|
-
AMERICAN NEW ECONOMY FUND
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 21, 2020
|
AMERICAN NEW ECONOMY FUND
|
-
|
|
-
AMERICAN SMALL CAP WORLD FUND
None
|
Purchase
$15,001
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 21, 2020
|
-
|
-
|
|
-
INVESTMENT COMPANY OF AMERICA
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 18, 2020
|
INVESTMENT COMPANY OF AMERICA
|
-
|
|
-
WASHINGTON MUTUAL INV FD
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 18, 2020
|
WASHINGTON MUTUAL INV FD
|
-
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 17, 2020
|
-
|
-6.32%
|
|
-
AMERICAN MUTUAL FUND
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 17, 2020
|
AMERICAN MUTUAL FUND
|
-
|
|
-
CAPITAL WORLD GROWTH & INCOME FUND
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 17, 2020
|
CAPITAL WORLD GROWTH & INCOME FUND
|
-
|
|
-
AMCAP FUND
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 17, 2020
|
AMCAP FUND
|
-
|
|
-
AMERICAN BALANCED FUND
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 17, 2020
|
AMERICAN BALANCED FUND
|
-
|
|
-
FUNDAMENTAL INVESTORS CL A
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 16, 2020
|
FUNDAMENTAL INVESTORS CL A
|
-
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 10, 2020
|
-
|
-41.67%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 25, 2021
|
Dec. 10, 2020
|
-
|
-41.67%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 10, 2020
|
-
|
-2.64%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 25, 2021
|
Dec. 10, 2020
|
-
|
-2.64%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 25, 2021
|
Dec. 10, 2020
|
-
|
-5.85%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 22, 2021
|
Dec. 10, 2020
|
-
|
-5.85%
|
|
AAL
AMERICAN AIRLINES GROUP, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 15, 2020
|
Nov. 30, 2020
|
-
|
-29.76%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 15, 2020
|
Nov. 30, 2020
|
-
|
-7.87%
|
|
DRI
DARDEN RESTAURANTS, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 15, 2020
|
Nov. 30, 2020
|
-
|
20.06%
|
|
LUV
SOUTHWEST AIRLINES COMPANY
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 15, 2020
|
Nov. 30, 2020
|
-
|
-64.41%
|
|
-
UIT FIRST TRUST DIVERSIFIED W115
OT
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 15, 2020
|
Nov. 10, 2020
|
UIT FIRST TRUST DIVERSIFIED W115 REDEMPTION
|
-
|
|
AAPL
APPLE INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
31.85%
|
|
AAPL
APPLE INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
31.85%
|
|
BX
THE BLACKSTONE GROUP INC. CLASS A
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
69.23%
|
|
CVX
CHEVRON CORPORATION
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
CVX RESULT OF MERGER WITH NBL
|
65.40%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
-28.31%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
-28.31%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
-22.78%
|
|
-
FIRST TRUST CLOUD COMPUTING ETF
None
|
Purchase
$15,001
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 16, 2020
|
-
|
-
|
|
CVX
CHEVRON CORPORATION
ST
|
Exchange
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 06, 2020
|
MERGER WITH NBL
|
62.16%
|
|
CVX
CHEVRON CORPORATION
ST
|
Exchange
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 06, 2020
|
MERGER WITH NBL
|
62.16%
|
|
NBL
NOBLE ENERGY INC.
ST
|
Exchange
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 06, 2020
|
MERGER WITH CVX
|
-
|
|
NBL
NOBLE ENERGY INC.
ST
|
Exchange
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 04, 2020
|
Oct. 06, 2020
|
MERGER WITH CVX
|
-
|
|
ABT
ABBOTT LABORATORIES
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 28, 2020
|
-
|
-37.08%
|
|
ABT
ABBOTT LABORATORIES
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 28, 2020
|
-
|
-37.08%
|
|
-
JPMORGAN CHASE & CO FIX/FLT JR SBRDNTD PERP MAT CLLB NRA TAXABLE CPN 4.051% DUE 12/29/49
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 28, 2020
|
JPMORGAN CHASE & CO FIX/FLT JR SBRDNTD PERP MAT CLLB NRA TAXABLE CPN 4.051% DUE
|
-
|
|
-
BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% DUE 09/24/20
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 24, 2020
|
BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% DUE 09/24/20
|
-
|
|
CIBR
FIRST TRUST NASDAQ CYBERSECURITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
-
|
8.02%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
-
|
-24.34%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
-
|
-24.34%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
-
|
-24.34%
|
|
-
12/29/49 PRINCIPAL U.S. MEGA-CAP ETF
None
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
-
|
-
|
|
-
REDEMPTION FIFTH THIRD BANCORP FIX TO FLT JR SBRDNTD CALLABLE PERPTL CPN 5.100% DUE 12/31/49
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 21, 2020
|
FIFTH THIRD BANCORP FIX TO FLT JR SBRDNTD CALLABLE PERPTL CPN 5.100% DUE 12/31/49
|
-
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 09, 2020
|
-
|
21.69%
|
|
AAPL
APPLE INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
35.34%
|
|
AAPL
APPLE INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
35.34%
|
|
GOOGL
ALPHABET INC. - CLASS A
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
39.07%
|
|
INTU
INTUIT INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
40.75%
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
20.51%
|
|
SPY
SPDR S&P 500
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
-0.02%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
1.25%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 05, 2020
|
Sep. 08, 2020
|
-
|
-7.74%
|
|
-
FT DIVERS INCOME & GROWTH FALL 15
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 11, 2020
|
FT DIVERS INCOME & GROWTH FALL 15 REDEMPTION
|
-
|
|
AEP
AMERICAN ELECTRIC POWER COMPANY, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-44.49%
|
|
AXP
AMERICAN EXPRESS COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
28.58%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-31.08%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-8.49%
|
|
DUK
DUKE ENERGY CORPORATION
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-25.80%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-32.84%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-8.88%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-8.88%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-13.12%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-13.12%
|
|
USB
U.S. BANCORP
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-29.26%
|
|
V
VISA INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-7.20%
|
|
XLV
SPDR SELECT SECTOR FUND - HEALTH CARE
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 08, 2020
|
Aug. 10, 2020
|
-
|
-12.62%
|
|
-
AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 20, 2020
|
AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA
|
-
|
|
AAPL
APPLE INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
-
|
66.80%
|
|
AMZN
05/15/16 CALL1 11/15/20 @ 100.000, CUSIP-172967KD2" AMAZON.COM, INC.
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
-
|
-45.78%
|
|
HD
HOME DEPOT, INC.
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
-
|
-16.64%
|
|
PFE
PFIZER, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
-
|
-62.90%
|
|
RTX
RAYTHEON TECHNOLOGIES CORPORATION
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
-
|
-16.21%
|
|
-
"CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 DTD 11/13/15 FC 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP- 172967KD2"
OT
|
Purchase
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2020
|
Jul. 01, 2020
|
"CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 DTD 11/13/15 FC
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 23, 2020
|
JPMORGAN FEDERAL MONEY MARKET FUND FILING ID #20016929
|
-
|
|
INFR
LEGG MASON GLOBAL INFRASTRUCTURE ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 10, 2020
|
-
|
-58.38%
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 10, 2020
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
EFG
ISHARES MSCI EAFE GROWTH ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
-
|
-33.16%
|
|
EFV
ISHARES MSCI EAFE VALUE ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
-
|
-24.25%
|
|
ISD
PGIM HIGH YIELD BOND FUND, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
-
|
-56.25%
|
|
IWM
ISHARES RUSSELL 2000 ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
-
|
-19.02%
|
|
VV
VANGUARD LARGE-CAP ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
-
|
-1.00%
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND S
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 09, 2020
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 02, 2020
|
-
|
-26.82%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 01, 2020
|
-
|
-27.85%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 01, 2020
|
-
|
-27.85%
|
|
TJX
TJX COMPANIES, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 01, 2020
|
-
|
16.61%
|
|
USB
U.S. BANCORP
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 01, 2020
|
-
|
-40.33%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 10, 2020
|
Jun. 01, 2020
|
-
|
-28.17%
|
|
BX
THE BLACKSTONE GROUP INC. CLASS A
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
46.50%
|
|
BX
THE BLACKSTONE GROUP INC. CLASS A
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
46.50%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
-3.70%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
-3.70%
|
|
SKYY
FIRST TRUST CLOUD COMPUTING ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
-31.93%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
0.67%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
0.67%
|
|
USMC
05/29/49 PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
0.67%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 26, 2020
|
-
|
0.67%
|
|
AAPL
APPLE INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
92.50%
|
|
AMZN
AMAZON.COM, INC.
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-37.12%
|
|
BDX
BECTON, DICKINSON AND COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-69.24%
|
|
CARR
CARRIER GLOBAL CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
153.53%
|
|
HD
HOME DEPOT, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-20.39%
|
|
ITOT
ISHARES CORE S&P TOTAL U.S. STOCK MARKET ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-1.92%
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
21.27%
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
21.27%
|
|
OTIS
OTIS WORLDWIDE CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
9.77%
|
|
SKYY
FIRST TRUST CLOUD COMPUTING ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-32.69%
|
|
SKYY
FIRST TRUST CLOUD COMPUTING ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-32.69%
|
|
SKYY
FIRST TRUST CLOUD COMPUTING ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-32.69%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-10.76%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-10.76%
|
|
VZ
VERIZON COMMUNICATIONS INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
-
|
-87.16%
|
|
-
PNC FINANCIAL SERVICES UNSECURED FIX TO FLOAT CALLABLE SER R PERPTL CPN 4.850% DUE 05/29/49
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 19, 2020
|
PNC FINANCIAL SERVICES UNSECURED FIX TO FLOAT CALLABLE SER R PERPTL CPN 4.850% DUE
|
-
|
|
-
UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 12, 2020
|
UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015 REDEMPTION
|
-
|
|
DRI
DARDEN RESTAURANTS, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 11, 2020
|
-
|
57.68%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 11, 2020
|
-
|
-53.76%
|
|
PG
PROCTER & GAMBLE COMPANY
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jun. 09, 2020
|
May. 11, 2020
|
-
|
-31.45%
|
|
-
BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 24, 2020
|
BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20
|
-
|
|
-
BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 24, 2020
|
BOFA FIN LLC 0% 1Y: LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 REDEMPTION
|
-
|
|
-
UIT INVESCO UNIT TRS CENT EQUITY TR DIVERSFED SER 2016-
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 23, 2020
|
-
|
-
|
|
CVX
CHEVRON CORPORATION
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
-
|
6.00%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
-
|
-15.42%
|
|
DUK
DUKE ENERGY CORPORATION
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
-
|
-56.59%
|
|
EMR
EMERSON ELECTRIC COMPANY
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
-
|
6.95%
|
|
MPC
MARATHON PETROLEUM CORPORATION
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
-
|
414.36%
|
|
-
FRANKLIN RISING DIVIDEND CL A
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
FRANKLIN RISING DIVIDEND CL A
|
-
|
|
-
AMERICAN GROWTH FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
AMERICAN GROWTH FUND
|
-
|
|
-
AMERICAN CAPITAL INCOME
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
AMERICAN CAPITAL INCOME
|
-
|
|
-
AMERICAN NEW PERSPECTIVE CL A
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
AMERICAN NEW PERSPECTIVE CL A
|
-
|
|
-
AMERICAN TAX-EXEMPT BOND FD
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
AMERICAN TAX-EXEMPT BOND FD
|
-
|
|
-
AMERICAN FUNDAMENTAL INVESTORS
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 22, 2020
|
AMERICAN FUNDAMENTAL INVESTORS FILING ID #20016520
|
-
|
|
AAPL
APPLE INC.
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
109.54%
|
|
AAPL
APPLE INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
109.54%
|
|
AMZN
AMAZON.COM, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
-37.93%
|
|
AMZN
AMAZON.COM, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
-37.93%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
-16.05%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
-16.05%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
-
|
-16.05%
|
|
-
12/29/49 JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE 12/31/49
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE
|
-
|
|
-
JPMORGAN CHASE & CO FIXED/FLOAT JR SBRDNTD CALLABLE PERPETUAL MAT CPN 88.875% DUE 12/29/49
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
JPMORGAN CHASE & CO FIXED/FLOAT JR SBRDNTD CALLABLE PERPETUAL MAT CPN 88.875% DUE
|
-
|
|
-
12/31/49 JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE 12/31/49
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 15, 2020
|
JPMORGAN CHASE & CO JR SUBORDINATED FIX/FLT CALLABLE PERP MAT SER CC CPN 4.625% DUE
|
-
|
|
DRI
DARDEN RESTAURANTS, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 13, 2020
|
-
|
94.01%
|
|
AEP
AMERICAN ELECTRIC POWER COMPANY, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 06, 2020
|
-
|
-72.33%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 06, 2020
|
-
|
-18.85%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 06, 2020
|
-
|
-18.85%
|
|
DGRO
ISHARES CORE DIVIDEND GROWTH ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 06, 2020
|
-
|
-18.85%
|
|
SO
SOUTHERN COMPANY
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 04, 2020
|
Apr. 06, 2020
|
-
|
-44.60%
|
|
-
08/25/22 DTD 08/31/17 TRANSFER TO WF 10 HSBC USA INC 0% EDP NTS LKD TO EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% DUE 03/27/20
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 27, 2020
|
HSBC USA INC 0% EDP NTS LKD TO EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% DUE 03/27/20
|
-
|
|
-
BANK NOVA SCOTIA 0% EDP BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 27, 2020
|
BANK NOVA SCOTIA 0% EDP BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE
|
-
|
|
AEP
AMERICAN ELECTRIC POWER COMPANY, INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-101.89%
|
|
DEO
DIAGEO PLC
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-55.66%
|
|
DEO
WF 10 DIAGEO PLC
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-55.66%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-9.99%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-9.99%
|
|
DIS
WALT DISNEY COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-87.58%
|
|
LUV
SOUTHWEST AIRLINES COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-109.40%
|
|
LUV
SOUTHWEST AIRLINES COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-109.40%
|
|
NOC
REDEMPTION NORTHROP GRUMMAN CORPORATION
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-44.66%
|
|
VEA
VANGUARD FTSE DEVELOPED MARKETS ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-33.85%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-77.65%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-77.65%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 18, 2020
|
-
|
-77.65%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-6.10%
|
|
MMM
3M COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-98.47%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-30.84%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-30.84%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-30.84%
|
|
TRV
THE TRAVELERS COMPANIES, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-7.70%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-40.10%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-16.90%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 11, 2020
|
-
|
-16.90%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 10, 2020
|
-
|
-26.80%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 10, 2020
|
-
|
-38.22%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Mar. 10, 2020
|
-
|
-62.10%
|
|
-
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 28, 2020
|
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 REDEMPTION
|
-
|
|
-
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 28, 2020
|
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 REDEMPTION
|
-
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 26, 2020
|
-
|
-27.96%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 25, 2020
|
-
|
-28.92%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 25, 2020
|
-
|
-55.65%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER TO
|
-28.32%
|
|
FDL
WF 10 FIRST TRUST MORNINGSTAR ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-28.32%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-22.89%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-22.89%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-3.72%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-3.72%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-27.64%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-27.64%
|
|
SPY
SPDR S&P 500
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-0.03%
|
|
SPY
SPDR S&P 500
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-0.03%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
2.08%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
2.08%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-26.86%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Exchange
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-26.86%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-11.46%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-11.46%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Exchange
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER FROM WF 95
|
-53.16%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Exchange
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
TRANSFER TO WF 10
|
-53.16%
|
|
-
HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 DTD 08/31/17
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE
|
-
|
|
-
02/28/20 TRANSFER FROM WF 95 BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER
|
-
|
|
-
BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE
|
-
|
|
-
03/27/20 REDEMPTION BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 TRANSFER TO WF 10
|
-
|
|
-
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0.000% DUE 02/28/20
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BARCLAYS BK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0.000% DUE
|
-
|
|
-
FROM WF 95 BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BOFA FIN LLC 0% BLS LKD TO S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 TRANSFER TO
|
-
|
|
-
03/27/20 TRANSFER FROM WF 95 BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
BANK NOVA SCOTIA 0% BLS BC CAPPED LEVERAGED INDX RETURN MTY 03/27/20 CPN 0.000% DUE
|
-
|
|
-
08/25/22 DTD 08/31/17 TRANSFER FROM WF 95 HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 DTD 08/31/17
OT
|
Exchange
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 06, 2020
|
Feb. 24, 2020
|
HSBC USA INC 0% BLS AUTOCALL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE
|
-
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 18, 2020
|
-
|
-25.50%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 18, 2020
|
-
|
-25.50%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 18, 2020
|
-
|
-3.19%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 18, 2020
|
-
|
-48.94%
|
|
CSQ
CALAMOS STRATEGIC TOTAL RETURN FUND
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-36.68%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-13.57%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-2.87%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-2.87%
|
|
QQQ
INVESCO QQQ TRUST, SERIES 1
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
31.53%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-24.99%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-0.02%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
1.92%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-24.09%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-9.58%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-47.17%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 10, 2020
|
Feb. 10, 2020
|
-
|
-47.17%
|
|
-
BOFA FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD TO S&P MTY 01/31/20 CPN 0.000% DUE 01/31/20
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Jan. 31, 2020
|
BOFA FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD TO S&P MTY 01/31/20 CPN 0.000% DUE
|
-
|
|
-
BANK NOVA SCOTIA 0% 1Y: B C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31/20
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Jan. 31, 2020
|
BANK NOVA SCOTIA 0% 1Y: B C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31/20 REDEMPTION
|
-
|
|
IVZ
INVESCO LTD
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Jan. 16, 2020
|
-
|
-55.81%
|
|
-
AMERICAN BALANCED FUND CLASS A
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Jan. 16, 2020
|
AMERICAN BALANCED FUND CLASS A
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 30, 2019
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 23, 2019
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
-
BANK NOVA SCOTIA B 0EDP C ACLRTD RTRN NT LKD S&P 500 IDX DUE 12/20/2019 CPN 0.000%
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 20, 2019
|
BANK NOVA SCOTIA B 0EDP C ACLRTD RTRN NT LKD S&P 500 IDX DUE 12/20/2019 CPN 0.000%
|
-
|
|
IVZ
INVESCO LTD
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 12, 2019
|
-
|
-59.29%
|
|
-
CREDIT SUISSE AG 0% EDP LONDON BRH LKD TO EURO STOXX 50 INDEX 1/30/2020 CPN 0.000% DUE 11/30/20
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 12, 2019
|
CREDIT SUISSE AG 0% EDP LONDON BRH LKD TO EURO STOXX 50 INDEX 1/30/2020 CPN 0.000%
|
-
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 10, 2019
|
-
|
-19.31%
|
|
GSLC
DUE 11/30/20 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 10, 2019
|
-
|
-2.82%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 10, 2019
|
-
|
-48.49%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-20.68%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-20.68%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-3.22%
|
|
GSLC
GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-3.22%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-33.18%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-11.81%
|
|
VIG
VANGUARD DIV APPRECIATION ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Feb. 07, 2020
|
Dec. 03, 2019
|
-
|
-11.81%
|
|
-
CREDIT SUISSE AG 0% EDP LKD EURO STOXX 50 INDEX DUE 11/27/2020 CPN 0.000% DUE 11/27/20
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 29, 2019
|
CREDIT SUISSE AG 0% EDP LKD EURO STOXX 50 INDEX DUE 11/27/2020 CPN 0.000% DUE 11/27/20
|
-
|
|
FDL
REDEMPTION FIRST TRUST MORNINGSTAR ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 07, 2019
|
-
|
-41.32%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 07, 2019
|
-
|
-35.17%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 07, 2019
|
-
|
-0.06%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 07, 2019
|
-
|
1.81%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 16, 2019
|
Nov. 07, 2019
|
-
|
-49.81%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 21, 2019
|
-
|
-36.72%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 21, 2019
|
-
|
-36.72%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 21, 2019
|
-
|
-36.72%
|
|
-
R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,488.786 DUE 09/30/22
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 19, 2019
|
R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,488.786 DUE 09/30/22 REDEMPTION
|
-
|
|
ACN
ACCENTURE PLC CLASS A ORDINARY SHARES
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
26.41%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-23.86%
|
|
DD
DUPONT DE NEMOURS, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-44.76%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-41.88%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-41.88%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-24.07%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-37.38%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-37.38%
|
|
NEE
NEXTERA ENERGY, INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-54.10%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-55.41%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-55.41%
|
|
RDS.B
ROYAL DUTCH SHELL PLC ROYAL DUTCH SHELL PLC AMERICAN DEPOSITARY SHARES
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-62.45%
|
|
SDY
SPDR S&P DIVIDEND ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-36.04%
|
|
SPY
SPDR S&P 500
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-0.10%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-36.81%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-60.76%
|
|
XOM
EXXON MOBIL CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-11.17%
|
|
-
SPDR DOW JONES INDUSTRIAL
None
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 10, 2019
|
-
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2019
|
Oct. 02, 2019
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
-
REDEMPTION BOFA FIN LLC 0% EDP STEP UP NOT LKD TO EURO STOXX 50 DUE 09/27/2019
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 27, 2019
|
BOFA FIN LLC 0% EDP STEP UP NOT LKD TO EURO STOXX 50 DUE 09/27/2019 REDEMPTION
|
-
|
|
-
BOFA FIN LLC 0% EDP LKD TO S&P 500 INDEX DUE 09/27/2019 CPN 0.000% DUE 09/27/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 27, 2019
|
BOFA FIN LLC 0% EDP LKD TO S&P 500 INDEX DUE 09/27/2019 CPN 0.000% DUE 09/27/19
|
-
|
|
AMZN
AMAZON.COM, INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 26, 2019
|
-
|
14.43%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 26, 2019
|
-
|
-35.87%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 26, 2019
|
-
|
-59.96%
|
|
-
HARTFORD FORTIS FUNDS �* GRWTH OPPTYS
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 08, 2019
|
Sep. 26, 2019
|
HARTFORD FORTIS FUNDS �* GRWTH OPPTYS FILING ID #20012439
|
-
|
|
-
REDEMPTION CANADIAN IMPRL BK 0%EDP COMM TRNT BRH RTN NT LKD S&P500 IDX DUE08/30/2019
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 30, 2019
|
CANADIAN IMPRL BK 0%EDP COMM TRNT BRH RTN NT LKD S&P500 IDX DUE08/30/2019 REDEMPTION
|
-
|
|
-
CANADIAN IMPERIAL BKEDP 0% COMM TORONTO BRH LKD MSCI EMRGNG DUE 08/30/19
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 30, 2019
|
CANADIAN IMPERIAL BKEDP 0% COMM TORONTO BRH LKD MSCI EMRGNG DUE 08/30/19
|
-
|
|
-
BANK NOVA SCOTIA 0% 1Y: ACCL RTRN LKD RUSSELL 2000 IDX MTY 08/30/19
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 30, 2019
|
BANK NOVA SCOTIA 0% 1Y: ACCL RTRN LKD RUSSELL 2000 IDX MTY 08/30/19 REDEMPTION
|
-
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 14, 2019
|
-
|
-28.67%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 14, 2019
|
-
|
-0.21%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 14, 2019
|
-
|
-38.05%
|
|
CTVA
CORTEVA, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-9.80%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-26.78%
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-26.78%
|
|
DOW
DOW INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-45.44%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-42.42%
|
|
FDL
FIRST TRUST MORNINGSTAR ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-42.42%
|
|
WM
WASTE MANAGEMENT, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-11.47%
|
|
WMT
WALMART INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 17, 2019
|
Aug. 06, 2019
|
-
|
-19.42%
|
|
-
FIN BASKET ARN ISS BOFA CAP 18.06%
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 29, 2019
|
FIN BASKET ARN ISS BOFA CAP 18.06%
|
-
|
|
KO
COCA-COLA COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 26, 2019
|
-
|
-44.27%
|
|
-
AMERICAN FUNDS DEVELOPING: WORLD GROWTH & INCOME FD
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 26, 2019
|
AMERICAN FUNDS DEVELOPING: WORLD GROWTH & INCOME FD
|
-
|
|
-
AMERICAN MUTUAL FUND INC CLASS A
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 26, 2019
|
AMERICAN MUTUAL FUND INC CLASS A
|
-
|
|
CWB
SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
-24.72%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
0.73%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
0.73%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
0.73%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
0.73%
|
|
USMC
PRINCIPAL U.S. MEGA-CAP MULTI- FACTOR INDEX ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
0.73%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
-30.92%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
-30.92%
|
|
VDC
VANGUARD CONSUMER STAPLES ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
-30.92%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 24, 2019
|
-
|
-50.03%
|
|
SPG
SIMON PROPERTY GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jul. 23, 2019
|
-
|
-69.55%
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 08, 2019
|
Jun. 21, 2019
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
-
BOFA FIN LLC 0% EDP MKT LKD STP NTS LKD EURO STOXX 50 INDX 05/31/2019 CPN 0.000% DUE 05/31/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jul. 08, 2019
|
Jun. 03, 2019
|
BOFA FIN LLC 0% EDP MKT LKD STP NTS LKD EURO STOXX 50 INDX 05/31/2019 CPN 0.000% DUE
|
-
|
|
-
R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 26, 2019
|
R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19 REDEMPTION
|
-
|
|
-
AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 26, 2019
|
AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 REDEMPTION
|
-
|
|
AAPL
APPLE INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
225.22%
|
|
ADP
AUTOMATIC DATA PROCESSING, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-17.65%
|
|
BDX
BECTON, DICKINSON AND COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-56.85%
|
|
DIS
WALT DISNEY COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-88.71%
|
|
HD
HOME DEPOT, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-0.05%
|
|
INTU
INTUIT INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
63.85%
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-19.08%
|
|
PFE
PFIZER, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-85.71%
|
|
VZ
VERIZON COMMUNICATIONS INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 18, 2019
|
-
|
-92.89%
|
|
-
SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 11, 2019
|
SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 REDEMPTION
|
-
|
|
-
SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 11, 2019
|
-
|
-
|
|
-
VANGUARD TOTAL BOND MARKET EFT S
OT
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 08, 2019
|
VANGUARD TOTAL BOND MARKET EFT
|
-
|
|
-
JPMORGAN HIGN YIELD FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 08, 2019
|
JPMORGAN HIGN YIELD FUND
|
-
|
|
GOOGL
ALPHABET INC. - CLASS A
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 04, 2019
|
-
|
61.04%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 04, 2019
|
-
|
-46.45%
|
|
RTN
RAYTHEON COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 04, 2019
|
-
|
-21.66%
|
|
UNH
UNITEDHEALTH GROUP INCORPORATED COMMON STOCK
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 06, 2019
|
Apr. 04, 2019
|
-
|
61.87%
|
|
-
R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 29, 2019
|
R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19 REDEMPTION
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 28, 2019
|
JPMORGAN FEDERAL MONEY MARKET FUND FILING ID #20011362
|
-
|
|
GE
GENERAL ELECTRIC COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 25, 2019
|
-
|
-12.49%
|
|
T
AT&T INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 25, 2019
|
-
|
-123.52%
|
|
-
ISHARES CORE DIVIDEND GROWTH: ETF
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 25, 2019
|
ISHARES CORE DIVIDEND GROWTH: ETF
|
-
|
|
TRV
THE TRAVELERS COMPANIES, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 04, 2019
|
-
|
-27.50%
|
|
XOM
EXXON MOBIL CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Apr. 02, 2019
|
Mar. 04, 2019
|
-
|
-40.71%
|
|
-
R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 05, 2019
|
Feb. 22, 2019
|
R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19 REDEMPTION
|
-
|
|
-
SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 05, 2019
|
Feb. 22, 2019
|
SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19
|
-
|
|
-
SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 05, 2019
|
Feb. 21, 2019
|
SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20
|
-
|
|
-
SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Mar. 05, 2019
|
Feb. 21, 2019
|
SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20
|
-
|
|
TRV
THE TRAVELERS COMPANIES, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 31, 2019
|
-
|
-26.14%
|
|
XOM
EXXON MOBIL CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 31, 2019
|
-
|
-34.68%
|
|
-
R2000 ARN ISSUER HSBC CAP 12.75% SV 1,518.89 DUE 01/24/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 24, 2019
|
R2000 ARN ISSUER HSBC CAP 12.75% SV 1,518.89 DUE 01/24/19 REDEMPTION
|
-
|
|
-
SP500 CLIRNS ISSUER BNS CAP 11.50% SV 2,642.33 DUE 03/27/20
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 24, 2019
|
SP500 CLIRNS ISSUER BNS CAP 11.50% SV 2,642.33 DUE 03/27/20
|
-
|
|
AAPL
APPLE INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
340.03%
|
|
INTU
INTUIT INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
102.39%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
-60.44%
|
|
MSFT
MICROSOFT CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
184.77%
|
|
PEP
PEPSICO, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
-29.44%
|
|
WMT
WALMART INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
-20.80%
|
|
ZTS
ZOETIS INC. CLASS A
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 08, 2019
|
-
|
34.05%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 04, 2019
|
-
|
9.75%
|
|
SPG
SIMON PROPERTY GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 04, 2019
|
-
|
-102.98%
|
|
XOM
EXXON MOBIL CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Mar. 04, 2019
|
Jan. 04, 2019
|
-
|
-42.45%
|
|
-
JPMORGAN FEDERAL MONEY MARKET FD
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 26, 2018
|
JPMORGAN FEDERAL MONEY MARKET FD
|
-
|
|
BNS
BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
-105.40%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
-30.15%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
-32.83%
|
|
QQQ
INVESCO QQQ TRUST, SERIES 1
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
76.65%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
-0.26%
|
|
VCR
VANGUARD CONSUMER DISCRETION ETF
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 24, 2018
|
-
|
13.07%
|
|
AEP
AMERICAN ELECTRIC POWER COMPANY, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
-87.03%
|
|
AXP
AMERICAN EXPRESS COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
-6.81%
|
|
BNS
BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
-100.54%
|
|
PFE
PFIZER, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
-122.59%
|
|
VZ
VERIZON COMMUNICATIONS INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
-121.58%
|
|
WM
WASTE MANAGEMENT, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
-
|
4.77%
|
|
-
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18
|
-
|
|
-
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 21, 2018
|
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18
|
-
|
|
-
SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 20, 2018
|
SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20
|
-
|
|
-
SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 20, 2018
|
-
|
-
|
|
T
AT&T INC.
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 17, 2018
|
-
|
-138.53%
|
|
-
INVESCO AMERICAN FRANCHISE FUND A
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jan. 03, 2019
|
Dec. 12, 2018
|
INVESCO AMERICAN FRANCHISE FUND A
|
-
|
|
-
SX5E STEPUP ISSUER CS STEP 35.00% SV 3,174.16 DUE 11/19/21
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 29, 2018
|
SX5E STEPUP ISSUER CS STEP 35.00% SV 3,174.16 DUE 11/19/21
|
-
|
|
-
SP500 CLIRNS ISSUER BNS CAP 10.96% SV 2,737.76 DUE 01/31/20
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 29, 2018
|
SP500 CLIRNS ISSUER BNS CAP 10.96% SV 2,737.76 DUE 01/31/20
|
-
|
|
-
SP500 ARN ISSUER BOFA CAP 13.92% SV 2,737.76 DUE 01/31/20
OT
|
Purchase
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 29, 2018
|
SP500 ARN ISSUER BOFA CAP 13.92% SV 2,737.76 DUE 01/31/20
|
-
|
|
-
SX5E STEPUP ISSUER BAC STEP 27.90% SV 3,044.33 DUE 11/26/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 26, 2018
|
SX5E STEPUP ISSUER BAC STEP 27.90% SV 3,044.33 DUE 11/26/18 REDEMPTION
|
-
|
|
-
SPX/SX5E STEPUP ISS HSBC STEP 22.80% SV 100.00 DUE 11/23/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 23, 2018
|
SPX/SX5E STEPUP ISS HSBC STEP 22.80% SV 100.00 DUE 11/23/18
|
-
|
|
AEP
AMERICAN ELECTRIC POWER COMPANY, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-68.35%
|
|
BDX
BECTON, DICKINSON AND COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-77.65%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-25.20%
|
|
DWDP
DOWDUPONT INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-50.24%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-24.97%
|
|
PFE
PFIZER, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-106.85%
|
|
QQQ
INVESCO QQQ TRUST, SERIES 1
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
70.91%
|
|
RTN
RAYTHEON COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-27.13%
|
|
SPG
SIMON PROPERTY GROUP, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
-101.02%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
0.02%
|
|
SYK
STRYKER CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
-
|
2.29%
|
|
-
R2000 CLIRN ISSUER BAC CAP 17.92% SV 1,334.341 DUE 11/21/18
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 21, 2018
|
R2000 CLIRN ISSUER BAC CAP 17.92% SV 1,334.341 DUE 11/21/18 REDEMPTION
|
-
|
|
DIS
WALT DISNEY COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-88.71%
|
|
HD
HOME DEPOT, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
12.15%
|
|
JNJ
JOHNSON & JOHNSON
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-59.53%
|
|
JPM
JP MORGAN CHASE & CO.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-23.03%
|
|
MCD
MCDONALD'S CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-7.75%
|
|
NEE
NEXTERA ENERGY, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-27.28%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
4.64%
|
|
PEP
PEPSICO, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-20.26%
|
|
UTX
UNITED TECHNOLOGIES CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-25.15%
|
|
VZ
VERIZON COMMUNICATIONS INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-101.75%
|
|
WM
WASTE MANAGEMENT, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
28.98%
|
|
WMT
WALMART INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Dec. 05, 2018
|
Nov. 02, 2018
|
-
|
-20.43%
|
|
AAPL
APPLE INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 26, 2018
|
-
|
188.42%
|
|
AMZN
AMAZON.COM, INC.
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 26, 2018
|
-
|
5.97%
|
|
IBM
INTERNATIONAL BUSINESS MACHINES CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 26, 2018
|
-
|
-43.71%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 26, 2018
|
-
|
2.99%
|
|
PNC
PNC FINANCIAL SERVICES GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 26, 2018
|
-
|
-55.73%
|
|
IBM
INTERNATIONAL BUSINESS MACHINES CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 25, 2018
|
-
|
-42.35%
|
|
DIA
SPDR DOW JONES INDUSTRIAL AVERAGE ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 16, 2018
|
-
|
-23.40%
|
|
FDN
FIRST TRUST DJ INTERNET INDEX FUND
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 16, 2018
|
-
|
-30.53%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 16, 2018
|
-
|
-0.07%
|
|
-
SX5E STEPUP ISSUER BOFA STEP 15.20% SV 3,521.76 DUE 07/25/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 12, 2018
|
SX5E STEPUP ISSUER BOFA STEP 15.20% SV 3,521.76 DUE 07/25/19
|
-
|
|
QQQ
INVESCO QQQ TRUST, SERIES 1
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 11, 2018
|
-
|
62.21%
|
|
SPY
SPDR S&P 500
ST
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 11, 2018
|
-
|
0.07%
|
|
-
SX5E STEPUP ISSUER BNS STEP 30.00% SV 3,563.64 DUE 09/24/20
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 11, 2018
|
-
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Nov. 12, 2018
|
Oct. 03, 2018
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
-
R2000 CLIRN ISSUER CIBC CAP 18.04% SV 1,237.751 DUE 09/28/18
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 04, 2018
|
Sep. 28, 2018
|
R2000 CLIRN ISSUER CIBC CAP 18.04% SV 1,237.751 DUE 09/28/18 REDEMPTION
|
-
|
|
GE
GENERAL ELECTRIC COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Oct. 04, 2018
|
Sep. 27, 2018
|
-
|
-27.61%
|
|
-
ISHARES CORE DIVIDEND GROWTH EXCHANGE TRADED FUND
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Oct. 04, 2018
|
Sep. 27, 2018
|
ISHARES CORE DIVIDEND GROWTH EXCHANGE TRADED FUND
|
-
|
|
-
SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 04, 2018
|
Sep. 21, 2018
|
SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 FILING ID #20010415
|
-
|
|
-
SX5E STEPUP ISSUER BOFA STEP 27.00% SV 3,584.55 DUE 05/31/19
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Oct. 04, 2018
|
Sep. 21, 2018
|
SX5E STEPUP ISSUER BOFA STEP 27.00% SV 3,584.55 DUE 05/31/19
|
-
|
|
DE
DEERE & COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
-
|
95.18%
|
|
EMR
EMERSON ELECTRIC COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
-
|
-41.30%
|
|
GE
GENERAL ELECTRIC COMPANY
ST
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
-
|
-40.53%
|
|
KO
COCA-COLA COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
-
|
-28.18%
|
|
MSFT
MICROSOFT CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
-
|
175.71%
|
|
-
AMERICAN MUTUAL FUND CL A
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 30, 2018
|
AMERICAN MUTUAL FUND CL A
|
-
|
|
-
VANGUARD CONSUMER DISCRETIONARY ETF
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 28, 2018
|
VANGUARD CONSUMER DISCRETIONARY ETF
|
-
|
|
-
FIRST TR EXCHANGE TRADED FD DOW JONES IN
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Aug. 28, 2018
|
FIRST TR EXCHANGE TRADED FD DOW JONES IN FILING ID #20010197
|
-
|
|
-
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 S
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 10, 2018
|
Jul. 27, 2018
|
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 REDEMPTION FILING ID #20010072
|
-
|
|
-
SP500 ARN ISSUER BOFA CAP 10.09% SV 2837.44 DUE 09/27/19
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Sep. 04, 2018
|
Jul. 26, 2018
|
SP500 ARN ISSUER BOFA CAP 10.09% SV 2837.44 DUE 09/27/19
|
-
|
|
-
GENERATION PK MGMT DIST TEX ULTD TAX RD A OID APR16 03.750%SEP01 2036
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Aug. 10, 2018
|
Jul. 13, 2018
|
GENERATION PK MGMT DIST TEX ULTD TAX RD A OID APR16 03.750%SEP01 2036
|
-
|
|
-
FIRST TR EXCHANGE TRADED FD DOW JONES IN
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 10, 2018
|
Jul. 12, 2018
|
FIRST TR EXCHANGE TRADED FD DOW JONES IN
|
-
|
|
-
HARTFORD GROWTH OPPORTUNITIES FD
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 10, 2018
|
Jul. 12, 2018
|
HARTFORD GROWTH OPPORTUNITIES FD
|
-
|
|
-
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,388.77 DUE 06/29/18
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 29, 2018
|
SP500 ARN ISSUER BOFA CAP 10.00% SV 2,388.77 DUE 06/29/18
|
-
|
|
-
SP500 CLIRN ISSUER BAC CAP 15.36% SV 2,097.90 DUE 06/29/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 29, 2018
|
SP500 CLIRN ISSUER BAC CAP 15.36% SV 2,097.90 DUE 06/29/18
|
-
|
|
BNS
BANK NOVA SCOTIA HALIFAX PFD 3 ORDINARY SHARES
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 28, 2018
|
-
|
-90.74%
|
|
TRV
THE TRAVELERS COMPANIES, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 28, 2018
|
-
|
-21.90%
|
|
-
R2000 ARNS ISSUER BNS CAP 13.17% SV 1,645.017 DUE 08/30/19
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 28, 2018
|
R2000 ARNS ISSUER BNS CAP 13.17% SV 1,645.017 DUE 08/30/19
|
-
|
|
-
MSCI EM ARN ISSUER CIBC CAP 18.78% SV 1,046.71 DUE 08/30/19
OT
|
Purchase
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 28, 2018
|
MSCI EM ARN ISSUER CIBC CAP 18.78% SV 1,046.71 DUE 08/30/19
|
-
|
|
-
JPMORGAN FEDERAL MONEY MARKET FUND S
OT
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jun. 27, 2018
|
JPMORGAN FEDERAL MONEY MARKET FUND
|
-
|
|
INTU
INTUIT INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
106.46%
|
|
MMM
3M COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
-114.21%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
-15.14%
|
|
TJX
TJX COMPANIES, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
18.05%
|
|
UTX
UNITED TECHNOLOGIES CORPORATION
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
-21.78%
|
|
V
VISA INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jul. 09, 2018
|
Jun. 21, 2018
|
-
|
23.02%
|
|
-
ISHARES MSCI EAFE ETF S
OT
|
Sale
$15,001 - $50,000
|
K. Michael Conaway
House / R
|
Aug. 05, 2019
|
Jun. 20, 2018
|
ISHARES MSCI EAFE ETF
|
-
|
|
-
SX5E CLIRN ISSUER BAC CAP 24.90%
OT
|
Sale
$100,001 - $250,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 25, 2018
|
SX5E CLIRN ISSUER BAC CAP 24.90% REDEMPTION
|
-
|
|
-
FIN BASKET ARN ISS BOFA CAP 18.06%
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 24, 2018
|
FIN BASKET ARN ISS BOFA CAP 18.06%
|
-
|
|
-
SX5E STEPUP ISSUER BOFA STEP 15.20%
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 24, 2018
|
SX5E STEPUP ISSUER BOFA STEP 15.20%
|
-
|
|
ADP
AUTOMATIC DATA PROCESSING, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 07, 2018
|
-
|
10.08%
|
|
NEE
NEXTERA ENERGY, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 07, 2018
|
-
|
-26.31%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 07, 2018
|
-
|
-22.33%
|
|
DEO
DIAGEO PLC
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 01, 2018
|
-
|
-73.62%
|
|
DIS
WALT DISNEY COMPANY
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 01, 2018
|
-
|
-80.96%
|
|
PEP
PEPSICO, INC.
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
May. 01, 2018
|
-
|
-6.59%
|
|
-
SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18
OT
|
Sale
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 27, 2018
|
SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18 REDEMPTION
|
-
|
|
-
R2000 STEPUP ISSUER BNS STEP 30.00%
OT
|
Purchase
$50,001 - $100,000
|
K. Michael Conaway
House / R
|
Jun. 04, 2018
|
Apr. 26, 2018
|
R2000 STEPUP ISSUER BNS STEP 30.00%
|
-
|
|
PG
PROCTER & GAMBLE COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 25, 2018
|
-
|
26.12%
|
|
PG
PROCTER & GAMBLE COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 24, 2018
|
-
|
25.12%
|
|
MO
ALTRIA GROUP, INC.
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 23, 2018
|
-
|
-99.69%
|
|
NOC
NORTHROP GRUMMAN CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 23, 2018
|
-
|
-38.96%
|
|
PG
PROCTER & GAMBLE COMPANY
ST
|
Sale
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 23, 2018
|
-
|
26.14%
|
|
SYK
STRYKER CORPORATION
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 23, 2018
|
-
|
0.64%
|
|
VPU
VANGUARD UTILITIES ETF
ST
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 11, 2018
|
-
|
-51.10%
|
|
-
CALAMOS STRAT TOT RETURN FD
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 11, 2018
|
CALAMOS STRAT TOT RETURN FD
|
-
|
|
-
FIRST TR EXCHANGE TRADED FD
OT
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
House / R
|
May. 10, 2018
|
Apr. 11, 2018
|
FIRST TR EXCHANGE TRADED FD
|
-
|
|
-
FIRST TR EXCHANGE TRADED FD DOW JONES IN ACTUAL PRICES
None
|
Purchase
$1,001 - $15,000
|
K. Michael Conaway
|