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: | 12-31-2017 |
| 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 | 02-09-2018 |
| [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: | 1 | | |
| Form 13F Information Table Entry Total: | 195 |
| Form 13F Information Table Value Total: | 95,830 |
| (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. |
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 |
| ALBEMARLE CORP | C | 012653101 | 300 | 2,342 | SH | | DFND | 1 | 2,342 | 0 | 0 |
| AMAZON COM INC | C | 023135106 | 1,138 | 973 | SH | | DFND | 1 | 973 | 0 | 0 |
| AMERICAN INTL GROUP INC | C | 026874784 | 364 | 6,105 | SH | | DFND | 1 | 6,105 | 0 | 0 |
| AMGEN INC | C | 031162100 | 334 | 1,923 | SH | | DFND | 1 | 1,923 | 0 | 0 |
| ANNALY CAP MGMT INC | C | 035710409 | 177 | 14,875 | SH | | DFND | 1 | 14,875 | 0 | 0 |
| APPLE INC | C | 037833100 | 2,513 | 14,850 | SH | | DFND | 1 | 14,850 | 0 | 0 |
| BP PLC | C | 055622104 | 220 | 5,230 | SH | | DFND | 1 | 5,230 | 0 | 0 |
| BANK AMER CORP | C | 060505104 | 350 | 11,849 | SH | | DFND | 1 | 11,849 | 0 | 0 |
| BANK AMER CORP | R | 060505682 | 398 | 302 | SH | | DFND | 1 | 302 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | C | 084670702 | 671 | 3,387 | SH | | DFND | 1 | 3,387 | 0 | 0 |
| BOEING CO | C | 097023105 | 517 | 1,753 | SH | | DFND | 1 | 1,753 | 0 | 0 |
| CHEVRON CORP NEW | C | 166764100 | 399 | 3,188 | SH | | DFND | 1 | 3,188 | 0 | 0 |
| CITIGROUP INC | C | 172967424 | 250 | 3,354 | SH | | DFND | 1 | 3,354 | 0 | 0 |
| CORNING INC | C | 219350105 | 282 | 8,819 | SH | | DFND | 1 | 8,819 | 0 | 0 |
| CUMMINS INC | C | 231021106 | 408 | 2,312 | SH | | DFND | 1 | 2,312 | 0 | 0 |
| DISNEY WALT CO | C | 254687106 | 560 | 5,204 | SH | | DFND | 1 | 5,204 | 0 | 0 |
| FIRST TR NASDAQ100 TECH INDE | C | 337345102 | 471 | 6,551 | SH | | DFND | 1 | 6,551 | 0 | 0 |
| FORD MTR CO DEL | C | 345370860 | 421 | 33,687 | SH | | DFND | 1 | 33,687 | 0 | 0 |
| GENERAL ELECTRIC CO | C | 369604103 | 394 | 22,572 | SH | | DFND | 1 | 22,572 | 0 | 0 |
| GILEAD SCIENCES INC | C | 375558103 | 267 | 3,727 | SH | | DFND | 1 | 3,727 | 0 | 0 |
| HANESBRANDS INC | C | 410345102 | 248 | 11,879 | SH | | DFND | 1 | 11,879 | 0 | 0 |
| HOME DEPOT INC | C | 437076102 | 386 | 2,039 | SH | | DFND | 1 | 2,039 | 0 | 0 |
| INFOSYS LTD | C | 456788108 | 542 | 33,386 | SH | | DFND | 1 | 33,386 | 0 | 0 |
| INTEL CORP | C | 458140100 | 393 | 8,524 | SH | | DFND | 1 | 8,524 | 0 | 0 |
| ISHARES GOLD TRUST | C | 464285105 | 201 | 16,085 | SH | | DFND | 1 | 16,085 | 0 | 0 |
| ISHARES INC | C | 464286533 | 248 | 4,085 | SH | | DFND | 1 | 4,085 | 0 | 0 |
| ISHARES TR | C | 464287150 | 901 | 14,735 | SH | | DFND | 1 | 14,735 | 0 | 0 |
| ISHARES TR | C | 464287176 | 216 | 1,892 | SH | | DFND | 1 | 1,892 | 0 | 0 |
| ISHARES TR | C | 464287200 | 1,599 | 5,948 | SH | | DFND | 1 | 5,948 | 0 | 0 |
| ISHARES TR | C | 464287226 | 598 | 5,467 | SH | | DFND | 1 | 5,467 | 0 | 0 |
| ISHARES TR | C | 464287234 | 351 | 7,457 | SH | | DFND | 1 | 7,457 | 0 | 0 |
| ISHARES TR | C | 464287242 | 296 | 2,433 | SH | | DFND | 1 | 2,433 | 0 | 0 |
| ISHARES TR | C | 464287309 | 915 | 5,990 | SH | | DFND | 1 | 5,990 | 0 | 0 |
| ISHARES TR | C | 464287408 | 683 | 5,983 | SH | | DFND | 1 | 5,983 | 0 | 0 |
| ISHARES TR | C | 464287440 | 302 | 2,860 | SH | | DFND | 1 | 2,860 | 0 | 0 |
| ISHARES TR | C | 464287465 | 652 | 9,277 | SH | | DFND | 1 | 9,277 | 0 | 0 |
| ISHARES TR | C | 464287507 | 539 | 2,839 | SH | | DFND | 1 | 2,839 | 0 | 0 |
| ISHARES TR | C | 464287598 | 239 | 1,925 | SH | | DFND | 1 | 1,925 | 0 | 0 |
| ISHARES TR | C | 464287606 | 587 | 2,721 | SH | | DFND | 1 | 2,721 | 0 | 0 |
| ISHARES TR | C | 464287614 | 471 | 3,496 | SH | | DFND | 1 | 3,496 | 0 | 0 |
| ISHARES TR | C | 464287622 | 200 | 1,345 | SH | | DFND | 1 | 1,345 | 0 | 0 |
| ISHARES TR | C | 464287630 | 257 | 2,042 | SH | | DFND | 1 | 2,042 | 0 | 0 |
| ISHARES TR | C | 464287655 | 246 | 1,616 | SH | | DFND | 1 | 1,616 | 0 | 0 |
| ISHARES TR | C | 464287705 | 220 | 1,371 | SH | | DFND | 1 | 1,371 | 0 | 0 |
| ISHARES TR | C | 464287804 | 1,023 | 13,323 | SH | | DFND | 1 | 13,323 | 0 | 0 |
| ISHARES TR | C | 464287879 | 371 | 2,417 | SH | | DFND | 1 | 2,417 | 0 | 0 |
| ISHARES TR | C | 464288687 | 1,601 | 42,057 | SH | | DFND | 1 | 42,057 | 0 | 0 |
| ISHARES TR | C | 464288760 | 903 | 4,803 | SH | | DFND | 1 | 4,803 | 0 | 0 |
| ISHARES TR | C | 464288810 | 548 | 3,159 | SH | | DFND | 1 | 3,159 | 0 | 0 |
| JOHNSON & JOHNSON | C | 478160104 | 406 | 2,905 | SH | | DFND | 1 | 2,905 | 0 | 0 |
| KROGER CO | C | 501044101 | 394 | 14,367 | SH | | DFND | 1 | 14,367 | 0 | 0 |
| MICROSOFT CORP | C | 594918104 | 549 | 6,415 | SH | | DFND | 1 | 6,415 | 0 | 0 |
| MONMOUTH REAL ESTATE INVT CO | C | 609720107 | 427 | 23,974 | SH | | DFND | 1 | 23,974 | 0 | 0 |
| PEPSICO INC | C | 713448108 | 236 | 1,971 | SH | | DFND | 1 | 1,971 | 0 | 0 |
| PFIZER INC | C | 717081103 | 229 | 6,317 | SH | | DFND | 1 | 6,317 | 0 | 0 |
| PHILIP MORRIS INTL INC | C | 718172109 | 552 | 5,226 | SH | | DFND | 1 | 5,226 | 0 | 0 |
| PROCTER AND GAMBLE CO | C | 742718109 | 982 | 10,684 | SH | | DFND | 1 | 10,684 | 0 | 0 |
| QUALCOMM INC | C | 747525103 | 289 | 4,516 | SH | | DFND | 1 | 4,516 | 0 | 0 |
| RAYTHEON CO | C | 755111507 | 249 | 1,327 | SH | | DFND | 1 | 1,327 | 0 | 0 |
| REAVES UTIL INCOME FD | C | 756158101 | 942 | 30,447 | SH | | DFND | 1 | 30,447 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524201 | 390 | 6,116 | SH | | DFND | 1 | 6,116 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524508 | 341 | 6,407 | SH | | DFND | 1 | 6,407 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524607 | 435 | 6,234 | SH | | DFND | 1 | 6,234 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524706 | 238 | 8,518 | SH | | DFND | 1 | 8,518 | 0 | 0 |
| SOUTHERN CO | C | 842587107 | 346 | 7,192 | SH | | DFND | 1 | 7,192 | 0 | 0 |
| SQUARE INC | C | 852234103 | 264 | 7,605 | SH | | DFND | 1 | 7,605 | 0 | 0 |
| TORO CO | C | 891092108 | 203 | 3,110 | SH | | DFND | 1 | 3,110 | 0 | 0 |
| TUPPERWARE BRANDS CORP | C | 899896104 | 321 | 5,120 | SH | | DFND | 1 | 5,120 | 0 | 0 |
| UNITED PARCEL SERVICE INC | C | 911312106 | 264 | 2,212 | SH | | DFND | 1 | 2,212 | 0 | 0 |
| UNITED TECHNOLOGIES CORP | C | 913017109 | 204 | 1,596 | SH | | DFND | 1 | 1,596 | 0 | 0 |
| VANGUARD SPECIALIZED FUNDS | C | 921908844 | 1,287 | 12,610 | SH | | DFND | 1 | 12,610 | 0 | 0 |
| VANGUARD STAR FD | C | 921909768 | 267 | 4,701 | SH | | DFND | 1 | 4,701 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937819 | 414 | 4,943 | SH | | DFND | 1 | 4,943 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937827 | 670 | 8,471 | SH | | DFND | 1 | 8,471 | 0 | 0 |
| VANGUARD TAX MANAGED INTL FD | C | 921943858 | 316 | 7,041 | SH | | DFND | 1 | 7,041 | 0 | 0 |
| VANGUARD WHITEHALL FDS INC | C | 921946406 | 474 | 5,531 | SH | | DFND | 1 | 5,531 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042775 | 1,833 | 33,505 | SH | | DFND | 1 | 33,505 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042866 | 245 | 3,359 | SH | | DFND | 1 | 3,359 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042874 | 236 | 3,985 | SH | | DFND | 1 | 3,985 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908363 | 315 | 1,283 | SH | | DFND | 1 | 1,283 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908629 | 498 | 3,220 | SH | | DFND | 1 | 3,220 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908736 | 481 | 3,423 | SH | | DFND | 1 | 3,423 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908744 | 672 | 6,322 | SH | | DFND | 1 | 6,322 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908751 | 203 | 1,377 | SH | | DFND | 1 | 1,377 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908769 | 296 | 2,158 | SH | | DFND | 1 | 2,158 | 0 | 0 |
| WAL-MART STORES INC | C | 931142103 | 275 | 2,787 | SH | | DFND | 1 | 2,787 | 0 | 0 |
| WELLS FARGO CO NEW | R | 949746804 | 482 | 368 | SH | | DFND | 1 | 368 | 0 | 0 |
| WYNN RESORTS LTD | C | 983134107 | 320 | 1,896 | SH | | DFND | 1 | 1,896 | 0 | 0 |
| AMERISOURCEBERGEN CORP | C | 03073E105 | 211 | 2,295 | SH | | DFND | 1 | 2,295 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733E302 | 1,282 | 11,665 | SH | | DFND | 1 | 11,665 | 0 | 0 |
| AT&T INC | C | 00206R102 | 988 | 25,418 | SH | | DFND | 1 | 25,418 | 0 | 0 |
| ARK ETF TR | C | 00214Q104 | 317 | 8,548 | SH | | DFND | 1 | 8,548 | 0 | 0 |
| ARK ETF TR | C | 00214Q401 | 279 | 6,049 | SH | | DFND | 1 | 6,049 | 0 | 0 |
| ABBVIE INC | C | 00287Y109 | 857 | 8,858 | SH | | DFND | 1 | 8,858 | 0 | 0 |
| ACCELERATE DIAGNOSTICS INC | C | 00430H102 | 309 | 11,790 | SH | | DFND | 1 | 11,790 | 0 | 0 |
| ALPHABET INC | C | 02079K107 | 271 | 259 | SH | | DFND | 1 | 259 | 0 | 0 |
| ALPHABET INC | C | 02079K305 | 386 | 366 | SH | | DFND | 1 | 366 | 0 | 0 |
| ALTRIA GROUP INC | C | 02209S103 | 519 | 7,273 | SH | | DFND | 1 | 7,273 | 0 | 0 |
| ARCONIC INC | C | 03965L100 | 219 | 8,036 | SH | | DFND | 1 | 8,036 | 0 | 0 |
| BARCLAYS BK PLC | R | 06742A669 | 558 | 4,792 | SH | | DFND | 1 | 4,792 | 0 | 0 |
| BLACKSTONE GROUP L P | C | 09253U108 | 1,168 | 36,483 | SH | | DFND | 1 | 36,483 | 0 | 0 |
| CISCO SYS INC | C | 17275R102 | 421 | 10,993 | SH | | DFND | 1 | 10,993 | 0 | 0 |
| CONOCOPHILLIPS | C | 20825C104 | 286 | 5,212 | SH | | DFND | 1 | 5,212 | 0 | 0 |
| CONSTELLATION BRANDS INC | C | 21036P108 | 205 | 897 | SH | | DFND | 1 | 897 | 0 | 0 |
| COSTCO WHSL CORP NEW | C | 22160K105 | 235 | 1,262 | SH | | DFND | 1 | 1,262 | 0 | 0 |
| DOLBY LABORATORIES INC | C | 25659T107 | 237 | 3,829 | SH | | DFND | 1 | 3,829 | 0 | 0 |
| DOMINION ENERGY INC | C | 25746U109 | 411 | 5,075 | SH | | DFND | 1 | 5,075 | 0 | 0 |
| DOWDUPONT INC | C | 26078J100 | 324 | 4,556 | SH | | DFND | 1 | 4,556 | 0 | 0 |
| DUKE ENERGY CORP NEW | C | 26441C204 | 294 | 3,495 | SH | | DFND | 1 | 3,495 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A784 | 1,694 | 55,857 | SH | | DFND | 1 | 55,857 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A826 | 352 | 14,813 | SH | | DFND | 1 | 14,813 | 0 | 0 |
| EXXON MOBIL CORP | C | 30231G102 | 427 | 5,109 | SH | | DFND | 1 | 5,109 | 0 | 0 |
| FACEBOOK INC | C | 30303M102 | 1,216 | 6,890 | SH | | DFND | 1 | 6,890 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733A102 | 226 | 5,698 | SH | | DFND | 1 | 5,698 | 0 | 0 |
| FIRST TR S&P REIT INDEX FD | C | 33734G108 | 369 | 15,850 | SH | | DFND | 1 | 15,850 | 0 | 0 |
| FIRST TR LRGE CP CORE ALPHA | C | 33734K109 | 561 | 9,588 | SH | | DFND | 1 | 9,588 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X150 | 474 | 11,682 | SH | | DFND | 1 | 11,682 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X176 | 730 | 14,219 | SH | | DFND | 1 | 14,219 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X192 | 881 | 19,201 | SH | | DFND | 1 | 19,201 | 0 | 0 |
| FIRST TR SML CP CORE ALPHA F | C | 33734Y109 | 204 | 3,327 | SH | | DFND | 1 | 3,327 | 0 | 0 |
| FIRST TR MID CAP CORE ALPHAD | C | 33735B108 | 266 | 4,050 | SH | | DFND | 1 | 4,050 | 0 | 0 |
| FIRST TR LRG CP VL ALPHADEX | C | 33735J101 | 314 | 5,749 | SH | | DFND | 1 | 5,749 | 0 | 0 |
| FIRST TR LRG CP GRWTH ALPHAD | C | 33735K108 | 401 | 6,558 | SH | | DFND | 1 | 6,558 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J117 | 403 | 10,311 | SH | | DFND | 1 | 10,311 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J174 | 327 | 5,244 | SH | | DFND | 1 | 5,244 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J190 | 235 | 4,582 | SH | | DFND | 1 | 4,582 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J232 | 222 | 4,205 | SH | | DFND | 1 | 4,205 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738D309 | 208 | 4,335 | SH | | DFND | 1 | 4,335 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R605 | 316 | 11,454 | SH | | DFND | 1 | 11,454 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R860 | 471 | 16,028 | SH | | DFND | 1 | 16,028 | 0 | 0 |
| FIRST TR EXCH TRADED FD III | C | 33739P855 | 262 | 13,000 | SH | | DFND | 1 | 13,000 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33739Q200 | 287 | 5,554 | SH | | DFND | 1 | 5,554 | 0 | 0 |
| FIRST TR DYNAMIC EUROPE EQT | C | 33740D107 | 339 | 17,984 | SH | | DFND | 1 | 17,984 | 0 | 0 |
| FIRST TR SR FLOATING RATE 20 | C | 33740K101 | 229 | 25,115 | SH | | DFND | 1 | 25,115 | 0 | 0 |
| GENERAL MTRS CO | C | 37045V100 | 307 | 7,496 | SH | | DFND | 1 | 7,496 | 0 | 0 |
| GLOBAL X FDS | C | 37954Y855 | 575 | 14,846 | SH | | DFND | 1 | 14,846 | 0 | 0 |
| INTELLIA THERAPEUTICS INC | C | 45826J105 | 353 | 18,365 | SH | | DFND | 1 | 18,365 | 0 | 0 |
| ISHARES TR | C | 46429B663 | 354 | 3,930 | SH | | DFND | 1 | 3,930 | 0 | 0 |
| ISHARES TR | C | 46429B697 | 206 | 3,906 | SH | | DFND | 1 | 3,906 | 0 | 0 |
| ISHARES TR | C | 46432F842 | 347 | 5,248 | SH | | DFND | 1 | 5,248 | 0 | 0 |
| ISHARES INC | C | 46434G103 | 501 | 8,800 | SH | | DFND | 1 | 8,800 | 0 | 0 |
| ISHARES TR | C | 46434V803 | 411 | 13,841 | SH | | DFND | 1 | 13,841 | 0 | 0 |
| JPMORGAN CHASE & CO | C | 46625H100 | 997 | 9,322 | SH | | DFND | 1 | 9,322 | 0 | 0 |
| KINDER MORGAN INC DEL | R | 49456B200 | 434 | 11,421 | SH | | DFND | 1 | 11,421 | 0 | 0 |
| MERCK & CO INC | C | 58933Y105 | 301 | 5,347 | SH | | DFND | 1 | 5,347 | 0 | 0 |
| MONSANTO CO NEW | C | 61166W101 | 1,016 | 8,698 | SH | | DFND | 1 | 8,698 | 0 | 0 |
| NETFLIX INC | C | 64110L106 | 375 | 1,954 | SH | | DFND | 1 | 1,954 | 0 | 0 |
| NUTANIX INC | C | 67059N108 | 866 | 24,541 | SH | | DFND | 1 | 24,541 | 0 | 0 |
| NVIDIA CORP | C | 67066G104 | 381 | 1,968 | SH | | DFND | 1 | 1,968 | 0 | 0 |
| NUVEEN S&P 500 BUY-WRITE INC | C | 6706ER101 | 907 | 63,616 | SH | | DFND | 1 | 63,616 | 0 | 0 |
| NUVEEN HIGH INCOME NOVEMBER | C | 67077N106 | 314 | 31,520 | SH | | DFND | 1 | 31,520 | 0 | 0 |
| PIMCO DYNAMIC INCOME FD | C | 72201Y101 | 343 | 11,430 | SH | | DFND | 1 | 11,430 | 0 | 0 |
| POWERSHARES QQQ TRUST | C | 73935A104 | 1,466 | 9,410 | SH | | DFND | 1 | 9,410 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X344 | 277 | 5,266 | SH | | DFND | 1 | 5,266 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X369 | 277 | 4,537 | SH | | DFND | 1 | 4,537 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X377 | 276 | 7,862 | SH | | DFND | 1 | 7,862 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X419 | 257 | 5,107 | SH | | DFND | 1 | 5,107 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B407 | 602 | 19,599 | SH | | DFND | 1 | 19,599 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B654 | 438 | 10,332 | SH | | DFND | 1 | 10,332 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B712 | 283 | 5,052 | SH | | DFND | 1 | 5,052 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B779 | 379 | 7,940 | SH | | DFND | 1 | 7,940 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B886 | 391 | 3,967 | SH | | DFND | 1 | 3,967 | 0 | 0 |
| RYDEX ETF TRUST | C | 78355W106 | 1,215 | 12,023 | SH | | DFND | 1 | 12,023 | 0 | 0 |
| SPDR S&P 500 ETF TR | C | 78462F103 | 764 | 2,864 | SH | | DFND | 1 | 2,864 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A359 | 340 | 6,710 | SH | | DFND | 1 | 6,710 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A631 | 225 | 2,696 | SH | | DFND | 1 | 2,696 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A870 | 502 | 5,914 | SH | | DFND | 1 | 5,914 | 0 | 0 |
| SSGA ACTIVE ETF TR | C | 78467V848 | 716 | 14,718 | SH | | DFND | 1 | 14,718 | 0 | 0 |
| SPDR DOW JONES INDL AVRG ETF | C | 78467X109 | 862 | 3,484 | SH | | DFND | 1 | 3,484 | 0 | 0 |
| SALESFORCE COM INC | C | 79466L302 | 260 | 2,539 | SH | | DFND | 1 | 2,539 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y100 | 551 | 9,101 | SH | | DFND | 1 | 9,101 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y209 | 444 | 5,376 | SH | | DFND | 1 | 5,376 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y407 | 556 | 5,634 | SH | | DFND | 1 | 5,634 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y506 | 367 | 5,080 | SH | | DFND | 1 | 5,080 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y605 | 1,400 | 50,152 | SH | | DFND | 1 | 50,152 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y704 | 1,051 | 13,888 | SH | | DFND | 1 | 13,888 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y803 | 1,573 | 24,600 | SH | | DFND | 1 | 24,600 | 0 | 0 |
| SHOPIFY INC | C | 82509L107 | 351 | 3,478 | SH | | DFND | 1 | 3,478 | 0 | 0 |
| SPROTT PHYSICAL GOLD TRUST | C | 85207H104 | 286 | 27,050 | SH | | DFND | 1 | 27,050 | 0 | 0 |
| UNITEDHEALTH GROUP INC | C | 91324P102 | 283 | 1,283 | SH | | DFND | 1 | 1,283 | 0 | 0 |
| UNIVERSAL DISPLAY CORP | C | 91347P105 | 281 | 1,627 | SH | | DFND | 1 | 1,627 | 0 | 0 |
| VALERO ENERGY CORP NEW | C | 91913Y100 | 209 | 2,273 | SH | | DFND | 1 | 2,273 | 0 | 0 |
| VANECK VECTORS ETF TR | C | 92189F643 | 430 | 10,140 | SH | | DFND | 1 | 10,140 | 0 | 0 |
| VANGUARD WORLD FDS | C | 92204A702 | 340 | 2,063 | SH | | DFND | 1 | 2,063 | 0 | 0 |
| VANGUARD WORLD FDS | C | 92204A801 | 269 | 1,970 | SH | | DFND | 1 | 1,970 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | C | 92206C870 | 634 | 7,258 | SH | | DFND | 1 | 7,258 | 0 | 0 |
| VENTAS INC | C | 92276F100 | 212 | 3,535 | SH | | DFND | 1 | 3,535 | 0 | 0 |
| VEREIT INC | C | 92339V100 | 245 | 31,465 | SH | | DFND | 1 | 31,465 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | C | 92343V104 | 685 | 12,941 | SH | | DFND | 1 | 12,941 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N774 | 395 | 8,754 | SH | | DFND | 1 | 8,754 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N782 | 549 | 11,254 | SH | | DFND | 1 | 11,254 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N816 | 250 | 7,116 | SH | | DFND | 1 | 7,116 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N824 | 385 | 8,302 | SH | | DFND | 1 | 8,302 | 0 | 0 |
| WISDOMTREE TR | C | 97717W604 | 298 | 10,252 | SH | | DFND | 1 | 10,252 | 0 | 0 |
| NXP SEMICONDUCTORS N V | C | N6596X109 | 362 | 3,092 | SH | | DFND | 1 | 3,092 | 0 | 0 |
