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: | 03-31-2018 |
| 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 | 04-19-2018 |
| [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: | 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. |
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 |
| ANNALY CAP MGMT INC | C | 035710409 | 119 | 11,417 | SH | | DFND | 1 | 11,417 | 0 | 0 |
| KINDER MORGAN INC DEL | C | 49456B101 | 175 | 11,606 | SH | | DFND | 1 | 11,606 | 0 | 0 |
| VEREIT INC | C | 92339V100 | 187 | 26,913 | SH | | DFND | 1 | 26,913 | 0 | 0 |
| QUALCOMM INC | C | 747525103 | 201 | 3,633 | SH | | DFND | 1 | 3,633 | 0 | 0 |
| COLLECTORS UNIVERSE INC | C | 19421R200 | 203 | 12,939 | SH | | DFND | 1 | 12,939 | 0 | 0 |
| EXPRESS SCRIPTS HLDG CO | C | 30219G108 | 205 | 2,974 | SH | | DFND | 1 | 2,974 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X153 | 206 | 3,905 | SH | | DFND | 1 | 3,905 | 0 | 0 |
| ISHARES GOLD TRUST | C | 464285105 | 206 | 16,185 | SH | | DFND | 1 | 16,185 | 0 | 0 |
| ISHARES TR | C | 464287523 | 209 | 1,162 | SH | | DFND | 1 | 1,162 | 0 | 0 |
| FIRST TR VALUE LINE DIVID IN | C | 33734H106 | 210 | 7,017 | SH | | DFND | 1 | 7,017 | 0 | 0 |
| NXP SEMICONDUCTORS N V | C | N6596X109 | 210 | 1,797 | SH | | DFND | 1 | 1,797 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908751 | 211 | 1,433 | SH | | DFND | 1 | 1,433 | 0 | 0 |
| BP PLC | C | 055622104 | 214 | 5,285 | SH | | DFND | 1 | 5,285 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 336920103 | 215 | 3,137 | SH | | DFND | 1 | 3,137 | 0 | 0 |
| MASTERCARD INCORPORATED | C | 57636Q104 | 220 | 1,258 | SH | | DFND | 1 | 1,258 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042874 | 221 | 3,794 | SH | | DFND | 1 | 3,794 | 0 | 0 |
| FIRST TR BICK INDEX FD | C | 33733H107 | 221 | 7,122 | SH | | DFND | 1 | 7,122 | 0 | 0 |
| VALERO ENERGY CORP NEW | C | 91913Y100 | 225 | 2,427 | SH | | DFND | 1 | 2,427 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y506 | 229 | 3,391 | SH | | DFND | 1 | 3,391 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042866 | 229 | 3,139 | SH | | DFND | 1 | 3,139 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524706 | 229 | 7,980 | SH | | DFND | 1 | 7,980 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733E104 | 230 | 4,542 | SH | | DFND | 1 | 4,542 | 0 | 0 |
| ISHARES TR | C | 46435G565 | 230 | 7,355 | SH | | DFND | 1 | 7,355 | 0 | 0 |
| ISHARES TR | C | 464287598 | 231 | 1,925 | SH | | DFND | 1 | 1,925 | 0 | 0 |
| GENERAL ELECTRIC CO | C | 369604103 | 232 | 17,193 | SH | | DFND | 1 | 17,193 | 0 | 0 |
| PEPSICO INC | C | 713448108 | 234 | 2,147 | SH | | DFND | 1 | 2,147 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J232 | 235 | 4,477 | SH | | DFND | 1 | 4,477 | 0 | 0 |
| FIRST TR SR FLOATING RATE 20 | C | 33740K101 | 235 | 25,115 | SH | | DFND | 1 | 25,115 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y209 | 235 | 2,890 | SH | | DFND | 1 | 2,890 | 0 | 0 |
| ISHARES TR | C | 464288273 | 235 | 3,610 | SH | | DFND | 1 | 3,610 | 0 | 0 |
| SPROTT PHYSICAL GOLD TRUST | C | 85207H104 | 236 | 21,925 | SH | | DFND | 1 | 21,925 | 0 | 0 |
| ISHARES INC | C | 464286533 | 236 | 3,790 | SH | | DFND | 1 | 3,790 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733A102 | 239 | 6,090 | SH | | DFND | 1 | 6,090 | 0 | 0 |
| GENERAL MTRS CO | C | 37045V100 | 240 | 6,602 | SH | | DFND | 1 | 6,602 | 0 | 0 |
| ISHARES TR | C | 464287630 | 242 | 1,987 | SH | | DFND | 1 | 1,987 | 0 | 0 |
| ISHARES TR | C | 464287705 | 244 | 1,579 | SH | | DFND | 1 | 1,579 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J190 | 245 | 4,892 | SH | | DFND | 1 | 4,892 | 0 | 0 |
| CITIGROUP INC | C | 172967424 | 245 | 3,629 | SH | | DFND | 1 | 3,629 | 0 | 0 |
| PFIZER INC | C | 717081103 | 245 | 6,909 | SH | | DFND | 1 | 6,909 | 0 | 0 |
| DOLBY LABORATORIES INC | C | 25659T107 | 246 | 3,867 | SH | | DFND | 1 | 3,867 | 0 | 0 |
| SHOPIFY INC | C | 82509L107 | 247 | 1,986 | SH | | DFND | 1 | 1,986 | 0 | 0 |
| CELGENE CORP | C | 151020104 | 250 | 2,805 | SH | | DFND | 1 | 2,805 | 0 | 0 |
| LOCKHEED MARTIN CORP | C | 539830109 | 251 | 742 | SH | | DFND | 1 | 742 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524300 | 252 | 3,514 | SH | | DFND | 1 | 3,514 | 0 | 0 |
| VANGUARD STAR FD | C | 921909768 | 254 | 4,490 | SH | | DFND | 1 | 4,490 | 0 | 0 |
| VANGUARD WORLD FDS | C | 92204A801 | 254 | 1,970 | SH | | DFND | 1 | 1,970 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X143 | 255 | 3,674 | SH | | DFND | 1 | 3,674 | 0 | 0 |
| ISHARES TR | C | 464287176 | 256 | 2,261 | SH | | DFND | 1 | 2,261 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X419 | 256 | 5,224 | SH | | DFND | 1 | 5,224 | 0 | 0 |
| ISHARES TR | C | 464287655 | 257 | 1,690 | SH | | DFND | 1 | 1,690 | 0 | 0 |
| WALMART INC | C | 931142103 | 260 | 2,922 | SH | | DFND | 1 | 2,922 | 0 | 0 |
| BANK AMER CORP | R | 060505682 | 260 | 202 | SH | | DFND | 1 | 202 | 0 | 0 |
| CONOCOPHILLIPS | C | 20825C104 | 262 | 4,415 | SH | | DFND | 1 | 4,415 | 0 | 0 |
| COSTCO WHSL CORP NEW | C | 22160K105 | 267 | 1,415 | SH | | DFND | 1 | 1,415 | 0 | 0 |
| VANGUARD WHITEHALL FDS INC | C | 921946406 | 268 | 3,243 | SH | | DFND | 1 | 3,243 | 0 | 0 |
| ACCELERATE DIAGNOSTICS INC | C | 00430H102 | 269 | 11,790 | SH | | DFND | 1 | 11,790 | 0 | 0 |
| SALESFORCE COM INC | C | 79466L302 | 269 | 2,317 | SH | | DFND | 1 | 2,317 | 0 | 0 |
| CORNING INC | C | 219350105 | 276 | 9,910 | SH | | DFND | 1 | 9,910 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A763 | 277 | 3,039 | SH | | DFND | 1 | 3,039 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X369 | 278 | 4,636 | SH | | DFND | 1 | 4,636 | 0 | 0 |
| ALIBABA GROUP HLDG LTD | C | 01609W102 | 278 | 1,515 | SH | | DFND | 1 | 1,515 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X377 | 282 | 8,041 | SH | | DFND | 1 | 8,041 | 0 | 0 |
| ARK ETF TR | C | 00214Q401 | 287 | 5,747 | SH | | DFND | 1 | 5,747 | 0 | 0 |
| GILEAD SCIENCES INC | C | 375558103 | 289 | 3,830 | SH | | DFND | 1 | 3,830 | 0 | 0 |
| SOUTHERN CO | C | 842587107 | 290 | 6,489 | SH | | DFND | 1 | 6,489 | 0 | 0 |
| DUKE ENERGY CORP NEW | C | 26441C204 | 294 | 3,789 | SH | | DFND | 1 | 3,789 | 0 | 0 |
| CONSTELLATION BRANDS INC | C | 21036P108 | 295 | 1,293 | SH | | DFND | 1 | 1,293 | 0 | 0 |
| MERCK & CO INC | C | 58933Y105 | 296 | 5,434 | SH | | DFND | 1 | 5,434 | 0 | 0 |
| JAZZ PHARMACEUTICALS PLC | C | G50871105 | 296 | 1,962 | SH | | DFND | 1 | 1,962 | 0 | 0 |
| NUVEEN HIGH INCOME NOVEMBER | C | 67077N106 | 297 | 30,744 | SH | | DFND | 1 | 30,744 | 0 | 0 |
| RAYTHEON CO | C | 755111507 | 298 | 1,380 | SH | | DFND | 1 | 1,380 | 0 | 0 |
| NUTRIEN LTD | C | 67077M108 | 298 | 6,302 | SH | | DFND | 1 | 6,302 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738D309 | 299 | 6,208 | SH | | DFND | 1 | 6,208 | 0 | 0 |
| HANESBRANDS INC | C | 410345102 | 301 | 16,323 | SH | | DFND | 1 | 16,323 | 0 | 0 |
| FIRST TR EXCH TRADED FD III | C | 33739P855 | 306 | 15,700 | SH | | DFND | 1 | 15,700 | 0 | 0 |
| POWERSHARES ETF TRUST | C | 73935X344 | 308 | 5,374 | SH | | DFND | 1 | 5,374 | 0 | 0 |
| MICRON TECHNOLOGY INC | C | 595112103 | 310 | 5,955 | SH | | DFND | 1 | 5,955 | 0 | 0 |
| ALPHABET INC | C | 02079K107 | 315 | 305 | SH | | DFND | 1 | 305 | 0 | 0 |
| ALBEMARLE CORP | C | 012653101 | 316 | 3,409 | SH | | DFND | 1 | 3,409 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908363 | 317 | 1,311 | SH | | DFND | 1 | 1,311 | 0 | 0 |
| KINDER MORGAN INC DEL | R | 49456B200 | 318 | 10,235 | SH | | DFND | 1 | 10,235 | 0 | 0 |
| VANGUARD WORLD FDS | C | 92204A702 | 318 | 1,862 | SH | | DFND | 1 | 1,862 | 0 | 0 |
| CHEVRON CORP NEW | C | 166764100 | 320 | 2,802 | SH | | DFND | 1 | 2,802 | 0 | 0 |
| UNITEDHEALTH GROUP INC | C | 91324P102 | 323 | 1,509 | SH | | DFND | 1 | 1,509 | 0 | 0 |
| UNITED PARCEL SERVICE INC | C | 911312106 | 332 | 3,172 | SH | | DFND | 1 | 3,172 | 0 | 0 |
| AMERICAN INTL GROUP INC | C | 026874784 | 332 | 6,105 | SH | | DFND | 1 | 6,105 | 0 | 0 |
| ISHARES TR | C | 46429B697 | 334 | 6,424 | SH | | DFND | 1 | 6,424 | 0 | 0 |
| ISHARES TR | C | 46429B663 | 336 | 3,976 | SH | | DFND | 1 | 3,976 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908769 | 336 | 2,475 | SH | | DFND | 1 | 2,475 | 0 | 0 |
| SSGA ACTIVE ETF TR | C | 78467V848 | 337 | 7,033 | SH | | DFND | 1 | 7,033 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B712 | 339 | 5,974 | SH | | DFND | 1 | 5,974 | 0 | 0 |
| TETRA TECH INC NEW | C | 88162G103 | 340 | 6,950 | SH | | DFND | 1 | 6,950 | 0 | 0 |
| KROGER CO | C | 501044101 | 341 | 14,231 | SH | | DFND | 1 | 14,231 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524508 | 344 | 6,496 | SH | | DFND | 1 | 6,496 | 0 | 0 |
| DOMINION ENERGY INC | C | 25746U109 | 352 | 5,213 | SH | | DFND | 1 | 5,213 | 0 | 0 |
| PIMCO DYNAMIC INCOME FD | C | 72201Y101 | 353 | 11,430 | SH | | DFND | 1 | 11,430 | 0 | 0 |
| FIRST TR SML CP CORE ALPHA F | C | 33734Y109 | 353 | 5,859 | SH | | DFND | 1 | 5,859 | 0 | 0 |
| MONMOUTH REAL ESTATE INVT CO | C | 609720107 | 353 | 23,474 | SH | | DFND | 1 | 23,474 | 0 | 0 |
| WELLS FARGO CO NEW | R | 949746804 | 353 | 274 | SH | | DFND | 1 | 274 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33739Q507 | 359 | 12,265 | SH | | DFND | 1 | 12,265 | 0 | 0 |
| VANGUARD TAX MANAGED INTL FD | C | 921943858 | 360 | 8,127 | SH | | DFND | 1 | 8,127 | 0 | 0 |
| FORD MTR CO DEL | C | 345370860 | 361 | 32,625 | SH | | DFND | 1 | 32,625 | 0 | 0 |
| FIRST TR DYNAMIC EUROPE EQT | C | 33740D107 | 363 | 20,165 | SH | | DFND | 1 | 20,165 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y100 | 363 | 6,375 | SH | | DFND | 1 | 6,375 | 0 | 0 |
| ISHARES TR | C | 464287879 | 365 | 2,417 | SH | | DFND | 1 | 2,417 | 0 | 0 |
| TUPPERWARE BRANDS CORP | C | 899896104 | 368 | 7,611 | SH | | DFND | 1 | 7,611 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A631 | 369 | 4,242 | SH | | DFND | 1 | 4,242 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B779 | 373 | 7,940 | SH | | DFND | 1 | 7,940 | 0 | 0 |
| BANK AMER CORP | C | 060505104 | 378 | 12,602 | SH | | DFND | 1 | 12,602 | 0 | 0 |
| ISHARES TR | C | 46432F396 | 383 | 3,619 | SH | | DFND | 1 | 3,619 | 0 | 0 |
| ISHARES TR | C | 46432F842 | 384 | 5,829 | SH | | DFND | 1 | 5,829 | 0 | 0 |
| EXXON MOBIL CORP | C | 30231G102 | 387 | 5,187 | SH | | DFND | 1 | 5,187 | 0 | 0 |
| WISDOMTREE TR | C | 97717W604 | 389 | 14,208 | SH | | DFND | 1 | 14,208 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B654 | 401 | 10,158 | SH | | DFND | 1 | 10,158 | 0 | 0 |
| HOME DEPOT INC | C | 437076102 | 403 | 2,263 | SH | | DFND | 1 | 2,263 | 0 | 0 |
| VANECK VECTORS ETF TR | C | 92189F643 | 404 | 9,737 | SH | | DFND | 1 | 9,737 | 0 | 0 |
| DOWDUPONT INC | C | 26078J100 | 405 | 6,360 | SH | | DFND | 1 | 6,360 | 0 | 0 |
| JOHNSON & JOHNSON | C | 478160104 | 408 | 3,180 | SH | | DFND | 1 | 3,180 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J174 | 409 | 6,505 | SH | | DFND | 1 | 6,505 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33739Q200 | 412 | 8,022 | SH | | DFND | 1 | 8,022 | 0 | 0 |
| INTELLIA THERAPEUTICS INC | C | 45826J105 | 414 | 19,620 | SH | | DFND | 1 | 19,620 | 0 | 0 |
| ALTRIA GROUP INC | C | 02209S103 | 415 | 6,660 | SH | | DFND | 1 | 6,660 | 0 | 0 |
| ISHARES TR | C | 464287242 | 419 | 3,567 | SH | | DFND | 1 | 3,567 | 0 | 0 |
| SQUARE INC | C | 852234103 | 431 | 8,765 | SH | | DFND | 1 | 8,765 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N816 | 442 | 12,545 | SH | | DFND | 1 | 12,545 | 0 | 0 |
| CUMMINS INC | C | 231021106 | 442 | 2,729 | SH | | DFND | 1 | 2,729 | 0 | 0 |
| ALPHABET INC | C | 02079K305 | 443 | 427 | SH | | DFND | 1 | 427 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X150 | 444 | 11,214 | SH | | DFND | 1 | 11,214 | 0 | 0 |
| FIRST TR MID CAP CORE ALPHAD | C | 33735B108 | 445 | 6,801 | SH | | DFND | 1 | 6,801 | 0 | 0 |
| AMGEN INC | C | 031162100 | 451 | 2,644 | SH | | DFND | 1 | 2,644 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R605 | 457 | 15,909 | SH | | DFND | 1 | 15,909 | 0 | 0 |
| INTEL CORP | C | 458140100 | 460 | 8,826 | SH | | DFND | 1 | 8,826 | 0 | 0 |
| ISHARES TR | C | 46434V803 | 463 | 16,133 | SH | | DFND | 1 | 16,133 | 0 | 0 |
| SCHWAB STRATEGIC TR | C | 808524607 | 470 | 6,805 | SH | | DFND | 1 | 6,805 | 0 | 0 |
| FIRST TR NASDAQ100 TECH INDE | C | 337345102 | 479 | 6,303 | SH | | DFND | 1 | 6,303 | 0 | 0 |
| ISHARES TR | C | 464287614 | 480 | 3,527 | SH | | DFND | 1 | 3,527 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908629 | 484 | 3,138 | SH | | DFND | 1 | 3,138 | 0 | 0 |
| ISHARES INC | C | 46434G103 | 484 | 8,293 | SH | | DFND | 1 | 8,293 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908736 | 485 | 3,420 | SH | | DFND | 1 | 3,420 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A826 | 488 | 16,815 | SH | | DFND | 1 | 16,815 | 0 | 0 |
| PHILIP MORRIS INTL INC | C | 718172109 | 495 | 4,982 | SH | | DFND | 1 | 4,982 | 0 | 0 |
| ARK ETF TR | C | 00214Q104 | 496 | 12,705 | SH | | DFND | 1 | 12,705 | 0 | 0 |
| FIRST TR LRG CP VL ALPHADEX | C | 33735J101 | 511 | 9,695 | SH | | DFND | 1 | 9,695 | 0 | 0 |
| BOEING CO | C | 097023105 | 514 | 1,568 | SH | | DFND | 1 | 1,568 | 0 | 0 |
| GLOBAL X FDS | C | 37954Y855 | 518 | 15,691 | SH | | DFND | 1 | 15,691 | 0 | 0 |
| DISH NETWORK CORP | C | 25470M109 | 521 | 13,748 | SH | | DFND | 1 | 13,748 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B886 | 531 | 4,768 | SH | | DFND | 1 | 4,768 | 0 | 0 |
| DISNEY WALT CO | C | 254687106 | 531 | 5,289 | SH | | DFND | 1 | 5,289 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33738R860 | 537 | 18,204 | SH | | DFND | 1 | 18,204 | 0 | 0 |
| BARCLAYS BK PLC | R | 06742A669 | 548 | 4,690 | SH | | DFND | 1 | 4,690 | 0 | 0 |
| ISHARES TR | C | 464288810 | 549 | 2,968 | SH | | DFND | 1 | 2,968 | 0 | 0 |
| CISCO SYS INC | C | 17275R102 | 559 | 13,031 | SH | | DFND | 1 | 13,031 | 0 | 0 |
| VANGUARD BD INDEX FD INC | C | 921937827 | 559 | 7,126 | SH | | DFND | 1 | 7,126 | 0 | 0 |
| NVIDIA CORP | C | 67066G104 | 562 | 2,428 | SH | | DFND | 1 | 2,428 | 0 | 0 |
| INFOSYS LTD | C | 456788108 | 599 | 33,548 | SH | | DFND | 1 | 33,548 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | C | 92206C870 | 609 | 7,182 | SH | | DFND | 1 | 7,182 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y407 | 611 | 6,031 | SH | | DFND | 1 | 6,031 | 0 | 0 |
| ISHARES TR | C | 464287507 | 616 | 3,286 | SH | | DFND | 1 | 3,286 | 0 | 0 |
| POWERSHARES ETF TR II | C | 73937B670 | 617 | 29,575 | SH | | DFND | 1 | 29,575 | 0 | 0 |
| MICROSOFT CORP | C | 594918104 | 622 | 6,819 | SH | | DFND | 1 | 6,819 | 0 | 0 |
| FACEBOOK INC | C | 30303M102 | 632 | 3,956 | SH | | DFND | 1 | 3,956 | 0 | 0 |
| ISHARES TR | C | 464287226 | 650 | 6,060 | SH | | DFND | 1 | 6,060 | 0 | 0 |
| VANGUARD INDEX FDS | C | 922908744 | 657 | 6,372 | SH | | DFND | 1 | 6,372 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A610 | 662 | 24,877 | SH | | DFND | 1 | 24,877 | 0 | 0 |
| FIRST TR EXCH TRD ALPHA FD I | C | 33737J117 | 665 | 16,783 | SH | | DFND | 1 | 16,783 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | C | 92343V104 | 669 | 13,980 | SH | | DFND | 1 | 13,980 | 0 | 0 |
| POWERSHARES ETF TRUST II | C | 73936Q108 | 670 | 24,039 | SH | | DFND | 1 | 24,039 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | C | 084670702 | 672 | 3,367 | SH | | DFND | 1 | 3,367 | 0 | 0 |
| FIRST TR LRG CP GRWTH ALPHAD | C | 33735K108 | 673 | 10,549 | SH | | DFND | 1 | 10,549 | 0 | 0 |
| ABBVIE INC | C | 00287Y109 | 678 | 7,167 | SH | | DFND | 1 | 7,167 | 0 | 0 |
| ISHARES TR | C | 464287234 | 679 | 14,072 | SH | | DFND | 1 | 14,072 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N774 | 689 | 15,541 | SH | | DFND | 1 | 15,541 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N824 | 700 | 15,432 | SH | | DFND | 1 | 15,432 | 0 | 0 |
| NETFLIX INC | C | 64110L106 | 707 | 2,393 | SH | | DFND | 1 | 2,393 | 0 | 0 |
| ISHARES TR | C | 464287606 | 719 | 3,293 | SH | | DFND | 1 | 3,293 | 0 | 0 |
| SPDR SERIES TRUST | C | 78464A870 | 731 | 8,327 | SH | | DFND | 1 | 8,327 | 0 | 0 |
| JP MORGAN EXCHANGE TRADED FD | C | 46641Q837 | 751 | 15,004 | SH | | DFND | 1 | 15,004 | 0 | 0 |
| FIRST TR LRGE CP CORE ALPHA | C | 33734K109 | 812 | 13,903 | SH | | DFND | 1 | 13,903 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33733E302 | 821 | 6,813 | SH | | DFND | 1 | 6,813 | 0 | 0 |
| ISHARES TR | C | 464287408 | 842 | 7,702 | SH | | DFND | 1 | 7,702 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X192 | 876 | 18,097 | SH | | DFND | 1 | 18,097 | 0 | 0 |
| REAVES UTIL INCOME FD | C | 756158101 | 882 | 31,241 | SH | | DFND | 1 | 31,241 | 0 | 0 |
| SPDR S&P 500 ETF TR | C | 78462F103 | 887 | 3,370 | SH | | DFND | 1 | 3,370 | 0 | 0 |
| NUTANIX INC | C | 67059N108 | 894 | 18,196 | SH | | DFND | 1 | 18,196 | 0 | 0 |
| FIRST TR EXCHANGE TRADED FD | C | 33734X176 | 922 | 16,764 | SH | | DFND | 1 | 16,764 | 0 | 0 |
| MONSANTO CO NEW | C | 61166W101 | 928 | 7,952 | SH | | DFND | 1 | 7,952 | 0 | 0 |
| AT&T INC | C | 00206R102 | 945 | 26,502 | SH | | DFND | 1 | 26,502 | 0 | 0 |
| ISHARES TR | C | 464287804 | 973 | 12,633 | SH | | DFND | 1 | 12,633 | 0 | 0 |
| VICTORY PORTFOLIOS II | C | 92647N782 | 979 | 20,033 | SH | | DFND | 1 | 20,033 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y704 | 996 | 13,413 | SH | | DFND | 1 | 13,413 | 0 | 0 |
| NUVEEN S&P 500 BUY-WRITE INC | C | 6706ER101 | 1,009 | 75,767 | SH | | DFND | 1 | 75,767 | 0 | 0 |
| PROCTER AND GAMBLE CO | C | 742718109 | 1,080 | 13,626 | SH | | DFND | 1 | 13,626 | 0 | 0 |
| ISHARES TR | C | 464287465 | 1,085 | 15,577 | SH | | DFND | 1 | 15,577 | 0 | 0 |
| JPMORGAN CHASE & CO | C | 46625H100 | 1,096 | 9,970 | SH | | DFND | 1 | 9,970 | 0 | 0 |
| ISHARES TR | C | 464288760 | 1,106 | 5,587 | SH | | DFND | 1 | 5,587 | 0 | 0 |
| VANGUARD GROUP | C | 921908844 | 1,161 | 11,490 | SH | | DFND | 1 | 11,490 | 0 | 0 |
| BLACKSTONE GROUP L P | C | 09253U108 | 1,179 | 36,887 | SH | | DFND | 1 | 36,887 | 0 | 0 |
| RYDEX ETF TRUST | C | 78355W106 | 1,190 | 11,961 | SH | | DFND | 1 | 11,961 | 0 | 0 |
| ISHARES TR | C | 464287309 | 1,230 | 7,930 | SH | | DFND | 1 | 7,930 | 0 | 0 |
| SPDR DOW JONES INDL AVRG ETF | C | 78467X109 | 1,266 | 5,244 | SH | | DFND | 1 | 5,244 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y605 | 1,390 | 50,407 | SH | | DFND | 1 | 50,407 | 0 | 0 |
| SELECT SECTOR SPDR TR | C | 81369Y803 | 1,467 | 22,427 | SH | | DFND | 1 | 22,427 | 0 | 0 |
| POWERSHARES QQQ TRUST | C | 73935A104 | 1,532 | 9,567 | SH | | DFND | 1 | 9,567 | 0 | 0 |
| ISHARES TR | C | 464288687 | 1,584 | 42,162 | SH | | DFND | 1 | 42,162 | 0 | 0 |
| ETF SER SOLUTIONS | C | 26922A784 | 1,612 | 50,793 | SH | | DFND | 1 | 50,793 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | C | 922042775 | 1,614 | 29,685 | SH | | DFND | 1 | 29,685 | 0 | 0 |
| ISHARES TR | C | 464287200 | 1,637 | 6,170 | SH | | DFND | 1 | 6,170 | 0 | 0 |
| AMAZON COM INC | C | 023135106 | 1,672 | 1,155 | SH | | DFND | 1 | 1,155 | 0 | 0 |
| APPLE INC | C | 037833100 | 2,521 | 15,026 | SH | | DFND | 1 | 15,026 | 0 | 0 |
