Chief Compliance Officer

0000913760-19-000134.txt : 20191112 0000913760-19-000134.hdr.sgml : 20191112 20191112134641 ACCESSION NUMBER: 0000913760-19-000134 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191208317 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 09-30-2019 09-30-2019 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 11-12-2019 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml AMAZON COM INC COM 023135106 3385 1950 SH DFND 1 0 0 1950 AMERICAN ELEC PWR CO INC COM 025537101 307 3273 SH DFND 1 0 0 3273 AMGEN INC COM 031162100 822 4249 SH DFND 1 0 0 4249 APPLE INC COM 037833100 4662 20813 SH DFND 1 0 0 20813 BP PLC SPONSORED ADR 055622104 211 5566 SH DFND 1 0 0 5566 BANK AMER CORP COM 060505104 533 18269 SH DFND 1 0 0 18269 BANK AMER CORP 7.25%CNV PFD L 060505682 934 616 SH DFND 1 0 0 616 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1160 5576 SH DFND 1 0 0 5576 BOEING CO COM 097023105 1125 2957 SH DFND 1 0 0 2957 CVS HEALTH CORP COM 126650100 500 7925 SH DFND 1 0 0 7925 CATERPILLAR INC DEL COM 149123101 307 2434 SH DFND 1 0 0 2434 CHEVRON CORP NEW COM 166764100 595 5014 SH DFND 1 0 0 5014 CITIGROUP INC COM NEW 172967424 230 3334 SH DFND 1 0 0 3334 COCA COLA CO COM 191216100 514 9364 SH DFND 1 0 0 9364 CORNING INC COM 219350105 386 13542 SH DFND 1 0 0 13542 CUMMINS INC COM 231021106 351 2157 SH DFND 1 0 0 2157 DISNEY WALT CO COM DISNEY 254687106 843 6472 SH DFND 1 0 0 6472 DOW INC COM 260557103 248 5208 SH DFND 1 0 0 5208 EMERSON ELEC CO COM 291011104 240 3585 SH DFND 1 0 0 3585 FIRST BANCSHARES INC MS COM 318916103 1099 34014 SH DFND 1 0 0 34014 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 414 5460 SH DFND 1 0 0 5460 FIRST TR NASDAQ100 TECH INDE SHS 337345102 622 7102 SH DFND 1 0 0 7102 FORD MTR CO DEL COM 345370860 279 30406 SH DFND 1 0 0 30406 GENERAL ELECTRIC CO COM 369604103 132 14805 SH DFND 1 0 0 14805 GENPREX INC COM 372446104 28 35150 SH DFND 1 0 0 35150 GLADSTONE LD CORP COM 376549101 154 12931 SH DFND 1 0 0 12931 HOME DEPOT INC COM 437076102 1548 6671 SH DFND 1 0 0 6671 HONEYWELL INTL INC COM 438516106 298 1762 SH DFND 1 0 0 1762 INFOSYS LTD SPONSORED ADR 456788108 721 63418 SH DFND 1 0 0 63418 INTEL CORP COM 458140100 631 12250 SH DFND 1 0 0 12250 INTERNATIONAL BUSINESS MACHS COM 459200101 637 4380 SH DFND 1 0 0 4380 ISHARES GOLD TRUST ISHARES 464285105 319 22645 SH DFND 1 0 0 22645 ISHARES INC MIN VOL EMRG MKT 464286533 225 3941 SH DFND 1 0 0 3941 ISHARES TR CORE S&P TTL STK 464287150 1185 17672 SH DFND 1 0 0 17672 ISHARES TR TIPS BD ETF 464287176 234 2014 SH DFND 1 0 0 2014 ISHARES TR CORE S&P500 ETF 464287200 2262 7577 SH DFND 1 0 0 7577 ISHARES TR CORE US AGGBD ET 464287226 2821 24930 SH DFND 1 0 0 24930 ISHARES TR MSCI EMG MKT ETF 464287234 324 7935 SH DFND 1 0 0 7935 ISHARES TR IBOXX INV CP ETF 464287242 372 2921 SH DFND 1 0 0 2921 ISHARES TR GLOBAL TECH ETF 464287291 244 1319 SH DFND 1 0 0 1319 ISHARES TR S&P 500 GRWT ETF 464287309 2023 11239 SH DFND 1 0 0 11239 ISHARES TR S&P 500 VAL ETF 464287408 860 7216 SH DFND 1 0 0 7216 ISHARES TR 1 3 YR TREAS BD 464287457 501 5907 SH DFND 1 0 0 5907 ISHARES TR MSCI EAFE ETF 464287465 679 10417 SH DFND 1 0 0 10417 ISHARES TR RUS MID CAP ETF 464287499 202 3601 SH DFND 1 0 0 3601 ISHARES TR CORE S&P MCP ETF 464287507 796 4118 SH DFND 1 0 0 4118 ISHARES TR S&P MC 400GR ETF 464287606 971 4339 SH DFND 1 0 0 4339 ISHARES TR RUS 1000 ETF 464287622 228 1386 SH DFND 1 0 0 1386 ISHARES TR RUS 2000 VAL ETF 464287630 242 2030 SH DFND 1 0 0 2030 ISHARES TR RUSSELL 2000 ETF 464287655 507 3351 SH DFND 1 0 0 3351 ISHARES TR U.S. TECH ETF 464287721 220 1075 SH DFND 1 0 0 1075 ISHARES TR U.S. REAL ES ETF 464287739 639 6828 SH DFND 1 0 0 6828 ISHARES TR CORE S&P SCP ETF 464287804 1323 16991 SH DFND 1 0 0 16991 ISHARES TR MSCI ACWI ETF 464288257 278 3776 SH DFND 1 0 0 3776 ISHARES TR PFD AND INCM SEC 464288687 2003 53358 SH DFND 1 0 0 53358 ISHARES TR US AER DEF ETF 464288760 1079 4802 SH DFND 1 0 0 4802 ISHARES TR U.S. MED DVC ETF 464288810 828 3347 SH DFND 1 0 0 3347 JOHNSON & JOHNSON COM 478160104 989 7645 SH DFND 1 0 0 7645 KROGER CO COM 501044101 358 13891 SH DFND 1 0 0 13891 LILLY ELI & CO COM 532457108 476 4260 SH DFND 1 0 0 4260 LIONS GATE ENTMNT CORP CL A VTG 535919401 287 31077 SH DFND 1 0 0 31077 LOCKHEED MARTIN CORP COM 539830109 586 1503 SH DFND 1 0 0 1503 MCDONALDS CORP COM 580135101 440 2051 SH DFND 1 0 0 2051 MICROSOFT CORP COM 594918104 1449 10425 SH DFND 1 0 0 10425 MONMOUTH REAL ESTATE INVT CO CL A 609720107 470 32584 SH DFND 1 0 0 32584 OCCIDENTAL PETE CORP COM 674599105 226 4984 SH DFND 1 0 0 4984 PEPSICO INC COM 713448108 671 4897 SH DFND 1 0 0 4897 PFIZER INC COM 717081103 440 12254 SH DFND 1 0 0 12254 PHILIP MORRIS INTL INC COM 718172109 355 4608 SH DFND 1 0 0 4608 PROCTER & GAMBLE CO COM 742718109 1940 15597 SH DFND 1 0 0 15597 QUALCOMM INC COM 747525103 387 5068 SH DFND 1 0 0 5068 RAYTHEON CO COM NEW 755111507 369 1879 SH DFND 1 0 0 1879 REAVES UTIL INCOME FD COM SH BEN INT 756158101 1373 37400 SH DFND 1 0 0 37400 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 289 3445 SH DFND 1 0 0 3445 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 347 6116 SH DFND 1 0 0 6116 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 622 11002 SH DFND 1 0 0 11002 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 645 9247 SH DFND 1 0 0 9247 SOUTHERN CO COM 842587107 914 14801 SH DFND 1 0 0 14801 SQUARE INC CL A 852234103 697 11243 SH DFND 1 0 0 11243 UNION PACIFIC CORP COM 907818108 320 1977 SH DFND 1 0 0 1977 UNITED PARCEL SERVICE INC CL B 911312106 379 3159 SH DFND 1 0 0 3159 UNITED TECHNOLOGIES CORP COM 913017109 219 1603 SH DFND 1 0 0 1603 VANGUARD GROUP DIV APP ETF 921908844 2498 20889 SH DFND 1 0 0 20889 VANGUARD STAR FD VG TL INTL STK F 921909768 268 5187 SH DFND 1 0 0 5187 VANGUARD WORLD FD MEGA CAP INDEX 921910873 1424 13809 SH DFND 1 0 0 13809 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 616 7290 SH DFND 1 0 0 7290 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 239 5827 SH DFND 1 0 0 5827 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 241 2716 SH DFND 1 0 0 2716 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1311 26264 SH DFND 1 0 0 26264 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 221 3340 SH DFND 1 0 0 3340 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 265 4943 SH DFND 1 0 0 4943 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 440 1607 SH DFND 1 0 0 1607 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 252 2703 SH DFND 1 0 0 2703 VANGUARD INDEX FDS MID CAP ETF 922908629 1623 9685 SH DFND 1 0 0 9685 VANGUARD INDEX FDS GROWTH ETF 922908736 1086 6528 SH DFND 1 0 0 6528 VANGUARD INDEX FDS VALUE ETF 922908744 2577 23086 SH DFND 1 0 0 23086 VANGUARD INDEX FDS SMALL CP ETF 922908751 231 1501 SH DFND 1 0 0 1501 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1815 12022 SH DFND 1 0 0 12022 WALMART INC COM 931142103 844 7110 SH DFND 1 0 0 7110 WELLS FARGO CO NEW COM 949746101 310 6152 SH DFND 1 0 0 6152 WELLS FARGO CO NEW PERP PFD CNV A 949746804 938 616 SH DFND 1 0 0 616 AT&T INC COM 00206R102 1640 43346 SH DFND 1 0 0 43346 ARK ETF TR INNOVATION ETF 00214Q104 1376 32075 SH DFND 1 0 0 32075 ARK ETF TR WEB X.O ETF 00214Q401 255 5239 SH DFND 1 0 0 5239 ABBVIE INC COM 00287Y109 804 10623 SH DFND 1 0 0 10623 ACCELERATE DIAGNOSTICS INC COM 00430H102 251 13540 SH DFND 1 0 0 13540 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 318 1904 SH DFND 1 0 0 1904 ALPHABET INC CAP STK CL C 02079K107 605 496 SH DFND 1 0 0 496 ALPHABET INC CAP STK CL A 02079K305 507 415 SH DFND 1 0 0 415 ALTRIA GROUP INC COM 02209S103 502 12041 SH DFND 1 0 0 12041 AQUA AMERICA INC COM 03836W103 203 4531 SH DFND 1 0 0 4531 AURORA CANNABIS INC COM 05156X108 60 13572 SH DFND 1 0 0 13572 BARCLAYS BK PLC BARC ETN+SHILL 06742A669 513 3732 SH DFND 1 0 0 3732 BLACKROCK MUNIHLDNGS QLTY II COM 09254C107 160 12500 SH DFND 1 0 0 12500 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 206 15200 SH DFND 1 0 0 15200 BLACKROCK MUNIYIELD INVST FD COM 09254R104 211 14700 SH DFND 1 0 0 14700 BLACKSTONE GROUP INC COM CL A 09260D107 1515 31028 SH DFND 1 0 0 31028 BOX INC CL A 10316T104 652 39397 SH DFND 1 0 0 39397 BROADCOM INC COM 11135F101 397 1424 SH DFND 1 0 0 1424 CISCO SYS INC COM 17275R102 1184 23971 SH DFND 1 0 0 23971 COLLECTORS UNIVERSE INC COM NEW 19421R200 299 10508 SH DFND 1 0 0 10508 COMCAST CORP NEW CL A 20030N101 394 8738 SH DFND 1 0 0 8738 CONSTELLATION BRANDS INC CL A 21036P108 464 2236 SH DFND 1 0 0 2236 COSTCO WHSL CORP NEW COM 22160K105 531 1842 SH DFND 1 0 0 1842 CRACKER BARREL OLD CTRY STOR COM 22410J106 400 2456 SH DFND 1 0 0 2456 DNP SELECT INCOME FD COM 23325P104 475 36741 SH DFND 1 0 0 36741 DOMINION ENERGY INC COM 25746U109 587 7245 SH DFND 1 0 0 7245 DUKE ENERGY CORP NEW COM NEW 26441C204 402 4195 SH DFND 1 0 0 4195 ETF SER SOLUTIONS APTUS DEFINED 26922A388 203 7417 SH DFND 1 0 0 7417 ETF SER SOLUTIONS APTUS FORTIFIED 26922A610 482 18483 SH DFND 1 0 0 18483 ETF SER SOLUTIONS APTUS BHVRL MMTM 26922A784 1143 37511 SH DFND 1 0 0 37511 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 211 5630 SH DFND 1 0 0 5630 ETF MANAGERS TR ETFMG ALTR HRVST 26924G508 281 13513 SH DFND 1 0 0 13513 ENBRIDGE INC COM 29250N105 229 6524 SH DFND 1 0 0 6524 EXXON MOBIL CORP COM 30231G102 683 9675 SH DFND 1 0 0 9675 FACEBOOK INC CL A 30303M102 880 4942 SH DFND 1 0 0 4942 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1006 28836 SH DFND 1 0 0 28836 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 376 11825 SH DFND 1 0 0 11825 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 1030 15805 SH DFND 1 0 0 15805 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 490 16516 SH DFND 1 0 0 16516 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1056 18714 SH DFND 1 0 0 18714 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 268 4457 SH DFND 1 0 0 4457 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 721 13983 SH DFND 1 0 0 13983 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 1050 15002 SH DFND 1 0 0 15002 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 563 16376 SH DFND 1 0 0 16376 FIRST TR EXCH TRD ALPHA FD I BRAZIL ALPHADEX 33737J133 227 14369 SH DFND 1 0 0 14369 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 231 9792 SH DFND 1 0 0 9792 FIRST TR EXCH TRD ALPHA FD I SWITZLND ALPHA 33737J232 214 4407 SH DFND 1 0 0 4407 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 530 11184 SH DFND 1 0 0 11184 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 295 6115 SH DFND 1 0 0 6115 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 211 11443 SH DFND 1 0 0 11443 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 502 16972 SH DFND 1 0 0 16972 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 230 11711 SH DFND 1 0 0 11711 FIRST TR EXCH TRADED FD III HORIZON MNGD ETF 33739P871 214 6429 SH DFND 1 0 0 6429 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 1280 24611 SH DFND 1 0 0 24611 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 2463 40933 SH DFND 1 0 0 40933 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 172 12665 SH DFND 1 0 0 12665 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 241 4572 SH DFND 1 0 0 4572 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 244 27615 SH DFND 1 0 0 27615 FIRSTHAND TECH VALUE FD INC COM 33766Y100 397 51904 SH DFND 1 0 0 51904 GENERAL MTRS CO COM 37045V100 305 8148 SH DFND 1 0 0 8148 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 203 8332 SH DFND 1 0 0 8332 INTELLIA THERAPEUTICS INC COM 45826J105 218 16317 SH DFND 1 0 0 16317 INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 46137V100 240 3540 SH DFND 1 0 0 3540 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 640 5922 SH DFND 1 0 0 5922 INVESCO EXCHANGE TRADED FD T S&P500 BUY WRT 46137V399 205 9446 SH DFND 1 0 0 9446 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 314 2477 SH DFND 1 0 0 2477 INVESCO EXCHANGE TRADED FD T DWA CYCLICALS 46137V803 351 6655 SH DFND 1 0 0 6655 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 418 6087 SH DFND 1 0 0 6087 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 261 4280 SH DFND 1 0 0 4280 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 501 7640 SH DFND 1 0 0 7640 INVESCO EXCHANGE TRADED FD T DWA FINL MUMT 46137V860 354 9451 SH DFND 1 0 0 9451 INVESCO EXCHNG TRADED FD TR S&P 500 MOMNTM 46138E339 216 5315 SH DFND 1 0 0 5315 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 726 12546 SH DFND 1 0 0 12546 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 305 7148 SH DFND 1 0 0 7148 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 242 16085 SH DFND 1 0 0 16085 INVESCO EXCHNG TRADED FD TR KBW REGL BKG 46138E578 282 5657 SH DFND 1 0 0 5657 INVESCO EXCHNG TRADED FD TR DWA DEV MKTS 46138E875 383 14512 SH DFND 1 0 0 14512 INVESCO EXCHNG TRADED FD TR TAXABLE MUN BD 46138G805 290 8940 SH DFND 1 0 0 8940 ISHARES TR US TREAS BD ETF 46429B267 477 18135 SH DFND 1 0 0 18135 ISHARES TR CORE HIGH DV ETF 46429B663 884 9392 SH DFND 1 0 0 9392 ISHARES TR MSCI MIN VOL ETF 46429B697 1527 23822 SH DFND 1 0 0 23822 ISHARES US ETF TR SHT MAT BD ETF 46431W507 277 5507 SH DFND 1 0 0 5507 ISHARES US ETF TR HEALTHCARE 46431W689 340 11895 SH DFND 1 0 0 11895 ISHARES TR USA QUALITY FCTR 46432F339 436 4721 SH DFND 1 0 0 4721 ISHARES TR USA MOMENTUM FCT 46432F396 1206 10110 SH DFND 1 0 0 10110 ISHARES TR CORE MSCI TOTAL 46432F834 789 13658 SH DFND 1 0 0 13658 ISHARES TR CORE MSCI EAFE 46432F842 992 16251 SH DFND 1 0 0 16251 ISHARES INC CORE MSCI EMKT 46434G103 374 7626 SH DFND 1 0 0 7626 ISHARES TR MULTIFACTOR USA 46434V282 774 24242 SH DFND 1 0 0 24242 ISHARES TR CORE DIV GRWTH 46434V621 466 11907 SH DFND 1 0 0 11907 JPMORGAN CHASE & CO COM 46625H100 1731 14711 SH DFND 1 0 0 14711 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 399 7893 SH DFND 1 0 0 7893 KINDER MORGAN INC DEL COM 49456B101 306 14858 SH DFND 1 0 0 14858 MASTERCARD INC CL A 57636Q104 529 1946 SH DFND 1 0 0 1946 MERCK & CO INC COM 58933Y105 669 7904 SH DFND 1 0 0 7904 NIO INC SPON ADS 62914V106 36 23225 SH DFND 1 0 0 23225 NETFLIX INC COM 64110L106 787 2939 SH DFND 1 0 0 2939 NORTHERN LTS FD TR IV INSPIRE GBL HOPE 66538H658 265 9484 SH DFND 1 0 0 9484 NUTANIX INC CL A 67059N108 469 17872 SH DFND 1 0 0 17872 NVIDIA CORP COM 67066G104 432 2484 SH DFND 1 0 0 2484 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1123 84447 SH DFND 1 0 0 84447 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 105 10600 SH DFND 1 0 0 10600 NUTRIEN LTD COM 67077M108 241 4778 SH DFND 1 0 0 4778 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 616 62061 SH DFND 1 0 0 62061 PAYPAL HLDGS INC COM 70450Y103 365 3526 SH DFND 1 0 0 3526 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 250 2456 SH DFND 1 0 0 2456 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 16 16000 SH DFND 1 0 0 16000 PROSPECT CAPITAL CORPORATION NOTE 4.950% 7/1 74348TAR3 10 10000 SH DFND 1 0 0 10000 SPDR S&P 500 ETF TR TR UNIT 78462F103 1554 5212 SH DFND 1 0 0 5212 SPDR GOLD TRUST GOLD SHS 78463V107 214 1539 SH DFND 1 0 0 1539 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 224 3769 SH DFND 1 0 0 3769 SPDR SERIES TRUST AEROSPACE DEF 78464A631 607 5683 SH DFND 1 0 0 5683 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 277 9338 SH DFND 1 0 0 9338 SPDR SERIES TRUST S&P DIVID ETF 78464A763 374 3648 SH DFND 1 0 0 3648 SPDR SERIES TRUST S&P BIOTECH 78464A870 513 6728 SH DFND 1 0 0 6728 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 713 14492 SH DFND 1 0 0 14492 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1225 4539 SH DFND 1 0 0 4539 SALESFORCE COM INC COM 79466L302 496 3343 SH DFND 1 0 0 3343 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 788 8738 SH DFND 1 0 0 8738 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 212 3446 SH DFND 1 0 0 3446 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 552 4574 SH DFND 1 0 0 4574 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 639 22837 SH DFND 1 0 0 22837 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 796 10249 SH DFND 1 0 0 10249 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1425 17701 SH DFND 1 0 0 17701 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1087 16783 SH DFND 1 0 0 16783 SHOPIFY INC CL A 82509L107 398 1278 SH DFND 1 0 0 1278 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 384 32450 SH DFND 1 0 0 32450 STARWOOD PPTY TR INC COM 85571B105 210 8499 SH DFND 1 0 0 8499 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 21 20000 SH DFND 1 0 0 20000 3M CO COM 88579Y101 213 1298 SH DFND 1 0 0 1298 UNITEDHEALTH GROUP INC COM 91324P102 581 2674 SH DFND 1 0 0 2674 VALERO ENERGY CORP NEW COM 91913Y100 237 2778 SH DFND 1 0 0 2778 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 392 14686 SH DFND 1 0 0 14686 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 955 19048 SH DFND 1 0 0 19048 VANGUARD WORLD FDS INF TECH ETF 92204A702 334 1543 SH DFND 1 0 0 1543 VANGUARD WORLD FDS UTILITIES ETF 92204A876 273 1883 SH DFND 1 0 0 1883 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 432 3533 SH DFND 1 0 0 3533 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 598 6549 SH DFND 1 0 0 6549 VEREIT INC COM 92339V100 261 26353 SH DFND 1 0 0 26353 VERIZON COMMUNICATIONS INC COM 92343V104 1397 23137 SH DFND 1 0 0 23137 VICTORY PORTFOLIOS II VCSHS US DISCVRY 92647N774 243 6684 SH DFND 1 0 0 6684 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 517 10475 SH DFND 1 0 0 10475 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1383 29715 SH DFND 1 0 0 29715 VICTORY PORTFOLIOS II VCSHS US LRG CAP 92647N865 1121 23333 SH DFND 1 0 0 23333 VICTORY PORTFOLIOS II VCSHS US SMCP HG 92647N873 601 13529 SH DFND 1 0 0 13529 VICTORY PORTFOLIOS II VCSHS INTL HG DV 92647N881 801 25226 SH DFND 1 0 0 25226 VISA INC COM CL A 92826C839 418 2429 SH DFND 1 0 0 2429 W P CAREY INC COM 92936U109 282 3111 SH DFND 1 0 0 3111 WISDOMTREE TR US SMALLCAP DIVD 97717W604 604 22067 SH DFND 1 0 0 22067 WISDOMTREE TR US QTLY DIV GRT 97717X669 311 6890 SH DFND 1 0 0 6890 EATON CORP PLC SHS G29183103 371 4467 SH DFND 1 0 0 4467 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 243 1898 SH DFND 1 0 0 1898 MEDTRONIC PLC SHS G5960L103 209 1911 SH DFND 1 0 0 1911 MELLANOX TECHNOLOGIES LTD SHS M51363113 481 4385 SH DFND 1 0 0 4385