Chief Compliance Officer & General Counsel

0001606587-21-000693.txt : 20210512 0001606587-21-000693.hdr.sgml : 20210512 20210512155956 ACCESSION NUMBER: 0001606587-21-000693 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210512 DATE AS OF CHANGE: 20210512 EFFECTIVENESS DATE: 20210512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WBI INVESTMENTS, INC. CENTRAL INDEX KEY: 0001397424 IRS NUMBER: 222566011 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12525 FILM NUMBER: 21914960 BUSINESS ADDRESS: STREET 1: 331 NEWMAN SPRINGS ROAD STREET 2: SUITE 105 CITY: RED BANK STATE: NJ ZIP: 07701 BUSINESS PHONE: 732-842-4920 MAIL ADDRESS: STREET 1: 331 NEWMAN SPRINGS ROAD STREET 2: SUITE 143 CITY: RED BANK STATE: NJ ZIP: 07701 FORMER COMPANY: FORMER CONFORMED NAME: WBI INVESTMENTS DATE OF NAME CHANGE: 20100211 FORMER COMPANY: FORMER CONFORMED NAME: Wealth Builders DATE OF NAME CHANGE: 20070424 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001397424 XXXXXXXX 03-31-2021 03-31-2021 false WBI Investments

One River Centre 331 Newman Springs Road, Suite 105 Red Bank NJ 07701

13F HOLDINGS REPORT 028-12525 N Kevin Murphy Chief Compliance Officer & General Counsel 732-945-1430 Kevin Murphy Red Bank NJ 05-06-2021 1 229 636790 false 1 0001449088 028-16338 Millington Securities, Inc. INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 2166 11242 SH DFND 1 0 11242 0 3M CO COM 88579Y101 1610 8356 SH SOLE NONE 8356 0 0 ABBVIE INC COM 00287Y109 8100 74850 SH DFND 1 0 74850 0 ABBVIE INC COM 00287Y109 3307 30556 SH SOLE NONE 30556 0 0 ABSOLUTE SHS TR WBI BBR RNG 3000 00400R502 3677 125248 SH SOLE NONE 125248 0 0 ABSOLUTE SHS TR WBI BBR VAL 3000 00400R601 26047 865291 SH SOLE NONE 865291 0 0 ABSOLUTE SHS TR WBI BBR YLD 3000 00400R700 25292 1004188 SH SOLE NONE 1004188 0 0 ABSOLUTE SHS TR WBI BBR QTY 3000 00400R809 25062 866687 SH SOLE NONE 866687 0 0 ABSOLUTE SHS TR WBI BULBEAR TR 00400R833 4828 281701 SH SOLE NONE 281701 0 0 ABSOLUTE SHS TR WBI BULBEAR TR 00400R841 15497 772341 SH SOLE NONE 772341 0 0 ABSOLUTE SHS TR WBI PWR FCTR ETF 00400R858 33078 1232404 SH SOLE NONE 1232404 0 0 ABSOLUTE SHS TR WBI BBR GBL INME 00400R874 26617 1080808 SH SOLE NONE 1080808 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 2421 8763 SH DFND 1 0 8763 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 3201 11589 SH SOLE NONE 11589 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 1765 9621 SH SOLE NONE 9621 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 764 25035 SH SOLE NONE 25035 0 0 ALTRIA GROUP INC COM 02209S103 315 6154 SH SOLE NONE 6154 0 0 AMDOCS LTD SHS G02602103 342 4875 SH DFND 1 0 4875 0 AMDOCS LTD SHS G02602103 1615 23022 SH SOLE NONE 23022 0 0 AMERICAN FINL GROUP INC OHIO COM 025932104 1987 17418 SH DFND 1 0 17418 0 AMERIPRISE FINL INC COM 03076C106 3620 15573 SH DFND 1 0 15573 0 AMERIPRISE FINL INC COM 03076C106 1145 4924 SH SOLE NONE 4924 0 0 AMES NATL CORP COM 031001100 522 20417 SH DFND 1 0 20417 0 APPLIED MATLS INC COM 038222105 2654 19862 SH DFND 1 0 19862 0 ASSOCIATED BANC CORP COM 045487105 538 25216 SH DFND 1 0 25216 0 AT&T INC COM 00206R102 4628 152889 SH DFND 1 0 152889 0 AT&T INC COM 00206R102 258 8519 SH SOLE NONE 8519 0 0 B & G FOODS INC NEW COM 05508R106 1109 35699 SH DFND 1 0 35699 0 BANKFINANCIAL CORP COM 06643P104 580 56170 SH DFND 1 0 56170 0 BERKLEY W R CORP COM 084423102 447 5929 SH DFND 1 0 5929 0 BEST BUY INC COM 086516101 5195 45253 SH DFND 1 0 45253 0 BEST BUY INC COM 086516101 1213 10565 SH SOLE NONE 10565 0 0 BLOCK H & R INC COM 093671105 1499 68780 SH DFND 1 0 68780 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 4251 27766 SH DFND 1 0 27766 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 2467 16111 SH SOLE NONE 16111 0 0 C & F FINL CORP COM 12466Q104 564 12743 SH DFND 1 0 12743 0 CARDINAL HEALTH INC COM 14149Y108 1433 23596 SH DFND 1 0 23596 0 CDW CORP COM 12514G108 2616 15785 SH DFND 1 0 15785 0 CDW CORP COM 12514G108 1032 6226 SH SOLE NONE 6226 0 0 CELANESE CORP DEL COM 150870103 2634 17581 SH SOLE NONE 17581 0 0 COCA COLA EUROPEAN PARTNERS SHS G25839104 1928 36962 SH DFND 1 0 36962 0 COMERICA INC COM 200340107 669 9327 SH DFND 1 0 9327 0 CRH PLC ADR 12626K203 2811 59827 SH DFND 1 0 59827 0 CUMMINS INC COM 231021106 2774 10706 SH DFND 1 0 10706 0 CUMMINS INC COM 231021106 2239 8640 SH SOLE NONE 8640 0 0 D R HORTON INC COM 23331A109 281 3157 SH SOLE NONE 3157 0 0 DBX ETF TR XTRACK USD HIGH 233051432 34011 680351 SH DFND 1 0 680351 0 DBX ETF TR XTRACK USD HIGH 233051432 33169 663503 SH SOLE NONE 663503 0 0 DIAMONDBACK ENERGY INC COM 25278X109 3134 42651 SH DFND 1 0 42651 0 DIAMONDBACK ENERGY INC COM 25278X109 2355 32050 SH SOLE NONE 32050 0 0 EMERSON ELEC CO COM 291011104 3185 35299 SH DFND 1 0 35299 0 EMERSON ELEC CO COM 291011104 817 9061 SH SOLE NONE 9061 0 0 ETHAN ALLEN INTERIORS INC COM 297602104 1182 42804 SH DFND 1 0 42804 0 EVERCORE INC CLASS A 29977A105 822 6242 SH SOLE NONE 6242 0 0 EXPEDITORS INTL WASH INC COM 302130109 2028 18828 SH DFND 1 0 18828 0 EXPEDITORS INTL WASH INC COM 302130109 858 7969 SH SOLE NONE 7969 0 0 EXXON MOBIL CORP COM 30231G102 1059 18965 SH DFND 1 0 18965 0 EXXON MOBIL CORP COM 30231G102 2564 45922 SH SOLE NONE 45922 0 0 FASTENAL CO COM 311900104 204 4060 SH DFND 1 0 4060 0 FEDERAL AGRIC MTG CORP CL C 313148306 644 6398 SH DFND 1 0 6398 0 FIDELITY COVINGTON TRUST CONSMR STAPLES 316092303 1542 37072 SH SOLE NONE 37072 0 0 FIDELITY COVINGTON TRUST HIGH DIVID ETF 316092840 658 18514 SH SOLE NONE 18514 0 0 FIDELITY COVINGTON TRUST MSCI UTILS INDEX 316092865 670 16158 SH SOLE NONE 16158 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 2115 52014 SH DFND 1 0 52014 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 1236 30387 SH SOLE NONE 30387 0 0 FIFTH THIRD BANCORP COM 316773100 278 7431 SH SOLE NONE 7431 0 0 FIRST AMERN FINL CORP COM 31847R102 2666 47068 SH DFND 1 0 47068 0 FIRST BANCORP INC ME COM 31866P102 546 18718 SH DFND 1 0 18718 0 FIRST HORIZON CORPORATION COM 320517105 613 36229 SH DFND 1 0 36229 0 FORTUNE BRANDS HOME & SEC IN COM 34964C106 2010 20982 SH DFND 1 0 20982 0 FRANKLIN FINL SVCS CORP COM 353525108 572 18354 SH DFND 1 0 18354 0 FRANKLIN TEMPLETON ETF TR LIBERTYQ US EQT 35473P801 995 24842 SH SOLE NONE 24842 0 0 GALLAGHER ARTHUR J & CO COM 363576109 701 5619 SH SOLE NONE 5619 0 0 GILEAD SCIENCES INC COM 375558103 2661 41173 SH DFND 1 0 41173 0 GILEAD SCIENCES INC COM 375558103 2151 33277 SH SOLE NONE 33277 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 2029 6205 SH DFND 1 0 6205 0 GOLDMAN SACHS GROUP INC COM 38141G104 1557 4760 SH SOLE NONE 4760 0 0 GRAINGER W W INC COM 384802104 3419 8527 SH DFND 1 0 8527 0 GRAINGER W W INC COM 384802104 714 1782 SH SOLE NONE 1782 0 0 HANESBRANDS INC COM 410345102 812 41266 SH DFND 1 0 41266 0 HCA HEALTHCARE INC COM 40412C101 1849 9817 SH DFND 1 0 9817 0 HOPE BANCORP INC COM 43940T109 584 38761 SH DFND 1 0 38761 0 HP INC COM 40434L105 614 19325 SH DFND 1 0 19325 0 ILLINOIS TOOL WKS INC COM 452308109 564 2544 SH SOLE NONE 2544 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 4626 34716 SH DFND 1 0 34716 0 INTERNATIONAL PAPER CO COM 460146103 1167 21580 SH DFND 1 0 21580 0 INTERPUBLIC GROUP COS INC COM 460690100 2238 76638 SH DFND 1 0 76638 0 INVESCO EXCH TRADED FD TR II S&P MIDCP LOW 46138E198 1210 23113 SH SOLE NONE 23113 0 0 INVESCO EXCH TRADED FD TR II S&P SMLCP LOW 46138G102 738 16087 SH SOLE NONE 16087 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 544 2029 SH SOLE NONE 2029 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL STP 46137V373 1564 9909 SH SOLE NONE 9909 0 0 INVESTORS BANCORP INC NEW COM 46146L101 660 44953 SH DFND 1 0 44953 0 IRON MTN INC NEW COM 46284V101 2565 69310 SH DFND 1 0 69310 0 IRON MTN INC NEW COM 46284V101 1886 50949 SH SOLE NONE 50949 0 0 ISHARES TR U.S. UTILITS ETF 464287697 679 8537 SH SOLE NONE 8537 0 0 ISHARES TR AGENCY BOND ETF 464288166 828 7035 SH SOLE NONE 7035 0 0 ISHARES TR MBS ETF 464288588 571 5263 SH SOLE NONE 5263 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 372 6805 SH SOLE NONE 6805 0 0 ISHARES TR US AER DEF ETF 464288760 374 3596 SH SOLE NONE 3596 0 0 ISHARES TR US HLTHCR PR ETF 464288828 342 1359 SH SOLE NONE 1359 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 2813 61396 SH DFND 1 0 61396 0 ISHARES TR 0-5YR HI YL CP 46434V407 285 6216 SH SOLE NONE 6216 0 0 ISHARES TR CORE TOTAL USD 46434V613 412 7806 SH SOLE NONE 7806 0 0 ISHARES TR U.S. FIXED INCME 46435U796 264 2643 SH SOLE NONE 2643 0 0 ISHARES TR BROAD USD HIGH 46435U853 30966 751796 SH DFND 1 0 751796 0 ISHARES TR BROAD USD HIGH 46435U853 34727 843087 SH SOLE NONE 843087 0 0 J P MORGAN EXCHANGE-TRADED F DIVERSFED RTRN 46641Q886 352 4251 SH SOLE NONE 4251 0 0 JPMORGAN CHASE & CO COM 46625H100 318 2086 SH DFND 1 0 2086 0 JPMORGAN CHASE & CO COM 46625H100 1585 10409 SH SOLE NONE 10409 0 0 KEMPER CORP COM 488401100 212 2654 SH SOLE NONE 2654 0 0 KEYCORP COM 493267108 265 13284 SH SOLE NONE 13284 0 0 KIMBERLY-CLARK CORP COM 494368103 4552 32738 SH DFND 1 0 32738 0 KRAFT HEINZ CO COM 500754106 2089 52227 SH DFND 1 0 52227 0 KRAFT HEINZ CO COM 500754106 292 7307 SH SOLE NONE 7307 0 0 KROGER CO COM 501044101 1734 48192 SH DFND 1 0 48192 0 L3HARRIS TECHNOLOGIES INC COM 502431109 626 3091 SH SOLE NONE 3091 0 0 LEGGETT & PLATT INC COM 524660107 429 9390 SH SOLE NONE 9390 0 0 LOCKHEED MARTIN CORP COM 539830109 2309 6250 SH DFND 1 0 6250 0 LOWES COS INC COM 548661107 975 5128 SH SOLE NONE 5128 0 0 LUMEN TECHNOLOGIES INC COM 550241103 2907 217765 SH DFND 1 0 217765 0 LUMEN TECHNOLOGIES INC COM 550241103 322 24095 SH SOLE NONE 24095 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 2908 27950 SH DFND 1 0 27950 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 866 8322 SH SOLE NONE 8322 0 0 MAXIMUS INC COM 577933104 857 9622 SH SOLE NONE 9622 0 0 MERCURY GENL CORP NEW COM 589400100 599 9849 SH DFND 1 0 9849 0 METLIFE INC COM 59156R108 1786 29379 SH DFND 1 0 29379 0 METLIFE INC COM 59156R108 1709 28113 SH SOLE NONE 28113 0 0 MICROSOFT CORP COM 594918104 4527 19203 SH DFND 1 0 19203 0 MICROSOFT CORP COM 594918104 4033 17105 SH SOLE NONE 17105 0 0 NAVIENT CORPORATION COM 63938C108 605 42300 SH DFND 1 0 42300 0 NEW YORK CMNTY BANCORP INC COM 649445103 581 46025 SH DFND 1 0 46025 0 NEWMONT CORP COM 651639106 896 14864 SH DFND 1 0 14864 0 NEWMONT CORP COM 651639106 1247 20682 SH SOLE NONE 20682 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 676 4815 SH SOLE NONE 4815 0 0 OGE ENERGY CORP COM 670837103 2126 65706 SH DFND 1 0 65706 0 OLD REP INTL CORP COM 680223104 597 27327 SH DFND 1 0 27327 0 OLD REP INTL CORP COM 680223104 281 12866 SH SOLE NONE 12866 0 0 OMNICOM GROUP INC COM 681919106 1826 24620 SH DFND 1 0 24620 0 PACER FDS TR TRENDP US LAR CP 69374H105 1885 54268 SH SOLE NONE 54268 0 0 PACER FDS TR TRENDP US MID CP 69374H204 713 20500 SH SOLE NONE 20500 0 0 PARKER-HANNIFIN CORP COM 701094104 2149 6813 SH DFND 1 0 6813 0 PARKER-HANNIFIN CORP COM 701094104 892 2828 SH SOLE NONE 2828 0 0 PAYCHEX INC COM 704326107 263 2683 SH DFND 1 0 2683 0 PAYCHEX INC COM 704326107 540 5512 SH SOLE NONE 5512 0 0 PENNS WOODS BANCORP INC COM 708430103 523 21707 SH DFND 1 0 21707 0 PEOPLES UNITED FINANCIAL INC COM 712704105 851 47554 SH DFND 1 0 47554 0 PEOPLES UNITED FINANCIAL INC COM 712704105 323 18031 SH SOLE NONE 18031 0 0 PFIZER INC COM 717081103 230 6347 SH SOLE NONE 6347 0 0 PHILIP MORRIS INTL INC COM 718172109 4894 55155 SH DFND 1 0 55155 0 PHILIP MORRIS INTL INC COM 718172109 273 3080 SH SOLE NONE 3080 0 0 PPG INDS INC COM 693506107 1457 9699 SH DFND 1 0 9699 0 PPG INDS INC COM 693506107 757 5037 SH SOLE NONE 5037 0 0 PREMIER FINL BANCORP INC COM 74050M105 646 34753 SH DFND 1 0 34753 0 PRICE T ROWE GROUP INC COM 74144T108 600 3495 SH DFND 1 0 3495 0 PRICE T ROWE GROUP INC COM 74144T108 1506 8778 SH SOLE NONE 8778 0 0 PRIMERICA INC COM 74164M108 1838 12431 SH DFND 1 0 12431 0 PRIMERICA INC COM 74164M108 1442 9756 SH SOLE NONE 9756 0 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 3015 50280 SH DFND 1 0 50280 0 PRINCIPAL FINANCIAL GROUP IN COM 74251V102 902 15044 SH SOLE NONE 15044 0 0 PROCTER AND GAMBLE CO COM 742718109 695 5134 SH DFND 1 0 5134 0 PROCTER AND GAMBLE CO COM 742718109 1569 11584 SH SOLE NONE 11584 0 0 PROGRESSIVE CORP COM 743315103 370 3867 SH DFND 1 0 3867 0 PROGRESSIVE CORP COM 743315103 4054 42401 SH SOLE NONE 42401 0 0 PROSHARES TR RUSS 2000 DIVD 74347B698 1549 23684 SH SOLE NONE 23684 0 0 PRUDENTIAL FINL INC COM 744320102 523 5739 SH DFND 1 0 5739 0 PRUDENTIAL FINL INC COM 744320102 1283 14084 SH SOLE NONE 14084 0 0 PULTE GROUP INC COM 745867101 392 7477 SH DFND 1 0 7477 0 QUEST DIAGNOSTICS INC COM 74834L100 1613 12566 SH DFND 1 0 12566 0 RAYMOND JAMES FINL INC COM 754730109 5984 48826 SH DFND 1 0 48826 0 RAYMOND JAMES FINL INC COM 754730109 1859 15170 SH SOLE NONE 15170 0 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 208 1365 SH DFND 1 0 1365 0 RESOURCES CONNECTION INC COM 76122Q105 1110 82002 SH DFND 1 0 82002 0 SAFETY INS GROUP INC COM 78648T100 545 6472 SH DFND 1 0 6472 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 537 10458 SH SOLE NONE 10458 0 0 SCHWEITZER-MAUDUIT INTL INC COM 808541106 1142 23311 SH DFND 1 0 23311 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 3034 39527 SH DFND 1 0 39527 0 SEI INVTS CO COM 784117103 488 8012 SH SOLE NONE 8012 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 818 11981 SH SOLE NONE 11981 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 335 5231 SH SOLE NONE 5231 0 0 SERVICE CORP INTL COM 817565104 1620 31738 SH DFND 1 0 31738 0 SERVICE CORP INTL COM 817565104 255 4991 SH SOLE NONE 4991 0 0 SHOPIFY INC CL A 82509L107 3069 2774 SH DFND 1 0 2774 0 SMITH A O CORP COM 831865209 2353 34807 SH DFND 1 0 34807 0 SMITH A O CORP COM 831865209 3099 45841 SH SOLE NONE 45841 0 0 SMUCKER J M CO COM NEW 832696405 1677 13255 SH DFND 1 0 13255 0 SPARK ENERGY INC CL A COM 846511103 971 90953 SH DFND 1 0 90953 0 SPARTANNASH CO COM 847215100 1079 54963 SH DFND 1 0 54963 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 258 3141 SH SOLE NONE 3141 0 0 SPDR SER TR HLTH CARE SVCS 78464A573 362 3408 SH SOLE NONE 3408 0 0 SPDR SER TR AEROSPACE DEF 78464A631 1782 14188 SH SOLE NONE 14188 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 2919 106804 SH DFND 1 0 106804 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 427 15642 SH SOLE NONE 15642 0 0 STAR GROUP L P UNIT LTD PARTNR 85512C105 1112 104979 SH DFND 1 0 104979 0 STATE STR CORP COM 857477103 1826 21734 SH DFND 1 0 21734 0 STATE STR CORP COM 857477103 1258 14978 SH SOLE NONE 14978 0 0 STEEL DYNAMICS INC COM 858119100 993 19555 SH DFND 1 0 19555 0 STEEL DYNAMICS INC COM 858119100 2668 52562 SH SOLE NONE 52562 0 0 SUNCOKE ENERGY INC COM 86722A103 1683 240072 SH DFND 1 0 240072 0 SYNOVUS FINL CORP COM NEW 87161C501 604 13206 SH DFND 1 0 13206 0 TARGET CORP COM 87612E106 5863 29599 SH DFND 1 0 29599 0 TARGET CORP COM 87612E106 2370 11964 SH SOLE NONE 11964 0 0 TEXAS INSTRS INC COM 882508104 325 1718 SH DFND 1 0 1718 0 TEXAS INSTRS INC COM 882508104 1410 7461 SH SOLE NONE 7461 0 0 TOLL BROTHERS INC COM 889478103 1959 34536 SH DFND 1 0 34536 0 TORO CO COM 891092108 1501 14549 SH SOLE NONE 14549 0 0 TRACTOR SUPPLY CO COM 892356106 1005 5673 SH DFND 1 0 5673 0 TYSON FOODS INC CL A 902494103 2213 29788 SH DFND 1 0 29788 0 TYSON FOODS INC CL A 902494103 618 8320 SH SOLE NONE 8320 0 0 UNION BANKSHARES INC COM 905400107 608 20271 SH DFND 1 0 20271 0 UNITED PARCEL SERVICE INC CL B 911312106 4514 26552 SH DFND 1 0 26552 0 UNITED PARCEL SERVICE INC CL B 911312106 3740 22000 SH SOLE NONE 22000 0 0 UNITED SEC BANCSHARES CALIF COM 911460103 592 72251 SH DFND 1 0 72251 0 UNIVERSAL CORP VA COM 913456109 1122 19013 SH DFND 1 0 19013 0 UNUM GROUP COM 91529Y106 625 22442 SH DFND 1 0 22442 0 VALMONT INDS INC COM 920253101 477 2009 SH DFND 1 0 2009 0 VALMONT INDS INC COM 920253101 504 2121 SH SOLE NONE 2121 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 22730 711870 SH DFND 1 0 711870 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 1097 34361 SH SOLE NONE 34361 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 343 5576 SH SOLE NONE 5576 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 754 9139 SH SOLE NONE 9139 0 0 VECTOR GROUP LTD COM 92240M108 1136 81467 SH DFND 1 0 81467 0 VERIZON COMMUNICATIONS INC COM 92343V104 2767 47591 SH DFND 1 0 47591 0 VERIZON COMMUNICATIONS INC COM 92343V104 238 4098 SH SOLE NONE 4098 0 0 VILLAGE SUPER MKT INC CL A NEW 927107409 1035 43917 SH DFND 1 0 43917 0 VIRTU FINL INC CL A 928254101 1323 42593 SH DFND 1 0 42593 0 WADDELL & REED FINL INC CL A 930059100 512 20453 SH DFND 1 0 20453 0 WHIRLPOOL CORP COM 963320106 881 3999 SH SOLE NONE 3999 0 0 XEROX HOLDINGS CORP COM NEW 98421M106 1079 44466 SH DFND 1 0 44466 0 YUM BRANDS INC COM 988498101 323 2987 SH DFND 1 0 2987 0