Congressional stock trades · Member
Thomas R. Carper
Former senator · DE · Democrat
924 published transactions from periodic transaction reports since 2020, shown as filed. Amounts are the ranges on the form. Each row links to its filing. Holdings from 9 annual reports are below.
| Disclosed | Traded | Days | Owner | Asset | Type | Amount range (as filed) | Source |
|---|---|---|---|---|---|---|---|
| 2025-01-02 | 2024-12-13 | 20 | Spouse | Atlantica Yield Plc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-09-03 | 2024-08-01 | 33 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-09-03 | 2024-08-01 | 33 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-09-03 | 2024-08-01 | 33 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-09-03 | 2024-08-01 | 33 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-08-02 | 2024-07-18 | 15 | Spouse | UBS CONTINGENT AUTOCALL MET Rate/Coupon: 10.5% Matures: 01/16/2026 | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-07-01 | 2024-06-17 | 14 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-07-01 | 2024-06-13 | 18 | Spouse | US TREASURY BILL | Sale (full) | $100,001 - $250,000 | eFD → |
| 2024-07-01 | 2024-06-13 | 18 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-07-01 | 2024-06-13 | 18 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-07-01 | 2024-06-13 | 18 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-07-01 | 2024-06-12 | 19 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-07-01 | 2024-06-12 | 19 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-07-01 | 2024-06-12 | 19 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-06-03 | 2024-05-22 | 12 | Spouse | TGTTarget Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Pacer Developed Markets International Cash | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Vanguard FTSE Developed Markets ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Proshares MSCI EAFE Dividend Growers ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Proshares MSCI EAFE Dividend Growers ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Vanguard Div Appreciation ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Vanguard FTSE Developed Markets ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Fidelity Dividend ETF For Rising Rates | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Pacer US Cash Cows 100 Index | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-16 | 18 | Spouse | Invesco FTSE RAFI US 1000 ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-15 | 19 | Spouse | Pacer US Small Cap Cash Cows 100 ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-15 | 19 | Spouse | ProShares Russell 2000 Dividend Growers ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-14 | 20 | Spouse | Pacer Benchmark Data & Infrastructure Real Estate | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-14 | 20 | Spouse | VanEck Agribusiness ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-09 | 25 | Spouse | EMREmerson Electric Company | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-09 | 25 | Spouse | TTETotalEnergies SE | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-09 | 25 | Spouse | OXYOccidental Petroleum Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-09 | 25 | Spouse | ATKRAtkore Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-09 | 25 | Spouse | SBUXStarbucks Corp | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-06-03 | 2024-05-02 | 32 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-06-03 | 2024-05-02 | 32 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-06-03 | 2024-05-02 | 32 | Spouse | US TREASURY BILL | Purchase | $100,001 - $250,000 | eFD → |
| 2024-06-03 | 2024-05-02 | 32 | Spouse | US TREASURY BILL | Sale (full) | $100,001 - $250,000 | eFD → |
| 2024-06-03 | 2024-05-02 | 32 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-06-03 | 2024-05-01 | 33 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-06-03 | 2024-05-01 | 33 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-06-03 | 2024-05-01 | 33 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-04-30 | 2024-04-11 | 19 | Spouse | VLOValero Energy Corp | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-04-30 | 2024-04-11 | 19 | Spouse | ENBEnbridge Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2024-04-30 | 2024-04-01 | 29 | Spouse | JPM CONTINGENT AUTOCALL C Rate/Coupon: 10% Matures: 04/01/2024 | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | MOSMosaic Company | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | NTRNutrien Ltd | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | US TREASURY BILL | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | US TREASURY BILL | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-28 | 1 | Spouse | DDominion Energy Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-26 | 3 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-03-29 | 2024-03-26 | 3 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-26 | 3 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-26 | 3 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-03-29 | 2024-03-25 | 4 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-25 | 4 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-21 | 8 | Spouse | INODInnodata Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-21 | 8 | Spouse | SOFISofi Technologies Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-21 | 8 | Spouse | Arcadium Lithium Plc | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-19 | 10 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-03-29 | 2024-03-19 | 10 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-03-29 | 2024-03-19 | 10 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-03-29 | 2024-03-18 | 11 | Spouse | RYDER SYSTEM INC Rate/Coupon: 3.65% Matures: 03/18/2024 | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-18 | 11 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-03-29 | 2024-03-15 | 14 | Spouse | TAMPA ELECTRIC CO Rate/Coupon: 4.9% Matures: 03/01/2029 | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-13 | 16 | Spouse | CEFSprott Physical Gold & Silver Trust | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-13 | 16 | Spouse | CEFSprott Physical Gold & Silver Trust | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-13 | 16 | Spouse | CEFSprott Physical Gold & Silver Trust | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-13 | 16 | Spouse | Sociedad Quimica Y Minera S.A. ADR | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-13 | 16 | Spouse | GLDSPDR Gold Trust | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-11 | 18 | Spouse | Equitrans Midstream Corp | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-07 | 22 | Spouse | NVDANvidia Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-07 | 22 | Spouse | AAPLApple Inc | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-03-29 | 2024-03-05 | 24 | Member | Global Clean Energy Ishares ETF | Purchase | $50,001 - $100,000 | eFD → |
| 2024-03-04 | 2024-02-22 | 11 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-03-04 | 2024-02-16 | 17 | Spouse | EQNREquinor ASA | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-03-04 | 2024-02-16 | 17 | Spouse | TGTTarget Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-03-04 | 2024-02-08 | 25 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-03-04 | 2024-02-08 | 25 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-03-04 | 2024-02-08 | 25 | Spouse | US TREASURY BILL | Sale (full) | $100,001 - $250,000 | eFD → |
| 2024-03-04 | 2024-02-08 | 25 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2024-03-04 | 2024-02-07 | 26 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-18 | 15 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-18 | 15 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-18 | 15 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | ABTAbbott Laboratories | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | TTETotalEnergies SE | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | Equitrans Midstream Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | Goldman Sachs Access Treasury 0-1 Year ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | SBUXStarbucks Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | AESThe Aes Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | CMECME Group Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | METMetlife Inc | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | Goldman Sachs Access Treasury 0-1 Year ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-02-02 | 2024-01-17 | 16 | Spouse | VLOValero Energy Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-16 | 17 | Spouse | BROADCOMCORP Rate/Coupon: 3.625% Matures: 01/15/2024 | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-02 | 31 | Spouse | SSentinelone Inc Cl A | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-02-02 | 2024-01-02 | 31 | Spouse | DELLDell Technologies Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-26 | 8 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-26 | 8 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-21 | 13 | Spouse | TRSWF - TransAlta Renewables Inc (Exchanged) Transalta Corp (Received) | Exchange | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-19 | 15 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-19 | 15 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-01-03 | 2023-12-19 | 15 | Spouse | US TREASURY BILL | Purchase | $100,001 - $250,000 | eFD → |
| 2024-01-03 | 2023-12-19 | 15 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2024-01-03 | 2023-12-19 | 15 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | Clearbridge Small Cap Growth Fd Cl I | Purchase | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | Columbia EM Core Ex-China ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | Columbia EM Core Ex-China ETF | Purchase | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | Fidelity Dividend ETF For Rising Rates | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-18 | 16 | Spouse | ProShares Russell 2000 Dividend Growers ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-14 | 20 | Spouse | Ranger Equity Bear Bear ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-14 | 20 | Spouse | Ranger Equity Bear Bear ETF | Sale (full) | $15,001 - $50,000 | eFD → |
| 2024-01-03 | 2023-12-14 | 20 | Spouse | Ranger Equity Bear Bear ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | AGXArgan Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | FMCFMC Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | IRMIron Mountain Inc | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | TSMTaiwan Semiconductor Manufacturing Company Ltd. | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | MOSMosaic Company | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | GLPIGaming and Leisure Properties, Inc. - Common Stock | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | SBUXStarbucks Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | FNFFidelity National Financial | Sale (full) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | VLOValero Energy Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | FLNGFlex Lng Ltd | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | KMBKimberly-Clark Corp | Purchase | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | Global X Uranium ETF | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2024-01-03 | 2023-12-11 | 23 | Spouse | DGXQuest Diagnostics Inc | Sale (partial) | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | ProShares Short QQQ | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | Ranger Equity Bear Bear ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | Ranger Equity Bear Bear ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | Ranger Equity Bear Bear ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | ProShares Short QQQ | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-20 | 13 | Spouse | ProShares Short QQQ | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-19 | 14 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-11-02 | 2023-10-19 | 14 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-11-02 | 2023-10-19 | 14 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2023-11-02 | 2023-10-19 | 14 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2023-11-02 | 2023-10-19 | 14 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-11-02 | 2023-10-18 | 15 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-11-02 | 2023-10-18 | 15 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-11-02 | 2023-10-18 | 15 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2023-11-02 | 2023-10-04 | 29 | Spouse | GPCRStructure Therapeutics Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-11-02 | 2023-10-04 | 29 | Spouse | Revance Therapeutics, Inc. - Common Stock | Purchase | $1,001 - $15,000 | eFD → |
| 2023-10-02 | 2023-09-26 | 6 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-26 | 6 | Spouse | US TREASURY BILL | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-10-02 | 2023-09-25 | 7 | Spouse | US TREASURY BILL | Purchase | $1,001 - $15,000 | eFD → |
| 2023-10-02 | 2023-09-25 | 7 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-21 | 11 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-21 | 11 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2023-10-02 | 2023-09-21 | 11 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-21 | 11 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-21 | 11 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-20 | 12 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2023-10-02 | 2023-09-20 | 12 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-10-02 | 2023-09-20 | 12 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | INODInnodata Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | RMDResmed Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | NEENextera Energy | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | AQNAlgonquin Power and Utilities Corp | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | SWKSSkyworks Solutions | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-29 | 7 | Spouse | CRWDCrowdstrike Holdings Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-25 | 11 | Spouse | NTLAIntellia Therapeutics, Inc. - Common Stock | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-23 | 13 | Spouse | ProShares Short QQQ | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-23 | 13 | Spouse | ProShares Short QQQ | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-23 | 13 | Spouse | ProShares Short QQQ | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-22 | 14 | Spouse | MPTMedical Properties Trust | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-22 | 14 | Spouse | ROKRockwell Automation Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-18 | 18 | Spouse | ProShares Short QQQ | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-18 | 18 | Spouse | ProShares Short QQQ | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-16 | 20 | Spouse | John Hancock Multifactor Emerging Markets ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-16 | 20 | Spouse | John Hancock Multifactor Emerging Markets ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-16 | 20 | Spouse | Columbia EM Core Ex-China ETF | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-15 | 21 | Spouse | BAHBooz Allen Hamilton Holding Corp | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-10 | 26 | Spouse | SOFISofi Technologies Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-10 | 26 | Spouse | RMBSRambus Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-04 | 32 | Spouse | FTNTFortinet Inc | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-09-05 | 2023-08-02 | 34 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-28 | 5 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-28 | 5 | Spouse | US TREASURY BILL | Purchase | $50,001 - $100,000 | eFD → |
| 2023-08-02 | 2023-07-28 | 5 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-27 | 6 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-27 | 6 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | Ranger Equity Bear Bear ETF | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | Ranger Equity Bear Bear ETF | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | ProShares Short QQQ | Purchase | $1,001 - $15,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | US TREASURY BILL | Sale (full) | $50,001 - $100,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-13 | 20 | Spouse | ProShares Short QQQ | Purchase | $1,001 - $15,000 | eFD → |
| 2023-08-02 | 2023-07-10 | 23 | Spouse | FNFFidelity National Financial | Purchase | $1,001 - $15,000 | eFD → |
| 2023-08-02 | 2023-07-10 | 23 | Spouse | VZVerizon Communications Inc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-08-02 | 2023-07-06 | 27 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-08-02 | 2023-07-06 | 27 | Spouse | US TREASURY BILL | Purchase | $15,001 - $50,000 | eFD → |
| 2023-06-30 | 2023-06-20 | 10 | Spouse | TTTrane Technologies plc | Purchase | $1,001 - $15,000 | eFD → |
| 2023-06-30 | 2023-06-20 | 10 | Spouse | US TREASURY BILL | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-06-30 | 2023-06-20 | 10 | Spouse | ETNEaton Corporation, PLC Ordinary Shares | Sale (full) | $1,001 - $15,000 | eFD → |
| 2023-06-30 | 2023-06-20 | 10 | Spouse | US TREASURY BILL | Sale (full) | $15,001 - $50,000 | eFD → |
How these are read and published: methodology.
Holdings · annual financial disclosure
Assets listed on the 2020 report.
252 assets with a value on the amended report filed 2022-05-16, 128 of them shares or options of a listed company. Values are the ranges on the form. Assets are held by the member, a spouse or a dependent child, as reported. Open the report.
| Asset | Type | Owner | Value (as filed) |
|---|---|---|---|
| Morgan Stanley Bank NA | Other | Member | $15,001 - $50,000 |
| DUKDuke Energy Corporation (NYSE) | Stock | Member | $15,001 - $50,000 |
| LNCLincoln National Corporation (NYSE) | Stock | Member | $100,001 - $250,000 |
| ENB-Enbridge Inc. | Stock | Member | $15,001 - $50,000 |
| SPDR S&P 500 ETF Trust | Fund | Member | $50,001 - $100,000 |
| MDY-SPDR S&P MidCap 400 | Fund | Member | $50,001 - $100,000 |
| Invesco Pacific Growth Fund | Fund | Member | $15,001 - $50,000 |
| DOWDow Inc. | Stock | Member | $15,001 - $50,000 |
| CTVACorteva, Inc. | Stock | Member | $15,001 - $50,000 |
| DDDuPont de Nemours, Inc. | Stock | Member | $15,001 - $50,000 |
| CC-The Chemours Company | Stock | Member | $1,001 - $15,000 |
| Morgan Stanley Private Bank NA | Other | Spouse | $50,001 - $100,000 |
| AAPL-Apple Inc. (NASDAQ) | Stock | Spouse | $250,001 - $500,000 |
| CVXChevron Corporation (NYSE) | Stock | Spouse | $1,001 - $15,000 |
| MS CPI and SPX Floating Rate Principal Protection Note | Bond | Spouse | $15,001 - $50,000 |
| ALLAllstate Corp | Stock | Spouse | $1,001 - $15,000 |
| BACBank of America | Stock | Spouse | $1,001 - $15,000 |
| GEGeneral Electric | Stock | Spouse | $1,001 - $15,000 |
| GOOGAlphabet Inc. | Stock | Spouse | $50,001 - $100,000 |
| VZVerizon Communications | Stock | Spouse | $1,001 - $15,000 |
| iShares MSCI Emerging Markets | Fund | Spouse | $1,001 - $15,000 |
| Fidelity Advisor Intl Small Cap A | Fund | Spouse | $15,001 - $50,000 |
| MS 8.35% Contingent Autocall Boeing | Bond | Spouse | $1,001 - $15,000 |
| Vulcan Materials .85% due 03/01/2021 | Bond | Spouse | $15,001 - $50,000 |
| UBS 8.1% Contingent Autocall Bank of America | Bond | Spouse | $15,001 - $50,000 |
| JP Morgan Chase 2.5% due 09/23/2029 | Bond | Spouse | $15,001 - $50,000 |
| BCS 10.15% Contingent Autocall Intel | Bond | Spouse | $15,001 - $50,000 |
| HSBC 8.75% Contingent Autocall Bristol Myers | Bond | Spouse | $15,001 - $50,000 |
| HQLTekla Life Sciences Investors | Stock | Spouse | $1,001 - $15,000 |
| ACAP Strategic Fund | Fund | Spouse | $50,001 - $100,000 |
| Rental Property | Other | Joint | $500,001 - $1,000,000 |
| Unimproved Land | Other | Joint | $500,001 - $1,000,000 |
| Unimproved land | Other | Joint | $250,001 - $500,000 |
| TIAA-CREF | Other | Spouse | $15,001 - $50,000 |
| Vanguard Institutional Target Retirement 2015 Fund | Fund | Spouse | $100,001 - $250,000 |
| Vanguard Institutional Target Retirement 2030 Fund | Fund | Spouse | $100,001 - $250,000 |
| Vanguard Institutional Target Retirement 2060 Fund | Fund | Spouse | $100,001 - $250,000 |
| Vanguard Emerging Markets Stock Index Fund Institu | Fund | Spouse | $1,001 - $15,000 |
| Vanguard Extended Market Index Fund Institutional | Fund | Spouse | $15,001 - $50,000 |
| Vanguard Developed Markets Index Fund Institutiona | Fund | Spouse | $1,001 - $15,000 |
| Citizens Bank | Other | Joint | $100,001 - $250,000 |
| M & T Bank | Other | Joint | $15,001 - $50,000 |
| Capital One | Other | Spouse | $15,001 - $50,000 |
| Morgan Stanley Bank NA | Other | Spouse | $50,001 - $100,000 |
| ABBVAbbVie Inc. | Stock | Spouse | $15,001 - $50,000 |
| AQNAlgonquin Power & Utilities Corp. | Stock | Spouse | $1,001 - $15,000 |
| CSCOCisco Systems, Inc. | Stock | Spouse | $1,001 - $15,000 |
| HONHoneywell International Inc. | Stock | Spouse | $15,001 - $50,000 |
| JNJJohnson & Johnson | Stock | Spouse | $15,001 - $50,000 |
| JPMJPMorgan Chase & Co. | Stock | Spouse | $15,001 - $50,000 |
| NKENIKE, Inc. | Stock | Spouse | $15,001 - $50,000 |
| Royal Dutch Shell plc | Stock | Spouse | $1,001 - $15,000 |
| UAAUnder Armour, Inc. | Stock | Spouse | $1,001 - $15,000 |
| UAUnder Armour, Inc. | Stock | Spouse | $1,001 - $15,000 |
| VFCV.F. Corporation | Stock | Spouse | $1,001 - $15,000 |
| VZVerizon Communications Inc. | Stock | Spouse | $1,001 - $15,000 |
| Goldman Sachs Group Inc Floating Rt A | Stock | Spouse | $1,001 - $15,000 |
| First Trust Energy Infrastructure Fund | Stock | Spouse | $1,001 - $15,000 |
| NMLNeuberger Berman MLP Income Fund Inc. | Stock | Spouse | $1,001 - $15,000 |
| Invesco NASDAQ Internet ETF | Fund | Spouse | $15,001 - $50,000 |
| SPY-SPDR S&P 500 ETF | Fund | Spouse | $100,001 - $250,000 |
| Vanguard Health Care ETF | Fund | Spouse | $15,001 - $50,000 |
| Energen Corp | Bond | Spouse | $15,001 - $50,000 |
| CEFSprott Physical Gold and Silver Trust | Stock | Spouse | $15,001 - $50,000 |
| AMZNAmazon.com, Inc. | Stock | Spouse | $15,001 - $50,000 |
| CVSCVS Health Corporation | Stock | Spouse | $1,001 - $15,000 |
| PYPLPayPal Holdings, Inc. | Stock | Spouse | $1,001 - $15,000 |
| SWKSSkyworks Solutions, Inc. | Stock | Spouse | $1,001 - $15,000 |
| TSLATesla, Inc. | Stock | Spouse | $1,001 - $15,000 |
| DISThe Walt Disney Company | Stock | Spouse | $1,001 - $15,000 |
| LDPCohen & Steers Limited Duration Preferred and Inco | Stock | Spouse | $1,001 - $15,000 |
| WIWWestern Asset Inflation-Linked Opportunities & Inc | Stock | Spouse | $1,001 - $15,000 |
| Morgan Stanley Bank N.A. | Other | Spouse | $15,001 - $50,000 |
| ABTAbbott Laboratories | Stock | Spouse | $1,001 - $15,000 |
| AREAlexandria Real Estate Equities, Inc. | Stock | Spouse | $1,001 - $15,000 |
| AAPLApple Inc. | Stock | Spouse | $1,001 - $15,000 |
| BMYBristol-Myers Squibb Company | Stock | Spouse | $1,001 - $15,000 |
| CSCOCisco Systems, Inc. | Stock | Spouse | $1,001 - $15,000 |
| GLWCorning Incorporated | Stock | Spouse | $1,001 - $15,000 |
| CyrusOne Inc. | Stock | Spouse | $1,001 - $15,000 |
| DEODiageo plc | Stock | Spouse | $1,001 - $15,000 |
| HASIHannon Armstrong Sustainable Infrastructure Capita | Stock | Spouse | $1,001 - $15,000 |
| LHXL3Harris Technologies, Inc. | Stock | Spouse | $1,001 - $15,000 |
| HONHoneywell International Inc. | Stock | Spouse | $1,001 - $15,000 |
| INTCIntel Corporation | Stock | Spouse | $1,001 - $15,000 |
| IRMIron Mountain Incorporated | Stock | Spouse | $1,001 - $15,000 |
| JNJJohnson & Johnson | Stock | Spouse | $1,001 - $15,000 |
| METMetLife, Inc. | Stock | Spouse | $1,001 - $15,000 |
| MSFTMicrosoft Corporation | Stock | Spouse | $1,001 - $15,000 |
| NVDANVIDIA Corporation | Stock | Spouse | $1,001 - $15,000 |
| PBAPembina Pipeline Corporation | Stock | Spouse | $1,001 - $15,000 |
| PGThe Procter & Gamble Company | Stock | Spouse | $1,001 - $15,000 |
| QCOMQUALCOMM Incorporated | Stock | Spouse | $1,001 - $15,000 |
| RMDResMed Inc. | Stock | Spouse | $1,001 - $15,000 |
| TMOThermo Fisher Scientific Inc. | Stock | Spouse | $1,001 - $15,000 |
| TOTAL S.A. | Stock | Spouse | $1,001 - $15,000 |
| VZVerizon Communications Inc. | Stock | Spouse | $1,001 - $15,000 |
| VVisa Inc. | Stock | Spouse | $1,001 - $15,000 |
| ARCCAres Capital Corporation | Stock | Spouse | $1,001 - $15,000 |
| CEFSprott Physical Gold and Silver Trust | Stock | Spouse | $1,001 - $15,000 |
| GLADGladstone Capital Corporation | Stock | Spouse | $1,001 - $15,000 |
| iShares China Large-Cap ETF | Fund | Spouse | $1,001 - $15,000 |
| iShares MSCI Emerging Markets ETF | Fund | Spouse | $1,001 - $15,000 |
| iShares Russell 1000 Value ETF | Fund | Spouse | $1,001 - $15,000 |
| iShares Russell 2000 Value ETF | Fund | Spouse | $1,001 - $15,000 |
| Pacer Trendpilot US Mid Cap ETF | Fund | Spouse | $1,001 - $15,000 |
| PTLC-Pacer Trendpilot US Large Cap ETF | Fund | Spouse | $1,001 - $15,000 |
| GLDSPDR Gold Shares | Fund | Spouse | $1,001 - $15,000 |
| SPDR S&P Aerospace & Defense ETF | Fund | Spouse | $1,001 - $15,000 |
| WIWWestern Asset/Claymore Inflation-Linked Opportunit | Stock | Spouse | $15,001 - $50,000 |
| Office Properties Income Trust | Bond | Spouse | $15,001 - $50,000 |
| Williams Companies | Bond | Spouse | $15,001 - $50,000 |
| Fidelity Advisor Emerging Markets I | Fund | Spouse | $15,001 - $50,000 |
| ETNEaton Corporation plc | Stock | Spouse | $1,001 - $15,000 |
| ABBVAbbVie Inc. | Stock | Spouse | $1,001 - $15,000 |
| CVSCVS Health Corporation | Stock | Spouse | $1,001 - $15,000 |
| RTXRaytheon Technologies Corporation Common Stock | Stock | Spouse | $1,001 - $15,000 |
| TUTELUS Corporation | Stock | Spouse | $1,001 - $15,000 |
| Pacer Trendpilot 100 ETF | Fund | Spouse | $1,001 - $15,000 |
| Hartford Multifactor Developed Markets (ex-US) ETF | Fund | Spouse | $1,001 - $15,000 |
| Goldman Sachs Access Treasury 0-1 Year ETF | Fund | Spouse | $15,001 - $50,000 |
| DGXQuest Diagnostics Incorporated | Stock | Spouse | $1,001 - $15,000 |
| SWKSSkyworks Solutions, Inc. | Stock | Spouse | $1,001 - $15,000 |
| CAGConagra Brands, Inc. | Stock | Spouse | $1,001 - $15,000 |
| TSMTaiwan Semiconductor Manufacturing Company Limited | Stock | Spouse | $1,001 - $15,000 |
| MCDMcDonald's Corporation | Stock | Spouse | $1,001 - $15,000 |
| APOApollo Global Management, Inc. | Stock | Spouse | $1,001 - $15,000 |
| Atlantica Sustainable Infrastructure plc | Stock | Spouse | $1,001 - $15,000 |
| AXSAXIS Capital Holdings Limited | Stock | Spouse | $1,001 - $15,000 |
| Landmark Infrastructure Partners LP | Stock | Spouse | $1,001 - $15,000 |
| LMTLockheed Martin Corporation | Stock | Spouse | $1,001 - $15,000 |
| ManTech International Corporation | Stock | Spouse | $1,001 - $15,000 |
| NVONovo Nordisk A/S | Stock | Spouse | $1,001 - $15,000 |
| PEPPepsiCo, Inc. | Stock | Spouse | $1,001 - $15,000 |
| PFEPfizer Inc. | Stock | Spouse | $1,001 - $15,000 |
| RIORio Tinto Group | Stock | Spouse | $1,001 - $15,000 |
| LDPCohen & Steers Limited Duration Preferred and Inco | Stock | Spouse | $1,001 - $15,000 |
| Pacer Benchmark Data & Infrastructure Real Estate | Fund | Spouse | $1,001 - $15,000 |
| VanEck Vectors Retail ETF | Fund | Spouse | $1,001 - $15,000 |
| Goldman Sachs Small/Mid Cap Growth Fund Institutio | Fund | Spouse | $1,001 - $15,000 |
| CCitigroup Inc. | Stock | Spouse | $1,001 - $15,000 |
| SBUXStarbucks Corporation | Stock | Spouse | $1,001 - $15,000 |
| Morgan Stanley Bank N.A. | Other | Spouse | $15,001 - $50,000 |
| ALPS Medical Breakthroughs ETF | Fund | Spouse | $1,001 - $15,000 |
| First Trust Dow Jones Internet ETF | Fund | Spouse | $1,001 - $15,000 |
| KraneShares Bosera MSCI China A ETF | Fund | Spouse | $1,001 - $15,000 |
| LGILazard Global Total Return and Income Fund, Inc. | Stock | Spouse | $1,001 - $15,000 |
| iShares Core S&P 500 ETF | Fund | Spouse | $15,001 - $50,000 |
| GLDSPDR Gold Shares | Fund | Spouse | $1,001 - $15,000 |
| SPDR S&P Aerospace & Defense ETF | Fund | Spouse | $1,001 - $15,000 |
| VanEck Vectors Junior Gold Miners ETF | Fund | Spouse | $1,001 - $15,000 |
| Vanguard S&P Mid-Cap 400 ETF | Fund | Spouse | $1,001 - $15,000 |
| WIWWestern Asset/Claymore Inflation-Linked Opportunit | Stock | Spouse | $1,001 - $15,000 |
| Fidelity Advisor Emerging Markets I | Fund | Spouse | $1,001 - $15,000 |
| Fidelity Advisor Intl Capital App I | Fund | Spouse | $1,001 - $15,000 |
| First Trust Emerg Mkts SC AlphaDEX ETF | Fund | Spouse | $1,001 - $15,000 |
| First Trust NASDAQ Cybersecurity ETF | Fund | Spouse | $1,001 - $15,000 |
| Global X FinTech ETF | Fund | Spouse | $1,001 - $15,000 |
| iShares S&P Small-Cap 600 Value ETF | Fund | Spouse | $1,001 - $15,000 |
| VictoryShares US 500 Volatility Wtd ETF | Fund | Spouse | $15,001 - $50,000 |
| Lord Abbett Ultra Short Bond Fund Class F | Fund | Spouse | $15,001 - $50,000 |
| Goldman Sachs Access Treasury 0-1 Year ETF | Fund | Spouse | $1,001 - $15,000 |
| Goldman Sachs ActiveBeta Emerging Markets Equity E | Fund | Spouse | $1,001 - $15,000 |
| LDPCohen & Steers Limited Duration Preferred and Inco | Stock | Spouse | $1,001 - $15,000 |
| First Trust IndXX NextG ETF | Fund | Spouse | $1,001 - $15,000 |
| First Trust NASDAQ-100-Technology Sector Index Fun | Fund | Spouse | $1,001 - $15,000 |
| CEFSprott Physical Gold and Silver Trust | Stock | Spouse | $1,001 - $15,000 |
| VanEck Vectors Retail ETF | Fund | Spouse | $1,001 - $15,000 |
| Goldman Sachs Small/Mid Cap Growth Fund Institutio | Fund | Spouse | $1,001 - $15,000 |
| Pacer Benchmark & Infrastructure Real Estate ETF | Fund | Spouse | $1,001 - $15,000 |
| Morgan Stanley Private Bank NA | Other | Spouse | $50,001 - $100,000 |
| BAThe Boeing Company | Stock | Spouse | $1,001 - $15,000 |
| CCThe Chemours Company | Stock | Spouse | $15,001 - $50,000 |
| CSCOCisco Systems, Inc. | Stock | Spouse | $1,001 - $15,000 |
| DOWDow Inc. | Stock | Spouse | $50,001 - $100,000 |
| JNJJohnson & Johnson | Stock | Spouse | $15,001 - $50,000 |
| LNCLincoln National Corporation | Stock | Spouse | $15,001 - $50,000 |
| METMetLife, Inc. | Stock | Spouse | $15,001 - $50,000 |
| PFEPfizer Inc. | Stock | Spouse | $1,001 - $15,000 |
| PGThe Procter & Gamble Company | Stock | Spouse | $1,001 - $15,000 |
| TransAlta Renewables Inc. | Stock | Spouse | $1,001 - $15,000 |
| DISThe Walt Disney Company | Stock | Spouse | $15,001 - $50,000 |
| WELLWelltower Inc. | Stock | Spouse | $1,001 - $15,000 |
| ClearBridge Energy MLP Fund Inc. | Stock | Spouse | $1,001 - $15,000 |
| Nuveen Intermediate Duration Mu | Stock | Spouse | $15,001 - $50,000 |
| First Trust Dow Jones Internet ETF | Fund | Spouse | $15,001 - $50,000 |
| UBS 8.1% Contingent Autocall BAC | Bond | Spouse | $15,001 - $50,000 |
| JP Morgan Chase 2.5% Stepup due 09/23/2029 | Bond | Spouse | $15,001 - $50,000 |
| CTVACorteva, Inc. | Stock | Spouse | $50,001 - $100,000 |
| DDDuPont de Nemours, Inc. | Stock | Spouse | $50,001 - $100,000 |
| MS Contingent 8.35% Autocall Boeing | Bond | Spouse | $1,001 - $15,000 |
| BMYBristol-Myers Squibb Company | Stock | Spouse | $1,001 - $15,000 |
| NTAPNetApp, Inc. | Stock | Spouse | $1,001 - $15,000 |
| ALPS Medical Breakthroughs ETF | Fund | Spouse | $1,001 - $15,000 |
| HQLTekla Life Sciences Investors | Stock | Spouse | $1,001 - $15,000 |
| Aberdeen Ultra Short Municipal Income Fund Class A | Fund | Spouse | $50,001 - $100,000 |
| BCS 10.15% Autocall Intel | Bond | Spouse | $15,001 - $50,000 |
| BCS 8.3% Contingent Autocall Cisco | Bond | Spouse | $15,001 - $50,000 |
| HSBC 8.75% Contingent Autocall Bristol Myers | Bond | Spouse | $15,001 - $50,000 |
| ABBVAbbVie Inc. | Stock | Spouse | $1,001 - $15,000 |
| ACIWACI Worldwide, Inc. | Stock | Spouse | $1,001 - $15,000 |
| Activision Blizzard, Inc. | Stock | Spouse | $1,001 - $15,000 |
| Aerojet Rocketdyne Holdings, Inc. | Stock | Spouse | $1,001 - $15,000 |
| BABAAlibaba Group Holding Limited | Stock | Spouse | $1,001 - $15,000 |
| AAPLApple Inc. | Stock | Spouse | $1,001 - $15,000 |
| Arena Pharmaceuticals, Inc. | Stock | Spouse | $1,001 - $15,000 |
| GOLDBarrick Gold Corporation | Stock | Spouse | $1,001 - $15,000 |
| BAHBooz Allen Hamilton Holding Corporation | Stock | Spouse | $1,001 - $15,000 |
| BRKRBruker Corporation | Stock | Spouse | $1,001 - $15,000 |
| GLWCorning Incorporated | Stock | Spouse | $1,001 - $15,000 |
| CRWDCrowdStrike Holdings, Inc. | Stock | Spouse | $1,001 - $15,000 |
| CyrusOne Inc. | Stock | Spouse | $1,001 - $15,000 |
| DDOGDatadog, Inc. | Stock | Spouse | $1,001 - $15,000 |
| ERICTelefonaktiebolaget LM Ericsson (publ) | Stock | Spouse | $1,001 - $15,000 |
| EVO Payments, Inc. | Stock | Spouse | $1,001 - $15,000 |
| FireEye, Inc. | Stock | Spouse | $1,001 - $15,000 |
| FTNTFortinet, Inc. | Stock | Spouse | $1,001 - $15,000 |
| GMABGenmab A/S | Stock | Spouse | $1,001 - $15,000 |
| NTLAIntellia Therapeutics, Inc. | Stock | Spouse | $1,001 - $15,000 |
| KEYSKeysight Technologies, Inc. | Stock | Spouse | $1,001 - $15,000 |
| ManTech International Corporation | Stock | Spouse | None (or less than $1,001) |
| MRVLMarvell Technology Group Ltd. | Stock | Spouse | $1,001 - $15,000 |
| Maxar Technologies Inc. | Stock | Spouse | $1,001 - $15,000 |
| Nuance Communications, Inc. | Stock | Spouse | $1,001 - $15,000 |
| PAGSPagSeguro Digital Ltd. | Stock | Spouse | $1,001 - $15,000 |
| PAASPan American Silver Corp. | Stock | Spouse | $1,001 - $15,000 |
| QCOMQUALCOMM Incorporated | Stock | Spouse | $1,001 - $15,000 |
| SWKSSkyworks Solutions, Inc. | Stock | Spouse | $1,001 - $15,000 |
| SNPSSynopsys, Inc. | Stock | Spouse | $1,001 - $15,000 |
| TMOThermo Fisher Scientific Inc. | Stock | Spouse | $1,001 - $15,000 |
| VIAVViavi Solutions Inc. | Stock | Spouse | $1,001 - $15,000 |
| VVisa Inc. | Stock | Spouse | $1,001 - $15,000 |
| ALPS Medical Breakthroughs ETF | Stock | Spouse | $1,001 - $15,000 |
| LDPCohen & Steers Limited Duration Preferred and Inco | Stock | Spouse | $1,001 - $15,000 |
| First Trust Dow Jones Internet Index Fund | Fund | Spouse | $1,001 - $15,000 |
| Goldman Sachs Access Treasury 0-1 Year ETF | Fund | Spouse | $1,001 - $15,000 |
| Hartford Multifactor Developed Markets (ex-US) ETF | Fund | Spouse | $1,001 - $15,000 |
| LGILazard Global Total Return and Income Fund, Inc. | Stock | Spouse | $1,001 - $15,000 |
| Pacer Benchmark Data & Infrastructure Real Estate | Fund | Spouse | $1,001 - $15,000 |
| Pacer Trendpilot US Large Cap ETF | Fund | Spouse | $1,001 - $15,000 |
| Pacer Trendpilot US Mid Cap ETF | Fund | Spouse | $1,001 - $15,000 |
| Pacer Trendpilot 100 ETF | Fund | Spouse | $1,001 - $15,000 |
| GLDSPDR Gold Shares | Fund | Spouse | $1,001 - $15,000 |
| SPDR S&P Aerospace & Defense ETF | Fund | Spouse | $1,001 - $15,000 |
| CEFSprott Physical Gold and Silver Trust | Stock | Spouse | $1,001 - $15,000 |
| VanEck Vectors Retail ETF | Fund | Spouse | $1,001 - $15,000 |
| WIWWestern Asset Inflation-Linked Opportunities & Inc | Stock | Spouse | $1,001 - $15,000 |
| WisdomTree U.S. SmallCap Quality Dividend Growth F | Fund | Spouse | $1,001 - $15,000 |
| Abbey Capital Futures Strategy Fund Class I | Fund | Spouse | $1,001 - $15,000 |
| Lord Abbett Ultra Short Bond Fund Class F | Fund | Spouse | $1,001 - $15,000 |
| Morgan Stanley Private Bank, N.A. | Other | Spouse | $15,001 - $50,000 |
| Silvergate Capital Corporation | Stock | Spouse | $1,001 - $15,000 |
How reports are read: holdings methodology.