0001020918-21-000006.txt : 20210719
0001020918-21-000006.hdr.sgml : 20210719
20210719150236
ACCESSION NUMBER: 0001020918-21-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210630
FILED AS OF DATE: 20210719
DATE AS OF CHANGE: 20210719
EFFECTIVENESS DATE: 20210719
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROTHSCHILD INVESTMENT CORP /IL
CENTRAL INDEX KEY: 0001020918
IRS NUMBER: 362708660
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05772
FILM NUMBER: 211097737
BUSINESS ADDRESS:
STREET 1: 311 SOUTH WACKER DRIVE
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 3129838900
MAIL ADDRESS:
STREET 1: 311 S WACKER DR
STREET 2: SUITE 6500
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
primary_doc.xml
13F-HR
LIVE
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0001020918
XXXXXXXX
06-30-2021
06-30-2021
ROTHSCHILD INVESTMENT CORP /IL
311 S WACKER DR
SUITE 6500
CHICAGO
IL
60606
13F HOLDINGS REPORT
028-05772
N
Bradley C. Drake
Executive Vice President
312-983-8956
Bradley C. Drake
Chicago
IL
07-11-2019
0
556
1257031
false
INFORMATION TABLE
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inftable.xml
3M CO COM
COM
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SH
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0
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COM
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SH
DFND
0
0
42318
ABBVIE INC COM
COM
00287Y109
19015
168810
SH
DFND
0
0
168810
ACTIVISION BLIZZARD INC COM
COM
00507V109
640
6705
SH
DFND
0
0
6705
ADAPTIVE BIOTECHNOLOGI COM
COM
00650f109
204
5000
SH
DFND
0
0
5000
ADOBE SYS INC
COM
00724F101
4078
6963
SH
DFND
0
0
6963
ADVANCE AUTO PARTS INC COM
COM
00751Y106
1083
5277
SH
SOLE
5277
0
0
ADVANCE AUTO PARTS INC COM
COM
00751Y106
87
422
SH
DFND
0
0
422
ADVANCED MICRO DEVICES
COM
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354
3765
SH
DFND
0
0
3765
AFFILIATED MNGRS GRP COM
COM
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705
4572
SH
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0
0
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COM
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33
211
SH
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211
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COM
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2063
SH
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0
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2063
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COM
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3472
SH
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3472
ALLSTATE CORP COM
COM
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SH
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ALLY FINL INC COM
COM
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34150
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COM
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COM
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COM
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COM
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COM
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AMAZON COM INC COM
COM
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COM
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COM
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COM
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COM
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AMERISOURCEBERGEN CORP COM
COM
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AMGEN INC
COM
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AMN HEALTHCARE SRVCS COM
COM
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0
0
AMN HEALTHCARE SRVCS COM
COM
001744101
120
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SH
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ANALOG DEVICES INC
COM
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0
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ANNALY CAP MGMT INC COM
COM
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SH
DFND
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AON PLC REG SHS
COM
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COM
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APOLLO GLOBAL MGMT INC CL A
COM
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APPLE COMPUTER INC
COM
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COM
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COM
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ARES CAP CORP COM
COM
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599
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SH
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ASSOCIATED BANCORP
COM
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AT&T INC COM
COM
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COM
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COM
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ATHIRA PHARMA INC COM
COM
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AURINIA PHARMACEUTICAL COM
COM
05156v102
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SH
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AUTOLIV INC COM
COM
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COM
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COM
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COM
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COM
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BARRICK GOLD CORP
COM
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COM
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COM
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BERKSHIRE HATHAWAY INC CL B
COM
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COM
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COM
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BIOMARIN PHARMACEUTICA COM
COM
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BLACKSTONE GROUP INC COM CL A
COM
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BLACKSTONE GSO STRATEG COM SHS
COM
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BLACKSTONE MTG TR INC COM CL A
COM
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BOEING COMPANY
COM
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BOOKING HLDGS INC COM
COM
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SH
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BOOT BARN HLDGS INC COM
COM
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BOOT BARN HLDGS INC COM
COM
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577
BORG WARNER AUTOMOTIVE INC COM
COM
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0
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BOSTON SCIENTIFIC CORP COM
COM
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SH
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BOSTON SCIENTIFIC CORP COM
COM
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COM
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COM
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COM
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SH
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BRISTOL MYERS SQUIBB CO
COM
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BROADCOM INC COM
COM
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BROOKS AUTOMATION INC COM
COM
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SH
SOLE
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BROOKS AUTOMATION INC COM
COM
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SH
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BUNGE LIMITED COM
COM
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CALERES INC COM
COM
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SH
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CALERES INC COM
COM
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SH
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CANADIAN NAT RES LTD COM
COM
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CANADIAN NAT RES LTD COM
COM
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CANADIAN NATL RY CO COM
COM
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SH
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COM
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SH
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CARA THERAPEUTICS INC COM
COM
140755109
534
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SH
DFND
0
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CARNIVAL CORP
COM
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SH
DFND
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CARRIER GLOBAL CORP COM
COM
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299
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SH
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CATERPILLAR TRACTOR
COM
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SH
DFND
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CBOE HLDGS INC COM
COM
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SH
DFND
0
0
11127
CERIDIAN HCM HLDG INC COM
COM
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CHARTER COMMUNICATIONS INC NEW
COM
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SH
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CHARTER COMMUNICATIONS INC NEW
COM
16119p108
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SH
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COM
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SH
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161
0
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CHEVRON CORP NEW COM
COM
166764100
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SH
DFND
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CIENA CORP NEW
COM
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30186
SH
SOLE
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0
CIENA CORP NEW
COM
171779309
121
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SH
DFND
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CIMAREX ENERGY CO COM
COM
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472
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SH
SOLE
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0
0
CIMAREX ENERGY CO COM
COM
171798101
79
1093
SH
DFND
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1093
CISCO SYS INC
COM
17275R102
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355
SH
SOLE
355
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CISCO SYS INC
COM
17275R102
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SH
DFND
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CITIGROUP INC COM
COM
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SH
DFND
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CME GROUP INC COM
COM
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SH
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COCA COLA COMPANY
COM
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SH
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COCA COLA COMPANY
COM
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COHEN & STEERS QTY RLY COM
COM
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COHU INC COM
COM
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388
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SH
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COHU INC COM
COM
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78
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SH
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COINBASE GLOBAL INC COM CL A
COM
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SH
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COLGATE PALMOLIVE COMPANY
COM
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SH
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COMCAST CORPORATION CLASS A
COM
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COMPUGEN LTD ORD
COM
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CONAGRA BRANDS INC COM
COM
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SH
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CONOCOPHILLIPS
COM
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SH
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COM
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CORNING INC
COM
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CORNING INC
COM
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SH
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CORTEVA INC COM
COM
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COM
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COVANTA HOLDINGS CP
COM
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CRESCO LABS INC SUB VTG SHS
COM
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COM
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CROWN CASTLE INTL CORP NEW COM
COM
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CUMMINS ENGINE CO INC
COM
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SH
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0
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CUSTOMERS BANCORP INC COM
COM
23204G100
225
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SH
SOLE
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CVS HEALTH CORPORATION
COM
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SH
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DANAHER CORP DEL COM
COM
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SH
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DARDEN RESTAURANTS, INC.
COM
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COM
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SH
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COM
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DEL TACO RESTAURANTS
COM
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SH
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DENTSPLY SIRONA INC COM
COM
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SH
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DESKTOP METAL INC COM CL A
COM
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SH
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14000
DIEBOLD INC COM
COM
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SH
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DIGITAL RLTY TR INC COM
COM
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SH
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COM
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DIMECO INC COM
COM
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SH
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COM
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DISCOVERY COMMUNICATIONS INC C
COM
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SH
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DOLLAR GENERAL CORP
COM
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SH
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COM
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SH
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DOLLAR TREE INC COM
COM
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SH
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DOLLAR TREE INC COM
COM
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SH
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DOMINION ENERGY INC COM
COM
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DOMINOS PIZZA INC COM
COM
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SH
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DOW INC COM
COM
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SH
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DRAFTKINGS INC COM CL A
COM
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DTE ENERGY CO COM
COM
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DUKE ENERGY COMPANY
COM
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SH
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DUPONT DE NEMOURS INC COM
COM
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SH
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EBAY INC COM
COM
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SH
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ECOLAB INC COM
COM
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COM
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COM
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EQUIFAX INC
COM
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COM
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COM
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ESSENTIAL UTILS INC COM
COM
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ETHAN ALLEN INTERIORS COM
COM
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COM
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SH
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EXELON CORP
COM
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SH
DFND
0
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EXPEDIA INC DEL COM
COM
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SH
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EXXON MOBIL CORP COM
COM
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SH
DFND
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F5 NETWORKS INC COM
COM
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FACEBOOK INC CL A
COM
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COM
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COM
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COM
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COM
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FIRST N B ANCHRAG ALAS COM
COM
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FLUOR CORP NEW
COM
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FORD MOTOR COMPANY
COM
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FULLER H B CO COM
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FULLER H B CO COM
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DFND
0
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GATES INDUSTRIAL CORPR ORD SHS
COM
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GATES INDUSTRIAL CORPR ORD SHS
COM
g39108108
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GENERAC HLDGS INC COM
COM
368736104
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0
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GENERAL DYNAMICS
COM
369550108
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50
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GENERAL ELECTRIC CO
COM
369604103
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0
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GENERAL MILLS INC
COM
370334104
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DFND
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0
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GENERAL MTRS CO COM
COM
37045v100
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0
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GILEAD SCIENCES INC COM
COM
375558103
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SH
DFND
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0
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GLAXO SMITHKLINE PLC SPONS ADR
COM
37733w105
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DFND
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0
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GLOBUS MED INC CL A
COM
379577208
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GLOBUS MED INC CL A
COM
379577208
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362
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DFND
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362
GOLDMAN SACHS BDC INC SHS
COM
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0
13593
GOLDMAN SACHS GROUP COM
COM
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0
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GRAINGER W W INC
COM
384802104
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GRAINGER W W INC
COM
384802104
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GRAYSCALE BITCOIN TR BTC SHS
COM
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0
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GRAYSCALE ETHEREUM TR SHS
COM
389638107
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DFND
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0
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GREEN CURES & BOTANICL COM NEW
COM
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GREEN THUMB INDUSTRIES SUB VTG
COM
39342l108
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DFND
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0
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HALLIBURTON COMPANY
COM
406216101
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12900
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DFND
0
0
12900
HANES BRANDS INC COM
COM
410345102
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DFND
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0
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HCA HOLDINGS INC COM
COM
40412c101
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DFND
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0
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HOME DEPOT INC
COM
437076102
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DFND
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0
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HONEYWELL INTL
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200
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ILIKA PLC ORD SHS
COM
G47602100
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DFND
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0
17000
ILLINOIS TOOL WORKS
COM
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DFND
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ILLUMINA INC COM
COM
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0
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INTEL CORPORATION
COM
458140100
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0
100601
INTERNATIONAL BUSINESS MACHINE
COM
459200101
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0
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INTERNATIONAL PAPER CO
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460146103
886
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DFND
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0
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INTUITIVE SURGICAL INC COM NEW
COM
46120e602
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0
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INVESCO ETF TR II S&P 500 LOW
COM
46138E354
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INVESCO ETF TR S&P 500 EQUAL W
COM
46137V357
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INVESCO EXCHNG TRADED S&P MIDC
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46138e198
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INVESCO LTD SHS
COM
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0
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INVITATION HOMES INC COM
COM
46187w107
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DFND
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0
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IPG PHOTONICS CORP COM
COM
44980x109
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IPG PHOTONICS CORP COM
COM
44980x109
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227
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227
ISHARES INC MSCI JAPAN
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46434g822
287
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ISHARES SILVER TRUST ISHARES
COM
46428q109
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ISHARES TR CONSER ALLOC ETF
COM
464289883
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DFND
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0
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ISHARES TR FTSE XINHAU HK CHIN
COM
464287184
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DFND
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0
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ISHARES TR GRWT ALLOCAT ETF
COM
464289867
280
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DFND
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ISHARES TR MSCI EAFE IDX
COM
464287465
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DFND
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0
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ISHARES TR NASDQ BIO INDX
COM
464287556
262
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DFND
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0
1600
ISHARES TR RUSL 2000 GROW
COM
464287648
250
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DFND
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0
801
ISHARES TR RUSSELL MIDCAP
COM
464287499
262
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DFND
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0
3301
ISHARES TR RUSSELL1000GRW
COM
464287614
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0
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ISHARES TR S&P SMLCAP 600
COM
464287804
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J P MORGAN CHASE & CO COM
COM
46625h100
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JOHNSON & JOHNSON
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478160104
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KBR INC COM
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KBR INC COM
COM
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KELLOGG COMPANY
COM
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KIMBERLY CLARK CORP
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KINDER MORGAN INC DEL COM
COM
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KKR & CO INC CL A
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KLA CORP COM
COM
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KRAFT HEINZ CO COM
COM
500754106
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KRANESHARES TR CSI CHI INTERNE
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KROGER CO
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KROGER CO
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LAM RESEARCH
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LAMB WESTON HLDGS INC COM
COM
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LAZARD LTD SHS A
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LEAR CORP COM NEW
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LILLY ELI & COMPANY
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532457108
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LINCOLN NATL CORP IND COM
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LINDE PLC
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LOCKHEED MARTIN CORP
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LOWES COS INC COM
COM
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LUMENTUM HLDGS INC COM
COM
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LUMENTUM HLDGS INC COM
COM
55024u109
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LYONDELLBASELL INDUSTR SHS - A
COM
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MACYS INC COM
COM
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MARRIOTT INTL INC COM
COM
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MARVELL TECH GROUP LTD ORD
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MASCO CORP COM
COM
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MASTERCARD INC COM
COM
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MCDONALDS CORPORATION
COM
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MCDONALDS CORPORATION
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MEDICAL PPTYS TR INC COM
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MEDTRONIC PLC SHS
COM
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MERCK & COMPANY INC.
COM
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METLIFE INC COM
COM
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MICROCHIP TECHNOLOGY COM
COM
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MICROCHIP TECHNOLOGY COM
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595017104
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MICROSOFT CORP
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MICROSTRATEGY INC CL A NEW
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MIRUM PHARMACEUTICALS COM
COM
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MONDELEZ INTL INC CL A
COM
609207105
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MORGAN STANLEY COM NEW
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MOTOROLA SOLUTIONS INC COM NEW
COM
620076307
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NESTLE S A REP RG SH ADR
COM
641069406
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NEW MTN FIN CORP COM
COM
647551100
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NEW RESIDENTIAL INVT CORP COM
COM
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NEWELL BRAND INC.
COM
651229106
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NEXTERA ENERGY INC COM
COM
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NIKE INC CLASS B
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NISOURCE INC. COM
COM
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NORFOLK SOUTHERN CORP
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NORTHERN TRUST CORPORATION
COM
665859104
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NORTHROP GRUMMAN CORP COM
COM
666807102
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NOVARTIS A G SPONSORED ADR
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NOVO NORDISK
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NUCOR CORP
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NVIDIA CORP COM
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OCCIDENTAL PETE CORP
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OLD REP INTL CORP
COM
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OLD SECOND BANCORP INC COM
COM
680277100
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ONEOK INC NEW COM
COM
682680103
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OPENDOOR TECHNOLOGIES INC COM
COM
683712103
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ORACLE SYS CORP
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ORACLE SYS CORP
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ORGANON & CO
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OSHKOSH TRUCK CORP
COM
688239201
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OSHKOSH TRUCK CORP
COM
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OTIS WORLDWIDE CORP COM
COM
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OZOP ENERGY SOLUTIONS COM
COM
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PACIRA BIOSCIENCES COM
COM
695127100
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PACIRA BIOSCIENCES COM
COM
695127100
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PALANTIR TECHNOLOGIES CL A
COM
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PALO ALTO NETWORKS INC COM
COM
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PARKER HANNIFIN CORP COM
COM
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PAYPAL INC COM
COM
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PELOTON INTERACTIVE IN CL A CO
COM
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PENN NATL GAMING INC COM
COM
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PEPSICO INC
COM
713448108
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PEPSICO INC
COM
713448108
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PETMED EXPRESS INC COM
COM
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PFIZER INC
COM
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PHILIP MORRIS INTL INC COM
COM
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PHILLIPS 66 COM
COM
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PINNACLE FINL PARTNERS COM
COM
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PINNACLE FINL PARTNERS COM
COM
72346q104
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PINNACLE WEST CAPITAL CORP USD
COM
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PIONEER NAT RES CO COM
COM
723787107
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PIONEER NAT RES CO COM
COM
723787107
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PITNEY BOWES INC
COM
724479100
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PNC FINANCIAL CORP
COM
693475105
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PNC FINANCIAL CORP
COM
693475105
317
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0
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POLARIS INDS INC
COM
731068102
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0
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POSEIDA THERAPEUTICS I COM
COM
73730p108
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PPL CORPORATION
COM
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PRECISION ASSESSMENT COM
COM
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PRICE T ROWE GROUP INC COM
COM
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PROCTER & GAMBLE CO
COM
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PROGRESSIVE CORP OHIO
COM
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PROSHARES TR SHORT S&P 500
COM
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PROSHRS TR SHRT 20PLUS YR TR E
COM
74347x849
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PUBLIC STORAGE INC COM
COM
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QRS MUSIC TECHNOLOGIES COM
COM
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QUALCOMM INC
COM
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QUOTIENT TECHNOLOGY IN COM
COM
749119103
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QUOTIENT TECHNOLOGY IN COM
COM
749119103
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RAYTHEON TECHNOLOGIES CORP
COM
75513e101
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SH
DFND
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0
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REAL BRANDS INC COM
COM
75584q108
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DFND
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REGENERON PHARMA INC COM
COM
75886f107
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SH
DFND
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RESTAURANT BRANDS INTL INC COM
COM
76131d103
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SH
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0
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ROBLOX CORP CL A
COM
771049103
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SH
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SADDLE RANCH MEDIA INC COM
COM
786239103
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SH
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SALESFORCE.COM INC COM
COM
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SCHWEITZER-MAUDUIT INTL INC CO
COM
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SCHWEITZER-MAUDUIT INTL INC CO
COM
808541106
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SEAGATE TECHNOLOGY PLC SHS
COM
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SECTOR SPIDER TR TECHNOLOGY
COM
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SEMPRA ENERGY COM
COM
816851109
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SENSIENT TECH CORP COM
COM
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SHERWIN WILLIAMS CO
COM
824348106
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SIMON PPTY GROUP INC COM
COM
828806109
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SKECHERS U S A INC CL A
COM
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SKECHERS U S A INC CL A
COM
830566105
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SNAP INC CL A
COM
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SOUTHCREST FINL GROUP COM
COM
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0
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SOUTHERN COMPANY
COM
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0
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SPDR DOW JONES INDL AVG ETF
COM
78467x109
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SPDR SER TR S&P HOMEBUILDERS E
COM
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SPDR SERIES TRUST S&P REGL BKG
COM
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SPIRIT AEROSYS HLDGS I COM CL
COM
848574109
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SPROTT FOCUS TR INC COM
COM
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SPX FLOW INC COM
COM
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SPX FLOW INC COM
COM
78469x107
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STANLEY BLACK & DECKER COM
COM
854502101
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STANLEY BLACK & DECKER COM
COM
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STARBUCKS CORP COM
COM
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STARWOOD PPTY TR INC COM
COM
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STATE STREET BOSTON CORP
COM
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STRYKER CORP
COM
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0
0
34811
SYNCHRONY FINL COM
COM
87165b103
330
6800
SH
DFND
0
0
6800
SYSCO CORP
COM
871829107
10092
129807
SH
DFND
0
0
129807
TARGET CORP COM
COM
87612E106
2164
8952
SH
DFND
0
0
8952
TE CONNECTIVITY LTD
COM
H84989104
1351
9993
SH
DFND
0
0
9993
TECNOGLASS INC SHS
COM
g87264100
741
34633
SH
SOLE
34633
0
0
TECNOGLASS INC SHS
COM
g87264100
65
3040
SH
DFND
0
0
3040
TEGNA INC
COM
87901j105
1028
54801
SH
DFND
0
0
54801
TESLA MTRS INC COM
COM
88160R101
716
1053
SH
DFND
0
0
1053
TEXAS PACIFIC LAND
COM
88262p102
336
210
SH
DFND
0
0
210
THE CHARLES SCHWAB CORP
COM
808513105
504
6926
SH
DFND
0
0
6926
THERMO FISHER SCIENTIFIC
COM
883556102
4739
9395
SH
SOLE
9395
0
0
THERMO FISHER SCIENTIFIC
COM
883556102
12271
24324
SH
DFND
0
0
24324
TILLYS INC CL A
COM
886885102
647
40500
SH
DFND
0
0
40500
TJX COMPANIES INC (NEW)
COM
872540109
6901
102359
SH
DFND
0
0
102359
TRACTOR SUPPLY CO COM
COM
892356106
248
1334
SH
SOLE
1334
0
0
TRACTOR SUPPLY CO COM
COM
892356106
37
199
SH
DFND
0
0
199
TRAVELERS COS INC COM
COM
89417E109
461
3076
SH
DFND
0
0
3076
TRUIST FINL CORP COM
COM
89832q109
8460
152436
SH
DFND
0
0
152436
TRULIEVE CANNABIS CORP COM
COM
89788c104
679
18100
SH
DFND
0
0
18100
UBER TECHNOLOGIES INC COM
COM
90353t100
2313
46140
SH
DFND
0
0
46140
ULTA SALON COSM & FRAG COM
COM
90384s303
972
2810
SH
DFND
0
0
2810
UMBRA APPLIED TECHNOLO COM
COM
90419p100
5
250000
SH
DFND
0
0
250000
UNION PACIFIC CORPORATION
COM
907818108
1563
7106
SH
DFND
0
0
7106
UNITED PARCEL SERVICE CL B
COM
911312106
1292
6212
SH
DFND
0
0
6212
UNITEDHEALTH GRP INC
COM
91324p102
945
2360
SH
SOLE
2360
0
0
UNITEDHEALTH GRP INC
COM
91324p102
1042
2603
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DFND
0
0
2603
UNIVERSAL DISPLAY CORP COM
COM
91347P105
1862
8375
SH
DFND
0
0
8375
UNIVERSAL HEALTH RLTY INCOME S
COM
91359E105
397
6445
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DFND
0
0
6445
US BANCORP DEL COM
COM
902973304
19
325
SH
SOLE
325
0
0
US BANCORP DEL COM
COM
902973304
836
14672
SH
DFND
0
0
14672
VANGUARD FTSE EMERGING MARKETS
COM
922042858
210
3861
SH
DFND
0
0
3861
VANGUARD INDEX FDS
COM
922908363
1183
3007
SH
DFND
0
0
3007
VANGUARD INDEX FDS EXTEND MKT
COM
922908652
7640
40510
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DFND
0
0
40510
VANGUARD INDEX FDS GROWTH ETF
COM
922908736
2239
7807
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DFND
0
0
7807
VANGUARD INDEX FDS REIT ETF
COM
922908553
1570
15425
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DFND
0
0
15425
VANGUARD INDEX FDS SMALL CP ET
COM
922908751
225
1000
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DFND
0
0
1000
VANGUARD INDEX FDS VALUE ETF
COM
922908744
275
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SH
DFND
0
0
2003
VANGUARD INTL EQUITY I TT WRLD
COM
922042742
787
7600
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DFND
0
0
7600
VANGUARD SPECIALIZED DIV APP E
COM
921908844
9513
61458
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DFND
0
0
61458
VANGUARD WHITEHALL FDS HIGH DI
COM
921946406
710
6772
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DFND
0
0
6772
VANGUARD WORLD FDS INF TECH ET
COM
92204a702
240
601
SH
DFND
0
0
601
VANGUARD WORLD FDS UTILITIES E
COM
92204a876
554
3990
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DFND
0
0
3990
VECTOR GROUP LTD COM
COM
92240M108
618
43721
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DFND
0
0
43721
VECTRUS INC COM
COM
92242t101
359
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7549
0
0
VECTRUS INC COM
COM
92242t101
35
742
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DFND
0
0
742
VEEVA SYS INC CL A COM
COM
922475108
708
2277
SH
DFND
0
0
2277
VENTAS INC COM
COM
92276F100
3278
57400
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DFND
0
200
57200
VERIZON COMMUNICATIONS COM
COM
92343v104
10024
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DFND
0
0
178897
VIATRIS INC COM
COM
92556v106
958
67042
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DFND
0
24
67018
VICTORY CAP HLDGS INC COM CL A
COM
92645B103
244
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SOLE
7549
0
0
VIR BIOTECHNOLOGY INC COM
COM
92764n102
1917
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0
0
40550
VISA INC COM CL A
COM
92826c839
836
3577
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SOLE
3577
0
0
VISA INC COM CL A
COM
92826c839
6564
28075
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DFND
0
0
28075
VONTIER CORP.
COM
928881101
7618
233836
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DFND
0
300
233536
WAL MART STORES INC
COM
931142103
5200
36875
SH
DFND
0
0
36875
WALGREEN BOOTS ALLIANCE INC CO
COM
931427108
289
5498
SH
SOLE
5498
0
0
WALGREEN BOOTS ALLIANCE INC CO
COM
931427108
9554
181604
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DFND
0
0
181604
WALT DISNEY PRODUCTIONS
COM
254687106
625
3558
SH
SOLE
3558
0
0
WALT DISNEY PRODUCTIONS
COM
254687106
11584
65903
SH
DFND
0
0
65903
WASTE MGMT INC COM
COM
94106L109
11718
83631
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DFND
0
0
83631
WEC ENERGY GROUP INC COM
COM
92939u106
2715
30523
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DFND
0
0
30523
WELLS FARGO & COMPANY
COM
949746101
2107
46523
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DFND
0
0
46523
WESTAIM CORP COM NEW
COM
956909303
43
20000
SH
DFND
0
0
20000
WILLIAMS COS INC DEL COM
COM
969457100
330
12415
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DFND
0
0
12415
WILLSCOT MOBIL MINI HL COM CL
COM
971378104
381
13659
SH
SOLE
13659
0
0
WILLSCOT MOBIL MINI HL COM CL
COM
971378104
30
1087
SH
DFND
0
0
1087
WINTRUST FINL CORP COM
COM
97650W108
152
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SH
SOLE
2012
0
0
WINTRUST FINL CORP COM
COM
97650W108
131
1731
SH
DFND
0
0
1731
WNS HOLDINGS LTD SPON ADR
COM
92932M101
336
4201
SH
SOLE
4201
0
0
YETI HLDGS INC COM
COM
98585x104
121
1317
SH
SOLE
1317
0
0
YETI HLDGS INC COM
COM
98585x104
9726
105925
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DFND
0
0
105925
YUM BRANDS INC COM
COM
988498101
224
1945
SH
DFND
0
0
1945
ZEBRA TECHNOLOGIES CP CL A
COM
989207105
244
460
SH
SOLE
460
0
0
ZEBRA TECHNOLOGIES CP CL A
COM
989207105
659
1244
SH
DFND
0
0
1244
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
447
2780
SH
DFND
0
0
2780
ZOETIS INC CL A
COM
98978v103
419
2249
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DFND
0
0
2249
ALIBABA GROUP HLDG LTD SPONSOR
ADR
01609w102
2520
11111
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DFND
0
0
11111
LEGAL & GEN GROUP PLC SPONSORE
ADR
52463h103
462
25709
SH
DFND
0
0
25709
LI AUTO INC SPONSORED ADS
ADR
50202m102
292
8345
SH
DFND
0
0
8345
RIO TINTO PLC SPONSORED ADR
ADR
767204100
201
2400
SH
DFND
0
0
2400
ROCHE HLDG LTD SPONSORED ADR
ADR
771195104
350
7441
SH
DFND
0
0
7441
ROYAL DUTCH SHELL B
ADR
780259107
240
6182
SH
DFND
0
0
6182
SAFRAN S A SPON ADR
ADR
786584102
478
13755
SH
DFND
0
0
13755
SANOFI SPONSORED ADR
ADR
80105n105
342
6493
SH
DFND
0
0
6493
TAIWAN SEMICONDUCTOR SPONSORED
ADR
874039100
552
4598
SH
DFND
0
0
4598
TAKEDA PHARMACEUTICAL CO. LTD
ADR
874060205
554
32906
SH
DFND
0
0
32906
TENCENT HLDGS LTD ADR
ADR
88032q109
3662
48627
SH
DFND
0
0
48627
TOYOTA MOTOR CORP SP ADR REP2C
ADR
892331307
209
1195
SH
DFND
0
0
1195
TRIP COM GROUP LTD ADS
ADR
89677q107
744
20975
SH
DFND
0
0
20975
VOLKSWAGEN AG UNSPONSRED ADR
ADR
928662600
421
12795
SH
DFND
0
0
12795
BLACKSTONE REAL ESTATE INC TR
RE
per092613
3164
254966
SH
DFND
0
0
254966
ALLIANCEBERNSTEIN HLDGS LP UNI
LP
01881g106
472
10134
SH
DFND
0
0
10134
CRESSET DIVERSIFIED QOZ FUND L
LP
225lp5112
250
250000
SH
DFND
0
0
250000
ENTERPRISE PRODS PARTNERS LP C
LP
293792107
2288
94800
SH
DFND
0
0
94800
JVM PRFD EQTY FD - 2020 SERIES
LP
670cc1024
50
50000
SH
DFND
0
0
50000
MAGELLAN MIDSTREAM PARTNERS LP
LP
559080106
3375
69000
SH
DFND
0
250
68750
PLAINS ALL AM PIPELINE UNIT LT
LP
726503105
143
12600
SH
DFND
0
0
12600
ADVISORS SER TR POPLAR FRST CO
MF
00770x535
6623
202716
SH
DFND
0
0
202716
AMCAP FD INC CL F 3
MF
023375777
261
6095
SH
DFND
0
0
6095
AMER FDS RET INC PORTF ENCHANC
MF
02631l528
244
17924
SH
DFND
0
0
17924
AMERICAN BALANCED FD SHS F-2 C
MF
024071821
948
29055
SH
DFND
0
0
29055
AMERICAN DEV WRLD GRWTH&INC FD
MF
02630f506
6740
497069
SH
DFND
0
0
497069
AMERICAN FDS PORTFOLIO BALANCE
MF
02630y224
496
26868
SH
DFND
0
0
26868
AMERICAN FDS PORTFOLIO GBL GRO
MF
02630r344
492
20173
SH
DFND
0
0
20173
AMERICAN FDS PORTFOLIO GRW & I
MF
02630r609
776
40952
SH
DFND
0
0
40952
AMERICAN FDS TARGET DA 2030 TR
MF
02631v500
697
38421
SH
DFND
0
0
38421
AMERICAN FDS TARGET DA 2045 TR
MF
02631v807
374
17727
SH
DFND
0
0
17727
AMERICAN FUNDS DEV WLD GRWTH &
MF
02630f779
1685
124263
SH
DFND
0
0
124263
AMERICAN MUTUAL FUND CLASS F3
MF
027681774
1362
27182
SH
DFND
0
0
27182
BLACKROCK FDS III LIFPT2025 IN
MF
066923848
399
24287
SH
DFND
0
0
24287
BLAIR WILLIAM SM MID CAP GRWTH
MF
093001295
362
9535
SH
DFND
0
0
9535
BRANDES INVT TR EMRGN MKT VAL
MF
105262752
183
19463
SH
DFND
0
0
19463
CAPITAL INCOME BLDR FD CL F
MF
140193400
212
3107
SH
DFND
0
0
3107
CAPITAL INCOME BLDR FD CL F 3
MF
140193780
13023
190652
SH
DFND
0
0
190652
CAPITAL INCOME BLDR IN SHS CL
MF
140194101
5196
76100
SH
DFND
0
0
76100
CAPITAL WORLD GRW&INCM CL F-2
MF
140543828
1257
19383
SH
DFND
0
0
19383
CAPITAL WORLD GRWTH AND INC FD
MF
140543117
3565
54926
SH
DFND
0
0
54926
COLUMBIA ACORN FUND CL Z
MF
197199409
219
12766
SH
DFND
0
0
12766
COLUMBIA FDS SER TR CAPTAL ALL
MF
19766b224
259
20090
SH
DFND
0
0
20090
COLUMBIA FDS SER TR I DIVIDEND
MF
19766m840
596
19835
SH
DFND
0
0
19835
COLUMBIA FDS SER TR I DIVIDND
MF
19766m865
205
6829
SH
DFND
0
0
6829
DNP SELECT INCOME FD INC COM
MF
23325P104
519
49671
SH
DFND
0
0
49671
DODGE & COX STK FD COM
MF
256219106
1218
5084
SH
DFND
0
0
5084
EATON VANCE GROWTH TR ATL CAPT
MF
277902698
312
7262
SH
DFND
0
0
7262
EURO PAC GROWTH FD CL F 3
MF
298706110
356
5024
SH
DFND
0
0
5024
EUROPACIFIC GROWTH FD SHS CL F
MF
29875e100
241
3414
SH
DFND
0
0
3414
FIDELITY 500 INDEX FUND
MF
315911750
1577
10543
SH
DFND
0
0
10543
FIDELITY COMWLTH TR NASD COMP
MF
315912709
754
4130
SH
DFND
0
0
4130
FUNDAMENTAL INVESTORS CL F3
MF
360802771
2276
29821
SH
DFND
0
0
29821
GENERAL MONEY MKT FD CL A
MF
370375107
12
11520
SH
DFND
0
0
11520
GRANDEUR PEAK EMERGING MKTS OP
MF
31761R401
7268
379315
SH
DFND
0
0
379315
GRANDEUR PEAK GLBL MICRO CAP F
MF
31761r732
2423
116939
SH
DFND
0
0
116939
GRANDEUR PEAK GLBL STALWARTS C
MF
31761r773
7291
291524
SH
DFND
0
0
291524
GRANDEUR PEAK GLOBAL OPP FD IN
MF
317609360
7805
1338733
SH
DFND
0
0
1338733
GRANDEUR PEAK INTL STALWARTS C
MF
31761r757
5410
208885
SH
DFND
0
0
208885
HARRIS ASSOC INVT TR OAKMARK I
MF
413838202
264
8886
SH
DFND
0
0
8886
INCOME FD AMER INC CL F3
MF
453320772
2284
88551
SH
DFND
0
0
88551
INTERNATIONAL GROWTH I CL F 3
MF
45956t774
420
10111
SH
DFND
0
0
10111
INTERNATIONAL GRW & IN CL F-2
MF
45956t501
245
5889
SH
DFND
0
0
5889
INVESCO GLBL HEALTH CARE FUND
MF
00141v820
461
9499
SH
DFND
0
0
9499
INVESCO/OPP GLBL STRAT INC FD
MF
00143K756
97
26847
SH
DFND
0
0
26847
INVESCO/OPP INTL SM MID CO FD
MF
00900W555
396
6743
SH
DFND
0
0
6743
INVESCO/OPP INTL SMALL MID CO
MF
00900W530
936
16021
SH
DFND
0
0
16021
INVESCO/OPP STEELPATH MLP INC
MF
00143K285
67
14532
SH
DFND
0
0
14532
INVESCO/OPP STEELPATH MLP SEL4
MF
00143K228
182
29326
SH
DFND
0
0
29326
INVESTMENT CO AMER CL F3
MF
461308777
757
15173
SH
DFND
0
0
15173
LORD ABBETT INVT TR INCOME FD
MF
543916365
30
10081
SH
DFND
0
0
10081
MUTUAL FD SER TR ALPHACENTRIC
MF
62827m144
2001
171495
SH
DFND
0
0
171495
NEW PERSPECTIVE FD INC CL F3
MF
648018778
1804
26930
SH
DFND
0
0
26930
NEW WORLD FD INC NEW CL F3
MF
649280773
1252
12918
SH
DFND
0
0
12918
POPLAR FOREST PARTNERS INSTITU
MF
00768d798
13297
234972
SH
DFND
0
0
234972
PRUDENTIAL WRLD FD IN JNSON GL
MF
743969685
231
4761
SH
DFND
0
0
4761
ROWE PRICE NEW HORIZON FD CL I
MF
779562206
212
2333
SH
DFND
0
0
2333
SEQUOIA FD INC COM
MF
817418106
361
1875
SH
DFND
0
0
1875
SMALLCAP WORLD FD INC CL F3
MF
831681770
283
3139
SH
DFND
0
0
3139
SMEAD FDS TR VALUE FD CL Y
MF
83178c709
300
4525
SH
DFND
0
0
4525
THE GROWTH FD OF AMERICA CL F3
MF
399874775
1805
24043
SH
DFND
0
0
24043
VANGUARD INDEX FDS TOT STKIDX
MF
922908728
447
4117
SH
DFND
0
0
4117
VANGUARD INDEX TR 500 INDEX AD
MF
922908710
1029
2595
SH
DFND
0
0
2595
VANGUARD SPECIALIZED HEALTHCAR
MF
921908885
409
4138
SH
DFND
0
0
4138
WASHINGTON MUT INVS FD CL F3
MF
939330775
598
10727
SH
DFND
0
0
10727
INVESCO ETF TR II FTSE RAFI DE
EXCH
46138E743
1264
26260
SH
DFND
0
0
26260
INVESCO ETF TR II FTSE RAFI EM
EXCH
46138E727
9177
393027
SH
DFND
0
0
393027
INVESCO ETF TR II RUSSELL 1000
EXCH
46138E420
1055
23094
SH
DFND
0
0
23094
INVESCO ETF TR S&P 500 PURE VA
EXCH
46137V258
4462
57815
SH
DFND
0
0
57815
INVESCO ETF TRUST FTSE RAFI US
EXCH
46137V613
11509
71786
SH
DFND
0
0
71786
INVESCO QQQ TR UNIT SER 1
EXCH
46090E103
3192
9005
SH
DFND
0
0
9005
ISHARES TR DJ HOME CONSTN
EXCH
464288752
1724
24910
SH
DFND
0
0
24910
ISHARES TR MSCI EMERG MKT
EXCH
464287234
701
12706
SH
DFND
0
0
12706
ISHARES TR NORTH AMERN NAT
EXCH
464287374
1127
37045
SH
DFND
0
0
37045
ISHARES TR RUSSELL 2000
EXCH
464287655
1308
5701
SH
DFND
0
0
5701
ISHARES TR RUSSELL1000VAL
EXCH
464287598
3672
23147
SH
DFND
0
0
23147
SELECT SECTOR SPDR TR SBI INT-
EXCH
81369y605
329
8968
SH
DFND
0
0
8968
SPDR S&P 500 ETF TR UNIT SER 1
EXCH
78462F103
9658
22562
SH
DFND
0
0
22562
SPDR S&P MIDCAP 400 ETF TR UNI
EXCH
78467y107
879
1790
SH
DFND
0
0
1790
SPIDER GOLD TR SHS
EXCH
78463V107
590
3560
SH
DFND
0
0
3560
VANECK VECTORS ETF TR VIDEO GA
EXCH
92189f114
1143
15745
SH
DFND
0
0
15745
VANGUARD INDEX TR STK MRK VIPE
EXCH
922908769
2068
9281
SH
DFND
0
0
9281
WISDOMTREE TR EMERGING MKTS YL
EXCH
97717w315
1379
30180
SH
DFND
0
0
30180
WISDOMTREE TRUST DEFA FD
EXCH
97717w703
289
5310
SH
DFND
0
0
5310
AMERICAN BALANCED FD CL F3
BAL MF
024071771
7239
221851
SH
DFND
0
0
221851
AMERICAN FDS CONSERVATIVE GRWT
BAL MF
02630q205
1035
75100
SH
DFND
0
0
75100
AMERICAN FDS GLOBAL BA CL F3
BAL MF
02629w775
689
17489
SH
DFND
0
0
17489
AMERICAN FDS MODERATE GRWTH &
BAL MF
02630q106
838
45410
SH
DFND
0
0
45410
VIRTUS ALLIANZGI INCM GR INST
BAL MF
92837n535
498
36020
SH
DFND
0
0
36020
EATON VANCE TXMG GLOBAL OPPORT
CLE FDS
27829c105
375
34472
SH
DFND
0
0
34472
ROYCE GLOBAL VALUE TR INC COM
CLE FDS
78081t104
540
36078
SH
DFND
0
0
36078
ROYCE VALUE TR INC COM
CLE FDS
780910105
5117
269760
SH
DFND
0
0
269760
VIRTUS ALLIANZGI EQUITY & CONV
CLE FDS
92841m101
1034
34177
SH
DFND
0
0
34177