Chief Compliance Officer

0000913760-18-000130.txt : 20181003 0000913760-18-000130.hdr.sgml : 20181003 20181003145808 ACCESSION NUMBER: 0000913760-18-000130 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181003 DATE AS OF CHANGE: 20181003 EFFECTIVENESS DATE: 20181003 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: 181104759 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 true false 0000913760 XXXXXXXX 09-30-2018 09-30-2018 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 10-03-2018 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml ADVANCED MICRO DEVICES INC C 007903107 213 6900 SH DFND 1 6900 0 0 ALBEMARLE CORP C 012653101 417 4180 SH DFND 1 4180 0 0 ALCOA CORP C 013872106 265 6555 SH DFND 1 6555 0 0 AMAZON COM INC C 023135106 3078 1537 SH DFND 1 1537 0 0 AMGEN INC C 031162100 637 3074 SH DFND 1 3074 0 0 APPLE INC C 037833100 4079 18071 SH DFND 1 18071 0 0 BP PLC C 055622104 245 5307 SH DFND 1 5307 0 0 BANK AMER CORP C 060505104 418 14200 SH DFND 1 14200 0 0 BANK AMER CORP R 060505682 339 262 SH DFND 1 262 0 0 BERKSHIRE HATHAWAY INC DEL C 084670702 751 3508 SH DFND 1 3508 0 0 BOEING CO C 097023105 669 1800 SH DFND 1 1800 0 0 CSX CORP C 126408103 329 4440 SH DFND 1 4440 0 0 CATERPILLAR INC DEL C 149123101 290 1899 SH DFND 1 1899 0 0 CHEVRON CORP NEW C 166764100 392 3207 SH DFND 1 3207 0 0 CITIGROUP INC C 172967424 262 3654 SH DFND 1 3654 0 0 CORNING INC C 219350105 387 10952 SH DFND 1 10952 0 0 CUMMINS INC C 231021106 383 2624 SH DFND 1 2624 0 0 DISNEY WALT CO C 254687106 524 4478 SH DFND 1 4478 0 0 FIRST TR EXCHANGE TRADED FD C 336920103 415 5585 SH DFND 1 5585 0 0 FIRST TR NASDAQ100 TECH INDE C 337345102 573 7216 SH DFND 1 7216 0 0 FORD MTR CO DEL C 345370860 225 24271 SH DFND 1 24271 0 0 GENERAL ELECTRIC CO C 369604103 162 14378 SH DFND 1 14378 0 0 GILEAD SCIENCES INC C 375558103 292 3786 SH DFND 1 3786 0 0 GRUBHUB INC C 400110102 230 1660 SH DFND 1 1660 0 0 HOME DEPOT INC C 437076102 768 3710 SH DFND 1 3710 0 0 HONEYWELL INTL INC C 438516106 200 1203 SH DFND 1 1203 0 0 HUNTINGTON BANCSHARES INC C 446150104 241 16148 SH DFND 1 16148 0 0 INFOSYS LTD C 456788108 650 63948 SH DFND 1 63948 0 0 INTEL CORP C 458140100 640 13541 SH DFND 1 13541 0 0 INTERNATIONAL BUSINESS MACHS C 459200101 235 1555 SH DFND 1 1555 0 0 ISHARES GOLD TRUST C 464285105 213 18660 SH DFND 1 18660 0 0 ISHARES INC C 464286533 225 3800 SH DFND 1 3800 0 0 ISHARES TR C 464287176 274 2476 SH DFND 1 2476 0 0 ISHARES TR C 464287200 1825 6235 SH DFND 1 6235 0 0 ISHARES TR C 464287226 881 8345 SH DFND 1 8345 0 0 ISHARES TR C 464287234 695 16186 SH DFND 1 16186 0 0 ISHARES TR C 464287242 408 3552 SH DFND 1 3552 0 0 ISHARES TR C 464287291 265 1513 SH DFND 1 1513 0 0 ISHARES TR C 464287309 1666 9403 SH DFND 1 9403 0 0 ISHARES TR C 464287408 903 7797 SH DFND 1 7797 0 0 ISHARES TR C 464287465 886 13032 SH DFND 1 13032 0 0 ISHARES TR C 464287507 935 4647 SH DFND 1 4647 0 0 ISHARES TR C 464287523 242 1306 SH DFND 1 1306 0 0 ISHARES TR C 464287556 244 2002 SH DFND 1 2002 0 0 ISHARES TR C 464287598 267 2109 SH DFND 1 2109 0 0 ISHARES TR C 464287606 1049 4504 SH DFND 1 4504 0 0 ISHARES TR C 464287614 559 3582 SH DFND 1 3582 0 0 ISHARES TR C 464287622 224 1383 SH DFND 1 1383 0 0 ISHARES TR C 464287630 276 2077 SH DFND 1 2077 0 0 ISHARES TR C 464287655 317 1881 SH DFND 1 1881 0 0 ISHARES TR C 464287705 263 1574 SH DFND 1 1574 0 0 ISHARES TR C 464287804 1532 17564 SH DFND 1 17564 0 0 ISHARES TR C 464287879 372 2226 SH DFND 1 2226 0 0 ISHARES TR C 464288273 212 3397 SH DFND 1 3397 0 0 ISHARES TR C 464288638 288 5422 SH DFND 1 5422 0 0 ISHARES TR C 464288687 1444 38883 SH DFND 1 38883 0 0 ISHARES TR C 464288760 1211 5596 SH DFND 1 5596 0 0 ISHARES TR C 464288810 744 3271 SH DFND 1 3271 0 0 JOHNSON & JOHNSON C 478160104 734 5311 SH DFND 1 5311 0 0 KROGER CO C 501044101 375 12881 SH DFND 1 12881 0 0 KULICKE & SOFFA INDS INC C 501242101 473 19830 SH DFND 1 19830 0 0 LIONS GATE ENTMNT CORP C 535919401 329 13478 SH DFND 1 13478 0 0 LOCKHEED MARTIN CORP C 539830109 373 1078 SH DFND 1 1078 0 0 LOWES COS INC C 548661107 227 1976 SH DFND 1 1976 0 0 MICROSOFT CORP C 594918104 780 6819 SH DFND 1 6819 0 0 MONMOUTH REAL ESTATE INVT CO C 609720107 430 25746 SH DFND 1 25746 0 0 PEPSICO INC C 713448108 366 3275 SH DFND 1 3275 0 0 PFIZER INC C 717081103 320 7272 SH DFND 1 7272 0 0 PHILIP MORRIS INTL INC C 718172109 330 4047 SH DFND 1 4047 0 0 PROCTER AND GAMBLE CO C 742718109 1128 13552 SH DFND 1 13552 0 0 QUALCOMM INC C 747525103 208 2887 SH DFND 1 2887 0 0 RAYTHEON CO C 755111507 349 1687 SH DFND 1 1687 0 0 REAVES UTIL INCOME FD C 756158101 963 31413 SH DFND 1 31413 0 0 SCHWAB STRATEGIC TR C 808524300 313 3814 SH DFND 1 3814 0 0 SCHWAB STRATEGIC TR C 808524409 335 5969 SH DFND 1 5969 0 0 SCHWAB STRATEGIC TR C 808524508 516 8913 SH DFND 1 8913 0 0 SCHWAB STRATEGIC TR C 808524607 570 7488 SH DFND 1 7488 0 0 SCHWAB STRATEGIC TR C 808524706 206 8027 SH DFND 1 8027 0 0 SOUTHERN CO C 842587107 285 6542 SH DFND 1 6542 0 0 SQUARE INC C 852234103 1261 12733 SH DFND 1 12733 0 0 UNITED PARCEL SERVICE INC C 911312106 321 2746 SH DFND 1 2746 0 0 UNITED TECHNOLOGIES CORP C 913017109 246 1758 SH DFND 1 1758 0 0 VANGUARD GROUP C 921908844 1451 13107 SH DFND 1 13107 0 0 VANGUARD STAR FD C 921909768 312 5782 SH DFND 1 5782 0 0 VANGUARD WORLD FD C 921910873 276 2749 SH DFND 1 2749 0 0 VANGUARD BD INDEX FD INC C 921937827 407 5218 SH DFND 1 5218 0 0 VANGUARD TAX MANAGED INTL FD C 921943858 453 10475 SH DFND 1 10475 0 0 VANGUARD WHITEHALL FDS INC C 921946406 253 2909 SH DFND 1 2909 0 0 VANGUARD INTL EQUITY INDEX F C 922042775 1577 30304 SH DFND 1 30304 0 0 VANGUARD INTL EQUITY INDEX F C 922042866 219 3083 SH DFND 1 3083 0 0 VANGUARD INTL EQUITY INDEX F C 922042874 217 3864 SH DFND 1 3864 0 0 VANGUARD INDEX FDS C 922908363 297 1114 SH DFND 1 1114 0 0 VANGUARD INDEX FDS C 922908629 680 4141 SH DFND 1 4141 0 0 VANGUARD INDEX FDS C 922908736 584 3624 SH DFND 1 3624 0 0 VANGUARD INDEX FDS C 922908744 703 6356 SH DFND 1 6356 0 0 VANGUARD INDEX FDS C 922908751 264 1622 SH DFND 1 1622 0 0 VANGUARD INDEX FDS C 922908769 528 3530 SH DFND 1 3530 0 0 WALMART INC C 931142103 406 4320 SH DFND 1 4320 0 0 WELLS FARGO CO NEW R 949746804 453 351 SH DFND 1 351 0 0 INVESCO QQQ TR C 46090E103 2282 12283 SH DFND 1 12283 0 0 INVESCO EXCHNG TRADED FD TR C 46138E149 1107 7885 SH DFND 1 7885 0 0 FIRST TR EXCHANGE TRADED FD C 33733E203 1072 6762 SH DFND 1 6762 0 0 INVESCO EXCHNG TRADED FD TR C 46138E289 581 31178 SH DFND 1 31178 0 0 FIRST TR EXCHANGE TRADED FD C 33733E302 1321 9333 SH DFND 1 9333 0 0 AT&T INC C 00206R102 1088 32413 SH DFND 1 32413 0 0 ARK ETF TR C 00214Q104 999 21093 SH DFND 1 21093 0 0 ARK ETF TR C 00214Q401 352 6112 SH DFND 1 6112 0 0 ABBVIE INC C 00287Y109 691 7307 SH DFND 1 7307 0 0 ACCELERATE DIAGNOSTICS INC C 00430H102 288 12540 SH DFND 1 12540 0 0 ALIBABA GROUP HLDG LTD C 01609W102 424 2573 SH DFND 1 2573 0 0 ALPHABET INC C 02079K107 433 363 SH DFND 1 363 0 0 ALPHABET INC C 02079K305 607 503 SH DFND 1 503 0 0 ALTRIA GROUP INC C 02209S103 310 5143 SH DFND 1 5143 0 0 BARCLAYS BK PLC R 06742A669 338 2549 SH DFND 1 2549 0 0 BLACKROCK MUN 2020 TERM TR C 09249X109 259 17479 SH DFND 1 17479 0 0 BLACKSTONE GROUP L P C 09253U108 986 25903 SH DFND 1 25903 0 0 BOX INC C 10316T104 814 34059 SH DFND 1 34059 0 0 BROADCOM INC C 11135F101 290 1177 SH DFND 1 1177 0 0 CISCO SYS INC C 17275R102 731 15027 SH DFND 1 15027 0 0 COLLECTORS UNIVERSE INC C 19421R200 177 11951 SH DFND 1 11951 0 0 COMCAST CORP NEW C 20030N101 221 6249 SH DFND 1 6249 0 0 CONSTELLATION BRANDS INC C 21036P108 216 1002 SH DFND 1 1002 0 0 COSTCO WHSL CORP NEW C 22160K105 360 1534 SH DFND 1 1534 0 0 CREDIT SUISSE HIGH YLD BND F C 22544F103 33 12500 SH DFND 1 12500 0 0 DISH NETWORK CORP C 25470M109 378 10564 SH DFND 1 10564 0 0 DOLBY LABORATORIES INC C 25659T107 250 3568 SH DFND 1 3568 0 0 DOMINION ENERGY INC C 25746U109 520 7397 SH DFND 1 7397 0 0 DOWDUPONT INC C 26078J100 414 6440 SH DFND 1 6440 0 0 DUKE ENERGY CORP NEW C 26441C204 252 3147 SH DFND 1 3147 0 0 ETF SER SOLUTIONS C 26922A610 814 27982 SH DFND 1 27982 0 0 ETF SER SOLUTIONS C 26922A784 1879 50849 SH DFND 1 50849 0 0 ETF SER SOLUTIONS C 26922A826 449 18088 SH DFND 1 18088 0 0 ETF MANAGERS TR C 26924G508 213 5325 SH DFND 1 5325 0 0 ETSY INC C 29786A106 210 4095 SH DFND 1 4095 0 0 EXPRESS SCRIPTS HLDG CO C 30219G108 396 4164 SH DFND 1 4164 0 0 EXXON MOBIL CORP C 30231G102 417 4907 SH DFND 1 4907 0 0 FACEBOOK INC C 30303M102 667 4054 SH DFND 1 4054 0 0 FIRST TR EXCHANGE TRADED FD C 33733A102 229 6643 SH DFND 1 6643 0 0 FIRST TR BICK INDEX FD C 33733H107 210 7949 SH DFND 1 7949 0 0 FIRST TR LRGE CP CORE ALPHA C 33734K109 213 3420 SH DFND 1 3420 0 0 FIRST TR EXCHANGE TRADED FD C 33734X127 330 18870 SH DFND 1 18870 0 0 FIRST TR EXCHANGE TRADED FD C 33734X150 554 13073 SH DFND 1 13073 0 0 FIRST TR EXCHANGE TRADED FD C 33734X176 1143 17995 SH DFND 1 17995 0 0 FIRST TR EXCHANGE TRADED FD C 33734X192 1162 20481 SH DFND 1 20481 0 0 FIRST TR SML CP CORE ALPHA F C 33734Y109 447 6488 SH DFND 1 6488 0 0 FIRST TR MID CAP CORE ALPHAD C 33735B108 403 5632 SH DFND 1 5632 0 0 FIRST TR LRG CP VL ALPHADEX C 33735J101 958 17688 SH DFND 1 17688 0 0 FIRST TR LRG CP GRWTH ALPHAD C 33735K108 1101 15653 SH DFND 1 15653 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J117 776 20300 SH DFND 1 20300 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J158 393 6824 SH DFND 1 6824 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J174 231 3898 SH DFND 1 3898 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J190 262 5649 SH DFND 1 5649 0 0 FIRST TR EXCH TRD ALPHA FD I C 33737J232 263 5186 SH DFND 1 5186 0 0 FIRST TR EXCNGE TRD ALPHADEX C 33737M102 207 4478 SH DFND 1 4478 0 0 FIRST TR EXCNGE TRD ALPHADEX C 33737M201 217 5895 SH DFND 1 5895 0 0 FIRST TR EXCHANGE TRADED FD C 33738D309 361 7517 SH DFND 1 7517 0 0 FIRST TR EXCHANGE TRADED FD C 33738R605 483 15615 SH DFND 1 15615 0 0 FIRST TR EXCH TRADED FD III C 33739P855 277 14599 SH DFND 1 14599 0 0 FIRST TR EXCHANGE TRADED FD C 33739Q200 480 9412 SH DFND 1 9412 0 0 FIRST TR EXCHANGE TRADED FD C 33739Q408 944 15728 SH DFND 1 15728 0 0 FIRST TR EXCHANGE TRADED FD C 33739Q507 490 15906 SH DFND 1 15906 0 0 FIRST TR DYNAMIC EUROPE EQT C 33740D107 308 19541 SH DFND 1 19541 0 0 FIRST TR SR FLOATING RATE 20 C 33740K101 333 35815 SH DFND 1 35815 0 0 FIRSTHAND TECH VALUE FD INC C 33766Y100 510 30087 SH DFND 1 30087 0 0 GENERAL MTRS CO C 37045V100 224 6655 SH DFND 1 6655 0 0 GLOBAL X FDS C 37954Y855 457 13870 SH DFND 1 13870 0 0 INTELLIA THERAPEUTICS INC C 45826J105 567 19798 SH DFND 1 19798 0 0 INVESCO EXCHANGE TRADED FD T C 46137V357 1353 12668 SH DFND 1 12668 0 0 INVESCO EXCHANGE TRADED FD T C 46137V803 342 5700 SH DFND 1 5700 0 0 INVESCO EXCHANGE TRADED FD T C 46137V811 378 5728 SH DFND 1 5728 0 0 INVESCO EXCHANGE TRADED FD T C 46137V837 233 3903 SH DFND 1 3903 0 0 INVESCO EXCHANGE TRADED FD T C 46137V845 319 4963 SH DFND 1 4963 0 0 INVESCO EXCHNG TRADED FD TR C 46138E354 456 9204 SH DFND 1 9204 0 0 INVESCO EXCHNG TRADED FD TR C 46138E578 323 5789 SH DFND 1 5789 0 0 INVESCO EXCHNG TRADED FD TR C 46138E875 690 25144 SH DFND 1 25144 0 0 ISHARES TR C 46429B663 497 5487 SH DFND 1 5487 0 0 ISHARES TR C 46429B697 376 6586 SH DFND 1 6586 0 0 ISHARES US ETF TR C 46431W507 334 6656 SH DFND 1 6656 0 0 ISHARES TR C 46432F396 540 4535 SH DFND 1 4535 0 0 ISHARES TR C 46432F834 241 3994 SH DFND 1 3994 0 0 ISHARES TR C 46432F842 794 12383 SH DFND 1 12383 0 0 ISHARES INC C 46434G103 380 7338 SH DFND 1 7338 0 0 ISHARES TR C 46434V282 403 11975 SH DFND 1 11975 0 0 JPMORGAN CHASE & CO C 46625H100 1135 10062 SH DFND 1 10062 0 0 JP MORGAN EXCHANGE TRADED FD C 46641Q837 752 15004 SH DFND 1 15004 0 0 KINDER MORGAN INC DEL C 49456B101 291 16401 SH DFND 1 16401 0 0 KINDER MORGAN INC DEL R 49456B200 286 8591 SH DFND 1 8591 0 0 MASTERCARD INCORPORATED C 57636Q104 305 1371 SH DFND 1 1371 0 0 MERCK & CO INC C 58933Y105 402 5660 SH DFND 1 5660 0 0 NETFLIX INC C 64110L106 1468 3923 SH DFND 1 3923 0 0 NUTANIX INC C 67059N108 700 16379 SH DFND 1 16379 0 0 NVIDIA CORP C 67066G104 922 3280 SH DFND 1 3280 0 0 NUVEEN S&P 500 BUY-WRITE INC C 6706ER101 1117 77739 SH DFND 1 77739 0 0 NUVEEN HGH INC DEC18 TRGT TR C 67075P103 116 11763 SH DFND 1 11763 0 0 NUTRIEN LTD C 67077M108 334 5789 SH DFND 1 5789 0 0 NUVEEN HIGH INCOME NOVEMBER C 67077N106 436 45796 SH DFND 1 45796 0 0 PAYPAL HLDGS INC C 70450Y103 268 3056 SH DFND 1 3056 0 0 PIMCO ETF TR C 72201R833 307 3022 SH DFND 1 3022 0 0 PIMCO DYNAMIC INCOME FD C 72201Y101 383 11430 SH DFND 1 11430 0 0 SPDR S&P 500 ETF TR C 78462F103 1003 3450 SH DFND 1 3450 0 0 SPDR SERIES TRUST C 78464A631 434 4355 SH DFND 1 4355 0 0 SPDR SERIES TRUST C 78464A763 285 2913 SH DFND 1 2913 0 0 SPDR SERIES TRUST C 78464A870 794 8285 SH DFND 1 8285 0 0 SSGA ACTIVE ETF TR C 78467V848 366 7752 SH DFND 1 7752 0 0 SPDR DOW JONES INDL AVRG ETF C 78467X109 1661 6283 SH DFND 1 6283 0 0 SALESFORCE COM INC C 79466L302 419 2634 SH DFND 1 2634 0 0 SELECT SECTOR SPDR TR C 81369Y100 322 5552 SH DFND 1 5552 0 0 SELECT SECTOR SPDR TR C 81369Y209 803 8441 SH DFND 1 8441 0 0 SELECT SECTOR SPDR TR C 81369Y308 202 3740 SH DFND 1 3740 0 0 SELECT SECTOR SPDR TR C 81369Y407 855 7292 SH DFND 1 7292 0 0 SELECT SECTOR SPDR TR C 81369Y506 204 2691 SH DFND 1 2691 0 0 SELECT SECTOR SPDR TR C 81369Y605 1318 47798 SH DFND 1 47798 0 0 SELECT SECTOR SPDR TR C 81369Y704 1199 15298 SH DFND 1 15298 0 0 SELECT SECTOR SPDR TR C 81369Y803 1690 22439 SH DFND 1 22439 0 0 SHOPIFY INC C 82509L107 426 2591 SH DFND 1 2591 0 0 SPROTT PHYSICAL GOLD TRUST C 85207H104 297 31050 SH DFND 1 31050 0 0 TETRA TECH INC NEW C 88162G103 453 6632 SH DFND 1 6632 0 0 UNITEDHEALTH GROUP INC C 91324P102 490 1842 SH DFND 1 1842 0 0 UNIVERSAL DISPLAY CORP C 91347P105 378 3206 SH DFND 1 3206 0 0 VALERO ENERGY CORP NEW C 91913Y100 207 1816 SH DFND 1 1816 0 0 VANECK VECTORS ETF TR C 92189F643 665 14230 SH DFND 1 14230 0 0 VANGUARD WORLD FDS C 92204A702 423 2089 SH DFND 1 2089 0 0 VANGUARD WORLD FDS C 92204A801 274 2087 SH DFND 1 2087 0 0 VANGUARD SCOTTSDALE FDS C 92206C870 610 7298 SH DFND 1 7298 0 0 VEREIT INC C 92339V100 195 26896 SH DFND 1 26896 0 0 VERIZON COMMUNICATIONS INC C 92343V104 804 15068 SH DFND 1 15068 0 0 VICTORY PORTFOLIOS II C 92647N774 1241 25629 SH DFND 1 25629 0 0 VICTORY PORTFOLIOS II C 92647N782 1713 33115 SH DFND 1 33115 0 0 VICTORY PORTFOLIOS II C 92647N816 712 20875 SH DFND 1 20875 0 0 VICTORY PORTFOLIOS II C 92647N824 1234 26056 SH DFND 1 26056 0 0 VISA INC C 92826C839 281 1871 SH DFND 1 1871 0 0 WISDOMTREE TR C 97717W604 481 16184 SH DFND 1 16184 0 0 EATON CORP PLC C G29183103 207 2384 SH DFND 1 2384 0 0 JAZZ PHARMACEUTICALS PLC C G50871105 330 1962 SH DFND 1 1962 0 0 NXP SEMICONDUCTORS N V C N6596X109 230 2688 SH DFND 1 2688 0 0