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: | 03-31-2019 |
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 | 04-05-2019 |
[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 |
ALBEMARLE CORP | COM | 012653101 | 317 | 3,844 | SH | | DFND | 1 | 0 | 0 | 3,844 |
AMAZON COM INC | COM | 023135106 | 2,887 | 1,621 | SH | | DFND | 1 | 0 | 0 | 1,621 |
AMERICAN ELEC PWR CO INC | COM | 025537101 | 279 | 3,335 | SH | | DFND | 1 | 0 | 0 | 3,335 |
AMGEN INC | COM | 031162100 | 645 | 3,395 | SH | | DFND | 1 | 0 | 0 | 3,395 |
APPLE INC | COM | 037833100 | 3,363 | 17,702 | SH | | DFND | 1 | 0 | 0 | 17,702 |
BANK AMER CORP | COM | 060505104 | 444 | 16,100 | SH | | DFND | 1 | 0 | 0 | 16,100 |
BANK AMER CORP | 7.25%CNV PFD L | 060505682 | 447 | 339 | SH | | DFND | 1 | 0 | 0 | 339 |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 801 | 3,989 | SH | | DFND | 1 | 0 | 0 | 3,989 |
BOEING CO | COM | 097023105 | 776 | 2,036 | SH | | DFND | 1 | 0 | 0 | 2,036 |
CIGNA CORP NEW | COM | 125523100 | 223 | 1,387 | SH | | DFND | 1 | 0 | 0 | 1,387 |
CSX CORP | COM | 126408103 | 333 | 4,445 | SH | | DFND | 1 | 0 | 0 | 4,445 |
CATERPILLAR INC DEL | COM | 149123101 | 231 | 1,708 | SH | | DFND | 1 | 0 | 0 | 1,708 |
CHEVRON CORP NEW | COM | 166764100 | 442 | 3,591 | SH | | DFND | 1 | 0 | 0 | 3,591 |
COCA COLA CO | COM | 191216100 | 437 | 9,249 | SH | | DFND | 1 | 0 | 0 | 9,249 |
CONAGRA BRANDS INC | COM | 205887102 | 375 | 13,511 | SH | | DFND | 1 | 0 | 0 | 13,511 |
CORNING INC | COM | 219350105 | 293 | 8,860 | SH | | DFND | 1 | 0 | 0 | 8,860 |
CUMMINS INC | COM | 231021106 | 276 | 1,746 | SH | | DFND | 1 | 0 | 0 | 1,746 |
DISNEY WALT CO | COM DISNEY | 254687106 | 528 | 4,758 | SH | | DFND | 1 | 0 | 0 | 4,758 |
FIRST BANCSHARES INC MS | COM | 318916103 | 1,697 | 54,929 | SH | | DFND | 1 | 0 | 0 | 54,929 |
FIRST TR EXCHANGE TRADED FD | US EQTY OPPT ETF | 336920103 | 355 | 4,741 | SH | | DFND | 1 | 0 | 0 | 4,741 |
FIRST TR NASDAQ100 TECH INDE | SHS | 337345102 | 594 | 7,217 | SH | | DFND | 1 | 0 | 0 | 7,217 |
FORD MTR CO DEL | COM | 345370860 | 180 | 20,455 | SH | | DFND | 1 | 0 | 0 | 20,455 |
GENERAL ELECTRIC CO | COM | 369604103 | 140 | 13,991 | SH | | DFND | 1 | 0 | 0 | 13,991 |
GENPREX INC | COM | 372446104 | 55 | 35,150 | SH | | DFND | 1 | 0 | 0 | 35,150 |
HOME DEPOT INC | COM | 437076102 | 812 | 4,232 | SH | | DFND | 1 | 0 | 0 | 4,232 |
INFOSYS LTD | SPONSORED ADR | 456788108 | 699 | 63,933 | SH | | DFND | 1 | 0 | 0 | 63,933 |
INTEL CORP | COM | 458140100 | 710 | 13,216 | SH | | DFND | 1 | 0 | 0 | 13,216 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 404 | 2,861 | SH | | DFND | 1 | 0 | 0 | 2,861 |
ISHARES GOLD TRUST | ISHARES | 464285105 | 277 | 22,410 | SH | | DFND | 1 | 0 | 0 | 22,410 |
ISHARES INC | MIN VOL EMRG MKT | 464286533 | 229 | 3,872 | SH | | DFND | 1 | 0 | 0 | 3,872 |
ISHARES TR | CORE S&P TTL STK | 464287150 | 605 | 9,401 | SH | | DFND | 1 | 0 | 0 | 9,401 |
ISHARES TR | TIPS BD ETF | 464287176 | 248 | 2,196 | SH | | DFND | 1 | 0 | 0 | 2,196 |
ISHARES TR | CORE S&P500 ETF | 464287200 | 2,112 | 7,422 | SH | | DFND | 1 | 0 | 0 | 7,422 |
ISHARES TR | CORE US AGGBD ET | 464287226 | 1,538 | 14,103 | SH | | DFND | 1 | 0 | 0 | 14,103 |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 313 | 7,296 | SH | | DFND | 1 | 0 | 0 | 7,296 |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 475 | 3,991 | SH | | DFND | 1 | 0 | 0 | 3,991 |
ISHARES TR | GLOBAL TECH ETF | 464287291 | 426 | 2,493 | SH | | DFND | 1 | 0 | 0 | 2,493 |
ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,986 | 11,521 | SH | | DFND | 1 | 0 | 0 | 11,521 |
ISHARES TR | S&P 500 VAL ETF | 464287408 | 682 | 6,049 | SH | | DFND | 1 | 0 | 0 | 6,049 |
ISHARES TR | MSCI EAFE ETF | 464287465 | 671 | 10,344 | SH | | DFND | 1 | 0 | 0 | 10,344 |
ISHARES TR | CORE S&P MCP ETF | 464287507 | 746 | 3,939 | SH | | DFND | 1 | 0 | 0 | 3,939 |
ISHARES TR | PHLX SEMICND ETF | 464287523 | 216 | 1,142 | SH | | DFND | 1 | 0 | 0 | 1,142 |
ISHARES TR | NASDAQ BIOTECH | 464287556 | 201 | 1,798 | SH | | DFND | 1 | 0 | 0 | 1,798 |
ISHARES TR | S&P MC 400GR ETF | 464287606 | 1,159 | 5,289 | SH | | DFND | 1 | 0 | 0 | 5,289 |
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 463 | 3,058 | SH | | DFND | 1 | 0 | 0 | 3,058 |
ISHARES TR | RUS 1000 ETF | 464287622 | 212 | 1,347 | SH | | DFND | 1 | 0 | 0 | 1,347 |
ISHARES TR | RUS 2000 VAL ETF | 464287630 | 282 | 2,352 | SH | | DFND | 1 | 0 | 0 | 2,352 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 649 | 4,242 | SH | | DFND | 1 | 0 | 0 | 4,242 |
ISHARES TR | S&P MC 400VL ETF | 464287705 | 203 | 1,295 | SH | | DFND | 1 | 0 | 0 | 1,295 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 360 | 4,131 | SH | | DFND | 1 | 0 | 0 | 4,131 |
ISHARES TR | CORE S&P SCP ETF | 464287804 | 1,209 | 15,676 | SH | | DFND | 1 | 0 | 0 | 15,676 |
ISHARES TR | PFD AND INCM SEC | 464288687 | 1,729 | 47,311 | SH | | DFND | 1 | 0 | 0 | 47,311 |
ISHARES TR | US AER DEF ETF | 464288760 | 924 | 4,628 | SH | | DFND | 1 | 0 | 0 | 4,628 |
ISHARES TR | U.S. MED DVC ETF | 464288810 | 662 | 2,860 | SH | | DFND | 1 | 0 | 0 | 2,860 |
JOHNSON & JOHNSON | COM | 478160104 | 803 | 5,747 | SH | | DFND | 1 | 0 | 0 | 5,747 |
KROGER CO | COM | 501044101 | 331 | 13,441 | SH | | DFND | 1 | 0 | 0 | 13,441 |
KULICKE & SOFFA INDS INC | COM | 501242101 | 250 | 11,253 | SH | | DFND | 1 | 0 | 0 | 11,253 |
LIONS GATE ENTMNT CORP | CL A VTG | 535919401 | 436 | 27,847 | SH | | DFND | 1 | 0 | 0 | 27,847 |
LOCKHEED MARTIN CORP | COM | 539830109 | 370 | 1,233 | SH | | DFND | 1 | 0 | 0 | 1,233 |
MCDONALDS CORP | COM | 580135101 | 248 | 1,306 | SH | | DFND | 1 | 0 | 0 | 1,306 |
MICROSOFT CORP | COM | 594918104 | 909 | 7,706 | SH | | DFND | 1 | 0 | 0 | 7,706 |
MONMOUTH REAL ESTATE INVT CO | CL A | 609720107 | 403 | 30,564 | SH | | DFND | 1 | 0 | 0 | 30,564 |
PEPSICO INC | COM | 713448108 | 360 | 2,937 | SH | | DFND | 1 | 0 | 0 | 2,937 |
PFIZER INC | COM | 717081103 | 462 | 10,879 | SH | | DFND | 1 | 0 | 0 | 10,879 |
PHILIP MORRIS INTL INC | COM | 718172109 | 460 | 5,133 | SH | | DFND | 1 | 0 | 0 | 5,133 |
PROCTER AND GAMBLE CO | COM | 742718109 | 1,307 | 12,557 | SH | | DFND | 1 | 0 | 0 | 12,557 |
RAYTHEON CO | COM NEW | 755111507 | 267 | 1,468 | SH | | DFND | 1 | 0 | 0 | 1,468 |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,301 | 38,636 | SH | | DFND | 1 | 0 | 0 | 38,636 |
RED HAT INC | COM | 756577102 | 305 | 1,671 | SH | | DFND | 1 | 0 | 0 | 1,671 |
SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 297 | 3,739 | SH | | DFND | 1 | 0 | 0 | 3,739 |
SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 342 | 6,249 | SH | | DFND | 1 | 0 | 0 | 6,249 |
SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 611 | 11,032 | SH | | DFND | 1 | 0 | 0 | 11,032 |
SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 639 | 9,132 | SH | | DFND | 1 | 0 | 0 | 9,132 |
SOUTHERN CO | COM | 842587107 | 340 | 6,572 | SH | | DFND | 1 | 0 | 0 | 6,572 |
SQUARE INC | CL A | 852234103 | 1,060 | 14,144 | SH | | DFND | 1 | 0 | 0 | 14,144 |
UNION PACIFIC CORP | COM | 907818108 | 263 | 1,574 | SH | | DFND | 1 | 0 | 0 | 1,574 |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 276 | 2,467 | SH | | DFND | 1 | 0 | 0 | 2,467 |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 237 | 1,840 | SH | | DFND | 1 | 0 | 0 | 1,840 |
VANGUARD GROUP | DIV APP ETF | 921908844 | 1,963 | 17,822 | SH | | DFND | 1 | 0 | 0 | 17,822 |
VANGUARD STAR FD | VG TL INTL STK F | 921909768 | 253 | 4,875 | SH | | DFND | 1 | 0 | 0 | 4,875 |
VANGUARD WORLD FD | MEGA CAP INDEX | 921910873 | 1,061 | 10,857 | SH | | DFND | 1 | 0 | 0 | 10,857 |
VANGUARD BD INDEX FD INC | SHORT TRM BOND | 921937827 | 412 | 5,175 | SH | | DFND | 1 | 0 | 0 | 5,175 |
VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 531 | 6,544 | SH | | DFND | 1 | 0 | 0 | 6,544 |
VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 261 | 6,354 | SH | | DFND | 1 | 0 | 0 | 6,354 |
VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 266 | 3,101 | SH | | DFND | 1 | 0 | 0 | 3,101 |
VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,230 | 24,535 | SH | | DFND | 1 | 0 | 0 | 24,535 |
VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | 922042866 | 215 | 3,257 | SH | | DFND | 1 | 0 | 0 | 3,257 |
VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 922042874 | 413 | 7,695 | SH | | DFND | 1 | 0 | 0 | 7,695 |
VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 304 | 1,171 | SH | | DFND | 1 | 0 | 0 | 1,171 |
VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 | 379 | 2,650 | SH | | DFND | 1 | 0 | 0 | 2,650 |
VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 | 222 | 2,542 | SH | | DFND | 1 | 0 | 0 | 2,542 |
VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 1,365 | 8,463 | SH | | DFND | 1 | 0 | 0 | 8,463 |
VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 1,066 | 6,798 | SH | | DFND | 1 | 0 | 0 | 6,798 |
VANGUARD INDEX FDS | VALUE ETF | 922908744 | 693 | 6,396 | SH | | DFND | 1 | 0 | 0 | 6,396 |
VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 235 | 1,534 | SH | | DFND | 1 | 0 | 0 | 1,534 |
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 742 | 5,126 | SH | | DFND | 1 | 0 | 0 | 5,126 |
WALMART INC | COM | 931142103 | 441 | 4,502 | SH | | DFND | 1 | 0 | 0 | 4,502 |
WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 416 | 322 | SH | | DFND | 1 | 0 | 0 | 322 |
AT&T INC | COM | 00206R102 | 1,072 | 34,178 | SH | | DFND | 1 | 0 | 0 | 34,178 |
ARK ETF TR | INNOVATION ETF | 00214Q104 | 1,055 | 22,575 | SH | | DFND | 1 | 0 | 0 | 22,575 |
ARK ETF TR | WEB X.O ETF | 00214Q401 | 271 | 5,226 | SH | | DFND | 1 | 0 | 0 | 5,226 |
ABBVIE INC | COM | 00287Y109 | 672 | 8,336 | SH | | DFND | 1 | 0 | 0 | 8,336 |
ACCELERATE DIAGNOSTICS INC | COM | 00430H102 | 264 | 12,540 | SH | | DFND | 1 | 0 | 0 | 12,540 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 249 | 1,365 | SH | | DFND | 1 | 0 | 0 | 1,365 |
ALPHABET INC | CAP STK CL C | 02079K107 | 422 | 360 | SH | | DFND | 1 | 0 | 0 | 360 |
ALPHABET INC | CAP STK CL A | 02079K305 | 298 | 253 | SH | | DFND | 1 | 0 | 0 | 253 |
ALTRIA GROUP INC | COM | 02209S103 | 586 | 10,074 | SH | | DFND | 1 | 0 | 0 | 10,074 |
AURORA CANNABIS INC | COM | 05156X108 | 95 | 10,455 | SH | | DFND | 1 | 0 | 0 | 10,455 |
BARCLAYS BK PLC | BARC ETN+SHILL | 06742A669 | 313 | 2,404 | SH | | DFND | 1 | 0 | 0 | 2,404 |
BLACKSTONE GROUP L P | COM UNIT LTD | 09253U108 | 928 | 26,528 | SH | | DFND | 1 | 0 | 0 | 26,528 |
BOX INC | CL A | 10316T104 | 739 | 38,273 | SH | | DFND | 1 | 0 | 0 | 38,273 |
BROADCOM INC | COM | 11135F101 | 351 | 1,167 | SH | | DFND | 1 | 0 | 0 | 1,167 |
CISCO SYS INC | COM | 17275R102 | 945 | 17,505 | SH | | DFND | 1 | 0 | 0 | 17,505 |
COLLECTORS UNIVERSE INC | COM NEW | 19421R200 | 283 | 16,126 | SH | | DFND | 1 | 0 | 0 | 16,126 |
COSTCO WHSL CORP NEW | COM | 22160K105 | 315 | 1,302 | SH | | DFND | 1 | 0 | 0 | 1,302 |
DISH NETWORK CORP | CL A | 25470M109 | 206 | 6,514 | SH | | DFND | 1 | 0 | 0 | 6,514 |
DOLBY LABORATORIES INC | COM CL A | 25659T107 | 231 | 3,668 | SH | | DFND | 1 | 0 | 0 | 3,668 |
DOMINION ENERGY INC | COM | 25746U109 | 376 | 4,909 | SH | | DFND | 1 | 0 | 0 | 4,909 |
DOWDUPONT INC | COM | 26078J100 | 472 | 8,850 | SH | | DFND | 1 | 0 | 0 | 8,850 |
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 306 | 3,400 | SH | | DFND | 1 | 0 | 0 | 3,400 |
ETF SER SOLUTIONS | APTUS FORTIFIED | 26922A610 | 790 | 29,962 | SH | | DFND | 1 | 0 | 0 | 29,962 |
ETF SER SOLUTIONS | APTUS BHVRL MMTM | 26922A784 | 1,432 | 49,038 | SH | | DFND | 1 | 0 | 0 | 49,038 |
ETF SER SOLUTIONS | LONCAR CANCER | 26922A826 | 359 | 17,083 | SH | | DFND | 1 | 0 | 0 | 17,083 |
ETF MANAGERS TR | ETFMG ALTR HRVST | 26924G508 | 413 | 11,345 | SH | | DFND | 1 | 0 | 0 | 11,345 |
ETSY INC | COM | 29786A106 | 374 | 5,564 | SH | | DFND | 1 | 0 | 0 | 5,564 |
EXXON MOBIL CORP | COM | 30231G102 | 609 | 7,535 | SH | | DFND | 1 | 0 | 0 | 7,535 |
FACEBOOK INC | CL A | 30303M102 | 672 | 4,032 | SH | | DFND | 1 | 0 | 0 | 4,032 |
FIRST TR BICK INDEX FD | COM SHS | 33733H107 | 230 | 8,496 | SH | | DFND | 1 | 0 | 0 | 8,496 |
FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 33734X143 | 592 | 7,745 | SH | | DFND | 1 | 0 | 0 | 7,745 |
FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 1,044 | 16,326 | SH | | DFND | 1 | 0 | 0 | 16,326 |
FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 1,339 | 23,243 | SH | | DFND | 1 | 0 | 0 | 23,243 |
FIRST TR SML CP CORE ALPHA F | COM SHS | 33734Y109 | 309 | 5,014 | SH | | DFND | 1 | 0 | 0 | 5,014 |
FIRST TR MID CAP CORE ALPHAD | COM SHS | 33735B108 | 322 | 4,808 | SH | | DFND | 1 | 0 | 0 | 4,808 |
FIRST TR LRG CP VL ALPHADEX | COM SHS | 33735J101 | 841 | 16,307 | SH | | DFND | 1 | 0 | 0 | 16,307 |
FIRST TR LRG CP GRWTH ALPHAD | COM SHS | 33735K108 | 946 | 14,124 | SH | | DFND | 1 | 0 | 0 | 14,124 |
FIRST TR EXCH TRD ALPHA FD I | EUROPE ALPHADEX | 33737J117 | 695 | 19,976 | SH | | DFND | 1 | 0 | 0 | 19,976 |
FIRST TR EXCH TRD ALPHA FD I | BRAZIL ALPHADEX | 33737J133 | 237 | 16,585 | SH | | DFND | 1 | 0 | 0 | 16,585 |
FIRST TR EXCH TRD ALPHA FD I | JAPAN ALPHADEX | 33737J158 | 315 | 6,334 | SH | | DFND | 1 | 0 | 0 | 6,334 |
FIRST TR EXCH TRD ALPHA FD I | DEV MRK EX US | 33737J174 | 214 | 3,929 | SH | | DFND | 1 | 0 | 0 | 3,929 |
FIRST TR EXCH TRD ALPHA FD I | GERMANY ALPHA | 33737J190 | 235 | 5,714 | SH | | DFND | 1 | 0 | 0 | 5,714 |
FIRST TR EXCH TRD ALPHA FD I | SWITZLND ALPHA | 33737J232 | 251 | 5,207 | SH | | DFND | 1 | 0 | 0 | 5,207 |
FIRST TR EXCHANGE TRADED FD | SENIOR LN FD | 33738D309 | 429 | 9,108 | SH | | DFND | 1 | 0 | 0 | 9,108 |
FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 33738R605 | 303 | 10,075 | SH | | DFND | 1 | 0 | 0 | 10,075 |
FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 327 | 17,178 | SH | | DFND | 1 | 0 | 0 | 17,178 |
FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 33739Q200 | 555 | 10,820 | SH | | DFND | 1 | 0 | 0 | 10,820 |
FIRST TR EXCHANGE TRADED FD | FIRST TR ENH NEW | 33739Q408 | 781 | 13,001 | SH | | DFND | 1 | 0 | 0 | 13,001 |
FIRST TR DYNAMIC EUROPE EQT | COM SHS | 33740D107 | 256 | 17,820 | SH | | DFND | 1 | 0 | 0 | 17,820 |
FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 235 | 26,915 | SH | | DFND | 1 | 0 | 0 | 26,915 |
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 374 | 28,210 | SH | | DFND | 1 | 0 | 0 | 28,210 |
GENERAL MTRS CO | COM | 37045V100 | 284 | 7,659 | SH | | DFND | 1 | 0 | 0 | 7,659 |
GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 | 278 | 9,816 | SH | | DFND | 1 | 0 | 0 | 9,816 |
INTELLIA THERAPEUTICS INC | COM | 45826J105 | 300 | 17,552 | SH | | DFND | 1 | 0 | 0 | 17,552 |
INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 1,936 | 18,539 | SH | | DFND | 1 | 0 | 0 | 18,539 |
INVESCO EXCHANGE TRADED FD T | DWA CYCLICALS | 46137V803 | 311 | 5,670 | SH | | DFND | 1 | 0 | 0 | 5,670 |
INVESCO EXCHANGE TRADED FD T | DWA TECHNOLOGY | 46137V811 | 448 | 6,608 | SH | | DFND | 1 | 0 | 0 | 6,608 |
INVESCO EXCHANGE TRADED FD T | DWA MOMENTUM | 46137V837 | 268 | 4,737 | SH | | DFND | 1 | 0 | 0 | 4,737 |
INVESCO EXCHANGE TRADED FD T | DWA INDLS MUMT | 46137V845 | 303 | 4,957 | SH | | DFND | 1 | 0 | 0 | 4,957 |
INVESCO EXCHNG TRADED FD TR | S&P500 LOW VOL | 46138E354 | 711 | 13,511 | SH | | DFND | 1 | 0 | 0 | 13,511 |
INVESCO EXCHNG TRADED FD TR | KBW REGL BKG | 46138E578 | 282 | 5,788 | SH | | DFND | 1 | 0 | 0 | 5,788 |
INVESCO EXCHNG TRADED FD TR | DWA DEV MKTS | 46138E875 | 389 | 15,059 | SH | | DFND | 1 | 0 | 0 | 15,059 |
ISHARES TR | FLTG RATE NT ETF | 46429B655 | 212 | 4,155 | SH | | DFND | 1 | 0 | 0 | 4,155 |
ISHARES TR | CORE HIGH DV ETF | 46429B663 | 600 | 6,429 | SH | | DFND | 1 | 0 | 0 | 6,429 |
ISHARES TR | MIN VOL USA ETF | 46429B697 | 467 | 7,942 | SH | | DFND | 1 | 0 | 0 | 7,942 |
ISHARES US ETF TR | SHT MAT BD ETF | 46431W507 | 355 | 7,069 | SH | | DFND | 1 | 0 | 0 | 7,069 |
ISHARES US ETF TR | HEALTHCARE | 46431W689 | 273 | 9,660 | SH | | DFND | 1 | 0 | 0 | 9,660 |
ISHARES TR | USA QUALITY FCTR | 46432F339 | 288 | 3,247 | SH | | DFND | 1 | 0 | 0 | 3,247 |
ISHARES TR | USA MOMENTUM FCT | 46432F396 | 376 | 3,349 | SH | | DFND | 1 | 0 | 0 | 3,349 |
ISHARES TR | CORE MSCI TOTAL | 46432F834 | 426 | 7,331 | SH | | DFND | 1 | 0 | 0 | 7,331 |
ISHARES TR | CORE MSCI EAFE | 46432F842 | 960 | 15,797 | SH | | DFND | 1 | 0 | 0 | 15,797 |
ISHARES INC | CORE MSCI EMKT | 46434G103 | 347 | 6,707 | SH | | DFND | 1 | 0 | 0 | 6,707 |
ISHARES TR | MULTIFACTOR USA | 46434V282 | 677 | 21,823 | SH | | DFND | 1 | 0 | 0 | 21,823 |
ISHARES TR | CORE DIV GRWTH | 46434V621 | 359 | 9,775 | SH | | DFND | 1 | 0 | 0 | 9,775 |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,209 | 11,945 | SH | | DFND | 1 | 0 | 0 | 11,945 |
JP MORGAN EXCHANGE TRADED FD | ULTRA SHRT INC | 46641Q837 | 934 | 18,530 | SH | | DFND | 1 | 0 | 0 | 18,530 |
KINDER MORGAN INC DEL | COM | 49456B101 | 578 | 28,904 | SH | | DFND | 1 | 0 | 0 | 28,904 |
MASTERCARD INC | CL A | 57636Q104 | 367 | 1,560 | SH | | DFND | 1 | 0 | 0 | 1,560 |
MERCK & CO INC | COM | 58933Y105 | 549 | 6,562 | SH | | DFND | 1 | 0 | 0 | 6,562 |
NIO INC | SPON ADS | 62914V106 | 143 | 28,050 | SH | | DFND | 1 | 0 | 0 | 28,050 |
NETFLIX INC | COM | 64110L106 | 1,297 | 3,638 | SH | | DFND | 1 | 0 | 0 | 3,638 |
NUTANIX INC | CL A | 67059N108 | 711 | 18,839 | SH | | DFND | 1 | 0 | 0 | 18,839 |
NVIDIA CORP | COM | 67066G104 | 281 | 1,564 | SH | | DFND | 1 | 0 | 0 | 1,564 |
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 1,124 | 83,690 | SH | | DFND | 1 | 0 | 0 | 83,690 |
NUVEEN CR OPPORTUNITIES 2022 | COM | 67075U102 | 103 | 10,600 | SH | | DFND | 1 | 0 | 0 | 10,600 |
NUTRIEN LTD | COM | 67077M108 | 305 | 5,728 | SH | | DFND | 1 | 0 | 0 | 5,728 |
NUVEEN HIGH INCOME NOVEMBER | COM | 67077N106 | 608 | 61,941 | SH | | DFND | 1 | 0 | 0 | 61,941 |
PAYPAL HLDGS INC | COM | 70450Y103 | 321 | 3,093 | SH | | DFND | 1 | 0 | 0 | 3,093 |
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 316 | 3,109 | SH | | DFND | 1 | 0 | 0 | 3,109 |
PROSPECT CAPITAL CORPORATION | NOTE 4.750% 4/1 | 74348TAQ5 | 16 | 16,000 | SH | | DFND | 1 | 0 | 0 | 16,000 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,113 | 3,922 | SH | | DFND | 1 | 0 | 0 | 3,922 |
SPDR SERIES TRUST | AEROSPACE DEF | 78464A631 | 424 | 4,623 | SH | | DFND | 1 | 0 | 0 | 4,623 |
SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | 290 | 2,913 | SH | | DFND | 1 | 0 | 0 | 2,913 |
SPDR SERIES TRUST | S&P SEMICNDCTR | 78464A862 | 294 | 3,743 | SH | | DFND | 1 | 0 | 0 | 3,743 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 642 | 7,094 | SH | | DFND | 1 | 0 | 0 | 7,094 |
SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 520 | 10,761 | SH | | DFND | 1 | 0 | 0 | 10,761 |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,900 | 7,318 | SH | | DFND | 1 | 0 | 0 | 7,318 |
SALESFORCE COM INC | COM | 79466L302 | 384 | 2,427 | SH | | DFND | 1 | 0 | 0 | 2,427 |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,168 | 12,734 | SH | | DFND | 1 | 0 | 0 | 12,734 |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 263 | 2,306 | SH | | DFND | 1 | 0 | 0 | 2,306 |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 939 | 36,531 | SH | | DFND | 1 | 0 | 0 | 36,531 |
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 997 | 13,294 | SH | | DFND | 1 | 0 | 0 | 13,294 |
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 1,811 | 24,472 | SH | | DFND | 1 | 0 | 0 | 24,472 |
SHOPIFY INC | CL A | 82509L107 | 370 | 1,789 | SH | | DFND | 1 | 0 | 0 | 1,789 |
SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 339 | 32,450 | SH | | DFND | 1 | 0 | 0 | 32,450 |
TETRA TECH INC NEW | COM | 88162G103 | 385 | 6,457 | SH | | DFND | 1 | 0 | 0 | 6,457 |
3M CO | COM | 88579Y101 | 244 | 1,172 | SH | | DFND | 1 | 0 | 0 | 1,172 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 616 | 2,490 | SH | | DFND | 1 | 0 | 0 | 2,490 |
UNIVERSAL DISPLAY CORP | COM | 91347P105 | 221 | 1,447 | SH | | DFND | 1 | 0 | 0 | 1,447 |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 248 | 11,057 | SH | | DFND | 1 | 0 | 0 | 11,057 |
VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 92189F643 | 804 | 17,248 | SH | | DFND | 1 | 0 | 0 | 17,248 |
VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 272 | 1,358 | SH | | DFND | 1 | 0 | 0 | 1,358 |
VANGUARD WORLD FDS | UTILITIES ETF | 92204A876 | 248 | 1,912 | SH | | DFND | 1 | 0 | 0 | 1,912 |
VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 | 299 | 2,432 | SH | | DFND | 1 | 0 | 0 | 2,432 |
VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 529 | 6,087 | SH | | DFND | 1 | 0 | 0 | 6,087 |
VEREIT INC | COM | 92339V100 | 228 | 26,833 | SH | | DFND | 1 | 0 | 0 | 26,833 |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,158 | 19,587 | SH | | DFND | 1 | 0 | 0 | 19,587 |
VERU INC | COM | 92536C103 | 17 | 11,583 | SH | | DFND | 1 | 0 | 0 | 11,583 |
VICTORY PORTFOLIOS II | VCSHS US DISCVRY | 92647N774 | 1,160 | 29,352 | SH | | DFND | 1 | 0 | 0 | 29,352 |
VICTORY PORTFOLIOS II | VCSHS US 500 ENH | 92647N782 | 1,696 | 36,263 | SH | | DFND | 1 | 0 | 0 | 36,263 |
VICTORY PORTFOLIOS II | VCSHS DEV ENH VL | 92647N816 | 749 | 23,698 | SH | | DFND | 1 | 0 | 0 | 23,698 |
VICTORY PORTFOLIOS II | VCSHS US EQ INCM | 92647N824 | 1,282 | 28,781 | SH | | DFND | 1 | 0 | 0 | 28,781 |
VICTORY PORTFOLIOS II | VCSHS US LRG CAP | 92647N865 | 480 | 10,440 | SH | | DFND | 1 | 0 | 0 | 10,440 |
WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 546 | 19,835 | SH | | DFND | 1 | 0 | 0 | 19,835 |
WISDOMTREE TR | US QTLY DIV GRT | 97717X669 | 288 | 6,682 | SH | | DFND | 1 | 0 | 0 | 6,682 |
EATON CORP PLC | SHS | G29183103 | 236 | 2,924 | SH | | DFND | 1 | 0 | 0 | 2,924 |
JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 276 | 1,932 | SH | | DFND | 1 | 0 | 0 | 1,932 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 212 | 2,404 | SH | | DFND | 1 | 0 | 0 | 2,404 |