General Counsel & CCO

0001742998-19-000005.txt : 20191025 0001742998-19-000005.hdr.sgml : 20191025 20191025101650 ACCESSION NUMBER: 0001742998-19-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191025 DATE AS OF CHANGE: 20191025 EFFECTIVENESS DATE: 20191025 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FNY Investment Advisers, LLC CENTRAL INDEX KEY: 0001742998 IRS NUMBER: 301042656 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18846 FILM NUMBER: 191168057 BUSINESS ADDRESS: STREET 1: 90 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2123316461 MAIL ADDRESS: STREET 1: 90 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001742998 XXXXXXXX 09-30-2019 09-30-2019 FNY Investment Advisers, LLC

90 PARK AVENUE, 5TH FLOOR NEW YORK NY 10016

13F HOLDINGS REPORT 028-18846 N Shawn Fischman General Counsel & CCO 212-331-6872 Shawn Fischman New York NY 10-25-2019 1 976 327482 false 1 0001615486 Quad Capital Management Advisors LLC INFORMATION TABLE 2 FNYIA.xml FNYIAQ32019 10X GENOMICS CL A ORD COM 88025U109 10 200 SH DFND 200 0 0 3D SYSTEMS ORD (NYS) COM 88554D205 9 1179 SH Call DFND 1179 0 0 ABERDEEN ASIA PACIFIC INCOME CF COM 003009107 157 37511 SH DFND 37511 0 0 ACADIA HEALTHCARE COMPANY ORD COM 00404A109 1 40 SH DFND 40 0 0 ACADIA PHARMACEUTICALS ORD COM 004225108 0 3 SH Call DFND 3 0 0 ACELRX PHARMACEUTICALS ORD (NMS) COM 00444T100 0 50 SH Call DFND 50 0 0 ACREAGE HOLDINGS ORD COM 00489Y402 110 15000 SH SOLE 15000 0 0 ACT II GLOBAL ACQUISITION UNT COM G0080J112 3 300 SH SOLE 300 0 0 ACTIVISION BLIZZARD ORD COM 00507V109 71 1352 SH DFND 1352 0 0 ADESTO TECHNOLOGIES ORD COM 00687D101 731 85459 SH DFND 85459 0 0 ADOBE ORD COM 00724F101 4 16 SH Call DFND 16 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 2788 96174 SH DFND 96174 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ADR 29274F104 8 972 SH SOLE 972 0 0 ENERGOUS ORD COM 29272C103 11 3500 SH DFND 3500 0 0 ENERGY RECOVERY ORD COM 29270J100 4 500 SH SOLE 500 0 0 ENERTECK ORD COM 29275X104 0 7500 SH SOLE 7500 0 0 ENI ADR COM 26874R108 176 5783 SH SOLE 5783 0 0 ENSIGN GROUP ORD COM 29358P101 664 15000 SH DFND 15000 0 0 EOG RESOURCES ORD COM 26875P101 14 200 SH DFND 200 0 0 EURONAV NV COM B38564108 0 25 SH Call SOLE 25 0 0 EVOLUS ORD (NMS) COM 30052C107 0 4 SH Call DFND 4 0 0 EXACT SCIENCES ORD COM 30063P105 234 2600 SH SOLE 2600 0 0 EXAGEN ORD COM 30068X103 3 200 SH SOLE 200 0 0 EXELIXIS ORD (NMS) COM 30161Q104 0 25 SH Call DFND 25 0 0 EXPEDIA GROUP ORD COM 30212P303 37 280 SH SOLE 280 0 0 EXXON MOBIL ORD COM 30231G102 4 60 SH DFND 60 0 0 FACEBOOK CL A ORD COM 30303M102 26 149 SH DFND 149 0 0 FAIR ISAAC ORD COM 303250104 21 70 SH SOLE 70 0 0 FANNIE MAE 6.75 NON CUM SRS Q PFD COM 313586778 12 1000 SH SOLE 1000 0 0 FANNIE MAE NON CUMULATIVE H PFD COM 313586885 13 600 SH SOLE 600 0 0 FAR POINT ACQUISITION CL A ORD COM 30734W109 1 100 SH SOLE 100 0 0 FARFETCH CL A ORD (NYS) COM 30744W107 0 25 SH Call DFND 25 0 0 FASTENAL ORD COM 311900104 0 5 SH Call DFND 5 0 0 FASTLY CL A ORD COM 31188V100 96 4000 SH DFND 4000 0 0 FASTLY CL A ORD COM 31188V100 0 19 SH Call DFND 19 0 0 FEDERAL HOME LOAN MORTGAGE ORD COM 313400301 0 100 SH SOLE 100 0 0 FEDEX ORD COM 31428X106 235 1615 SH DFND 1615 0 0 FERRARI ORD COM N3167Y103 1540 10000 SH SOLE 10000 0 0 FIAT CHRYSLER AUTOMOBILES ORD COM N31738102 3 300 SH SOLE 300 0 0 FINTECH ACQUISITION CL A ORD COM 31811A101 16 1650 SH SOLE 1650 0 0 FIRST BANCORP ORD COM 318672706 29 3000 SH DFND 3000 0 0 FIRST FINANCIAL BANKSHARES ORD COM 32020R109 14 430 SH DFND 430 0 0 FIRST NBC BANK HOLDING ORD COM 32115D106 0 20000 SH SOLE 20000 0 0 FIRST TRST ABERDEEN GLBL OPP INCM CF COM 337319107 52 5000 SH DFND 5000 0 0 FIRST TRUST HIGH INCOME LONG SHRT CF COM 33738E109 146 9657 SH DFND 9657 0 0 FIRST TRUST INT DUR PRF INCOME CF COM 33718W103 21 900 SH DFND 900 0 0 FIRST TRUST MLP AND ENERGY INCOME CF COM 33739B104 142 12404 SH SOLE 12404 0 0 FIRST TRUST SNR FLTG RATE INC II CF COM 33733U108 44 3738 SH DFND 3738 0 0 FIRST UNITED ORD COM 33741H107 1495 67993 SH DFND 67993 0 0 FISERV ORD COM 337738108 0 5 SH Put DFND 5 0 0 FITBIT CL A ORD COM 33812L102 35 9256 SH DFND 9256 0 0 FIVE9 ORD COM 338307101 107 2000 SH SOLE 2000 0 0 FLAHERTY & CRMRN PRF AND INCM NAV CF COM 338480106 66 4480 SH DFND 4480 0 0 FLAHERTY CRUMRINE DYN PRF INCOME CF COM 33848W106 72 2775 SH DFND 2775 0 0 FLAHERTY CRUMRINE TOTAL RETURN CF COM 338479108 8 371 SH DFND 371 0 0 FLOTEK INDUSTRIES ORD COM 343389102 125 57200 SH SOLE 57200 0 0 FORTRESS BIOTECH ORD COM 34960Q109 282 200000 SH DFND 200000 0 0 FOSSIL GROUP ORD COM 34988V106 186 14894 SH DFND 14894 0 0 FOX CL A ORD COM 35137L105 93 2965 SH DFND 2965 0 0 FOX CORPORATION ORD COM 35137L204 6 200 SH DFND 200 0 0 FRANCESCAS HOLDINGS ORD COM 351793203 64 4616 SH DFND 4616 0 0 FRANKLIN UNIVERSAL CF COM 355145103 74 9833 SH DFND 9833 0 0 FREEPORT MCMORAN ORD COM 35671D857 100 10450 SH DFND 10450 0 0 FREEPORT MCMORAN ORD COM 35671D857 0 86 SH Call DFND 86 0 0 FRESENIUS MEDICAL ADR REPTG 0.5 ORD SPONSORED ADR 358029106 23 700 SH DFND 700 0 0 FRESH DEL MONTE PRODUCE ORD COM G36738105 1 40 SH Put SOLE 40 0 0 FRONTLINE ORD COM G3682E192 36 4000 SH SOLE 4000 0 0 FRONTLINE ORD COM G3682E192 4 470 SH Call SOLE 470 0 0 FUNKO CL A ORD COM 361008105 215 10487 SH DFND 10487 0 0 FUNKO CL A ORD COM 361008105 0 5 SH Call DFND 5 0 0 FVCBANKCORP ORD COM 36120Q101 23 1343 SH SOLE 1343 0 0 GABELLI EQUITY TRUST 5 SRS H CUM PRF COM 362397861 20 800 SH SOLE 800 0 0 GAIA CL A ORD COM 36269P104 52 8081 SH DFND 8081 0 0 GALAPAGOS ADR REP ORD SPONSORED ADR 36315X101 109 720 SH SOLE 720 0 0 GAMESTOP CL A ORD COM 36467W109 31 5622 SH DFND 5622 0 0 GARDNER DENVER HOLDINGS ORD COM 36555P107 183 6478 SH DFND 6478 0 0 GARRISON CAPITAL ORD COM 366554103 117 17000 SH DFND 17000 0 0 GDL CF COM 361570104 11 1293 SH DFND 1293 0 0 GENERAL ELECTRIC ORD COM 369604103 131 14729 SH DFND 14729 0 0 GENERAL ELECTRIC ORD COM 369604103 0 109 SH Call DFND 109 0 0 GENESEE & WYOMING CL A ORD COM 371559105 7430 67241 SH DFND 67241 0 0 GENIUS PRODUCTS ORD COM 37229R305 0 122 SH SOLE 122 0 0 GENOCEA BIOSCIENCES ORD COM 372427401 733 253000 SH DFND 253000 0 0 GENWORTH FINANCIAL CL A ORD COM 37247D106 992 225650 SH DFND 225650 0 0 GENWORTH FINANCIAL CL A ORD COM 37247D106 3 705 SH Put DFND 705 0 0 GILEAD SCIENCES ORD COM 375558103 5 86 SH DFND 86 0 0 GLAXOSMITHKLINE ADR REP TWO ORD SPONSORED ADR 37733W105 426 10000 SH DFND 10000 0 0 GLOBALSTAR VTG ORD COM 378973408 0 110 SH SOLE 110 0 0 GLU MOBILE ORD COM 379890106 99 20000 SH SOLE 20000 0 0 GLYCOMIMETICS INC (NMS) COM 38000Q102 0 20 SH Call SOLE 20 0 0 GNC HOLDINGS CL A ORD COM 36191G107 123 57500 SH SOLE 57500 0 0 GOODYEAR TIRE AND RUBBER ORD COM 382550101 80 5605 SH DFND 5605 0 0 GOODYEAR TIRE AND RUBBER ORD COM 382550101 0 64 SH Call DFND 64 0 0 GORES METROPOULOS UNT COM 382872208 11 1100 SH SOLE 1100 0 0 GRAF INDUSTRIAL RED UNT COM 384278206 5 500 SH DFND 500 0 0 GRAYSCALE BITCOIN ORD COM 389637109 2 250 SH SOLE 250 0 0 GRAYSCALE ETHEREUM COM UNT COM 389638107 21 1000 SH SOLE 1000 0 0 GREEN DOT CL A ORD COM 39304D102 25 1000 SH DFND 1000 0 0 GREEN GROWTH BRANDS ORD COM 39305B105 400 400000 SH SOLE 400000 0 0 GREEN ORGANIC DUTCHMAN HLGDS ORD COM 393210208 286 185000 SH SOLE 185000 0 0 GREEN THUMB INDUSTRIES ORD COM 39342L108 819 100300 SH SOLE 100300 0 0 GREENLANE HOLDINGS CL A ORD COM 395330103 1000 295270 SH DFND 295270 0 0 GREIF CL A ORD COM 397624107 37 999 SH DFND 999 0 0 GRENTRE HSPTLTY GRP ADR CL A ORD SPONSORED ADR 39579V100 51 5138 SH SOLE 5138 0 0 GRIDSUM HOLDING ADR COM 398132100 196 115670 SH SOLE 115670 0 0 GRUPO AVL ACIONS Y VL ADR REP 20 PRF SPONSORED ADR 40053W101 588 78859 SH SOLE 78859 0 0 GS ACQUISITION HOLDINGS CL A ORD COM 36255F102 15 1482 SH SOLE 1482 0 0 GTY TECHNOLOGY HOLDINGS ORD COM 362409104 1 250 SH SOLE 250 0 0 GUARDANT HEALTH ORD COM 40131M109 0 5 SH Call DFND 5 0 0 GUGGENHEIM STRATEGIC OPPORTNITIES CF COM 40167F101 59 3100 SH DFND 3100 0 0 GX ACQUISITON UNT COM 36251A206 262 23700 SH SOLE 23700 0 0 HANCOCK JAFFE COM 41015N106 4 5000 SH DFND 5000 0 0 HAYMAKER ACQUISITION UNT COM 42087L200 2 200 SH SOLE 200 0 0 HC2 HOLDINGS ORD (ASE) COM 404139107 1 430 SH Call DFND 430 0 0 HD SUPPLY HOLDINGS ORD COM 40416M105 19 500 SH SOLE 500 0 0 HEALTH CATALYST ORD COM 42225T107 6 200 SH DFND 200 0 0 HEALTH INSURANCE INNOVATION CL A ORD COM 42225K106 68 2750 SH DFND 2750 0 0 HEALTHEQUITY ORD COM 42226A107 114 2000 SH DFND 2000 0 0 HEICO CL A ORD COM 422806208 2278 23412 SH SOLE 23412 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 1004 SH DFND 1004 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 2 SH Call DFND 2 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 2 SH Put DFND 2 0 0 HERBALIFE NUTRITION ORD COM G4412G101 0 4 SH SOLE 4 0 0 HESS ORD COM 42809H107 19 330 SH DFND 330 0 0 HEWLETT PACKARD ENTERPRISE ORD COM 42824C109 8 586 SH DFND 586 0 0 HIGHLAND GLOB ALLO NAV CF COM 43010T104 90 8800 SH SOLE 8800 0 0 HILTON GRAND VACATIONS ORD COM 43283X105 448 14000 SH DFND 14000 0 0 HORMEL FOODS ORD (NYS) COM 440452100 4 100 SH Call DFND 100 0 0 HOWARD HUGHES ORD (NYS) COM 44267D107 0 1 SH Put DFND 1 0 0 HSBC HOLDINGS ADR REP 5 ORD SPONSORED ADR 404280406 1 40 SH DFND 40 0 0 HTG MOLECULAR DIAGNOSTICS ORD COM 40434H104 12 18500 SH DFND 18500 0 0 HUNTINGTON BANCSHARES ORD COM 446150104 61 4300 SH DFND 4300 0 0 HUYA ADR CL A ORD SPONSORED ADR 44852D108 21 912 SH DFND 912 0 0 IANTHUS CAPITAL ORD COM 45074T102 297 211285 SH SOLE 211285 0 0 II VI ORD COM 902104108 400 11388 SH DFND 11388 0 0 II VI ORD COM 902104108 2 80 SH Call DFND 80 0 0 II VI ORD COM 902104108 20 574 SH Put DFND 574 0 0 INCOME OPPORTUNITY REALTY INV ORD COM 452926108 0 31 SH SOLE 31 0 0 INDEXIQ MERGER ARBITRAGE ETF COM 45409B800 76 2392 SH SOLE 2392 0 0 INDUSTRIAL SERVICES OF AMERICA ORD COM 456314103 73 65254 SH SOLE 65254 0 0 INFLARX ORD COM N44821101 1235 500000 SH SOLE 500000 0 0 INMODE ORD COM M5425M103 5 250 SH SOLE 250 0 0 INPHONIC ORD (OTC) COM 45772G105 0 14472 SH SOLE 14472 0 0 INSEEGO ORD COM 45782B104 247 51572 SH SOLE 51572 0 0 INSIGHT SELECT INCOME CF COM 45781W109 20 1000 SH DFND 1000 0 0 INTEGRA RESOURCES ORD COM 45826T103 9 10000 SH SOLE 10000 0 0 INTERCONTINENTAL HOTEL ADR REP 1 ORD SPONSORED ADR 45857P806 856 13757 SH SOLE 13757 0 0 INTERNATIONAL BUSINESS MACHINES ORD COM 459200101 295 2032 SH DFND 2032 0 0 INTERNATIONAL SPEEDWAY CL A ORD COM 460335201 13 300 SH DFND 300 0 0 INVESCO BOND CF COM 46132L107 66 3355 SH DFND 3355 0 0 INVESCO CREDIT DYNAMIC OPP CF COM 46132R104 197 17915 SH DFND 17915 0 0 INVESCO HGH INCM 2023 TARGET TERM CF COM 46135X108 105 10123 SH SOLE 10123 0 0 INVESCO HIGH INCM 2024 TRGT TERM CF COM 46136K105 149 14400 SH SOLE 14400 0 0 INVESCO MUNICIPAL OPPORTUNITY CF COM 46132C107 233 18629 SH DFND 18629 0 0 INVESCO SNR INCOME CF COM 46131H107 95 22750 SH DFND 22750 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 4003 21202 SH DFND 21202 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 116 616 SH Put DFND 616 0 0 ISHARES 20 PLS YEAR TREASURY BND ETF COM 464287432 0 1 SH Call DFND 1 0 0 ISHARES 20 PLS YEAR TREASURY BND ETF COM 464287432 14 102 SH Put DFND 102 0 0 ISHARES CHINA LARGE CAP ETF COM 464287184 21 540 SH Put DFND 540 0 0 ISHARES EXPANDED TECH STW SCTR ETF COM 464287515 5 25 SH Put DFND 25 0 0 ISHARES IBOXX HIGH YIELD BOND ETF COM 464288513 32 375 SH Put DFND 375 0 0 ISHARES MSCI EMERGING MARKETS ETF COM 464287234 0 20 SH Call DFND 20 0 0 ISHARES MSCI EMERGING MARKETS ETF COM 464287234 7 185 SH Put DFND 185 0 0 ISHARES MSCI HONG KONG ETF (PSE) COM 464286871 3 150 SH Put SOLE 150 0 0 ISHARES MSCI INDIA INDEX ETF COM 46429B598 465 13862 SH DFND 13862 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF COM 464287556 1 20 SH Call DFND 20 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 38 257 SH Put DFND 257 0 0 ISHARES RUSSELL 2000 VALUE ETF COM 464287630 1698 14222 SH DFND 14222 0 0 ISHARES SILVER TRUST ETF COM 46428Q109 4 300 SH DFND 300 0 0 ISHARES SILVER TRUST ETF COM 46428Q109 7 453 SH Call DFND 453 0 0 ISHARES US HOME CONSTRUCT ETF COM 464288752 2 56 SH Put DFND 56 0 0 IVY HIGH INCOME OPPORTUNITIES CF COM 465893105 160 11680 SH DFND 11680 0 0 J JILL ORD COM 46620W102 17 9268 SH DFND 9268 0 0 J2 ACQUISITION ORD COM G49894101 650 66000 SH SOLE 66000 0 0 JD.COM ADR REP 2 CL A ORD SPONSORED ADR 47215P106 1 63 SH DFND 63 0 0 JEFFERIES FINANCIAL GROUP ORD COM 47233W109 0 10 SH Call SOLE 10 0 0 JMP GROUP 6 875 SNR NTS COM 46629U404 17 700 SH SOLE 700 0 0 JOHN HANCOCK INCOME SECURITIES CF COM 410123103 41 2852 SH DFND 2852 0 0 JOHN HANCOCK INVESTORS CF COM 410142103 30 1819 SH DFND 1819 0 0 JUST ENERGY GROUP ORD COM 48213W101 22 9500 SH SOLE 9500 0 0 KAYNE ANDER 3.500 SRS F MAND RED PRF COM 486606601 2 100 SH SOLE 100 0 0 KAYNE ANDERSON MLP MIDSTRM INVEST CF COM 486606106 28 2000 SH DFND 2000 0 0 KB FINANCIAL GROUP ADR REP ONE ORD SPONSORED ADR 48241A105 3 99 SH SOLE 99 0 0 KELLY SERVICES CL B ORD COM 488152307 3 181 SH SOLE 181 0 0 KEYSIGHT TECHNOLOGIES ORD COM 49338L103 48 500 SH SOLE 500 0 0 KHIRON LIFE SCIENCES ORD COM 49374L306 0 1000 SH SOLE 1000 0 0 KIRKLAND LAKE GOLD ORD (NYS) COM 49741E100 0 1 SH Call DFND 1 0 0 KKR AND CO CL A ORD COM 48251W104 0 12 SH Put DFND 12 0 0 KKR INCOME OPPORTUNITIES CF COM 48249T106 48 3100 SH DFND 3100 0 0 KNOWLES ORD COM 49926D109 0 20 SH Put SOLE 20 0 0 KRATOS DEFENSE AND SECURITY SOLS ORD COM 50077B207 650 35000 SH SOLE 35000 0 0 KT ADR REP 1/2 ORD SPONSORED ADR 48268K101 8573 758041 SH SOLE 758041 0 0 KUSHCO HOLDINGS ORD COM 50133S103 1 1000 SH SOLE 1000 0 0 L BRANDS ORD COM 501797104 1 94 SH Call DFND 94 0 0 LADDER CAPITAL CL A ORD COM 505743104 8 516 SH DFND 516 0 0 LANDCADIA HOLDINGS II UNT COM 51476X204 72 7200 SH SOLE 7200 0 0 LAS VEGAS SANDS ORD COM 517834107 4773 82650 SH DFND 82650 0 0 LAUREATE EDUCATION CL A ORD COM 518613203 298 18000 SH DFND 18000 0 0 LENNAR CL B ORD COM 526057302 37 849 SH SOLE 849 0 0 LEO HOLDINGS CL A ORD COM G5463L105 26 2570 SH SOLE 2570 0 0 LEO HOLDINGS EQY WRT EXP 04/05/2023 COM G5463L113 105 142200 SH SOLE 142200 0 0 LG DISPLAY ADR REP 1/2 ORD SPONSORED ADR 50186V102 49 8284 SH SOLE 8284 0 0 LIBERTY BROADBAND SRS A ORD COM 530307107 245 2349 SH SOLE 2349 0 0 LIBERTY GLOBAL CL C ORD COM G5480U120 2490 104705 SH SOLE 104705 0 0 LIBERTY GOLD COM 53056H104 10 20000 SH DFND 20000 0 0 LIBERTY LATIN AMERICA CL C ORD COM G5480U153 172 10100 SH SOLE 10100 0 0 LIBRTY MEDIA LRTY SIRIUSXM SRS C ORD COM 531229607 86 2060 SH SOLE 2060 0 0 LILIS ENERGY ORD COM 532403201 1 3300 SH SOLE 3300 0 0 LIMELIGHT NETWORKS ORD COM 53261M104 121 40000 SH DFND 40000 0 0 LINDE ORD COM G5494J103 4552 23500 SH SOLE 23500 0 0 LINE ADR REP ORD SPONSORED ADR 53567X101 104 2900 SH SOLE 2900 0 0 LIPOCINE ORD COM 53630X104 74 26639 SH DFND 26639 0 0 LIPOCINE ORD COM 53630X104 0 50 SH Call DFND 50 0 0 LIPOCINE ORD COM 53630X104 1 360 SH Put DFND 360 0 0 LIQTECH INTERNATIONAL ORD COM 53632A201 79 10000 SH SOLE 10000 0 0 LIVENT ORD COM 53814L108 133 20000 SH DFND 20000 0 0 LIVEPERSON ORD COM 538146101 124 3500 SH SOLE 3500 0 0 LIVONGO HEALTH ORD COM 539183103 3 200 SH DFND 200 0 0 LLOYDS BANKING GROUP ADR 4 ORD SPONSORED ADR 539439109 7297 2764021 SH SOLE 2764021 0 0 LMA NGRA INDS SCD ANMA ADS REP 5 ORD COM 54150E104 0 12 SH SOLE 12 0 0 LMP CAPITAL & INCM CF COM 50208A102 24 1720 SH DFND 1720 0 0 LONGWEI PETROLEUM INVEST HOLDING ORD COM 543354104 0 5000 SH SOLE 5000 0 0 LOVESAC COMPANY ORD COM 54738L109 90 4821 SH DFND 4821 0 0 LOVESAC COMPANY ORD COM 54738L109 1 82 SH Call DFND 82 0 0 LUCKIN COFFEE ADR REP 8 ORD SPONSORED ADR 54951L109 0 50 SH Call DFND 50 0 0 LULULEMON ATHLETICA ORD COM 550021109 1 8 SH DFND 8 0 0 LYFT CL A ORD COM 55087P104 337 8265 SH DFND 8265 0 0 LYFT CL A ORD COM 55087P104 2 68 SH Call DFND 68 0 0 MACYS ORD COM 55616P104 57 3715 SH DFND 3715 0 0 MAG SILVER ORD COM 55903Q104 42 4000 SH DFND 4000 0 0 MAIDEN HLDNG 7.125 SRS C NON CUM PRF COM G5753U138 70 10000 SH SOLE 10000 0 0 MAIDEN HOLDINGS LTD COM 560292302 797 44705 SH SOLE 44705 0 0 MALVERN BANCORP ORD COM 561409103 72 3336 SH DFND 3336 0 0 MARATHON PETROLEUM ORD COM 56585A102 645 10621 SH DFND 10621 0 0 MARKER THERAPEUTICS ORD COM 57055L107 163 32058 SH DFND 32058 0 0 MARRIOTT INTERNATIONAL CL A ORD COM 571903202 2 22 SH DFND 22 0 0 MATCH GROUP ORD COM 57665R106 20 289 SH DFND 289 0 0 MAXIM INTEGRATED PRODUCTS ORD COM 57772K101 28 500 SH DFND 500 0 0 MAXIM INTEGRATED PRODUCTS ORD COM 57772K101 8 150 SH Call DFND 150 0 0 MCDERMOTT INTERNATIONAL ORD COM 580037703 111 55000 SH DFND 55000 0 0 MCKESSON ORD COM 58155Q103 188 1376 SH DFND 1376 0 0 MDC HOLDINGS ORD COM 552676108 129 3000 SH SOLE 3000 0 0 MDU RESOURCES GROUP ORD COM 552690109 16 602 SH DFND 602 0 0 MEDIDATA SOLUTIONS ORD COM 58471A105 846 9248 SH DFND 9248 0 0 MEDIDATA SOLUTIONS ORD COM 58471A105 18 198 SH Call DFND 198 0 0 MEDIDATA SOLUTIONS ORD COM 58471A105 3 37 SH Put DFND 37 0 0 MEDMEN ENTERPRISES ORD CL B COM 58507M107 87 60000 SH SOLE 60000 0 0 MEGALITH FINANCIAL ACQUISITION UNT COM 58518F208 80 7700 SH SOLE 7700 0 0 MELLANOX TECHNOLOGIES ORD COM M51363113 1139 10398 SH SOLE 10398 0 0 METHANEX ORD COM 59151K108 141 4000 SH DFND 4000 0 0 MFS INTERMEDIATE INCOME CF COM 55273C107 38 10040 SH SOLE 10040 0 0 MGM GROWTH PROPERTIES CL A ORD (NYS) COM 55303A105 5 180 SH Call DFND 180 0 0 MGM RESORTS INTERNATIONAL ORD COM 552953101 5 200 SH Call DFND 200 0 0 MICHELIN COMPAGNIE GENERALE DES ADR COM 59410T106 111 5000 SH SOLE 5000 0 0 MICRON SOLUTIONS ORD COM 59511X105 164 75051 SH SOLE 75051 0 0 MICRON TECHNOLOGY ORD COM 595112103 538 12575 SH DFND 12575 0 0 MINERA ALAMOS INC COM 60283L105 19 150000 SH SOLE 150000 0 0 MONDELEZ INTERNATIONAL CL A ORD COM 609207105 2 49 SH DFND 49 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 0 200 SH DFND 200 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 0 10 SH Call DFND 10 0 0 MONGODB CL A ORD COM 60937P106 28 240 SH DFND 240 0 0 MORGAN STANL DS REP 1/1000 SRS E PRF COM 61762V200 2 92 SH SOLE 92 0 0 MORGAN STANLEY EMERGING MKT DEBT CF COM 61744H105 93 10187 SH DFND 10187 0 0 MOTUS GI HOLDINGS ORD COM 62014P108 1 600 SH SOLE 600 0 0 MOUNTAIN PROVINCE DIAMONDS ORD COM 62426E402 22 23550 SH SOLE 23550 0 0 MS EMERGING MARKTS DOMESTIC DEBT CF COM 617477104 171 25950 SH DFND 25950 0 0 MSC INDUSTRIAL CL A ORD COM 553530106 25 350 SH DFND 350 0 0 MUSTANG BIO ORD COM 62818Q104 326 100000 SH SOLE 100000 0 0 MYLAN ORD COM N59465109 95 4806 SH SOLE 4806 0 0 MYLAN ORD COM N59465109 2 132 SH Call SOLE 132 0 0 NASPERS SPON 5 ADR REP CL N ORD SPONSORED ADR 631512209 90 3008 SH SOLE 3008 0 0 NATIONAL RETAIL PROPERTIES REIT ORD COM 637417106 12 214 SH DFND 214 0 0 NAVIGANT CONSULTING ORD COM 63935N107 437 15668 SH SOLE 15668 0 0 NCR ORD COM 62886E108 146 4651 SH DFND 4651 0 0 NEKTAR THERAPEUTICS ORD COM 640268108 282 15500 SH DFND 15500 0 0 NEON THERAPEUTICS ORD COM 64050Y100 361 210000 SH SOLE 210000 0 0 NETEASE ADR COM 64110W102 51 192 SH SOLE 192 0 0 NETFLIX ORD COM 64110L106 2 8 SH Put DFND 8 0 0 NEUBASE THERAPEUTICS ORD COM 64132K102 86 17291 SH DFND 17291 0 0 NEUBERGER BERMAN HGH YLD STRATGS CF COM 64128C106 181 15000 SH DFND 15000 0 0 NEW AGE BEVERAGES ORD COM 64157V108 0 51 SH Call DFND 51 0 0 NEW AMERICA HIGH INCOME CF COM 641876800 140 15900 SH DFND 15900 0 0 NEW GOLD ORD COM 644535106 115 114154 SH DFND 114154 0 0 NEW GOLD ORD COM 644535106 0 20 SH Call DFND 20 0 0 NEW MEDIA INVESTMENT GROUP ORD COM 64704V106 227 25778 SH DFND 25778 0 0 NEW YORK TIMES CL A ORD (NYS) COM 650111107 36 1284 SH Call DFND 1284 0 0 NEWELL BRANDS ORD COM 651229106 5 300 SH DFND 300 0 0 NEXPOINT STRATEGIC OPPORTUNITIES CF COM 65340G205 86 4800 SH DFND 4800 0 0 NEXSTAR MEDIA GROUP CL A ORD COM 65336K103 51 501 SH DFND 501 0 0 NEXSTAR MEDIA GROUP CL A ORD COM 65336K103 8 86 SH Call DFND 86 0 0 NIELSEN HOLDINGS ORD (NYS) COM G6518L108 2 114 SH Call SOLE 114 0 0 NIKE CL B ORD COM 654106103 28 300 SH DFND 300 0 0 NIKE CL B ORD COM 654106103 0 1 SH Put DFND 1 0 0 NIO ADS REP 1 CL A ORD COM 62914V106 8 5200 SH DFND 5200 0 0 NJ RESOURCES ORD COM 646025106 11 258 SH DFND 258 0 0 NORFOLK SOUTHERN ORD COM 655844108 179 1000 SH DFND 1000 0 0 NORTHERN DYNASTY MINERALS ORD COM 66510M204 11 20000 SH DFND 20000 0 0 NORWOOD FINANCIAL ORD COM 669549107 25 801 SH SOLE 801 0 0 NOVO NORDISK ADR REPSG 1 ORD SPONSORED ADR 670100205 258 5000 SH DFND 5000 0 0 NUANCE COMMUNICATIONS ORD COM 67020Y100 11 800 SH SOLE 800 0 0 NUTANIX CL A ORD COM 67059N108 190 7250 SH DFND 7250 0 0 NUTANIX CL A ORD COM 67059N108 1 50 SH Call DFND 50 0 0 NUVEEN AMT FREE MNCPL CRDT INCM CF COM 67071L106 34 2064 SH DFND 2064 0 0 NUVEEN AMT FREE MUNICIPAL CF COM 670695105 2 172 SH DFND 172 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 216 15116 SH DFND 15116 0 0 NUVEEN ARIZONA QLTY MNCPL INCM CF COM 67061W104 2 172 SH DFND 172 0 0 NUVEEN CALIF SELECT TAX-FREE INCM CF COM 67063R103 1 86 SH DFND 86 0 0 NUVEEN CALIFORNIA MUNICIPAL VALUE CF COM 67062C107 2 258 SH DFND 258 0 0 NUVEEN CALIFORNIA MUNICIPL VAL 2 CF COM 6706EB106 1 86 SH DFND 86 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 235 15688 SH DFND 15688 0 0 NUVEEN CORE EQUITY ALPHA CF COM 67090X107 19 1376 SH DFND 1376 0 0 NUVEEN CREDIT OPPORTUNITIES 2022 CF COM 67075U102 2 258 SH DFND 258 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 477 63860 SH DFND 63860 0 0 NUVEEN DIVERSIFIED DIVIDEND INCM CF COM 6706EP105 12 1118 SH DFND 1118 0 0 NUVEEN DOW 30SM DYNAMIC OVRWRT CF COM 67075F105 38 2150 SH DFND 2150 0 0 NUVEEN ENHANCED MUNICIPAL VALUE CF COM 67074M101 2 172 SH DFND 172 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 5 602 SH DFND 602 0 0 NUVEEN FLOATING RATE INCOME CF COM 67072T108 30 3172 SH DFND 3172 0 0 NUVEEN GLOBAL HIGH INCOME CF COM 67075G103 85 5503 SH DFND 5503 0 0 NUVEEN HG INCM NOV 2021 TRGT NAV CF COM 67077N106 3 344 SH SOLE 344 0 0 NUVEEN INTERMEDIATE DURATION MUNI CF COM 670671106 3 258 SH DFND 258 0 0 NUVEEN MARYLAND QLTY MNCPL INCM CF COM 67061Q107 2 172 SH DFND 172 0 0 NUVEEN MASACHUSET QLTY MNCPL INCM CF COM 67061E104 1 86 SH DFND 86 0 0 NUVEEN MICHIGAN QLTY MNCPL INCM CF COM 670979103 2 172 SH DFND 172 0 0 NUVEEN MORTGAGE OPPORTUNITY 2 CF COM 67074R100 126 5700 SH SOLE 5700 0 0 NUVEEN MUNI HIGH INC OPPORTUNITY CF COM 670682103 7 516 SH DFND 516 0 0 NUVEEN MUNICIPAL CREDIT INCOME CF COM 67070X101 30 1892 SH DFND 1892 0 0 NUVEEN MUNICIPAL INCOME CF COM 67062J102 1 172 SH DFND 172 0 0 NUVEEN NASDAQ 100 DYNAMIC OVRWRT CF COM 670699107 53 2408 SH DFND 2408 0 0 NUVEEN NEW JERSEY QLTY MNCPL INCM CF COM 67069Y102 6 430 SH DFND 430 0 0 NUVEEN NEW YORK QLTY MNCPL INCM CF COM 67066X107 2 172 SH DFND 172 0 0 NUVEEN NY SELECT TAX-FREE INCM CF COM 67063V104 1 86 SH DFND 86 0 0 NUVEEN OHIO QLTY MNCPL INCM CF COM 670980101 2 172 SH DFND 172 0 0 NUVEEN PNSYLVANIA QLTY MNCPL INCM CF COM 670972108 6 430 SH DFND 430 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 66 6737 SH DFND 6737 0 0 NUVEEN PREFERRD AND INCM 2022 TRM CF COM 46623C202 4 172 SH DFND 172 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 76 7652 SH DFND 7652 0 0 NUVEEN PREFERRED AND INCOME TERM CF COM 67075A106 204 8258 SH DFND 8258 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 118 8221 SH DFND 8221 0 0 NUVEEN REAL ASSET INCOME AND GRO CF COM 67074Y105 93 5344 SH DFND 5344 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 8 774 SH DFND 774 0 0 NUVEEN S P 500 BUY WRITE INC CF COM 6706ER101 37 2838 SH DFND 2838 0 0 NUVEEN S P 500 DYNAMIC OVRWRT CF COM 6706EW100 19 1290 SH DFND 1290 0 0 NUVEEN SELECT TAX FREE INCOME 2 CF COM 67063C106 2 172 SH DFND 172 0 0 NUVEEN SELECT TAX-FREE INCOME 3 CF COM 67063X100 2 172 SH DFND 172 0 0 NUVEEN SELECT TAX-FREE INCOME CF COM 67062F100 2 172 SH DFND 172 0 0 NUVEEN SENIOR INCOME CF COM 67067Y104 1 344 SH DFND 344 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 5 344 SH DFND 344 0 0 NUVEEN TAX ADVNTGD DIVDND GRWTH CF COM 67073G105 11 688 SH DFND 688 0 0 NUVEEN TAX-ADVANTAGED TOTAL RETN CF COM 67090H102 5 516 SH DFND 516 0 0 NUVEEN TAXABLE MUNICIPAL INCM NAV CF COM 67074C103 117 5258 SH DFND 5258 0 0 NUVEEN VIRGINIA QLTY MNCPL INCM CF COM 67064R102 2 172 SH DFND 172 0 0 NUVEN CALIFOR AMT FREE QLT MNCPL CF COM 670651108 2 172 SH DFND 172 0 0 NVIDIA ORD COM 67066G104 7 41 SH DFND 41 0 0 NXCHAIN ORD COM 629471103 0 800 SH SOLE 800 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 382 3504 SH SOLE 3504 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 0 1 SH Put SOLE 1 0 0 O'REILLY AUTOMOTIVE ORD COM 67103H107 19 50 SH DFND 50 0 0 OAKTREE CAPITAL GROUP CL A UNT (NYS) COM 674001201 0 2 SH Put SOLE 2 0 0 OCCIDENTAL PETROLEUM ORD COM 674599105 3281 73785 SH DFND 73785 0 0 ODYSSEY MARINE EXPLORATION ORD COM 676118201 63 16705 SH SOLE 16705 0 0 OFFICE DEPOT ORD (NMS) COM 676220106 0 160 SH Call DFND 160 0 0 OKTA CL A ORD COM 679295105 157 1600 SH DFND 1600 0 0 OMEROS ORD (NMS) COM 682143102 0 5 SH Call SOLE 5 0 0 ONEOK ORD COM 682680103 0 6 SH DFND 6 0 0 ONESPAWORLD HOLDINGS LTD COM P73684105 9 1900 SH SOLE 1900 0 0 OPKO HEALTH ORD COM 68375N103 0 200 SH SOLE 200 0 0 OPTION CARE HEALTH ORD COM 68404L102 0 192 SH DFND 192 0 0 ORBCOMM ORD COM 68555P100 59 12500 SH SOLE 12500 0 0 OWENS CORNIING ORD COM 690742101 6 100 SH DFND 100 0 0 PACIFIC BIOSCIENCES OF CALIFRNIA ORD COM 69404D108 19 3835 SH DFND 3835 0 0 PACIFIC BIOSCIENCES OF CALIFRNIA ORD COM 69404D108 0 26 SH Call DFND 26 0 0 PAN AMER SILVER ORD COM 697900108 19 1270 SH DFND 1270 0 0 PAN AMER SILVER ORD COM 697900108 0 50 SH Call DFND 50 0 0 PAN AMER SILVER ORD COM 697900108 0 16 SH Put DFND 16 0 0 PAPA JOHNS INTERNATIONAL ORD COM 698813102 71 1358 SH DFND 1358 0 0 PARATEK PHARMACEUTICALS ORD COM 699374302 2 500 SH SOLE 500 0 0 PARKER DRILLING COMPANY ORD COM 701081507 0 5 SH SOLE 5 0 0 PARSLEY ENERGY CL A ORD COM 701877102 0 21 SH DFND 21 0 0 PARTY CITY HOLDCO INC COM 702149105 256 45000 SH DFND 45000 0 0 PAYCHEX ORD COM 704326107 1 24 SH DFND 24 0 0 PAYPAL HOLDINGS ORD COM 70450Y103 215 2080 SH DFND 2080 0 0 PCM FUND CF COM 69323T101 37 3372 SH DFND 3372 0 0 PELOTON INTERACTIVE ORD COM 70614W100 112 4500 SH DFND 4500 0 0 PENN NATIONAL GAMING ORD COM 707569109 68 3688 SH DFND 3688 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 238 20566 SH DFND 20566 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 164 26309 SH DFND 26309 0 0 PEPSICO ORD COM 713448108 13 95 SH DFND 95 0 0 PETROCHINA ADR REPSNTG 100 H ORD SPONSORED ADR 71646E100 101 2000 SH DFND 2000 0 0 PG&E ORD (NYS) COM 69331C108 0 28 SH Call DFND 28 0 0 PGIM GLOBAL HIGH YIELD CF COM 69346J106 160 11171 SH DFND 11171 0 0 PGIM HIGH YIELD BOND CF COM 69346H100 95 6385 SH DFND 6385 0 0 PHIBRO ANIMAL HEALTH CL A ORD COM 71742Q106 22 1040 SH SOLE 1040 0 0 PHUNWARE ORD COM 71948P100 0 400 SH DFND 400 0 0 PIMCO CALIFOR MUNI INCM III CF COM 72201C109 9 844 SH DFND 844 0 0 PIMCO CALIFORNIA MUNICI INCOME II CF COM 72200M108 48 4926 SH DFND 4926 0 0 PIMCO CALIFORNIA MUNICIPAL INCOME CF COM 72200N106 3 172 SH DFND 172 0 0 PIMCO CORP INCOME CF COM 72200U100 43 2344 SH DFND 2344 0 0 PIMCO CORPORATE OPPORTUNITY CF COM 72201B101 102 5634 SH DFND 5634 0 0 PIMCO DYNAMIC INCOME CF COM 72201Y101 16 516 SH DFND 516 0 0 PIMCO DYNMC CRDT AND MRTG INCM CF COM 72202D106 173 7074 SH DFND 7074 0 0 PIMCO GLOBAL STOCKSPLUS INCOME CF COM 722011103 2 258 SH DFND 258 0 0 PIMCO HIGH INCOME CF COM 722014107 11 1548 SH DFND 1548 0 0 PIMCO INCOME OPPORTUNITY CF COM 72202B100 102 3858 SH DFND 3858 0 0 PIMCO INCOME STRATEGY CF COM 72201H108 60 5258 SH DFND 5258 0 0 PIMCO INCOME STRATEGY II CF COM 72201J104 134 13058 SH DFND 13058 0 0 PIMCO MUNICIPAL INCOME CF COM 72200R107 9 602 SH DFND 602 0 0 PIMCO MUNICIPAL INCOME II CF COM 72200W106 12 774 SH DFND 774 0 0 PIMCO MUNICIPAL INCOME III CF COM 72201A103 4 344 SH DFND 344 0 0 PIMCO NEW YORK MUN INCOME III CF COM 72201E105 0 86 SH DFND 86 0 0 PIMCO NEW YORK MUNICI INCOME II CF COM 72200Y102 2 172 SH DFND 172 0 0 PIMCO STRATEGIC INCOME CF COM 72200X104 55 5954 SH DFND 5954 0 0 PING IDENTITY HOLDING ORD COM 72341T103 25 1500 SH DFND 1500 0 0 PINTEC TECHNOLOGY HOLD ADR REP 7 ORD SPONSORED ADR 72352G107 0 800 SH SOLE 800 0 0 PINTEREST CL A ORD COM 72352L106 247 9350 SH DFND 9350 0 0 PINTEREST CL A ORD COM 72352L106 2 112 SH Call DFND 112 0 0 PIONEER FLOATING RATE CF COM 72369J102 79 7595 SH DFND 7595 0 0 PIONEER HIGH INCOME CF COM 72369H106 131 14287 SH DFND 14287 0 0 PIONEER NATURAL RESOURCE ORD COM 723787107 12 100 SH DFND 100 0 0 PIVOTAL ACQUISITION CL A ORD COM 72583A101 9050 889087 SH DFND 889087 0 0 PIVOTAL ACQUISITION CL A RED UNT COM 72583A200 1447 125720 SH DFND 125720 0 0 PIVOTAL INVESTMENT CL A ORD COM 72582K100 644 66476 SH DFND 66476 0 0 PIVOTAL SOFTWARE CL A ORD COM 72582H107 3383 226786 SH DFND 226786 0 0 PIVOTAL SOFTWARE CL A ORD COM 72582H107 3 233 SH Call DFND 233 0 0 PIVOTAL SOFTWARE CL A ORD COM 72582H107 0 50 SH Put DFND 50 0 0 PJSC LUKOIL SPON ADR REP ORD SPONSORED ADR 69343P105 678 8200 SH SOLE 8200 0 0 POTNETWORK HOLDINGS INC COM 737636209 0 3000 SH SOLE 3000 0 0 POWER INTEGRATIONS ORD COM 739276103 45 500 SH SOLE 500 0 0 PPL ORD COM 69351T106 297 9460 SH DFND 9460 0 0 PRESIDIO ORD COM 74102M103 540 32000 SH SOLE 32000 0 0 PRICESMART ORD COM 741511109 14 200 SH Put DFND 200 0 0 PRIMO WATER ORD COM 74165N105 122 10000 SH DFND 10000 0 0 PRINCIPAL REAL ESTATE INCOME CF COM 74255X104 189 9203 SH SOLE 9203 0 0 PROCTER & GAMBLE ORD COM 742718109 63 510 SH Put DFND 510 0 0 PROGENICS PHARMACEUTICALS ORD (NMS) COM 743187106 0 10 SH Call SOLE 10 0 0 PROSHARES ULTRA S&P 500 ETF COM 74347R107 10 85 SH DFND 85 0 0 PROSHARES ULTRA VIX SHORT TERM ETF COM 74347W148 260 10000 SH DFND 10000 0 0 PROSHARES ULTRASHORT QQQ ETF COM 74347B243 150 5000 SH DFND 5000 0 0 PROSHRES ULTRASHT 20 PLS YR TRSY ETF COM 74347B201 53 2200 SH DFND 2200 0 0 PULTEGROUP ORD (NYS) COM 745867101 3 107 SH Put DFND 107 0 0 PURE STORAGE CL A ORD COM 74624M102 1 100 SH DFND 100 0 0 PUTNAM MASTER INTERMEDIATE INCOME CF COM 746909100 95 20858 SH DFND 20858 0 0 PUTNAM MUNICIPAL OPPORTUNITIES CF COM 746922103 6 516 SH DFND 516 0 0 PUTNAM PREMIER INCOME CF COM 746853100 5 1032 SH DFND 1032 0 0 PYXUS INTERNATIONAL ORD COM 74737V106 1190 91000 SH DFND 91000 0 0 QEP RESOURCES ORD (NYS) COM 74733V100 0 32 SH Call DFND 32 0 0 QEP RESOURCES ORD (NYS) COM 74733V100 2 600 SH Put DFND 600 0 0 QUALCOMM ORD COM 747525103 6 83 SH DFND 83 0 0 QUALCOMM ORD COM 747525103 16 210 SH Call DFND 210 0 0 QUOTIENT ORD COM G73268107 164 21206 SH SOLE 21206 0 0 RA MEDICAL SYSTEMS ORD COM 74933X104 58 41500 SH SOLE 41500 0 0 RANGE RESOURCES ORD COM 75281A109 58 15300 SH DFND 15300 0 0 RANPAK HOLDINGS CL A ORD COM 75321W103 1 198 SH DFND 198 0 0 REAVES UTILITY INCOME CF COM 756158101 110 3000 SH DFND 3000 0 0 RED LION HOTELS ORD COM 756764106 194 30000 SH SOLE 30000 0 0 REPAY HOLDINGS CORP COM 76029L118 152 172754 SH SOLE 172754 0 0 REPLAY ACQUISITION UNT COM G75130123 86 8500 SH SOLE 8500 0 0 REVOLVE GROUP CL A ORD COM 76156B107 30 1316 SH DFND 1316 0 0 REWALK ROBOTICS LTD COM M8216Q200 688 225120 SH SOLE 225120 0 0 RINGCENTRAL CL A ORD COM 76680R206 21 172 SH SOLE 172 0 0 RIO2 LTD COM 767217102 10 32500 SH SOLE 32500 0 0 RITE AID ORD COM 767754872 1 205 SH SOLE 205 0 0 RIVERNORTH DOUBLLINE STRTGC OPTY CF COM 76882G107 91 5275 SH DFND 5275 0 0 ROCHE HOLDINGS 8 ADR REP ORD SPONSORED ADR 771195104 182 4996 SH SOLE 4996 0 0 ROKU CL A ORD COM 77543R102 68 675 SH DFND 675 0 0 ROKU CL A ORD COM 77543R102 1 19 SH Call DFND 19 0 0 ROKU CL A ORD COM 77543R102 1 15 SH Put DFND 15 0 0 ROYAL BANK SCOTLAND ADS REP 2 ORD COM 780097689 303 59459 SH DFND 59459 0 0 ROYAL DUTCH SHELL ADR REP 2 CL B ORD SPONSORED ADR 780259107 27 462 SH DFND 462 0 0 ROYAL FINANCIAL ORD COM 78027P109 25 1550 SH DFND 1550 0 0 RUSH ENTERPRISES CL A ORD COM 781846209 40 1050 SH SOLE 1050 0 0 RYANAIR HOLDINGS ORD COM 783513203 2024 30500 SH SOLE 30500 0 0 SAFEGUARD SCIENTIFICS ORD COM 786449207 73 6500 SH SOLE 6500 0 0 SALESFORCE.COM ORD COM 79466L302 0 1 SH DFND 1 0 0 SALISBURY BANCORP ORD COM 795226109 202 5174 SH DFND 5174 0 0 SAMSUNG ELECTRONICS REG S GDR COM 796050888 1 1 SH SOLE 1 0 0 SANDERSON FARMS ORD COM 800013104 9 60 SH Call DFND 60 0 0 SANDRIDGE MISSISSIPPIAN UNT COM 80007T101 1 2234 SH DFND 2234 0 0 SANDSTORM GOLD ORD (ASE) COM 80013R206 0 50 SH Call DFND 50 0 0 SAREPTA THERAPEUTICS ORD COM 803607100 154 2055 SH DFND 2055 0 0 SATSUMA PHARMACEUTICALS ORD COM 80405P107 4 300 SH SOLE 300 0 0 SBA COMMUNICATIONS CL A REIT ORD COM 78410G104 483 2006 SH DFND 2006 0 0 SCHULTZE SPECIAL PURPOSE ACQUISI ORD COM 80821R109 0 62 SH DFND 62 0 0 SCHULTZE SPECIAL PURPOSE ACQUISI UNT COM 80821R208 7 751 SH DFND 751 0 0 SCORPIO TANKERS ORD COM Y7542C106 448 15082 SH SOLE 15082 0 0 SCORPIO TANKERS ORD COM Y7542C106 7 250 SH Call SOLE 250 0 0 SEACHANGE INTERNATIONAL ORD COM 811699107 192 67000 SH SOLE 67000 0 0 SECOND STREET CAPITAL ORD COM 813630100 0 20 SH SOLE 20 0 0 SECURITY DEVICES INTL ORD COM 814196101 304 2085417 SH SOLE 2085417 0 0 SELECT SECTOR UTI SELECT SPDR ETF COM 81369Y886 6 100 SH Put DFND 100 0 0 SELECT STR FINANCIAL SELECT SPDR ETF COM 81369Y605 197 7066 SH DFND 7066 0 0 SENECA FOODS CL B ORD COM 817070105 35 1154 SH SOLE 1154 0 0 SEQUANS COMMUNICATIONS ADR REP 1 ORD SPONSORED ADR 817323108 112 130000 SH SOLE 130000 0 0 SERVICENOW ORD COM 81762P102 2 10 SH Call DFND 10 0 0 SHOPIFY CL A SUB VTG ORD COM 82509L107 433 1390 SH DFND 1390 0 0 SHOPIFY CL A SUB VTG ORD COM 82509L107 5 17 SH Put DFND 17 0 0 SIGMA DESIGNS ORD COM 826565103 1 6300 SH SOLE 6300 0 0 SIGNET JEWELERS ORD COM G81276100 77 4628 SH SOLE 4628 0 0 SILVER SPIKE ACQUISITION UNT COM G8136L122 0 56 SH SOLE 56 0 0 SILVERCREST METALS ORD COM 828363101 627 120493 SH DFND 120493 0 0 SIX FLAGS ENTERTAINMENT ORD COM 83001A102 253 5000 SH DFND 5000 0 0 SKYLINE CHAMPION ORD COM 830830105 180 6000 SH DFND 6000 0 0 SLACK TECHNOLOGIES CL A ORD COM 83088V102 4 200 SH DFND 200 0 0 SLANG WORLDWIDE ORD COM 831006200 6 15000 SH DFND 15000 0 0 SMILEDIRECTCLUB CL A ORD COM 83192H106 325 23424 SH DFND 23424 0 0 SOCIAL CAPITAL HEDOSOPHIA HOLD UNT COM G8250R111 392 34300 SH SOLE 34300 0 0 SOCIAL CPTL HEDOSOPHIA HLD CL A ORD COM G8250R103 12555 1173382 SH SOLE 1173382 0 0 SOCIAL CPTL HEDOSOPHIA HLD CL A ORD COM G8250R103 12 1162 SH Call SOLE 1162 0 0 SOCIAL CPTL HEDOSOPHIA HLD CL A ORD COM G8250R103 0 38 SH Put SOLE 38 0 0 SOCIEDAD QUIMICA ADR REP 1 SRS B ORD SPONSORED ADR 833635105 2 100 SH DFND 100 0 0 SOFTBANK GROUP UNSPONSORED ADR COM 83404D109 955 48804 SH DFND 48804 0 0 SONY ADR REP 1 ORD SPONSORED ADR 835699307 29 500 SH DFND 500 0 0 SORRENTO THERAPEUTICS ORD COM 83587F202 4 2000 SH SOLE 2000 0 0 SOTHEBYS ORD (NYS) COM 835898107 3 70 SH Call DFND 70 0 0 SOUTH MOUNTAIN MERGER UNT COM 838884203 6 618 SH SOLE 618 0 0 SOUTHERN COPPER ORD COM 84265V105 16 471 SH DFND 471 0 0 SOUTHERN COPPER ORD COM 84265V105 2 69 SH Call DFND 69 0 0 SOUTHERN NATNL BANCORP VIRGINIA ORD COM 843395104 253 16501 SH DFND 16501 0 0 SPARK THERAPEUTICS ORD COM 84652J103 8369 86305 SH DFND 86305 0 0 SPARK THERAPEUTICS ORD COM 84652J103 8 84 SH Call DFND 84 0 0 SPARTAN ENERGY ACQUISITION CL A ORD COM 846784106 16 1590 SH SOLE 1590 0 0 SPARTAN ENERGY ACQUISITION CL A UNT COM 846784114 11 1100 SH SOLE 1100 0 0 SPDR BARCLAYS HIGH YIELD BOND ETF (PSE) COM 78468R622 1 17 SH Put DFND 17 0 0 SPDR GOLD SHARES ETF COM 78463V107 53 383 SH Put DFND 383 0 0 SPDR S&P 500 ETF COM 78462F103 11 38 SH Call DFND 38 0 0 SPDR S&P 500 ETF COM 78462F103 323 1089 SH Put DFND 1089 0 0 SPDR S&P HOMEBUILDERS ETF COM 78464A888 22 500 SH Put DFND 500 0 0 SPDR S&P METALS & MINING ETF COM 78464A755 1 60 SH Call DFND 60 0 0 SPDR S&P OIL & GAS EXPL & PROD ETF COM 78464A730 0 24 SH Call DFND 24 0 0 SPDR S&P REGIONAL BANKING ETF COM 78464A698 31 600 SH DFND 600 0 0 SPIRIT MTA REIT ORD COM 84861U105 211 25000 SH SOLE 25000 0 0 SPORTSMANS WAREHOUSE HOLDINGS ORD COM 84920Y106 259 50000 SH SOLE 50000 0 0 SPOTIFY TECHNOLOGY ORD COM L8681T102 42 370 SH SOLE 370 0 0 STAGE STORES ORD COM 85254C305 9 5000 SH DFND 5000 0 0 STARS GROUP ORD COM 85570W100 89 6000 SH DFND 6000 0 0 STOCK YARDS BANCORP ORD COM 861025104 6 172 SH DFND 172 0 0 STRATASYS ORD (NMS) COM M85548101 3 150 SH Call SOLE 150 0 0 SUMMIT WIRELESS TECHNOLOGIES ORD COM 86633R104 24 27316 SH DFND 27316 0 0 SUNDIAL GROWERS ORD COM 86730L109 196 41000 SH DFND 41000 0 0 SUNNYSIDE BANCORP ORD COM 867475105 161 12592 SH DFND 12592 0 0 SYMANTEC ORD COM 871503108 210 8900 SH DFND 8900 0 0 SYMANTEC ORD COM 871503108 2 98 SH Put DFND 98 0 0 SYNOVUS FINANCIAL ORD COM 87161C501 18 516 SH DFND 516 0 0 T MOBILE US ORD COM 872590104 459 5835 SH DFND 5835 0 0 TAILORED BRANDS ORD COM 87403A107 264 60000 SH DFND 60000 0 0 TAKEDA PHARMA ADR REP 0.5 ORD SPONSORED ADR 874060205 0 1 SH DFND 1 0 0 TALEND ADR REP ORD SPONSORED ADR 874224207 39 1150 SH SOLE 1150 0 0 TALLGRASS ENERGY CL A ORD COM 874696107 2056 102094 SH DFND 102094 0 0 TARGET ORD COM 87612E106 128 1200 SH DFND 1200 0 0 TEEKAY TANKERS CL A ORD COM Y8565N102 181 139723 SH SOLE 139723 0 0 TELEDYNE TECH ORD COM 879360105 22 70 SH SOLE 70 0 0 TELEFONICA ADR REP ONE ADR SPONSORED ADR 879382208 1209 159138 SH SOLE 159138 0 0 TELLURIAN ORD (NMS) COM 87968A104 4 550 SH Call DFND 550 0 0 TEMPLETON EMERGING MARKET INCOME CF COM 880192109 86 9487 SH DFND 9487 0 0 TEMPLETON GLOBAL INCOME CF COM 880198106 160 26208 SH DFND 26208 0 0 TENARIS ADR REP 2 ORD SPONSORED ADR 88031M109 1694 80000 SH SOLE 80000 0 0 TERADYNE ORD COM 880770102 22 382 SH DFND 382 0 0 TESLA ORD COM 88160R101 22 94 SH Call DFND 94 0 0 TESLA ORD COM 88160R101 53 224 SH Put DFND 224 0 0 TEVA PHARMA IND ADR REP 1 ORD SPONSORED ADR 881624209 0 100 SH DFND 100 0 0 TEVA PHARMA IND ADR REP 1 ORD SPONSORED ADR 881624209 0 34 SH Call DFND 34 0 0 TEXAS INSTRUMENTS ORD COM 882508104 1 13 SH DFND 13 0 0 THE REALREAL ORD COM 88339P101 0 12 SH Put DFND 12 0 0 THE RUBICON PROJECT ORD COM 78112V102 261 30000 SH SOLE 30000 0 0 THERAPEUTICSMD ORD (ASE) COM 88338N107 0 87 SH Call DFND 87 0 0 THL CREDIT SENIOR LOAN CF COM 87244R103 102 6855 SH DFND 6855 0 0 TIDELANDS OIL AND GAS ORD COM 886405109 0 526323 SH SOLE 526323 0 0 TILRAY CL 2 ORD COM 88688T100 174 7050 SH DFND 7050 0 0 TILRAY CL 2 ORD COM 88688T100 0 23 SH Call DFND 23 0 0 TIVITY HEALTH ORD (NMS) COM 88870R102 0 38 SH Put DFND 38 0 0 TOKYO ELECTRON ADR REP 2 ORD SPONSORED ADR 889110102 0 2 SH SOLE 2 0 0 TOTAL ADR REP 1 ORD SPONSORED ADR 89151E109 10 200 SH DFND 200 0 0 TOWN SPORTS INTERNATIONAL ORD COM 89214A102 19 11600 SH SOLE 11600 0 0 TRACTOR SUPPLY ORD COM 892356106 194 2150 SH DFND 2150 0 0 TRADE DESK CL A ORD COM 88339J105 19 102 SH DFND 102 0 0 TRINE ACQUISITION CL A ORD COM 89628U108 584 59200 SH DFND 59200 0 0 TRINE ACQUISITION CL A RED UNT COM 89628U207 1051 101600 SH DFND 101600 0 0 TRUSTCO BANK ORD COM 898349105 7 860 SH DFND 860 0 0 TSAKOS ENR NVG CUM RED PRP SRS E PRF COM G9108L157 4 200 SH SOLE 200 0 0 TSAKOS ENRG NVGT CM RD PRP SRS F PRF COM G9108L165 265 11920 SH SOLE 11920 0 0 TURNING POINT THERAPEUTICS ORD COM 90041T108 118 3150 SH DFND 3150 0 0 TWILIO CL A ORD COM 90138F102 412 3750 SH DFND 3750 0 0 TWIN RIVER WORLDWIDE HOLDINGS ORD COM 90171V204 499 21867 SH DFND 21867 0 0 TYSON FOODS CL A ORD COM 902494103 636 7388 SH DFND 7388 0 0 TYSON FOODS CL A ORD COM 902494103 14 168 SH Call DFND 168 0 0 UBER TECHNOLOGIES INC COM 90353T100 1 50 SH DFND 50 0 0 UBER TECHNOLOGIES INC COM 90353T100 6 204 SH Call DFND 204 0 0 UBS GROUP N ORD COM H42097107 686 60710 SH SOLE 60710 0 0 UGI ORD COM 902681105 17 344 SH DFND 344 0 0 ULTA BEAUTY ORD COM 90384S303 1 4 SH DFND 4 0 0 UNDER ARMOUR CL C ORD COM 904311206 5 300 SH DFND 300 0 0 UNION BANKSHARES ORD COM 905400107 311 9884 SH SOLE 9884 0 0 UNIQURE ORD COM N90064101 281 7146 SH SOLE 7146 0 0 UNITED BANKSHARES ORD COM 909907107 65 1720 SH DFND 1720 0 0 UNITEDHEALTH GRP ORD COM 91324P102 10 50 SH DFND 50 0 0 UNIVERSAL DISPLAY ORD COM 91347P105 19 119 SH DFND 119 0 0 UNIVEST FINANCIAL ORD COM 915271100 6 258 SH DFND 258 0 0 UPLAND SOFTWARE ORD COM 91544A109 10 300 SH DFND 300 0 0 URBAN OUTFITTERS ORD COM 917047102 22 800 SH DFND 800 0 0 URSTADT BIDDLE REIT ORD COM 917286106 183 9730 SH SOLE 9730 0 0 US CONCRETE ORD COM 90333L201 182 3300 SH DFND 3300 0 0 US SILICA HOLDINGS ORD COM 90346E103 14 1500 SH SOLE 1500 0 0 US STEEL ORD COM 912909108 102 8900 SH DFND 8900 0 0 VALE ADR REPTG ONE ORD SPONSORED ADR 91912E105 172 15000 SH DFND 15000 0 0 VALLEY NATIONAL ORD COM 919794107 16 1548 SH DFND 1548 0 0 VALLEY NATL NON CUM PERP SRS B PRF COM 919794305 25 992 SH SOLE 992 0 0 VANECK VECTOR JUNR GOLD MNRS ETF COM 92189F791 6 171 SH Call DFND 171 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 3608 135103 SH DFND 135103 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 0 36 SH Put DFND 36 0 0 VANECK VECTORS OIL SERVICES ETF COM 92189F718 188 16000 SH DFND 16000 0 0 VANECK VECTORS SEMICONDUCTOR ETF COM 92189F676 44 376 SH Put DFND 376 0 0 VENATOR MATERIALS ORD COM G9329Z100 67 27806 SH SOLE 27806 0 0 VERSUM MATERIALS ORD COM 92532W103 2630 49700 SH DFND 49700 0 0 VERSUM MATERIALS ORD COM 92532W103 1 28 SH Call DFND 28 0 0 VERTICAL CAPITAL INCOME NAV CF COM 92535C104 149 14039 SH DFND 14039 0 0 VESTAS WIND SYSTEMS AS ADR COM 925458101 0 1 SH SOLE 1 0 0 VIACOM CL B ORD COM 92553P201 91 3789 SH DFND 3789 0 0 VIASAT ORD COM 92552V100 112 1500 SH SOLE 1500 0 0 VICOR ORD COM 925815102 221 7500 SH DFND 7500 0 0 VICOR ORD COM 925815102 0 21 SH Call DFND 21 0 0 VICTORY CAPITAL HOLDINGS CL A ORD COM 92645B103 30 2000 SH SOLE 2000 0 0 VIKING THERAPEUTICS ORD COM 92686J106 35 5220 SH DFND 5220 0 0 VIKING THERAPEUTICS ORD COM 92686J106 0 28 SH Call DFND 28 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 0 48 SH Put SOLE 48 0 0 VINCE HOLDING ORD COM 92719W207 702 37000 SH SOLE 37000 0 0 VISA CL A ORD COM 92826C839 4533 26354 SH DFND 26354 0 0 VISTA OIL GAS ADR REP SRS A ORD SPONSORED ADR 92837L109 27 5360 SH SOLE 5360 0 0 VIVEVE MEDICAL ORD COM 92852W303 71 16136 SH SOLE 16136 0 0 VODAFONE GROUP ADR REP 10 ORD SPONSORED ADR 92857W308 732 36800 SH SOLE 36800 0 0 VOYA PRIME RATE CF COM 92913A100 41 8850 SH SOLE 8850 0 0 VOYAGER THERAPEUTICS ORD (NMS) COM 92915B106 0 30 SH Call DFND 30 0 0 VUZIX ORD (NMS) COM 92921W300 0 50 SH Call DFND 50 0 0 WABCO HOLDINGS ORD COM 92927K102 10217 76393 SH DFND 76393 0 0 WABCO HOLDINGS ORD COM 92927K102 1 10 SH Put DFND 10 0 0 WALGREEN BOOTS ALLIANCE ORD COM 931427108 8 161 SH DFND 161 0 0 WELLS FARGO GLOBAL DIVIDEND OPPO CF COM 94987C103 7 1376 SH DFND 1376 0 0 WELLS FARGO INCOME OPPORTUNITS CF COM 94987B105 88 10727 SH DFND 10727 0 0 WELLS FARGO MULTI SECTOR INCOME CF COM 94987D101 80 6494 SH DFND 6494 0 0 WELLS FARGO ORD COM 949746101 30 600 SH DFND 600 0 0 WELLS FARGO UTLTS AND HGH INCM CF COM 94987E109 2 172 SH DFND 172 0 0 WESBANCO ORD COM 950810101 16 430 SH DFND 430 0 0 WESCO AIRCRAFT HOLDINGS ORD COM 950814103 111 10100 SH DFND 10100 0 0 WESDOME GOLD MINES ORD COM 95083R100 485 107220 SH DFND 107220 0 0 WEST END INDIANA BANCSHARES ORD COM 952678100 90 2641 SH SOLE 2641 0 0 WEST PHARM SVC ORD COM 955306105 21 150 SH SOLE 150 0 0 WESTERN ASSET CORPORATE LOAN CF COM 95790J102 1 172 SH DFND 172 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 149 10743 SH DFND 10743 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 2 172 SH DFND 172 0 0 WESTERN ASSET INFLATIN LINKD INCM CF COM 95766Q106 239 20627 SH DFND 20627 0 0 WESTERN ASSET INVEST GR DEF OPP CF COM 95790A101 90 4244 SH DFND 4244 0 0 WESTERN ASSET MRTG DEFINED OPPTY CF COM 95790B109 145 6678 SH DFND 6678 0 0 WESTERN ASSET MUNICIPAL HGH INCM CF COM 95766N103 1 172 SH DFND 172 0 0 WESTERN ASSET MUNICIPAL PARTNERS CF COM 95766P108 2 172 SH DFND 172 0 0 WESTERN ASSET PREMIER BOND CF COM 957664105 60 4258 SH DFND 4258 0 0 WESTERN ASST GLBAL HIGH INCOME CF COM 95766B109 94 9540 SH DFND 9540 0 0 WESTERN ASST HIGH INCM II CF COM 95766J102 76 11295 SH DFND 11295 0 0 WESTERN ASST MNGD MUNCPLS CF COM 95766M105 3 258 SH DFND 258 0 0 WESTERN AST GLB CORP DEFIND OPPTY CF COM 95790C107 114 6564 SH DFND 6564 0 0 WESTERN AST INFLTN LINK OPRT INCM CF COM 95766R104 333 30133 SH DFND 30133 0 0 WESTERN DIGITAL ORD COM 958102105 31 536 SH DFND 536 0 0 WESTRN ASST HIGH INCM OPPORTUNITY CF COM 95766K109 6 1300 SH DFND 1300 0 0 WESTWOOD HOLDINGS GROUP ORD COM 961765104 2 86 SH DFND 86 0 0 WEX ORD COM 96208T104 21 107 SH SOLE 107 0 0 WF DS REP SRS X NN CM PRP CL A PRF COM 94988U672 432 16958 SH SOLE 16958 0 0 WF DS RP 0.001 CL A SRS O NON CM PRF COM 949746721 636 25713 SH SOLE 25713 0 0 WILLSCOT ORD COM 971375126 62 4000 SH DFND 4000 0 0 WLS DS REP 1/1000 CL A SRS Q PRP PRF COM 949746556 528 20000 SH SOLE 20000 0 0 WW INTERNATIONAL ORD COM 98262P101 3 100 SH SOLE 100 0 0 XEROX HOLDINGS ORD COM 98421M106 299 10000 SH DFND 10000 0 0 XILINX ORD COM 983919101 984 10267 SH DFND 10267 0 0 YELP ORD COM 985817105 2 75 SH Call DFND 75 0 0 ZAYO GROUP HOLDINGS ORD COM 98919V105 10413 307180 SH DFND 307180 0 0 ZAYO GROUP HOLDINGS ORD COM 98919V105 0 15 SH Put DFND 15 0 0 ZENDESK ORD COM 98936J101 21 295 SH SOLE 295 0 0 ZIOPHARM ONCOLGY ORD (NMS) COM 98973P101 0 5 SH Call DFND 5 0 0 ZOSANO PHARMA ORD COM 98979H202 234 150000 SH DFND 150000 0 0 ZSCALER ORD COM 98980G102 21 445 SH DFND 445 0 0 ZSCALER ORD COM 98980G102 0 15 SH Call DFND 15 0 0 ZSCALER ORD COM 98980G102 1 25 SH Put DFND 25 0 0 ZYNERBA PHARMACEUTICALS ORD (NMS) COM 98986X109 0 20 SH Call DFND 20 0 0