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: | 06-30-2019 |
| 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 Complaince Officer |
| Phone: | 205-414-3367 |
| Signature, Place, and Date of Signing: |
| John Calvano | Birmingham,
AL | 07-12-2019 |
| [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 | 240 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| AMAZON COM INC | COM | 023135106 | 3,356 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| AMERICAN ELEC PWR CO INC | COM | 025537101 | 293 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| AMGEN INC | COM | 031162100 | 670 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| APPLE INC | COM | 037833100 | 3,677 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| BANK AMER CORP | COM | 060505104 | 490 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| BANK AMER CORP | 7.25%CNV PFD L | 060505682 | 738 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 896 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| BOEING CO | COM | 097023105 | 777 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| CSX CORP | COM | 126408103 | 454 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| CVS HEALTH CORP | COM | 126650100 | 370 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| CATERPILLAR INC DEL | COM | 149123101 | 256 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| CHEVRON CORP NEW | COM | 166764100 | 464 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| CITIGROUP INC | COM NEW | 172967424 | 232 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| COCA COLA CO | COM | 191216100 | 560 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| CORNING INC | COM | 219350105 | 351 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| CUMMINS INC | COM | 231021106 | 205 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| DISNEY WALT CO | COM DISNEY | 254687106 | 788 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| FIRST BANCSHARES INC MS | COM | 318916103 | 1,701 | 56 | SH | | DFND | 1 | 0 | 0 | 56 |
| FIRST TR EXCHANGE TRADED FD | US EQTY OPPT ETF | 336920103 | 288 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| FIRST TR NASDAQ100 TECH INDE | SHS | 337345102 | 614 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| FORD MTR CO DEL | COM | 345370860 | 229 | 22 | SH | | DFND | 1 | 0 | 0 | 22 |
| HOME DEPOT INC | COM | 437076102 | 1,161 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| HONEYWELL INTL INC | COM | 438516106 | 242 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| INFOSYS LTD | SPONSORED ADR | 456788108 | 684 | 64 | SH | | DFND | 1 | 0 | 0 | 64 |
| INTEL CORP | COM | 458140100 | 616 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 445 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| ISHARES GOLD TRUST | ISHARES | 464285105 | 266 | 20 | SH | | DFND | 1 | 0 | 0 | 20 |
| ISHARES INC | MIN VOL EMRG MKT | 464286533 | 307 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| ISHARES TR | CORE S&P TTL STK | 464287150 | 1,250 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| ISHARES TR | TIPS BD ETF | 464287176 | 243 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | 7,195 | 24 | SH | | DFND | 1 | 0 | 0 | 24 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | 6,046 | 54 | SH | | DFND | 1 | 0 | 0 | 54 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 419 | 10 | SH | | DFND | 1 | 0 | 0 | 10 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 490 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| ISHARES TR | GLOBAL TECH ETF | 464287291 | 237 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,978 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| ISHARES TR | S&P 500 VAL ETF | 464287408 | 624 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | 724 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| ISHARES TR | CORE S&P MCP ETF | 464287507 | 781 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| ISHARES TR | S&P MC 400GR ETF | 464287606 | 1,174 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| ISHARES TR | RUS 1000 GRW ETF | 464287614 | 544 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| ISHARES TR | RUS 1000 ETF | 464287622 | 219 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| ISHARES TR | RUS 2000 VAL ETF | 464287630 | 264 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 373 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| ISHARES TR | S&P MC 400VL ETF | 464287705 | 207 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| ISHARES TR | U.S. TECH ETF | 464287721 | 203 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| ISHARES TR | U.S. REAL ES ETF | 464287739 | 387 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| ISHARES TR | CORE S&P SCP ETF | 464287804 | 1,304 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| ISHARES TR | MSCI ACWI ETF | 464288257 | 232 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| ISHARES TR | PFD AND INCM SEC | 464288687 | 1,791 | 49 | SH | | DFND | 1 | 0 | 0 | 49 |
| ISHARES TR | US AER DEF ETF | 464288760 | 971 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 | 798 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| JOHNSON & JOHNSON | COM | 478160104 | 875 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| KROGER CO | COM | 501044101 | 286 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| LIONS GATE ENTMNT CORP | CL A VTG | 535919401 | 371 | 30 | SH | | DFND | 1 | 0 | 0 | 30 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 386 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| MCDONALDS CORP | COM | 580135101 | 326 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| MICROSOFT CORP | COM | 594918104 | 1,258 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| MONMOUTH REAL ESTATE INVT CO | CL A | 609720107 | 414 | 31 | SH | | DFND | 1 | 0 | 0 | 31 |
| PEPSICO INC | COM | 713448108 | 430 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| PFIZER INC | COM | 717081103 | 483 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| PHILIP MORRIS INTL INC | COM | 718172109 | 433 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| PROCTER AND GAMBLE CO | COM | 742718109 | 1,396 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| QUALCOMM INC | COM | 747525103 | 313 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| RAYTHEON CO | COM NEW | 755111507 | 208 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 1,335 | 37 | SH | | DFND | 1 | 0 | 0 | 37 |
| RED HAT INC | COM | 756577102 | 284 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 287 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 345 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 618 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 656 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| SOUTHERN CO | COM | 842587107 | 386 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| SQUARE INC | CL A | 852234103 | 1,122 | 15 | SH | | DFND | 1 | 0 | 0 | 15 |
| UNION PACIFIC CORP | COM | 907818108 | 314 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 216 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| UNITED TECHNOLOGIES CORP | COM | 913017109 | 214 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD GROUP | DIV APP ETF | 921908844 | 2,236 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| VANGUARD STAR FD | VG TL INTL STK F | 921909768 | 269 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| VANGUARD WORLD FD | MEGA CAP INDEX | 921910873 | 1,328 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| VANGUARD BD INDEX FD INC | SHORT TRM BOND | 921937827 | 308 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 | 548 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| VANGUARD TAX MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 239 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| VANGUARD WHITEHALL FDS INC | HIGH DIV YLD | 921946406 | 205 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,292 | 25 | SH | | DFND | 1 | 0 | 0 | 25 |
| VANGUARD INTL EQUITY INDEX F | FTSE PACIFIC ETF | 922042866 | 225 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| VANGUARD INTL EQUITY INDEX F | FTSE EUROPE ETF | 922042874 | 268 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 318 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 922908538 | 324 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 922908553 | 264 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 1,623 | 10 | SH | | DFND | 1 | 0 | 0 | 10 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 1,352 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 | 2,107 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 245 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 1,640 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| WALMART INC | COM | 931142103 | 656 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 713 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| AT&T INC | COM | 00206R102 | 1,381 | 41 | SH | | DFND | 1 | 0 | 0 | 41 |
| ARK ETF TR | INNOVATION ETF | 00214Q104 | 1,300 | 27 | SH | | DFND | 1 | 0 | 0 | 27 |
| ARK ETF TR | WEB X.O ETF | 00214Q401 | 272 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| ABBVIE INC | COM | 00287Y109 | 733 | 10 | SH | | DFND | 1 | 0 | 0 | 10 |
| ACCELERATE DIAGNOSTICS INC | COM | 00430H102 | 287 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 314 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 441 | 0 | SH | | DFND | 1 | 0 | 0 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 430 | 0 | SH | | DFND | 1 | 0 | 0 | 0 |
| ALTRIA GROUP INC | COM | 02209S103 | 549 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| BARCLAYS BK PLC | BARC ETN+SHILL | 06742A669 | 332 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| BOX INC | CL A | 10316T104 | 730 | 41 | SH | | DFND | 1 | 0 | 0 | 41 |
| BROADCOM INC | COM | 11135F101 | 324 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| CISCO SYS INC | COM | 17275R102 | 1,001 | 18 | SH | | DFND | 1 | 0 | 0 | 18 |
| COLLECTORS UNIVERSE INC | COM NEW | 19421R200 | 243 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| CONSTELLATION BRANDS INC | CL A | 21036P108 | 364 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | 362 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| CRACKER BARREL OLD CTRY STOR | COM | 22410J106 | 218 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| DOMINION ENERGY INC | COM | 25746U109 | 363 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 298 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| DUPONT DE NEMOURS INC | COM | 26614N102 | 246 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| ETF SER SOLUTIONS | APTUS FORTIFIED | 26922A610 | 780 | 30 | SH | | DFND | 1 | 0 | 0 | 30 |
| ETF SER SOLUTIONS | APTUS BHVRL MMTM | 26922A784 | 1,448 | 48 | SH | | DFND | 1 | 0 | 0 | 48 |
| ETF SER SOLUTIONS | LONCAR CANCER | 26922A826 | 350 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| ETF MANAGERS TR | ETFMG ALTR HRVST | 26924G508 | 402 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| ETSY INC | COM | 29786A106 | 396 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| EXXON MOBIL CORP | COM | 30231G102 | 577 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| FACEBOOK INC | CL A | 30303M102 | 834 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| FIRST TR BICK INDEX FD | COM SHS | 33733H107 | 224 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| FIRST TR VALUE LINE DIVID IN | SHS | 33734H106 | 534 | 16 | SH | | DFND | 1 | 0 | 0 | 16 |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 1,080 | 16 | SH | | DFND | 1 | 0 | 0 | 16 |
| FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 33734X184 | 478 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 1,247 | 22 | SH | | DFND | 1 | 0 | 0 | 22 |
| FIRST TR SML CP CORE ALPHA F | COM SHS | 33734Y109 | 290 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| FIRST TR MID CAP CORE ALPHAD | COM SHS | 33735B108 | 284 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| FIRST TR LRG CP VL ALPHADEX | COM SHS | 33735J101 | 808 | 15 | SH | | DFND | 1 | 0 | 0 | 15 |
| FIRST TR LRG CP GRWTH ALPHAD | COM SHS | 33735K108 | 989 | 14 | SH | | DFND | 1 | 0 | 0 | 14 |
| FIRST TR EXCH TRD ALPHA FD I | EUROPE ALPHADEX | 33737J117 | 658 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| FIRST TR EXCH TRD ALPHA FD I | BRAZIL ALPHADEX | 33737J133 | 261 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| FIRST TR EXCH TRD ALPHA FD I | JAPAN ALPHADEX | 33737J158 | 272 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| FIRST TR EXCH TRD ALPHA FD I | DEV MRK EX US | 33737J174 | 214 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| FIRST TR EXCH TRD ALPHA FD I | EMERG MKT ALPH | 33737J182 | 217 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| FIRST TR EXCH TRD ALPHA FD I | GERMANY ALPHA | 33737J190 | 238 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| FIRST TR EXCH TRD ALPHA FD I | SWITZLND ALPHA | 33737J232 | 263 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| FIRST TR EXCHANGE TRADED FD | SENIOR LN FD | 33738D309 | 393 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| FIRST TR EXCHANGE TRADED FD | FIRST TR TA HIYL | 33738D408 | 207 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| FIRST TR EXCHANGE TRADED FD | DORSEY WRT 5 ETF | 33738R605 | 443 | 15 | SH | | DFND | 1 | 0 | 0 | 15 |
| FIRST TR EXCHANGE TRADED FD | FST LOW OPPT EFT | 33739Q200 | 1,097 | 21 | SH | | DFND | 1 | 0 | 0 | 21 |
| FIRST TR EXCHANGE TRADED FD | FIRST TR ENH NEW | 33739Q408 | 1,586 | 26 | SH | | DFND | 1 | 0 | 0 | 26 |
| FIRST TR DYNAMIC EUROPE EQT | COM SHS | 33740D107 | 250 | 18 | SH | | DFND | 1 | 0 | 0 | 18 |
| FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 256 | 29 | SH | | DFND | 1 | 0 | 0 | 29 |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 409 | 44 | SH | | DFND | 1 | 0 | 0 | 44 |
| GENERAL MTRS CO | COM | 37045V100 | 310 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 | 246 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| INTELLIA THERAPEUTICS INC | COM | 45826J105 | 276 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| INVESCO EXCHANGE TRADED FD T | AEROSPACE DEFN | 46137V100 | 227 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 46137V357 | 1,091 | 10 | SH | | DFND | 1 | 0 | 0 | 10 |
| INVESCO EXCHANGE TRADED FD T | FTSE RAFI 1500 | 46137V597 | 351 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| INVESCO EXCHANGE TRADED FD T | DWA CYCLICALS | 46137V803 | 370 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| INVESCO EXCHANGE TRADED FD T | DWA TECHNOLOGY | 46137V811 | 439 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| INVESCO EXCHANGE TRADED FD T | DWA MOMENTUM | 46137V837 | 258 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| INVESCO EXCHANGE TRADED FD T | DWA INDLS MUMT | 46137V845 | 364 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| INVESCO EXCHANGE TRADED FD T | DWA FINL MUMT | 46137V860 | 351 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| INVESCO EXCHNG TRADED FD TR | S&P500 LOW VOL | 46138E354 | 716 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| INVESCO EXCHNG TRADED FD TR | KBW REGL BKG | 46138E578 | 285 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| INVESCO EXCHNG TRADED FD TR | DWA DEV MKTS | 46138E875 | 398 | 15 | SH | | DFND | 1 | 0 | 0 | 15 |
| ISHARES TR | US TREAS BD ETF | 46429B267 | 492 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 | 769 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| ISHARES TR | MIN VOL USA ETF | 46429B697 | 1,001 | 16 | SH | | DFND | 1 | 0 | 0 | 16 |
| ISHARES US ETF TR | SHT MAT BD ETF | 46431W507 | 294 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| ISHARES US ETF TR | HEALTHCARE | 46431W689 | 313 | 11 | SH | | DFND | 1 | 0 | 0 | 11 |
| ISHARES TR | USA QUALITY FCTR | 46432F339 | 411 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| ISHARES TR | USA MOMENTUM FCT | 46432F396 | 1,098 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 | 768 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 | 1,030 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 | 408 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| ISHARES TR | MULTIFACTOR USA | 46434V282 | 721 | 23 | SH | | DFND | 1 | 0 | 0 | 23 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 | 362 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,388 | 12 | SH | | DFND | 1 | 0 | 0 | 12 |
| JP MORGAN EXCHANGE TRADED FD | ULTRA SHRT INC | 46641Q837 | 405 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| KINDER MORGAN INC DEL | COM | 49456B101 | 573 | 27 | SH | | DFND | 1 | 0 | 0 | 27 |
| MASTERCARD INC | CL A | 57636Q104 | 461 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| MERCK & CO INC | COM | 58933Y105 | 565 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| NETFLIX INC | COM | 64110L106 | 1,555 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| NUTANIX INC | CL A | 67059N108 | 472 | 18 | SH | | DFND | 1 | 0 | 0 | 18 |
| NVIDIA CORP | COM | 67066G104 | 276 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 1,087 | 80 | SH | | DFND | 1 | 0 | 0 | 80 |
| NUTRIEN LTD | COM | 67077M108 | 293 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| NUVEEN HIGH INCOME NOVEMBER | COM | 67077N106 | 617 | 62 | SH | | DFND | 1 | 0 | 0 | 62 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 451 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 277 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,751 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| SPDR SERIES TRUST | NUV HGHYLD MUN | 78464A284 | 214 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| SPDR SERIES TRUST | AEROSPACE DEF | 78464A631 | 511 | 5 | SH | | DFND | 1 | 0 | 0 | 5 |
| SPDR SERIES TRUST | S&P DIVID ETF | 78464A763 | 363 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 587 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 578 | 12 | SH | | DFND | 1 | 0 | 0 | 12 |
| SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,177 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
| SALESFORCE COM INC | COM | 79466L302 | 476 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 738 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 304 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 931 | 34 | SH | | DFND | 1 | 0 | 0 | 34 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 962 | 12 | SH | | DFND | 1 | 0 | 0 | 12 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 1,676 | 21 | SH | | DFND | 1 | 0 | 0 | 21 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 998 | 17 | SH | | DFND | 1 | 0 | 0 | 17 |
| SHOPIFY INC | CL A | 82509L107 | 644 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 368 | 32 | SH | | DFND | 1 | 0 | 0 | 32 |
| 3M CO | COM | 88579Y101 | 264 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | 681 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| UNIVERSAL DISPLAY CORP | COM | 91347P105 | 212 | 1 | SH | | DFND | 1 | 0 | 0 | 1 |
| VALERO ENERGY CORP NEW | COM | 91913Y100 | 234 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 304 | 12 | SH | | DFND | 1 | 0 | 0 | 12 |
| VANECK VECTORS ETF TR | INVT GRADE FLTG | 92189F486 | 215 | 9 | SH | | DFND | 1 | 0 | 0 | 9 |
| VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 92189F643 | 891 | 19 | SH | | DFND | 1 | 0 | 0 | 19 |
| VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 330 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD WORLD FDS | UTILITIES ETF | 92204A876 | 254 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 | 434 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 574 | 6 | SH | | DFND | 1 | 0 | 0 | 6 |
| VEREIT INC | COM | 92339V100 | 228 | 25 | SH | | DFND | 1 | 0 | 0 | 25 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,226 | 21 | SH | | DFND | 1 | 0 | 0 | 21 |
| VICTORY PORTFOLIOS II | VCSHS US DISCVRY | 92647N774 | 948 | 25 | SH | | DFND | 1 | 0 | 0 | 25 |
| VICTORY PORTFOLIOS II | VCSHS US 500 ENH | 92647N782 | 1,735 | 35 | SH | | DFND | 1 | 0 | 0 | 35 |
| VICTORY PORTFOLIOS II | VCSHS DEV ENH VL | 92647N816 | 683 | 21 | SH | | DFND | 1 | 0 | 0 | 21 |
| VICTORY PORTFOLIOS II | VCSHS US EQ INCM | 92647N824 | 1,404 | 31 | SH | | DFND | 1 | 0 | 0 | 31 |
| VICTORY PORTFOLIOS II | VCSHS US LRG CAP | 92647N865 | 609 | 13 | SH | | DFND | 1 | 0 | 0 | 13 |
| VICTORY PORTFOLIOS II | VCSHS US SMCP HG | 92647N873 | 340 | 8 | SH | | DFND | 1 | 0 | 0 | 8 |
| VICTORY PORTFOLIOS II | VCSHS INTL HG DV | 92647N881 | 337 | 10 | SH | | DFND | 1 | 0 | 0 | 10 |
| VISA INC | COM CL A | 92826C839 | 300 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 552 | 20 | SH | | DFND | 1 | 0 | 0 | 20 |
| WISDOMTREE TR | US QTLY DIV GRT | 97717X669 | 292 | 7 | SH | | DFND | 1 | 0 | 0 | 7 |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 98980L101 | 202 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| EATON CORP PLC | SHS | G29183103 | 282 | 3 | SH | | DFND | 1 | 0 | 0 | 3 |
| JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 276 | 2 | SH | | DFND | 1 | 0 | 0 | 2 |
| MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 473 | 4 | SH | | DFND | 1 | 0 | 0 | 4 |
