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 | 668 | 3,852 | SH | SOLE | 557 | 0 | 3,295 | ||
ABBOTT LABS | COM | 002824100 | 323 | 3,835 | SH | SOLE | 3,835 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 6,848 | 94,166 | SH | SOLE | 83,316 | 0 | 10,850 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 156 | 37,300 | SH | SOLE | 37,300 | 0 | 0 | ||
ABERDEEN STD GOLD ETF TR | PHYSCL GOLD SHS | 00326A104 | 205 | 1,505 | SH | SOLE | 1,205 | 0 | 300 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 762 | 25,102 | SH | SOLE | 24,702 | 0 | 400 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 550 | 3,245 | SH | SOLE | 3,240 | 0 | 5 | ||
ALLERGAN PLC | SHS | G0177J108 | 435 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 9,901 | 9,144 | SH | SOLE | 8,371 | 0 | 773 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 378 | 350 | SH | SOLE | 350 | 0 | 0 | ||
ALPS ETF TR | ALERIAN MLP | 00162Q866 | 2,082 | 211,418 | SH | SOLE | 150,168 | 0 | 61,250 | ||
ALTAIR ENGR INC | COM CL A | 021369103 | 687 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 9,042 | 4,775 | SH | SOLE | 4,345 | 0 | 430 | ||
AMGEN INC | COM | 031162100 | 435 | 2,359 | SH | SOLE | 2,359 | 0 | 0 | ||
ANNALY CAP MGMT INC | COM | 035710409 | 1,372 | 150,230 | SH | SOLE | 112,930 | 0 | 37,300 | ||
APPLE INC | COM | 037833100 | 13,817 | 69,810 | SH | SOLE | 64,070 | 0 | 5,740 | ||
AT&T INC | COM | 00206R102 | 13,329 | 397,765 | SH | SOLE | 348,665 | 0 | 49,100 | ||
BANK AMER CORP | COM | 060505104 | 7,460 | 257,229 | SH | SOLE | 232,029 | 0 | 25,200 | ||
BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 318 | 1 | SH | SOLE | 1 | 0 | 0 | ||
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 2,393 | 11,225 | SH | SOLE | 7,575 | 0 | 3,650 | ||
BEYOND MEAT INC | COM | 08862E109 | 254 | 1,582 | SH | SOLE | 1,582 | 0 | 0 | ||
BIOGEN INC | COM | 09062X103 | 589 | 2,520 | SH | SOLE | 100 | 0 | 2,420 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 3,580 | 276,029 | SH | SOLE | 257,329 | 0 | 18,700 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 905 | 70,500 | SH | SOLE | 68,000 | 0 | 2,500 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 939 | 53,800 | SH | SOLE | 47,325 | 0 | 6,475 | ||
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 661 | 46,560 | SH | SOLE | 39,468 | 0 | 7,092 | ||
BLACKROCK MUNIYIELD CALIF FD | COM | 09254M105 | 202 | 14,400 | SH | SOLE | 14,400 | 0 | 0 | ||
BOEING CO | COM | 097023105 | 1,036 | 2,845 | SH | SOLE | 2,845 | 0 | 0 | ||
BROWN FORMAN CORP | CL B | 115637209 | 4,416 | 79,670 | SH | SOLE | 76,205 | 0 | 3,465 | ||
CANOPY GROWTH CORP | COM | 138035100 | 249 | 6,176 | SH | SOLE | 6,176 | 0 | 0 | ||
CHEVRON CORP NEW | COM | 166764100 | 1,142 | 9,179 | SH | SOLE | 8,423 | 0 | 756 | ||
CISCO SYS INC | COM | 17275R102 | 10,925 | 199,623 | SH | SOLE | 181,034 | 0 | 18,589 | ||
CITIGROUP INC | COM NEW | 172967424 | 425 | 6,073 | SH | SOLE | 6,073 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 7,844 | 51,231 | SH | SOLE | 42,394 | 0 | 8,837 | ||
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 1,161 | 44,736 | SH | SOLE | 37,586 | 0 | 7,150 | ||
COMMERCE BANCSHARES INC | COM | 200525103 | 257 | 4,312 | SH | SOLE | 4,312 | 0 | 0 | ||
CONSOLIDATED EDISON INC | COM | 209115104 | 8,606 | 98,150 | SH | SOLE | 85,610 | 0 | 12,540 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 396 | 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 | 667 | 4,780 | SH | SOLE | 4,775 | 0 | 5 | ||
DNP SELECT INCOME FD | COM | 23325P104 | 234 | 19,800 | SH | SOLE | 19,800 | 0 | 0 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 342 | 16,350 | SH | SOLE | 15,650 | 0 | 700 | ||
DOW INC | COM | 260557103 | 231 | 4,686 | SH | SOLE | 4,686 | 0 | 0 | ||
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 282 | 3,200 | SH | SOLE | 3,200 | 0 | 0 | ||
DUPONT DE NEMOURS INC | COM | 26614N102 | 339 | 4,519 | SH | SOLE | 4,519 | 0 | 0 | ||
EATON CORP PLC | SHS | G29183103 | 8,709 | 104,581 | SH | SOLE | 91,217 | 0 | 13,364 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 8,529 | 674,250 | SH | SOLE | 627,596 | 0 | 46,654 | ||
EATON VANCE TAX ADVT DIV INC | COM | 27828G107 | 1,194 | 50,150 | SH | SOLE | 45,450 | 0 | 4,700 | ||
EDISON INTL | COM | 281020107 | 205 | 3,048 | SH | SOLE | 2,623 | 0 | 425 | ||
EMERSON ELEC CO | COM | 291011104 | 4,106 | 61,542 | SH | SOLE | 54,017 | 0 | 7,525 | ||
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 363 | 12,583 | SH | SOLE | 12,583 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 14,817 | 193,359 | SH | SOLE | 182,249 | 0 | 11,110 | ||
FACEBOOK INC | CL A | 30303M102 | 760 | 3,936 | SH | SOLE | 3,561 | 0 | 375 | ||
FIRST FNDTN INC | COM | 32026V104 | 269 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 231 | 22,030 | SH | SOLE | 21,784 | 0 | 246 | ||
GENERAL MLS INC | COM | 370334104 | 1,395 | 26,557 | SH | SOLE | 23,832 | 0 | 2,725 | ||
HOME DEPOT INC | COM | 437076102 | 675 | 3,246 | SH | SOLE | 3,146 | 0 | 100 | ||
HONEYWELL INTL INC | COM | 438516106 | 508 | 2,912 | SH | SOLE | 2,912 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 324 | 6,777 | SH | SOLE | 6,777 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 324 | 2,350 | SH | SOLE | 2,350 | 0 | 0 | ||
INVESCO CALIF VALUE MUN INC | COM | 46132H106 | 617 | 22,970 | SH | SOLE | 21,720 | 0 | 1,250 | ||
INVESCO EXCH TRD SLF IDX FD | BULSHS 2019 CB | 46138J304 | 868 | 41,155 | SH | SOLE | 41,155 | 0 | 0 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 EQL TEC | 46137V282 | 1,260 | 7,100 | SH | SOLE | 100 | 0 | 7,000 | ||
INVESCO EXCHNG TRADED FD TR | PFD ETF | 46138E511 | 5,840 | 399,170 | SH | SOLE | 347,635 | 0 | 51,535 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 2,034 | 10,891 | SH | SOLE | 4,680 | 0 | 6,211 | ||
ISHARES TR | CORE S&P500 ETF | 464287200 | 323 | 1,097 | SH | SOLE | 1,097 | 0 | 0 | ||
ISHARES TR | INTRM TR CRP ETF | 464288638 | 1,050 | 18,440 | SH | SOLE | 14,840 | 0 | 3,600 | ||
ISHARES TR | NASDAQ BIOTECH | 464287556 | 653 | 5,985 | SH | SOLE | 2,985 | 0 | 3,000 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 1,573 | 10,000 | SH | SOLE | 0 | 0 | 10,000 | ||
ISHARES TR | US HLTHCARE ETF | 464287762 | 1,080 | 5,532 | SH | SOLE | 1,482 | 0 | 4,050 | ||
JOHNSON & JOHNSON | COM | 478160104 | 317 | 2,279 | SH | SOLE | 2,279 | 0 | 0 | ||
JPMORGAN CHASE & CO | ALERIAN ML ETN | 46625H365 | 230 | 9,150 | SH | SOLE | 8,500 | 0 | 650 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 8,918 | 79,771 | SH | SOLE | 70,606 | 0 | 9,165 | ||
KIMBERLY CLARK CORP | COM | 494368103 | 267 | 2,000 | SH | SOLE | 1,675 | 0 | 325 | ||
KLA-TENCOR CORP | COM | 482480100 | 5,433 | 45,965 | SH | SOLE | 38,905 | 0 | 7,060 | ||
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 6,680 | 153,279 | SH | SOLE | 138,169 | 0 | 15,110 | ||
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 221 | 5,025 | SH | SOLE | 5,025 | 0 | 0 | ||
LAM RESEARCH CORP | COM | 512807108 | 255 | 1,360 | SH | SOLE | 1,360 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 5,935 | 58,819 | SH | SOLE | 50,889 | 0 | 7,930 | ||
MERCK & CO INC | COM | 58933Y105 | 956 | 11,405 | SH | SOLE | 11,205 | 0 | 200 | ||
MICROSOFT CORP | COM | 594918104 | 504 | 3,762 | SH | SOLE | 3,762 | 0 | 0 | ||
NAVIOS MARITIME HLDGS INC | COM | Y62197119 | 63 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 991 | 2,698 | SH | SOLE | 2,518 | 0 | 180 | ||
NIO INC | SPON ADS | 62914V106 | 43 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
NUVEEN ALL CAP ENE MLP OPPO | COM | 67075E108 | 313 | 50,514 | SH | SOLE | 75 | 0 | 50,439 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 2,612 | 180,364 | SH | SOLE | 165,714 | 0 | 14,650 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 2,146 | 147,003 | SH | SOLE | 136,803 | 0 | 10,200 | ||
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 1,916 | 143,809 | SH | SOLE | 110,909 | 0 | 32,900 | ||
NVIDIA CORP | COM | 67066G104 | 497 | 3,025 | SH | SOLE | 3,025 | 0 | 0 | ||
PALO ALTO NETWORKS INC | COM | 697435105 | 271 | 1,330 | SH | SOLE | 1,130 | 0 | 200 | ||
PARKER HANNIFIN CORP | COM | 701094104 | 267 | 1,573 | SH | SOLE | 1,573 | 0 | 0 | ||
PAYPAL HLDGS INC | COM | 70450Y103 | 611 | 5,335 | SH | SOLE | 5,335 | 0 | 0 | ||
PBF ENERGY INC | CL A | 69318G106 | 320 | 10,234 | SH | SOLE | 10,234 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 8,873 | 204,832 | SH | SOLE | 182,019 | 0 | 22,813 | ||
PHILLIPS 66 | COM | 718546104 | 244 | 2,606 | SH | SOLE | 2,606 | 0 | 0 | ||
PPG INDS INC | COM | 693506107 | 370 | 3,166 | SH | SOLE | 3,166 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 688 | 6,272 | SH | SOLE | 6,122 | 0 | 150 | ||
QUALCOMM INC | COM | 747525103 | 455 | 5,975 | SH | SOLE | 5,975 | 0 | 0 | ||
SBA COMMUNICATIONS CORP NEW | CL A | 78410G104 | 652 | 2,900 | SH | SOLE | 2,900 | 0 | 0 | ||
SCHWAB STRATEGIC TR | EMRG MKTEQ ETF | 808524706 | 2,213 | 84,356 | SH | SOLE | 18,555 | 0 | 65,801 | ||
SCHWAB STRATEGIC TR | INTL EQTY ETF | 808524805 | 2,053 | 63,974 | SH | SOLE | 37,299 | 0 | 26,675 | ||
SCHWAB STRATEGIC TR | US AGGREGATE B | 808524839 | 39,805 | 751,039 | SH | SOLE | 691,930 | 0 | 59,109 | ||
SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 | 7,526 | 106,703 | SH | SOLE | 102,714 | 0 | 3,989 | ||
SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 | 1,699 | 32,005 | SH | SOLE | 6,005 | 0 | 26,000 | ||
SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 627 | 7,534 | SH | SOLE | 7,513 | 0 | 21 | ||
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 1,898 | 33,805 | SH | SOLE | 13,805 | 0 | 20,000 | ||
SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 | 3,506 | 49,944 | SH | SOLE | 48,474 | 0 | 1,470 | ||
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 289 | 4,040 | SH | SOLE | 4,018 | 0 | 22 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 956 | 15,000 | SH | SOLE | 3,425 | 0 | 11,575 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 2,148 | 77,827 | SH | SOLE | 17,402 | 0 | 60,425 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 328 | 4,240 | SH | SOLE | 4,090 | 0 | 150 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 2,731 | 45,800 | SH | SOLE | 1,000 | 0 | 44,800 | ||
SIRIUS XM HLDGS INC | COM | 82968B103 | 346 | 61,940 | SH | SOLE | 61,940 | 0 | 0 | ||
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,103 | 4,150 | SH | SOLE | 150 | 0 | 4,000 | ||
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 253 | 1,900 | SH | SOLE | 1,900 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 9,344 | 31,892 | SH | SOLE | 6,892 | 0 | 25,000 | ||
SQUARE INC | CL A | 852234103 | 201 | 2,775 | SH | SOLE | 2,775 | 0 | 0 | ||
STARBUCKS CORP | COM | 855244109 | 1,511 | 18,021 | SH | SOLE | 17,371 | 0 | 650 | ||
TESLA INC | COM | 88160R101 | 771 | 3,451 | SH | SOLE | 1,264 | 0 | 2,187 | ||
THE CHARLES SCHWAB CORPORATI | COM | 808513105 | 287 | 7,142 | SH | SOLE | 7,142 | 0 | 0 | ||
UNION PACIFIC CORP | COM | 907818108 | 481 | 2,846 | SH | SOLE | 2,846 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 7,565 | 58,104 | SH | SOLE | 53,759 | 0 | 4,345 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,429 | 55,900 | SH | SOLE | 1,800 | 0 | 54,100 | ||
VANECK VECTORS ETF TR | PFD SECS EX FINL | 92189F429 | 496 | 25,075 | SH | SOLE | 24,275 | 0 | 800 | ||
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 323 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
VENTAS INC | COM | 92276F100 | 439 | 6,425 | SH | SOLE | 5,975 | 0 | 450 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,563 | 27,355 | SH | SOLE | 25,692 | 0 | 1,663 | ||
WELLS FARGO CO NEW | COM | 949746101 | 264 | 5,582 | SH | SOLE | 5,582 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 517 | 4,385 | SH | SOLE | 4,385 | 0 | 0 |