Carlota M. Bohm

PNC Bank Account — Int./Div.

Roam Bally IV, LP — Dividend

Jackson National Annuity - Fixed Income Annuity — Dividend

Energy Select Sector SPDR Fund ETF — Dividend — Buy (add'l)

Pimco Income Fund (PONPX) — Dividend — Sold (part)

AIG/Sun America Focused Dividend Strategy Fund (FDSWX) — Dividend — Sold (part)

Hennessy Focus 30 Inst (HIMDX) — Dividend — Sold

Loomis Sayles Investment Grade Bond (LSIIX) — Dividend — Buy (add'l)

Loomis Sayles Investment Grade Bond (LSIIX) — Dividend — Sold (part)

Loomis Sayles Investment Grade Bond (LSIIX) — Dividend — Sold (part)

Loomis Sayles Investment Grade Bond (LSIIX) — Dividend — Sold (part)

Loomis Sayles Investment Grade Bond (LSIIX) — Dividend — Sold (part)

AB High Income Fund (AGDYX) — Dividend — Buy (add'l)

AB High Income Fund (AGDYX) — Dividend — Sold (part)

Pioneer Pioneer Fundamental Growth Fund (FUNYX) — Dividend — Sold (part)

Oppenheimer Developing Markts Funds (ODVYX) — Dividend — Sold (part)

Henderson Intl Opportunities (HFOIX) — Dividend — Sold

Lord Abbett High Yield Fund (LHYFX) — Dividend — Sold

Pioneer Strategic Income Fund (STRYX) — Dividend — Buy (add'l)

Pioneer Strategic Income Fund (STRYX) — Dividend — Sold (part)

JPMorgan US Equity Select (JUESX) — Dividend — Sold (part)

Delaware Small Cap Core (DCCIX) — Dividend — Buy (add'l)

Delaware Small Cap Core (DCCIX) — Dividend — Sold (part)

Nuveen Symphony Floating Rate Income Fund (NFRIX) — Dividend — Buy

Nuveen Symphony Floating Rate Income Fund (NFRIX) — Dividend — Sold (part)

First Eagle Overseas Fund (SGOIX) — Dividend — Buy

Hartford Schroders US Small Mid Cap (SMDIX) — Dividend — Buy

Healthcare Select Sector SPDR Fund (XLV) — Dividend — Sold

Vanguard Sector Index FD Information Tech ETF (VGT) — Dividend — Buy (add'l)

Financial Sector SPDR Trust ETF (CLF) — Dividend — Buy (add'l)

Ishores Gold Trust ETF (IAU) — Dividend — Buy

Reimbursement — NCBJ — October 28-31,2018 — San Antonio, TX — seminar/program — lodging