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: | 12-31-2018 |
| 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 | 01-15-2019 |
| [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 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 406 | 16,533 | SH | | DFND | 1 | 0 | 0 | 16,533 |
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 353 | 280 | SH | | DFND | 1 | 0 | 0 | 280 |
| WALMART INC | COM | 931142103 | 263 | 2,813 | SH | | DFND | 1 | 0 | 0 | 2,813 |
| VICTORY PORTFOLIOS II | VCSHS DEV ENH VL | 92647N816 | 721 | 23,473 | SH | | DFND | 1 | 0 | 0 | 23,473 |
| VICTORY PORTFOLIOS II | VCSHS US 500 ENH | 92647N782 | 1,608 | 36,617 | SH | | DFND | 1 | 0 | 0 | 36,617 |
| VICTORY PORTFOLIOS II | VCSHS US EQ INCM | 92647N824 | 1,227 | 28,992 | SH | | DFND | 1 | 0 | 0 | 28,992 |
| VICTORY PORTFOLIOS II | VCSHS US DISCVRY | 92647N774 | 1,131 | 28,690 | SH | | DFND | 1 | 0 | 0 | 28,690 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 826 | 14,687 | SH | | DFND | 1 | 0 | 0 | 14,687 |
| VEREIT INC | COM | 92339V100 | 199 | 27,306 | SH | | DFND | 1 | 0 | 0 | 27,306 |
| VANGUARD WORLD FDS | MATERIALS ETF | 92204A801 | 229 | 2,070 | SH | | DFND | 1 | 0 | 0 | 2,070 |
| VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 226 | 1,357 | SH | | DFND | 1 | 0 | 0 | 1,357 |
| VANGUARD WORLD FD | MEGA CAP INDEX | 921910873 | 504 | 5,802 | SH | | DFND | 1 | 0 | 0 | 5,802 |
| VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 215 | 2,759 | SH | | DFND | 1 | 0 | 0 | 2,759 |
| VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 345 | 9,288 | SH | | DFND | 1 | 0 | 0 | 9,288 |
| VANGUARD STAR FD | VG TL INTL STK F | 921909768 | 298 | 6,306 | SH | | DFND | 1 | 0 | 0 | 6,306 |
| VANGUARD SCOTTSDALE FDS | LONG TERM TREAS | 92206C847 | 334 | 4,466 | SH | | DFND | 1 | 0 | 0 | 4,466 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 496 | 5,981 | SH | | DFND | 1 | 0 | 0 | 5,981 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 980 | 21,500 | SH | | DFND | 1 | 0 | 0 | 21,500 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 796 | 5,926 | SH | | DFND | 1 | 0 | 0 | 5,926 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 | 560 | 5,718 | SH | | DFND | 1 | 0 | 0 | 5,718 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 207 | 1,571 | SH | | DFND | 1 | 0 | 0 | 1,571 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 565 | 4,423 | SH | | DFND | 1 | 0 | 0 | 4,423 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 255 | 1,109 | SH | | DFND | 1 | 0 | 0 | 1,109 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 775 | 5,609 | SH | | DFND | 1 | 0 | 0 | 5,609 |
| VANGUARD GROUP | DIV APP ETF | 921908844 | 1,294 | 13,210 | SH | | DFND | 1 | 0 | 0 | 13,210 |
| VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 421 | 5,312 | SH | | DFND | 1 | 0 | 0 | 5,312 |
| VANGUARD BD INDEX FD INC | SHORT TRM BOND | 921937827 | 373 | 4,753 | SH | | DFND | 1 | 0 | 0 | 4,753 |
| VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 92189F643 | 587 | 14,248 | SH | | DFND | 1 | 0 | 0 | 14,248 |
| UNIVERSAL DISPLAY CORP | COM | 91347P105 | 301 | 3,217 | SH | | DFND | 1 | 0 | 0 | 3,217 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | 451 | 1,810 | SH | | DFND | 1 | 0 | 0 | 1,810 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 364 | 3,729 | SH | | DFND | 1 | 0 | 0 | 3,729 |
| TETRA TECH INC NEW | COM | 88162G103 | 344 | 6,635 | SH | | DFND | 1 | 0 | 0 | 6,635 |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 362 | 7,641 | SH | | DFND | 1 | 0 | 0 | 7,641 |
| SQUARE INC | CL A | 852234103 | 649 | 11,568 | SH | | DFND | 1 | 0 | 0 | 11,568 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 335 | 32,450 | SH | | DFND | 1 | 0 | 0 | 32,450 |
| SPDR SERIES TRUST | AEROSPACE DEF | 78464A631 | 366 | 4,632 | SH | | DFND | 1 | 0 | 0 | 4,632 |
| SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 505 | 7,036 | SH | | DFND | 1 | 0 | 0 | 7,036 |
| SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | 274 | 3,065 | SH | | DFND | 1 | 0 | 0 | 3,065 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 918 | 3,649 | SH | | DFND | 1 | 0 | 0 | 3,649 |
| SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,592 | 6,812 | SH | | DFND | 1 | 0 | 0 | 6,812 |
| SOUTHERN CO | COM | 842587107 | 288 | 6,563 | SH | | DFND | 1 | 0 | 0 | 6,563 |
| SHOPIFY INC | CL A | 82509L107 | 309 | 2,232 | SH | | DFND | 1 | 0 | 0 | 2,232 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 541 | 8,396 | SH | | DFND | 1 | 0 | 0 | 8,396 |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 667 | 28,002 | SH | | DFND | 1 | 0 | 0 | 28,002 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 1,146 | 18,492 | SH | | DFND | 1 | 0 | 0 | 18,492 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 206 | 3,889 | SH | | DFND | 1 | 0 | 0 | 3,889 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 226 | 2,281 | SH | | DFND | 1 | 0 | 0 | 2,281 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 996 | 11,516 | SH | | DFND | 1 | 0 | 0 | 11,516 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 264 | 3,814 | SH | | DFND | 1 | 0 | 0 | 3,814 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 484 | 7,973 | SH | | DFND | 1 | 0 | 0 | 7,973 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 300 | 6,088 | SH | | DFND | 1 | 0 | 0 | 6,088 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 442 | 9,218 | SH | | DFND | 1 | 0 | 0 | 9,218 |
| SALESFORCE COM INC | COM | 79466L302 | 363 | 2,652 | SH | | DFND | 1 | 0 | 0 | 2,652 |
| RED HAT INC | COM | 756577102 | 241 | 1,371 | SH | | DFND | 1 | 0 | 0 | 1,371 |
| REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,044 | 35,079 | SH | | DFND | 1 | 0 | 0 | 35,079 |
| RAYTHEON CO | COM NEW | 755111507 | 254 | 1,646 | SH | | DFND | 1 | 0 | 0 | 1,646 |
| PROSPECT CAPITAL CORPORATION | NOTE 4.750% 4/1 | 74348TAQ5 | 16 | 16,000 | SH | | DFND | 1 | 0 | 0 | 16,000 |
| PROCTER AND GAMBLE CO | COM | 742718109 | 1,193 | 12,974 | SH | | DFND | 1 | 0 | 0 | 12,974 |
| PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 303 | 2,998 | SH | | DFND | 1 | 0 | 0 | 2,998 |
| PHILIP MORRIS INTL INC | COM | 718172109 | 335 | 4,929 | SH | | DFND | 1 | 0 | 0 | 4,929 |
| PFIZER INC | COM | 717081103 | 385 | 8,812 | SH | | DFND | 1 | 0 | 0 | 8,812 |
| PEPSICO INC | COM | 713448108 | 251 | 2,249 | SH | | DFND | 1 | 0 | 0 | 2,249 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 312 | 3,706 | SH | | DFND | 1 | 0 | 0 | 3,706 |
| NVIDIA CORP | COM | 67066G104 | 564 | 4,222 | SH | | DFND | 1 | 0 | 0 | 4,222 |
| NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 946 | 78,398 | SH | | DFND | 1 | 0 | 0 | 78,398 |
| NUVEEN HIGH INCOME NOVEMBER | COM | 67077N106 | 403 | 45,242 | SH | | DFND | 1 | 0 | 0 | 45,242 |
| NUTRIEN LTD | COM | 67077M108 | 275 | 5,789 | SH | | DFND | 1 | 0 | 0 | 5,789 |
| NUTANIX INC | CL A | 67059N108 | 732 | 17,604 | SH | | DFND | 1 | 0 | 0 | 17,604 |
| NEXTERA ENERGY INC | COM | 65339F101 | 213 | 1,224 | SH | | DFND | 1 | 0 | 0 | 1,224 |
| NETFLIX INC | COM | 64110L106 | 946 | 3,534 | SH | | DFND | 1 | 0 | 0 | 3,534 |
| MONMOUTH REAL ESTATE INVT CO | CL A | 609720107 | 320 | 25,774 | SH | | DFND | 1 | 0 | 0 | 25,774 |
| MICROSOFT CORP | COM | 594918104 | 698 | 6,877 | SH | | DFND | 1 | 0 | 0 | 6,877 |
| MERCK & CO INC | COM | 58933Y105 | 451 | 5,864 | SH | | DFND | 1 | 0 | 0 | 5,864 |
| MASTERCARD INCORPORATED | CL A | 57636Q104 | 248 | 1,315 | SH | | DFND | 1 | 0 | 0 | 1,315 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 251 | 957 | SH | | DFND | 1 | 0 | 0 | 957 |
| LIONS GATE ENTMNT CORP | CL A VTG | 535919401 | 244 | 15,161 | SH | | DFND | 1 | 0 | 0 | 15,161 |
| KULICKE & SOFFA INDS INC | COM | 501242101 | 284 | 13,923 | SH | | DFND | 1 | 0 | 0 | 13,923 |
| KROGER CO | COM | 501044101 | 374 | 13,611 | SH | | DFND | 1 | 0 | 0 | 13,611 |
| KINDER MORGAN INC DEL | COM | 49456B101 | 452 | 29,364 | SH | | DFND | 1 | 0 | 0 | 29,364 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,056 | 10,820 | SH | | DFND | 1 | 0 | 0 | 10,820 |
| JP MORGAN EXCHANGE TRADED FD | ULTRA SHRT INC | 46641Q837 | 754 | 15,004 | SH | | DFND | 1 | 0 | 0 | 15,004 |
| JOHNSON & JOHNSON | COM | 478160104 | 649 | 5,030 | SH | | DFND | 1 | 0 | 0 | 5,030 |
| ISHARES US ETF TR | SHT MAT BD ETF | 46431W507 | 313 | 6,284 | SH | | DFND | 1 | 0 | 0 | 6,284 |
| ISHARES US ETF TR | HEALTHCARE | 46431W689 | 226 | 8,620 | SH | | DFND | 1 | 0 | 0 | 8,620 |
| ISHARES TR | CORE S&P SCP ETF | 464287804 | 717 | 10,337 | SH | | DFND | 1 | 0 | 0 | 10,337 |
| ISHARES TR | RUS 2000 VAL ETF | 464287630 | 216 | 2,012 | SH | | DFND | 1 | 0 | 0 | 2,012 |
| ISHARES TR | RUS 1000 GRW ETF | 464287614 | 392 | 2,996 | SH | | DFND | 1 | 0 | 0 | 2,996 |
| ISHARES TR | S&P MC 400GR ETF | 464287606 | 976 | 5,106 | SH | | DFND | 1 | 0 | 0 | 5,106 |
| ISHARES TR | INTRM TR CRP ETF | 464288638 | 304 | 5,809 | SH | | DFND | 1 | 0 | 0 | 5,809 |
| ISHARES TR | CORE S&P MCP ETF | 464287507 | 545 | 3,282 | SH | | DFND | 1 | 0 | 0 | 3,282 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | 498 | 8,468 | SH | | DFND | 1 | 0 | 0 | 8,468 |
| ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 366 | 3,513 | SH | | DFND | 1 | 0 | 0 | 3,513 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | 302 | 2,487 | SH | | DFND | 1 | 0 | 0 | 2,487 |
| ISHARES TR | S&P 500 VAL ETF | 464287408 | 607 | 6,006 | SH | | DFND | 1 | 0 | 0 | 6,006 |
| ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,676 | 11,126 | SH | | DFND | 1 | 0 | 0 | 11,126 |
| ISHARES TR | GLOBAL TECH ETF | 464287291 | 233 | 1,619 | SH | | DFND | 1 | 0 | 0 | 1,619 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 431 | 3,819 | SH | | DFND | 1 | 0 | 0 | 3,819 |
| ISHARES TR | USA MOMENTUM FCT | 46432F396 | 305 | 3,044 | SH | | DFND | 1 | 0 | 0 | 3,044 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 339 | 8,686 | SH | | DFND | 1 | 0 | 0 | 8,686 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | 849 | 7,969 | SH | | DFND | 1 | 0 | 0 | 7,969 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | 1,563 | 6,204 | SH | | DFND | 1 | 0 | 0 | 6,204 |
| ISHARES TR | TIPS BD ETF | 464287176 | 307 | 2,807 | SH | | DFND | 1 | 0 | 0 | 2,807 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 | 380 | 7,227 | SH | | DFND | 1 | 0 | 0 | 7,227 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 | 539 | 6,386 | SH | | DFND | 1 | 0 | 0 | 6,386 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 | 326 | 9,820 | SH | | DFND | 1 | 0 | 0 | 9,820 |
| ISHARES TR | MULTIFACTOR USA | 46434V282 | 338 | 11,990 | SH | | DFND | 1 | 0 | 0 | 11,990 |
| ISHARES TR | PHLX SEMICND ETF | 464287523 | 220 | 1,401 | SH | | DFND | 1 | 0 | 0 | 1,401 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 | 574 | 2,872 | SH | | DFND | 1 | 0 | 0 | 2,872 |
| ISHARES TR | MIN VOL USA ETF | 46429B697 | 356 | 6,783 | SH | | DFND | 1 | 0 | 0 | 6,783 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 | 532 | 9,665 | SH | | DFND | 1 | 0 | 0 | 9,665 |
| ISHARES TR | US AER DEF ETF | 464288760 | 816 | 4,718 | SH | | DFND | 1 | 0 | 0 | 4,718 |
| ISHARES TR | S&P US PFD STK | 464288687 | 1,455 | 42,503 | SH | | DFND | 1 | 0 | 0 | 42,503 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 560 | 4,179 | SH | | DFND | 1 | 0 | 0 | 4,179 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 | 254 | 5,385 | SH | | DFND | 1 | 0 | 0 | 5,385 |
| ISHARES INC | MIN VOL EMRG MKT | 464286533 | 221 | 3,954 | SH | | DFND | 1 | 0 | 0 | 3,954 |
| ISHARES GOLD TRUST | ISHARES | 464285105 | 309 | 25,110 | SH | | DFND | 1 | 0 | 0 | 25,110 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 1,785 | 11,573 | SH | | DFND | 1 | 0 | 0 | 11,573 |
| INVESCO EXCHNG TRADED FD TR | KBW REGL BKG | 46138E578 | 259 | 5,788 | SH | | DFND | 1 | 0 | 0 | 5,788 |
| INVESCO EXCHNG TRADED FD TR | S&P500 LOW VOL | 46138E354 | 740 | 15,855 | SH | | DFND | 1 | 0 | 0 | 15,855 |
| INVESCO EXCHNG TRADED FD TR | S&P SMLCP HELT | 46138E149 | 588 | 5,464 | SH | | DFND | 1 | 0 | 0 | 5,464 |
| INVESCO EXCHNG TRADED FD TR | DWA DEV MKTS | 46138E875 | 346 | 15,059 | SH | | DFND | 1 | 0 | 0 | 15,059 |
| INVESCO EXCHANGE TRADED FD T | DWA CYCLICALS | 46137V803 | 245 | 5,243 | SH | | DFND | 1 | 0 | 0 | 5,243 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 1,347 | 14,736 | SH | | DFND | 1 | 0 | 0 | 14,736 |
| INVESCO EXCHANGE TRADED FD T | DWA INDLS MUMT | 46137V845 | 234 | 4,590 | SH | | DFND | 1 | 0 | 0 | 4,590 |
| INVESCO EXCHANGE TRADED FD T | DWA TECHNOLOGY | 46137V811 | 279 | 5,297 | SH | | DFND | 1 | 0 | 0 | 5,297 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 217 | 1,910 | SH | | DFND | 1 | 0 | 0 | 1,910 |
| INTELLIA THERAPEUTICS INC | COM | 45826J105 | 246 | 17,995 | SH | | DFND | 1 | 0 | 0 | 17,995 |
| INTEL CORP | COM | 458140100 | 576 | 12,275 | SH | | DFND | 1 | 0 | 0 | 12,275 |
| INFOSYS LTD | SPONSORED ADR | 456788108 | 613 | 64,366 | SH | | DFND | 1 | 0 | 0 | 64,366 |
| HOME DEPOT INC | COM | 437076102 | 701 | 4,078 | SH | | DFND | 1 | 0 | 0 | 4,078 |
| GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 | 334 | 12,082 | SH | | DFND | 1 | 0 | 0 | 12,082 |
| GENPREX INC | COM | 372446104 | 39 | 35,150 | SH | | DFND | 1 | 0 | 0 | 35,150 |
| GENERAL MTRS CO | COM | 37045V100 | 223 | 6,659 | SH | | DFND | 1 | 0 | 0 | 6,659 |
| GENERAL ELECTRIC CO | COM | 369604103 | 96 | 12,688 | SH | | DFND | 1 | 0 | 0 | 12,688 |
| FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 157 | 20,482 | SH | | DFND | 1 | 0 | 0 | 20,482 |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 296 | 26,455 | SH | | DFND | 1 | 0 | 0 | 26,455 |
| FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 214 | 25,815 | SH | | DFND | 1 | 0 | 0 | 25,815 |
| FIRST TR SML CP CORE ALPHA F | COM SHS | 33734Y109 | 296 | 5,465 | SH | | DFND | 1 | 0 | 0 | 5,465 |
| FIRST TR NASDAQ100 TECH INDE | SHS | 337345102 | 493 | 7,216 | SH | | DFND | 1 | 0 | 0 | 7,216 |
| FIRST TR MID CAP CORE ALPHAD | COM SHS | 33735B108 | 301 | 5,207 | SH | | DFND | 1 | 0 | 0 | 5,207 |
| FIRST TR LRG CP VL ALPHADEX | COM SHS | 33735J101 | 832 | 17,994 | SH | | DFND | 1 | 0 | 0 | 17,994 |
| FIRST TR LRG CP GRWTH ALPHAD | COM SHS | 33735K108 | 898 | 15,659 | SH | | DFND | 1 | 0 | 0 | 15,659 |
| FIRST TR EXCHANGE TRADED FD | NY ARCA BIOTECH | 33733E203 | 761 | 6,131 | SH | | DFND | 1 | 0 | 0 | 6,131 |
| FIRST TR EXCHANGE TRADED FD | DJ INTERNT IDX | 33733E302 | 794 | 6,803 | SH | | DFND | 1 | 0 | 0 | 6,803 |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 894 | 17,003 | SH | | DFND | 1 | 0 | 0 | 17,003 |
| FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 33739Q200 | 532 | 10,416 | SH | | DFND | 1 | 0 | 0 | 10,416 |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 1,037 | 21,272 | SH | | DFND | 1 | 0 | 0 | 21,272 |
| FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 33738R605 | 285 | 11,277 | SH | | DFND | 1 | 0 | 0 | 11,277 |
| FIRST TR EXCHANGE TRADED FD | SENIOR LN FD | 33738D309 | 410 | 9,016 | SH | | DFND | 1 | 0 | 0 | 9,016 |
| FIRST TR EXCHANGE TRADED FD | FIRST TR ENH NEW | 33739Q408 | 1,272 | 21,256 | SH | | DFND | 1 | 0 | 0 | 21,256 |
| FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 33734X143 | 537 | 7,804 | SH | | DFND | 1 | 0 | 0 | 7,804 |
| FIRST TR EXCHANGE TRADED FD | US EQTY OPPT ETF | 336920103 | 339 | 5,469 | SH | | DFND | 1 | 0 | 0 | 5,469 |
| FIRST TR EXCH TRD ALPHA FD I | BRAZIL ALPHADEX | 33737J133 | 205 | 15,518 | SH | | DFND | 1 | 0 | 0 | 15,518 |
| FIRST TR EXCH TRD ALPHA FD I | EUROPE ALPHADEX | 33737J117 | 641 | 20,701 | SH | | DFND | 1 | 0 | 0 | 20,701 |
| FIRST TR EXCH TRD ALPHA FD I | JAPAN ALPHADEX | 33737J158 | 334 | 6,944 | SH | | DFND | 1 | 0 | 0 | 6,944 |
| FIRST TR EXCH TRD ALPHA FD I | GERMANY ALPHA | 33737J190 | 213 | 5,649 | SH | | DFND | 1 | 0 | 0 | 5,649 |
| FIRST TR EXCH TRD ALPHA FD I | SWITZLND ALPHA | 33737J232 | 227 | 5,186 | SH | | DFND | 1 | 0 | 0 | 5,186 |
| FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 317 | 17,403 | SH | | DFND | 1 | 0 | 0 | 17,403 |
| FIRST TR DYNAMIC EUROPE EQT | COM SHS | 33740D107 | 244 | 19,315 | SH | | DFND | 1 | 0 | 0 | 19,315 |
| FACEBOOK INC | CL A | 30303M102 | 504 | 3,845 | SH | | DFND | 1 | 0 | 0 | 3,845 |
| EXXON MOBIL CORP | COM | 30231G102 | 339 | 4,969 | SH | | DFND | 1 | 0 | 0 | 4,969 |
| ETF SER SOLUTIONS | APTUS FORTIFIED | 26922A610 | 573 | 24,027 | SH | | DFND | 1 | 0 | 0 | 24,027 |
| ETF SER SOLUTIONS | APTU BEHA MOME | 26922A784 | 1,319 | 46,295 | SH | | DFND | 1 | 0 | 0 | 46,295 |
| ETF SER SOLUTIONS | LONCAR CANCER | 26922A826 | 328 | 17,388 | SH | | DFND | 1 | 0 | 0 | 17,388 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 283 | 3,275 | SH | | DFND | 1 | 0 | 0 | 3,275 |
| DOWDUPONT INC | COM | 26078J100 | 323 | 6,040 | SH | | DFND | 1 | 0 | 0 | 6,040 |
| DOMINION ENERGY INC | COM | 25746U109 | 321 | 4,491 | SH | | DFND | 1 | 0 | 0 | 4,491 |
| DOLBY LABORATORIES INC | COM | 25659T107 | 221 | 3,568 | SH | | DFND | 1 | 0 | 0 | 3,568 |
| DISNEY WALT CO | COM DISNEY | 254687106 | 479 | 4,337 | SH | | DFND | 1 | 0 | 0 | 4,337 |
| CUMMINS INC | COM | 231021106 | 279 | 2,085 | SH | | DFND | 1 | 0 | 0 | 2,085 |
| CSX CORP | COM | 126408103 | 305 | 4,915 | SH | | DFND | 1 | 0 | 0 | 4,915 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | 256 | 1,255 | SH | | DFND | 1 | 0 | 0 | 1,255 |
| CORNING INC | COM | 219350105 | 283 | 9,360 | SH | | DFND | 1 | 0 | 0 | 9,360 |
| COLLECTORS UNIVERSE INC | COM NEW | 19421R200 | 137 | 12,044 | SH | | DFND | 1 | 0 | 0 | 12,044 |
| CISCO SYS INC | COM | 17275R102 | 674 | 15,554 | SH | | DFND | 1 | 0 | 0 | 15,554 |
| CHEVRON CORP NEW | COM | 166764100 | 280 | 2,575 | SH | | DFND | 1 | 0 | 0 | 2,575 |
| CATERPILLAR INC DEL | COM | 149123101 | 236 | 1,859 | SH | | DFND | 1 | 0 | 0 | 1,859 |
| BROADCOM INC | COM | 11135F101 | 286 | 1,125 | SH | | DFND | 1 | 0 | 0 | 1,125 |
| BOX INC | CL A | 10316T104 | 572 | 33,915 | SH | | DFND | 1 | 0 | 0 | 33,915 |
| BOEING CO | COM | 097023105 | 549 | 1,703 | SH | | DFND | 1 | 0 | 0 | 1,703 |
| BLACKSTONE GROUP L P | COM UNIT LTD | 09253U108 | 757 | 25,380 | SH | | DFND | 1 | 0 | 0 | 25,380 |
| BLACKROCK MUN 2020 TERM TR | COM SHS | 09249X109 | 159 | 10,779 | SH | | DFND | 1 | 0 | 0 | 10,779 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 793 | 3,882 | SH | | DFND | 1 | 0 | 0 | 3,882 |
| BARCLAYS BK PLC | BARC ETN+SHILL | 06742A669 | 290 | 2,583 | SH | | DFND | 1 | 0 | 0 | 2,583 |
| BANK AMER CORP | COM | 060505104 | 297 | 12,028 | SH | | DFND | 1 | 0 | 0 | 12,028 |
| BANK AMER CORP | 7.25%CNV PFD L | 060505682 | 310 | 244 | SH | | DFND | 1 | 0 | 0 | 244 |
| AT&T INC | COM | 00206R102 | 882 | 30,893 | SH | | DFND | 1 | 0 | 0 | 30,893 |
| ARK ETF TR | INNOVATION ETF | 00214Q104 | 800 | 21,508 | SH | | DFND | 1 | 0 | 0 | 21,508 |
| ARK ETF TR | WEB X.O ETF | 00214Q401 | 227 | 5,346 | SH | | DFND | 1 | 0 | 0 | 5,346 |
| APPLE INC | COM | 037833100 | 2,868 | 18,183 | SH | | DFND | 1 | 0 | 0 | 18,183 |
| AMGEN INC | COM | 031162100 | 606 | 3,114 | SH | | DFND | 1 | 0 | 0 | 3,114 |
| AMAZON COM INC | COM | 023135106 | 2,202 | 1,466 | SH | | DFND | 1 | 0 | 0 | 1,466 |
| ALTRIA GROUP INC | COM | 02209S103 | 415 | 8,263 | SH | | DFND | 1 | 0 | 0 | 8,263 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 309 | 298 | SH | | DFND | 1 | 0 | 0 | 298 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 367 | 351 | SH | | DFND | 1 | 0 | 0 | 351 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 215 | 1,565 | SH | | DFND | 1 | 0 | 0 | 1,565 |
| ALBEMARLE CORP | COM | 012653101 | 262 | 3,389 | SH | | DFND | 1 | 0 | 0 | 3,389 |
| ACCELERATE DIAGNOSTICS INC | COM | 00430H102 | 144 | 12,540 | SH | | DFND | 1 | 0 | 0 | 12,540 |
| ABBVIE INC | COM | 00287Y109 | 660 | 7,154 | SH | | DFND | 1 | 0 | 0 | 7,154 |
