SECURITIES AND EXCHANGE COMMISSION

FORM 13F-HR Initial quarterly Form 13F holdings report filed by institutional managers

Filing Date: 2021-05-12 | Period of Report: 2021-03-31 SEC Accession No. 0001104659-21-064935

(HTML Version on secdatabase.com)

FILER Burleson & Company, LLC Mailing Address Business Address 201 1ST STREET, SUITE 204 201 1ST STREET, SUITE 204 CIK:1733510| IRS No.: 201160877 | State of Incorp.:CA | Fiscal Year End: 1231 PETALUMA CA 94952 PETALUMA CA 94952 Type: 13F-HR | Act: 34 | File No.: 028-18696 | Film No.: 21913955 (707) 283-0520

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE OMB Number: 3235-0006 COMMISSION Expires: July 31, 2015 Washington, D.C. 20549 Estimated average burden hours per response: 23.8 FORM 13F

FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03-31-2021 Check here if Amendment: ☐ Amendment Number: This Amendment (Check only one.): ☐ is a restatement. ☐ adds new holdings entries.

Institutional Investment Manager Filing this Report: Name: Burleson & Company, LLC Address: 201 1st Street, Suite 204 Petaluma, CA 94952 Form 13F File Number: 028-18696

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager: Name: James Burleson Title: Principal and Chief Compliance Officer Phone: 707-283-0520

Signature, Place, and Date of Signing: /s/ James Burleson Petaluma, CALIFORNIA 05-12-2021 [Signature] [City, State] [Date]

Report Type (Check only one.): ☒ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) ☐ 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) ☐ 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information table Entry Total: 393 Form 13F Information table Value Total: 614655 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.]

NONE

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0006 Washington, D.C. 20549 Expires: July 31, 2015 Estimated average burden FORM 13F hours per response: 23.8

FORM 13F INFORMATION TABLE

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE ISHARES TR CORE S&P MCP ETF 464287507 4 16 SH SOLE 0 0 16 ISHARES TR CORE S&P SCP ETF 464287804 544 5,009 SH SOLE 0 0 5,009 ISHARES TR CORE S&P500 ETF 464287200 1,614 4,056 SH SOLE 0 0 4,056 ISHARES TR RUSSELL 2000 ETF 464287655 363 1,645 SH SOLE 0 0 1,645 ISHARES TR U.S. REAL ES ETF 464287739 239 2,600 SH SOLE 0 0 2,600 SPDR S&P 500 ETF TR TR UNIT 78462F103 12,415 31,325 SH SOLE 0 0 31,325 AGILENT TECHNOLOGIES INC COM 00846U101 6 50 SH SOLE 0 0 50 ADOBE SYSTEMS INCORPORATED COM 00724F101 75 158 SH SOLE 0 0 158 AUTODESK INC COM 052769106 65 233 SH SOLE 0 0 233 AMAZON COM INC COM 023135106 35,746 11,553 SH SOLE 0 0 11,553 BALLARD PWR SYS INC NEW COM 058586108 1 54 SH SOLE 0 0 54 BRISTOL-MYERS SQUIBB CO COM 110122108 1,949 30,868 SH SOLE 0 0 30,868 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 257 1,006 SH SOLE 0 0 1,006 EMERSON ELEC CO COM 291011104 293 3,247 SH SOLE 0 0 3,247 BOEING CO COM 097023105 26,046 102,252 SH SOLE 0 0 102,252 HERSHEY CO COM 427866108 4 27 SH SOLE 0 0 27 ONEOK INC NEW COM 682680103 29 579 SH SOLE 0 0 579 SYNOPSYS INC COM 871607107 7 30 SH SOLE 0 0 30 INVESCO QQQ TR UNIT SER 1 46090E103 29,055 91,045 SH SOLE 0 0 91,045 AMGEN INC COM 031162100 807 3,242 SH SOLE 0 0 3,242 ABBOTT LABS COM 002824100 1,537 12,822 SH SOLE 0 0 12,822 ADVANCED MICRO DEVICES INC COM 007903107 285 3,635 SH SOLE 0 0 3,635 CONAGRA BRANDS INC COM 205887102 68 1,809 SH SOLE 0 0 1,809 DISH NETWORK CORPORATION CL A 25470M109 0 3 SH SOLE 0 0 3 EBAY INC. COM 278642103 1 16 SH SOLE 0 0 16 ALTRIA GROUP INC COM 02209S103 1,769 34,585 SH SOLE 0 0 34,585 FEDEX CORP COM 31428X106 296 1,041 SH SOLE 0 0 1,041 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 16 458 SH SOLE 0 0 458 INTEL CORP COM 458140100 2,790 43,590 SH SOLE 0 0 43,590 ORACLE CORP COM 68389X105 420 5,981 SH SOLE 0 0 5,981 QUALCOMM INC COM 747525103 165 1,247 SH SOLE 0 0 1,247 DISNEY WALT CO COM 254687106 784 4,249 SH SOLE 0 0 4,249 HONEYWELL INTL INC COM 438516106 292 1,344 SH SOLE 0 0 1,344 SEMPRA ENERGY COM 816851109 208 1,565 SH SOLE 0 0 1,565 SYSCO CORP COM 871829107 209 2,654 SH SOLE 0 0 2,654 JOHNSON & JOHNSON COM 478160104 2,604 15,845 SH SOLE 0 0 15,845 MEDTRONIC PLC SHS G5960L103 12 100 SH SOLE 0 0 100 PFIZER INC COM 717081103 579 15,983 SH SOLE 0 0 15,983 EDISON INTL COM 281020107 21 360 SH SOLE 0 0 360 EXELON CORP COM 30161N101 43 987 SH SOLE 0 0 987 LOWES COS INC COM 548661107 33 176 SH SOLE 0 0 176 ISHARES TR MSCI EAFE ETF 464287465 2 20 SH SOLE 0 0 20 CHEVRON CORP NEW COM 166764100 1,082 10,323 SH SOLE 0 0 10,323 MICROSOFT CORP COM 594918104 24,105 102,239 SH SOLE 0 0 102,239 UNITED PARCEL SERVICE INC CL B 911312106 1,334 7,849 SH SOLE 0 0 7,849 AT&T INC COM 00206R102 3,606 119,122 SH SOLE 0 0 119,122

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document CITIGROUP INC COM NEW 172967424 7 95 SH SOLE 0 0 95 CISCO SYS INC COM 17275R102 726 14,042 SH SOLE 0 0 14,042 INTERNATIONAL BUSINESS MACHS COM 459200101 601 4,513 SH SOLE 0 0 4,513 COCA COLA CO COM 191216100 805 15,270 SH SOLE 0 0 15,270 CORP COM 539830109 636 1,722 SH SOLE 0 0 1,722 PEPSICO INC COM 713448108 1,374 9,712 SH SOLE 0 0 9,712 STRYKER CORPORATION COM 863667101 2 7 SH SOLE 0 0 7 VERIZON COMMUNICATIONS INC COM 92343V104 2,831 48,677 SH SOLE 0 0 48,677 SPDR SER TR PRTFLO S&P500 GW 78464A409 708 12,558 SH SOLE 0 0 12,558 ISHARES TR RUS MD CP GR ETF 464287481 87 848 SH SOLE 0 0 848 ISHARES TR COHEN STEER REIT 464287564 14 244 SH SOLE 0 0 244 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2,218 16,700 SH SOLE 0 0 16,700 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 28 240 SH SOLE 0 0 240 PLUG POWER INC COM NEW 72919P202 0 3 SH SOLE 0 0 3 DEERE & CO COM 244199105 551 1,474 SH SOLE 0 0 1,474 BK OF AMERICA CORP COM 060505104 1,502 38,822 SH SOLE 0 0 38,822 STARBUCKS CORP COM 855244109 1 10 SH SOLE 0 0 10 AUTOMATIC DATA PROCESSING IN COM 053015103 66 351 SH SOLE 0 0 351 EXXON MOBIL CORP COM 30231G102 393 7,045 SH SOLE 0 0 7,045 AFLAC INC COM 001055102 102 2,000 SH SOLE 0 0 2,000 WALMART INC COM 931142103 118 871 SH SOLE 0 0 871 APPLIED MATLS INC COM 038222105 1,699 12,717 SH SOLE 0 0 12,717 ANTHEM INC COM 036752103 37 104 SH SOLE 0 0 104 WABTEC COM 929740108 13 161 SH SOLE 0 0 161 UNION PAC CORP COM 907818108 223 1,013 SH SOLE 0 0 1,013 ASTRAZENECA PLC SPONSORED ADR 046353108 3 52 SH SOLE 0 0 52 TEXAS INSTRS INC COM 882508104 628 3,323 SH SOLE 0 0 3,323 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 24 200 SH SOLE 0 0 200 TARGET CORP COM 87612E106 47 236 SH SOLE 0 0 236 COLGATE PALMOLIVE CO COM 194162103 1,084 13,751 SH SOLE 0 0 13,751 COSTCO WHSL CORP NEW COM 22160K105 443 1,256 SH SOLE 0 0 1,256 LILLY ELI & CO COM 532457108 3,146 16,838 SH SOLE 0 0 16,838 CVS HEALTH CORP COM 126650100 4 51 SH SOLE 0 0 51 SIMPSON MFG INC COM 829073105 16 151 SH SOLE 0 0 151 DANAHER CORPORATION COM 235851102 40 176 SH SOLE 0 0 176 MERCK & CO. INC COM 58933Y105 1,033 13,400 SH SOLE 0 0 13,400 MICRON TECHNOLOGY INC COM 595112103 13 149 SH SOLE 0 0 149 MORGAN STANLEY COM NEW 617446448 102 1,313 SH SOLE 0 0 1,313 NOVARTIS AG SPONSORED ADR 66987V109 17 200 SH SOLE 0 0 200 PROCTER AND GAMBLE CO COM 742718109 1,283 9,471 SH SOLE 0 0 9,471 GENERAL ELECTRIC CO COM 369604103 3 200 SH SOLE 0 0 200 KIMBERLY-CLARK CORP COM 494368103 292 2,100 SH SOLE 0 0 2,100 GILEAD SCIENCES INC COM 375558103 43 669 SH SOLE 0 0 669 GOLDMAN SACHS GROUP INC COM 38141G104 640 1,957 SH SOLE 0 0 1,957 HOME DEPOT INC COM 437076102 4,053 13,278 SH SOLE 0 0 13,278 MCDONALDS CORP COM 580135101 3,817 17,028 SH SOLE 0 0 17,028 NIKE INC CL B 654106103 617 4,646 SH SOLE 0 0 4,646 JPMORGAN CHASE & CO COM 46625H100 2,738 17,983 SH SOLE 0 0 17,983 WENDYS CO COM 95058W100 4 212 SH SOLE 0 0 212 TJX COS INC NEW COM 872540109 2 31 SH SOLE 0 0 31 MONDELEZ INTL INC CL A 609207105 8 138 SH SOLE 0 0 138 WELLS FARGO CO NEW COM 949746101 2,798 71,604 SH SOLE 0 0 71,604 WESTAMERICA BANCORPORATION COM 957090103 848 13,506 SH SOLE 0 0 13,506 ISHARES TR 1 3 YR TREAS BD 464287457 279 3,237 SH SOLE 0 0 3,237 ISHARES TR 20 YR TR BD ETF 464287432 1,605 11,853 SH SOLE 0 0 11,853

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ISHARES TR IBOXX INV CP ETF 464287242 3,561 27,384 SH SOLE 0 0 27,384 FISERV INC COM 337738108 8 68 SH SOLE 0 0 68 FORD MTR CO DEL COM 345370860 44 3,562 SH SOLE 0 0 3,562 UNITEDHEALTH GROUP INC COM 91324P102 113 302 SH SOLE 0 0 302 SOUTHWEST AIRLS CO COM 844741108 30 495 SH SOLE 0 0 495 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 55 198 SH SOLE 0 0 198 BIOMET HOLDINGS INC COM 98956P102 34 211 SH SOLE 0 0 211 RAYTHEON TECHNOLOGIES CORP COM 75513E101 568 7,346 SH SOLE 0 0 7,346 INTUIT COM 461202103 1 2 SH SOLE 0 0 2 3M CO COM 88579Y101 246 1,275 SH SOLE 0 0 1,275 ALBEMARLE CORP COM 012653101 14 99 SH SOLE 0 0 99 COMCAST CORP NEW CL A 20030N101 5 100 SH SOLE 0 0 100 XILINX INC COM 983919101 32 257 SH SOLE 0 0 257 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11 51 SH SOLE 0 0 51 FIRSTENERGY CORP COM 337932107 10 274 SH SOLE 0 0 274 NEXTERA ENERGY INC COM 65339F101 154 2,038 SH SOLE 0 0 2,038 DUKE ENERGY CORP NEW COM NEW 26441C204 11 118 SH SOLE 0 0 118 CONOCOPHILLIPS COM 20825C104 6 122 SH SOLE 0 0 122 CSX CORP COM 126408103 289 3,000 SH SOLE 0 0 3,000 APPLE INC COM 037833100 35,218 288,316 SH SOLE 0 0 288,316 AMERICAN AIRLS GROUP INC COM 02376R102 1 55 SH SOLE 0 0 55 NEKTAR THERAPEUTICS COM 640268108 32 1,612 SH SOLE 0 0 1,612 CORP COM 020002101 35 302 SH SOLE 0 0 302 ALLIANT ENERGY CORP COM 018802108 120 2,220 SH SOLE 0 0 2,220 LAM RESEARCH CORP COM 512807108 27 46 SH SOLE 0 0 46 BLACKBERRY LTD COM 09228F103 0 12 SH SOLE 0 0 12 CATERPILLAR INC COM 149123101 2,180 9,402 SH SOLE 0 0 9,402 UNIVERSAL DISPLAY CORP COM 91347P105 9 39 SH SOLE 0 0 39 ISHARES TR MSCI EMG MKT ETF 464287234 534 10,006 SH SOLE 0 0 10,006 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 2 9 SH SOLE 0 0 9 DTE ENERGY CO COM 233331107 939 7,056 SH SOLE 0 0 7,056 CEDAR FAIR L P DEPOSITRY UNIT 150185106 3 52 SH SOLE 0 0 52 HALLIBURTON CO COM 406216101 1 30 SH SOLE 0 0 30 SKYWORKS SOLUTIONS INC COM 83088M102 30 162 SH SOLE 0 0 162 PUBLIC STORAGE COM 74460D109 49 198 SH SOLE 0 0 198 F5 NETWORKS INC COM 315616102 26 125 SH SOLE 0 0 125 AON PLC SHS CL A G0403H108 76 330 SH SOLE 0 0 330 AMERICAN EXPRESS CO COM 025816109 37 265 SH SOLE 0 0 265 GENERAL MLS INC COM 370334104 434 7,084 SH SOLE 0 0 7,084 GAMESTOP CORP NEW CL A 36467W109 1 3 SH SOLE 0 0 3 ARCHER DANIELS MIDLAND CO COM 039483102 98 1,728 SH SOLE 0 0 1,728 SIMON PPTY GROUP INC NEW COM 828806109 175 1,541 SH SOLE 0 0 1,541 CENTERPOINT ENERGY INC COM 15189T107 4 162 SH SOLE 0 0 162 PG&E CORP COM 69331C108 20 1,697 SH SOLE 0 0 1,697 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 41 685 SH SOLE 0 0 685 SOUTHERN CO COM 842587107 138 2,213 SH SOLE 0 0 2,213 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2,675 51,393 SH SOLE 0 0 51,393 PAYCHEX INC COM 704326107 323 3,300 SH SOLE 0 0 3,300 CIGNA CORP NEW COM 125523100 2 9 SH SOLE 0 0 9 WESTERN DIGITAL CORP. COM 958102105 7 111 SH SOLE 0 0 111 NETFLIX INC COM 64110L106 511 980 SH SOLE 0 0 980 D R HORTON INC COM 23331A109 36 400 SH SOLE 0 0 400 GATX CORP COM 361448103 9 100 SH SOLE 0 0 100 ISHARES TR CORE US AGGBD ET 464287226 13,048 114,625 SH SOLE 0 0 114,625 BIOGEN INC COM 09062X103 151 540 SH SOLE 0 0 540

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document ISHARES TR TIPS BD ETF 464287176 2,088 16,635 SH SOLE 0 0 16,635 CLOROX CO DEL COM 189054109 190 986 SH SOLE 0 0 986 ACTIVISION BLIZZARD INC COM 00507V109 25 267 SH SOLE 0 0 267 WD-40 CO COM 929236107 2 5 SH SOLE 0 0 5 LEXINGTON REALTY TRUST COM 529043101 11 1,000 SH SOLE 0 0 1,000 NVIDIA CORPORATION COM 67066G104 35,538 66,559 SH SOLE 0 0 66,559 V F CORP COM 918204108 2 19 SH SOLE 0 0 19 TRAVELERS COMPANIES INC COM 89417E109 16 106 SH SOLE 0 0 106 MANULIFE FINL CORP COM 56501R106 1 40 SH SOLE 0 0 40 RELIANCE STEEL & ALUMINUM CO COM 759509102 25 164 SH SOLE 0 0 164 EATON CORP PLC SHS G29183103 107 774 SH SOLE 0 0 774 GALLAGHER ARTHUR J & CO COM 363576109 13 104 SH SOLE 0 0 104 STANLEY BLACK & DECKER INC COM 854502101 20 101 SH SOLE 0 0 101 COOPER TIRE & RUBR CO COM 216831107 6 100 SH SOLE 0 0 100 BECTON DICKINSON & CO COM 075887109 4 15 SH SOLE 0 0 15 CABOT CORP COM 127055101 52 1,000 SH SOLE 0 0 1,000 MGM RESORTS INTERNATIONAL COM 552953101 4 100 SH SOLE 0 0 100 BALL CORP COM 058498106 1 7 SH SOLE 0 0 7 ALPHABET INC CAP STK CL A 02079K305 1,077 522 SH SOLE 0 0 522 SPDR GOLD TR GOLD SHS 78463V107 72 450 SH SOLE 0 0 450 VANGUARD INDEX FDS VALUE ETF 922908744 1,388 10,556 SH SOLE 0 0 10,556 VANGUARD INDEX FDS MID CAP ETF 922908629 3,304 14,928 SH SOLE 0 0 14,928 VANGUARD INDEX FDS SM CP VAL ETF 922908611 2,169 13,096 SH SOLE 0 0 13,096 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1,945 21,175 SH SOLE 0 0 21,175 CHENIERE ENERGY INC COM NEW 16411R208 72 1,000 SH SOLE 0 0 1,000 BLACKROCK INC COM 09247X101 8 10 SH SOLE 0 0 10 VANGUARD INDEX FDS SMALL CP ETF 922908751 1,454 6,793 SH SOLE 0 0 6,793 VANGUARD INDEX FDS GROWTH ETF 922908736 2 8 SH SOLE 0 0 8 SEAGATE TECHNOLOGY PLC SHS G7945M107 495 6,448 SH SOLE 0 0 6,448 SOUTHWEST GAS HLDGS INC COM 844895102 3 47 SH SOLE 0 0 47 WOLVERINE WORLD WIDE INC COM 978097103 2 44 SH SOLE 0 0 44 MCCORMICK & CO INC COM NON VTG 579780206 1 10 SH SOLE 0 0 10 SKYWEST INC COM 830879102 0 4 SH SOLE 0 0 4 VANGUARD INDEX FDS SML CP GRW ETF 922908595 4,299 15,653 SH SOLE 0 0 15,653 ASML HOLDING N V N Y REGISTRY SHS N07059210 63 102 SH SOLE 0 0 102 REGAL BELOIT CORP COM 758750103 143 1,000 SH SOLE 0 0 1,000 SPDR SER TR S&P DIVID ETF 78464A763 649 5,500 SH SOLE 0 0 5,500 UNITED AIRLS HLDGS INC COM 910047109 420 7,300 SH SOLE 0 0 7,300 THERMO FISHER SCIENTIFIC INC COM 883556102 48 106 SH SOLE 0 0 106 ISHARES TR EAFE GRWTH ETF 464288885 775 7,718 SH SOLE 0 0 7,718 SALESFORCE COM INC COM 79466L302 64 302 SH SOLE 0 0 302 WYNN RESORTS LTD COM 983134107 9 71 SH SOLE 0 0 71 LOGITECH INTL S A SHS H50430232 33 312 SH SOLE 0 0 312 EATON VANCE TAX-MANAGED BUY- COM 27828Y108 4 241 SH SOLE 0 0 241 ENBRIDGE INC COM 29250N105 5 140 SH SOLE 0 0 140 BROWN FORMAN CORP CL B 115637209 2 36 SH SOLE 0 0 36 UNITED STS OIL FD LP UNITS 91232N207 0 3 SH SOLE 0 0 3 SANGAMO THERAPEUTICS INC COM 800677106 10 780 SH SOLE 0 0 780 SPDR SER TR S&P BIOTECH 78464A870 1 5 SH SOLE 0 0 5 MASTERCARD INCORPORATED CL A 57636Q104 157 441 SH SOLE 0 0 441 EQUITY LIFESTYLE PPTYS INC COM 29472R108 4 60 SH SOLE 0 0 60 BROWN FORMAN CORP CL A 115637100 0 2 SH SOLE 0 0 2 DIGITAL RLTY TR INC COM 253868103 1 6 SH SOLE 0 0 6 VANGUARD INDEX FDS LARGE CAP ETF 922908637 41 220 SH SOLE 0 0 220 BANK MARIN BANCORP COM 063425102 2,598 66,343 SH SOLE 0 0 66,343

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 965 4,496 SH SOLE 0 0 4,496 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 3,302 24,483 SH SOLE 0 0 24,483 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 0 3 SH SOLE 0 0 3 ISHARES TR IBOXX HI YD ETF 464288513 610 6,992 SH SOLE 0 0 6,992 ISHARES TR ISHS 1-5YR INVS 464288646 1,453 26,564 SH SOLE 0 0 26,564 VANGUARD BD INDEX FDS TRM BOND 921937827 6,879 83,695 SH SOLE 0 0 83,695 VANGUARD BD INDEX FDS INTERMED TERM 921937819 4,850 54,662 SH SOLE 0 0 54,662 DELTA AIR LINES INC DEL COM NEW 247361702 752 15,583 SH SOLE 0 0 15,583 BLACKSTONE GROUP INC COM 09260D107 78 1,042 SH SOLE 0 0 1,042 ISHARES TR PFD AND INCM SEC 464288687 185 4,826 SH SOLE 0 0 4,826 ISHARES TR INTL SEL DIV ETF 464288448 195 6,187 SH SOLE 0 0 6,187 ISHARES TR 3 7 YR TREAS BD 464288661 4,897 37,701 SH SOLE 0 0 37,701 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 22 219 SH SOLE 0 0 219 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 54 1,107 SH SOLE 0 0 1,107 ISHARES TR NATIONAL MUN ETF 464288414 5,197 44,781 SH SOLE 0 0 44,781 RENASANT CORP COM 75970E107 9 220 SH SOLE 0 0 220 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 17 130 SH SOLE 0 0 130 LULULEMON ATHLETICA INC COM 550021109 16 53 SH SOLE 0 0 53 ISHARES TR JPMORGAN USD EMG 464288281 229 2,108 SH SOLE 0 0 2,108 CVR ENERGY INC COM 12662P108 2 103 SH SOLE 0 0 103 SPDR SER TR BLOOMBERG BRCLYS 78468R622 743 6,830 SH SOLE 0 0 6,830 ISHARES TR EAFE SML CP ETF 464288273 1,402 19,516 SH SOLE 0 0 19,516 VISA INC COM CL A 92826C839 129 611 SH SOLE 0 0 611 PHILIP MORRIS INTL INC COM 718172109 177 1,993 SH SOLE 0 0 1,993 KEURIG DR PEPPER INC COM 49271V100 5 150 SH SOLE 0 0 150 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 1 26 SH SOLE 0 0 26 VIRNETX HLDG CORP COM 92823T108 8 1,500 SH SOLE 0 0 1,500 ACER THERAPEUTICS INC COM 00444P108 1 365 SH SOLE 0 0 365 HENNESSY ADVISORS INC COM 425885100 86 9,954 SH SOLE 0 0 9,954 KANDI TECHNOLOGIES GROUP INC COM 483709101 5 800 SH SOLE 0 0 800 GRAVITY CO LTD SPONSORED ADS NE 38911N206 1 10 SH SOLE 0 0 10 CALIFORNIA BANCORP INC COM 13005U101 133 7,450 SH SOLE 0 0 7,450 ISHARES TR GL CLEAN ENE ETF 464288224 1 45 SH SOLE 0 0 45 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1 10 SH SOLE 0 0 10 BROADCOM INC COM 11135F101 51 110 SH SOLE 0 0 110 BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT G16258108 13 315 SH SOLE 0 0 315 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 0 30 SH SOLE 0 0 30 FORTINET INC COM 34959E109 254 1,376 SH SOLE 0 0 1,376 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 158 1,635 SH SOLE 0 0 1,635 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 10,181 270,636 SH SOLE 0 0 270,636 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 2,366 24,639 SH SOLE 0 0 24,639 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1,543 18,706 SH SOLE 0 0 18,706 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 70 702 SH SOLE 0 0 702 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 3,649 28,119 SH SOLE 0 0 28,119 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 1 8 SH SOLE 0 0 8 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1,040 32,740 SH SOLE 0 0 32,740 TESLA INC COM 88160R101 38,537 57,696 SH SOLE 0 0 57,696 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 1 19 SH SOLE 0 0 19 SCHWAB STRATEGIC TR US TIPS ETF 808524870 2,233 36,506 SH SOLE 0 0 36,506 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 14,152 38,846 SH SOLE 0 0 38,846 TURTLE BEACH CORP COM NEW 900450206 1 25 SH SOLE 0 0 25 LEAR CORP COM NEW 521865204 18 100 SH SOLE 0 0 100 INC COM NEW 98138J206 0 11 SH SOLE 0 0 11 GENERAL MTRS CO COM 37045V100 1 21 SH SOLE 0 0 21 TARGA RES CORP COM 87612G101 3 82 SH SOLE 0 0 82

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document SLACK TECHNOLOGIES INC COM CL A 83088V102 0 4 SH SOLE 0 0 4 SHOPIFY INC CL A 82509L107 10 9 SH SOLE 0 0 9 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 70 944 SH SOLE 0 0 944 BLINK CHARGING CO COM 09354A100 21 500 SH SOLE 0 0 500 MEDAVAIL HOLDINGS INC COM 58406B103 32 2,300 SH SOLE 0 0 2,300 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1 9 SH SOLE 0 0 9 MARATHON PETE CORP COM 56585A102 5 102 SH SOLE 0 0 102 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 142 2,623 SH SOLE 0 0 2,623 SPDR SER TR AEROSPACE DEF 78464A631 1 7 SH SOLE 0 0 7 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 8,412 115,365 SH SOLE 0 0 115,365 PHILLIPS 66 COM 718546104 12 150 SH SOLE 0 0 150 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 237 6,017 SH SOLE 0 0 6,017 ISHARES TR US TREAS BD ETF 46429B267 185 7,060 SH SOLE 0 0 7,060 ENPHASE ENERGY INC COM 29355A107 65 400 SH SOLE 0 0 400 FACEBOOK INC CL A 30303M102 3,497 11,874 SH SOLE 0 0 11,874 SPDR INDEX SHS FDS PORTFLI MSCI GBL 78463X475 1 10 SH SOLE 0 0 10 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 77 241 SH SOLE 0 0 241 BIGCOMMERCE HLDGS INC COM SER 1 08975P108 0 3 SH SOLE 0 0 3 ALPS ETF TR SECTR DIV DOGS 00162Q858 55 1,069 SH SOLE 0 0 1,069 RH COM 74967X103 2,020 3,386 SH SOLE 0 0 3,386 ABBVIE INC COM 00287Y109 3,695 34,142 SH SOLE 0 0 34,142 IQVIA HLDGS INC COM 46266C105 36 188 SH SOLE 0 0 188 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2,187 38,291 SH SOLE 0 0 38,291 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 1 15 SH SOLE 0 0 15 ADMA BIOLOGICS INC COM 000899104 9 5,000 SH SOLE 0 0 5,000 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 1 10 SH SOLE 0 0 10 AMC ENTMT HLDGS INC CL A COM 00165C104 0 15 SH SOLE 0 0 15 ONE GAS INC COM 68235P108 9 113 SH SOLE 0 0 113 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 6 50 SH SOLE 0 0 50 REVANCE THERAPEUTICS INC COM 761330109 9 320 SH SOLE 0 0 320 ALPHABET INC CAP STK CL C 02079K107 223 108 SH SOLE 0 0 108 GRUBHUB INC COM 400110102 1 10 SH SOLE 0 0 10 JD.COM INC SPON ADR CL A 47215P106 25 300 SH SOLE 0 0 300 PAYCOM SOFTWARE INC COM 70432V102 56 150 SH SOLE 0 0 150 VISTAGEN THERAPEUTICS INC COM NEW 92840H202 1 350 SH SOLE 0 0 350 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 45 200 SH SOLE 0 0 200 KEYSIGHT TECHNOLOGIES INC COM 49338L103 5 34 SH SOLE 0 0 34 AVANOS MED INC COM 05350V106 5 125 SH SOLE 0 0 125 ARK ETF TR INNOVATION ETF 00214Q104 0 2 SH SOLE 0 0 2 STORE CAP CORP COM 862121100 37 1,100 SH SOLE 0 0 1,100 SUMMIT MATLS INC CL A 86614U100 3 100 SH SOLE 0 0 100 GOLDMAN SACHS BDC INC SHS 38147U107 114 5,901 SH SOLE 0 0 5,901 CANOPY GROWTH CORP COM 138035100 3 90 SH SOLE 0 0 90 SOLAREDGE TECHNOLOGIES INC COM 83417M104 7 25 SH SOLE 0 0 25 ETSY INC COM 29786A106 4 20 SH SOLE 0 0 20 PAYPAL HLDGS INC COM 70450Y103 17,673 72,778 SH SOLE 0 0 72,778 VBI VACCINES INC CDA COM NEW 91822J103 2 666 SH SOLE 0 0 666 ZILLOW GROUP INC CL C CAP STK 98954M200 65 503 SH SOLE 0 0 503 PURE STORAGE INC CL A 74624M102 1 60 SH SOLE 0 0 60 SQUARE INC CL A 852234103 34 151 SH SOLE 0 0 151 SPDR SER TR PRTFLO S&P500 HI 78468R788 1 28 SH SOLE 0 0 28 CHARTER COMMUNICATIONS INC N CL A 16119P108 37 60 SH SOLE 0 0 60 AURORA CANNABIS INC COM 05156X884 1 87 SH SOLE 0 0 87 TWILIO INC CL A 90138F102 19,006 55,775 SH SOLE 0 0 55,775 THE TRADE DESK INC COM CL A 88339J105 7 10 SH SOLE 0 0 10

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document COUPA SOFTWARE INC COM 22266L106 10 40 SH SOLE 0 0 40 LAMB WESTON HLDGS INC COM 513272104 42 539 SH SOLE 0 0 539 CONDUENT INC COM 206787103 0 20 SH SOLE 0 0 20 SNAP INC CL A 83304A106 15 288 SH SOLE 0 0 288 OKTA INC CL A 679295105 1 3 SH SOLE 0 0 3 BIOHAVEN PHARMACTL HLDG CO L COM G11196105 4 61 SH SOLE 0 0 61 DUPONT DE NEMOURS INC COM 26614N102 38 495 SH SOLE 0 0 495 ETF MANAGERS TR AI POWERED EQT 26924G813 1 25 SH SOLE 0 0 25 INC COM CL A 13803R102 6 700 SH SOLE 0 0 700 STITCH FIX INC COM CL A 860897107 50 1,000 SH SOLE 0 0 1,000 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 28 920 SH SOLE 0 0 920 ZSCALER INC COM 98980G102 8 44 SH SOLE 0 0 44 DROPBOX INC CL A 26210C104 1 25 SH SOLE 0 0 25 SPOTIFY TECHNOLOGY S A SHS L8681T102 174 650 SH SOLE 0 0 650 ZUORA INC COM CL A 98983V106 5 340 SH SOLE 0 0 340 DOCUSIGN INC COM 256163106 31 155 SH SOLE 0 0 155 GENPREX INC COM 372446104 2 400 SH SOLE 0 0 400 EVERGY INC COM 30034W106 20 330 SH SOLE 0 0 330 NIO INC SPON ADS 62914V106 203 5,215 SH SOLE 0 0 5,215 GLOBAL X FDS MSCI CHINA LRG 37954Y566 1 13 SH SOLE 0 0 13 ARK ETF TR FINTECH INNOVA 00214Q708 1 14 SH SOLE 0 0 14 VIVINT SMART HOME INC COM CL A 928542109 3 203 SH SOLE 0 0 203 FISKER INC CL A COM STK 33813J106 17 1,013 SH SOLE 0 0 1,013 DOW INC COM 260557103 32 502 SH SOLE 0 0 502 ALCON AG ORD SHS H01301128 3 40 SH SOLE 0 0 40 PINTEREST INC CL A 72352L106 36,987 499,625 SH SOLE 0 0 499,625 CORTEXYME INC COM 22053A107 4,330 120,180 SH SOLE 0 0 120,180 UBER TECHNOLOGIES INC COM 90353T100 28,245 518,156 SH SOLE 0 0 518,156 FASTLY INC CL A 31188V100 0 2 SH SOLE 0 0 2 KONTOOR BRANDS INC COM 50050N103 0 2 SH SOLE 0 0 2 CORTEVA INC COM 22052L104 187 4,009 SH SOLE 0 0 4,009 CLOUDFLARE INC CL A COM 18915M107 0 3 SH SOLE 0 0 3 PELOTON INTERACTIVE INC CL A COM 70614W100 70 625 SH SOLE 0 0 625 AMERICAN CENTY ETF TR US EQT ETF 025072885 19 275 SH SOLE 0 0 275 VIR BIOTECHNOLOGY INC COM 92764N102 1 10 SH SOLE 0 0 10 LORDSTOWN MOTORS CORP COM CL A 54405Q100 17,016 1,445,742 SH SOLE 0 0 1,445,742 CARRIER GLOBAL CORPORATION COM 14448C104 310 7,346 SH SOLE 0 0 7,346 OTIS WORLDWIDE CORP COM 68902V107 251 3,673 SH SOLE 0 0 3,673 SHIFT4 PMTS INC CL A 82452J109 0 3 SH SOLE 0 0 3 APPLIED MOLECULAR TRANS INC COM 03824M109 4,695 106,677 SH SOLE 0 0 106,677 LEMONADE INC COM 52567D107 1 15 SH SOLE 0 0 15 MATCH GROUP INC NEW COM 57667L107 14 103 SH SOLE 0 0 103 AMRYT PHARMA PLC SPONSORED ADS 03217L106 0 22 SH SOLE 0 0 22 BROOKFIELD RENEWABLE CORP CL A SUB VTG 11284V105 12 265 SH SOLE 0 0 265 OAK STR HEALTH INC COM 67181A107 98 1,800 SH SOLE 0 0 1,800 NANO X IMAGING LTD ORD SHS M70700105 1 22 SH SOLE 0 0 22 NEW PROVIDENCE ACQUISITION *W EXP 99/99/999 64822P114 0 100 SH SOLE 0 0 100 SNOWFLAKE INC CL A 833445109 20,216 88,173 SH SOLE 0 0 88,173 STABLE RD ACQUISITION CORP COM CL A 85236Q109 0 30 SH SOLE 0 0 30 STABLE RD ACQUISITION CORP *W EXP 05/15/202 85236Q117 0 100 SH SOLE 0 0 100 PEAK ENERGY TRANSITION *W EXP 08/11/202 855185112 4,730 334,295 SH SOLE 0 0 334,295 STAR PEAK ENERGY TRANSITION CL A 855185104 266 10,000 SH SOLE 0 0 10,000 BOWX ACQUISITION CORP *W EXP 08/03/202 103085114 43 20,000 SH SOLE 0 0 20,000 VIATRIS INC COM 92556V106 27 1,953 SH SOLE 0 0 1,953 ONE COM CL A G7000X105 0 20 SH SOLE 0 0 20

Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 1 30 SH SOLE 0 0 30 AIRBNB INC COM CL A 009066101 15,564 82,813 SH SOLE 0 0 82,813 LORDSTOWN MOTORS CORP COM CL A 54405Q100 24 247,400 SH Call SOLE 0 0 247,400 ACIES ACQUISITION CORP *W EXP 11/30/202 G0103T113 8 5,000 SH SOLE 0 0 5,000 CORTEXYME INC COM 22053A107 413 29,400 SH Call SOLE 0 0 29,400 AFFIRM HLDGS INC COM CL A 00827B106 0 3 SH SOLE 0 0 3 ONE *W EXP 08/17/202 G7000X121 306 114,945 SH SOLE 0 0 114,945 RLX TECHNOLOGY INC SPONSORED ADS 74969N103 19 1,820 SH SOLE 0 0 1,820 CORTEXYME INC COM 22053A107 283 15,200 SH Call SOLE 0 0 15,200 KHOSLA VENTURES ACQUISITION CL A 482504107 0 40 SH SOLE 0 0 40 LORDSTOWN MOTORS CORP COM CL A 54405Q100 943 260,000 SH Call SOLE 0 0 260,000 LORDSTOWN MOTORS CORP COM CL A 54405Q100 117 355,200 SH Call SOLE 0 0 355,200 LORDSTOWN MOTORS CORP COM CL A 54405Q100 70 100,000 SH Call SOLE 0 0 100,000 LORDSTOWN MOTORS CORP COM CL A 54405Q100 48 100,000 SH Call SOLE 0 0 100,000 LORDSTOWN MOTORS CORP COM CL A 54405Q100 38 25,000 SH Call SOLE 0 0 25,000 LORDSTOWN MOTORS CORP COM CL A 54405Q100 17 200,700 SH Call SOLE 0 0 200,700 PAYSAFE LIMITED *W EXP 08/11/202 G6964L115 1 141 SH SOLE 0 0 141

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