SEC FORM 13F-HR
|
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 COVER PAGE
|
| OMB APPROVAL |
| OMB Number: | 3235-0006 |
| Expires: | Oct 31, 2018 |
| Estimated average burden |
| hours per response: | 23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: | 09-30-2017 |
| 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: | INTL FCSTONE INC. |
| Address: | 708 Third Avenue |
| Suite 1500 |
| New York,
NY
10017 |
| Form 13F File Number: | 028-17573 |
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: | John Calvano |
| Title: | Chief Compliance Officer |
| Phone: | 205-414-3367 |
| Signature, Place, and Date of Signing: |
| John Calvano | Birmingham,
AL | 11-13-2017 |
| [Signature] | [City, State] | [Date] |
|
| Report Type (Check only one.): |
| X | 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: | 2 | | |
| Form 13F Information Table Entry Total: | 0 |
| Form 13F Information Table Value Total: | 0 |
| (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.] |
| No. | Form 13F File Number | Name |
| 1 | 028-17766 | SA Stone Investment Advisors Inc. |
| 2 | | ENVESTNET ASSET MANAGEMENT INC |
SEC FORM 13-F Information Table
|
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 |
| Expires: | Oct 31, 2018 |
| 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 |
| ALPS ETF TR | C | 00162Q866 | 165 | 14,686 | SH | | DFND | 1 | 14,686 | 0 | 0 |
| AT&T INC | C | 00206R102 | 3 | 72 | SH | | DFND | 1,2 | 72 | 0 | 0 |
| AT&T INC | C | 00206R102 | 958 | 24,448 | SH | | DFND | 1 | 24,448 | 0 | 0 |
| ARK ETF TR | C | 00214Q401 | 277 | 6,809 | SH | | DFND | 1 | 6,809 | 0 | 0 |
| ABBVIE INC | C | 00287Y109 | 743 | 8,365 | SH | | DFND | 1 | 8,365 | 0 | 0 |
| ACCELERATE DIAGNOSTICS INC | C | 00430H102 | 265 | 11,790 | SH | | DFND | 1 | 11,790 | 0 | 0 |
| ALPHABET INC | C | 02079K107 | 229 | 239 | SH | | DFND | 1 | 239 | 0 | 0 |
| ALPHABET INC | C | 02079K305 | 295 | 303 | SH | | DFND | 1 | 303 | 0 | 0 |
| ALTRIA GROUP INC | C | 02209S103 | 493 | 7,777 | SH | | DFND | 1 | 7,777 | 0 | 0 |
| AMAZON COM INC | C | 023135106 | 868 | 903 | SH | | DFND | 1 | 903 | 0 | 0 |
| AMERICAN INTL GROUP INC | C | 026874784 | 392 | 6,389 | SH | | DFND | 1 | 6,389 | 0 | 0 |
| AMGEN INC | C | 031162100 | 361 | 1,934 | SH | | DFND | 1 | 1,934 | 0 | 0 |
| ANNALY CAP MGMT INC | C | 035710409 | 199 | 16,303 | SH | | DFND | 1 | 16,303 | 0 | 0 |
| APPLE INC | C | 037833100 | 4 | 28 | SH | | DFND | 1,2 | 28 | 0 | 0 |
| APPLE INC | C | 037833100 | 2,224 | 14,429 | SH | | DFND | 1 | 14,429 | 0 | 0 |
| BP PLC | C | 055622104 | 243 | 6,329 | SH | | DFND | 1 | 6,329 | 0 | 0 |
| BANK AMER CORP | C | 060505104 | 241 | 9,521 | SH | | DFND | 1 | 9,521 | 0 | 0 |
| BANK AMER CORP | R | 060505682 | 371 | 285 | SH | | DFND | 1 | 285 | 0 | 0 |
| BARCLAYS BK PLC | R | 06742A669 | 544 | 4,961 | SH | | DFND | 1 | 4,961 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | C | 084670702 | 662 | 3,612 | SH | | DFND | 1 | 3,612 | 0 | 0 |
| BLACKSTONE GROUP L P | C | 09253U108 | 1,088 | 32,599 | SH | | DFND | 1 | 32,599 | 0 | 0 |
| BOEING CO | C | 097023105 | 436 | 1,713 | SH | | DFND | 1 | 1,713 | 0 | 0 |
| CELGENE CORP | C | 151020104 | 212 | 1,455 | SH | | DFND | 1 | 1,455 | 0 | 0 |
| CHEVRON CORP NEW | C | 166764100 | 10 | 86 | SH | | DFND | 1,2 | 86 | 0 | 0 |
| CHEVRON CORP NEW | C | 166764100 | 360 | 3,064 | SH | | DFND | 1 | 3,064 | 0 | 0 |
| CISCO SYS INC | C | 17275R102 | 340 | 10,118 | SH | | DFND | 1 | 10,118 | 0 | 0 |
| CONOCOPHILLIPS | C | 20825C104 | 253 | 5,060 | SH | | DFND | 1 | 5,060 | 0 | 0 |
| CORNING INC | C | 219350105 | 220 | 7,337 | SH | | DFND | 1 | 7,337 | 0 | 0 |
| DBX ETF TR | C | 233051101 | 19 | 825 | SH | | DFND | 1,2 | 825 | 0 | 0 |
| DBX ETF TR | C | 233051101 | 330 | 14,129 | SH | | DFND | 1 | 14,129 | 0 | 0 |
| DEPOMED INC | C | 249908104 | 60 | 10,415 | SH | | DFND | 1 | 10,415 | 0 | 0 |
| DISNEY WALT CO | C | 254687106 | 335 | 3,398 | SH | | DFND | 1 | 3,398 | 0 | 0 |
| DOMINION ENERGY INC | C | 25746U109 | 376 | 4,894 | SH | | DFND | 1 | 4,894 | 0 | 0 |
| DOWDUPONT INC | C | 26078J100 | 319 | 4,603 | SH | | DFND | 1 | 4,603 | 0 | 0 |
| DUKE ENERGY CORP NEW | C | 26441C204 | 305 | 3,638 | SH | | DFND | 1 | 3,638 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A784 | 1,535 | 53,307 | SH | | DFND | 1 | 53,307 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A826 | 339 | 12,527 | SH | | DFND | 1 | 12,527 | 0 | 0 |
| EXXON MOBIL CORP | C | 30231G102 | 2 | 26 | SH | | DFND | 1,2 | 26 | 0 | 0 |
| EXXON MOBIL CORP | C | 30231G102 | 377 | 4,598 | SH | | DFND | 1 | 4,598 | 0 | 0 |
| FACEBOOK INC | C | 30303M102 | 1,126 | 6,589 | SH | | DFND | 1 | 6,589 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733E302 | 1,182 | 11,544 | SH | | DFND | 1 | 11,544 | 0 | 0 |
| FIRST TR NASDAQ100 TECH INDE | C | 337345102 | 406 | 5,958 | SH | | DFND | 1 | 5,958 | 0 | 0 |
| FIRST TR S&P REIT INDEX FD | C | 33734G108 | 332 | 14,257 | SH | | DFND | 1 | 14,257 | 0 | 0 |
| FIRST TR LRGE CP CORE ALPHA | C | 33734K109 | 504 | 9,186 | SH | | DFND | 1 | 9,186 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X150 | 387 | 10,414 | SH | | DFND | 1 | 10,414 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X176 | 314 | 6,548 | SH | | DFND | 1 | 6,548 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X184 | 335 | 12,399 | SH | | DFND | 1 | 12,399 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X192 | 706 | 16,848 | SH | | DFND | 1 | 16,848 | 0 | 0 |
| FIRST TR MID CAP CORE ALPHAD | C | 33735B108 | 238 | 3,840 | SH | | DFND | 1 | 3,840 | 0 | 0 |
| FIRST TR LRG CP VL ALPHADEX | C | 33735J101 | 281 | 5,499 | SH | | DFND | 1 | 5,499 | 0 | 0 |
| FIRST TR LRG CP GRWTH ALPHAD | C | 33735K108 | 358 | 6,229 | SH | | DFND | 1 | 6,229 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J117 | 371 | 9,833 | SH | | DFND | 1 | 9,833 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J174 | 259 | 4,383 | SH | | DFND | 1 | 4,383 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R605 | 267 | 10,213 | SH | | DFND | 1 | 10,213 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R860 | 390 | 14,109 | SH | | DFND | 1 | 14,109 | 0 | 0 |
| FIRST TR EXCHANGE-TRADED FD | C | 33739E108 | 261 | 12,973 | SH | | DFND | 1 | 12,973 | 0 | 0 |
| FIRST TR DYNAMIC EUROPE EQT | C | 33740D107 | 338 | 17,381 | SH | | DFND | 1 | 17,381 | 0 | 0 |
| FIRST TR SR FLOATING RATE 20 | C | 33740K101 | 217 | 22,415 | SH | | DFND | 1 | 22,415 | 0 | 0 |
| FORD MTR CO DEL | C | 345370860 | 430 | 35,910 | SH | | DFND | 1 | 35,910 | 0 | 0 |
| GENERAL ELECTRIC CO | C | 369604103 | 620 | 25,660 | SH | | DFND | 1 | 25,660 | 0 | 0 |
| GENERAL MTRS CO | C | 37045V100 | 323 | 8,010 | SH | | DFND | 1 | 8,010 | 0 | 0 |
| GILEAD SCIENCES INC | C | 375558103 | 2 | 22 | SH | | DFND | 1,2 | 22 | 0 | 0 |
| GILEAD SCIENCES INC | C | 375558103 | 241 | 2,980 | SH | | DFND | 1 | 2,980 | 0 | 0 |
| HOME DEPOT INC | C | 437076102 | 3 | 16 | SH | | DFND | 1,2 | 16 | 0 | 0 |
| HOME DEPOT INC | C | 437076102 | 292 | 1,786 | SH | | DFND | 1 | 1,786 | 0 | 0 |
| INFOSYS LTD | C | 456788108 | 502 | 34,431 | SH | | DFND | 1 | 34,431 | 0 | 0 |
| INTEL CORP | C | 458140100 | 220 | 5,787 | SH | | DFND | 1 | 5,787 | 0 | 0 |
| INVESCO QUALITY MUNI INC TRS | C | 46133G107 | 137 | 10,731 | SH | | DFND | 1 | 10,731 | 0 | 0 |
| ISHARES GOLD TRUST | C | 464285105 | 194 | 15,760 | SH | | DFND | 1 | 15,760 | 0 | 0 |
| ISHARES TR | C | 464287150 | 846 | 14,686 | SH | | DFND | 1 | 14,686 | 0 | 0 |
| ISHARES TR | C | 464287176 | 245 | 2,158 | SH | | DFND | 1 | 2,158 | 0 | 0 |
| ISHARES TR | C | 464287200 | 6 | 25 | SH | | DFND | 1,2 | 25 | 0 | 0 |
| ISHARES TR | C | 464287200 | 1,431 | 5,659 | SH | | DFND | 1 | 5,659 | 0 | 0 |
| ISHARES TR | C | 464287226 | 375 | 3,421 | SH | | DFND | 1 | 3,421 | 0 | 0 |
| ISHARES TR | C | 464287226 | 486 | 4,431 | SH | | DFND | 1,2 | 4,431 | 0 | 0 |
| ISHARES TR | C | 464287234 | 364 | 8,130 | SH | | DFND | 1 | 8,130 | 0 | 0 |
| ISHARES TR | C | 464287242 | 10 | 83 | SH | | DFND | 1,2 | 83 | 0 | 0 |
| ISHARES TR | C | 464287242 | 392 | 3,232 | SH | | DFND | 1 | 3,232 | 0 | 0 |
| ISHARES TR | C | 464287309 | 609 | 4,247 | SH | | DFND | 1 | 4,247 | 0 | 0 |
| ISHARES TR | C | 464287408 | 691 | 6,405 | SH | | DFND | 1 | 6,405 | 0 | 0 |
| ISHARES TR | C | 464287465 | 619 | 9,042 | SH | | DFND | 1 | 9,042 | 0 | 0 |
| ISHARES TR | C | 464287507 | 503 | 2,810 | SH | | DFND | 1 | 2,810 | 0 | 0 |
| ISHARES TR | C | 464287598 | 230 | 1,941 | SH | | DFND | 1 | 1,941 | 0 | 0 |
| ISHARES TR | C | 464287606 | 433 | 2,141 | SH | | DFND | 1 | 2,141 | 0 | 0 |
| ISHARES TR | C | 464287614 | 14 | 109 | SH | | DFND | 1,2 | 109 | 0 | 0 |
| ISHARES TR | C | 464287614 | 641 | 5,122 | SH | | DFND | 1 | 5,122 | 0 | 0 |
| ISHARES TR | C | 464287630 | 253 | 2,042 | SH | | DFND | 1 | 2,042 | 0 | 0 |
| ISHARES TR | C | 464287655 | 249 | 1,683 | SH | | DFND | 1 | 1,683 | 0 | 0 |
| ISHARES TR | C | 464287804 | 765 | 10,301 | SH | | DFND | 1 | 10,301 | 0 | 0 |
| ISHARES TR | C | 464287879 | 366 | 2,469 | SH | | DFND | 1 | 2,469 | 0 | 0 |
| ISHARES TR | C | 464288497 | 29 | 518 | SH | | DFND | 1,2 | 518 | 0 | 0 |
| ISHARES TR | C | 464288497 | 484 | 8,615 | SH | | DFND | 1 | 8,615 | 0 | 0 |
| ISHARES TR | C | 464288562 | 12 | 194 | SH | | DFND | 1,2 | 194 | 0 | 0 |
| ISHARES TR | C | 464288562 | 209 | 3,280 | SH | | DFND | 1 | 3,280 | 0 | 0 |
| ISHARES TR | C | 464288687 | 1,686 | 43,448 | SH | | DFND | 1 | 43,448 | 0 | 0 |
| ISHARES TR | C | 464288760 | 777 | 4,364 | SH | | DFND | 1 | 4,364 | 0 | 0 |
| ISHARES TR | C | 464288810 | 684 | 4,095 | SH | | DFND | 1 | 4,095 | 0 | 0 |
| ISHARES TR | C | 46429B663 | 330 | 3,843 | SH | | DFND | 1 | 3,843 | 0 | 0 |
| ISHARES TR | C | 46432F842 | 440 | 6,864 | SH | | DFND | 1 | 6,864 | 0 | 0 |
| ISHARES INC | C | 46434G103 | 348 | 6,446 | SH | | DFND | 1 | 6,446 | 0 | 0 |
| ISHARES TR | C | 46434V803 | 430 | 14,852 | SH | | DFND | 1 | 14,852 | 0 | 0 |
| JPMORGAN CHASE & CO | C | 46625H100 | 804 | 8,417 | SH | | DFND | 1 | 8,417 | 0 | 0 |
| JOHNSON & JOHNSON | C | 478160104 | 3 | 24 | SH | | DFND | 1,2 | 24 | 0 | 0 |
| JOHNSON & JOHNSON | C | 478160104 | 345 | 2,655 | SH | | DFND | 1 | 2,655 | 0 | 0 |
| KINDER MORGAN INC DEL | C | 49456B101 | 222 | 11,552 | SH | | DFND | 1 | 11,552 | 0 | 0 |
| KINDER MORGAN INC DEL | R | 49456B200 | 523 | 12,300 | SH | | DFND | 1 | 12,300 | 0 | 0 |
| KROGER CO | C | 501044101 | 280 | 13,957 | SH | | DFND | 1 | 13,957 | 0 | 0 |
| MDU RES GROUP INC | C | 552690109 | 209 | 8,050 | SH | | DFND | 1 | 8,050 | 0 | 0 |
| MERCK & CO INC | C | 58933Y105 | 3 | 44 | SH | | DFND | 1,2 | 44 | 0 | 0 |
| MERCK & CO INC | C | 58933Y105 | 350 | 5,461 | SH | | DFND | 1 | 5,461 | 0 | 0 |
| MICROSOFT CORP | C | 594918104 | 397 | 5,332 | SH | | DFND | 1 | 5,332 | 0 | 0 |
| MONMOUTH REAL ESTATE INVT CO | C | 609720107 | 388 | 23,974 | SH | | DFND | 1 | 23,974 | 0 | 0 |
| MONSANTO CO NEW | C | 61166W101 | 898 | 7,492 | SH | | DFND | 1 | 7,492 | 0 | 0 |
| NETFLIX INC | C | 64110L106 | 364 | 2,009 | SH | | DFND | 1 | 2,009 | 0 | 0 |
| NVIDIA CORP | C | 67066G104 | 303 | 1,697 | SH | | DFND | 1 | 1,697 | 0 | 0 |
| NUVEEN S&P 500 BUY-WRITE INC | C | 6706ER101 | 778 | 55,658 | SH | | DFND | 1 | 55,658 | 0 | 0 |
| NUVEEN HIGH INCOME NOVEMBER | C | 67077N106 | 276 | 27,415 | SH | | DFND | 1 | 27,415 | 0 | 0 |
| PFIZER INC | C | 717081103 | 232 | 6,510 | SH | | DFND | 1 | 6,510 | 0 | 0 |
| PHILIP MORRIS INTL INC | C | 718172109 | 616 | 5,554 | SH | | DFND | 1 | 5,554 | 0 | 0 |
| PIMCO DYNAMIC INCOME FD | C | 72201Y101 | 353 | 11,430 | SH | | DFND | 1 | 11,430 | 0 | 0 |
| POWERSHARES QQQ TRUST | C | 73935A104 | 1,317 | 9,056 | SH | | DFND | 1 | 9,056 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X344 | 246 | 4,859 | SH | | DFND | 1 | 4,859 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X351 | 213 | 3,151 | SH | | DFND | 1 | 3,151 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X369 | 244 | 4,206 | SH | | DFND | 1 | 4,206 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X377 | 237 | 7,189 | SH | | DFND | 1 | 7,189 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B407 | 573 | 18,862 | SH | | DFND | 1 | 18,862 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B654 | 10 | 252 | SH | | DFND | 1,2 | 252 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B654 | 424 | 10,328 | SH | | DFND | 1 | 10,328 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B712 | 330 | 5,994 | SH | | DFND | 1 | 5,994 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B779 | 581 | 12,698 | SH | | DFND | 1 | 12,698 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B886 | 497 | 5,353 | SH | | DFND | 1 | 5,353 | 0 | 0 |
| PROCTER AND GAMBLE CO | C | 742718109 | 922 | 10,135 | SH | | DFND | 1 | 10,135 | 0 | 0 |
| QUALCOMM INC | C | 747525103 | 2 | 48 | SH | | DFND | 1,2 | 48 | 0 | 0 |
| QUALCOMM INC | C | 747525103 | 210 | 4,048 | SH | | DFND | 1 | 4,048 | 0 | 0 |
| RAYTHEON CO | C | 755111507 | 203 | 1,088 | SH | | DFND | 1 | 1,088 | 0 | 0 |
| REAVES UTIL INCOME FD | C | 756158101 | 11 | 340 | SH | | DFND | 1,2 | 340 | 0 | 0 |
| REAVES UTIL INCOME FD | C | 756158101 | 842 | 26,576 | SH | | DFND | 1 | 26,576 | 0 | 0 |
| RYDEX ETF TRUST | C | 78355W106 | 779 | 8,158 | SH | | DFND | 1 | 8,158 | 0 | 0 |
| SPDR S&P 500 ETF TR | C | 78462F103 | 772 | 3,072 | SH | | DFND | 1 | 3,072 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A359 | 343 | 6,710 | SH | | DFND | 1 | 6,710 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A631 | 251 | 3,145 | SH | | DFND | 1 | 3,145 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A862 | 209 | 3,184 | SH | | DFND | 1 | 3,184 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A870 | 632 | 7,302 | SH | | DFND | 1 | 7,302 | 0 | 0 |
| SSGA ACTIVE ETF TR | C | 78467V400 | 21 | 563 | SH | | DFND | 1,2 | 563 | 0 | 0 |
| SSGA ACTIVE ETF TR | C | 78467V400 | 354 | 9,597 | SH | | DFND | 1 | 9,597 | 0 | 0 |
| SSGA ACTIVE ETF TR | C | 78467V848 | 618 | 12,537 | SH | | DFND | 1 | 12,537 | 0 | 0 |
| SPDR DOW JONES INDL AVRG ETF | C | 78467X109 | 562 | 2,510 | SH | | DFND | 1 | 2,510 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524201 | 455 | 7,584 | SH | | DFND | 1 | 7,584 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y100 | 412 | 7,260 | SH | | DFND | 1 | 7,260 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y209 | 943 | 11,542 | SH | | DFND | 1 | 11,542 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y506 | 523 | 7,633 | SH | | DFND | 1 | 7,633 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y605 | 1,259 | 48,688 | SH | | DFND | 1 | 48,688 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y704 | 851 | 11,989 | SH | | DFND | 1 | 11,989 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y803 | 982 | 16,608 | SH | | DFND | 1 | 16,608 | 0 | 0 |
| SOUTHERN CO | C | 842587107 | 42 | 858 | SH | | DFND | 1,2 | 858 | 0 | 0 |
| SOUTHERN CO | C | 842587107 | 420 | 8,552 | SH | | DFND | 1 | 8,552 | 0 | 0 |
| SPROTT PHYSICAL GOLD TRUST | C | 85207H104 | 282 | 27,050 | SH | | DFND | 1 | 27,050 | 0 | 0 |
| TUPPERWARE BRANDS CORP | C | 899896104 | 305 | 4,936 | SH | | DFND | 1 | 4,936 | 0 | 0 |
| UNITED PARCEL SERVICE INC | C | 911312106 | 3 | 24 | SH | | DFND | 1,2 | 24 | 0 | 0 |
| UNITED PARCEL SERVICE INC | C | 911312106 | 204 | 1,697 | SH | | DFND | 1 | 1,697 | 0 | 0 |
| UNITED TECHNOLOGIES CORP | C | 913017109 | 3 | 26 | SH | | DFND | 1,2 | 26 | 0 | 0 |
| UNITED TECHNOLOGIES CORP | C | 913017109 | 198 | 1,710 | SH | | DFND | 1 | 1,710 | 0 | 0 |
| UNIVERSAL DISPLAY CORP | C | 91347P105 | 223 | 1,727 | SH | | DFND | 1 | 1,727 | 0 | 0 |
| VANGUARD SPECIALIZED PORTFOL | C | 921908844 | 1,182 | 12,466 | SH | | DFND | 1 | 12,466 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937793 | 379 | 4,037 | SH | | DFND | 1 | 4,037 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937819 | 407 | 4,807 | SH | | DFND | 1 | 4,807 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937827 | 660 | 8,273 | SH | | DFND | 1 | 8,273 | 0 | 0 |
| VANGUARD TAX MANAGED INTL FD | C | 921943858 | 269 | 6,192 | SH | | DFND | 1 | 6,192 | 0 | 0 |
| VANGUARD WHITEHALL FDS INC | C | 921946406 | 430 | 5,309 | SH | | DFND | 1 | 5,309 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042775 | 1,487 | 28,208 | SH | | DFND | 1 | 28,208 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | C | 92206C870 | 10 | 114 | SH | | DFND | 1,2 | 114 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | C | 92206C870 | 598 | 6,798 | SH | | DFND | 1 | 6,798 | 0 | 0 |
| VENTAS INC | C | 92276F100 | 277 | 4,259 | SH | | DFND | 1 | 4,259 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908363 | 302 | 1,307 | SH | | DFND | 1 | 1,307 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908629 | 245 | 1,666 | SH | | DFND | 1 | 1,666 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908736 | 384 | 2,894 | SH | | DFND | 1 | 2,894 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908744 | 631 | 6,319 | SH | | DFND | 1 | 6,319 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908751 | 13 | 91 | SH | | DFND | 1,2 | 91 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908751 | 434 | 3,071 | SH | | DFND | 1 | 3,071 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908769 | 257 | 1,986 | SH | | DFND | 1 | 1,986 | 0 | 0 |
| VEREIT INC | C | 92339V100 | 262 | 31,645 | SH | | DFND | 1 | 31,645 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | C | 92343V104 | 573 | 11,580 | SH | | DFND | 1 | 11,580 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N774 | 315 | 7,221 | SH | | DFND | 1 | 7,221 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N782 | 424 | 9,299 | SH | | DFND | 1 | 9,299 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N816 | 202 | 5,926 | SH | | DFND | 1 | 5,926 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N824 | 302 | 6,803 | SH | | DFND | 1 | 6,803 | 0 | 0 |
| WELLS FARGO CO NEW | R | 949746804 | 498 | 379 | SH | | DFND | 1 | 379 | 0 | 0 |
| WYNN RESORTS LTD | C | 983134107 | 235 | 1,577 | SH | | DFND | 1 | 1,577 | 0 | 0 |
| JAZZ PHARMACEUTICALS PLC | C | G50871105 | 213 | 1,454 | SH | | DFND | 1 | 1,454 | 0 | 0 |
| NXP SEMICONDUCTORS N V | C | N6596X109 | 748 | 6,618 | SH | | DFND | 1 | 6,618 | 0 | 0 |
