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 | 13,041 | 73,919 | SH | SOLE | 65,162 | 0 | 8,757 | ||
ABBOTT LABS | COM | 002824100 | 270 | 3,107 | SH | SOLE | 3,107 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 910 | 10,276 | SH | SOLE | 8,951 | 0 | 1,325 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 159 | 37,300 | SH | SOLE | 37,300 | 0 | 0 | ||
ABERDEEN STD GOLD ETF TR | PHYSCL GOLD SHS | 00326A104 | 220 | 15,050 | SH | SOLE | 8,050 | 0 | 7,000 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,168 | 25,472 | SH | SOLE | 24,992 | 0 | 480 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 274 | 1,291 | SH | SOLE | 1,286 | 0 | 5 | ||
ALLERGAN PLC | SHS | G0177J108 | 497 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 11,688 | 8,726 | SH | SOLE | 7,938 | 0 | 788 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 342 | 256 | SH | SOLE | 256 | 0 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 476 | 56,000 | SH | SOLE | 5,500 | 0 | 50,500 | ||
ALTAIR ENGR INC | COM CL A | 021369103 | 610 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 9,919 | 5,368 | SH | SOLE | 4,809 | 0 | 559 | ||
AMGEN INC | COM | 031162100 | 615 | 2,552 | SH | SOLE | 2,552 | 0 | 0 | ||
ANNALY CAP MGMT INC | COM | 035710409 | 1,169 | 124,060 | SH | SOLE | 86,485 | 0 | 37,575 | ||
APPLE INC | COM | 037833100 | 19,115 | 65,096 | SH | SOLE | 58,587 | 0 | 6,509 | ||
AT&T INC | COM | 00206R102 | 14,080 | 360,296 | SH | SOLE | 312,666 | 0 | 47,630 | ||
BANK AMER CORP | COM | 060505104 | 8,042 | 228,346 | SH | SOLE | 202,244 | 0 | 26,102 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 340 | 1 | SH | SOLE | 1 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 2,444 | 10,791 | SH | SOLE | 7,126 | 0 | 3,665 | ||
BIOGEN INC | COM | 09062X103 | 15,761 | 53,116 | SH | SOLE | 47,678 | 0 | 5,438 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 3,463 | 247,743 | SH | SOLE | 227,568 | 0 | 20,175 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 755 | 56,150 | SH | SOLE | 53,450 | 0 | 2,700 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 608 | 37,650 | SH | SOLE | 30,875 | 0 | 6,775 | ||
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 620 | 43,654 | SH | SOLE | 36,562 | 0 | 7,092 | ||
BLACKROCK MUNIYIELD CALIF FD | COM | 09254M105 | 203 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
BOEING CO | COM | 097023105 | 3,635 | 11,158 | SH | SOLE | 11,158 | 0 | 0 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 251 | 3,904 | SH | SOLE | 3,904 | 0 | 0 | ||
BROWN FORMAN CORP | CL B | 115637209 | 4,834 | 71,505 | SH | SOLE | 67,920 | 0 | 3,585 | ||
CHEVRON CORP NEW | COM | 166764100 | 1,071 | 8,888 | SH | SOLE | 8,032 | 0 | 856 | ||
CISCO SYS INC | COM | 17275R102 | 8,856 | 184,662 | SH | SOLE | 165,460 | 0 | 19,202 | ||
CITIGROUP INC | COM NEW | 172967424 | 517 | 6,470 | SH | SOLE | 6,470 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 7,316 | 47,651 | SH | SOLE | 38,739 | 0 | 8,912 | ||
COMCAST CORP NEW | CL A | 20030N101 | 218 | 4,844 | SH | SOLE | 4,844 | 0 | 0 | ||
COMMERCE BANCSHARES INC | COM | 200525103 | 308 | 4,527 | SH | SOLE | 4,527 | 0 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 8,220 | 90,858 | SH | SOLE | 78,198 | 0 | 12,660 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 524 | 1,784 | SH | SOLE | 1,784 | 0 | 0 | ||
CVB FINL CORP | COM | 126600105 | 1,072 | 49,661 | SH | SOLE | 49,661 | 0 | 0 | ||
CVS HEALTH CORP | COM | 126650100 | 236 | 3,178 | SH | SOLE | 3,178 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 868 | 5,999 | SH | SOLE | 5,894 | 0 | 105 | ||
DNP SELECT INCOME FD | COM | 23325P104 | 238 | 18,600 | SH | SOLE | 14,600 | 0 | 4,000 | ||
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 338 | 17,083 | SH | SOLE | 14,583 | 0 | 2,500 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 288 | 13,950 | SH | SOLE | 13,250 | 0 | 700 | ||
DOW INC | COM | 260557103 | 256 | 4,686 | SH | SOLE | 4,686 | 0 | 0 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 292 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
DUPONT DE NEMOURS INC | COM | 26614N102 | 290 | 4,519 | SH | SOLE | 4,519 | 0 | 0 | ||
EATON CORP PLC | SHS | G29183103 | 1,251 | 13,207 | SH | SOLE | 11,282 | 0 | 1,925 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 8,075 | 609,457 | SH | SOLE | 561,419 | 0 | 48,038 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 493 | 19,335 | SH | SOLE | 18,335 | 0 | 1,000 | ||
EDISON INTL | COM | 281020107 | 232 | 3,071 | SH | SOLE | 2,646 | 0 | 425 | ||
EMERSON ELEC CO | COM | 291011104 | 603 | 7,913 | SH | SOLE | 3,913 | 0 | 4,000 | ||
EXXON MOBIL CORP | COM | 30231G102 | 8,500 | 121,815 | SH | SOLE | 120,865 | 0 | 950 | ||
FACEBOOK INC | CL A | 30303M102 | 805 | 3,922 | SH | SOLE | 3,672 | 0 | 250 | ||
FIDELITY COVINGTON TR | MSCI INFO TECH I | 316092808 | 232 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
FIRST FNDTN INC | COM | 32026V104 | 348 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 270 | 21,500 | SH | SOLE | 21,500 | 0 | 0 | ||
FISERV INC | COM | 337738108 | 202 | 1,750 | SH | SOLE | 1,700 | 0 | 50 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 287 | 25,747 | SH | SOLE | 25,197 | 0 | 550 | ||
GENERAL MLS INC | COM | 370334104 | 1,400 | 26,135 | SH | SOLE | 23,285 | 0 | 2,850 | ||
HOME DEPOT INC | COM | 437076102 | 568 | 2,603 | SH | SOLE | 2,466 | 0 | 137 | ||
HONEYWELL INTL INC | COM | 438516106 | 516 | 2,912 | SH | SOLE | 2,912 | 0 | 0 | ||
INGERSOLL-RAND PLC | SHS | G47791101 | 203 | 1,530 | SH | SOLE | 1,530 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 569 | 9,515 | SH | SOLE | 9,515 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 348 | 2,600 | SH | SOLE | 2,425 | 0 | 175 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 447 | 16,354 | SH | SOLE | 11,104 | 0 | 5,250 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2020 CB | 46138J502 | 496 | 23,300 | SH | SOLE | 23,300 | 0 | 0 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 46137V282 | 1,406 | 7,100 | SH | SOLE | 100 | 0 | 7,000 | ||
INVESCO EXCHNG TRADED FD TR | CHINA TECHNLGY | 46138E800 | 266 | 5,050 | SH | SOLE | 5,050 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR | PFD ETF | 46138E511 | 6,433 | 428,563 | SH | SOLE | 374,071 | 0 | 54,492 | ||
INVESCO EXCHNG TRADED FD TR | S&P500 LOW VOL | 46138E354 | 210 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 2,559 | 12,037 | SH | SOLE | 5,825 | 0 | 6,212 | ||
ISHARES TR | INTRM TR CRP ETF | 464288638 | 1,075 | 18,540 | SH | SOLE | 14,940 | 0 | 3,600 | ||
ISHARES TR | MSCI EAFE ETF | 464287465 | 200 | 2,879 | SH | SOLE | 2,879 | 0 | 0 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 839 | 6,965 | SH | SOLE | 3,665 | 0 | 3,300 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 1,759 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 253 | 1,525 | SH | SOLE | 1,525 | 0 | 0 | ||
ISHARES TR | US HLTHCARE ETF | 464287762 | 1,063 | 4,927 | SH | SOLE | 877 | 0 | 4,050 | ||
JOHNSON & JOHNSON | COM | 478160104 | 13,416 | 91,975 | SH | SOLE | 81,457 | 0 | 10,518 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 9,898 | 71,003 | SH | SOLE | 62,608 | 0 | 8,395 | ||
KIMBERLY CLARK CORP | COM | 494368103 | 306 | 2,225 | SH | SOLE | 1,750 | 0 | 475 | ||
KINROSS GOLD CORP | COM | 496902404 | 144 | 30,300 | SH | SOLE | 0 | 0 | 30,300 | ||
KLA CORPORATION | COM NEW | 482480100 | 7,986 | 44,821 | SH | SOLE | 37,671 | 0 | 7,150 | ||
LAM RESEARCH CORP | COM | 512807108 | 452 | 1,545 | SH | SOLE | 1,545 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 12,892 | 107,653 | SH | SOLE | 96,434 | 0 | 11,219 | ||
LULULEMON ATHLETICA INC | COM | 550021109 | 256 | 1,105 | SH | SOLE | 1,105 | 0 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 975 | 10,715 | SH | SOLE | 10,265 | 0 | 450 | ||
MICROSOFT CORP | COM | 594918104 | 645 | 4,090 | SH | SOLE | 4,090 | 0 | 0 | ||
NAVIOS MARITIME HLDGS INC | COM | Y62197119 | 81 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 650 | 2,009 | SH | SOLE | 1,859 | 0 | 150 | ||
NIKE INC | CL B | 654106103 | 201 | 1,981 | SH | SOLE | 1,731 | 0 | 250 | ||
NOKIA CORP | SPONSORED ADR | 654902204 | 115 | 31,000 | SH | SOLE | 31,000 | 0 | 0 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 1,847 | 124,042 | SH | SOLE | 111,992 | 0 | 12,050 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 1,557 | 102,341 | SH | SOLE | 92,141 | 0 | 10,200 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 801 | 58,275 | SH | SOLE | 38,875 | 0 | 19,400 | ||
NVIDIA CORP | COM | 67066G104 | 560 | 2,382 | SH | SOLE | 2,382 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 371 | 1,605 | SH | SOLE | 1,405 | 0 | 200 | ||
PARKER HANNIFIN CORP | COM | 701094104 | 246 | 1,196 | SH | SOLE | 1,196 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 685 | 6,335 | SH | SOLE | 6,135 | 0 | 200 | ||
PBF ENERGY INC | CL A | 69318G106 | 700 | 22,321 | SH | SOLE | 22,321 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 7,630 | 194,730 | SH | SOLE | 171,580 | 0 | 23,150 | ||
PHILLIPS 66 | COM | 718546104 | 307 | 2,756 | SH | SOLE | 2,756 | 0 | 0 | ||
PPG INDS INC | COM | 693506107 | 400 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
PROCTER & GAMBLE CO | COM | 742718109 | 745 | 5,967 | SH | SOLE | 5,667 | 0 | 300 | ||
QUALCOMM INC | COM | 747525103 | 630 | 7,138 | SH | SOLE | 7,038 | 0 | 100 | ||
SCHLUMBERGER LTD | COM | 806857108 | 208 | 5,185 | SH | SOLE | 5,185 | 0 | 0 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 12,549 | 458,499 | SH | SOLE | 378,812 | 0 | 79,687 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 39,670 | 1,179,603 | SH | SOLE | 1,081,418 | 0 | 98,185 | ||
SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 59,014 | 1,104,503 | SH | SOLE | 1,031,834 | 0 | 72,669 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 7,804 | 101,510 | SH | SOLE | 97,871 | 0 | 3,639 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 1,810 | 31,252 | SH | SOLE | 5,252 | 0 | 26,000 | ||
SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 596 | 6,420 | SH | SOLE | 5,699 | 0 | 721 | ||
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 2,053 | 34,145 | SH | SOLE | 12,745 | 0 | 21,400 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 107,680 | 1,401,904 | SH | SOLE | 1,339,439 | 0 | 62,465 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 299 | 3,949 | SH | SOLE | 3,927 | 0 | 22 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 803 | 13,380 | SH | SOLE | 1,805 | 0 | 11,575 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 2,234 | 72,576 | SH | SOLE | 12,151 | 0 | 60,425 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 234 | 2,875 | SH | SOLE | 2,725 | 0 | 150 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,960 | 45,800 | SH | SOLE | 1,000 | 0 | 44,800 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 307 | 3,350 | SH | SOLE | 3,350 | 0 | 0 | ||
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,183 | 4,150 | SH | SOLE | 150 | 0 | 4,000 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 272 | 1,900 | SH | SOLE | 1,900 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 10,044 | 31,206 | SH | SOLE | 31,206 | 0 | 0 | ||
SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | 212 | 1,972 | SH | SOLE | 1,165 | 0 | 807 | ||
STARBUCKS CORP | COM | 855244109 | 1,118 | 12,719 | SH | SOLE | 11,919 | 0 | 800 | ||
TARGET CORP | COM | 87612E106 | 264 | 2,060 | SH | SOLE | 1,860 | 0 | 200 | ||
TESLA INC | COM | 88160R101 | 3,002 | 7,177 | SH | SOLE | 4,990 | 0 | 2,187 | ||
THE CHARLES SCHWAB CORPORATI | COM | 808513105 | 511 | 10,742 | SH | SOLE | 10,742 | 0 | 0 | ||
UNION PACIFIC CORP | COM | 907818108 | 469 | 2,596 | SH | SOLE | 2,596 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 7,949 | 53,078 | SH | SOLE | 48,768 | 0 | 4,310 | ||
VANECK VECTORS ETF TRUST | GOLD MINERS ETF | 92189F106 | 1,810 | 61,800 | SH | SOLE | 1,800 | 0 | 60,000 | ||
VANECK VECTORS ETF TRUST | PFD SECS EX FINL | 92189F429 | 543 | 26,876 | SH | SOLE | 26,076 | 0 | 800 | ||
VANGUARD INDEX FDS | VALUE ETF | 922908744 | 207 | 1,731 | SH | SOLE | 1,731 | 0 | 0 | ||
VANGUARD WORLD FDS | CONSUM STP ETF | 92204A207 | 298 | 1,850 | SH | SOLE | 1,850 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 365 | 6,325 | SH | SOLE | 5,875 | 0 | 450 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,733 | 28,229 | SH | SOLE | 26,029 | 0 | 2,200 | ||
WELLS FARGO CO NEW | COM | 949746101 | 261 | 4,850 | SH | SOLE | 4,850 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 315 | 3,220 | SH | SOLE | 3,020 | 0 | 200 |