CCO, SA Stone Investment Advisors Inc.

0000913760-20-000180.txt : 20201112 0000913760-20-000180.hdr.sgml : 20201112 20201112102134 ACCESSION NUMBER: 0000913760-20-000180 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: StoneX Group 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: 201304358 BUSINESS ADDRESS: STREET 1: 155 EAST 44TH STREET STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-485-3500 MAIL ADDRESS: STREET 1: 155 EAST 44TH STREET STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INTL FCSTONE INC. DATE OF NAME CHANGE: 20110302 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 09-30-2020 09-30-2020 false StoneX Group Inc.

155 East 44th Street Suite 900 New York NY 10017

13F HOLDINGS REPORT 028-17573 N John Calvano CCO, SA Stone Investment Advisors Inc. 205-414-3367 John Calvano Birmingham AL 11-12-2020 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 1691 3596 SH DFND 1 0 0 3596 WELLS FARGO CO NEW PERP PFD CNV A 949746804 953 710 SH DFND 1 0 0 710 WELLS FARGO CO NEW COM 949746101 399 16983 SH DFND 1 0 0 16983 WASTE MGMT INC DEL COM 94106L109 203 1790 SH DFND 1 0 0 1790 WALMART INC COM 931142103 1943 13884 SH DFND 1 0 0 13884 VISA INC COM CL A 92826C839 645 3226 SH DFND 1 0 0 3226 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 212 11006 SH DFND 1 0 0 11006 VICTORY PORTFOLIOS II VCSHS INTL HG DV 92647N881 415 16072 SH DFND 1 0 0 16072 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 949 20026 SH DFND 1 0 0 20026 VICTORY PORTFOLIOS II VCSHS US SMCP HG 92647N873 351 9305 SH DFND 1 0 0 9305 VICTORY PORTFOLIOS II VCSHS US LRG CAP 92647N865 498 12306 SH DFND 1 0 0 12306 VERIZON COMMUNICATIONS INC COM 92343V104 1293 21742 SH DFND 1 0 0 21742 VANGUARD WORLD FDS INF TECH ETF 92204A702 595 1910 SH DFND 1 0 0 1910 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 208 1022 SH DFND 1 0 0 1022 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 311 1906 SH DFND 1 0 0 1906 VANGUARD WORLD FD MEGA GRWTH IND 921910816 606 3267 SH DFND 1 0 0 3267 VANGUARD WORLD FD MEGA CAP INDEX 921910873 2009 16757 SH DFND 1 0 0 16757 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 5575 68886 SH DFND 1 0 0 68886 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 2590 49742 SH DFND 1 0 0 49742 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 408 9974 SH DFND 1 0 0 9974 VANGUARD STAR FDS VG TL INTL STK F 921909768 515 9867 SH DFND 1 0 0 9867 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3717 28766 SH DFND 1 0 0 28766 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 671 5545 SH DFND 1 0 0 5545 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 699 7296 SH DFND 1 0 0 7296 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 470 5674 SH DFND 1 0 0 5674 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 848 15579 SH DFND 1 0 0 15579 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 226 3327 SH DFND 1 0 0 3327 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 424 9803 SH DFND 1 0 0 9803 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1279 25346 SH DFND 1 0 0 25346 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 240 4586 SH DFND 1 0 0 4586 VANGUARD INDEX FDS MID CAP ETF 922908629 2259 12819 SH DFND 1 0 0 12819 VANGUARD INDEX FDS LARGE CAP ETF 922908637 214 1367 SH DFND 1 0 0 1367 VANGUARD INDEX FDS VALUE ETF 922908744 946 9050 SH DFND 1 0 0 9050 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 12646 40939 SH DFND 1 0 0 40939 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 233 1296 SH DFND 1 0 0 1296 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3452 20271 SH DFND 1 0 0 20271 VANGUARD INDEX FDS GROWTH ETF 922908736 4707 20681 SH DFND 1 0 0 20681 VANGUARD INDEX FDS SMALL CP ETF 922908751 4150 26985 SH DFND 1 0 0 26985 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 454 7810 SH DFND 1 0 0 7810 VANGUARD BD INDEX FDS INTERMED TERM 921937819 1513 16189 SH DFND 1 0 0 16189 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 7254 82221 SH DFND 1 0 0 82221 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 446 5375 SH DFND 1 0 0 5375 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 382 9757 SH DFND 1 0 0 9757 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1414 25909 SH DFND 1 0 0 25909 VALERO ENERGY CORP COM 91913Y100 246 5686 SH DFND 1 0 0 5686 UNIVERSAL DISPLAY CORP COM 91347P105 212 1173 SH DFND 1 0 0 1173 UNITEDHEALTH GROUP INC COM 91324P102 901 2889 SH DFND 1 0 0 2889 UNITED PARCEL SERVICE INC CL B 911312106 688 4129 SH DFND 1 0 0 4129 UNION PAC CORP COM 907818108 268 1362 SH DFND 1 0 0 1362 TRINSEO S A SHS L9340P101 604 23568 SH DFND 1 0 0 23568 TIMOTHY PLAN US LRGMD CP CORE 887432359 592 22069 SH DFND 1 0 0 22069 TIMOTHY PLAN HIG DV STK ETF 887432326 524 22875 SH DFND 1 0 0 22875 THERMO FISHER SCIENTIFIC INC COM 883556102 261 590 SH DFND 1 0 0 590 THERATECHNOLOGIES INC COM 88338H100 31 14000 SH DFND 1 0 0 14000 TEXAS INSTRS INC COM 882508104 246 1721 SH DFND 1 0 0 1721 TESLA INC COM 88160R101 921 2146 SH DFND 1 0 0 2146 TERADATA CORP DEL COM 88076W103 211 9295 SH DFND 1 0 0 9295 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 208 8538 SH DFND 1 0 0 8538 STARBUCKS CORP COM 855244109 249 2896 SH DFND 1 0 0 2896 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 810 16434 SH DFND 1 0 0 16434 SQUARE INC CL A 852234103 1826 11234 SH DFND 1 0 0 11234 SPROTT PHYSICAL GOLD TR UNIT 85207H104 476 31600 SH DFND 1 0 0 31600 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 277 15100 SH DFND 1 0 0 15100 SPDR SER TR S&P DIVID ETF 78464A763 366 3958 SH DFND 1 0 0 3958 SPDR SER TR NUVEEN BLMBRG SR 78468R739 248 4966 SH DFND 1 0 0 4966 SPDR SER TR NUVEEN BBG BRCLY 78464A284 407 7163 SH DFND 1 0 0 7163 SPDR SER TR S&P BIOTECH 78464A870 990 8884 SH DFND 1 0 0 8884 SPDR SER TR AEROSPACE DEF 78464A631 619 7084 SH DFND 1 0 0 7084 SPDR S&P 500 ETF TR TR UNIT 78462F103 2240 6664 SH DFND 1 0 0 6664 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 407 13924 SH DFND 1 0 0 13924 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 311 8502 SH DFND 1 0 0 8502 SPDR GOLD TR GOLD SHS 78463V107 461 2604 SH DFND 1 0 0 2604 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 2267 8152 SH DFND 1 0 0 8152 SOUTHWEST AIRLS CO COM 844741108 224 5983 SH DFND 1 0 0 5983 SOUTHERN CO COM 842587107 1167 21515 SH DFND 1 0 0 21515 SILVERCREST METALS INC COM 828363101 119 14000 SH DFND 1 0 0 14000 SHOPIFY INC CL A 82509L107 2769 2707 SH DFND 1 0 0 2707 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 401 2728 SH DFND 1 0 0 2728 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 341 5318 SH DFND 1 0 0 5318 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3648 31275 SH DFND 1 0 0 31275 SELECT SECTOR SPDR TR ENERGY 81369Y506 320 10687 SH DFND 1 0 0 10687 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 449 5836 SH DFND 1 0 0 5836 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 3063 29051 SH DFND 1 0 0 29051 SEA LTD SPONSORD ADS 81141R100 1539 9994 SH DFND 1 0 0 9994 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 612 8951 SH DFND 1 0 0 8951 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 606 11618 SH DFND 1 0 0 11618 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 216 2682 SH DFND 1 0 0 2682 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1137 9873 SH DFND 1 0 0 9873 SALESFORCE COM INC COM 79466L302 792 3153 SH DFND 1 0 0 3153 REGENERON PHARMACEUTICALS COM 75886F107 282 504 SH DFND 1 0 0 504 REAVES UTIL INCOME FD COM SH BEN INT 756158101 1003 32042 SH DFND 1 0 0 32042 RBB FD INC MFAM SMLCP GRWTH 74933W874 266 8646 SH DFND 1 0 0 8646 QUALCOMM INC COM 747525103 971 8250 SH DFND 1 0 0 8250 PROSHARES TR S&P 500 DV ARIST 74348A467 398 5520 SH DFND 1 0 0 5520 PROGRESSIVE CORP COM 743315103 212 2235 SH DFND 1 0 0 2235 PROCTER AND GAMBLE CO COM 742718109 1390 10004 SH DFND 1 0 0 10004 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1074 10536 SH DFND 1 0 0 10536 PIMCO ETF TR ACTIVE BD ETF 72201R775 210 1864 SH DFND 1 0 0 1864 PHILIP MORRIS INTL INC COM 718172109 512 6718 SH DFND 1 0 0 6718 PFIZER INC COM 717081103 597 16273 SH DFND 1 0 0 16273 PEPSICO INC COM 713448108 973 7021 SH DFND 1 0 0 7021 PAYPAL HLDGS INC COM 70450Y103 506 2569 SH DFND 1 0 0 2569 PACER FDS TR TRENDP US LAR CP 69374H105 205 6926 SH DFND 1 0 0 6926 PACER FDS TR TRENDPILOT US BD 69374H642 281 10776 SH DFND 1 0 0 10776 ORACLE CORP COM 68389X105 222 3725 SH DFND 1 0 0 3725 NVIDIA CORPORATION COM 67066G104 1762 3257 SH DFND 1 0 0 3257 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 953 82887 SH DFND 1 0 0 82887 NUVEEN HIGH INCOME 2020 TARG COM 67075L102 119 12550 SH DFND 1 0 0 12550 NUVEEN CORPORATE INCM NOVEME COM 67077N106 499 55610 SH DFND 1 0 0 55610 NUTANIX INC CL A 67059N108 307 13823 SH DFND 1 0 0 13823 NORTHERN LTS FD TR IV INTRNTINL ESG 66538H419 1095 43093 SH DFND 1 0 0 43093 NORTHERN LTS FD TR IV INSPIRE CORP 66538H633 718 27266 SH DFND 1 0 0 27266 NIKE INC CL B 654106103 283 2253 SH DFND 1 0 0 2253 NEXTERA ENERGY INC COM 65339F101 228 822 SH DFND 1 0 0 822 NEWAGE INC COM 650194103 329 189900 SH DFND 1 0 0 189900 NEW YORK MTG TR INC COM PAR $.02 649604501 113 42872 SH DFND 1 0 0 42872 NETFLIX INC COM 64110L106 1716 3431 SH DFND 1 0 0 3431 MONMOUTH REAL ESTATE INVT CO CL A 609720107 473 34178 SH DFND 1 0 0 34178 MICROSOFT CORP COM 594918104 3463 16464 SH DFND 1 0 0 16464 MERCK & CO. INC COM 58933Y105 773 9255 SH DFND 1 0 0 9255 MERCADOLIBRE INC COM 58733R102 200 185 SH DFND 1 0 0 185 MEDTRONIC PLC SHS G5960L103 252 2413 SH DFND 1 0 0 2413 MCDONALDS CORP COM 580135101 821 3739 SH DFND 1 0 0 3739 MASTERCARD INCORPORATED CL A 57636Q104 351 1038 SH DFND 1 0 0 1038 LOWES COS INC COM 548661107 696 4193 SH DFND 1 0 0 4193 LOCKHEED MARTIN CORP COM 539830109 735 1917 SH DFND 1 0 0 1917 LILLY ELI & CO COM 532457108 647 4373 SH DFND 1 0 0 4373 KINDER MORGAN INC DEL COM 49456B101 370 30018 SH DFND 1 0 0 30018 JPMORGAN CHASE & CO COM 46625H100 1453 15095 SH DFND 1 0 0 15095 JOHNSON & JOHNSON COM 478160104 1885 12659 SH DFND 1 0 0 12659 JD.COM INC SPON ADR CL A 47215P106 278 3583 SH DFND 1 0 0 3583 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 264 1854 SH DFND 1 0 0 1854 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 279 5492 SH DFND 1 0 0 5492 ISHARES U S ETF TR SHT MAT BD ETF 46431W507 246 4905 SH DFND 1 0 0 4905 ISHARES TR 10-20 YR TRS ETF 464288653 319 1914 SH DFND 1 0 0 1914 ISHARES TR SHORT TREAS BD 464288679 318 2870 SH DFND 1 0 0 2870 ISHARES TR CORE HIGH DV ETF 46429B663 673 8363 SH DFND 1 0 0 8363 ISHARES TR IBOXX INV CP ETF 464287242 681 5058 SH DFND 1 0 0 5058 ISHARES TR 20 YR TR BD ETF 464287432 528 3236 SH DFND 1 0 0 3236 ISHARES TR MRGSTR SM CP GR 464288604 291 1225 SH DFND 1 0 0 1225 ISHARES TR GLOBAL TECH ETF 464287291 289 1096 SH DFND 1 0 0 1096 ISHARES TR RUSSELL 2000 ETF 464287655 711 4745 SH DFND 1 0 0 4745 ISHARES TR CORE DIV GRWTH 46434V621 715 17969 SH DFND 1 0 0 17969 ISHARES TR S&P 500 VAL ETF 464287408 719 6390 SH DFND 1 0 0 6390 ISHARES TR BARCLAYS 7 10 YR 464287440 670 5501 SH DFND 1 0 0 5501 ISHARES TR MSCI EMG MKT ETF 464287234 324 7352 SH DFND 1 0 0 7352 ISHARES TR EAFE GRWTH ETF 464288885 360 4006 SH DFND 1 0 0 4006 ISHARES TR MSCI EAFE ETF 464287465 755 11869 SH DFND 1 0 0 11869 ISHARES TR 1 3 YR TREAS BD 464287457 505 5836 SH DFND 1 0 0 5836 ISHARES TR U.S. MED DVC ETF 464288810 630 2103 SH DFND 1 0 0 2103 ISHARES TR ESG AWR MSCI USA 46435G425 805 10557 SH DFND 1 0 0 10557 ISHARES TR ULTR SH TRM BD 46434V878 258 5111 SH DFND 1 0 0 5111 ISHARES TR RUS 1000 GRW ETF 464287614 254 1171 SH DFND 1 0 0 1171 ISHARES TR IBONDS DEC21 ETF 46434VBK5 369 14717 SH DFND 1 0 0 14717 ISHARES TR TRANS AVG ETF 464287192 250 1259 SH DFND 1 0 0 1259 ISHARES TR INTRM GOV CR ETF 464288612 460 3909 SH DFND 1 0 0 3909 ISHARES TR US TREAS BD ETF 46429B267 826 29543 SH DFND 1 0 0 29543 ISHARES TR 3 7 YR TREAS BD 464288661 247 1850 SH DFND 1 0 0 1850 ISHARES TR MSCI USA QLT FCT 46432F339 874 8427 SH DFND 1 0 0 8427 ISHARES TR MBS ETF 464288588 335 3035 SH DFND 1 0 0 3035 ISHARES TR RUS MD CP GR ETF 464287481 884 5116 SH DFND 1 0 0 5116 ISHARES TR RUS 2000 GRW ETF 464287648 992 4477 SH DFND 1 0 0 4477 ISHARES TR U.S. PHARMA ETF 464288836 234 1430 SH DFND 1 0 0 1430 ISHARES TR MSCI EAFE MIN VL 46429B689 1078 15829 SH DFND 1 0 0 15829 ISHARES TR CORE S&P500 ETF 464287200 11836 35221 SH DFND 1 0 0 35221 ISHARES TR MSCI USA MULTIFT 46434V282 1093 32909 SH DFND 1 0 0 32909 ISHARES TR CORE S&P TTL STK 464287150 1170 15505 SH DFND 1 0 0 15505 ISHARES TR CORE MSCI EAFE 46432F842 1174 19470 SH DFND 1 0 0 19470 ISHARES TR RUS 1000 VAL ETF 464287598 224 1893 SH DFND 1 0 0 1893 ISHARES TR PFD AND INCM SEC 464288687 1201 32938 SH DFND 1 0 0 32938 ISHARES TR IBOXX HI YD ETF 464288513 219 2605 SH DFND 1 0 0 2605 ISHARES TR RUS MID CAP ETF 464287499 218 3804 SH DFND 1 0 0 3804 ISHARES TR US AER DEF ETF 464288760 392 2477 SH DFND 1 0 0 2477 ISHARES TR RUS 1000 ETF 464287622 435 2327 SH DFND 1 0 0 2327 ISHARES TR ISHS 5-10YR INVT 464288638 213 3495 SH DFND 1 0 0 3495 ISHARES TR S&P 500 GRWT ETF 464287309 1880 8137 SH DFND 1 0 0 8137 ISHARES TR MRGSTR MD CP GRW 464288307 468 1459 SH DFND 1 0 0 1459 ISHARES TR MSCI USA MIN VOL 46429B697 1903 29857 SH DFND 1 0 0 29857 ISHARES TR NATIONAL MUN ETF 464288414 2052 17697 SH DFND 1 0 0 17697 ISHARES TR U.S. REAL ES ETF 464287739 412 5160 SH DFND 1 0 0 5160 ISHARES TR CORE US AGGBD ET 464287226 4313 36534 SH DFND 1 0 0 36534 ISHARES TR CORE S&P SCP ETF 464287804 5521 78614 SH DFND 1 0 0 78614 ISHARES TR CORE S&P MCP ETF 464287507 6171 33299 SH DFND 1 0 0 33299 ISHARES TR 0-5 YR TIPS ETF 46429B747 207 1994 SH DFND 1 0 0 1994 ISHARES TR CORE MSCI TOTAL 46432F834 516 8839 SH DFND 1 0 0 8839 ISHARES SILVER TR ISHARES 46428Q109 208 9598 SH DFND 1 0 0 9598 ISHARES INC CORE MSCI EMKT 46434G103 445 8432 SH DFND 1 0 0 8432 ISHARES INC MSCI EMERG MRKT 464286533 232 4200 SH DFND 1 0 0 4200 ISHARES INC ESG AWR MSCI EM 46434G863 206 5772 SH DFND 1 0 0 5772 ISHARES GOLD TRUST ISHARES 464285105 447 24828 SH DFND 1 0 0 24828 INVESCO TR INVT GRADE MUNS COM 46131M106 134 10822 SH DFND 1 0 0 10822 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 227 966 SH DFND 1 0 0 966 INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 46137V100 298 5340 SH DFND 1 0 0 5340 INVESCO EXCHANGE TRADED FD T DWA CYCLICALS 46137V803 468 7366 SH DFND 1 0 0 7366 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 229 2999 SH DFND 1 0 0 2999 INVESCO EXCHANGE TRADED FD T DWA HEALTHCARE 46137V852 465 3424 SH DFND 1 0 0 3424 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 521 4734 SH DFND 1 0 0 4734 INVESCO EXCHANGE TRADED FD T S&P500 BUY WRT 46137V399 297 15499 SH DFND 1 0 0 15499 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 511 6696 SH DFND 1 0 0 6696 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 CB 46138J502 360 16986 SH DFND 1 0 0 16986 INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 46138E339 227 4550 SH DFND 1 0 0 4550 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 816 15214 SH DFND 1 0 0 15214 INVESCO EXCH TRADED FD TR II DWA EMERG MKTS 46138E867 212 10986 SH DFND 1 0 0 10986 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 381 25859 SH DFND 1 0 0 25859 INVESCO EXCH TRADED FD TR II DWA DEV MKTS 46138E875 230 7421 SH DFND 1 0 0 7421 INTERNATIONAL PAPER CO COM 460146103 254 6259 SH DFND 1 0 0 6259 INTERNATIONAL BUSINESS MACHS COM 459200101 989 8132 SH DFND 1 0 0 8132 INTELLIA THERAPEUTICS INC COM 45826J105 286 14382 SH DFND 1 0 0 14382 INTEL CORP COM 458140100 548 10575 SH DFND 1 0 0 10575 INFOSYS LTD SPONSORED ADR 456788108 728 52728 SH DFND 1 0 0 52728 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 228 6777 SH DFND 1 0 0 6777 HUMANA INC COM 444859102 205 494 SH DFND 1 0 0 494 HONEYWELL INTL INC COM 438516106 344 2091 SH DFND 1 0 0 2091 HOME DEPOT INC COM 437076102 1664 5991 SH DFND 1 0 0 5991 GREENBRIER COS INC COM 393657101 217 7380 SH DFND 1 0 0 7380 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 434 10836 SH DFND 1 0 0 10836 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 207 7435 SH DFND 1 0 0 7435 GENPREX INC COM 372446104 118 35150 SH DFND 1 0 0 35150 GENERAL MLS INC COM 370334104 265 4293 SH DFND 1 0 0 4293 GENERAL ELECTRIC CO COM 369604103 174 27912 SH DFND 1 0 0 27912 FORD MTR CO DEL COM 345370860 166 24907 SH DFND 1 0 0 24907 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 1139 13570 SH DFND 1 0 0 13570 FIRST TR VALUE LINE DIVID IN SHS 33734H106 4769 151598 SH DFND 1 0 0 151598 FIRST TR NASDAQ 100 TECH IND SHS 337345102 696 5935 SH DFND 1 0 0 5935 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 230 2660 SH DFND 1 0 0 2660 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 447 9581 SH DFND 1 0 0 9581 FIRST TR EXCHNG TRADED FD VI CBOE EQT BUFER 33740F847 1172 35991 SH DFND 1 0 0 35991 FIRST TR EXCHNG TRADED FD VI VEST US BUFFER 33740F862 549 17000 SH DFND 1 0 0 17000 FIRST TR EXCHNG TRADED FD VI LOW DUR STRTGC 33740F870 338 16615 SH DFND 1 0 0 16615 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 821 14912 SH DFND 1 0 0 14912 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 321 16867 SH DFND 1 0 0 16867 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1099 21270 SH DFND 1 0 0 21270 FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 33738R100 534 39703 SH DFND 1 0 0 39703 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 245 5193 SH DFND 1 0 0 5193 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 983 22448 SH DFND 1 0 0 22448 FIRST TR EXCHANGE-TRADED FD NASDAQ TRANSN 33738R795 297 12742 SH DFND 1 0 0 12742 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 11318 188462 SH DFND 1 0 0 188462 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 675 14661 SH DFND 1 0 0 14661 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 354 10371 SH DFND 1 0 0 10371 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 430 4450 SH DFND 1 0 0 4450 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 58 10310 SH DFND 1 0 0 10310 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 316 17710 SH DFND 1 0 0 17710 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1490 18989 SH DFND 1 0 0 18989 FIRST TR EXCHANGE TRADED FD INDXX NEXTG ETF 33737K205 416 7028 SH DFND 1 0 0 7028 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 485 13947 SH DFND 1 0 0 13947 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 460 10822 SH DFND 1 0 0 10822 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 936 10300 SH DFND 1 0 0 10300 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 285 13159 SH DFND 1 0 0 13159 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 455 13685 SH DFND 1 0 0 13685 FIRST TR EXCH TRD ALPHDX FD GERMANY ALPHA 33737J190 208 4693 SH DFND 1 0 0 4693 FIRST TR EXCH TRD ALPHDX FD SWITZLND ALPHA 33737J232 225 4187 SH DFND 1 0 0 4187 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 436 22513 SH DFND 1 0 0 22513 FIRST TR BICK INDEX FD COM SHS 33733H107 210 7209 SH DFND 1 0 0 7209 FIDELITY COVINGTON TRUST MSCI HLTH CARE I 316092600 4354 82784 SH DFND 1 0 0 82784 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 361 831 SH DFND 1 0 0 831 FASTLY INC CL A 31188V100 395 4221 SH DFND 1 0 0 4221 FACEBOOK INC CL A 30303M102 1210 4620 SH DFND 1 0 0 4620 EXXON MOBIL CORP COM 30231G102 432 12592 SH DFND 1 0 0 12592 ETSY INC COM 29786A106 249 2045 SH DFND 1 0 0 2045 ETF SER SOLUTIONS DEFIANCE NEXT 26922A289 651 22850 SH DFND 1 0 0 22850 ETF SER SOLUTIONS APTUS DRAWDOWN 26922A784 981 29139 SH DFND 1 0 0 29139 ETF SER SOLUTIONS APTUS DEFINED 26922A388 884 28694 SH DFND 1 0 0 28694 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 214 4589 SH DFND 1 0 0 4589 ESSENTIAL UTILS INC COM 29670G102 271 6731 SH DFND 1 0 0 6731 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 154 28421 SH DFND 1 0 0 28421 EMERSON ELEC CO COM 291011104 302 4612 SH DFND 1 0 0 4612 EATON VANCE TX ADV GLBL DIV COM 27828S101 853 57371 SH DFND 1 0 0 57371 EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 160 12493 SH DFND 1 0 0 12493 EATON CORP PLC SHS G29183103 289 2835 SH DFND 1 0 0 2835 DUKE ENERGY CORP NEW COM NEW 26441C204 635 7173 SH DFND 1 0 0 7173 DOW INC COM 260557103 429 9110 SH DFND 1 0 0 9110 DOMINION ENERGY INC COM 25746U109 490 6213 SH DFND 1 0 0 6213 DOLLAR GEN CORP NEW COM 256677105 202 964 SH DFND 1 0 0 964 DOCUSIGN INC COM 256163106 222 1030 SH DFND 1 0 0 1030 DNP SELECT INCOME FD INC COM 23325P104 2094 207240 SH DFND 1 0 0 207240 DISNEY WALT CO COM DISNEY 254687106 1074 8656 SH DFND 1 0 0 8656 DISCOVER FINL SVCS COM 254709108 252 4367 SH DFND 1 0 0 4367 DEERE & CO COM 244199105 209 940 SH DFND 1 0 0 940 CVS HEALTH CORP COM 126650100 505 8639 SH DFND 1 0 0 8639 CUMMINS INC COM 231021106 496 2351 SH DFND 1 0 0 2351 CSX CORP COM 126408103 384 4939 SH DFND 1 0 0 4939 CROWDSTRIKE HLDGS INC CL A 22788C105 1469 10699 SH DFND 1 0 0 10699 COSTCO WHSL CORP NEW COM 22160K105 964 2716 SH DFND 1 0 0 2716 CORNING INC COM 219350105 409 12620 SH DFND 1 0 0 12620 CONSTELLATION BRANDS INC CL A 21036P108 239 1262 SH DFND 1 0 0 1262 CONSOLIDATED EDISON INC COM 209115104 248 3192 SH DFND 1 0 0 3192 COMCAST CORP NEW CL A 20030N101 467 10100 SH DFND 1 0 0 10100 COHEN & STEERS QUALITY INCOM COM 19247L106 152 13678 SH DFND 1 0 0 13678 COCA COLA CO COM 191216100 495 9946 SH DFND 1 0 0 9946 CISCO SYS INC COM 17275R102 1062 26965 SH DFND 1 0 0 26965 CHEVRON CORP NEW COM 166764100 513 7125 SH DFND 1 0 0 7125 CHARTER COMMUNICATIONS INC N CL A 16119P108 209 335 SH DFND 1 0 0 335 CATERPILLAR INC DEL COM 149123101 287 1921 SH DFND 1 0 0 1921 BROADCOM INC COM 11135F101 644 1768 SH DFND 1 0 0 1768 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 42 18885 SH DFND 1 0 0 18885 BRISTOL-MYERS SQUIBB CO COM 110122108 1007 16708 SH DFND 1 0 0 16708 BP PLC SPONSORED ADR 055622104 231 13235 SH DFND 1 0 0 13235 BOX INC CL A 10316T104 423 24339 SH DFND 1 0 0 24339 BOEING CO COM 097023105 798 4831 SH DFND 1 0 0 4831 BLACKSTONE GROUP INC COM CL A 09260D107 1133 21705 SH DFND 1 0 0 21705 BLACKROCK INC COM 09247X101 326 579 SH DFND 1 0 0 579 BK OF AMERICA CORP 7.25%CNV PFD L 060505682 937 623 SH DFND 1 0 0 623 BK OF AMERICA CORP COM 060505104 484 20099 SH DFND 1 0 0 20099 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1025 4814 SH DFND 1 0 0 4814 BARCLAYS BANK PLC IPATH SHILR CAPE 06742A669 764 4899 SH DFND 1 0 0 4899 BABCOCK & WILCOX ENTERPRISES COM 05614L209 43 18500 SH DFND 1 0 0 18500 B2GOLD CORP COM 11777Q209 575 87650 SH DFND 1 0 0 87650 AT&T INC COM 00206R102 1367 47954 SH DFND 1 0 0 47954 ARK ETF TR NEXT GNRTN INTER 00214Q401 807 7431 SH DFND 1 0 0 7431 ARK ETF TR FINTECH INNOVA 00214Q708 324 8160 SH DFND 1 0 0 8160 ARK ETF TR GENOMIC REV ETF 00214Q302 554 8703 SH DFND 1 0 0 8703 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 350 6098 SH DFND 1 0 0 6098 ARK ETF TR INNOVATION ETF 00214Q104 3878 42149 SH DFND 1 0 0 42149 APPLE INC COM 037833100 10772 93038 SH DFND 1 0 0 93038 AMGEN INC COM 031162100 1167 4592 SH DFND 1 0 0 4592 AMETEK INC COM 031100100 3820 38428 SH DFND 1 0 0 38428 AMERICAN TOWER CORP NEW COM 03027X100 386 1591 SH DFND 1 0 0 1591 AMAZON COM INC COM 023135106 7450 2366 SH DFND 1 0 0 2366 ALTRIA GROUP INC COM 02209S103 428 10843 SH DFND 1 0 0 10843 ALPHABET INC CAP STK CL A 02079K305 582 397 SH DFND 1 0 0 397 ALPHABET INC CAP STK CL C 02079K107 992 675 SH DFND 1 0 0 675 ALBEMARLE CORP COM 012653101 343 3821 SH DFND 1 0 0 3821 ADOBE SYSTEMS INCORPORATED COM 00724F101 318 648 SH DFND 1 0 0 648 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 298 1321 SH DFND 1 0 0 1321 ACCELERATE DIAGNOSTICS INC COM 00430H102 129 12140 SH DFND 1 0 0 12140 ABBVIE INC COM 00287Y109 1337 15260 SH DFND 1 0 0 15260 ABBOTT LABS COM 002824100 491 4508 SH DFND 1 0 0 4508 3M CO COM 88579Y101 347 2164 SH DFND 1 0 0 2164