The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
3M CO COM 88579Y101 2 400 SH Call SOLE 400 0 0
3M CO COM 88579Y101 1,177 5,000 SH   SOLE 5,000 0 0
ABBVIE INC COM 00287Y109 774 8,000 SH   SOLE 8,000 0 0
ALLIANZGI NFJ DIVID INT & PR COM 01883A107 293 22,472 SH   SOLE 22,472 0 0
ALPHABET INC CAP STK CL C 02079K107 786 751 SH   SOLE 751 0 0
AMERICAN ELEC PWR INC COM 025537101 647 8,791 SH   SOLE 8,791 0 0
AMGEN INC COM 031162100 362 2,080 SH   SOLE 2,080 0 0
ANDEAVOR COM 03349M105 1,169 10,220 SH   SOLE 10,220 0 0
APPLE INC COM 037833100 488 2,884 SH   SOLE 2,884 0 0
APPLE INC COM 037833100 0 200 SH Call SOLE 200 0 0
APPLE INC COM 037833100 0 200 SH Put SOLE 200 0 0
AXSOME THERAPEUTICS INC COM 05464T104 652 116,500 SH   SOLE 116,500 0 0
BANK AMER CORP COM 060505104 770 26,075 SH   SOLE 26,075 0 0
BAXTER INTL INC COM 071813109 259 4,000 SH   SOLE 4,000 0 0
BEST BUY INC COM 086516101 207 3,022 SH   SOLE 3,022 0 0
BHP BILLITON LTD SPONSORED ADR 088606108 355 7,712 SH   SOLE 7,712 0 0
BLACKROCK LTD DURATION INC T COM SHS 09249W101 231 14,561 SH   SOLE 14,561 0 0
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 414 12,919 SH   SOLE 12,919 0 0
BLOCK H & R INC COM 093671105 1,044 39,816 SH   SOLE 39,816 0 0
BOEING CO COM 097023105 1,275 4,323 SH   SOLE 4,323 0 0
CAPITAL ONE FINL CORP COM 14040H105 15,056 151,194 SH   SOLE 151,194 0 0
CARNIVAL CORP UNIT 99/99/9999 143658300 622 9,378 SH   SOLE 9,378 0 0
CIDARA THERAPEUTICS INC COM 171757107 355 52,256 SH   SOLE 52,256 0 0
COCA COLA CO COM 191216100 429 9,358 SH   SOLE 9,358 0 0
CUMMINS INC COM 231021106 565 3,200 SH   SOLE 3,200 0 0
DELAWARE ENHANCED GBL DIV & COM 246060107 1,169 96,344 SH   SOLE 96,344 0 0
DISNEY WALT CO COM DISNEY 254687106 376 3,501 SH   SOLE 3,501 0 0
DOWDUPONT INC COM 26078J100 499 7,000 SH   SOLE 7,000 0 0
DUKE ENERGY CORP NEW COM NEW 26441C204 1,466 17,431 SH   SOLE 17,431 0 0
EATON CORP PLC SHS G29183103 711 9,000 SH   SOLE 9,000 0 0
EATON VANCE CALIF MUN BD FD COM 27828A100 420 36,480 SH   SOLE 36,480 0 0
EATON VANCE LTD DUR INCOME F COM 27828H105 438 32,097 SH   SOLE 32,097 0 0
EVEREST RE GROUP LTD COM G3223R108 739 3,338 SH   SOLE 3,338 0 0
EXELON CORP COM 30161N101 571 14,485 SH   SOLE 14,485 0 0
FACEBOOK INC CL A 30303M102 252 1,430 SH   SOLE 1,430 0 0
FIRSTENERGY CORP COM 337932107 1,047 34,196 SH   SOLE 34,196 0 0
GILEAD SCIENCES INC COM 375558103 965 13,464 SH   SOLE 13,464 0 0
HANESBRANDS INC COM 410345102 718 34,352 SH   SOLE 34,352 0 0
HOME DEPOT INC COM 437076102 404 2,129 SH   SOLE 2,129 0 0
HONEYWELL INTL INC COM 438516106 905 5,900 SH   SOLE 5,900 0 0
HSBC HLDGS PLC SPON ADR NEW 404280406 624 12,086 SH   SOLE 12,086 0 0
ILLINOIS TOOL WKS INC COM 452308109 484 2,900 SH   SOLE 2,900 0 0
INFOSYS LTD SPONSORED ADR 456788108 624 38,473 SH   SOLE 38,473 0 0
ING GROEP N V SPONSORED ADR 456837103 420 22,769 SH   SOLE 22,769 0 0
ISHARES TR FLTG RATE NT ETF 46429B655 645 12,690 SH   SOLE 12,690 0 0
ISHARES TR MORTGE REL ETF 46435G342 1,307 28,910 SH   SOLE 28,910 0 0
ISHARES TR RUS MID CAP ETF 464287499 375 1,800 SH   SOLE 1,800 0 0
JPMORGAN CHASE & CO COM 46625H100 572 5,350 SH   SOLE 5,350 0 0
KIMBERLY CLARK CORP COM 494368103 537 4,450 SH   SOLE 4,450 0 0
KURA ONCOLOGY INC COM 50127T109 1,372 89,673 SH   SOLE 89,673 0 0
LOCKHEED MARTIN CORP COM 539830109 291 906 SH   SOLE 906 0 0
MCDONALDS CORP COM 580135101 1,158 6,728 SH   SOLE 6,728 0 0
MEDTRONIC PLC SHS G5960L103 1,099 13,605 SH   SOLE 13,605 0 0
MERCK & CO INC COM 58933Y105 555 9,858 SH   SOLE 9,858 0 0
MICROSOFT CORP COM 594918104 376 4,400 SH   SOLE 4,400 0 0
NEURALSTEM INC COM NEW 64127R401 283 164,394 SH   SOLE 164,394 0 0
NEXTERA ENERGY INC COM 65339F101 836 5,350 SH   SOLE 5,350 0 0
NUVEEN CALIFORNIA AMT QLT MU COM 670651108 213 13,888 SH   SOLE 13,888 0 0
PEPSICO INC COM 713448108 850 7,087 SH   SOLE 7,087 0 0
PEPSICO INC COM 713448108 3 1,500 SH Call SOLE 1,500 0 0
PFIZER INC COM 717081103 433 11,953 SH   SOLE 11,953 0 0
PHILIP MORRIS INTL INC COM 718172109 1,008 9,540 SH   SOLE 9,540 0 0
POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 737 31,975 SH   SOLE 31,975 0 0
PRINCIPAL FINL GROUP INC COM 74251V102 296 4,201 SH   SOLE 4,201 0 0
PROCTER AND GAMBLE CO COM 742718109 386 4,200 SH   SOLE 4,200 0 0
SCANA CORP NEW COM 80589M102 230 5,791 SH   SOLE 5,791 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,460 5,472 SH   SOLE 5,472 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 1,176 13,861 SH   SOLE 13,861 0 0
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 274 6,909 SH   SOLE 6,909 0 0
TAPESTRY INC COM 876030107 711 16,078 SH   SOLE 16,078 0 0
TENARIS S A SPONSORED ADR 88031M109 201 6,311 SH   SOLE 6,311 0 0
UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 94 39,357 SH   SOLE 39,357 0 0
WAL-MART STORES INC COM 931142103 1,338 13,554 SH   SOLE 13,554 0 0
WASTE MGMT INC DEL COM 94106L109 604 7,000 SH   SOLE 7,000 0 0
WEC ENERGY GROUP INC COM 92939U106 610 9,186 SH   SOLE 9,186 0 0
WESTERN ASSET HIGH INCM FD I COM 95766J102 185 26,585 SH   SOLE 26,585 0 0
WESTERN ASSET HIGH INCM OPP COM 95766K109 573 112,955 SH   SOLE 112,955 0 0
WILLIAMS COS INC DEL COM 969457100 215 7,050 SH   SOLE 7,050 0 0
XCEL ENERGY INC COM 98389B100 1,077 22,388 SH   SOLE 22,388 0 0