | SPON ADS | 62914V106 | 16 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NUVEEN ALL CAP ENE MLP OPPO | COM | 67075E108 | 288 | 50,514 | SH | SOLE | 75 | 0 | 50,439 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 2,123 | 141,656 | SH | SOLE | 127,606 | 0 | 14,050 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 1,934 | 127,901 | SH | SOLE | 116,201 | 0 | 11,700 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 1,632 | 124,866 | SH | SOLE | 88,966 | 0 | 35,900 | ||
NVIDIA CORP | COM | 67066G104 | 363 | 2,086 | SH | SOLE | 2,086 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 327 | 1,605 | SH | SOLE | 1,405 | 0 | 200 | ||
PARKER HANNIFIN CORP | COM | 701094104 | 216 | 1,196 | SH | SOLE | 1,196 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 579 | 5,585 | SH | SOLE | 5,385 | 0 | 200 | ||
PBF ENERGY INC | CL A | 69318G106 | 472 | 17,352 | SH | SOLE | 17,352 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 7,146 | 198,900 | SH | SOLE | 174,662 | 0 | 24,238 | ||
PHILLIPS 66 | COM | 718546104 | 282 | 2,756 | SH | SOLE | 2,756 | 0 | 0 | ||
PPG INDS INC | COM | 693506107 | 356 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 742 | 5,964 | SH | SOLE | 5,664 | 0 | 300 | ||
QUALCOMM INC | COM | 747525103 | 463 | 6,075 | SH | SOLE | 5,975 | 0 | 100 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 6,400 | 254,686 | SH | SOLE | 183,446 | 0 | 71,240 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 13,460 | 422,485 | SH | SOLE | 385,008 | 0 | 37,477 | ||
SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 40,188 | 746,288 | SH | SOLE | 685,959 | 0 | 60,329 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 7,564 | 106,508 | SH | SOLE | 102,869 | 0 | 3,639 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 1,753 | 32,005 | SH | SOLE | 6,005 | 0 | 26,000 | ||
SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 543 | 6,459 | SH | SOLE | 5,738 | 0 | 721 | ||
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 1,904 | 33,570 | SH | SOLE | 12,370 | 0 | 21,200 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 99,519 | 1,403,063 | SH | SOLE | 1,344,853 | 0 | 58,210 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 267 | 3,831 | SH | SOLE | 3,809 | 0 | 22 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 877 | 14,820 | SH | SOLE | 3,245 | 0 | 11,575 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 2,163 | 77,262 | SH | SOLE | 16,837 | 0 | 60,425 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 324 | 4,170 | SH | SOLE | 4,020 | 0 | 150 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 3,030 | 46,800 | SH | SOLE | 2,000 | 0 | 44,800 | ||
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,117 | 4,150 | SH | SOLE | 150 | 0 | 4,000 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 264 | 1,900 | SH | SOLE | 1,900 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 9,473 | 31,921 | SH | SOLE | 31,921 | 0 | 0 | ||
SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | 202 | 1,966 | SH | SOLE | 1,165 | 0 | 801 | ||
STARBUCKS CORP | COM | 855244109 | 1,158 | 13,091 | SH | SOLE | 12,491 | 0 | 600 | ||
TESLA INC | COM | 88160R101 | 855 | 3,551 | SH | SOLE | 1,364 | 0 | 2,187 | ||
THE CHARLES SCHWAB CORPORATI | COM | 808513105 | 449 | 10,742 | SH | SOLE | 10,742 | 0 | 0 | ||
UNION PACIFIC CORP | COM | 907818108 | 421 | 2,596 | SH | SOLE | 2,596 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 7,695 | 56,368 | SH | SOLE | 52,018 | 0 | 4,350 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,669 | 62,500 | SH | SOLE | 2,500 | 0 | 60,000 | ||
VANECK VECTORS ETF TR | PFD SECS EX FINL | 92189F429 | 543 | 26,737 | SH | SOLE | 25,937 | 0 | 800 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 327 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 469 | 6,425 | SH | SOLE | 5,975 | 0 | 450 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,655 | 27,411 | SH | SOLE | 25,211 | 0 | 2,200 | ||
WELLS FARGO CO NEW | COM | 949746101 | 245 | 4,850 | SH | SOLE | 4,850 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 261 | 2,720 | SH | SOLE | 2,720 | 0 | 0 |