EVP, Director of Business Services

0001451623-21-000001.txt : 20210216 0001451623-21-000001.hdr.sgml : 20210216 20210212192831 ACCESSION NUMBER: 0001451623-21-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210216 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210216 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: 21631165 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 12-31-2020 12-31-2020 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 02-12-2021 0 370 128931 false INFORMATION TABLE 2 EWM_13FXMLOutput_2020-12-31.xml BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 58 4000 SH DFND 0 0 4000 AT&T INC COM 00206R102 574 19963 SH DFND 0 0 19963 BLACKROCK INC COM 09247X101 29 40 SH DFND 0 0 40 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 62 2315 SH DFND 0 0 2315 CDK GLOBAL INC COM 12508E101 4 86 SH DFND 0 0 86 CELLECTIS S A SPON ADS 15117K103 15 566 SH DFND 0 0 566 ETF SER SOLUTIONS US GLB JETS 26922A842 13 575 SH DFND 0 0 575 ETF MANAGERS TR PRIME MOBILE PAY 26924G409 92 1385 SH DFND 0 0 1385 ENBRIDGE INC COM 29250N105 6 201 SH DFND 0 0 201 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 42 890 SH DFND 0 0 890 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 103 2580 SH DFND 0 0 2580 INTERNATIONAL BUSINESS MACHS COM 459200101 1015 8059 SH DFND 0 0 8059 INVESCO EXCH TRADED FD TR II FNDMNTL HY CRP 46138E719 828 42607 SH DFND 0 0 42607 ISHARES TR CORE S&P US GWT 464287671 343 3868 SH DFND 0 0 3868 ISHARES TR PFD AND INCM SEC 464288687 2205 57268 SH DFND 0 0 57268 ISHARES INC MSCI TAIWAN ETF 46434G772 7 133 SH DFND 0 0 133 ISHARES TR IBONDS DEC25 ETF 46434VBD1 483 17649 SH DFND 0 0 17649 ISHARES TR IBONDS 28 TRM TS 46436E833 178 6778 SH DFND 0 0 6778 KE HLDGS INC SPONSORED ADS 482497104 19 302 SH DFND 0 0 302 LULULEMON ATHLETICA INC COM 550021109 9 25 SH DFND 0 0 25 NEXTERA ENERGY INC COM 65339F101 1854 24030 SH DFND 0 0 24030 PPG INDS INC COM 693506107 68 469 SH DFND 0 0 469 PARSONS CORPORATION COM 70202L102 127 3500 SH DFND 0 0 3500 PUTNAM MANAGED MUN INCOME TR COM 746823103 44 5400 SH DFND 0 0 5400 SPDR SER TR BLOOMBERG BRCLYS 78468R622 58 529 SH DFND 0 0 529 SNAP ON INC COM 833034101 753 4400 SH DFND 0 0 4400 SNOWFLAKE INC CL A 833445109 8 29 SH DFND 0 0 29 SPIRE INC COM 84857L101 322 5028 SH DFND 0 0 5028 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 58 528 SH DFND 0 0 528 3M CO COM 88579Y101 36 205 SH DFND 0 0 205 UNILEVER PLC SPON ADR NEW 904767704 54 892 SH DFND 0 0 892 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 984 8856 SH DFND 0 0 8856 VANGUARD INDEX FDS SM CP VAL ETF 922908611 67 468 SH DFND 0 0 468 VANGUARD INDEX FDS GROWTH ETF 922908736 89 350 SH DFND 0 0 350 WEC ENERGY GROUP INC COM 92939U106 1089 11831 SH DFND 0 0 11831 WALMART INC COM 931142103 1058 7343 SH DFND 0 0 7343 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 83 545 SH DFND 0 0 545 ALTRIA GROUP INC COM 02209S103 57 1396 SH DFND 0 0 1396 AMERICAN TOWER CORP NEW COM 03027X100 886 3946 SH DFND 0 0 3946 CONSTELLATION BRANDS INC CL A 21036P108 9 40 SH DFND 0 0 40 DOUBLELINE INCOME SOLUTIONS COM 258622109 23 1375 SH DFND 0 0 1375 FIRST HORIZON CORPORATION COM 320517105 21 1670 SH DFND 0 0 1670 FIRST LONG IS CORP COM 320734106 14 789 SH DFND 0 0 789 FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 33737J174 28 500 SH DFND 0 0 500 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 1794 88879 SH DFND 0 0 88879 GILEAD SCIENCES INC COM 375558103 885 15184 SH DFND 0 0 15184 HERITAGE COMM CORP COM 426927109 13 1499 SH DFND 0 0 1499 INVITAE CORP COM 46185L103 61 1455 SH DFND 0 0 1455 ISHARES INC MSCI FRANCE ETF 464286707 7 208 SH DFND 0 0 208 ISHARES TR NASDAQ BIOTECH 464287556 124 821 SH DFND 0 0 821 ISHARES TR NATIONAL MUN ETF 464288414 20 170 SH DFND 0 0 170 ISHARES TR BLACKROCK ULTRA 46434V878 166 3287 SH DFND 0 0 3287 ISHARES TR IBONDS 27 TRM TS 46436E841 179 6814 SH DFND 0 0 6814 KIMBERLY-CLARK CORP COM 494368103 1092 8102 SH DFND 0 0 8102 LENDINGTREE INC NEW COM 52603B107 31 115 SH DFND 0 0 115 LILLY ELI & CO COM 532457108 107 634 SH DFND 0 0 634 MCDONALDS CORP COM 580135101 1060 4941 SH DFND 0 0 4941 MOTOROLA SOLUTIONS INC COM NEW 620076307 59 344 SH DFND 0 0 344 NORTHROP GRUMMAN CORP COM 666807102 64 209 SH DFND 0 0 209 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 117 18503 SH DFND 0 0 18503 PHILIP MORRIS INTL INC COM 718172109 8 100 SH DFND 0 0 100 PHILLIPS 66 COM 718546104 3 50 SH DFND 0 0 50 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 76 3605 SH DFND 0 0 3605 PINTEREST INC CL A 72352L106 34 516 SH DFND 0 0 516 PUBLIC STORAGE COM 74460D109 232 1005 SH DFND 0 0 1005 ROKU INC COM CL A 77543R102 104 313 SH DFND 0 0 313 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 395 2459 SH DFND 0 0 2459 SELECT SECTOR SPDR TR ENERGY 81369Y506 591 15598 SH DFND 0 0 15598 SHOPIFY INC CL A 82509L107 24 21 SH DFND 0 0 21 SIXTH STREET SPECIALTY LENDN COM 83012A109 454 21896 SH DFND 0 0 21896 STEEL DYNAMICS INC COM 858119100 7 200 SH DFND 0 0 200 TESLA INC COM 88160R101 175 248 SH DFND 0 0 248 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 8 100 SH DFND 0 0 100 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 31 521 SH DFND 0 0 521 STRATASYS LTD SHS M85548101 29 1387 SH DFND 0 0 1387 APPLIED MATLS INC COM 038222105 45 517 SH DFND 0 0 517 APTARGROUP INC COM 038336103 765 5588 SH DFND 0 0 5588 AUTOMATIC DATA PROCESSING IN COM 053015103 1405 7972 SH DFND 0 0 7972 BCE INC COM NEW 05534B760 254 5940 SH DFND 0 0 5940 CISCO SYS INC COM 17275R102 480 10720 SH DFND 0 0 10720 COMCAST CORP NEW CL A 20030N101 751 14337 SH DFND 0 0 14337 DELTA AIR LINES INC DEL COM NEW 247361702 5 112 SH DFND 0 0 112 ENZO BIOCHEM INC COM 294100102 1 300 SH DFND 0 0 300 FIRST TR EXCHANGE TRADED FD DOW 30 EQL WGT 33733A201 9 327 SH DFND 0 0 327 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 151 711 SH DFND 0 0 711 FIRST TR VALUE LINE DIVID IN SHS 33734H106 322 9179 SH DFND 0 0 9179 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 101 906 SH DFND 0 0 906 FIRST TR NASDAQ 100 TECH IND SHS 337345102 76 550 SH DFND 0 0 550 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 177 3432 SH DFND 0 0 3432 INTELLIA THERAPEUTICS INC COM 45826J105 71 1301 SH DFND 0 0 1301 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 122 11325 SH DFND 0 0 11325 IRON MTN INC NEW COM 46284V101 4 119 SH DFND 0 0 119 ISHARES TR CORE S&P500 ETF 464287200 116 310 SH DFND 0 0 310 ISHARES TR CORE S&P SCP ETF 464287804 49 531 SH DFND 0 0 531 ISHARES TR IBONDS DEC 28 46435U325 8 296 SH DFND 0 0 296 MODERNA INC COM 60770K107 1 5 SH DFND 0 0 5 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 97 1672 SH DFND 0 0 1672 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 133 4505 SH DFND 0 0 4505 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 35 427 SH DFND 0 0 427 WATSCO INC COM 942622200 1590 7018 SH DFND 0 0 7018 WISDOMTREE TR US MIDCAP DIVID 97717W505 1106 31769 SH DFND 0 0 31769 XILINX INC COM 983919101 58 408 SH DFND 0 0 408 ZILLOW GROUP INC CL C CAP STK 98954M200 49 375 SH DFND 0 0 375 TE CONNECTIVITY LTD REG SHS H84989104 81 669 SH DFND 0 0 669 AGNC INVT CORP COM 00123Q104 308 19775 SH DFND 0 0 19775 BP PLC SPONSORED ADR 055622104 8 400 SH DFND 0 0 400 CHEVRON CORP NEW COM 166764100 553 6552 SH DFND 0 0 6552 CONOCOPHILLIPS COM 20825C104 12 300 SH DFND 0 0 300 DOLLAR GEN CORP NEW COM 256677105 1150 5468 SH DFND 0 0 5468 DOW INC COM 260557103 100 1800 SH DFND 0 0 1800 DUKE ENERGY CORP NEW COM NEW 26441C204 8 82 SH DFND 0 0 82 EVERSOURCE ENERGY COM 30040W108 35 408 SH DFND 0 0 408 EXACT SCIENCES CORP COM 30063P105 40 305 SH DFND 0 0 305 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 650 9091 SH DFND 0 0 9091 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 58 1151 SH DFND 0 0 1151 FIRST TR EXCHANGE TRADED FD INTL EQUITY OPP 33734X853 57 824 SH DFND 0 0 824 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 139 5518 SH DFND 0 0 5518 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 49 989 SH DFND 0 0 989 FIRST TR EXCHANGE-TRADED FD FT STRG INCM ETF 33739Q309 17 350 SH DFND 0 0 350 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 19 323 SH DFND 0 0 323 FRANKLIN TEMPLETON ETF TR FTSE JAPAN ETF 35473P744 7 234 SH DFND 0 0 234 INNOVATOR ETFS TR II S&P INVSTMNT GRD 45783G201 220 8900 SH DFND 0 0 8900 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 165 4920 SH DFND 0 0 4920 ISHARES SILVER TR ISHARES 46428Q109 46 1884 SH DFND 0 0 1884 ISHARES TR ISHS 5-10YR INVT 464288638 927 15004 SH DFND 0 0 15004 ISHARES TR U.S. MED DVC ETF 464288810 2 5 SH DFND 0 0 5 ISHARES INC CORE MSCI EMKT 46434G103 224 3610 SH DFND 0 0 3610 ISHARES TR IBONDS DEC21 ETF 46434VBK5 169 6778 SH DFND 0 0 6778 ISHARES TR IBONDS DEC2026 46435GAA0 187 6916 SH DFND 0 0 6916 JOHNSON & JOHNSON COM 478160104 1047 6655 SH DFND 0 0 6655 KINDER MORGAN INC DEL COM 49456B101 227 16616 SH DFND 0 0 16616 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 4 386 SH DFND 0 0 386 OGE ENERGY CORP COM 670837103 70 2211 SH DFND 0 0 2211 PAYCHEX INC COM 704326107 414 4443 SH DFND 0 0 4443 PFIZER INC COM 717081103 27 732 SH DFND 0 0 732 PIMCO DYNAMIC INCOME FD SHS 72201Y101 118 4460 SH DFND 0 0 4460 SPDR SER TR PRTFLO S&P500 VL 78464A508 1870 54388 SH DFND 0 0 54388 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 123 3424 SH DFND 0 0 3424 SCHWAB STRATEGIC TR US REIT ETF 808524847 37 964 SH DFND 0 0 964 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 164 1264 SH DFND 0 0 1264 V F CORP COM 918204108 940 11005 SH DFND 0 0 11005 VANGUARD INDEX FDS VALUE ETF 922908744 59 500 SH DFND 0 0 500 VISA INC COM CL A 92826C839 39 180 SH DFND 0 0 180 SPOTIFY TECHNOLOGY S A SHS L8681T102 42 132 SH DFND 0 0 132 AIR PRODS & CHEMS INC COM 009158106 1102 4032 SH DFND 0 0 4032 AMAZON COM INC COM 023135106 326 100 SH DFND 0 0 100 ANALOG DEVICES INC COM 032654105 661 4474 SH DFND 0 0 4474 COMMERCE BANCSHARES INC COM 200525103 951 14482 SH DFND 0 0 14482 EDITAS MEDICINE INC COM 28106W103 42 593 SH DFND 0 0 593 EXTENDED STAY AMER INC UNIT 99/99/9999B 30224P200 15 999 SH DFND 0 0 999 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 839 12432 SH DFND 0 0 12432 FIRST TR EXCHANGE-TRADED FD NY ARCA BIOTECH 33733E203 178 1061 SH DFND 0 0 1061 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 253 2621 SH DFND 0 0 2621 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 95 1949 SH DFND 0 0 1949 FIRST TR EXCHANGE-TRADED FD MNGD FUTRS STRGY 33739G103 22 495 SH DFND 0 0 495 FIRST TR EXCH TRADED FD III EME MRK BD ETF 33739P202 17 444 SH DFND 0 0 444 FIRST TR EXCHNG TRADED FD VI ALT ABSLT STRG 33740Y101 27 1007 SH DFND 0 0 1007 FRANKLIN TEMPLETON ETF TR FTSE UNTD KGDM 35473P678 7 307 SH DFND 0 0 307 GLACIER BANCORP INC NEW COM 37637Q105 662 14387 SH DFND 0 0 14387 HOULIHAN LOKEY INC CL A 441593100 326 4847 SH DFND 0 0 4847 ISHARES GOLD TRUST ISHARES 464285105 1900 104815 SH DFND 0 0 104815 ISHARES TR 0-5YR INVT GR CP 46434V100 64 1234 SH DFND 0 0 1234 ISHARES TR IBONDS DEC 26 46435U259 8 298 SH DFND 0 0 298 ISHARES TR IBDS DEC28 ETF 46435U515 212 7176 SH DFND 0 0 7176 MERCK & CO. INC COM 58933Y105 715 8738 SH DFND 0 0 8738 NIKE INC CL B 654106103 127 901 SH DFND 0 0 901 PEPSICO INC COM 713448108 678 4570 SH DFND 0 0 4570 PIMCO ETF TR 25YR+ ZERO U S 72201R882 230 1407 SH DFND 0 0 1407 PROGRESSIVE CORP COM 743315103 324 3272 SH DFND 0 0 3272 RELIANCE STEEL & ALUMINUM CO COM 759509102 583 4866 SH DFND 0 0 4866 SEA LTD SPONSORD ADS 81141R100 15 74 SH DFND 0 0 74 STARWOOD PPTY TR INC COM 85571B105 289 14992 SH DFND 0 0 14992 STONECASTLE FINL CORP COM 861780104 149 7744 SH DFND 0 0 7744 THOMSON REUTERS CORP. COM NEW 884903709 446 5446 SH DFND 0 0 5446 TRACTOR SUPPLY CO COM 892356106 1021 7264 SH DFND 0 0 7264 US BANCORP DEL COM NEW 902973304 944 20255 SH DFND 0 0 20255 WILLIAMS COS INC COM 969457100 337 16793 SH DFND 0 0 16793 WYNN RESORTS LTD COM 983134107 2 21 SH DFND 0 0 21 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1469 5623 SH DFND 0 0 5623 ALPS ETF TR ALERIAN MLP 00162Q452 324 12615 SH DFND 0 0 12615 ARK ETF TR INNOVATION ETF 00214Q104 721 5791 SH DFND 0 0 5791 ALPHABET INC CAP STK CL C 02079K107 88 50 SH DFND 0 0 50 AMGEN INC COM 031162100 4 18 SH DFND 0 0 18 ASSURANT INC COM 04621X108 699 5129 SH DFND 0 0 5129 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 198 855 SH DFND 0 0 855 COSTCO WHSL CORP NEW COM 22160K105 904 2399 SH DFND 0 0 2399 FIRST TR MORNINGSTAR DIVID L SHS 336917109 86 2909 SH DFND 0 0 2909 FIRST TRUST SPECIALTY FINANC COM BEN INTR 33733G109 2 594 SH DFND 0 0 594 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 73 1523 SH DFND 0 0 1523 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 7 73 SH DFND 0 0 73 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 103 1915 SH DFND 0 0 1915 ISHARES TR IBOXX HI YD ETF 464288513 458 5252 SH DFND 0 0 5252 ISHARES TR IBONDS DEC22 ETF 46434VBA7 173 6752 SH DFND 0 0 6752 ISHARES TR IBONDS DEC24 ETF 46434VBG4 179 6737 SH DFND 0 0 6737 ISHARES TR IBONDS 27 ETF 46435UAA9 211 7651 SH DFND 0 0 7651 ISHARES TR IBONDS DEC 29 46436E205 184 6696 SH DFND 0 0 6696 JPMORGAN CHASE & CO COM 46625H100 788 6202 SH DFND 0 0 6202 MONDELEZ INTL INC CL A 609207105 9 160 SH DFND 0 0 160 MORGAN STANLEY COM NEW 617446448 41 600 SH DFND 0 0 600 PRINCIPAL EXCHANGE-TRADED FD SPECTRUM PFD 74255Y888 813 39332 SH DFND 0 0 39332 PROSHARES TR SHORT S&P 500 NE 74347B425 6 325 SH DFND 0 0 325 PROTO LABS INC COM 743713109 41 265 SH DFND 0 0 265 QUALCOMM INC COM 747525103 1771 11622 SH DFND 0 0 11622 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 1366 40486 SH DFND 0 0 40486 SPDR SER TR HLTH CR EQUIP 78464A581 50 439 SH DFND 0 0 439 SPDR SER TR S&P 400 MDCP GRW 78464A821 881 12701 SH DFND 0 0 12701 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 345 3894 SH DFND 0 0 3894 SERES THERAPEUTICS INC COM 81750R102 22 889 SH DFND 0 0 889 SLACK TECHNOLOGIES INC COM CL A 83088V102 4 102 SH DFND 0 0 102 SQUARE INC CL A 852234103 79 365 SH DFND 0 0 365 STAG INDL INC COM 85254J102 243 7762 SH DFND 0 0 7762 TELADOC HEALTH INC COM 87918A105 58 290 SH DFND 0 0 290 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 71 335 SH DFND 0 0 335 JOHNSON CTLS INTL PLC SHS G51502105 89 1900 SH DFND 0 0 1900 ABBOTT LABS COM 002824100 881 8050 SH DFND 0 0 8050 AMERICAN EXPRESS CO COM 025816109 63 519 SH DFND 0 0 519 AMPLIFY ETF TR ONLIN RETL ETF 032108102 85 744 SH DFND 0 0 744 ASTRAZENECA PLC SPONSORED ADR 046353108 15 300 SH DFND 0 0 300 BAXTER INTL INC COM 071813109 6 70 SH DFND 0 0 70 CATERPILLAR INC COM 149123101 703 3861 SH DFND 0 0 3861 COCA COLA CO COM 191216100 1486 27089 SH DFND 0 0 27089 COLGATE PALMOLIVE CO COM 194162103 399 4670 SH DFND 0 0 4670 DBX ETF TR XTRACK HRVST CSI 233051879 7 179 SH DFND 0 0 179 DEERE & CO COM 244199105 233 866 SH DFND 0 0 866 DIGITAL RLTY TR INC COM 253868103 206 1480 SH DFND 0 0 1480 DISNEY WALT CO COM 254687106 21 115 SH DFND 0 0 115 DOMINION ENERGY INC COM 25746U109 25 330 SH DFND 0 0 330 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 12 1930 SH DFND 0 0 1930 EXXON MOBIL CORP COM 30231G102 505 12246 SH DFND 0 0 12246 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 69 2019 SH DFND 0 0 2019 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 141 3684 SH DFND 0 0 3684 FIRST TR EXCHANGE-TRADED FD NASDAQ BK ETF 33738R860 49 2041 SH DFND 0 0 2041 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 154 2818 SH DFND 0 0 2818 FOUR CORNERS PPTY TR INC COM 35086T109 0 1 SH DFND 0 0 1 HENRY JACK & ASSOC INC COM 426281101 727 4486 SH DFND 0 0 4486 HUYA INC ADS REP SHS A 44852D108 9 441 SH DFND 0 0 441 INTEL CORP COM 458140100 4 84 SH DFND 0 0 84 INTERCONTINENTAL EXCHANGE IN COM 45866F104 464 4028 SH DFND 0 0 4028 ISHARES INC MSCI GERMANY ETF 464286806 7 218 SH DFND 0 0 218 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 6 461 SH DFND 0 0 461 KELLOGG CO COM 487836108 234 3757 SH DFND 0 0 3757 MARATHON OIL CORP COM 565849106 2 300 SH DFND 0 0 300 MASTERCARD INCORPORATED CL A 57636Q104 1093 3062 SH DFND 0 0 3062 MERCADOLIBRE INC COM 58733R102 17 10 SH DFND 0 0 10 NASDAQ INC COM 631103108 811 6113 SH DFND 0 0 6113 NETFLIX INC COM 64110L106 4 7 SH DFND 0 0 7 REALTY INCOME CORP COM 756109104 761 12238 SH DFND 0 0 12238 REPUBLIC SVCS INC COM 760759100 1711 17770 SH DFND 0 0 17770 ROSS STORES INC COM 778296103 23 190 SH DFND 0 0 190 SPDR SER TR PORTFLI INTRMDIT 78464A672 33 991 SH DFND 0 0 991 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 14 449 SH DFND 0 0 449 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 355 4901 SH DFND 0 0 4901 SHERWIN WILLIAMS CO COM 824348106 1089 1482 SH DFND 0 0 1482 STORE CAP CORP COM 862121100 603 17741 SH DFND 0 0 17741 TJX COS INC NEW COM 872540109 496 7262 SH DFND 0 0 7262 TWILIO INC CL A 90138F102 37 108 SH DFND 0 0 108 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2764 33202 SH DFND 0 0 33202 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1185 12198 SH DFND 0 0 12198 XCEL ENERGY INC COM 98389B100 922 13832 SH DFND 0 0 13832 MEDTRONIC PLC SHS G5960L103 345 2944 SH DFND 0 0 2944 STERIS PLC SHS USD G8473T100 977 5155 SH DFND 0 0 5155 APPLE INC COM 037833100 3489 26298 SH DFND 0 0 26298 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 508 5831 SH DFND 0 0 5831 CENTERPOINT ENERGY INC COM 15189T107 67 3100 SH DFND 0 0 3100 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 69 8764 SH DFND 0 0 8764 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 103 1088 SH DFND 0 0 1088 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 212 3866 SH DFND 0 0 3866 FIRST TR EXCHANGE TRADED FD INDXX NEXTG ETF 33737K205 6 86 SH DFND 0 0 86 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1167 76492 SH DFND 0 0 76492 INVESCO EXCH TRADED FD TR II FNDMNTL IG CRP 46138E693 857 31218 SH DFND 0 0 31218 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 481 18518 SH DFND 0 0 18518 ISHARES TR IBOXX INV CP ETF 464287242 630 4559 SH DFND 0 0 4559 ISHARES TR PHLX SEMICND ETF 464287523 61 162 SH DFND 0 0 162 ISHARES TR IBONDS DEC 46435U697 8 297 SH DFND 0 0 297 LANCASTER COLONY CORP COM 513847103 418 2276 SH DFND 0 0 2276 LOCKHEED MARTIN CORP COM 539830109 77 216 SH DFND 0 0 216 MFS MUN INCOME TR SH BEN INT 552738106 15 2300 SH DFND 0 0 2300 MAIN STR CAP CORP COM 56035L104 688 21320 SH DFND 0 0 21320 MCCORMICK & CO INC COM NON VTG 579780206 991 10368 SH DFND 0 0 10368 NEWMONT CORP COM 651639106 110 1835 SH DFND 0 0 1835 NUVEEN SELECT TAX FREE INCOM SH BEN INT 67063C106 27 1700 SH DFND 0 0 1700 PROSPERITY BANCSHARES INC COM 743606105 590 8503 SH DFND 0 0 8503 PURE STORAGE INC CL A 74624M102 40 1772 SH DFND 0 0 1772 SPDR SER TR S&P 600 SMCP GRW 78464A201 351 4594 SH DFND 0 0 4594 SPDR SER TR S&P 600 SMCP VAL 78464A300 350 5284 SH DFND 0 0 5284 SPDR SER TR S&P 400 MDCP VAL 78464A839 901 16238 SH DFND 0 0 16238 SPDR SER TR S&P HOMEBUILD 78464A888 323 5596 SH DFND 0 0 5596 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 14 273 SH DFND 0 0 273 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 148 2198 SH DFND 0 0 2198 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 45 664 SH DFND 0 0 664 SIMON PPTY GROUP INC NEW COM 828806109 85 1000 SH DFND 0 0 1000 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 65 296 SH DFND 0 0 296 VANGUARD INDEX FDS SML CP GRW ETF 922908595 74 275 SH DFND 0 0 275 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 12 750 SH DFND 0 0 750 ABBVIE INC COM 00287Y109 67 623 SH DFND 0 0 623 BRISTOL-MYERS SQUIBB CO COM 110122108 26 414 SH DFND 0 0 414 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 765 4996 SH DFND 0 0 4996 CROWN CASTLE INTL CORP NEW COM 22822V101 411 2582 SH DFND 0 0 2582 EXPEDIA GROUP INC COM NEW 30212P303 18 135 SH DFND 0 0 135 FASTENAL CO COM 311900104 399 8179 SH DFND 0 0 8179 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 82 1611 SH DFND 0 0 1611 FIRST TR STOXX EUROPEAN SELE COMMON SHS 33735T109 34 2682 SH DFND 0 0 2682 FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 33737M102 70 1076 SH DFND 0 0 1076 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 28 1357 SH DFND 0 0 1357 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 209 3676 SH DFND 0 0 3676 FIRST TR EXCH TRADED FD III HORIZON MNGD ETF 33739P871 17 556 SH DFND 0 0 556 FORD MTR CO DEL COM 345370860 4 500 SH DFND 0 0 500 GALLAGHER ARTHUR J & CO COM 363576109 1262 10200 SH DFND 0 0 10200 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 1855 81375 SH DFND 0 0 81375 HOME DEPOT INC COM 437076102 1388 5227 SH DFND 0 0 5227 HUBBELL INC COM 443510607 61 391 SH DFND 0 0 391 ISHARES INC MSCI CDA ETF 464286509 7 223 SH DFND 0 0 223 ISHARES TR EXPANDED TECH 464287515 81 230 SH DFND 0 0 230 ISHARES TR MSCI USA MIN VOL 46429B697 1336 19677 SH DFND 0 0 19677 ISHARES TR IBONDS DEC 2030 46436E726 195 7429 SH DFND 0 0 7429 MICROSOFT CORP COM 594918104 1075 4832 SH DFND 0 0 4832 NANOSTRING TECHNOLOGIES INC COM 63009R109 19 285 SH DFND 0 0 285 NOVARTIS AG SPONSORED ADR 66987V109 19 200 SH DFND 0 0 200 PAGERDUTY INC COM 69553P100 26 614 SH DFND 0 0 614 PAYPAL HLDGS INC COM 70450Y103 29 124 SH DFND 0 0 124 PEOPLES UNITED FINANCIAL INC COM 712704105 202 15636 SH DFND 0 0 15636 PRUDENTIAL FINL INC COM 744320102 3 44 SH DFND 0 0 44 SPDR S&P 500 ETF TR TR UNIT 78462F103 754 2018 SH DFND 0 0 2018 SPDR SER TR S&P REGL BKG 78464A698 93 1789 SH DFND 0 0 1789 SANFILIPPO JOHN B & SON INC COM 800422107 185 2349 SH DFND 0 0 2349 SCHWAB CHARLES CORP COM 808513105 4 73 SH DFND 0 0 73 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 38 652 SH DFND 0 0 652 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 85 1359 SH DFND 0 0 1359 SPLUNK INC COM 848637104 22 128 SH DFND 0 0 128 STARBUCKS CORP COM 855244109 146 1363 SH DFND 0 0 1363 TORO CO COM 891092108 288 3033 SH DFND 0 0 3033 UNION PAC CORP COM 907818108 989 4748 SH DFND 0 0 4748 UNITEDHEALTH GROUP INC COM 91324P102 614 1750 SH DFND 0 0 1750 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 138 1677 SH DFND 0 0 1677 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 63 527 SH DFND 0 0 527 WESTERN ASSET INTER MUNI FD COM 958435109 21 2312 SH DFND 0 0 2312 AGREE REALTY CORP COM 008492100 219 3284 SH DFND 0 0 3284 AMERICAN ELEC PWR CO INC COM 025537101 73 881 SH DFND 0 0 881 ANNALY CAPITAL MANAGEMENT IN COM 035710409 320 37861 SH DFND 0 0 37861 BECTON DICKINSON & CO COM 075887109 705 2817 SH DFND 0 0 2817 CASEYS GEN STORES INC COM 147528103 873 4886 SH DFND 0 0 4886 FIDELITY NATL INFORMATION SV COM 31620M106 770 5440 SH DFND 0 0 5440 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 82 757 SH DFND 0 0 757 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 14 176 SH DFND 0 0 176 FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 33738R308 14 697 SH DFND 0 0 697 GENERAL DYNAMICS CORP COM 369550108 0 2 SH DFND 0 0 2 HONEYWELL INTL INC COM 438516106 96 449 SH DFND 0 0 449 ILLINOIS TOOL WKS INC COM 452308109 1220 5983 SH DFND 0 0 5983 INTUIT COM 461202103 845 2224 SH DFND 0 0 2224 IRIDIUM COMMUNICATIONS INC COM 46269C102 14 356 SH DFND 0 0 356 ISHARES INC MSCI BRAZIL ETF 464286400 73 1975 SH DFND 0 0 1975 ISHARES TR CORE S&P US VLU 464287663 340 5462 SH DFND 0 0 5462 ISHARES TR JPMORGAN USD EMG 464288281 811 6993 SH DFND 0 0 6993 ISHARES TR MBS ETF 464288588 492 4466 SH DFND 0 0 4466 ISHARES TR ISHS 1-5YR INVS 464288646 3120 56547 SH DFND 0 0 56547 ISHARES TR IBONDS DEC23 ETF 46434VAX8 204 7781 SH DFND 0 0 7781 ISHARES TR IBONDS 29 TRM TS 46436E825 178 6781 SH DFND 0 0 6781 ISHARES TR IBONDS 26 TRM TS 46436E858 179 6830 SH DFND 0 0 6830 NORFOLK SOUTHN CORP COM 655844108 588 2475 SH DFND 0 0 2475 ONEOK INC NEW COM 682680103 433 11293 SH DFND 0 0 11293 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 165 1614 SH DFND 0 0 1614 SPDR SER TR PRTFLO S&P500 GW 78464A409 1844 33355 SH DFND 0 0 33355 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 48 702 SH DFND 0 0 702 SONY CORP SPONSORED ADR 835699307 21 206 SH DFND 0 0 206 STRYKER CORPORATION COM 863667101 938 3826 SH DFND 0 0 3826 2U INC COM 90214J101 39 968 SH DFND 0 0 968 VANECK VECTORS ETF TR SHORT MUNI ETF 92189F528 96 5312 SH DFND 0 0 5312 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 623 7334 SH DFND 0 0 7334 VERIZON COMMUNICATIONS INC COM 92343V104 1264 21510 SH DFND 0 0 21510 WASTE MGMT INC DEL COM 94106L109 22 184 SH DFND 0 0 184