0001020918-21-000004.txt : 20210415
0001020918-21-000004.hdr.sgml : 20210415
20210415110204
ACCESSION NUMBER: 0001020918-21-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210415
DATE AS OF CHANGE: 20210415
EFFECTIVENESS DATE: 20210415
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL
CENTRAL INDEX KEY: 0001020918
IRS NUMBER: 362708660
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05772
FILM NUMBER: 21827692
BUSINESS ADDRESS:
STREET 1: 311 SOUTH WACKER DRIVE
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3129838900
MAIL ADDRESS:
STREET 1: 311 S WACKER DR
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
primary_doc.xml
13F-HR
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true
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0001020918
XXXXXXXX
03-31-2021
03-31-2021
ROTHSCHILD INVESTMENT CORP /IL
311 S WACKER DR
SUITE 6500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-05772
N
Bradley C. Drake
Executive Vice President
312-983-8956
Bradley C. Drake
Chicago
IL
04-15-2021
0
530
1159981
false
INFORMATION TABLE
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inftable.xml
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COM
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SH
DFND
0
0
176600
ABIOMED INC COM
COM
003654100
480
1505
SH
DFND
0
0
1505
ACTIVISION BLIZZARD INC COM
COM
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SH
DFND
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6630
ADAPTIVE BIOTECHNOLOGI COM
COM
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201
5000
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0
5000
ADOBE SYS INC
COM
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2880
SH
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0
0
2880
ADVANCE AUTO PARTS INC COM
COM
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5359
SH
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0
0
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COM
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422
SH
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COM
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COM
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COM
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COM
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COM
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AMERISOURCEBERGEN CORP COM
COM
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COM
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COM
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AMN HEALTHCARE SRVCS COM
COM
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ANALOG DEVICES INC
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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BLACKSTONE GROUP INC COM CL A
COM
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BLACKSTONE GSO STRATEG COM SHS
COM
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COM
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COM
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BOOKING HLDGS INC COM
COM
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COM
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COM
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COM
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COM
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BROADCOM INC COM
COM
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BROOKS AUTOMATION INC COM
COM
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COM
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COM
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CALERES INC COM
COM
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CALERES INC COM
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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CBOE HLDGS INC COM
COM
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COM
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COM
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COM
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COM
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CIENA CORP NEW
COM
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CIENA CORP NEW
COM
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COM
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COM
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COM
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CITIGROUP INC COM
COM
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CME GROUP INC COM
COM
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COM
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COM
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COHEN & STEERS QTY RLY COM
COM
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COM
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COM
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COLGATE PALMOLIVE COMPANY
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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DIGITAL RLTY TR INC COM
COM
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COM
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COM
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COM
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DISCOVERY COMMUNICATIONS INC C
COM
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COM
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COM
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COM
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COM
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COM
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COM
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DOW INC COM
COM
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DRAFTKINGS INC COM CL A
COM
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COM
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DUPONT DE NEMOURS INC COM
COM
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COM
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COM
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COM
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COM
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COM
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COM
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EXXON MOBIL CORP COM
COM
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COM
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COM
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COM
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COM
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COM
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COM
375558103
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5107
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DFND
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0
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GLAXO SMITHKLINE PLC SPONS ADR
COM
37733w105
1177
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DFND
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0
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GLOBUS MED INC CL A
COM
379577208
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GLOBUS MED INC CL A
COM
379577208
22
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362
GOLDMAN SACHS BDC INC SHS
COM
38147u107
263
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DFND
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0
13593
GOLDMAN SACHS GROUP COM
COM
38141G104
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DFND
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0
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GRAINGER W W INC
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384802104
857
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GRAINGER W W INC
COM
384802104
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0
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GRAYSCALE BITCOIN TR BTC SHS
COM
389637109
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DFND
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0
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GRAYSCALE ETHEREUM TR SHS
COM
389638107
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DFND
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0
265302
GREEN CURES & BOTANICL COM NEW
COM
393007208
0
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DFND
0
0
10000
GREEN THUMB INDUSTRIES SUB VTG
COM
39342l108
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SH
DFND
0
0
47200
GW PHARMACEUTICALS PLC ADS
COM
36197T103
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DFND
0
0
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HALLIBURTON COMPANY
COM
406216101
277
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DFND
0
0
12900
HANES BRANDS INC COM
COM
410345102
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SH
DFND
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0
34498
HCA HOLDINGS INC COM
COM
40412c101
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DFND
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0
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HOME DEPOT INC
COM
437076102
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DFND
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0
21610
HONEYWELL INTL
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438516106
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DFND
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200
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ILIKA PLC ORD SHS
COM
G47602100
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DFND
0
0
17000
ILLINOIS TOOL WORKS
COM
452308109
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DFND
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0
62032
ILLUMINA INC COM
COM
452327109
265
691
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DFND
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0
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INPHI CORP COM
COM
45772f107
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DFND
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0
9450
INTEL CORPORATION
COM
458140100
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DFND
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0
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INTERNATIONAL BUSINESS MACHINE
COM
459200101
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DFND
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0
39136
INTERNATIONAL PAPER CO
COM
460146103
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14214
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DFND
0
0
14214
INTUITIVE SURGICAL INC COM NEW
COM
46120e602
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DFND
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0
1700
INVESCO ETF TR II S&P 500 LOW
COM
46138E354
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DFND
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0
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INVESCO ETF TR S&P 500 EQUAL W
COM
46137V357
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INVESCO EXCHNG TRADED S&P MIDC
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INVESCO LTD SHS
COM
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INVITATION HOMES INC COM
COM
46187w107
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0
278354
IPG PHOTONICS CORP COM
COM
44980x109
194
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SOLE
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0
IPG PHOTONICS CORP COM
COM
44980x109
48
227
SH
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0
227
ISHARES INC MSCI JAPAN
COM
46434g822
292
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DFND
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0
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ISHARES SILVER TRUST ISHARES
COM
46428q109
265
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SH
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0
11670
ISHARES TR CONSER ALLOC ETF
COM
464289883
1279
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SH
DFND
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0
33100
ISHARES TR CORE DIV GRWTH
COM
46434v621
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DFND
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0
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ISHARES TR GRWT ALLOCAT ETF
COM
464289867
268
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0
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ISHARES TR MSCI EAFE IDX
COM
464287465
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DFND
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0
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ISHARES TR NASDQ BIO INDX
COM
464287556
241
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DFND
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0
1600
ISHARES TR RUSL 2000 GROW
COM
464287648
241
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DFND
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0
801
ISHARES TR RUSSELL 1000
COM
464287622
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DFND
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ISHARES TR RUSSELL1000GRW
COM
464287614
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ISHARES TR S&P SMLCAP 600
COM
464287804
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J P MORGAN CHASE & CO COM
COM
46625h100
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JOHNSON & JOHNSON
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KBR INC COM
COM
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KBR INC COM
COM
48242w106
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KELLOGG COMPANY
COM
487836108
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KIMBERLY CLARK CORP
COM
494368103
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KINDER MORGAN INC DEL COM
COM
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KKR & CO INC CL A
COM
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KLA CORP COM
COM
482480100
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KRAFT HEINZ CO COM
COM
500754106
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KRANESHARES TR CSI CHI INTERNE
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500767306
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KROGER CO
COM
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LAM RESEARCH
COM
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LAMB WESTON HLDGS INC COM
COM
513272104
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LEAR CORP COM NEW
COM
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LILLY ELI & COMPANY
COM
532457108
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LINCOLN NATL CORP IND COM
COM
534187109
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LINDE PLC
COM
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LOCKHEED MARTIN CORP
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LOWES COS INC COM
COM
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LUMENTUM HLDGS INC COM
COM
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LUMENTUM HLDGS INC COM
COM
55024u109
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LYONDELLBASELL INDUSTR SHS - A
COM
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MACYS INC COM
COM
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MARRIOTT INTL INC COM
COM
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MASTERCARD INC COM
COM
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MCDONALDS CORPORATION
COM
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MCDONALDS CORPORATION
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MEDICAL PPTYS TR INC COM
COM
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MEDTRONIC PLC SHS
COM
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MERCK & COMPANY INC.
COM
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METLIFE INC COM
COM
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MICROCHIP TECHNOLOGY COM
COM
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MICROCHIP TECHNOLOGY COM
COM
595017104
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MICROSOFT CORP
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MICROSTRATEGY INC CL A NEW
COM
594972408
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MODERNA INC COM
COM
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MONDELEZ INTL INC CL A
COM
609207105
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MORGAN STANLEY COM NEW
COM
617446448
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MOTOROLA SOLUTIONS INC COM NEW
COM
620076307
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NESTLE S A REP RG SH ADR
COM
641069406
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NEW MTN FIN CORP COM
COM
647551100
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NEW RESIDENTIAL INVT CORP COM
COM
64828t201
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NEWELL BRAND INC.
COM
651229106
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NEXTERA ENERGY INC COM
COM
65339F101
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NIKE INC CLASS B
COM
654106103
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NISOURCE INC. COM
COM
65473p105
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NORFOLK SOUTHERN CORP
COM
655844108
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DFND
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NORTHERN TRUST CORPORATION
COM
665859104
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NORTONLIFELOCK INC COM
COM
668771108
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NOVARTIS A G SPONSORED ADR
COM
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NOVO NORDISK
COM
670100205
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NUCOR CORP
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670346105
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NVIDIA CORP COM
COM
67066G104
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OCCIDENTAL PETE CORP
COM
674599105
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OLD REP INTL CORP
COM
680223104
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DFND
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0
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OLD SECOND BANCORP INC COM
COM
680277100
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DFND
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ONEOK INC NEW COM
COM
682680103
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0
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OPENDOOR TECHNOLOGIES INC COM
COM
683712103
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ORACLE SYS CORP
COM
68389X105
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ORACLE SYS CORP
COM
68389X105
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OSHKOSH TRUCK CORP
COM
688239201
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OSHKOSH TRUCK CORP
COM
688239201
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OTIS WORLDWIDE CORP COM
COM
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PACIRA BIOSCIENCES COM
COM
695127100
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PACIRA BIOSCIENCES COM
COM
695127100
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PALANTIR TECHNOLOGIES CL A
COM
69608a108
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DFND
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0
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PALO ALTO NETWORKS INC COM
COM
697435105
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SH
DFND
0
0
36945
PARKER HANNIFIN CORP COM
COM
701094104
240
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DFND
0
0
760
PAYPAL INC COM
COM
70450y103
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0
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PELOTON INTERACTIVE IN CL A CO
COM
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PENN NATL GAMING INC COM
COM
707569109
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SH
DFND
0
0
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PEPSICO INC
COM
713448108
792
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PEPSICO INC
COM
713448108
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0
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PERSPECTA INC COM
COM
715347100
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PETMED EXPRESS INC COM
COM
716382106
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PFIZER INC
COM
717081103
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DFND
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PHILIP MORRIS INTL INC COM
COM
718172109
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DFND
0
0
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PHILLIPS 66 COM
COM
718546104
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DFND
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0
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PINNACLE FINL PARTNERS COM
COM
72346q104
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PINNACLE FINL PARTNERS COM
COM
72346q104
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PINNACLE WEST CAPITAL CORP USD
COM
723484101
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DFND
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PIONEER NAT RES CO COM
COM
723787107
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PIONEER NAT RES CO COM
COM
723787107
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556
PITNEY BOWES INC
COM
724479100
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0
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PNC FINANCIAL CORP
COM
693475105
698
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PNC FINANCIAL CORP
COM
693475105
229
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0
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POSEIDA THERAPEUTICS I COM
COM
73730p108
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0
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PPL CORPORATION
COM
69351T106
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PRECISION ASSESSMENT COM
COM
74018g109
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DFND
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0
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PRICE T ROWE GROUP INC COM
COM
74144t108
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DFND
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0
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PROCTER & GAMBLE CO
COM
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PROGRESSIVE CORP OHIO
COM
743315103
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DFND
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0
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PROSHARES TR SHORT S&P 500
COM
74347b425
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SH
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0
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PROSHRS TR SHRT 20PLUS YR TR E
COM
74347x849
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SH
DFND
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0
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PUBLIC STORAGE INC COM
COM
74460D109
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DFND
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75
36445
QRS MUSIC TECHNOLOGIES COM
COM
74726W107
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SH
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QUALCOMM INC
COM
747525103
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RAYTHEON TECHNOLOGIES CORP
COM
75513e101
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REAL BRANDS INC COM
COM
75584q108
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REGENERON PHARMA INC COM
COM
75886f107
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ROBLOX CORP CL A
COM
771049103
249
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SH
DFND
0
0
3840
SADDLE RANCH MEDIA INC COM
COM
786239103
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SH
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SALESFORCE.COM INC COM
COM
79466l302
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SH
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SCHWEITZER-MAUDUIT INTL INC CO
COM
808541106
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SCHWEITZER-MAUDUIT INTL INC CO
COM
808541106
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SH
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SEAGATE TECHNOLOGY PLC SHS
COM
g7945m107
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SECTOR SPIDER TR TECHNOLOGY
COM
81369Y803
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SEMPRA ENERGY COM
COM
816851109
273
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SENSIENT TECH CORP COM
COM
81725T100
222
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0
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SHERWIN WILLIAMS CO
COM
824348106
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SKECHERS U S A INC CL A
COM
830566105
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SKECHERS U S A INC CL A
COM
830566105
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SH
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SNAP INC CL A
COM
83304a106
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SOUTHCREST FINL GROUP COM
COM
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SOUTHERN COMPANY
COM
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SH
DFND
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SOUTHWEST AIRLS CO
COM
844741108
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DFND
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SPDR DOW JONES INDL AVG ETF
COM
78467x109
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0
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SPDR SER TR S&P HOMEBUILDERS E
COM
78464a888
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SPDR SERIES TRUST S&P REGL BKG
COM
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0
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SPDR SERIES TRUST S&P RETAIL E
COM
78464a714
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SPROTT FOCUS TR INC COM
COM
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SPX FLOW INC COM
COM
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SPX FLOW INC COM
COM
78469x107
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STANLEY BLACK & DECKER COM
COM
854502101
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STANLEY BLACK & DECKER COM
COM
854502101
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SH
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STARBUCKS CORP COM
COM
855244109
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DFND
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0
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STARWOOD PPTY TR INC COM
COM
85571b105
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STATE STREET BOSTON CORP
COM
857477103
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STMICROELECTRONICS N V NY REGI
COM
861012102
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STRYKER CORP
COM
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SYSCO CORP
COM
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TARGET CORP COM
COM
87612E106
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TE CONNECTIVITY LTD
COM
H84989104
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TECNOGLASS INC SHS
COM
g87264100
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TECNOGLASS INC SHS
COM
g87264100
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TEGNA INC
COM
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TESLA MTRS INC COM
COM
88160R101
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TEXAS PACIFIC LAND
COM
88262p102
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THE CHARLES SCHWAB CORP
COM
808513105
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0
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THERMO FISHER SCIENTIFIC
COM
883556102
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THERMO FISHER SCIENTIFIC
COM
883556102
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TILLYS INC CL A
COM
886885102
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TJX COMPANIES INC (NEW)
COM
872540109
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TRACTOR SUPPLY CO COM
COM
892356106
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SOLE
1419
0
0
TRACTOR SUPPLY CO COM
COM
892356106
35
199
SH
DFND
0
0
199
TRAVELERS COS INC COM
COM
89417E109
461
3067
SH
DFND
0
0
3067
TRUIST FINL CORP COM
COM
89832q109
7034
120616
SH
DFND
0
0
120616
TRULIEVE CANNABIS CORP COM
COM
89788c104
824
18100
SH
DFND
0
0
18100
UBER TECHNOLOGIES INC COM
COM
90353t100
2739
50250
SH
DFND
0
0
50250
ULTA SALON COSM & FRAG COM
COM
90384s303
852
2755
SH
DFND
0
0
2755
UNION PACIFIC CORPORATION
COM
907818108
802
3637
SH
DFND
0
0
3637
UNITED PARCEL SERVICE CL B
COM
911312106
1067
6278
SH
DFND
0
0
6278
UNITEDHEALTH GRP INC
COM
91324p102
878
2360
SH
SOLE
2360
0
0
UNITEDHEALTH GRP INC
COM
91324p102
902
2423
SH
DFND
0
0
2423
UNIVERSAL DISPLAY CORP COM
COM
91347P105
1990
8405
SH
DFND
0
0
8405
UNIVERSAL HEALTH RLTY INCOME S
COM
91359E105
437
6445
SH
DFND
0
0
6445
US BANCORP DEL COM
COM
902973304
806
14565
SH
DFND
0
0
14565
VANGUARD INDEX FDS
COM
922908363
1098
3015
SH
DFND
0
0
3015
VANGUARD INDEX FDS EXTEND MKT
COM
922908652
6904
39025
SH
DFND
0
0
39025
VANGUARD INDEX FDS GROWTH ETF
COM
922908736
5427
21112
SH
DFND
0
0
21112
VANGUARD INDEX FDS REIT ETF
COM
922908553
1435
15620
SH
DFND
0
0
15620
VANGUARD INDEX FDS SMALL CP ET
COM
922908751
214
1000
SH
DFND
0
0
1000
VANGUARD INDEX FDS VALUE ETF
COM
922908744
323
2460
SH
DFND
0
0
2460
VANGUARD INTL EQUITY I TT WRLD
COM
922042742
739
7600
SH
DFND
0
0
7600
VANGUARD SPECIALIZED DIV APP E
COM
921908844
8774
59656
SH
DFND
0
0
59656
VANGUARD WHITEHALL FDS HIGH DI
COM
921946406
498
4922
SH
DFND
0
0
4922
VANGUARD WORLD FDS UTILITIES E
COM
92204a876
456
3245
SH
DFND
0
0
3245
VECTOR GROUP LTD COM
COM
92240M108
604
43328
SH
DFND
0
0
43328
VEEVA SYS INC CL A COM
COM
922475108
612
2342
SH
DFND
0
0
2342
VENTAS INC COM
COM
92276F100
2963
55550
SH
DFND
0
200
55350
VERIZON COMMUNICATIONS COM
COM
92343v104
9822
168908
SH
DFND
0
0
168908
VIATRIS INC COM
COM
92556v106
364
26080
SH
DFND
0
24
26056
VIR BIOTECHNOLOGY INC COM
COM
92764n102
2125
41450
SH
DFND
0
0
41450
VISA INC COM CL A
COM
92826c839
757
3577
SH
SOLE
3577
0
0
VISA INC COM CL A
COM
92826c839
5850
27629
SH
DFND
0
0
27629
WAL MART STORES INC
COM
931142103
4971
36598
SH
DFND
0
0
36598
WALGREEN BOOTS ALLIANCE INC CO
COM
931427108
302
5498
SH
SOLE
5498
0
0
WALGREEN BOOTS ALLIANCE INC CO
COM
931427108
9587
174634
SH
DFND
0
0
174634
WALT DISNEY PRODUCTIONS
COM
254687106
657
3558
SH
SOLE
3558
0
0
WALT DISNEY PRODUCTIONS
COM
254687106
14466
78397
SH
DFND
0
0
78397
WASTE MGMT INC COM
COM
94106L109
10875
84286
SH
DFND
0
0
84286
WEC ENERGY GROUP INC COM
COM
92939u106
2868
30644
SH
DFND
0
0
30644
WELLS FARGO & COMPANY
COM
949746101
1791
45850
SH
DFND
0
0
45850
WESTAIM CORP COM NEW
COM
956909303
43
20000
SH
DFND
0
0
20000
WILLIAMS COS INC DEL COM
COM
969457100
294
12415
SH
DFND
0
0
12415
WILLIS TWRS WATSON PLC LKD TO
COM
g96629103
266
1163
SH
DFND
0
0
1163
WILLSCOT MOBIL MINI HL COM CL
COM
971378104
390
14063
SH
SOLE
14063
0
0
WILLSCOT MOBIL MINI HL COM CL
COM
971378104
30
1087
SH
DFND
0
0
1087
WINTRUST FINL CORP COM
COM
97650W108
153
2012
SH
SOLE
2012
0
0
WINTRUST FINL CORP COM
COM
97650W108
131
1731
SH
DFND
0
0
1731
WNS HOLDINGS LTD SPON ADR
COM
92932M101
301
4158
SH
SOLE
4158
0
0
YETI HLDGS INC COM
COM
98585x104
95
1317
SH
SOLE
1317
0
0
YETI HLDGS INC COM
COM
98585x104
9526
131925
SH
DFND
0
0
131925
YUM BRANDS INC COM
COM
988498101
237
2195
SH
DFND
0
0
2195
ZEBRA TECHNOLOGIES CP CL A
COM
989207105
236
486
SH
SOLE
486
0
0
ZEBRA TECHNOLOGIES CP CL A
COM
989207105
628
1294
SH
DFND
0
0
1294
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
429
2678
SH
DFND
0
0
2678
ZOETIS INC CL A
COM
98978v103
323
2050
SH
DFND
0
0
2050
ALIBABA GROUP HLDG LTD SPONSOR
ADR
01609w102
2235
9856
SH
DFND
0
0
9856
LI AUTO INC SPONSORED ADS
ADR
50202m102
216
8635
SH
DFND
0
0
8635
ROCHE HLDG LTD SPONSORED ADR
ADR
771195104
280
6900
SH
DFND
0
0
6900
ROYAL DUTCH SHELL B
ADR
780259107
228
6182
SH
DFND
0
0
6182
SAFRAN S A SPON ADR
ADR
786584102
407
11955
SH
DFND
0
0
11955
SANOFI SPONSORED ADR
ADR
80105n105
299
6045
SH
DFND
0
0
6045
TAIWAN SEMICONDUCTOR SPONSORED
ADR
874039100
447
3781
SH
DFND
0
0
3781
TAKEDA PHARMACEUTICAL CO. LTD
ADR
874060205
628
34410
SH
DFND
0
0
34410
TENCENT HLDGS LTD ADR
ADR
88032q109
3804
47667
SH
DFND
0
0
47667
TRIP COM GROUP LTD ADS
ADR
89677q107
841
21225
SH
DFND
0
0
21225
BLACKSTONE REAL ESTATE INC TR
RE
per092613
2338
198352
SH
DFND
0
0
198352
ALLIANCEBERNSTEIN HLDGS LP UNI
LP
01881g106
405
10134
SH
DFND
0
0
10134
CRESSET DIVERSIFIED QOZ FUND L
LP
225lp5112
250
250000
SH
DFND
0
0
250000
ENTERPRISE PRODS PARTNERS LP C
LP
293792107
2065
93800
SH
DFND
0
0
93800
JVM PRFD EQTY FD - 2020 SERIES
LP
670cc1024
50
50000
SH
DFND
0
0
50000
MAGELLAN MIDSTREAM PARTNERS LP
LP
559080106
2922
67400
SH
DFND
0
250
67150
PLAINS ALL AM PIPELINE UNIT LT
LP
726503105
115
12600
SH
DFND
0
0
12600
ADVISORS SER TR POPLAR FRST CO
MF
00770x535
6258
203563
SH
DFND
0
0
203563
AMCAP FD INC CL F 3
MF
023375777
237
5767
SH
DFND
0
0
5767
AMER FDS RET INC PORTF ENCHANC
MF
02631l528
233
17826
SH
DFND
0
0
17826
AMERICAN BALANCED FD SHS F-2 C
MF
024071821
899
28795
SH
DFND
0
0
28795
AMERICAN DEV WRLD GRWTH&INC FD
MF
02630f506
6593
509880
SH
DFND
0
0
509880
AMERICAN FDS PORTFOLIO BALANCE
MF
02630y224
472
26767
SH
DFND
0
0
26767
AMERICAN FDS PORTFOLIO GBL GRO
MF
02630r344
465
20485
SH
DFND
0
0
20485
AMERICAN FDS PORTFOLIO GLOBL G
MF
02630r567
240
10530
SH
DFND
0
0
10530
AMERICAN FDS PORTFOLIO GRW & I
MF
02630r609
735
40952
SH
DFND
0
0
40952
AMERICAN FDS TARGET DA 2030 TR
MF
02631v500
679
39261
SH
DFND
0
0
39261
AMERICAN FDS TARGET DA 2045 TR
MF
02631v807
351
17727
SH
DFND
0
0
17727
AMERICAN FUNDS DEV WLD GRWTH &
MF
02630f779
1482
114675
SH
DFND
0
0
114675
AMERICAN MUTUAL FUND CLASS F3
MF
027681774
1300
27152
SH
DFND
0
0
27152
BLACKROCK FDS III LIFPT2025 IN
MF
066923848
383
24221
SH
DFND
0
0
24221
BLAIR WILLIAM SM MID CAP GRWTH
MF
093001295
348
9535
SH
DFND
0
0
9535
BRANDES INVT TR EMRGN MKT VAL
MF
105262752
174
19463
SH
DFND
0
0
19463
CAPITAL INCOME BLDR FD CL F 3
MF
140193780
11217
170729
SH
DFND
0
0
170729
CAPITAL INCOME BLDR IN SHS CL
MF
140194101
5147
78387
SH
DFND
0
0
78387
CAPITAL WORLD GRW&INCM CL F-2
MF
140543828
1189
19273
SH
DFND
0
0
19273
CAPITAL WORLD GRWTH AND INC FD
MF
140543117
2813
45548
SH
DFND
0
0
45548
COLUMBIA ACORN FUND CL Z
MF
197199409
212
12502
SH
DFND
0
0
12502
COLUMBIA FDS SER TR I DIVD INC
MF
19765n278
564
20148
SH
DFND
0
0
20148
COLUMBIA FDS SER TR II PRT BLD
MF
19766g611
277
19336
SH
DFND
0
0
19336
COLUMBIA FDS SER TR LF GL BAL
MF
19765h792
246
18107
SH
DFND
0
0
18107
DNP SELECT INCOME FD INC COM
MF
23325P104
456
46171
SH
DFND
0
0
46171
DODGE & COX STK FD COM
MF
256219106
1149
5205
SH
DFND
0
0
5205
DREYFUS LIQUID ASSETS FUND CLA
MF
262015100
12
11520
SH
DFND
0
0
11520
EATON VANCE GROWTH TR ATL CAPT
MF
277902698
296
7262
SH
DFND
0
0
7262
EUROPACIFIC GROWTH FD SHS CL F
MF
29875e100
227
3304
SH
DFND
0
0
3304
FIDELITY 500 INDEX FUND
MF
315911750
1422
10292
SH
DFND
0
0
10292
FIDELITY COMWLTH TR NASD COMP
MF
315912709
1286
7724
SH
DFND
0
0
7724
FRANKLIN CUSTODIAN FDS INCOME
MF
353496631
54
22072
SH
DFND
0
0
22072
FUNDAMENTAL INVESTORS CL F3
MF
360802771
1961
26751
SH
DFND
0
0
26751
GRANDEUR PEAK EMERGING MKTS OP
MF
31761R401
6378
374070
SH
DFND
0
0
374070
GRANDEUR PEAK GLBL MICRO CAP F
MF
31761r732
2262
117708
SH
DFND
0
0
117708
GRANDEUR PEAK GLBL STALWARTS C
MF
31761r773
6490
296756
SH
DFND
0
0
296756
GRANDEUR PEAK GLOBAL OPP FD IN
MF
317609360
7039
1345938
SH
DFND
0
0
1345938
GRANDEUR PEAK INTL STALWARTS C
MF
31761r757
4683
208885
SH
DFND
0
0
208885
HARRIS ASSOC INVT TR OAKMARK I
MF
413838202
253
8886
SH
DFND
0
0
8886
INCOME FD AMER INC CL F3
MF
453320772
1747
70491
SH
DFND
0
0
70491
INTERNATIONAL GROWTH I CL F 3
MF
45956t774
408
10205
SH
DFND
0
0
10205
INTERNATIONAL GRW & IN CL F-2
MF
45956t501
234
5837
SH
DFND
0
0
5837
INVESCO GLBL HEALTH CARE FUND
MF
00141v820
427
9499
SH
DFND
0
0
9499
INVESCO/OPP GLBL STRAT INC FD
MF
00143K756
97
26649
SH
DFND
0
0
26649
INVESCO/OPP INTL SM MID CO FD
MF
00900W555
361
6743
SH
DFND
0
0
6743
INVESCO/OPP INTL SMALL MID CO
MF
00900W530
854
16021
SH
DFND
0
0
16021
INVESCO/OPP STEELPATH MLP INC
MF
00143K285
57
14532
SH
DFND
0
0
14532
INVESCO/OPP STEELPATH MLP SEL4
MF
00143K228
157
29326
SH
DFND
0
0
29326
INVESTMENT CO AMER CL F3
MF
461308777
650
13737
SH
DFND
0
0
13737
LORD ABBETT INVT TR INCOME FD
MF
543916365
30
10081
SH
DFND
0
0
10081
MUTUAL FD SER TR ALPHACENTRIC
MF
62827m144
2054
178439
SH
DFND
0
0
178439
NEW PERSPECTIVE FD INC CL F3
MF
648018778
1687
27275
SH
DFND
0
0
27275
NEW WORLD FD INC NEW CL F3
MF
649280773
999
11266
SH
DFND
0
0
11266
POPLAR FOREST PARTNERS INSTITU
MF
00768d798
12371
234514
SH
DFND
0
0
234514
PRUDENTIAL WRLD FD IN JNSON GL
MF
743969685
207
4761
SH
DFND
0
0
4761
SEQUOIA FD INC COM
MF
817418106
360
1954
SH
DFND
0
0
1954
SMALLCAP WORLD FD INC CL F3
MF
831681770
282
3384
SH
DFND
0
0
3384
THE GROWTH FD OF AMERICA CL F3
MF
399874775
1079
15575
SH
DFND
0
0
15575
VANGUARD INDEX FDS TOT STKIDX
MF
922908728
423
4207
SH
DFND
0
0
4207
VANGUARD INDEX TR 500 INDEX AD
MF
922908710
853
2326
SH
DFND
0
0
2326
VANGUARD SPECIALIZED HEALTHCAR
MF
921908885
370
4138
SH
DFND
0
0
4138
WASHINGTON MUT INVS FD CL F3
MF
939330775
543
10023
SH
DFND
0
0
10023
INVESCO ETF TR II FTSE RAFI DE
EXCH
46138E743
1259
27235
SH
DFND
0
0
27235
INVESCO ETF TR II FTSE RAFI EM
EXCH
46138E727
7837
347985
SH
DFND
0
0
347985
INVESCO ETF TR II RUSSELL 1000
EXCH
46138E420
991
23075
SH
DFND
0
0
23075
INVESCO ETF TR S&P 500 PURE VA
EXCH
46137V258
3214
43440
SH
DFND
0
0
43440
INVESCO ETF TRUST FTSE RAFI US
EXCH
46137V613
10358
68293
SH
DFND
0
0
68293
INVESCO QQQ TR UNIT SER 1
EXCH
46090E103
2492
7810
SH
DFND
0
0
7810
ISHARES TR DJ HOME CONSTN
EXCH
464288752
1691
24910
SH
DFND
0
0
24910
ISHARES TR MSCI EMERG MKT
EXCH
464287234
645
12095
SH
DFND
0
0
12095
ISHARES TR NORTH AMERN NAT
EXCH
464287374
754
27345
SH
DFND
0
0
27345
ISHARES TR RUSSELL 2000
EXCH
464287655
4121
18654
SH
DFND
0
0
18654
ISHARES TR RUSSELL1000VAL
EXCH
464287598
3457
22811
SH
DFND
0
0
22811
SELECT SECTOR SPDR TR SBI INT-
EXCH
81369y605
305
8967
SH
DFND
0
0
8967
SPDR S&P 500 ETF TR UNIT SER 1
EXCH
78462F103
8556
21588
SH
DFND
0
0
21588
SPDR S&P MIDCAP 400 ETF TR UNI
EXCH
78467y107
852
1790
SH
DFND
0
0
1790
SPIDER GOLD TR SHS
EXCH
78463V107
646
4040
SH
DFND
0
0
4040
VANECK VECTORS ETF TR VIDEO GA
EXCH
92189f114
1076
15745
SH
DFND
0
0
15745
VANGUARD INDEX TR STK MRK VIPE
EXCH
922908769
1923
9306
SH
DFND
0
0
9306
WISDOMTREE TR EMERGING MKTS YL
EXCH
97717w315
1339
30180
SH
DFND
0
0
30180
WISDOMTREE TRUST DEFA FD
EXCH
97717w703
313
5960
SH
DFND
0
0
5960
AMERICAN BALANCED FD CL F3
BAL MF
024071771
5944
190385
SH
DFND
0
0
190385
AMERICAN FDS CONSERVATIVE GRWT
BAL MF
02630q205
995
74699
SH
DFND
0
0
74699
AMERICAN FDS GLOBAL BA CL F3
BAL MF
02629w775
660
17429
SH
DFND
0
0
17429
AMERICAN FDS MODERATE GRWTH &
BAL MF
02630q106
816
46319
SH
DFND
0
0
46319
VIRTUS ALLIANZGI INCM GR INST
BAL MF
92837n535
520
39156
SH
DFND
0
0
39156
EATON VANCE TXMG GLOBAL OPPORT
CLE FDS
27829c105
356
34472
SH
DFND
0
0
34472
ROYCE GLOBAL VALUE TR INC COM
CLE FDS
78081t104
513
36078
SH
DFND
0
0
36078
ROYCE VALUE TR INC COM
CLE FDS
780910105
4712
260166
SH
DFND
0
0
260166
VIRTUS ALLIANZGI EQUITY & CONV
CLE FDS
92841m101
957
34177
SH
DFND
0
0
34177
GABELLI UTILITY TR RTS EXPIRE
RGHTS
36240a168
1
11648
SH
DFND
0
0
11648