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: | 03-31-2020 |
| 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 | 04-30-2020 |
| [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 |
| ABBOTT LABS | COM | 002824100 | 233 | 2,955 | SH | | DFND | 1 | 0 | 0 | 2,955 |
| ALBEMARLE CORP | COM | 012653101 | 277 | 4,879 | SH | | DFND | 1 | 0 | 0 | 4,879 |
| AMAZON COM INC | COM | 023135106 | 4,350 | 2,231 | SH | | DFND | 1 | 0 | 0 | 2,231 |
| AMETEK INC | COM | 031100100 | 2,776 | 38,538 | SH | | DFND | 1 | 0 | 0 | 38,538 |
| AMGEN INC | COM | 031162100 | 889 | 4,384 | SH | | DFND | 1 | 0 | 0 | 4,384 |
| APPLE INC | COM | 037833100 | 5,073 | 19,949 | SH | | DFND | 1 | 0 | 0 | 19,949 |
| BP PLC | SPONSORED ADR | 055622104 | 305 | 12,495 | SH | | DFND | 1 | 0 | 0 | 12,495 |
| BK OF AMERICA CORP | COM | 060505104 | 457 | 21,547 | SH | | DFND | 1 | 0 | 0 | 21,547 |
| BK OF AMERICA CORP | 7.25%CNV PFD L | 060505682 | 769 | 599 | SH | | DFND | 1 | 0 | 0 | 599 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 927 | 5,072 | SH | | DFND | 1 | 0 | 0 | 5,072 |
| BOEING CO | COM | 097023105 | 804 | 5,390 | SH | | DFND | 1 | 0 | 0 | 5,390 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 890 | 15,961 | SH | | DFND | 1 | 0 | 0 | 15,961 |
| BRISTOL-MYERS SQUIBB CO | RIGHT 99/99/9999 | 110122157 | 72 | 18,960 | SH | | DFND | 1 | 0 | 0 | 18,960 |
| CSX CORP | COM | 126408103 | 226 | 3,937 | SH | | DFND | 1 | 0 | 0 | 3,937 |
| CVS HEALTH CORP | COM | 126650100 | 421 | 7,103 | SH | | DFND | 1 | 0 | 0 | 7,103 |
| CATERPILLAR INC DEL | COM | 149123101 | 237 | 2,041 | SH | | DFND | 1 | 0 | 0 | 2,041 |
| CHEVRON CORP NEW | COM | 166764100 | 503 | 6,939 | SH | | DFND | 1 | 0 | 0 | 6,939 |
| COCA COLA CO | COM | 191216100 | 405 | 9,086 | SH | | DFND | 1 | 0 | 0 | 9,086 |
| CORNING INC | COM | 219350105 | 216 | 10,522 | SH | | DFND | 1 | 0 | 0 | 10,522 |
| CUMMINS INC | COM | 231021106 | 341 | 2,517 | SH | | DFND | 1 | 0 | 0 | 2,517 |
| DISNEY WALT CO | COM DISNEY | 254687106 | 798 | 8,260 | SH | | DFND | 1 | 0 | 0 | 8,260 |
| EMERSON ELEC CO | COM | 291011104 | 236 | 4,952 | SH | | DFND | 1 | 0 | 0 | 4,952 |
| FIDELITY COMWLTH TR | NDQ CP IDX TRK | 315912808 | 262 | 876 | SH | | DFND | 1 | 0 | 0 | 876 |
| FIDELITY COVINGTON TR | MSCI HLTH CARE I | 316092600 | 2,972 | 69,148 | SH | | DFND | 1 | 0 | 0 | 69,148 |
| FIRST BANCSHARES INC MS | COM | 318916103 | 299 | 15,668 | SH | | DFND | 1 | 0 | 0 | 15,668 |
| FIRST TR EXCHANGE TRADED FD | US EQTY OPPT ETF | 336920103 | 380 | 6,031 | SH | | DFND | 1 | 0 | 0 | 6,031 |
| FIRST TR NASDAQ-100 TECH IND | SHS | 337345102 | 600 | 7,104 | SH | | DFND | 1 | 0 | 0 | 7,104 |
| FORD MTR CO DEL | COM | 345370860 | 109 | 22,649 | SH | | DFND | 1 | 0 | 0 | 22,649 |
| GENERAL ELECTRIC CO | COM | 369604103 | 131 | 16,534 | SH | | DFND | 1 | 0 | 0 | 16,534 |
| GENERAL MLS INC | COM | 370334104 | 219 | 4,152 | SH | | DFND | 1 | 0 | 0 | 4,152 |
| GENPREX INC | COM | 372446104 | 85 | 35,150 | SH | | DFND | 1 | 0 | 0 | 35,150 |
| HOME DEPOT INC | COM | 437076102 | 1,113 | 5,963 | SH | | DFND | 1 | 0 | 0 | 5,963 |
| HONEYWELL INTL INC | COM | 438516106 | 243 | 1,818 | SH | | DFND | 1 | 0 | 0 | 1,818 |
| INFOSYS LTD | SPONSORED ADR | 456788108 | 447 | 54,404 | SH | | DFND | 1 | 0 | 0 | 54,404 |
| INTEL CORP | COM | 458140100 | 690 | 12,742 | SH | | DFND | 1 | 0 | 0 | 12,742 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 787 | 7,095 | SH | | DFND | 1 | 0 | 0 | 7,095 |
| ISHARES GOLD TRUST | ISHARES | 464285105 | 313 | 20,750 | SH | | DFND | 1 | 0 | 0 | 20,750 |
| ISHARES TR | CORE S&P TTL STK | 464287150 | 1,030 | 18,009 | SH | | DFND | 1 | 0 | 0 | 18,009 |
| ISHARES TR | TIPS BD ETF | 464287176 | 242 | 2,056 | SH | | DFND | 1 | 0 | 0 | 2,056 |
| ISHARES TR | CORE S&P500 ETF | 464287200 | 8,229 | 31,840 | SH | | DFND | 1 | 0 | 0 | 31,840 |
| ISHARES TR | CORE US AGGBD ET | 464287226 | 3,271 | 28,353 | SH | | DFND | 1 | 0 | 0 | 28,353 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 | 260 | 7,609 | SH | | DFND | 1 | 0 | 0 | 7,609 |
| ISHARES TR | IBOXX INV CP ETF | 464287242 | 281 | 2,273 | SH | | DFND | 1 | 0 | 0 | 2,273 |
| ISHARES TR | S&P 500 GRWT ETF | 464287309 | 1,359 | 8,235 | SH | | DFND | 1 | 0 | 0 | 8,235 |
| ISHARES TR | S&P 500 VAL ETF | 464287408 | 678 | 7,044 | SH | | DFND | 1 | 0 | 0 | 7,044 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 | 225 | 1,366 | SH | | DFND | 1 | 0 | 0 | 1,366 |
| ISHARES TR | BARCLAYS 7 10 YR | 464287440 | 516 | 4,247 | SH | | DFND | 1 | 0 | 0 | 4,247 |
| ISHARES TR | 1 3 YR TREAS BD | 464287457 | 434 | 5,011 | SH | | DFND | 1 | 0 | 0 | 5,011 |
| ISHARES TR | MSCI EAFE ETF | 464287465 | 670 | 12,527 | SH | | DFND | 1 | 0 | 0 | 12,527 |
| ISHARES TR | RUS MD CP GR ETF | 464287481 | 270 | 2,217 | SH | | DFND | 1 | 0 | 0 | 2,217 |
| ISHARES TR | CORE S&P MCP ETF | 464287507 | 3,890 | 27,039 | SH | | DFND | 1 | 0 | 0 | 27,039 |
| ISHARES TR | RUS 1000 ETF | 464287622 | 331 | 2,319 | SH | | DFND | 1 | 0 | 0 | 2,319 |
| ISHARES TR | RUS 2000 VAL ETF | 464287630 | 215 | 2,623 | SH | | DFND | 1 | 0 | 0 | 2,623 |
| ISHARES TR | RUS 2000 GRW ETF | 464287648 | 443 | 2,796 | SH | | DFND | 1 | 0 | 0 | 2,796 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 313 | 2,737 | SH | | DFND | 1 | 0 | 0 | 2,737 |
| ISHARES TR | U.S. REAL ES ETF | 464287739 | 461 | 6,631 | SH | | DFND | 1 | 0 | 0 | 6,631 |
| ISHARES TR | CORE S&P SCP ETF | 464287804 | 3,318 | 59,125 | SH | | DFND | 1 | 0 | 0 | 59,125 |
| ISHARES TR | MRGSTR MD CP GRW | 464288307 | 225 | 1,030 | SH | | DFND | 1 | 0 | 0 | 1,030 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 | 1,538 | 13,612 | SH | | DFND | 1 | 0 | 0 | 13,612 |
| ISHARES TR | MBS ETF | 464288588 | 325 | 2,939 | SH | | DFND | 1 | 0 | 0 | 2,939 |
| ISHARES TR | INTRM GOV CR ETF | 464288612 | 391 | 3,409 | SH | | DFND | 1 | 0 | 0 | 3,409 |
| ISHARES TR | 10-20 YR TRS ETF | 464288653 | 361 | 2,154 | SH | | DFND | 1 | 0 | 0 | 2,154 |
| ISHARES TR | 3 7 YR TREAS BD | 464288661 | 331 | 2,480 | SH | | DFND | 1 | 0 | 0 | 2,480 |
| ISHARES TR | PFD AND INCM SEC | 464288687 | 1,075 | 33,775 | SH | | DFND | 1 | 0 | 0 | 33,775 |
| ISHARES TR | US AER DEF ETF | 464288760 | 406 | 2,825 | SH | | DFND | 1 | 0 | 0 | 2,825 |
| ISHARES TR | U.S. MED DVC ETF | 464288810 | 403 | 1,789 | SH | | DFND | 1 | 0 | 0 | 1,789 |
| JOHNSON & JOHNSON | COM | 478160104 | 1,318 | 10,047 | SH | | DFND | 1 | 0 | 0 | 10,047 |
| LILLY ELI & CO | COM | 532457108 | 679 | 4,892 | SH | | DFND | 1 | 0 | 0 | 4,892 |
| LIONS GATE ENTMNT CORP | CL A VTG | 535919401 | 104 | 17,103 | SH | | DFND | 1 | 0 | 0 | 17,103 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 618 | 1,824 | SH | | DFND | 1 | 0 | 0 | 1,824 |
| LOWES COS INC | COM | 548661107 | 291 | 3,379 | SH | | DFND | 1 | 0 | 0 | 3,379 |
| MCDONALDS CORP | COM | 580135101 | 518 | 3,131 | SH | | DFND | 1 | 0 | 0 | 3,131 |
| MICROSOFT CORP | COM | 594918104 | 2,196 | 13,927 | SH | | DFND | 1 | 0 | 0 | 13,927 |
| MONMOUTH REAL ESTATE INVT CO | CL A | 609720107 | 418 | 34,681 | SH | | DFND | 1 | 0 | 0 | 34,681 |
| NEW YORK MTG TR INC | COM PAR $.02 | 649604501 | 57 | 37,068 | SH | | DFND | 1 | 0 | 0 | 37,068 |
| PEPSICO INC | COM | 713448108 | 850 | 7,078 | SH | | DFND | 1 | 0 | 0 | 7,078 |
| PFIZER INC | COM | 717081103 | 452 | 13,854 | SH | | DFND | 1 | 0 | 0 | 13,854 |
| PHILIP MORRIS INTL INC | COM | 718172109 | 469 | 6,327 | SH | | DFND | 1 | 0 | 0 | 6,327 |
| PROCTER & GAMBLE CO | COM | 742718109 | 1,488 | 13,525 | SH | | DFND | 1 | 0 | 0 | 13,525 |
| QUALCOMM INC | COM | 747525103 | 498 | 7,362 | SH | | DFND | 1 | 0 | 0 | 7,362 |
| RAYTHEON CO | COM NEW | 755111507 | 321 | 2,447 | SH | | DFND | 1 | 0 | 0 | 2,447 |
| REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 933 | 32,454 | SH | | DFND | 1 | 0 | 0 | 32,454 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 | 406 | 5,093 | SH | | DFND | 1 | 0 | 0 | 5,093 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 | 361 | 8,158 | SH | | DFND | 1 | 0 | 0 | 8,158 |
| SCHWAB STRATEGIC TR | US MID-CAP ETF | 808524508 | 291 | 6,896 | SH | | DFND | 1 | 0 | 0 | 6,896 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 | 534 | 10,368 | SH | | DFND | 1 | 0 | 0 | 10,368 |
| SOUTHERN CO | COM | 842587107 | 1,099 | 20,305 | SH | | DFND | 1 | 0 | 0 | 20,305 |
| SQUARE INC | CL A | 852234103 | 622 | 11,878 | SH | | DFND | 1 | 0 | 0 | 11,878 |
| TIMOTHY PLAN | HIG DV STK ETF | 887432326 | 352 | 18,430 | SH | | DFND | 1 | 0 | 0 | 18,430 |
| TIMOTHY PLAN | US LRG CAP COR | 887432359 | 373 | 17,986 | SH | | DFND | 1 | 0 | 0 | 17,986 |
| UNITED PARCEL SERVICE INC | CL B | 911312106 | 255 | 2,733 | SH | | DFND | 1 | 0 | 0 | 2,733 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 | 2,498 | 24,154 | SH | | DFND | 1 | 0 | 0 | 24,154 |
| VANGUARD STAR FDS | VG TL INTL STK F | 921909768 | 222 | 5,283 | SH | | DFND | 1 | 0 | 0 | 5,283 |
| VANGUARD WORLD FD | MEGA CAP INDEX | 921910873 | 1,193 | 13,112 | SH | | DFND | 1 | 0 | 0 | 13,112 |
| VANGUARD BD INDEX FDS | INTERMED TERM | 921937819 | 393 | 4,399 | SH | | DFND | 1 | 0 | 0 | 4,399 |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 6,187 | 72,487 | SH | | DFND | 1 | 0 | 0 | 72,487 |
| VANGUARD TAX-MANAGED INTL FD | FTSE DEV MKT ETF | 921943858 | 334 | 10,009 | SH | | DFND | 1 | 0 | 0 | 10,009 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 | 3,621 | 51,164 | SH | | DFND | 1 | 0 | 0 | 51,164 |
| VANGUARD WHITEHALL FDS | INTL HIGH ETF | 921946794 | 1,834 | 40,490 | SH | | DFND | 1 | 0 | 0 | 40,490 |
| VANGUARD INTL EQUITY INDEX F | ALLWRLD EX US | 922042775 | 1,082 | 26,369 | SH | | DFND | 1 | 0 | 0 | 26,369 |
| VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 334 | 9,973 | SH | | DFND | 1 | 0 | 0 | 9,973 |
| VANGUARD MUN BD FD INC | TAX EXEMPT BD | 922907746 | 818 | 15,454 | SH | | DFND | 1 | 0 | 0 | 15,454 |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 922908363 | 3,452 | 14,575 | SH | | DFND | 1 | 0 | 0 | 14,575 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 | 1,724 | 13,091 | SH | | DFND | 1 | 0 | 0 | 13,091 |
| VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 229 | 1,934 | SH | | DFND | 1 | 0 | 0 | 1,934 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 | 2,838 | 18,097 | SH | | DFND | 1 | 0 | 0 | 18,097 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 | 2,844 | 31,931 | SH | | DFND | 1 | 0 | 0 | 31,931 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 | 633 | 5,485 | SH | | DFND | 1 | 0 | 0 | 5,485 |
| VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 2,180 | 16,907 | SH | | DFND | 1 | 0 | 0 | 16,907 |
| WALMART INC | COM | 931142103 | 1,240 | 10,861 | SH | | DFND | 1 | 0 | 0 | 10,861 |
| WELLS FARGO CO NEW | COM | 949746101 | 302 | 10,521 | SH | | DFND | 1 | 0 | 0 | 10,521 |
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 | 819 | 643 | SH | | DFND | 1 | 0 | 0 | 643 |
| AT&T INC | COM | 00206R102 | 1,589 | 54,494 | SH | | DFND | 1 | 0 | 0 | 54,494 |
| ARK ETF TR | INNOVATION ETF | 00214Q104 | 1,445 | 32,849 | SH | | DFND | 1 | 0 | 0 | 32,849 |
| ARK ETF TR | NEXT GNRTN INTER | 00214Q401 | 275 | 5,214 | SH | | DFND | 1 | 0 | 0 | 5,214 |
| ABBVIE INC | COM | 00287Y109 | 947 | 12,424 | SH | | DFND | 1 | 0 | 0 | 12,424 |
| ACCELERATE DIAGNOSTICS INC | COM | 00430H102 | 144 | 17,540 | SH | | DFND | 1 | 0 | 0 | 17,540 |
| ADOBE INC | COM | 00724F101 | 214 | 672 | SH | | DFND | 1 | 0 | 0 | 672 |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 295 | 1,518 | SH | | DFND | 1 | 0 | 0 | 1,518 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 693 | 596 | SH | | DFND | 1 | 0 | 0 | 596 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 498 | 429 | SH | | DFND | 1 | 0 | 0 | 429 |
| ALTRIA GROUP INC | COM | 02209S103 | 472 | 11,942 | SH | | DFND | 1 | 0 | 0 | 11,942 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 | 276 | 1,267 | SH | | DFND | 1 | 0 | 0 | 1,267 |
| AURORA CANNABIS INC | COM | 05156X108 | 13 | 14,451 | SH | | DFND | 1 | 0 | 0 | 14,451 |
| BARCLAYS BANK PLC | IPATH SHILR CAPE | 06742A669 | 429 | 3,643 | SH | | DFND | 1 | 0 | 0 | 3,643 |
| BARCLAYS BANK PLC | IPATH B S&P ETN | 06745R693 | 242 | 58,500 | SH | | DFND | 1 | 0 | 0 | 58,500 |
| BLACKSTONE GROUP INC | COM CL A | 09260D107 | 1,211 | 26,566 | SH | | DFND | 1 | 0 | 0 | 26,566 |
| BOX INC | CL A | 10316T104 | 379 | 26,989 | SH | | DFND | 1 | 0 | 0 | 26,989 |
| BROADCOM INC | COM | 11135F101 | 353 | 1,488 | SH | | DFND | 1 | 0 | 0 | 1,488 |
| B2GOLD CORP | COM | 11777Q209 | 179 | 58,650 | SH | | DFND | 1 | 0 | 0 | 58,650 |
| CISCO SYS INC | COM | 17275R102 | 884 | 22,482 | SH | | DFND | 1 | 0 | 0 | 22,482 |
| COMCAST CORP NEW | CL A | 20030N101 | 348 | 10,050 | SH | | DFND | 1 | 0 | 0 | 10,050 |
| COSTCO WHSL CORP NEW | COM | 22160K105 | 709 | 2,485 | SH | | DFND | 1 | 0 | 0 | 2,485 |
| CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 517 | 9,282 | SH | | DFND | 1 | 0 | 0 | 9,282 |
| DNP SELECT INCOME FD | COM | 23325P104 | 1,284 | 130,304 | SH | | DFND | 1 | 0 | 0 | 130,304 |
| DOMINION ENERGY INC | COM | 25746U109 | 486 | 6,736 | SH | | DFND | 1 | 0 | 0 | 6,736 |
| DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 424 | 5,239 | SH | | DFND | 1 | 0 | 0 | 5,239 |
| ETF SER SOLUTIONS | DEFIANCE NEXT | 26922A289 | 259 | 11,872 | SH | | DFND | 1 | 0 | 0 | 11,872 |
| ETF SER SOLUTIONS | APTUS DEFINED | 26922A388 | 932 | 33,187 | SH | | DFND | 1 | 0 | 0 | 33,187 |
| ETF SER SOLUTIONS | APTUS DRAWDOWN | 26922A784 | 1,204 | 42,813 | SH | | DFND | 1 | 0 | 0 | 42,813 |
| EATON VANCE MUNI INCOME TRUS | SH BEN INT | 27826U108 | 149 | 12,459 | SH | | DFND | 1 | 0 | 0 | 12,459 |
| EATON VANCE TX ADV GLBL DIV | COM | 27828S101 | 424 | 35,491 | SH | | DFND | 1 | 0 | 0 | 35,491 |
| ENERGY TRANSFER LP | COM UT LTD PTN | 29273V100 | 122 | 26,459 | SH | | DFND | 1 | 0 | 0 | 26,459 |
| EXXON MOBIL CORP | COM | 30231G102 | 381 | 10,031 | SH | | DFND | 1 | 0 | 0 | 10,031 |
| FACEBOOK INC | CL A | 30303M102 | 988 | 5,921 | SH | | DFND | 1 | 0 | 0 | 5,921 |
| FIRST TR EXCHANGE TRADED FD | WTR ETF | 33733B100 | 357 | 7,483 | SH | | DFND | 1 | 0 | 0 | 7,483 |
| FIRST TR VALUE LINE DIVID IN | SHS | 33734H106 | 1,679 | 60,645 | SH | | DFND | 1 | 0 | 0 | 60,645 |
| FIRST TR EXCHANGE TRADED FD | HLTH CARE ALPH | 33734X143 | 420 | 5,675 | SH | | DFND | 1 | 0 | 0 | 5,675 |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 33734X176 | 937 | 15,776 | SH | | DFND | 1 | 0 | 0 | 15,776 |
| FIRST TR EXCHANGE TRADED FD | UTILITIES ALPH | 33734X184 | 415 | 16,905 | SH | | DFND | 1 | 0 | 0 | 16,905 |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 842 | 15,459 | SH | | DFND | 1 | 0 | 0 | 15,459 |
| FIRST TR EXCHANGE TRADED FD | DJ GLBL DIVID | 33734X200 | 208 | 13,038 | SH | | DFND | 1 | 0 | 0 | 13,038 |
| FIRST TR LRG CP VL ALPHADEX | COM SHS | 33735J101 | 428 | 11,639 | SH | | DFND | 1 | 0 | 0 | 11,639 |
| FIRST TR LARGE CAP GROWTH A | COM SHS | 33735K108 | 810 | 13,513 | SH | | DFND | 1 | 0 | 0 | 13,513 |
| FIRST TR EXCHANGE TRADED ALP | EUROPE ALPHADEX | 33737J117 | 360 | 13,870 | SH | | DFND | 1 | 0 | 0 | 13,870 |
| FIRST TR EXCHANGE TRADED ALP | EMERG MKT ALPH | 33737J182 | 216 | 12,282 | SH | | DFND | 1 | 0 | 0 | 12,282 |
| FIRST TR EXCHANGE-TRADED FD | SENIOR LN FD | 33738D309 | 506 | 12,105 | SH | | DFND | 1 | 0 | 0 | 12,105 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR TA HIYL | 33738D408 | 261 | 6,209 | SH | | DFND | 1 | 0 | 0 | 6,209 |
| FIRST TR EXCHANGE-TRADED FD | MULTI ASSET DI | 33738R100 | 354 | 30,177 | SH | | DFND | 1 | 0 | 0 | 30,177 |
| FIRST TR EXCHANGE-TRADED FD | NASD TECH DIV | 33738R118 | 633 | 17,785 | SH | | DFND | 1 | 0 | 0 | 17,785 |
| FIRST TR EXCHANGE-TRADED FD | DORSEY WRT 5 ETF | 33738R605 | 496 | 19,265 | SH | | DFND | 1 | 0 | 0 | 19,265 |
| FIRST TR EXCH TRADED FD III | INSTL PFD SECS | 33739P855 | 358 | 21,199 | SH | | DFND | 1 | 0 | 0 | 21,199 |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 33739Q200 | 1,344 | 26,353 | SH | | DFND | 1 | 0 | 0 | 26,353 |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 33739Q408 | 2,619 | 44,292 | SH | | DFND | 1 | 0 | 0 | 44,292 |
| FIRST TR EXCHNG TRADED FD VI | TCW OPPORTUNIS | 33740F805 | 384 | 7,294 | SH | | DFND | 1 | 0 | 0 | 7,294 |
| FIRST TR SR FLOATING RATE 20 | COM SHS | 33740K101 | 97 | 13,265 | SH | | DFND | 1 | 0 | 0 | 13,265 |
| FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 67 | 18,129 | SH | | DFND | 1 | 0 | 0 | 18,129 |
| GLOBAL X FDS | LITHIUM BTRY ETF | 37954Y855 | 243 | 11,181 | SH | | DFND | 1 | 0 | 0 | 11,181 |
| INDEXIQ ETF TR | IQ MRGR ARB ETF | 45409B800 | 201 | 6,673 | SH | | DFND | 1 | 0 | 0 | 6,673 |
| INTELLIA THERAPEUTICS INC | COM | 45826J105 | 183 | 14,982 | SH | | DFND | 1 | 0 | 0 | 14,982 |
| INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 130 | 10,788 | SH | | DFND | 1 | 0 | 0 | 10,788 |
| INVESCO EXCHANGE TRADED FD T | AEROSPACE DEFN | 46137V100 | 206 | 4,140 | SH | | DFND | 1 | 0 | 0 | 4,140 |
| INVESCO EXCHANGE TRADED FD T | S&P500 BUY WRT | 46137V399 | 239 | 14,287 | SH | | DFND | 1 | 0 | 0 | 14,287 |
| INVESCO EXCHANGE TRADED FD T | DWA INDLS MUMT | 46137V845 | 272 | 4,895 | SH | | DFND | 1 | 0 | 0 | 4,895 |
| INVESCO EXCHANGE-TRADED FD T | S&P500 LOW VOL | 46138E354 | 673 | 14,335 | SH | | DFND | 1 | 0 | 0 | 14,335 |
| INVESCO EXCHANGE-TRADED FD T | PFD ETF | 46138E511 | 245 | 18,637 | SH | | DFND | 1 | 0 | 0 | 18,637 |
| INVESCO EXCHANGE-TRADED FD T | DWA EMERG MKTS | 46138E867 | 177 | 12,170 | SH | | DFND | 1 | 0 | 0 | 12,170 |
| INVESCO EXCH TRD SLF IDX FD | BULSHS 2020 CB | 46138J502 | 389 | 18,506 | SH | | DFND | 1 | 0 | 0 | 18,506 |
| ISHARES TR | US TREAS BD ETF | 46429B267 | 959 | 34,219 | SH | | DFND | 1 | 0 | 0 | 34,219 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 | 476 | 6,651 | SH | | DFND | 1 | 0 | 0 | 6,651 |
| ISHARES TR | MIN VOL EAFE ETF | 46429B689 | 820 | 13,202 | SH | | DFND | 1 | 0 | 0 | 13,202 |
| ISHARES TR | MSCI MIN VOL ETF | 46429B697 | 1,605 | 29,712 | SH | | DFND | 1 | 0 | 0 | 29,712 |
| ISHARES TR | USA QUALITY FCTR | 46432F339 | 830 | 10,238 | SH | | DFND | 1 | 0 | 0 | 10,238 |
| ISHARES TR | CORE MSCI TOTAL | 46432F834 | 395 | 8,405 | SH | | DFND | 1 | 0 | 0 | 8,405 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 | 1,945 | 38,988 | SH | | DFND | 1 | 0 | 0 | 38,988 |
| ISHARES INC | CORE MSCI EMKT | 46434G103 | 437 | 10,798 | SH | | DFND | 1 | 0 | 0 | 10,798 |
| ISHARES TR | MULTIFACTOR USA | 46434V282 | 685 | 25,903 | SH | | DFND | 1 | 0 | 0 | 25,903 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 | 362 | 11,096 | SH | | DFND | 1 | 0 | 0 | 11,096 |
| ISHARES TR | ULTR SH TRM BD | 46434V878 | 448 | 8,947 | SH | | DFND | 1 | 0 | 0 | 8,947 |
| ISHARES TR | ESG MSCI USA ETF | 46435G425 | 426 | 7,406 | SH | | DFND | 1 | 0 | 0 | 7,406 |
| JPMORGAN CHASE & CO | COM | 46625H100 | 1,312 | 14,576 | SH | | DFND | 1 | 0 | 0 | 14,576 |
| J P MORGAN EXCHANGE-TRADED F | ULTRA SHRT INC | 46641Q837 | 293 | 5,907 | SH | | DFND | 1 | 0 | 0 | 5,907 |
| KINDER MORGAN INC DEL | COM | 49456B101 | 404 | 29,035 | SH | | DFND | 1 | 0 | 0 | 29,035 |
| MAG SILVER CORP | COM | 55903Q104 | 91 | 11,800 | SH | | DFND | 1 | 0 | 0 | 11,800 |
| MASTERCARD INC | CL A | 57636Q104 | 242 | 1,000 | SH | | DFND | 1 | 0 | 0 | 1,000 |
| MERCK & CO. INC | COM | 58933Y105 | 649 | 8,375 | SH | | DFND | 1 | 0 | 0 | 8,375 |
| NETFLIX INC | COM | 64110L106 | 1,215 | 3,237 | SH | | DFND | 1 | 0 | 0 | 3,237 |
| NORTHERN LTS FD TR IV | INTRNTINL ESG | 66538H419 | 697 | 34,647 | SH | | DFND | 1 | 0 | 0 | 34,647 |
| NORTHERN LTS FD TR IV | INSPIRE CORP | 66538H633 | 549 | 22,496 | SH | | DFND | 1 | 0 | 0 | 22,496 |
| NUTANIX INC | CL A | 67059N108 | 262 | 16,593 | SH | | DFND | 1 | 0 | 0 | 16,593 |
| NVIDIA CORP | COM | 67066G104 | 708 | 2,685 | SH | | DFND | 1 | 0 | 0 | 2,685 |
| NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 859 | 83,099 | SH | | DFND | 1 | 0 | 0 | 83,099 |
| NUVEEN HIGH INCOME NOVEMBER | COM | 67077N106 | 441 | 50,995 | SH | | DFND | 1 | 0 | 0 | 50,995 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 385 | 4,024 | SH | | DFND | 1 | 0 | 0 | 4,024 |
| PIMCO ETF TR | ACTIVE BD ETF | 72201R775 | 207 | 1,952 | SH | | DFND | 1 | 0 | 0 | 1,952 |
| PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 322 | 3,251 | SH | | DFND | 1 | 0 | 0 | 3,251 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 | 250 | 511 | SH | | DFND | 1 | 0 | 0 | 511 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,508 | 5,821 | SH | | DFND | 1 | 0 | 0 | 5,821 |
| SPDR SER TR | NUVEEN BBG BRCLY | 78464A284 | 410 | 7,491 | SH | | DFND | 1 | 0 | 0 | 7,491 |
| SPDR SER TR | AEROSPACE DEF | 78464A631 | 425 | 5,586 | SH | | DFND | 1 | 0 | 0 | 5,586 |
| SPDR SER TR | S&P DIVID ETF | 78464A763 | 460 | 5,756 | SH | | DFND | 1 | 0 | 0 | 5,756 |
| SPDR SER TR | S&P BIOTECH | 78464A870 | 629 | 8,128 | SH | | DFND | 1 | 0 | 0 | 8,128 |
| SSGA ACTIVE ETF TR | SPDR TR TACTIC | 78467V848 | 760 | 15,841 | SH | | DFND | 1 | 0 | 0 | 15,841 |
| SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 1,240 | 5,642 | SH | | DFND | 1 | 0 | 0 | 5,642 |
| SPDR SER TR | NUVEEN BLMBRG SR | 78468R739 | 215 | 4,392 | SH | | DFND | 1 | 0 | 0 | 4,392 |
| SALESFORCE COM INC | COM | 79466L302 | 473 | 3,288 | SH | | DFND | 1 | 0 | 0 | 3,288 |
| SEA LTD | SPONSORED ADS | 81141R100 | 457 | 10,312 | SH | | DFND | 1 | 0 | 0 | 10,312 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 763 | 8,610 | SH | | DFND | 1 | 0 | 0 | 8,610 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 337 | 6,179 | SH | | DFND | 1 | 0 | 0 | 6,179 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 222 | 2,267 | SH | | DFND | 1 | 0 | 0 | 2,267 |
| SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 256 | 12,269 | SH | | DFND | 1 | 0 | 0 | 12,269 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 385 | 6,525 | SH | | DFND | 1 | 0 | 0 | 6,525 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 877 | 10,910 | SH | | DFND | 1 | 0 | 0 | 10,910 |
| SHOPIFY INC | CL A | 82509L107 | 1,207 | 2,896 | SH | | DFND | 1 | 0 | 0 | 2,896 |
| SPROTT PHYSICAL GOLD TRUST | UNIT | 85207H104 | 371 | 28,300 | SH | | DFND | 1 | 0 | 0 | 28,300 |
| SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 153 | 10,450 | SH | | DFND | 1 | 0 | 0 | 10,450 |
| THERATECHNOLOGIES INC | COM | 88338H100 | 22 | 14,000 | SH | | DFND | 1 | 0 | 0 | 14,000 |
| 3M CO | COM | 88579Y101 | 243 | 1,778 | SH | | DFND | 1 | 0 | 0 | 1,778 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 | 740 | 2,966 | SH | | DFND | 1 | 0 | 0 | 2,966 |
| VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 345 | 14,965 | SH | | DFND | 1 | 0 | 0 | 14,965 |
| VANECK VECTORS ETF TR | MORNINGSTAR WIDE | 92189F643 | 924 | 21,118 | SH | | DFND | 1 | 0 | 0 | 21,118 |
| VANGUARD CHARLOTTE FDS | INTL BD IDX ETF | 92203J407 | 539 | 9,579 | SH | | DFND | 1 | 0 | 0 | 9,579 |
| VANGUARD WORLD FDS | CONSUM STP ETF | 92204A207 | 213 | 1,545 | SH | | DFND | 1 | 0 | 0 | 1,545 |
| VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 458 | 2,163 | SH | | DFND | 1 | 0 | 0 | 2,163 |
| VANGUARD SCOTTSDALE FDS | VNG RUS2000IDX | 92206C664 | 617 | 6,690 | SH | | DFND | 1 | 0 | 0 | 6,690 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 | 542 | 6,221 | SH | | DFND | 1 | 0 | 0 | 6,221 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 1,315 | 24,481 | SH | | DFND | 1 | 0 | 0 | 24,481 |
| VICTORY PORTFOLIOS II | VCSHS US 500 ENH | 92647N782 | 255 | 5,462 | SH | | DFND | 1 | 0 | 0 | 5,462 |
| VICTORY PORTFOLIOS II | VCSHS US EQ INCM | 92647N824 | 1,072 | 25,902 | SH | | DFND | 1 | 0 | 0 | 25,902 |
| VICTORY PORTFOLIOS II | VCSHS US LRG CAP | 92647N865 | 633 | 17,991 | SH | | DFND | 1 | 0 | 0 | 17,991 |
| VICTORY PORTFOLIOS II | VCSHS US SMCP HG | 92647N873 | 417 | 13,314 | SH | | DFND | 1 | 0 | 0 | 13,314 |
| VICTORY PORTFOLIOS II | VCSHS INTL HG DV | 92647N881 | 543 | 23,810 | SH | | DFND | 1 | 0 | 0 | 23,810 |
| VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 169 | 11,461 | SH | | DFND | 1 | 0 | 0 | 11,461 |
| VISA INC | COM CL A | 92826C839 | 634 | 3,932 | SH | | DFND | 1 | 0 | 0 | 3,932 |
| WARRIOR MET COAL INC | COM | 93627C101 | 158 | 14,900 | SH | | DFND | 1 | 0 | 0 | 14,900 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 | 373 | 20,723 | SH | | DFND | 1 | 0 | 0 | 20,723 |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 98980L101 | 950 | 6,499 | SH | | DFND | 1 | 0 | 0 | 6,499 |
| EATON CORP PLC | SHS | G29183103 | 272 | 3,497 | SH | | DFND | 1 | 0 | 0 | 3,497 |
| MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 355 | 2,926 | SH | | DFND | 1 | 0 | 0 | 2,926 |
