0001166928-20-000127.txt : 20201030
0001166928-20-000127.hdr.sgml : 20201030
20201030094356
ACCESSION NUMBER: 0001166928-20-000127
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201030
DATE AS OF CHANGE: 20201030
EFFECTIVENESS DATE: 20201030
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WEST BANCORPORATION INC
CENTRAL INDEX KEY: 0001166928
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 421230603
STATE OF INCORPORATION: IA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19827
FILM NUMBER: 201275471
BUSINESS ADDRESS:
STREET 1: 1601 22ND ST
CITY: WEST DES MOINES
STATE: IA
ZIP: 50266
BUSINESS PHONE: 5152222309
MAIL ADDRESS:
STREET 1: 1601 22ND ST
CITY: WEST DES MOINES
STATE: IA
ZIP: 50266
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
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0001166928
XXXXXXXX
09-30-2020
09-30-2020
West Bancorporation, Inc.
1601 22nd Street
West Des Moines
IA
50266
13F HOLDINGS REPORT
028-19827
N
SueAnnNiehaus
Vice President, Trust Operations
515-222-2399
/s/SueAnn Niehaus
West Des Moines
IA
10-30-2020
1
300
85331
false
1
West Bank
INFORMATION TABLE
2
information_table.xml
INFORMATION TABLE
3M CO
COM
88579Y101
460
2874
SH
DFND
1
2874
0
0
Abbott Laboratories
COM
002824100
370
3398
SH
DFND
1
3398
0
0
Abbvie INC
COM
00287Y109
27
305
SH
DFND
1
305
0
0
Activision Blizzard INC
COM
00507V109
2
20
SH
DFND
1
20
0
0
Adobe INC
COM
00724F101
472
962
SH
DFND
1
962
0
0
Advansix INC
COM
00773T101
2
118
SH
DFND
1
118
0
0
Air Products And Chemicals INC
COM
009158106
395
1327
SH
DFND
1
1327
0
0
Alerian Mlp Alps Etf
ALERIAN MLP
00162Q452
4
200
SH
DFND
1
200
0
0
Alibaba Group Holdings
SPONSORED ADS
01609W102
15
51
SH
DFND
1
51
0
0
Alliant Energy Corp
COM
018802108
176
3400
SH
DFND
1
3400
0
0
Allstate Corp
COM
020002101
50
536
SH
DFND
1
536
0
0
Alphabet INC
CAP STK CL A
02079K305
15
10
SH
DFND
1
10
0
0
Alphabet INC
CAP STK CL C
02079K107
466
317
SH
DFND
1
317
0
0
Altria Group INC
COM
02209S103
293
7571
SH
DFND
1
7571
0
0
Amazon.com INC
COM
023135106
831
264
SH
DFND
1
264
0
0
Amcor Plc
ORD
G0250X107
1
109
SH
DFND
1
109
0
0
American Electric Power Company INC
COM
025537101
187
2285
SH
DFND
1
2285
0
0
American Equity Investment Life Holding CO
COM
025676206
4667
212238
SH
DFND
1
212238
0
0
American Express CO
COM
025816109
30
300
SH
DFND
1
300
0
0
American International Group INC
COM NEW
026874784
5
197
SH
DFND
1
197
0
0
American Tower Corp Reit
COM
03027X100
308
1274
SH
DFND
1
1274
0
0
Ameriprise Financial INC
COM
03076C106
92
600
SH
DFND
1
600
0
0
Amgen INC
COM
031162100
53
209
SH
DFND
1
209
0
0
Analog Devices INC
COM
032654105
1
11
SH
DFND
1
11
0
0
Anheuser Busch Inbev SA/NV
SPONSORED ADR
03524A108
4
70
SH
DFND
1
70
0
0
Aon Plc
SHS CL A
G0403H108
201
972
SH
DFND
1
972
0
0
Apple INC
COM
037833100
1437
12411
SH
DFND
1
12411
0
0
Archer Daniels Midland CO
COM
039483102
319
6859
SH
DFND
1
6859
0
0
Asml Holding Nv
N Y REGISTRY SHS
N07059210
7
18
SH
DFND
1
18
0
0
Astrazeneca Plc
SPONSORED ADR
046353108
8
144
SH
DFND
1
144
0
0
AT&T INC
COM
00206R102
492
17243
SH
DFND
1
17243
0
0
Bank Of America Corp
COM
060505104
76
3152
SH
DFND
1
3152
0
0
Bank Of Nova Scotia
COM
064149107
3
62
SH
DFND
1
62
0
0
Barclays Bank PLC IPATH Bloomberg Commodity Index Total Return ETN
DJUBS CMDT ETN36
06738C778
0
8
SH
DFND
1
8
0
0
Berkshire Hathaway INC
CL B NEW
084670702
324
1521
SH
DFND
1
1521
0
0
Best Buy CO INC
COM
086516101
56
500
SH
DFND
1
500
0
0
Blackrock INC
COM
09247X101
344
611
SH
DFND
1
611
0
0
Blackstone / Gso Strategic Credit Fund
COM SHS BEN IN
09257R101
34
2750
SH
DFND
1
2750
0
0
Boeing CO
COM
097023105
12
73
SH
DFND
1
73
0
0
BP PLC
SPONSORED ADR
055622104
12
668
SH
DFND
1
668
0
0
British American Tobacco Plc
SPONSORED ADR
110448107
6
166
SH
DFND
1
166
0
0
Broadcom INC
COM
11135F101
12
33
SH
DFND
1
33
0
0
Canadian Imperial Bank Of Commerce
COM
136069101
3
37
SH
DFND
1
37
0
0
Canadian National Railway Co
COM
136375102
52
492
SH
DFND
1
492
0
0
Capital One Financial Corp
COM
14040H105
7
96
SH
DFND
1
96
0
0
Carrier Global Corp
COM
14448C104
1
40
SH
DFND
1
40
0
0
Caseys General Stores INC
COM
147528103
1421
8000
SH
DFND
1
8000
0
0
Celanese Corp
COM
150870103
14
132
SH
DFND
1
132
0
0
Chemours CO
COM
163851108
1
28
SH
DFND
1
28
0
0
Chevron Corp
COM
166764100
66
916
SH
DFND
1
916
0
0
Cisco Systems INC
COM
17275R102
56
1425
SH
DFND
1
1425
0
0
Citigroup INC
COM NEW
172967424
11
262
SH
DFND
1
262
0
0
Cme Group INC
COM
12572Q105
6
33
SH
DFND
1
33
0
0
Coca-cola CO
COM
191216100
3
51
SH
DFND
1
51
0
0
Coca-cola European Partners Plc
SHS
G25839104
2
41
SH
DFND
1
41
0
0
Cognizant Technology Solutions Corp
CL A
192446102
126
1809
SH
DFND
1
1809
0
0
Colgate-palmolive CO
COM
194162103
43
558
SH
DFND
1
558
0
0
Comcast Corp
CL A
20030N101
80
1735
SH
DFND
1
1735
0
0
Conagra Brands INC
COM
205887102
3
73
SH
DFND
1
73
0
0
Conocophillips
COM
20825C104
3
81
SH
DFND
1
81
0
0
Constellation Brands INC
CL A
21036P108
257
1356
SH
DFND
1
1356
0
0
Consumer Discretionary Select Sector SPDT Fd
SBI CONS DISCR
81369Y407
47
320
SH
DFND
1
320
0
0
Consumer Staples Sector SPDR
SBI CONS STPLS
81369Y308
24
368
SH
DFND
1
368
0
0
Corteva INC
COM
22052L104
33
1144
SH
DFND
1
1144
0
0
Costco Wholesale Corp
COM
22160K105
409
1153
SH
DFND
1
1153
0
0
Credit Suisse Ag Fi Large Cap Growth Enhnd Etn
LG CAP GRTH ENH
22542D423
60
134
SH
DFND
1
134
0
0
CVS Health Corp
COM
126650100
247
4227
SH
DFND
1
4227
0
0
Danaher Corp
COM
235851102
426
1978
SH
DFND
1
1978
0
0
Davita INC
COM
23918K108
3
33
SH
DFND
1
33
0
0
Defiance Next Gen Connectivity Etf
DEFIANCE NEXT
26922A289
43
1500
SH
DFND
1
1500
0
0
Diageo P L C Spon
SPON ADR NEW
25243Q205
10
76
SH
DFND
1
76
0
0
Discover Financial Services
COM
254709108
23
396
SH
DFND
1
396
0
0
Dominion Energy INC
COM
25746U109
7
91
SH
DFND
1
91
0
0
Dominos Pizza
COM
25754A201
377
887
SH
DFND
1
887
0
0
Dow INC
COM
260557103
54
1144
SH
DFND
1
1144
0
0
Duke Energy Corp
COM NEW
26441C204
77
870
SH
DFND
1
870
0
0
Dupont De Nemours INC
COM
26614N102
63
1144
SH
DFND
1
1144
0
0
Eastman Chemical CO
COM
277432100
16
200
SH
DFND
1
200
0
0
Eaton Corporation Plc
SHS
G29183103
13
130
SH
DFND
1
130
0
0
Eaton Vance Enhanced Equity Income Fund
COM
278274105
23
1600
SH
DFND
1
1600
0
0
Eaton Vance Enhanced Equity Income Fund Ii
COM
278277108
28
1500
SH
DFND
1
1500
0
0
Edwards Lifesciences
COM
28176E108
354
4430
SH
DFND
1
4430
0
0
Electronic Arts INC
COM
285512109
421
3225
SH
DFND
1
3225
0
0
Eli Lilly And CO
COM
532457108
52
353
SH
DFND
1
353
0
0
Enbridge Inc
COM
29250N105
2
62
SH
DFND
1
62
0
0
Energy Transfer Equity LP
COM UT LTD PTN
29273V100
5
906
SH
DFND
1
906
0
0
Enterprise Products Partners LP
COM
293792107
114
7240
SH
DFND
1
7240
0
0
Eog Resources INC
COM
26875P101
4
108
SH
DFND
1
108
0
0
Exelon Corp
COM
30161N101
2
59
SH
DFND
1
59
0
0
Exxon Mobil Corp
COM
30231G102
45
1302
SH
DFND
1
1302
0
0
Facebook INC
CL A
30303M102
193
736
SH
DFND
1
736
0
0
Fidelity National Information Services INC Informatn Svcs
COM
31620M106
8
54
SH
DFND
1
54
0
0
Financial Select Sector SPDR
SBI INT-FINL
81369Y605
29
1204
SH
DFND
1
1204
0
0
First Tr Morningstar Dividend Leaders Index Fund
SHS
336917109
33
1275
SH
DFND
1
1275
0
0
First Trust Enhanced Equity Income Fund
COM
337318109
163
10746
SH
DFND
1
10746
0
0
Fiserv INC
COM
337738108
321
3115
SH
DFND
1
3115
0
0
Flextronics Intl
ORD
Y2573F102
11
1029
SH
DFND
1
1029
0
0
Generac Holdings INC
COM
368736104
289
1490
SH
DFND
1
1490
0
0
General Electric CO
COM
369604103
47
7578
SH
DFND
1
7578
0
0
General Mills INC
COM
370334104
93
1500
SH
DFND
1
1500
0
0
Gilead Sciences INC
COM
375558103
8
131
SH
DFND
1
131
0
0
Glaxosmithkline PLC
SPONSORED ADR
37733W105
19
497
SH
DFND
1
497
0
0
Goldman Sachs Activebeta US Large Cap Equity Etf Actvbeta Lrg
ACTIVEBETA US LG
381430503
25
365
SH
DFND
1
365
0
0
Green Dot Corp
CL A
39304D102
10
193
SH
DFND
1
193
0
0
Hain Celestial Group INC
COM
405217100
12
353
SH
DFND
1
353
0
0
Hanover Insurance Group INC
COM
410867105
20
218
SH
DFND
1
218
0
0
Harley-davidson INC
COM
412822108
3
136
SH
DFND
1
136
0
0
Hasbro INC
COM
418056107
4
52
SH
DFND
1
52
0
0
Hca Healthcare INC
COM
40412C101
20
161
SH
DFND
1
161
0
0
Health Care Select Sector SPDR
SBI HEALTHCARE
81369Y209
47
445
SH
DFND
1
445
0
0
Highlands REIT
COM
43199G105
0
1046
SH
DFND
1
1046
0
0
Home Depot INC
COM
437076102
935
3367
SH
DFND
1
3367
0
0
Honeywell International INC
COM
438516106
498
3028
SH
DFND
1
3028
0
0
Hsbc Holdings Plc
SPON ADR NEW
404280406
2
108
SH
DFND
1
108
0
0
Illumina INC
COM
452327109
41
132
SH
DFND
1
132
0
0
Imv INC
COM
44974L103
21
4687
SH
DFND
1
4687
0
0
Industrial Select Sector SPDR
SBI INT-INDS
81369Y704
30
390
SH
DFND
1
390
0
0
ING Groep NV
SPONSORED ADR
456837103
5
738
SH
DFND
1
738
0
0
Intel Corp
COM
458140100
120
2312
SH
DFND
1
2312
0
0
International Business Machines Corp
COM
459200101
385
3162
SH
DFND
1
3162
0
0
Intuitive Surgical INC
COM NEW
46120E602
177
249
SH
DFND
1
249
0
0
Inventrust Properties REIT
COM
45599R102
3
1046
SH
DFND
1
1046
0
0
Invesco High Yield Equity Dividend Achvrs Etf
HIG YLD EQ DIV
46137V563
39
2750
SH
DFND
1
2750
0
0
Invesco Ltd
SHS
G491BT108
1
73
SH
DFND
1
73
0
0
Invesco S&p 500 Eql Wght Energy Etf
S&P500 EQL ENR
46137V365
4
165
SH
DFND
1
165
0
0
Iqvia Holdings INC
COM
46266C105
300
1901
SH
DFND
1
1901
0
0
ISHARES Barclays Tips Bond Fund ETF
TIPS BD ETF
464287176
22
171
SH
DFND
1
171
0
0
ISHARES COMEX Gold Trust ETF
ISHARES
464285105
178
9903
SH
DFND
1
9903
0
0
ISHARES Core S&P 500 ETF
CORE S&P500 ETF
464287200
5030
14969
SH
DFND
1
14969
0
0
ISHARES Core High Dividend ETF
CORE HIGH DV ETF
46429B663
64
799
SH
DFND
1
799
0
0
Ishares Core Msci Eafe Etf
CORE MSCI EAFE
46432F842
96
1593
SH
DFND
1
1593
0
0
Ishares Core Msci Emerging Markets Etf
CORE MSCI EMKT
46434G103
52
978
SH
DFND
1
978
0
0
ISHARES Core S & P Small Cap ETF
CORE S&P SCP ETF
464287804
133
1899
SH
DFND
1
1899
0
0
ISHARES Core S&P Mid-Cap ETF
CORE S&P MCP ETF
464287507
24
129
SH
DFND
1
129
0
0
ISHARES Dow Jones Select Dividend
SELECT DIVID ETF
464287168
131
1611
SH
DFND
1
1611
0
0
ISHARES IBOXX H/Y Corp Bond ETF
IBOXX HI YD ETF
464288513
19
222
SH
DFND
1
222
0
0
ISHARES Iboxx Inv Grade Corp Bond Fund
IBOXX INV CP ETF
464287242
163
1213
SH
DFND
1
1213
0
0
ISHARES Intl Select Dividend ETF
INTL SEL DIV ETF
464288448
802
32185
SH
DFND
1
32185
0
0
Ishares Mbs Etf
MBS ETF
464288588
21
191
SH
DFND
1
191
0
0
ISHARES MSCI ACWI Index Fund
MSCI ACWI ETF
464288257
17
217
SH
DFND
1
217
0
0
ISHARES MSCI EAFE Index Fd ETF
MSCI EAFE ETF
464287465
1466
23039
SH
DFND
1
23039
0
0
ISHARES Russell 1000 Growth ETF
RUS 1000 GRW ETF
464287614
8161
37629
SH
DFND
1
37629
0
0
Ishares Russell 1000 Index Fund Etf
RUS 1000 ETF
464287622
18
97
SH
DFND
1
97
0
0
ISHARES Russell 2000 Growth Index Fund
RUS 2000 GRW ETF
464287648
61
277
SH
DFND
1
277
0
0
ISHARES Russell 2000 Index Fd ETF
RUSSELL 2000 ETF
464287655
3610
24102
SH
DFND
1
24102
0
0
ISHARES Russell 2000 Value
RUS 2000 VAL ETF
464287630
37
374
SH
DFND
1
374
0
0
ISHARES Russell Mid-Cap Value ETF
RUS MDCP VAL ETF
464287473
70
863
SH
DFND
1
863
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ISHARES Russell Midcap ETF
RUS MID CAP ETF
464287499
7736
134821
SH
DFND
1
134821
0
0
ISHARES Russell Midcap Growth ETF
RUS MD CP GR ETF
464287481
185
1068
SH
DFND
1
1068
0
0
ISHARES S&P 1500 Index Fund
CORE S&P TTL STK
464287150
18
234
SH
DFND
1
234
0
0
ISHARES S&P Mid-Cap 400 Growth Index
S&P MC 400GR ETF
464287606
220
920
SH
DFND
1
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0
0
ISHARES S&P Mid-Cap 400 Value Index
S&P MC 400VL ETF
464287705
150
1114
SH
DFND
1
1114
0
0
ISHARES Silver Trust ETF
ISHARES
46428Q109
16
730
SH
DFND
1
730
0
0
Johnson & Johnson
COM
478160104
219
1470
SH
DFND
1
1470
0
0
JPMORGAN Chase & CO
COM
46625H100
384
3986
SH
DFND
1
3986
0
0
Keysight Technologies INC
COM
49338L103
281
2841
SH
DFND
1
2841
0
0
Koninklijke Philips Nv
NY REG SH NEW
500472303
2
36
SH
DFND
1
36
0
0
Kraft Heinz CO
COM
500754106
34
1132
SH
DFND
1
1132
0
0
L3harris Technologies INC
COM
502431109
185
1088
SH
DFND
1
1088
0
0
Lam Research Corp
COM
512807108
17
50
SH
DFND
1
50
0
0
Las Vegas Sands Corp
COM
517834107
10
212
SH
DFND
1
212
0
0
Liberty All-star Equity Fund All Star (Closed-End Fd)
SH BEN INT
530158104
60
9950
SH
DFND
1
9950
0
0
Liberty All-star Growth Fund INC (Closed-End Fd)
COM
529900102
27
3780
SH
DFND
1
3780
0
0
Lions Gate Entertainment Corp
CL A VTG
535919401
0
40
SH
DFND
1
40
0
0
Live Nation Entertainment INC
COM
538034109
3
49
SH
DFND
1
49
0
0
Lockheed Martin Corp
COM
539830109
2
6
SH
DFND
1
6
0
0
Lowe's Companies INC
COM
548661107
3
18
SH
DFND
1
18
0
0
Macerich CO Reit
COM
554382101
16
2323
SH
DFND
1
2323
0
0
Macquarie Infrastructure Corp
COM
55608B105
16
600
SH
DFND
1
600
0
0
Manulife Financial
COM
56501R106
10
727
SH
DFND
1
727
0
0
Marsh & Mclennan Companies INC
COM
571748102
10
87
SH
DFND
1
87
0
0
Mastercard INC
CL A
57636Q104
308
912
SH
DFND
1
912
0
0
Materials Select Sector SPDR ETF
SBI MATERIALS
81369Y100
4
67
SH
DFND
1
67
0
0
Mccormick & Company INC
COM NON VTG
579780206
223
1147
SH
DFND
1
1147
0
0
Mcdonald's Corp
COM
580135101
15
70
SH
DFND
1
70
0
0
Medtronic Plc
SHS
G5960L103
81
779
SH
DFND
1
779
0
0
Merck & CO INC
COM
58933Y105
583
7030
SH
DFND
1
7030
0
0
Microsoft Corp
COM
594918104
1266
6018
SH
DFND
1
6018
0
0
Mondelez International INC
CL A
609207105
215
3738
SH
DFND
1
3738
0
0
National Grid Plc
SPONSORED ADR NE
636274409
4
64
SH
DFND
1
64
0
0
Nextera Energy INC
COM
65339F101
277
998
SH
DFND
1
998
0
0
Nielsen Holdings Plc
SHS EUR
G6518L108
2
160
SH
DFND
1
160
0
0
Nike INC
CL B
654106103
422
3364
SH
DFND
1
3364
0
0
Norfolk Southern Corp
COM
655844108
5
25
SH
DFND
1
25
0
0
Novartis Ag
SPONSORED ADR
66987V109
7
82
SH
DFND
1
82
0
0
Novo Nordisk
ADR
670100205
12
170
SH
DFND
1
170
0
0
Nvidia Corp
COM
67066G104
431
796
SH
DFND
1
796
0
0
Occidental Petroleum Corp
COM
674599105
0
46
SH
DFND
1
46
0
0
Occidental Petroleum Corp Eqy Warrant
*W EXP 08/03/202
674599162
0
5
SH
DFND
1
5
0
0
Oneok INC
COM
682680103
51
1970
SH
DFND
1
1970
0
0
Oracle Corp
COM
68389X105
8
136
SH
DFND
1
136
0
0
Otis Worldwide Corp
COM
68902V107
1
20
SH
DFND
1
20
0
0
Paypal Holdings INC
COM
70450Y103
411
2087
SH
DFND
1
2087
0
0
Pentair PLC
SHS
G7S00T104
1
24
SH
DFND
1
24
0
0
Pepsico INC
COM
713448108
90
647
SH
DFND
1
647
0
0
Permian Basin Royalty Trust Unt
UNIT BEN INT
714236106
3
1100
SH
DFND
1
1100
0
0
Pfizer INC
COM
717081103
741
20184
SH
DFND
1
20184
0
0
Philip Morris International INC
COM
718172109
610
8129
SH
DFND
1
8129
0
0
Pimco Enhanced Short Maturity Active Exch Tr Shrt Maturty Actv Etf
ENHAN SHRT MA AC
72201R833
34
335
SH
DFND
1
335
0
0
Pimco Municipal Income Fund (Closed-End Fd)
COM
72200W106
15
1114
SH
DFND
1
1114
0
0
PNC Financial Services Group INC
COM
693475105
84
760
SH
DFND
1
760
0
0
PPL Corp
COM
69351T106
3
110
SH
DFND
1
110
0
0
Principal Financial Group INC
COM
74251V102
41
1019
SH
DFND
1
1019
0
0
Principal Real Estate Income Fd Shs Ben Int (Closed-End Fd)
SHS BEN INT
74255X104
21
2000
SH
DFND
1
2000
0
0
Principal Spectrum Pfd Secs Active ETF (Closed-End Fd)
SPECTRUM PFD
74255Y888
80
4000
SH
DFND
1
4000
0
0
Procter & Gamble CO
COM
742718109
239
1723
SH
DFND
1
1723
0
0
Public Service Enterprise Group INC
COM
744573106
1
22
SH
DFND
1
22
0
0
Qualcomm INC
COM
747525103
3
29
SH
DFND
1
29
0
0
Qualys INC
COM
74758T303
14
147
SH
DFND
1
147
0
0
Raytheon Technologies Corp
COM
75513E101
51
895
SH
DFND
1
895
0
0
Real Estate Select Sector Spdr Fund Sctr Etf
RL EST SEL SEC
81369Y860
4
122
SH
DFND
1
122
0
0
Resideo Technologies INC
COM
76118Y104
5
497
SH
DFND
1
497
0
0
Rockwell Automation INC
COM
773903109
287
1302
SH
DFND
1
1302
0
0
Royal Dutch PLC
SPON ADR B
780259107
80
3300
SH
DFND
1
3300
0
0
Royal Dutch Shell PLC
SPONS ADR A
780259206
3
112
SH
DFND
1
112
0
0
Russell 1000 Value Ishare ETF
RUS 1000 VAL ETF
464287598
6122
51826
SH
DFND
1
51826
0
0
Salesforce.com INC
COM
79466L302
406
1614
SH
DFND
1
1614
0
0
Sanofi Aventis
SPONSORED ADR
80105N105
9
177
SH
DFND
1
177
0
0
Sap Se
SPON ADR
803054204
12
80
SH
DFND
1
80
0
0
Schlumberger Nv
COM
806857108
23
1451
SH
DFND
1
1451
0
0
Schwab US Dividend Equity ETF
US DIVIDEND EQ
808524797
14
246
SH
DFND
1
246
0
0
Snap-on INC
COM
833034101
4
26
SH
DFND
1
26
0
0
Southern CO
COM
842587107
709
13069
SH
DFND
1
13069
0
0
Spdr Bloomberg Barclays High Yield Bond Etf
BLOOMBERG BRCLYS
78468R622
23
220
SH
DFND
1
220
0
0
SPDR DJ Wilshire International Real Estate ETF
DJ INTL RL ETF
78463X863
40
1336
SH
DFND
1
1336
0
0
Spdr Dj Wilshire Small Cap Etf S&p 600
S&P 600 SML CAP
78464A813
30
500
SH
DFND
1
500
0
0
SPDR Gold Trust
GOLD SHS
78463V107
231
1302
SH
DFND
1
1302
0
0
Spdr Lehman Municipal Bond Etf Nuveen Blmbrg Brcly Mncp
NUVEEN BRC MUNIC
78468R721
52
1002
SH
DFND
1
1002
0
0
Spdr S&p Dividend Etf
S&P DIVID ETF
78464A763
826
8936
SH
DFND
1
8936
0
0
Spirit Aerosystems Holdings INC Hldgs A
COM CL A
848574109
2
102
SH
DFND
1
102
0
0
Stonecastle Financial Corp
COM
861780104
19
1000
SH
DFND
1
1000
0
0
Stryker Corp
COM
863667101
19
90
SH
DFND
1
90
0
0
Sumitomo Mitsui Financial Group INC
SPONSORED ADR
86562M209
2
422
SH
DFND
1
422
0
0
Suncor Energy INC
COM
867224107
14
1169
SH
DFND
1
1169
0
0
Taiwan Semiconductor Manufacturing CO Ltd
SPONSORED ADS
874039100
6
73
SH
DFND
1
73
0
0
Tc Energy Corp
COM
87807B107
2
39
SH
DFND
1
39
0
0
Te Connectivity Ltd
REG SHS
H84989104
12
120
SH
DFND
1
120
0
0
Technology Select Sector SPDR
TECHNOLOGY
81369Y803
100
856
SH
DFND
1
856
0
0
Thermo Fisher Scientific INC
COM
883556102
468
1061
SH
DFND
1
1061
0
0
Thor Industries INC
COM
885160101
18
193
SH
DFND
1
193
0
0
Tjx Companies INC
COM
872540109
32
579
SH
DFND
1
579
0
0
Toronto-Dominion Bank
COM NEW
891160509
9
184
SH
DFND
1
184
0
0
Total S.A.
SPONSORED ADS
89151E109
29
839
SH
DFND
1
839
0
0
U.S. Bancorp US
COM NEW
902973304
108
3010
SH
DFND
1
3010
0
0
Ubs Ag (Edinburgh Branch) Etracs Alerian Mlp Index Etn
ETRAC ALER MLP
90267B682
145
21320
SH
DFND
1
21320
0
0
Ubs Ag (St Helier Branch) E Tracs Alerian Mlp Infrastr Etn
ALERIAN INFRST
902641646
124
13298
SH
DFND
1
13298
0
0
Ubs Group Ag
SHS
H42097107
20
1745
SH
DFND
1
1745
0
0
Under Armour INC
CL A
904311107
1
47
SH
DFND
1
47
0
0
Unilever NV
N Y SHS NEW
904784709
1
23
SH
DFND
1
23
0
0
Union Pacific Corp
COM
907818108
309
1570
SH
DFND
1
1570
0
0
United Parcel Service INC
CL B
911312106
28
167
SH
DFND
1
167
0
0
Unitedhealth Group INC Grp
COM
91324P102
22
71
SH
DFND
1
71
0
0
Vanguard FTSE Emerging Markets ETF
FTSE EMR MKT ETF
922042858
1412
32647
SH
DFND
1
32647
0
0
Vanguard Consumer Discretionary Etf
CONSUM DIS ETF
92204A108
160
680
SH
DFND
1
680
0
0
Vanguard Dividend Appreciation ETF
DIV APP ETF
921908844
580
4508
SH
DFND
1
4508
0
0
Vanguard Financials Etf
FINANCIALS ETF
92204A405
90
1530
SH
DFND
1
1530
0
0
Vanguard FTSE Developed Markets ETF
FTSE DEV MKT ETF
921943858
6382
156049
SH
DFND
1
156049
0
0
Vanguard Health Care Etf
HEALTH CAR ETF
92204A504
138
675
SH
DFND
1
675
0
0
Vanguard High Dividend Yield ETF
HIGH DIV YLD
921946406
2451
30285
SH
DFND
1
30285
0
0
Vanguard Index Funds S&p 500 ETF
S&P 500 ETF SHS
922908363
206
670
SH
DFND
1
670
0
0
Vanguard Index Funds Vanguard Growth ETF
GROWTH ETF
922908736
78
342
SH
DFND
1
342
0
0
Vanguard Index Funds Vanguard Value ETF
VALUE ETF
922908744
172
1643
SH
DFND
1
1643
0
0
Vanguard Information Technology Etf
INF TECH ETF
92204A702
167
536
SH
DFND
1
536
0
0
Vanguard Intermediate Term B
INTERMED TERM
921937819
131
1405
SH
DFND
1
1405
0
0
Vanguard Internatl High Div Yield Index Fund Internatnl Hgh Yld Etf
INTL HIGH ETF
921946794
91
1750
SH
DFND
1
1750
0
0
Vanguard Intl Equity Index Funds Vanguard Ftse All World Ex Usetf
ALLWRLD EX US
922042775
59
1171
SH
DFND
1
1171
0
0
Vanguard Mid Cap ETF
MID CAP ETF
922908629
63
356
SH
DFND
1
356
0
0
Vanguard Mid-cap Growth Index Fund Mid Cap Etf
MCAP GR IDXVIP
922908538
17
94
SH
DFND
1
94
0
0
Vanguard Mid-cap Value Index Fund Mid Cap Etf
MCAP VL IDXVIP
922908512
14
138
SH
DFND
1
138
0
0
Vanguard Real Estate ETF
REAL ESTATE ETF
922908553
72
918
SH
DFND
1
918
0
0
Vanguard S&p Mid-cap 400 Index Fund Mid Cap Etf
MIDCP 400 IDX
921932885
3
27
SH
DFND
1
27
0
0
Vanguard Short-Term Bond ETF
SHORT TRM BOND
921937827
117
1414
SH
DFND
1
1414
0
0
Vanguard Short-term Corporate Bond Idx FUND Short Term Cor Bd Etf
SHRT TRM CORP BD
92206C409
22
260
SH
DFND
1
260
0
0
Vanguard Small Cap ETF
SMALL CP ETF
922908751
53
344
SH
DFND
1
344
0
0
Vanguard Small Cap Value Etf
SM CP VAL ETF
922908611
7
61
SH
DFND
1
61
0
0
Vanguard Small-cap Growth Index Fund Small Cap Etf
SML CP GRW ETF
922908595
8
39
SH
DFND
1
39
0
0
Vanguard Total Bond Market ETF
TOTAL BND MRKT
921937835
117
1329
SH
DFND
1
1329
0
0
Vanguard Total Stock Market VIPERs ETF
TOTAL STK MKT
922908769
120
704
SH
DFND
1
704
0
0
Vanguard Utilities Etf
UTILITIES ETF
92204A876
7
57
SH
DFND
1
57
0
0
Ventas INC Reit
COM
92276F100
2
49
SH
DFND
1
49
0
0
Verizon Communications INC
COM
92343V104
540
9082
SH
DFND
1
9082
0
0
Visa INC
COM CL A
92826C839
121
607
SH
DFND
1
607
0
0
Vodafone Group PLC
SPONSORED ADR
92857W308
2
121
SH
DFND
1
121
0
0
Walgreens Boots Alliance INC
COM
931427108
24
656
SH
DFND
1
656
0
0
Walmart INC
COM
931142103
569
4069
SH
DFND
1
4069
0
0
Walt Disney CO
COM DISNEY
254687106
11
87
SH
DFND
1
87
0
0
Waste Management INC
COM
94106L109
320
2831
SH
DFND
1
2831
0
0
Wells Fargo & CO
COM
949746101
63
2661
SH
DFND
1
2661
0
0
West Bancorporation INC
CAP STK
95123P106
695
43887
SH
DFND
1
43887
0
0
Westinghouse Air Brake Technologies Corp
COM
929740108
0
2
SH
DFND
1
2
0
0
Weyerhaeuser CO Reit
COM NEW
962166104
46
1600
SH
DFND
1
1600
0
0
Whirlpool Corp
COM
963320106
69
373
SH
DFND
1
373
0
0
Wisdomtree Emerging Markets Small Cap ETF
EMG MKTS SMCAP
97717W281
29
694
SH
DFND
1
694
0
0
Wisdomtree Europe Smallcap Dividend Fund Smlcp Etf
EUROPE SMCP DV
97717W869
24
450
SH
DFND
1
450
0
0
Wisdomtree Japan Hedged Equity Fund Etf
JAPN HEDGE EQT
97717W851
9
188
SH
DFND
1
188
0
0
Wisdomtree US High Dividend Fund Etf
US HIGH DIVIDEND
97717W208
47
750
SH
DFND
1
750
0
0
Wisdomtree US Mid Cap Dividend ETF
US MIDCAP DIVID
97717W505
951
32901
SH
DFND
1
32901
0
0
Wisdomtree US Smallcap Dividend Fund Etf
US SMALLCAP DIVD
97717W604
752
35663
SH
DFND
1
35663
0
0
Xilinx INC
COM
983919101
191
1833
SH
DFND
1
1833
0
0
Zoetis INC
CL A
98978V103
301
1822
SH
DFND
1
1822
0
0