Chief Compliance Officer

0000913760-17-000109.txt : 20171113 0000913760-17-000109.hdr.sgml : 20171110 20171113130204 ACCESSION NUMBER: 0000913760-17-000109 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: INTL FCSTONE INC. CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17573 FILM NUMBER: 171194836 BUSINESS ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-485-3500 MAIL ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP DATE OF NAME CHANGE: 19931020 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000913760 XXXXXXXX 09-30-2017 09-30-2017 false INTL FCSTONE INC.

708 Third Avenue Suite 1500 New York NY 10017

13F HOLDINGS REPORT 028-17573 N John Calvano Chief Compliance Officer 205-414-3367 John Calvano Birmingham AL 11-13-2017 2 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. 2 0001407543 ENVESTNET ASSET MANAGEMENT INC INFORMATION TABLE 2 infotable.xml ALPS ETF TR C 00162Q866 165 14686 SH DFND 1 14686 0 0 AT&T INC C 00206R102 3 72 SH DFND 1,2 72 0 0 AT&T INC C 00206R102 958 24448 SH DFND 1 24448 0 0 ARK ETF TR C 00214Q401 277 6809 SH DFND 1 6809 0 0 ABBVIE INC C 00287Y109 743 8365 SH DFND 1 8365 0 0 ACCELERATE DIAGNOSTICS INC C 00430H102 265 11790 SH DFND 1 11790 0 0 ALPHABET INC C 02079K107 229 239 SH DFND 1 239 0 0 ALPHABET INC C 02079K305 295 303 SH DFND 1 303 0 0 ALTRIA GROUP INC C 02209S103 493 7777 SH DFND 1 7777 0 0 AMAZON COM INC C 023135106 868 903 SH DFND 1 903 0 0 AMERICAN INTL GROUP INC C 026874784 392 6389 SH DFND 1 6389 0 0 AMGEN INC C 031162100 361 1934 SH DFND 1 1934 0 0 ANNALY CAP MGMT INC C 035710409 199 16303 SH DFND 1 16303 0 0 APPLE INC C 037833100 4 28 SH DFND 1,2 28 0 0 APPLE INC C 037833100 2224 14429 SH DFND 1 14429 0 0 BP PLC C 055622104 243 6329 SH DFND 1 6329 0 0 BANK AMER CORP C 060505104 241 9521 SH DFND 1 9521 0 0 BANK AMER CORP R 060505682 371 285 SH DFND 1 285 0 0 BARCLAYS BK PLC R 06742A669 544 4961 SH DFND 1 4961 0 0 BERKSHIRE HATHAWAY INC DEL C 084670702 662 3612 SH DFND 1 3612 0 0 BLACKSTONE GROUP L P C 09253U108 1088 32599 SH DFND 1 32599 0 0 BOEING CO C 097023105 436 1713 SH DFND 1 1713 0 0 CELGENE CORP C 151020104 212 1455 SH DFND 1 1455 0 0 CHEVRON CORP NEW C 166764100 10 86 SH DFND 1,2 86 0 0 CHEVRON CORP NEW C 166764100 360 3064 SH DFND 1 3064 0 0 CISCO SYS INC C 17275R102 340 10118 SH DFND 1 10118 0 0 CONOCOPHILLIPS C 20825C104 253 5060 SH DFND 1 5060 0 0 CORNING INC C 219350105 220 7337 SH DFND 1 7337 0 0 DBX ETF TR C 233051101 19 825 SH DFND 1,2 825 0 0 DBX ETF TR C 233051101 330 14129 SH DFND 1 14129 0 0 DEPOMED INC C 249908104 60 10415 SH DFND 1 10415 0 0 DISNEY WALT CO C 254687106 335 3398 SH DFND 1 3398 0 0 DOMINION ENERGY INC C 25746U109 376 4894 SH DFND 1 4894 0 0 DOWDUPONT INC C 26078J100 319 4603 SH DFND 1 4603 0 0 DUKE ENERGY CORP NEW C 26441C204 305 3638 SH DFND 1 3638 0 0 ETF SER SOLUTIONS C 26922A784 1535 53307 SH DFND 1 53307 0 0 ETF SER SOLUTIONS C 26922A826 339 12527 SH DFND 1 12527 0 0 EXXON MOBIL CORP C 30231G102 2 26 SH DFND 1,2 26 0 0 EXXON MOBIL CORP C 30231G102 377 4598 SH DFND 1 4598 0 0 FACEBOOK INC C 30303M102 1126 6589 SH DFND 1 6589 0 0 FIRST TR EXCHANGE TRADED FD C 33733E302 1182 11544 SH DFND 1 11544 0 0 FIRST TR NASDAQ100 TECH INDE C 337345102 406 5958 SH DFND 1 5958 0 0 FIRST TR S&P REIT INDEX FD C 33734G108 332 14257 SH DFND 1 14257 0 0 FIRST TR LRGE CP CORE ALPHA C 33734K109 504 9186 SH DFND 1 9186 0 0 FIRST TR EXCHANGE TRADED FD C 33734X150 387 10414 SH DFND 1 10414 0 0 FIRST TR EXCHANGE TRADED FD C 33734X176 314 6548 SH DFND 1 6548 0 0 FIRST TR EXCHANGE TRADED FD C 33734X184 335 12399 SH DFND 1 12399 0 0 FIRST TR EXCHANGE TRADED FD C 33734X192 706 16848 SH DFND 1 16848 0 0 FIRST TR MID CAP CORE ALPHAD C 33735B108 238 3840 SH DFND 1 3840 0 0 FIRST TR LRG CP VL ALPHADEX C 33735J101 281 5499 SH DFND 1 5499 0 0 FIRST TR LRG CP GRWTH ALPHAD C 33735K108 358 6229 SH DFND 1 6229 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J117 371 9833 SH DFND 1 9833 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J174 259 4383 SH DFND 1 4383 0 0 FIRST TR EXCHANGE TRADED FD C 33738R605 267 10213 SH DFND 1 10213 0 0 FIRST TR EXCHANGE TRADED FD C 33738R860 390 14109 SH DFND 1 14109 0 0 FIRST TR EXCHANGE-TRADED FD C 33739E108 261 12973 SH DFND 1 12973 0 0 FIRST TR DYNAMIC EUROPE EQT C 33740D107 338 17381 SH DFND 1 17381 0 0 FIRST TR SR FLOATING RATE 20 C 33740K101 217 22415 SH DFND 1 22415 0 0 FORD MTR CO DEL C 345370860 430 35910 SH DFND 1 35910 0 0 GENERAL ELECTRIC CO C 369604103 620 25660 SH DFND 1 25660 0 0 GENERAL MTRS CO C 37045V100 323 8010 SH DFND 1 8010 0 0 GILEAD SCIENCES INC C 375558103 2 22 SH DFND 1,2 22 0 0 GILEAD SCIENCES INC C 375558103 241 2980 SH DFND 1 2980 0 0 HOME DEPOT INC C 437076102 3 16 SH DFND 1,2 16 0 0 HOME DEPOT INC C 437076102 292 1786 SH DFND 1 1786 0 0 INFOSYS LTD C 456788108 502 34431 SH DFND 1 34431 0 0 INTEL CORP C 458140100 220 5787 SH DFND 1 5787 0 0 INVESCO QUALITY MUNI INC TRS C 46133G107 137 10731 SH DFND 1 10731 0 0 ISHARES GOLD TRUST C 464285105 194 15760 SH DFND 1 15760 0 0 ISHARES TR C 464287150 846 14686 SH DFND 1 14686 0 0 ISHARES TR C 464287176 245 2158 SH DFND 1 2158 0 0 ISHARES TR C 464287200 6 25 SH DFND 1,2 25 0 0 ISHARES TR C 464287200 1431 5659 SH DFND 1 5659 0 0 ISHARES TR C 464287226 375 3421 SH DFND 1 3421 0 0 ISHARES TR C 464287226 486 4431 SH DFND 1,2 4431 0 0 ISHARES TR C 464287234 364 8130 SH DFND 1 8130 0 0 ISHARES TR C 464287242 10 83 SH DFND 1,2 83 0 0 ISHARES TR C 464287242 392 3232 SH DFND 1 3232 0 0 ISHARES TR C 464287309 609 4247 SH DFND 1 4247 0 0 ISHARES TR C 464287408 691 6405 SH DFND 1 6405 0 0 ISHARES TR C 464287465 619 9042 SH DFND 1 9042 0 0 ISHARES TR C 464287507 503 2810 SH DFND 1 2810 0 0 ISHARES TR C 464287598 230 1941 SH DFND 1 1941 0 0 ISHARES TR C 464287606 433 2141 SH DFND 1 2141 0 0 ISHARES TR C 464287614 14 109 SH DFND 1,2 109 0 0 ISHARES TR C 464287614 641 5122 SH DFND 1 5122 0 0 ISHARES TR C 464287630 253 2042 SH DFND 1 2042 0 0 ISHARES TR C 464287655 249 1683 SH DFND 1 1683 0 0 ISHARES TR C 464287804 765 10301 SH DFND 1 10301 0 0 ISHARES TR C 464287879 366 2469 SH DFND 1 2469 0 0 ISHARES TR C 464288497 29 518 SH DFND 1,2 518 0 0 ISHARES TR C 464288497 484 8615 SH DFND 1 8615 0 0 ISHARES TR C 464288562 12 194 SH DFND 1,2 194 0 0 ISHARES TR C 464288562 209 3280 SH DFND 1 3280 0 0 ISHARES TR C 464288687 1686 43448 SH DFND 1 43448 0 0 ISHARES TR C 464288760 777 4364 SH DFND 1 4364 0 0 ISHARES TR C 464288810 684 4095 SH DFND 1 4095 0 0 ISHARES TR C 46429B663 330 3843 SH DFND 1 3843 0 0 ISHARES TR C 46432F842 440 6864 SH DFND 1 6864 0 0 ISHARES INC C 46434G103 348 6446 SH DFND 1 6446 0 0 ISHARES TR C 46434V803 430 14852 SH DFND 1 14852 0 0 JPMORGAN CHASE & CO C 46625H100 804 8417 SH DFND 1 8417 0 0 JOHNSON & JOHNSON C 478160104 3 24 SH DFND 1,2 24 0 0 JOHNSON & JOHNSON C 478160104 345 2655 SH DFND 1 2655 0 0 KINDER MORGAN INC DEL C 49456B101 222 11552 SH DFND 1 11552 0 0 KINDER MORGAN INC DEL R 49456B200 523 12300 SH DFND 1 12300 0 0 KROGER CO C 501044101 280 13957 SH DFND 1 13957 0 0 MDU RES GROUP INC C 552690109 209 8050 SH DFND 1 8050 0 0 MERCK & CO INC C 58933Y105 3 44 SH DFND 1,2 44 0 0 MERCK & CO INC C 58933Y105 350 5461 SH DFND 1 5461 0 0 MICROSOFT CORP C 594918104 397 5332 SH DFND 1 5332 0 0 MONMOUTH REAL ESTATE INVT CO C 609720107 388 23974 SH DFND 1 23974 0 0 MONSANTO CO NEW C 61166W101 898 7492 SH DFND 1 7492 0 0 NETFLIX INC C 64110L106 364 2009 SH DFND 1 2009 0 0 NVIDIA CORP C 67066G104 303 1697 SH DFND 1 1697 0 0 NUVEEN S&P 500 BUY-WRITE INC C 6706ER101 778 55658 SH DFND 1 55658 0 0 NUVEEN HIGH INCOME NOVEMBER C 67077N106 276 27415 SH DFND 1 27415 0 0 PFIZER INC C 717081103 232 6510 SH DFND 1 6510 0 0 PHILIP MORRIS INTL INC C 718172109 616 5554 SH DFND 1 5554 0 0 PIMCO DYNAMIC INCOME FD C 72201Y101 353 11430 SH DFND 1 11430 0 0 POWERSHARES QQQ TRUST C 73935A104 1317 9056 SH DFND 1 9056 0 0 POWERSHARES ETF TRUST C 73935X344 246 4859 SH DFND 1 4859 0 0 POWERSHARES ETF TRUST C 73935X351 213 3151 SH DFND 1 3151 0 0 POWERSHARES ETF TRUST C 73935X369 244 4206 SH DFND 1 4206 0 0 POWERSHARES ETF TRUST C 73935X377 237 7189 SH DFND 1 7189 0 0 POWERSHARES ETF TR II C 73937B407 573 18862 SH DFND 1 18862 0 0 POWERSHARES ETF TR II C 73937B654 10 252 SH DFND 1,2 252 0 0 POWERSHARES ETF TR II C 73937B654 424 10328 SH DFND 1 10328 0 0 POWERSHARES ETF TR II C 73937B712 330 5994 SH DFND 1 5994 0 0 POWERSHARES ETF TR II C 73937B779 581 12698 SH DFND 1 12698 0 0 POWERSHARES ETF TR II C 73937B886 497 5353 SH DFND 1 5353 0 0 PROCTER AND GAMBLE CO C 742718109 922 10135 SH DFND 1 10135 0 0 QUALCOMM INC C 747525103 2 48 SH DFND 1,2 48 0 0 QUALCOMM INC C 747525103 210 4048 SH DFND 1 4048 0 0 RAYTHEON CO C 755111507 203 1088 SH DFND 1 1088 0 0 REAVES UTIL INCOME FD C 756158101 11 340 SH DFND 1,2 340 0 0 REAVES UTIL INCOME FD C 756158101 842 26576 SH DFND 1 26576 0 0 RYDEX ETF TRUST C 78355W106 779 8158 SH DFND 1 8158 0 0 SPDR S&P 500 ETF TR C 78462F103 772 3072 SH DFND 1 3072 0 0 SPDR SERIES TRUST C 78464A359 343 6710 SH DFND 1 6710 0 0 SPDR SERIES TRUST C 78464A631 251 3145 SH DFND 1 3145 0 0 SPDR SERIES TRUST C 78464A862 209 3184 SH DFND 1 3184 0 0 SPDR SERIES TRUST C 78464A870 632 7302 SH DFND 1 7302 0 0 SSGA ACTIVE ETF TR C 78467V400 21 563 SH DFND 1,2 563 0 0 SSGA ACTIVE ETF TR C 78467V400 354 9597 SH DFND 1 9597 0 0 SSGA ACTIVE ETF TR C 78467V848 618 12537 SH DFND 1 12537 0 0 SPDR DOW JONES INDL AVRG ETF C 78467X109 562 2510 SH DFND 1 2510 0 0 SCHWAB STRATEGIC TR C 808524201 455 7584 SH DFND 1 7584 0 0 SELECT SECTOR SPDR TR C 81369Y100 412 7260 SH DFND 1 7260 0 0 SELECT SECTOR SPDR TR C 81369Y209 943 11542 SH DFND 1 11542 0 0 SELECT SECTOR SPDR TR C 81369Y506 523 7633 SH DFND 1 7633 0 0 SELECT SECTOR SPDR TR C 81369Y605 1259 48688 SH DFND 1 48688 0 0 SELECT SECTOR SPDR TR C 81369Y704 851 11989 SH DFND 1 11989 0 0 SELECT SECTOR SPDR TR C 81369Y803 982 16608 SH DFND 1 16608 0 0 SOUTHERN CO C 842587107 42 858 SH DFND 1,2 858 0 0 SOUTHERN CO C 842587107 420 8552 SH DFND 1 8552 0 0 SPROTT PHYSICAL GOLD TRUST C 85207H104 282 27050 SH DFND 1 27050 0 0 TUPPERWARE BRANDS CORP C 899896104 305 4936 SH DFND 1 4936 0 0 UNITED PARCEL SERVICE INC C 911312106 3 24 SH DFND 1,2 24 0 0 UNITED PARCEL SERVICE INC C 911312106 204 1697 SH DFND 1 1697 0 0 UNITED TECHNOLOGIES CORP C 913017109 3 26 SH DFND 1,2 26 0 0 UNITED TECHNOLOGIES CORP C 913017109 198 1710 SH DFND 1 1710 0 0 UNIVERSAL DISPLAY CORP C 91347P105 223 1727 SH DFND 1 1727 0 0 VANGUARD SPECIALIZED PORTFOL C 921908844 1182 12466 SH DFND 1 12466 0 0 VANGUARD BD INDEX FD INC C 921937793 379 4037 SH DFND 1 4037 0 0 VANGUARD BD INDEX FD INC C 921937819 407 4807 SH DFND 1 4807 0 0 VANGUARD BD INDEX FD INC C 921937827 660 8273 SH DFND 1 8273 0 0 VANGUARD TAX MANAGED INTL FD C 921943858 269 6192 SH DFND 1 6192 0 0 VANGUARD WHITEHALL FDS INC C 921946406 430 5309 SH DFND 1 5309 0 0 VANGUARD INTL EQUITY INDEX F C 922042775 1487 28208 SH DFND 1 28208 0 0 VANGUARD SCOTTSDALE FDS C 92206C870 10 114 SH DFND 1,2 114 0 0 VANGUARD SCOTTSDALE FDS C 92206C870 598 6798 SH DFND 1 6798 0 0 VENTAS INC C 92276F100 277 4259 SH DFND 1 4259 0 0 VANGUARD INDEX FDS C 922908363 302 1307 SH DFND 1 1307 0 0 VANGUARD INDEX FDS C 922908629 245 1666 SH DFND 1 1666 0 0 VANGUARD INDEX FDS C 922908736 384 2894 SH DFND 1 2894 0 0 VANGUARD INDEX FDS C 922908744 631 6319 SH DFND 1 6319 0 0 VANGUARD INDEX FDS C 922908751 13 91 SH DFND 1,2 91 0 0 VANGUARD INDEX FDS C 922908751 434 3071 SH DFND 1 3071 0 0 VANGUARD INDEX FDS C 922908769 257 1986 SH DFND 1 1986 0 0 VEREIT INC C 92339V100 262 31645 SH DFND 1 31645 0 0 VERIZON COMMUNICATIONS INC C 92343V104 573 11580 SH DFND 1 11580 0 0 VICTORY PORTFOLIOS II C 92647N774 315 7221 SH DFND 1 7221 0 0 VICTORY PORTFOLIOS II C 92647N782 424 9299 SH DFND 1 9299 0 0 VICTORY PORTFOLIOS II C 92647N816 202 5926 SH DFND 1 5926 0 0 VICTORY PORTFOLIOS II C 92647N824 302 6803 SH DFND 1 6803 0 0 WELLS FARGO CO NEW R 949746804 498 379 SH DFND 1 379 0 0 WYNN RESORTS LTD C 983134107 235 1577 SH DFND 1 1577 0 0 JAZZ PHARMACEUTICALS PLC C G50871105 213 1454 SH DFND 1 1454 0 0 NXP SEMICONDUCTORS N V C N6596X109 748 6618 SH DFND 1 6618 0 0