Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q1 2020 (← Previous) (Next →)

Filing Date: May 7, 2020

Total Value ($000): $181,347 (100.0% shares, 0.0% debt)

Holdings (159)

ILMN ILLUMINA INC 10.5%
Value ($000) $19,086 Shares 69,880 Est. Cost $303.09 Unrealized -7.7%
MSFT MICROSOFT CORPORATION 7.3%
Value ($000) $13,279 Shares 84,199 Est. Cost $114.15 Unrealized +37.0%
PSNL PERSONALIS, INC 4.4%
Value ($000) $8,033 Shares 995,384 Est. Cost $9.82 Unrealized -5.3%
AAPL APPLE INC 3.0%
Value ($000) $5,366 Shares 21,102 Est. Cost $50.43 Unrealized +40.9%
AES AES CORP 2.5%
Value ($000) $4,485 Shares 329,786 Est. Cost $14.35 Unrealized +0.9%
JPM JP MORGAN CHASE & CO 2.3%
Value ($000) $4,174 Shares 46,368 Est. Cost $98.89 Unrealized +4.8%
IBM INTERNATIONAL BUSINESS MACHINE 2.0%
Value ($000) $3,602 Shares 32,472 Est. Cost $99.85 Unrealized -1.6%
HAIN HAIN CELESTIAL GROUP 1.9%
Value ($000) $3,367 Shares 129,646 Est. Cost $23.89 Unrealized +4.4%
T AT&T INC 1.8%
Value ($000) $3,242 Shares 111,232 Est. Cost $16.94 Unrealized +7.3%
VZ VERIZON COMMUNICATIONS INC 1.8%
Value ($000) $3,213 Shares 59,799 Est. Cost $37.32 Unrealized +9.9%
CVS CVS HEALTH CORPORATION 1.6%
Value ($000) $2,869 Shares 48,350 Est. Cost $53.36 Unrealized +3.7%
BMY BRISTOL-MYERS SQUIBB CO 1.6%
Value ($000) $2,854 Shares 51,200 Est. Cost $45.19 Unrealized +7.5%
HON HONEYWELL INTERNATIONAL 1.5%
Value ($000) $2,704 Shares 20,209 Est. Cost $143.91 Unrealized -5.1%
CASI PHARMACEUTICALS INC 1.5%
Value ($000) $2,684 Shares 1,315,609 Est. Cost $3.06 Unrealized
DIS WALT DISNEY CO/THE 1.4%
Value ($000) $2,548 Shares 26,379 Est. Cost $103.43 Unrealized +19.4%
UNP UNION PACIFIC 1.4%
Value ($000) $2,542 Shares 18,020 Est. Cost $140.51 Unrealized +3.2%
LLY LILLY ELI & CO 1.3%
Value ($000) $2,445 Shares 17,626 Est. Cost $107.55 Unrealized +19.2%
PFE PFIZER INC 1.3%
Value ($000) $2,430 Shares 74,445 Est. Cost $25.19 Unrealized +2.5%
PSN PARSONS CORP 1.2%
Value ($000) $2,196 Shares 68,700 Est. Cost $37.33 Unrealized +4.1%
SPGI S&P GLOBAL INC 1.2%
Value ($000) $2,181 Shares 8,900 Est. Cost $246.86 Unrealized +5.8%
INTC INTEL CORP 1.1%
Value ($000) $2,061 Shares 38,087 Est. Cost $49.26 Unrealized +6.2%
GM GENERAL MOTORS CO 1.1%
Value ($000) $1,969 Shares 94,750 Est. Cost $34.37 Unrealized -15.1%
SHOP SHOPIFY INC 1.1%
Value ($000) $1,960 Shares 4,700 Est. Cost $25.75 Unrealized +75.0%
JNJ JOHNSON & JOHNSON 1.1%
Value ($000) $1,953 Shares 14,893 Est. Cost $111.38 Unrealized +7.9%
ABBV ABBVIE INC. 1.1%
Value ($000) $1,931 Shares 25,351 Est. Cost $64.63 Unrealized +4.0%
ABT ABBOTT LABORATORIES 1.0%
Value ($000) $1,861 Shares 23,582 Est. Cost $75.30 Unrealized +0.0%
AMZN AMAZON.COM INC 1.0%
Value ($000) $1,831 Shares 939 Est. Cost $82.05 Unrealized +18.0%
XOM EXXON MOBIL CORP 0.9%
Value ($000) $1,648 Shares 43,411 Est. Cost $52.15 Unrealized -19.3%
MRK MERCK & CO 0.9%
Value ($000) $1,642 Shares 21,345 Est. Cost $60.63 Unrealized +7.4%
KMI KINDER MORGAN INC 0.9%
Value ($000) $1,581 Shares 113,612 Est. Cost $13.06 Unrealized +2.4%
FIS FIDELITY NATIONAL INFORMATION 0.8%
Value ($000) $1,540 Shares 12,662 Est. Cost $93.13 Unrealized +32.2%
SPROTT INC 0.8%
Value ($000) $1,490 Shares 920,000 Est. Cost $2.14 Unrealized
FSLR FIRST SOLAR INC COM 0.8%
Value ($000) $1,478 Shares 41,000 Est. Cost $54.59 Unrealized -12.9%
BX BLACKSTONE GROUP INC. 0.8%
Value ($000) $1,476 Shares 32,382 Est. Cost $39.51 Unrealized +14.6%
EFX EQUIFAX INC 0.7%
Value ($000) $1,356 Shares 11,349 Est. Cost $132.13 Unrealized +5.2%
V VISA INC 0.7%
Value ($000) $1,351 Shares 8,384 Est. Cost $173.63 Unrealized +4.1%
UEIC UNIVERSAL ELECTRONICS 0.7%
Value ($000) $1,322 Shares 34,442 Est. Cost $53.59 Unrealized -15.5%
LMT LOCKHEED MARTIN 0.7%
Value ($000) $1,300 Shares 3,834 Est. Cost $324.81 Unrealized +3.1%
CSCO CISCO SYSTEMS 0.7%
Value ($000) $1,289 Shares 32,798 Est. Cost $34.86 Unrealized +5.2%
CMCSA COMCAST CORP 0.7%
Value ($000) $1,239 Shares 36,036 Est. Cost $32.03 Unrealized +12.5%
PG PROCTER & GAMBLE COMPANY 0.7%
Value ($000) $1,226 Shares 11,149 Est. Cost $84.05 Unrealized +23.5%
PM PHILIP MORRIS INTERNAT 0.7%
Value ($000) $1,211 Shares 16,600 Est. Cost $60.14 Unrealized +1.0%
WPC W.P. CAREY INC. 0.7%
Value ($000) $1,192 Shares 20,518 Est. Cost $80.04 Unrealized
CI CIGNA CORP 0.6%
Value ($000) $1,137 Shares 6,415 Est. Cost $167.70 Unrealized +5.8%
WM WASTE MGT. 0.6%
Value ($000) $1,114 Shares 12,034 Est. Cost $102.09 Unrealized +2.0%
GOOG ALPHABET INC-CL C 0.6%
Value ($000) $1,097 Shares 943 Est. Cost $57.75 Unrealized +16.6%
PEP PEPSICO INC 0.6%
Value ($000) $1,059 Shares 8,815 Est. Cost $112.78 Unrealized -0.0%
DIAMOND EAGLE ACQUISISTION COR 0.6%
Value ($000) $1,014 Shares 82,200 Est. Cost $12.34 Unrealized
SO SOUTHERN CO 0.5%
Value ($000) $996 Shares 18,401 Est. Cost $48.90 Unrealized +3.2%
WMT WAL-MART STORES 0.5%
Value ($000) $995 Shares 8,754 Est. Cost $30.25 Unrealized +16.9%
GOOGL ALPHABET INC (A) 0.5%
Value ($000) $948 Shares 816 Est. Cost $52.49 Unrealized +28.1%
NEE NEXTERA ENERGY INC 0.5%
Value ($000) $938 Shares 3,900 Est. Cost $50.17 Unrealized +8.2%
CVX CHEVRON CORPORATION 0.5%
Value ($000) $925 Shares 12,764 Est. Cost $89.68 Unrealized -15.2%
SSYS STRATASYS LTD 0.5%
Value ($000) $893 Shares 56,000 Est. Cost $19.92 Unrealized -8.6%
KO COCA COLA 0.5%
Value ($000) $891 Shares 20,125 Est. Cost $44.51 Unrealized +1.1%
AMGN AMGEN 0.5%
Value ($000) $886 Shares 4,372 Est. Cost $182.69 Unrealized -0.2%
NEM NEWMONT MINING 0.5%
Value ($000) $874 Shares 19,300 Est. Cost $32.71 Unrealized +15.8%
AXP AMERICAN EXPRESS CO 0.5%
Value ($000) $854 Shares 9,975 Est. Cost $110.07 Unrealized -2.2%
ENB ENBRIDGE INC 0.5%
Value ($000) $843 Shares 28,989 Est. Cost $24.85 Unrealized +0.6%
MMM 3M CO 0.5%
Value ($000) $823 Shares 6,027 Est. Cost $111.76 Unrealized -5.2%
GILD GILEAD SCIENCES INC. 0.4%
Value ($000) $811 Shares 10,850 Est. Cost $51.27 Unrealized +7.1%
ABBNY ABB LIMITED SPONS ADR 0.4%
Value ($000) $808 Shares 46,840 Est. Cost $24.09 Unrealized
CAT CATERPILLAR 0.4%
Value ($000) $801 Shares 6,900 Est. Cost $122.45 Unrealized -7.4%
ALLERGAN PLC 0.4%
Value ($000) $796 Shares 4,497 Est. Cost $191.19 Unrealized
GIS GENERAL MILLS INC 0.4%
Value ($000) $787 Shares 14,917 Est. Cost $42.80 Unrealized +1.2%
WY WEYERHAEUSER CO 0.4%
Value ($000) $737 Shares 43,476 Est. Cost $20.50 Unrealized +3.3%
MO ALTRIA GROUP INC 0.4%
Value ($000) $714 Shares 18,454 Est. Cost $28.69 Unrealized -4.0%
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.4%
Value ($000) $709 Shares 3,878 Est. Cost $216.69 Unrealized -1.9%
C CITIGROUP INC 0.4%
Value ($000) $708 Shares 16,810 Est. Cost $59.26 Unrealized -8.6%
UPS UNITED PARCEL SERVICE 0.4%
Value ($000) $689 Shares 7,370 Est. Cost $87.63 Unrealized -6.6%
DOW DOW INC 0.4%
Value ($000) $672 Shares 22,979 Est. Cost $36.70 Unrealized -16.7%
PNC PNC FINANCIAL CORP 0.4%
Value ($000) $663 Shares 6,923 Est. Cost $120.17 Unrealized -9.9%
GENERAL ELECTRIC CO 0.4%
Value ($000) $650 Shares 81,841 Est. Cost $14.24 Unrealized
CSX CSX CORP 0.4%
Value ($000) $642 Shares 11,200 Est. Cost $21.78 Unrealized -1.0%
CFG CITIZENS FINANCIAL GROUP INC 0.4%
Value ($000) $640 Shares 34,000 Est. Cost $28.00 Unrealized -10.5%
BA BOEING CO 0.4%
Value ($000) $639 Shares 4,283 Est. Cost $341.40 Unrealized -20.1%
QCOM QUALCOMM INC 0.4%
Value ($000) $636 Shares 9,400 Est. Cost $72.86 Unrealized -1.3%
META FACEBOOK INC 0.3%
Value ($000) $620 Shares 3,717 Est. Cost $175.42 Unrealized +10.8%
SEIC SEI INVESTMENTS COMPANY 0.3%
Value ($000) $556 Shares 12,000 Est. Cost $57.17 Unrealized -3.8%
MDLZ MONDELEZ INTERNATIONAL 0.3%
Value ($000) $539 Shares 10,754 Est. Cost $46.04 Unrealized +1.4%
BP BP PLC SPONS ADR 0.3%
Value ($000) $508 Shares 20,838 Est. Cost $38.28 Unrealized
DGEAF DIAGEO 0.3%
Value ($000) $506 Shares 15,375 Est. Cost $35.26 Unrealized -7.5%
UNITED TECH. 0.3%
Value ($000) $499 Shares 5,285 Est. Cost $149.74 Unrealized
BAX BAXTER INTERNATIONAL INC 0.3%
Value ($000) $499 Shares 6,150 Est. Cost $33.13 Unrealized +131.6%
HD HOME DEPOT INC 0.3%
Value ($000) $495 Shares 2,650 Est. Cost $194.59 Unrealized -2.3%
BXMT BLACKSTONE MORTGAGE TRUST INC 0.3%
Value ($000) $493 Shares 26,470 Est. Cost $37.24 Unrealized
DD DUPONT DE NEMOURS 0.3%
Value ($000) $491 Shares 14,408 Est. Cost $23.76 Unrealized -23.6%
LHX L3HARRIS TECHNOLOGIES INC 0.3%
Value ($000) $485 Shares 2,690 Est. Cost $180.55 Unrealized +0.8%
SMG SCOTTS MIRACLE-GRO 0.3%
Value ($000) $470 Shares 4,585 Est. Cost $66.79 Unrealized +31.3%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $465 Shares 5,754 Est. Cost $71.81 Unrealized +1.3%
THVB THOMASVILLE BANCSHARES INC 0.3%
Value ($000) $462 Shares 10,094 Est. Cost $37.36 Unrealized +6.7%
NVDA NVIDIA 0.3%
Value ($000) $461 Shares 1,750 Est. Cost $5.18 Unrealized +21.4%
GLW CORNING INC 0.3%
Value ($000) $459 Shares 22,371 Est. Cost $24.43 Unrealized -9.6%
GLAXO SMITHKLINE PLC SPONS ADR 0.2%
Value ($000) $445 Shares 11,733 Est. Cost $46.96 Unrealized
FLO FLOWERS FOODS INC 0.2%
Value ($000) $440 Shares 21,464 Est. Cost $16.87 Unrealized +1.2%
TIP ISHARES TIPS BOND ETF 0.2%
Value ($000) $439 Shares 3,719 Est. Cost $116.70 Unrealized
TIFFANY & CO 0.2%
Value ($000) $414 Shares 3,200 Est. Cost $133.72 Unrealized
OKE ONEOK INC 0.2%
Value ($000) $406 Shares 18,593 Est. Cost $47.69 Unrealized -13.6%
CNOB CONNECTONE BANCORP INC 0.2%
Value ($000) $382 Shares 28,410 Est. Cost $17.94 Unrealized 0.0%
UFI UNIFI INC 0.2%
Value ($000) $381 Shares 33,000 Est. Cost $24.14 Unrealized -15.0%
BDX BECTON DICKINSON 0.2%
Value ($000) $373 Shares 1,623 Est. Cost $166.54 Unrealized +35.1%
WDC WESTERN DIGITAL CORP 0.2%
Value ($000) $366 Shares 8,800 Est. Cost $40.69 Unrealized +7.0%
PIONEER NATURAL RESOURCES 0.2%
Value ($000) $365 Shares 5,200 Est. Cost $141.95 Unrealized
COP CONOCOPHILLIPS 0.2%
Value ($000) $363 Shares 11,801 Est. Cost $47.16 Unrealized -13.1%
AEM AGNICO EAGLE MINES LTD 0.2%
Value ($000) $362 Shares 9,100 Est. Cost $45.82 Unrealized 0.0%
BGS B&G FOODS INC 0.2%
Value ($000) $360 Shares 19,900 Est. Cost $9.61 Unrealized -4.2%
ROYAL DUTCH SHELL PLC CL A 0.2%
Value ($000) $357 Shares 10,234 Est. Cost $58.25 Unrealized
ALB ALBEMARLE CORP 0.2%
Value ($000) $355 Shares 6,300 Est. Cost $62.66 Unrealized +13.5%
RSP INVESCO S&P 500 EQUAL WEIGHT E 0.2%
Value ($000) $353 Shares 4,203 Est. Cost $105.53 Unrealized
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $350 Shares 2,400 Est. Cost $165.56 Unrealized -1.2%
ITW ILLINOIS TOOL WORKS 0.2%
Value ($000) $341 Shares 2,400 Est. Cost $97.49 Unrealized +51.4%
DTE D T E ENERGY CO 0.2%
Value ($000) $339 Shares 3,569 Est. Cost $87.47 Unrealized -5.1%
MCD MCDONALDS CORP 0.2%
Value ($000) $338 Shares 2,046 Est. Cost $171.92 Unrealized -0.0%
FCX FREEPORT MCMORAN INC 0.2%
Value ($000) $323 Shares 47,830 Est. Cost $10.23 Unrealized -4.3%
TRV THE TRAVELERS COMPANIES INC 0.2%
Value ($000) $311 Shares 3,126 Est. Cost $119.29 Unrealized -8.1%
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $307 Shares 2,400 Est. Cost $108.78 Unrealized +3.0%
WST WEST PHARMACEUTICALS SVCS INC 0.2%
Value ($000) $304 Shares 2,000 Est. Cost $143.32 Unrealized +5.8%
AFL AFLAC INC. 0.2%
Value ($000) $303 Shares 8,856 Est. Cost $45.85 Unrealized -13.5%
XBI SPDR S&P BIOTECH 0.2%
Value ($000) $302 Shares 3,900 Est. Cost $95.13 Unrealized
ZTS ZOETIS INC 0.2%
Value ($000) $297 Shares 2,527 Est. Cost $118.09 Unrealized +6.1%
TRN TRINITY INDS INC. 0.2%
Value ($000) $273 Shares 17,000 Est. Cost $16.06 Unrealized -0.9%
EMN EASTMAN CHEM CO 0.1%
Value ($000) $272 Shares 5,850 Est. Cost $61.58 Unrealized -15.7%
MSI MOTOROLA SOLUTIONS INC 0.1%
Value ($000) $259 Shares 1,952 Est. Cost $151.83 Unrealized +2.3%
ED CONSOLIDATED EDISON 0.1%
Value ($000) $259 Shares 3,326 Est. Cost $71.48 Unrealized -0.9%
CWT CALIFORNIA WATER SEFICE GROUP 0.1%
Value ($000) $252 Shares 5,000 Est. Cost $45.94 Unrealized -0.2%
CLX CLOROX CO 0.1%
Value ($000) $250 Shares 1,443 Est. Cost $124.55 Unrealized +11.3%
IP INTERNATIONAL PAPER 0.1%
Value ($000) $245 Shares 7,860 Est. Cost $31.89 Unrealized -10.6%
FHN FIRST HORIZON NATIONAL CORP 0.1%
Value ($000) $242 Shares 30,000 Est. Cost $11.03 Unrealized 0.0%
AWK AMERICAN WTR WKS 0.1%
Value ($000) $239 Shares 2,000 Est. Cost $108.00 Unrealized +6.9%
AVGO BROADCOM LIMITED 0.1%
Value ($000) $237 Shares 1,000 Est. Cost $25.89 Unrealized -6.2%
OXY OCCIDENTAL PETROLEUM 0.1%
Value ($000) $236 Shares 20,400 Est. Cost $34.31 Unrealized -12.4%
BLACKROCK INC 0.1%
Value ($000) $230 Shares 523 Est. Cost $439.77 Unrealized
APOLLO GLOBAL MANAGEMENT INC 0.1%
Value ($000) $224 Shares 6,675 Est. Cost $37.59 Unrealized
LDSF FIRST TRUST LOW DURATION STRAT 0.1%
Value ($000) $219 Shares 11,145 Est. Cost $19.65 Unrealized
STE STERIS CORP 0.1%
Value ($000) $217 Shares 1,550 Est. Cost $138.78 Unrealized +2.3%
TWITTER INC 0.1%
Value ($000) $216 Shares 8,800 Est. Cost $30.96 Unrealized
GEO GEO GROUP INC 0.1%
Value ($000) $213 Shares 17,550 Est. Cost $12.82 Unrealized +2.8%
HPQ H P INC 0.1%
Value ($000) $212 Shares 12,200 Est. Cost $15.31 Unrealized +7.7%
GS GOLDMAN SACHS 0.1%
Value ($000) $209 Shares 1,350 Est. Cost $187.49 Unrealized -1.6%
YUM YUM BRANDS 0.1%
Value ($000) $200 Shares 2,920 Est. Cost $92.35 Unrealized -9.5%
SLB SCHLUMBERGER LTD 0.1%
Value ($000) $171 Shares 12,700 Est. Cost $30.72 Unrealized -17.7%
CODI COMPASS DIVERSIFIED HOLDINGS 0.1%
Value ($000) $155 Shares 11,570 Est. Cost $15.84 Unrealized -6.3%
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value ($000) $145 Shares 13,107 Est. Cost $15.84 Unrealized
CENTURYLINK INC 0.1%
Value ($000) $127 Shares 13,475 Est. Cost $9.42 Unrealized
HPE HEWLETT PACKARD ENTERPRIS 0.1%
Value ($000) $120 Shares 12,400 Est. Cost $13.11 Unrealized -17.4%
MOS MOSAIC CORP 0.1%
Value ($000) $116 Shares 10,700 Est. Cost $17.61 Unrealized -14.2%
AHRT ARMADA HOFFLER PROPERTIES INC 0.1%
Value ($000) $107 Shares 10,000 Est. Cost $18.30 Unrealized
WPX ENERGY INC 0.1%
Value ($000) $105 Shares 34,326 Est. Cost $3.06 Unrealized
PGEN PRECIGEN INC 0.0%
Value ($000) $87 Shares 25,600 Est. Cost $4.32 Unrealized 0.0%
RIG TRANSOCEAN LTD 0.0%
Value ($000) $69 Shares 59,223 Est. Cost $5.09 Unrealized -23.4%
F FORD MOTOR COMPANY NEW 0.0%
Value ($000) $60 Shares 12,450 Est. Cost $6.68 Unrealized -15.4%
ALERIAN MLP ETF 0.0%
Value ($000) $50 Shares 14,497 Est. Cost $8.48 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value ($000) $27 Shares 19,800 Est. Cost $1.34 Unrealized +26.1%
AQUA METALS, INC 0.0%
Value ($000) $14 Shares 32,060 Est. Cost $0.75 Unrealized
CAPITAL SENIOR LIVING CORP 0.0%
Value ($000) $6 Shares 10,000 Est. Cost $3.10 Unrealized
BIOLASE INC 0.0%
Value ($000) $4 Shares 10,000 Est. Cost $0.60 Unrealized
HSHL HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost $0.00 Unrealized -36.7%
COASTAL CAR OIL & MINERALS 0.0%
Value ($000) $0 Shares 32,150 Est. Cost Unrealized
ISLET SCIENCES 0.0%
Value ($000) $0 Shares 30,000 Est. Cost Unrealized