EVP, Director of Business Services

0001451623-20-000005.txt : 20201116 0001451623-20-000005.hdr.sgml : 20201116 20201116102023 ACCESSION NUMBER: 0001451623-20-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BENJAMIN EDWARDS INC CENTRAL INDEX KEY: 0001451623 IRS NUMBER: 263472087 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19533 FILM NUMBER: 201314381 BUSINESS ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-1600 MAIL ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001451623 XXXXXXXX 09-30-2020 09-30-2020 BENJAMIN EDWARDS INC

ONE NORTH BRENTWOOD BOULEVARD SUITE 850 Clayton MO 63105

13F COMBINATION REPORT 028-19533 0001445065 028-15560 BENJAMIN F. EDWARDS & COMPANY, INC. N Christopher M Keller EVP, Director of Business Services 314-726-1600 Christopher M Keller St. Louis MO 11-13-2020 0 325 103133 false INFORMATION TABLE 2 EWM_13FXMLOut_2020-09-30.xml ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1287 5697 SH DFND 0 0 5697 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 48 4000 SH DFND 0 0 4000 JOHNSON CTLS INTL PLC SHS G51502105 78 1900 SH DFND 0 0 1900 MEDTRONIC PLC SHS G5960L103 387 3728 SH DFND 0 0 3728 STERIS PLC SHS USD G8473T100 1224 6949 SH DFND 0 0 6949 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 65 778 SH DFND 0 0 778 TE CONNECTIVITY LTD REG SHS H84989104 54 557 SH DFND 0 0 557 SPOTIFY TECHNOLOGY S A SHS L8681T102 28 114 SH DFND 0 0 114 STRATASYS LTD SHS M85548101 22 1764 SH DFND 0 0 1764 ALPS ETF TR ALERIAN MLP 00162Q452 329 16472 SH DFND 0 0 16472 AT&T INC COM 00206R102 517 18150 SH DFND 0 0 18150 ARK ETF TR INNOVATION ETF 00214Q104 481 5226 SH DFND 0 0 5226 ABBOTT LABS COM 002824100 102 935 SH DFND 0 0 935 ABBVIE INC COM 00287Y109 59 672 SH DFND 0 0 672 AGREE REALTY CORP COM 008492100 266 4181 SH DFND 0 0 4181 AIR PRODS & CHEMS INC COM 009158106 1110 3726 SH DFND 0 0 3726 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 429 2683 SH DFND 0 0 2683 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 7 23 SH DFND 0 0 23 ALPHABET INC CAP STK CL C 02079K107 73 50 SH DFND 0 0 50 ALTRIA GROUP INC COM 02209S103 54 1396 SH DFND 0 0 1396 AMAZON COM INC COM 023135106 315 100 SH DFND 0 0 100 AMERICAN ELEC PWR CO INC COM 025537101 14 175 SH DFND 0 0 175 AMERICAN EXPRESS CO COM 025816109 46 460 SH DFND 0 0 460 AMERICAN TOWER CORP NEW COM 03027X100 851 3522 SH DFND 0 0 3522 AMERICOLD RLTY TR COM 03064D108 530 14813 SH DFND 0 0 14813 AMGEN INC COM 031162100 4 18 SH DFND 0 0 18 ANALOG DEVICES INC COM 032654105 25 216 SH DFND 0 0 216 APPLE INC COM 037833100 3464 29914 SH DFND 0 0 29914 APPLIED MATLS INC COM 038222105 25 415 SH DFND 0 0 415 APTARGROUP INC COM 038336103 906 8001 SH DFND 0 0 8001 ASSURANT INC COM 04621X108 613 5057 SH DFND 0 0 5057 ASTRAZENECA PLC SPONSORED ADR 046353108 16 300 SH DFND 0 0 300 AUTOMATIC DATA PROCESSING IN COM 053015103 870 6237 SH DFND 0 0 6237 BP PLC SPONSORED ADR 055622104 7 400 SH DFND 0 0 400 BK OF AMERICA CORP COM 060505104 42 1746 SH DFND 0 0 1746 BAXTER INTL INC COM 071813109 6 70 SH DFND 0 0 70 BECTON DICKINSON & CO COM 075887109 645 2770 SH DFND 0 0 2770 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 182 855 SH DFND 0 0 855 BLACKROCK INC COM 09247X101 23 40 SH DFND 0 0 40 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 65 2500 SH DFND 0 0 2500 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 550 6625 SH DFND 0 0 6625 BRISTOL-MYERS SQUIBB CO COM 110122108 25 414 SH DFND 0 0 414 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 651 4930 SH DFND 0 0 4930 CDK GLOBAL INC COM 12508E101 4 86 SH DFND 0 0 86 CASEYS GEN STORES INC COM 147528103 1135 6389 SH DFND 0 0 6389 CATERPILLAR INC DEL COM 149123101 658 4415 SH DFND 0 0 4415 CELLECTIS S A SPON ADS 15117K103 14 738 SH DFND 0 0 738 CENTERPOINT ENERGY INC COM 15189T107 60 3100 SH DFND 0 0 3100 CHEVRON CORP NEW COM 166764100 10 135 SH DFND 0 0 135 CISCO SYS INC COM 17275R102 516 13103 SH DFND 0 0 13103 COCA COLA CO COM 191216100 1379 27925 SH DFND 0 0 27925 COLGATE PALMOLIVE CO COM 194162103 402 5215 SH DFND 0 0 5215 COMCAST CORP NEW CL A 20030N101 706 15263 SH DFND 0 0 15263 COMMERCE BANCSHARES INC COM 200525103 740 13145 SH DFND 0 0 13145 CONOCOPHILLIPS COM 20825C104 10 300 SH DFND 0 0 300 CONSTELLATION BRANDS INC CL A 21036P108 8 40 SH DFND 0 0 40 COSTCO WHSL CORP NEW COM 22160K105 837 2357 SH DFND 0 0 2357 CROWN CASTLE INTL CORP NEW COM 22822V101 461 2766 SH DFND 0 0 2766 DBX ETF TR XTRACK HRVST CSI 233051879 5 156 SH DFND 0 0 156 DEERE & CO COM 244199105 873 3939 SH DFND 0 0 3939 DELTA AIR LINES INC DEL COM NEW 247361702 3 112 SH DFND 0 0 112 DIGITAL RLTY TR INC COM 253868103 778 5302 SH DFND 0 0 5302 DISNEY WALT CO COM DISNEY 254687106 7 58 SH DFND 0 0 58 DOLLAR GEN CORP NEW COM 256677105 1205 5746 SH DFND 0 0 5746 DOMINION ENERGY INC COM 25746U109 614 7778 SH DFND 0 0 7778 DOUBLELINE INCOME SOLUTIONS COM 258622109 22 1375 SH DFND 0 0 1375 DOW INC COM 260557103 85 1800 SH DFND 0 0 1800 DUKE ENERGY CORP NEW COM NEW 26441C204 7 81 SH DFND 0 0 81 ETF SER SOLUTIONS US GLB JETS 26922A842 10 575 SH DFND 0 0 575 EDITAS MEDICINE INC COM 28106W103 29 1022 SH DFND 0 0 1022 ENBRIDGE INC COM 29250N105 6 198 SH DFND 0 0 198 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 10 1930 SH DFND 0 0 1930 ENZO BIOCHEM INC COM 294100102 1 300 SH DFND 0 0 300 EQUITRANS MIDSTREAM CORP COM 294600101 152 17976 SH DFND 0 0 17976 EVERSOURCE ENERGY COM 30040W108 34 408 SH DFND 0 0 408 EXXON MOBIL CORP COM 30231G102 359 10468 SH DFND 0 0 10468 FASTENAL CO COM 311900104 217 4802 SH DFND 0 0 4802 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 626 10092 SH DFND 0 0 10092 FIDELITY NATL INFORMATION SV COM 31620M106 758 5152 SH DFND 0 0 5152 FIRST TR MORNINGSTAR DIVID L SHS 336917109 75 2861 SH DFND 0 0 2861 FIRST TR EXCHANGE TRADED FD DOW 30 EQL WGT 33733A201 8 327 SH DFND 0 0 327 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 689 10898 SH DFND 0 0 10898 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 164 1043 SH DFND 0 0 1043 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 136 724 SH DFND 0 0 724 FIRST TR VALUE LINE DIVID IN SHS 33734H106 319 10138 SH DFND 0 0 10138 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 68 1591 SH DFND 0 0 1591 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 48 8629 SH DFND 0 0 8629 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 72 760 SH DFND 0 0 760 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 25 599 SH DFND 0 0 599 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 58 1533 SH DFND 0 0 1533 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 89 980 SH DFND 0 0 980 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 11 137 SH DFND 0 0 137 FIRST TR EXCHANGE TRADED FD INTL EQUITY OPP 33734X853 49 867 SH DFND 0 0 867 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 10 176 SH DFND 0 0 176 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 19 219 SH DFND 0 0 219 FIRST TR NASDAQ 100 TECH IND SHS 337345102 61 523 SH DFND 0 0 523 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 176 3779 SH DFND 0 0 3779 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 267 3174 SH DFND 0 0 3174 FIRST TR STOXX EUROPEAN SELE COMMON SHS 33735T109 24 2386 SH DFND 0 0 2386 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 127 3812 SH DFND 0 0 3812 FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 33737J174 25 506 SH DFND 0 0 506 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 99 4594 SH DFND 0 0 4594 FIRST TR EXCH TRD ALPHDX FD MID CP GR ALPH 33737M102 61 1147 SH DFND 0 0 1147 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 24 1277 SH DFND 0 0 1277 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 8 177 SH DFND 0 0 177 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 116 2459 SH DFND 0 0 2459 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 52 1188 SH DFND 0 0 1188 FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 33738R308 22 1129 SH DFND 0 0 1129 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 82 2498 SH DFND 0 0 2498 FIRST TR EXCHANGE-TRADED FD NASDAQ BK ETF 33738R860 5 315 SH DFND 0 0 315 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 1859 96971 SH DFND 0 0 96971 FIRST TR EXCHANGE-TRADED FD MNGD FUTRS STRGY 33739G103 21 484 SH DFND 0 0 484 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 182 3272 SH DFND 0 0 3272 FIRST TR EXCH TRADED FD III EME MRK BD ETF 33739P202 18 513 SH DFND 0 0 513 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 99 1915 SH DFND 0 0 1915 FIRST TR EXCH TRADED FD III HORIZON MNGD ETF 33739P871 16 556 SH DFND 0 0 556 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 197 3803 SH DFND 0 0 3803 FIRST TR EXCHANGE-TRADED FD FT STRG INCM ETF 33739Q309 16 350 SH DFND 0 0 350 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 22 367 SH DFND 0 0 367 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 176 3199 SH DFND 0 0 3199 FIRST TR EXCHNG TRADED FD VI ALT ABSLT STRG 33740Y101 26 987 SH DFND 0 0 987 FORD MTR CO DEL COM 345370860 3 500 SH DFND 0 0 500 FOUR CORNERS PPTY TR INC COM 35086T109 311 12143 SH DFND 0 0 12143 FRANKLIN TEMPLETON ETF TR FTSE UNTD KGDM 35473P678 5 275 SH DFND 0 0 275 FRANKLIN TEMPLETON ETF TR FTSE JAPAN ETF 35473P744 6 214 SH DFND 0 0 214 GALLAGHER ARTHUR J & CO COM 363576109 1013 9597 SH DFND 0 0 9597 GENERAL DYNAMICS CORP COM 369550108 0 2 SH DFND 0 0 2 GILEAD SCIENCES INC COM 375558103 646 10223 SH DFND 0 0 10223 GLACIER BANCORP INC NEW COM 37637Q105 462 14411 SH DFND 0 0 14411 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 1795 83253 SH DFND 0 0 83253 GRIFFIN INL RLTY INC COM 398231100 6 118 SH DFND 0 0 118 HENRY JACK & ASSOC INC COM 426281101 711 4375 SH DFND 0 0 4375 HOME DEPOT INC COM 437076102 1536 5533 SH DFND 0 0 5533 HONEYWELL INTL INC COM 438516106 60 362 SH DFND 0 0 362 HOULIHAN LOKEY INC CL A 441593100 323 5469 SH DFND 0 0 5469 HUBBELL INC COM 443510607 45 332 SH DFND 0 0 332 HUYA INC ADS REP SHS A 44852D108 13 550 SH DFND 0 0 550 ILLINOIS TOOL WKS INC COM 452308109 1222 6326 SH DFND 0 0 6326 ILLUMINA INC COM 452327109 31 100 SH DFND 0 0 100 INTEL CORP COM 458140100 4 83 SH DFND 0 0 83 INTELLIA THERAPEUTICS INC COM 45826J105 38 1894 SH DFND 0 0 1894 INTERCONTINENTAL EXCHANGE IN COM 45866F104 411 4109 SH DFND 0 0 4109 INTERNATIONAL BUSINESS MACHS COM 459200101 1084 8906 SH DFND 0 0 8906 INTUIT COM 461202103 676 2071 SH DFND 0 0 2071 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 116 12555 SH DFND 0 0 12555 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1802 122303 SH DFND 0 0 122303 INVESCO EXCH TRADED FD TR II FNDMNTL IG CRP 46138E693 1301 47651 SH DFND 0 0 47651 INVESCO EXCH TRADED FD TR II FNDMNTL HY CRP 46138E719 96 5180 SH DFND 0 0 5180 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 481 19538 SH DFND 0 0 19538 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 325 13915 SH DFND 0 0 13915 INVITAE CORP COM 46185L103 91 2090 SH DFND 0 0 2090 IRIDIUM COMMUNICATIONS INC COM 46269C102 12 453 SH DFND 0 0 453 IRON MTN INC NEW COM 46284V101 3 116 SH DFND 0 0 116 ISHARES SILVER TR ISHARES 46428Q109 254 11732 SH DFND 0 0 11732 ISHARES GOLD TRUST ISHARES 464285105 1477 82095 SH DFND 0 0 82095 ISHARES INC MSCI BRAZIL ETF 464286400 73 2642 SH DFND 0 0 2642 ISHARES INC MSCI CDA ETF 464286509 5 192 SH DFND 0 0 192 ISHARES INC MSCI FRANCE ETF 464286707 5 188 SH DFND 0 0 188 ISHARES INC MSCI GERMANY ETF 464286806 5 183 SH DFND 0 0 183 ISHARES TR CORE S&P500 ETF 464287200 83 247 SH DFND 0 0 247 ISHARES TR CORE US AGGBD ET 464287226 401 3399 SH DFND 0 0 3399 ISHARES TR IBOXX INV CP ETF 464287242 400 2973 SH DFND 0 0 2973 ISHARES TR BARCLAYS 7 10 YR 464287440 54 445 SH DFND 0 0 445 ISHARES TR 1 3 YR TREAS BD 464287457 76 882 SH DFND 0 0 882 ISHARES TR NASDAQ BIOTECH 464287556 124 916 SH DFND 0 0 916 ISHARES TR CORE S&P US VLU 464287663 274 5053 SH DFND 0 0 5053 ISHARES TR CORE S&P US GWT 464287671 288 3595 SH DFND 0 0 3595 ISHARES TR CORE S&P SCP ETF 464287804 36 508 SH DFND 0 0 508 ISHARES TR JPMORGAN USD EMG 464288281 1751 15790 SH DFND 0 0 15790 ISHARES TR GLB INFRASTR ETF 464288372 66 1700 SH DFND 0 0 1700 ISHARES TR NATIONAL MUN ETF 464288414 19 166 SH DFND 0 0 166 ISHARES TR IBOXX HI YD ETF 464288513 382 4550 SH DFND 0 0 4550 ISHARES TR MBS ETF 464288588 38 343 SH DFND 0 0 343 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 49 483 SH DFND 0 0 483 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 57 318 SH DFND 0 0 318 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 521 6597 SH DFND 0 0 6597 VANGUARD INDEX FDS SML CP GRW ETF 922908595 57 264 SH DFND 0 0 264 VANGUARD INDEX FDS SM CP VAL ETF 922908611 48 433 SH DFND 0 0 433 VANGUARD INDEX FDS GROWTH ETF 922908736 80 350 SH DFND 0 0 350 VANGUARD INDEX FDS VALUE ETF 922908744 52 500 SH DFND 0 0 500 VERIZON COMMUNICATIONS INC COM 92343V104 1295 21765 SH DFND 0 0 21765 VISA INC COM CL A 92826C839 27 134 SH DFND 0 0 134 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 10 750 SH DFND 0 0 750 WD-40 CO COM 929236107 337 1780 SH DFND 0 0 1780 WEC ENERGY GROUP INC COM 92939U106 1140 11767 SH DFND 0 0 11767 WALMART INC COM 931142103 1448 10353 SH DFND 0 0 10353 WASTE MGMT INC DEL COM 94106L109 21 184 SH DFND 0 0 184 WATSCO INC COM 942622200 1702 7310 SH DFND 0 0 7310 WESTERN ASSET INTER MUNI FD COM 958435109 21 2288 SH DFND 0 0 2288 WILLIAMS COS INC COM 969457100 422 21457 SH DFND 0 0 21457 WISDOMTREE TR US MIDCAP DIVID 97717W505 929 32127 SH DFND 0 0 32127 WYNN RESORTS LTD COM 983134107 2 21 SH DFND 0 0 21 XCEL ENERGY INC COM 98389B100 880 12758 SH DFND 0 0 12758 XILINX INC COM 983919101 534 5128 SH DFND 0 0 5128 ZILLOW GROUP INC CL C CAP STK 98954M200 53 526 SH DFND 0 0 526 ZSCALER INC COM 98980G102 18 131 SH DFND 0 0 131 ISHARES TR ISHS 5-10YR INVT 464288638 1155 18992 SH DFND 0 0 18992 ISHARES TR ISHS 1-5YR INVS 464288646 3697 67334 SH DFND 0 0 67334 ISHARES TR PFD AND INCM SEC 464288687 2193 60171 SH DFND 0 0 60171 ISHARES TR US AER DEF ETF 464288760 39 244 SH DFND 0 0 244 ISHARES TR U.S. MED DVC ETF 464288810 120 400 SH DFND 0 0 400 ISHARES TR NEW ZEALAND ETF 464289123 27 465 SH DFND 0 0 465 ISHARES TR MSCI USA MIN VOL 46429B697 1228 19266 SH DFND 0 0 19266 ISHARES INC CORE MSCI EMKT 46434G103 101 1910 SH DFND 0 0 1910 ISHARES INC MSCI TAIWAN ETF 46434G772 93 2063 SH DFND 0 0 2063 ISHARES TR IBONDS DEC20 ETF 46434VAQ3 126 4983 SH DFND 0 0 4983 ISHARES TR IBONDS DEC23 ETF 46434VAX8 160 6091 SH DFND 0 0 6091 ISHARES TR IBONDS DEC22 ETF 46434VBA7 261 10194 SH DFND 0 0 10194 ISHARES TR IBONDS DEC25 ETF 46434VBD1 514 18946 SH DFND 0 0 18946 ISHARES TR IBONDS DEC24 ETF 46434VBG4 134 5077 SH DFND 0 0 5077 ISHARES TR IBONDS DEC21 ETF 46434VBK5 259 10333 SH DFND 0 0 10333 ISHARES TR 0-5YR INVT GR CP 46434V100 75 1434 SH DFND 0 0 1434 ISHARES TR IBONDS DEC2026 46435GAA0 140 5210 SH DFND 0 0 5210 ISHARES TR IBONDS 27 ETF 46435UAA9 155 5716 SH DFND 0 0 5716 ISHARES TR IBONDS DEC 26 46435U259 8 286 SH DFND 0 0 286 ISHARES TR IBONDS DEC 28 46435U325 8 281 SH DFND 0 0 281 ISHARES TR IBDS DEC28 ETF 46435U515 156 5349 SH DFND 0 0 5349 ISHARES TR IBONDS DEC 46435U697 8 283 SH DFND 0 0 283 ISHARES TR IBONDS DEC 29 46436E205 136 5024 SH DFND 0 0 5024 ISHARES TR IBONDS 29 TRM TS 46436E825 157 5889 SH DFND 0 0 5889 ISHARES TR IBONDS 28 TRM TS 46436E833 157 5907 SH DFND 0 0 5907 ISHARES TR IBONDS 27 TRM TS 46436E841 157 5954 SH DFND 0 0 5954 ISHARES TR IBONDS 26 TRM TS 46436E858 157 5979 SH DFND 0 0 5979 JPMORGAN CHASE & CO COM 46625H100 121 1254 SH DFND 0 0 1254 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 5 451 SH DFND 0 0 451 JOHNSON & JOHNSON COM 478160104 1353 9089 SH DFND 0 0 9089 KIMBERLY CLARK CORP COM 494368103 1181 7998 SH DFND 0 0 7998 KINDER MORGAN INC DEL COM 49456B101 262 21278 SH DFND 0 0 21278 LANCASTER COLONY CORP COM 513847103 525 2937 SH DFND 0 0 2937 LENDINGTREE INC NEW COM 52603B107 40 131 SH DFND 0 0 131 LILLY ELI & CO COM 532457108 78 528 SH DFND 0 0 528 LOCKHEED MARTIN CORP COM 539830109 72 188 SH DFND 0 0 188 LOWES COS INC COM 548661107 48 292 SH DFND 0 0 292 LULULEMON ATHLETICA INC COM 550021109 8 25 SH DFND 0 0 25 MFS MUN INCOME TR SH BEN INT 552738106 15 2300 SH DFND 0 0 2300 MAIN STR CAP CORP COM 56035L104 440 14864 SH DFND 0 0 14864 MARATHON OIL CORP COM 565849106 1 300 SH DFND 0 0 300 MASTERCARD INCORPORATED CL A 57636Q104 1012 2993 SH DFND 0 0 2993 MCCORMICK & CO INC COM NON VTG 579780206 927 4776 SH DFND 0 0 4776 MCDONALDS CORP COM 580135101 1022 4654 SH DFND 0 0 4654 MERCADOLIBRE INC COM 58733R102 13 12 SH DFND 0 0 12 MERCK & CO. INC COM 58933Y105 701 8454 SH DFND 0 0 8454 MICROSOFT CORP COM 594918104 1391 6616 SH DFND 0 0 6616 MONDELEZ INTL INC CL A 609207105 9 160 SH DFND 0 0 160 MORGAN STANLEY COM NEW 617446448 29 600 SH DFND 0 0 600 MOTOROLA SOLUTIONS INC COM NEW 620076307 45 290 SH DFND 0 0 290 NANOSTRING TECHNOLOGIES INC COM 63009R109 17 376 SH DFND 0 0 376 NASDAQ INC COM 631103108 737 6010 SH DFND 0 0 6010 NETFLIX INC COM 64110L106 4 7 SH DFND 0 0 7 NEWMONT CORP COM 651639106 117 1849 SH DFND 0 0 1849 NEXTERA ENERGY INC COM 65339F101 2284 8227 SH DFND 0 0 8227 NIKE INC CL B 654106103 97 775 SH DFND 0 0 775 NORFOLK SOUTHN CORP COM 655844108 26 122 SH DFND 0 0 122 NORTHROP GRUMMAN CORP COM 666807102 55 174 SH DFND 0 0 174 NOVARTIS AG SPONSORED ADR 66987V109 17 200 SH DFND 0 0 200 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 4 381 SH DFND 0 0 381 NUVEEN SELECT TAX FREE INCOM SH BEN INT 67063C106 25 1700 SH DFND 0 0 1700 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 121 20490 SH DFND 0 0 20490 NUVEEN MORTGAGE AND INCOME F COM 670735109 149 7856 SH DFND 0 0 7856 OGE ENERGY CORP COM 670837103 57 1898 SH DFND 0 0 1898 ONEOK INC NEW COM 682680103 166 6390 SH DFND 0 0 6390 PPG INDS INC COM 693506107 48 394 SH DFND 0 0 394 PAGERDUTY INC COM 69553P100 21 780 SH DFND 0 0 780 PARSONS CORPORATION COM 70202L102 117 3500 SH DFND 0 0 3500 PAYCHEX INC COM 704326107 456 5717 SH DFND 0 0 5717 PEOPLES UNITED FINANCIAL INC COM 712704105 210 20355 SH DFND 0 0 20355 PEPSICO INC COM 713448108 680 4905 SH DFND 0 0 4905 PFIZER INC COM 717081103 27 731 SH DFND 0 0 731 PHILIP MORRIS INTL INC COM 718172109 7 100 SH DFND 0 0 100 PHILLIPS 66 COM 718546104 3 50 SH DFND 0 0 50 PIMCO DYNAMIC INCOME FD SHS 72201Y101 113 4460 SH DFND 0 0 4460 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 72 3605 SH DFND 0 0 3605 PINTEREST INC CL A 72352L106 35 842 SH DFND 0 0 842 PRINCIPAL EXCHANGE-TRADED FD SPECTRUM PFD 74255Y888 867 43202 SH DFND 0 0 43202 PROCTER AND GAMBLE CO COM 742718109 44 314 SH DFND 0 0 314 PROGRESSIVE CORP COM 743315103 391 4133 SH DFND 0 0 4133 PROSHARES TR SHORT S&P 500 NE 74347B425 7 325 SH DFND 0 0 325 PROSPERITY BANCSHARES INC COM 743606105 437 8440 SH DFND 0 0 8440 PROTO LABS INC COM 743713109 44 342 SH DFND 0 0 342 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 81 1479 SH DFND 0 0 1479 PUBLIC STORAGE COM 74460D109 284 1276 SH DFND 0 0 1276 PURE STORAGE INC CL A 74624M102 35 2286 SH DFND 0 0 2286 PUTNAM MANAGED MUN INCOME TR COM 746823103 41 5400 SH DFND 0 0 5400 QTS RLTY TR INC COM CL A 74736A103 12 183 SH DFND 0 0 183 QUALCOMM INC COM 747525103 1312 11151 SH DFND 0 0 11151 REALTY INCOME CORP COM 756109104 692 11395 SH DFND 0 0 11395 REPUBLIC SVCS INC COM 760759100 1811 19403 SH DFND 0 0 19403 ROKU INC COM CL A 77543R102 84 447 SH DFND 0 0 447 SPDR S&P 500 ETF TR TR UNIT 78462F103 5 16 SH DFND 0 0 16 SPDR SER TR S&P 600 SMCP GRW 78464A201 248 4203 SH DFND 0 0 4203 SPDR SER TR S&P 600 SMCP VAL 78464A300 246 4911 SH DFND 0 0 4911 SPDR SER TR PRTFLO S&P500 GW 78464A409 1602 31963 SH DFND 0 0 31963 SPDR SER TR PRTFLO S&P500 VL 78464A508 1521 50375 SH DFND 0 0 50375 SPDR SER TR HLTH CR EQUIP 78464A581 45 462 SH DFND 0 0 462 SPDR SER TR PORTFLI INTRMDIT 78464A672 31 947 SH DFND 0 0 947 SPDR SER TR S&P REGL BKG 78464A698 65 1829 SH DFND 0 0 1829 SPDR SER TR S&P 400 MDCP GRW 78464A821 1328 23143 SH DFND 0 0 23143 SPDR SER TR S&P 400 MDCP VAL 78464A839 1251 28822 SH DFND 0 0 28822 SPDR SER TR BLOOMBERG BRCLYS 78468R622 49 473 SH DFND 0 0 473 SANFILIPPO JOHN B & SON INC COM 800422107 229 3036 SH DFND 0 0 3036 SCHWAB CHARLES CORP COM 808513105 3 73 SH DFND 0 0 73 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 37 670 SH DFND 0 0 670 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 12 459 SH DFND 0 0 459 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 100 3170 SH DFND 0 0 3170 SCHWAB STRATEGIC TR US REIT ETF 808524847 32 896 SH DFND 0 0 896 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 38 651 SH DFND 0 0 651 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 14 273 SH DFND 0 0 273 SEA LTD SPONSORD ADS 81141R100 13 84 SH DFND 0 0 84 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 55 864 SH DFND 0 0 864 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 55 525 SH DFND 0 0 525 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 132 2055 SH DFND 0 0 2055 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 359 2445 SH DFND 0 0 2445 SELECT SECTOR SPDR TR ENERGY 81369Y506 34 1119 SH DFND 0 0 1119 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 44 578 SH DFND 0 0 578 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 402 3447 SH DFND 0 0 3447 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 381 6421 SH DFND 0 0 6421 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 72 1207 SH DFND 0 0 1207 SERES THERAPEUTICS INC COM 81750R102 33 1179 SH DFND 0 0 1179 SHERWIN WILLIAMS CO COM 824348106 1098 1576 SH DFND 0 0 1576 SIMON PPTY GROUP INC NEW COM 828806109 65 1000 SH DFND 0 0 1000 SIXTH STREET SPECIALTY LENDN COM 83012A109 489 28424 SH DFND 0 0 28424 SLACK TECHNOLOGIES INC COM CL A 83088V102 41 1537 SH DFND 0 0 1537 SNAP ON INC COM 833034101 612 4160 SH DFND 0 0 4160 SPIRE INC COM 84857L101 228 4283 SH DFND 0 0 4283 SPLUNK INC COM 848637104 28 151 SH DFND 0 0 151 SQUARE INC CL A 852234103 104 637 SH DFND 0 0 637 STARBUCKS CORP COM 855244109 105 1217 SH DFND 0 0 1217 STEEL DYNAMICS INC COM 858119100 6 200 SH DFND 0 0 200 STONECASTLE FINL CORP COM 861780104 168 8639 SH DFND 0 0 8639 STORE CAP CORP COM 862121100 570 20773 SH DFND 0 0 20773 STRYKER CORPORATION COM 863667101 786 3771 SH DFND 0 0 3771 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 20 246 SH DFND 0 0 246 TELADOC HEALTH INC COM 87918A105 36 165 SH DFND 0 0 165 TERADYNE INC COM 880770102 14 179 SH DFND 0 0 179 TESLA INC COM 88160R101 151 352 SH DFND 0 0 352 THOMSON REUTERS CORP. COM NEW 884903709 483 6055 SH DFND 0 0 6055 3M CO COM 88579Y101 33 205 SH DFND 0 0 205 TORO CO COM 891092108 516 6145 SH DFND 0 0 6145 TRACTOR SUPPLY CO COM 892356106 1377 9609 SH DFND 0 0 9609 TWILIO INC CL A 90138F102 18 72 SH DFND 0 0 72 2U INC COM 90214J101 44 1287 SH DFND 0 0 1287 US BANCORP DEL COM NEW 902973304 277 7728 SH DFND 0 0 7728 UNILEVER PLC SPON ADR NEW 904767704 57 917 SH DFND 0 0 917 UNION PAC CORP COM 907818108 884 4492 SH DFND 0 0 4492 UNITEDHEALTH GROUP INC COM 91324P102 576 1847 SH DFND 0 0 1847 V F CORP COM 918204108 790 11251 SH DFND 0 0 11251 VANECK VECTORS ETF TR SHORT MUNI ETF 92189F528 73 4055 SH DFND 0 0 4055 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 8 100 SH DFND 0 0 100 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 24 335 SH DFND 0 0 335 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 28 484 SH DFND 0 0 484 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 51 756 SH DFND 0 0 756 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2932 35385 SH DFND 0 0 35385 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1020 9544 SH DFND 0 0 9544 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1399 14607 SH DFND 0 0 14607