Chief Compliance Officer

0000913760-20-000010.txt : 20200124 0000913760-20-000010.hdr.sgml : 20200124 20200124121449 ACCESSION NUMBER: 0000913760-20-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200124 DATE AS OF CHANGE: 20200124 EFFECTIVENESS DATE: 20200124 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: 20544459 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 12-31-2019 12-31-2019 false INTL FCSTONE INC.

708 Third Avenue Suite 1500 New York NY 10017

13F HOLDINGS REPORT 028-17573 N John Calvano Chief Compliance Officer 204-414-3367 John Calvano Birmingham AL 01-24-2020 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml AMAZON COM INC COM 023135106 3880 2100 SH DFND 1 0 0 2100 AMERICAN ELEC PWR CO INC COM 025537101 309 3273 SH DFND 1 0 0 3273 AMETEK INC NEW COM 031100100 3680 36891 SH DFND 1 0 0 36891 AMGEN INC COM 031162100 1074 4456 SH DFND 1 0 0 4456 APPLE INC COM 037833100 6758 23014 SH DFND 1 0 0 23014 ARROW ELECTRS INC COM 042735100 211 2487 SH DFND 1 0 0 2487 BP PLC SPONSORED ADR 055622104 293 7754 SH DFND 1 0 0 7754 BANK AMER CORP COM 060505104 671 19042 SH DFND 1 0 0 19042 BANK AMER CORP 7.25%CNV PFD L 060505682 854 582 SH DFND 1 0 0 582 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1352 5971 SH DFND 1 0 0 5971 BOEING CO COM 097023105 976 2997 SH DFND 1 0 0 2997 BRISTOL MYERS SQUIBB CO COM 110122108 1482 23088 SH DFND 1 0 0 23088 BRISTOL MYERS SQUIBB CO RIGHT 99/99/9999 110122157 59 19560 SH DFND 1 0 0 19560 CSX CORP COM 126408103 231 3196 SH DFND 1 0 0 3196 CVS HEALTH CORP COM 126650100 681 9168 SH DFND 1 0 0 9168 CATERPILLAR INC DEL COM 149123101 375 2542 SH DFND 1 0 0 2542 CHEVRON CORP NEW COM 166764100 666 5524 SH DFND 1 0 0 5524 CITIGROUP INC COM NEW 172967424 269 3363 SH DFND 1 0 0 3363 COCA COLA CO COM 191216100 432 7801 SH DFND 1 0 0 7801 CORNING INC COM 219350105 363 12473 SH DFND 1 0 0 12473 CUMMINS INC COM 231021106 373 2083 SH DFND 1 0 0 2083 DISNEY WALT CO COM DISNEY 254687106 1095 7525 SH DFND 1 0 0 7525 DOW INC COM 260557103 312 5699 SH DFND 1 0 0 5699 EMERSON ELEC CO COM 291011104 288 3777 SH DFND 1 0 0 3777 ENTERPRISE PRODS PARTNERS L COM 293792107 253 8983 SH DFND 1 0 0 8983 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 305 873 SH DFND 1 0 0 873 FIDELITY COVINGTON TR MSCI HLTH CARE I 316092600 2048 41180 SH DFND 1 0 0 41180 FIRST BANCSHARES INC MS COM 318916103 647 18218 SH DFND 1 0 0 18218 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 443 5510 SH DFND 1 0 0 5510 FIRST TR NASDAQ100 TECH INDE SHS 337345102 717 7165 SH DFND 1 0 0 7165 FORD MTR CO DEL COM 345370860 286 30804 SH DFND 1 0 0 30804 GENERAL ELECTRIC CO COM 369604103 173 15452 SH DFND 1 0 0 15452 GENERAL MLS INC COM 370334104 205 3826 SH DFND 1 0 0 3826 GENPREX INC COM 372446104 11 35150 SH DFND 1 0 0 35150 GLADSTONE LD CORP COM 376549101 180 13850 SH DFND 1 0 0 13850 HOME DEPOT INC COM 437076102 1375 6297 SH DFND 1 0 0 6297 HONEYWELL INTL INC COM 438516106 338 1912 SH DFND 1 0 0 1912 INFOSYS LTD SPONSORED ADR 456788108 578 56019 SH DFND 1 0 0 56019 INTEL CORP COM 458140100 824 13773 SH DFND 1 0 0 13773 INTERNATIONAL BUSINESS MACHS COM 459200101 847 6321 SH DFND 1 0 0 6321 INTL PAPER CO COM 460146103 211 4586 SH DFND 1 0 0 4586 ISHARES GOLD TRUST ISHARES 464285105 422 29070 SH DFND 1 0 0 29070 ISHARES INC MIN VOL EMRG MKT 464286533 232 3955 SH DFND 1 0 0 3955 ISHARES TR CORE S&P TTL STK 464287150 1610 22155 SH DFND 1 0 0 22155 ISHARES TR TIPS BD ETF 464287176 254 2181 SH DFND 1 0 0 2181 ISHARES TR TRANS AVG ETF 464287192 1432 7324 SH DFND 1 0 0 7324 ISHARES TR CORE S&P500 ETF 464287200 7012 21691 SH DFND 1 0 0 21691 ISHARES TR CORE US AGGBD ET 464287226 3654 32517 SH DFND 1 0 0 32517 ISHARES TR MSCI EMG MKT ETF 464287234 385 8576 SH DFND 1 0 0 8576 ISHARES TR IBOXX INV CP ETF 464287242 383 2993 SH DFND 1 0 0 2993 ISHARES TR GLOBAL TECH ETF 464287291 270 1285 SH DFND 1 0 0 1285 ISHARES TR S&P 500 GRWT ETF 464287309 2350 12136 SH DFND 1 0 0 12136 ISHARES TR S&P 500 VAL ETF 464287408 2145 16486 SH DFND 1 0 0 16486 ISHARES TR 1 3 YR TREAS BD 464287457 335 3957 SH DFND 1 0 0 3957 ISHARES TR MSCI EAFE ETF 464287465 1020 14683 SH DFND 1 0 0 14683 ISHARES TR RUS MID CAP ETF 464287499 215 3607 SH DFND 1 0 0 3607 ISHARES TR CORE S&P MCP ETF 464287507 2960 14381 SH DFND 1 0 0 14381 ISHARES TR RUS 1000 ETF 464287622 414 2318 SH DFND 1 0 0 2318 ISHARES TR RUS 2000 VAL ETF 464287630 288 2238 SH DFND 1 0 0 2238 ISHARES TR RUS 2000 GRW ETF 464287648 732 3416 SH DFND 1 0 0 3416 ISHARES TR RUSSELL 2000 ETF 464287655 1275 7694 SH DFND 1 0 0 7694 ISHARES TR U.S. TECH ETF 464287721 302 1300 SH DFND 1 0 0 1300 ISHARES TR U.S. REAL ES ETF 464287739 686 7366 SH DFND 1 0 0 7366 ISHARES TR CORE S&P SCP ETF 464287804 3519 41967 SH DFND 1 0 0 41967 ISHARES TR SHRT NAT MUN ETF 464288158 213 1991 SH DFND 1 0 0 1991 ISHARES TR MRGSTR MD CP GRW 464288307 480 1825 SH DFND 1 0 0 1825 ISHARES TR NATIONAL MUN ETF 464288414 769 6747 SH DFND 1 0 0 6747 ISHARES TR MBS ETF 464288588 300 2773 SH DFND 1 0 0 2773 ISHARES TR MRGSTR SM CP GR 464288604 236 1113 SH DFND 1 0 0 1113 ISHARES TR INTRM TR CRP ETF 464288638 221 3820 SH DFND 1 0 0 3820 ISHARES TR PFD AND INCM SEC 464288687 2045 54398 SH DFND 1 0 0 54398 ISHARES TR US AER DEF ETF 464288760 950 4266 SH DFND 1 0 0 4266 ISHARES TR U.S. MED DVC ETF 464288810 885 3347 SH DFND 1 0 0 3347 ISHARES TR U.S. PHARMA ETF 464288836 218 1360 SH DFND 1 0 0 1360 JOHNSON & JOHNSON COM 478160104 1347 9234 SH DFND 1 0 0 9234 KROGER CO COM 501044101 403 13891 SH DFND 1 0 0 13891 LILLY ELI & CO COM 532457108 568 4323 SH DFND 1 0 0 4323 LIONS GATE ENTMNT CORP CL A VTG 535919401 232 21803 SH DFND 1 0 0 21803 LOCKHEED MARTIN CORP COM 539830109 866 2225 SH DFND 1 0 0 2225 LOWES COS INC COM 548661107 259 2159 SH DFND 1 0 0 2159 MCDONALDS CORP COM 580135101 398 2012 SH DFND 1 0 0 2012 MICROSOFT CORP COM 594918104 1856 11771 SH DFND 1 0 0 11771 MONMOUTH REAL ESTATE INVT CO CL A 609720107 473 32677 SH DFND 1 0 0 32677 OCCIDENTAL PETE CORP COM 674599105 279 6655 SH DFND 1 0 0 6655 PEPSICO INC COM 713448108 967 7028 SH DFND 1 0 0 7028 PFIZER INC COM 717081103 587 14976 SH DFND 1 0 0 14976 PHILIP MORRIS INTL INC COM 718172109 453 5257 SH DFND 1 0 0 5257 PROCTER & GAMBLE CO COM 742718109 1825 14615 SH DFND 1 0 0 14615 QUALCOMM INC COM 747525103 546 6189 SH DFND 1 0 0 6189 RAYTHEON CO COM NEW 755111507 426 1937 SH DFND 1 0 0 1937 REAVES UTIL INCOME FD COM SH BEN INT 756158101 1287 34550 SH DFND 1 0 0 34550 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 279 3629 SH DFND 1 0 0 3629 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 445 4794 SH DFND 1 0 0 4794 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 444 7385 SH DFND 1 0 0 7385 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 655 10891 SH DFND 1 0 0 10891 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1018 13456 SH DFND 1 0 0 13456 SOUTHERN CO COM 842587107 1313 20607 SH DFND 1 0 0 20607 SQUARE INC CL A 852234103 693 11081 SH DFND 1 0 0 11081 TEXAS INSTRS INC COM 882508104 204 1592 SH DFND 1 0 0 1592 TIMOTHY PLAN HIG DV STK ETF 887432326 247 9151 SH DFND 1 0 0 9151 UNION PACIFIC CORP COM 907818108 324 1792 SH DFND 1 0 0 1792 UNITED PARCEL SERVICE INC CL B 911312106 426 3643 SH DFND 1 0 0 3643 UNITED TECHNOLOGIES CORP COM 913017109 272 1813 SH DFND 1 0 0 1813 VANGUARD GROUP DIV APP ETF 921908844 3065 24590 SH DFND 1 0 0 24590 VANGUARD STAR FD VG TL INTL STK F 921909768 332 5967 SH DFND 1 0 0 5967 VANGUARD WORLD FD MEGA CAP INDEX 921910873 1783 15956 SH DFND 1 0 0 15956 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 262 3255 SH DFND 1 0 0 3255 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1484 17691 SH DFND 1 0 0 17691 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1119 25394 SH DFND 1 0 0 25394 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 268 2856 SH DFND 1 0 0 2856 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1478 27506 SH DFND 1 0 0 27506 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 480 10805 SH DFND 1 0 0 10805 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 229 3287 SH DFND 1 0 0 3287 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 284 4845 SH DFND 1 0 0 4845 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 784 14636 SH DFND 1 0 0 14636 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3022 10215 SH DFND 1 0 0 10215 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 321 3457 SH DFND 1 0 0 3457 VANGUARD INDEX FDS MID CAP ETF 922908629 3521 19762 SH DFND 1 0 0 19762 VANGUARD INDEX FDS LARGE CAP ETF 922908637 293 1980 SH DFND 1 0 0 1980 VANGUARD INDEX FDS GROWTH ETF 922908736 2482 13627 SH DFND 1 0 0 13627 VANGUARD INDEX FDS VALUE ETF 922908744 3905 32584 SH DFND 1 0 0 32584 VANGUARD INDEX FDS SMALL CP ETF 922908751 369 2225 SH DFND 1 0 0 2225 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2730 16686 SH DFND 1 0 0 16686 WALMART INC COM 931142103 1356 11365 SH DFND 1 0 0 11365 WELLS FARGO CO NEW COM 949746101 411 7638 SH DFND 1 0 0 7638 WELLS FARGO CO NEW PERP PFD CNV A 949746804 889 613 SH DFND 1 0 0 613 AT&T INC COM 00206R102 2060 52722 SH DFND 1 0 0 52722 ARK ETF TR INNOVATION ETF 00214Q104 1584 31646 SH DFND 1 0 0 31646 ARK ETF TR NEXT GNRTN INTER 00214Q401 301 5229 SH DFND 1 0 0 5229 ABBVIE INC COM 00287Y109 1098 12404 SH DFND 1 0 0 12404 ACCELERATE DIAGNOSTICS INC COM 00430H102 229 13540 SH DFND 1 0 0 13540 ADOBE INC COM 00724F101 216 655 SH DFND 1 0 0 655 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 397 1871 SH DFND 1 0 0 1871 ALPHABET INC CAP STK CL C 02079K107 725 542 SH DFND 1 0 0 542 ALPHABET INC CAP STK CL A 02079K305 596 445 SH DFND 1 0 0 445 ALTRIA GROUP INC COM 02209S103 674 13290 SH DFND 1 0 0 13290 AQUA AMERICA INC COM 03836W103 236 5029 SH DFND 1 0 0 5029 AURORA CANNABIS INC COM 05156X108 42 19309 SH DFND 1 0 0 19309 BARCLAYS BK PLC BARC ETN+SHILL 06742A669 516 3461 SH DFND 1 0 0 3461 BLACKSTONE GROUP INC COM CL A 09260D107 1700 30388 SH DFND 1 0 0 30388 BOX INC CL A 10316T104 458 27289 SH DFND 1 0 0 27289 BROADCOM INC COM 11135F101 401 1270 SH DFND 1 0 0 1270 B2GOLD CORP COM 11777Q209 190 47450 SH DFND 1 0 0 47450 CISCO SYS INC COM 17275R102 1180 24605 SH DFND 1 0 0 24605 COMCAST CORP NEW CL A 20030N101 420 9350 SH DFND 1 0 0 9350 CONSTELLATION BRANDS INC CL A 21036P108 339 1785 SH DFND 1 0 0 1785 COSTCO WHSL CORP NEW COM 22160K105 610 2076 SH DFND 1 0 0 2076 CRACKER BARREL OLD CTRY STOR COM 22410J106 571 3716 SH DFND 1 0 0 3716 CROWDSTRIKE HLDGS INC CL A 22788C105 370 7423 SH DFND 1 0 0 7423 DNP SELECT INCOME FD COM 23325P104 1075 83757 SH DFND 1 0 0 83757 DOMINION ENERGY INC COM 25746U109 575 6939 SH DFND 1 0 0 6939 DUKE ENERGY CORP NEW COM NEW 26441C204 506 5545 SH DFND 1 0 0 5545 ETF SER SOLUTIONS APTUS DEFINED 26922A388 256 9219 SH DFND 1 0 0 9219 ETF SER SOLUTIONS APTUS DRAWDOWN 26922A784 1595 52033 SH DFND 1 0 0 52033 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 205 4943 SH DFND 1 0 0 4943 EATON VANCE TX ADV GLBL DIV COM 27828S101 343 19029 SH DFND 1 0 0 19029 ENBRIDGE INC COM 29250N105 217 5446 SH DFND 1 0 0 5446 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 231 18025 SH DFND 1 0 0 18025 EXCHANGE LISTED FDS TR HIGH YIELD ETF 30151E814 776 23158 SH DFND 1 0 0 23158 EXXON MOBIL CORP COM 30231G102 770 11033 SH DFND 1 0 0 11033 FACEBOOK INC CL A 30303M102 1053 5132 SH DFND 1 0 0 5132 FIRST TR BICK INDEX FD COM SHS 33733H107 217 7402 SH DFND 1 0 0 7402 FIRST TR VALUE LINE DIVID IN SHS 33734H106 2254 62555 SH DFND 1 0 0 62555 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 305 6730 SH DFND 1 0 0 6730 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 476 14211 SH DFND 1 0 0 14211 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 275 3262 SH DFND 1 0 0 3262 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 1216 16757 SH DFND 1 0 0 16757 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 506 17318 SH DFND 1 0 0 17318 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1148 19024 SH DFND 1 0 0 19024 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 405 6242 SH DFND 1 0 0 6242 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 279 3849 SH DFND 1 0 0 3849 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 1244 22016 SH DFND 1 0 0 22016 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 1599 21926 SH DFND 1 0 0 21926 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 982 26117 SH DFND 1 0 0 26117 FIRST TR EXCH TRD ALPHA FD I BRAZIL ALPHADEX 33737J133 246 14238 SH DFND 1 0 0 14238 FIRST TR EXCH TRD ALPHA FD I JAPAN ALPHADEX 33737J158 226 4487 SH DFND 1 0 0 4487 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 486 18307 SH DFND 1 0 0 18307 FIRST TR EXCH TRD ALPHA FD I GERMANY ALPHA 33737J190 218 4899 SH DFND 1 0 0 4899 FIRST TR EXCH TRD ALPHA FD I SWITZLND ALPHA 33737J232 237 4379 SH DFND 1 0 0 4379 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 1957 76776 SH DFND 1 0 0 76776 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 2548 53165 SH DFND 1 0 0 53165 FIRST TR EXCHANGE TRADED FD FIRST TR TA HIYL 33738D408 308 6303 SH DFND 1 0 0 6303 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 2056 109403 SH DFND 1 0 0 109403 FIRST TR EXCHANGE TRADED FD NASD TECH DIV 33738R118 625 14505 SH DFND 1 0 0 14505 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 556 17609 SH DFND 1 0 0 17609 FIRST TR EXCHANGE TRADED FD NASDAQ BK ETF 33738R860 1114 39534 SH DFND 1 0 0 39534 FIRST TR EXCH TRADED FD III EME MRK BD ETF 33739P202 1167 29863 SH DFND 1 0 0 29863 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 417 20770 SH DFND 1 0 0 20770 FIRST TR EXCH TRADED FD III HORIZON MNGD ETF 33739P871 208 6073 SH DFND 1 0 0 6073 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 2345 45269 SH DFND 1 0 0 45269 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 3152 52448 SH DFND 1 0 0 52448 FIRST TR EXCHANGE TRADED FD SSI STRG ETF 33739Q507 406 12271 SH DFND 1 0 0 12271 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 161 10796 SH DFND 1 0 0 10796 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 613 11832 SH DFND 1 0 0 11832 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 255 27615 SH DFND 1 0 0 27615 FIRSTHAND TECH VALUE FD INC COM 33766Y100 206 32035 SH DFND 1 0 0 32035 GENERAL MTRS CO COM 37045V100 323 8822 SH DFND 1 0 0 8822 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 209 7559 SH DFND 1 0 0 7559 INTELLIA THERAPEUTICS INC COM 45826J105 220 14982 SH DFND 1 0 0 14982 INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 46137V100 242 3540 SH DFND 1 0 0 3540 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 239 1081 SH DFND 1 0 0 1081 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 331 2859 SH DFND 1 0 0 2859 INVESCO EXCHANGE TRADED FD T S&P500 BUY WRT 46137V399 268 12449 SH DFND 1 0 0 12449 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 248 1816 SH DFND 1 0 0 1816 INVESCO EXCHANGE TRADED FD T DWA CYCLICALS 46137V803 393 7131 SH DFND 1 0 0 7131 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 497 6427 SH DFND 1 0 0 6427 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 228 3538 SH DFND 1 0 0 3538 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 546 8002 SH DFND 1 0 0 8002 INVESCO EXCHANGE TRADED FD T DWA FINL MUMT 46137V860 390 10088 SH DFND 1 0 0 10088 INVESCO EXCHNG TRADED FD TR S&P 500 MOMNTM 46138E339 223 5315 SH DFND 1 0 0 5315 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 797 13662 SH DFND 1 0 0 13662 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 278 18525 SH DFND 1 0 0 18525 INVESCO EXCHNG TRADED FD TR KBW REGL BKG 46138E578 305 5657 SH DFND 1 0 0 5657 INVESCO EXCHNG TRADED FD TR DWA EMERG MKTS 46138E867 399 20848 SH DFND 1 0 0 20848 INVESCO EXCHNG TRADED FD TR DWA DEV MKTS 46138E875 656 22794 SH DFND 1 0 0 22794 ISHARES TR US TREAS BD ETF 46429B267 546 21065 SH DFND 1 0 0 21065 ISHARES TR FLTG RATE NT ETF 46429B655 958 18821 SH DFND 1 0 0 18821 ISHARES TR CORE HIGH DV ETF 46429B663 968 9866 SH DFND 1 0 0 9866 ISHARES TR MIN VOL EAFE ETF 46429B689 1599 21454 SH DFND 1 0 0 21454 ISHARES TR MSCI MIN VOL ETF 46429B697 2285 34825 SH DFND 1 0 0 34825 ISHARES US ETF TR SHT MAT BD ETF 46431W507 241 4789 SH DFND 1 0 0 4789 ISHARES US ETF TR HEALTHCARE 46431W689 392 12255 SH DFND 1 0 0 12255 ISHARES TR USA QUALITY FCTR 46432F339 808 8004 SH DFND 1 0 0 8004 ISHARES TR USA MOMENTUM FCT 46432F396 1324 10548 SH DFND 1 0 0 10548 ISHARES TR CORE MSCI TOTAL 46432F834 913 14743 SH DFND 1 0 0 14743 ISHARES TR CORE MSCI EAFE 46432F842 3803 58292 SH DFND 1 0 0 58292 ISHARES INC CORE MSCI EMKT 46434G103 769 14306 SH DFND 1 0 0 14306 ISHARES TR MULTIFACTOR USA 46434V282 855 24795 SH DFND 1 0 0 24795 ISHARES TR CORE DIV GRWTH 46434V621 441 10480 SH DFND 1 0 0 10480 ISHARES TR ULTR SH TRM BD 46434V878 1324 26306 SH DFND 1 0 0 26306 JPMORGAN CHASE & CO COM 46625H100 2213 15874 SH DFND 1 0 0 15874 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 391 7745 SH DFND 1 0 0 7745 KINDER MORGAN INC DEL COM 49456B101 418 19729 SH DFND 1 0 0 19729 MASTERCARD INC CL A 57636Q104 511 1711 SH DFND 1 0 0 1711 MERCK & CO INC COM 58933Y105 801 8747 SH DFND 1 0 0 8747 NIO INC SPON ADS 62914V106 49 12125 SH DFND 1 0 0 12125 NETFLIX INC COM 64110L106 988 3053 SH DFND 1 0 0 3053 NORTHERN LTS FD TR IV INSPIRE CORP 66538H633 233 9064 SH DFND 1 0 0 9064 NORTHERN LTS FD TR IV INSPIRE GBL HOPE 66538H658 224 7351 SH DFND 1 0 0 7351 NUTANIX INC CL A 67059N108 535 17122 SH DFND 1 0 0 17122 NVIDIA CORP COM 67066G104 485 2062 SH DFND 1 0 0 2062 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1152 83789 SH DFND 1 0 0 83789 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 106 10600 SH DFND 1 0 0 10600 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 593 59242 SH DFND 1 0 0 59242 PPL CORP COM 69351T106 208 5732 SH DFND 1 0 0 5732 PAYPAL HLDGS INC COM 70450Y103 411 3802 SH DFND 1 0 0 3802 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 262 2572 SH DFND 1 0 0 2572 PROSHARES TR S&P 500 DV ARIST 74348A467 224 2949 SH DFND 1 0 0 2949 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 2139 6612 SH DFND 1 0 0 6612 SPDR GOLD TRUST GOLD SHS 78463V107 227 1591 SH DFND 1 0 0 1591 SPDR SERIES TRUST NUVEEN BBG BRCLY 78464A284 284 4817 SH DFND 1 0 0 4817 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 226 6403 SH DFND 1 0 0 6403 SPDR SERIES TRUST AEROSPACE DEF 78464A631 556 5097 SH DFND 1 0 0 5097 SPDR SERIES TRUST S&P DIVID ETF 78464A763 609 5660 SH DFND 1 0 0 5660 SPDR SERIES TRUST S&P BIOTECH 78464A870 616 6476 SH DFND 1 0 0 6476 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 780 15929 SH DFND 1 0 0 15929 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1346 4708 SH DFND 1 0 0 4708 SPDR SERIES TRUST BLOOMBERG BRCLYS 78468R622 259 2360 SH DFND 1 0 0 2360 SPDR SERIES TRUST NUVEEN BLMBRG SR 78468R739 499 10159 SH DFND 1 0 0 10159 SALESFORCE COM INC COM 79466L302 571 3512 SH DFND 1 0 0 3512 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 838 8173 SH DFND 1 0 0 8173 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 275 4374 SH DFND 1 0 0 4374 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 524 4180 SH DFND 1 0 0 4180 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 662 21513 SH DFND 1 0 0 21513 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 668 8197 SH DFND 1 0 0 8197 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1483 16173 SH DFND 1 0 0 16173 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1123 17372 SH DFND 1 0 0 17372 SHOPIFY INC CL A 82509L107 532 1337 SH DFND 1 0 0 1337 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 395 32450 SH DFND 1 0 0 32450 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 180 12250 SH DFND 1 0 0 12250 STARWOOD PPTY TR INC COM 85571B105 202 7952 SH DFND 1 0 0 7952 STARWOOD PPTY TR INC NOTE 4.375% 4/0 85571BAH8 21 20000 SH DFND 1 0 0 20000 THERATECHNOLOGIES INC COM 88338H100 46 14000 SH DFND 1 0 0 14000 3M CO COM 88579Y101 336 1905 SH DFND 1 0 0 1905 TRUIST FINL CORP COM 89832Q109 240 4268 SH DFND 1 0 0 4268 UNITEDHEALTH GROUP INC COM 91324P102 845 2874 SH DFND 1 0 0 2874 UNIVERSAL DISPLAY CORP COM 91347P105 242 1173 SH DFND 1 0 0 1173 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 442 15097 SH DFND 1 0 0 15097 VANECK VECTORS ETF TRUST INVT GRADE FLTG 92189F486 267 10533 SH DFND 1 0 0 10533 VANECK VECTORS ETF TRUST MORNINGSTAR WIDE 92189F643 1112 20308 SH DFND 1 0 0 20308 VANECK VECTORS ETF TRUST JR GOLD MINERS E 92189F791 201 4750 SH DFND 1 0 0 4750 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 2073 36631 SH DFND 1 0 0 36631 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 221 1373 SH DFND 1 0 0 1373 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 343 1789 SH DFND 1 0 0 1789 VANGUARD WORLD FDS INF TECH ETF 92204A702 549 2243 SH DFND 1 0 0 2243 VANGUARD WORLD FDS UTILITIES ETF 92204A876 265 1854 SH DFND 1 0 0 1854 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 2153 16169 SH DFND 1 0 0 16169 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 663 7265 SH DFND 1 0 0 7265 VEREIT INC COM 92339V100 186 19850 SH DFND 1 0 0 19850 VERIZON COMMUNICATIONS INC COM 92343V104 1568 25544 SH DFND 1 0 0 25544 VICTORY PORTFOLIOS II VCSHS US DISCVRY 92647N774 236 5966 SH DFND 1 0 0 5966 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 469 8914 SH DFND 1 0 0 8914 VICTORY PORTFOLIOS II VICOTRYSHS EMG 92647N808 211 8701 SH DFND 1 0 0 8701 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1393 28426 SH DFND 1 0 0 28426 VICTORY PORTFOLIOS II VCSHS US LRG CAP 92647N865 859 16980 SH DFND 1 0 0 16980 VICTORY PORTFOLIOS II VCSHS US SMCP HG 92647N873 581 12345 SH DFND 1 0 0 12345 VICTORY PORTFOLIOS II VCSHS INTL HG DV 92647N881 788 23207 SH DFND 1 0 0 23207 VISA INC COM CL A 92826C839 482 2567 SH DFND 1 0 0 2567 WISDOMTREE TR US SMALLCAP DIVD 97717W604 646 22521 SH DFND 1 0 0 22521 WISDOMTREE TR US QTLY DIV GRT 97717X669 314 6474 SH DFND 1 0 0 6474 EATON CORP PLC SHS G29183103 432 4560 SH DFND 1 0 0 4560 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 283 1898 SH DFND 1 0 0 1898 MEDTRONIC PLC SHS G5960L103 237 2082 SH DFND 1 0 0 2082 MELLANOX TECHNOLOGIES LTD SHS M51363113 502 4285 SH DFND 1 0 0 4285