General Counsel and CCO

0001742998-19-000003.txt : 20190417 0001742998-19-000003.hdr.sgml : 20190417 20190417124120 ACCESSION NUMBER: 0001742998-19-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190417 DATE AS OF CHANGE: 20190417 EFFECTIVENESS DATE: 20190417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FNY Investment Advisers, LLC CENTRAL INDEX KEY: 0001742998 IRS NUMBER: 301042656 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18846 FILM NUMBER: 19752673 BUSINESS ADDRESS: STREET 1: 90 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2123316461 MAIL ADDRESS: STREET 1: 90 PARK AVENUE, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001742998 XXXXXXXX 03-31-2019 03-31-2019 FNY Investment Advisers, LLC

90 PARK AVENUE, 5TH FLOOR NEW YORK NY 10016

13F HOLDINGS REPORT 028-18846 N Shawn Fischman General Counsel and CCO 212-331-6872 Shawn Fischman New York NY 04-17-2019 2 804 292709 false 1 0001531964 Ibex Investors LLC 2 0001615486 Quad Capital Management Advisors LLC INFORMATION TABLE 2 FNYIA.xml FNY INVESTMENT ADVISERS 2019 Q1 1ST COLONIAL BANCORP ORD COM 319716106 0 1 SH DFND 1 0 0 3D SYSTEMS ORD (NYS) COM 88554D205 6 570 SH Call DFND 570 0 0 ABBOTT LABORATORIES ORD (NYS) COM 002824100 0 4 SH Call DFND 4 0 0 ACADIA HEALTHCARE COMPANY ORD COM 00404A109 1 40 SH DFND 40 0 0 ACADIA PHARMACEUTICALS ORD (NMS) COM 004225108 0 12 SH Call DFND 12 0 0 ACCENTURE CL A ORD COM G1151C101 52 300 SH SOLE 300 0 0 ACELRX PHARMACEUTICALS ORD (NMS) COM 00444T100 0 50 SH Call DFND 50 0 0 ADVANCE AUTO PARTS ORD COM 00751Y106 175 1030 SH DFND 1030 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 659 25825 SH DFND 25825 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 2 85 SH Call DFND 85 0 0 AERCAP HOLDINGS ORD COM N00985106 232 5000 SH SOLE 5000 0 0 AGEAGLE 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SRS N NON CUM PRF COM 38148B504 127 4900 SH SOLE 4900 0 0 GUARDANT HEALTH ORD COM 40131M109 0 7 SH DFND 7 0 0 GUARDANT HEALTH ORD COM 40131M109 0 5 SH Call DFND 5 0 0 GW PHARMACEUTICALS ADR REP 12 ORD SPONSORED ADR 36197T103 449 2664 SH DFND 2664 0 0 HANCOCK JAFFE COM 41015N106 7 5000 SH SOLE 5000 0 0 HARLEY DAVIDSON ORD COM 412822108 0 11 SH Put DFND 11 0 0 HARTFORD FINANCIAL SERVICES GRUP ORD COM 416515104 49 994 SH DFND 994 0 0 HC2 HOLDINGS ORD COM 404139107 208 84915 SH SOLE 84915 0 0 HC2 HOLDINGS ORD COM 404139107 0 100 SH Call SOLE 100 0 0 HCA HEALTHCARE ORD COM 40412C101 143 1100 SH DFND 1100 0 0 HEICO ORD COM 422806109 1210 12762 SH DFND 12762 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 13004 SH DFND 13004 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 2 SH Call DFND 2 0 0 HELIOS AND MATHESON ANALYTICS ORD COM 42327L309 0 2 SH Put DFND 2 0 0 HENRY SCHEIN ORD COM 806407102 225 3750 SH DFND 3750 0 0 HERSHEY FOODS ORD COM 427866108 16 140 SH Put DFND 140 0 0 HERTZ GLOBAL HOLDINGS ORD COM 42806J106 175 10085 SH DFND 10085 0 0 HEWLETT PACKARD ENTERPRISE ORD COM 42824C109 9 586 SH DFND 586 0 0 HIBBETT SPORTS ORD (NMS) COM 428567101 0 5 SH Call DFND 5 0 0 HIMAX TECHNOLOGIES ADR REP 2 ORD SPONSORED ADR 43289P106 1 600 SH Put SOLE 600 0 0 HORIZON TECHNOLOGY FINANCE ORD COM 44045A102 57 4885 SH DFND 4885 0 0 HORMEL FOODS ORD COM 440452100 4 100 SH Call SOLE 100 0 0 HORMEL FOODS ORD COM 440452100 4 100 SH Put SOLE 100 0 0 HOTH THERAPEUTICS ORD COM 44148G105 1 300 SH SOLE 300 0 0 HOVNANIAN ENTERPRISES CL B ORD COM 442487500 0 12 SH SOLE 12 0 0 HUBSPOT ORD COM 443573100 249 1504 SH DFND 1504 0 0 IANTHUS CAPITAL ORD COM 45074T102 142 25575 SH SOLE 25575 0 0 IBERIABANK DS REP SRS C PRF COM 450828504 13 500 SH SOLE 500 0 0 IBRBK 400 DS REP 1 SRS B FLT PRP PRF COM 450828207 10 400 SH SOLE 400 0 0 II VI ORD COM 902104108 184 4958 SH DFND 4958 0 0 INFINERA ORD (NMS) COM 45667G103 0 200 SH Call SOLE 200 0 0 INFOSYS ADR REP ONE ORD SPONSORED ADR 456788108 54 5000 SH SOLE 5000 0 0 INMUNE BIO ORD COM 45782T105 1 200 SH SOLE 200 0 0 INNOVATE BIOPHARMACEUTICALS ORD (NMS) COM 45782F105 0 4 SH Call SOLE 4 0 0 INOGEN ORD (NMS) COM 45780L104 1 20 SH Put DFND 20 0 0 INOVALON HOLDINGS CL A ORD COM 45781D101 37 3000 SH SOLE 3000 0 0 INPHONIC ORD (OTC) COM 45772G105 0 14472 SH SOLE 14472 0 0 INSEEGO ORD COM 45782B104 42 9000 SH SOLE 9000 0 0 INTELSAT ORD (NYS) COM L5140P101 0 50 SH Call SOLE 50 0 0 INTERNATIONAL BUSINESS MACHINES ORD COM 459200101 554 3932 SH DFND 3932 0 0 INTERNATIONAL CONSOLIDATED AIRLI ADR COM 459348108 311 23626 SH SOLE 23626 0 0 INTERNATIONAL SPEEDWAY CL A ORD COM 460335201 436 10000 SH DFND 10000 0 0 INVESCO CREDIT DYNAMIC OPP CF COM 46132R104 73 6800 SH DFND 6800 0 0 INVESCO HGH INCM 2023 TARGET TERM CF COM 46135X108 173 16839 SH SOLE 16839 0 0 INVESCO HIGH INCM 2024 TRGT TERM CF COM 46136K105 254 25700 SH SOLE 25700 0 0 INVESCO SNR INCOME CF COM 46131H107 71 17000 SH SOLE 17000 0 0 INVSC CRNCYSH EURO CURRENCY ETF COM 46138K103 10 100 SH DFND 100 0 0 INVSC DB AGRICULTURE ETF COM 46140H106 123 7500 SH DFND 7500 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 817 4552 SH DFND 4552 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 6 38 SH Put DFND 38 0 0 INVSC SENIOR LOAN ETF COM 46138G508 96 4268 SH Put SOLE 4268 0 0 IROBOT ORD COM 462726100 64 550 SH DFND 550 0 0 IROBOT ORD COM 462726100 1 10 SH Call DFND 10 0 0 ISHARES CHINA LARGE CAP ETF (PSE) COM 464287184 2 50 SH Call DFND 50 0 0 ISHARES EUROPE ETF COM 464287861 24 570 SH SOLE 570 0 0 ISHARES EXPANDED TECH STW SCTR ETF COM 464287515 4 22 SH Put DFND 22 0 0 ISHARES IBOXX HIGH YIELD BOND ETF COM 464288513 36 420 SH Put DFND 420 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 7 52 SH Put DFND 52 0 0 ISHARES US HOME CONSTRUCT ETF COM 464288752 1057 30000 SH DFND 30000 0 0 IVY HIGH INCOME OPPORTUNITIES CF COM 465893105 264 19567 SH DFND 19567 0 0 JD.COM ADR REP 2 CL A ORD SPONSORED ADR 47215P106 301 10000 SH DFND 10000 0 0 K12 ORD COM 48273U102 92 2700 SH DFND 2700 0 0 KALEIDO BIOSCIENCES ORD COM 483347100 14 1000 SH SOLE 1000 0 0 KAR AUCTION SERVICES ORD COM 48238T109 403 7864 SH SOLE 7864 0 0 KARYOPHARM THERAPEUTICS ORD COM 48576U106 5 1000 SH DFND 1000 0 0 KB FINANCIAL GROUP ADR REP ONE ORD SPONSORED ADR 48241A105 2844 76758 SH SOLE 76758 0 0 KELLY SERVICES CL B ORD COM 488152307 29 1380 SH SOLE 1380 0 0 KIRKLAND LAKE GOLD ORD COM 49741E100 1 34 SH Call DFND 34 0 0 KKR INCOME OPPORTUNITIES CF COM 48249T106 181 11700 SH DFND 11700 0 0 KNOT OFFSHORE PARTNERS COM UNT COM Y48125101 20 1100 SH SOLE 1100 0 0 KOREA ELECTRIC POWER ADR REP 1/2 ORD SPONSORED ADR 500631106 119 9150 SH SOLE 9150 0 0 KRATOS DEFENSE AND SECURITY SOLS ORD COM 50077B207 429 27500 SH SOLE 27500 0 0 KT ADR REP 1/2 ORD SPONSORED ADR 48268K101 3073 247026 SH SOLE 247026 0 0 KUSHCO HOLDINGS ORD COM 50133S103 2 500 SH SOLE 500 0 0 LADDER CAPITAL CL A ORD COM 505743104 7 426 SH DFND 426 0 0 LENNAR CL A ORD COM 526057104 62 1272 SH DFND 1272 0 0 LENNAR CL B ORD COM 526057302 23 599 SH SOLE 599 0 0 LIBERTY LATIN AMERICA CL C ORD COM G5480U153 91 4700 SH SOLE 4700 0 0 LIBRTY MEDIA LRTY SIRIUSXM SRS C ORD COM 531229607 79 2090 SH SOLE 2090 0 0 LILIS ENERGY ORD COM 532403201 14 12800 SH SOLE 12800 0 0 LIQTECH INTERNATIONAL ORD COM 53632A102 320 149276 SH SOLE 149276 0 0 LIVENT ORD COM 53814L108 63 5206 SH DFND 5206 0 0 LLOYDS BANKING GROUP ADR 4 ORD SPONSORED ADR 539439109 8330 2595250 SH SOLE 2595250 0 0 LMP CAPITAL & INCM CF COM 50208A102 10 852 SH DFND 852 0 0 LOUISIANA PACIFIC ORD COM 546347105 2 100 SH SOLE 100 0 0 LOVESAC COMPANY ORD COM 54738L109 100 3610 SH DFND 3610 0 0 LULULEMON ATHLETICA ORD COM 550021109 1573 9600 SH DFND 9600 0 0 LUMENTUM HOLDINGS ORD COM 55024U109 630 11150 SH SOLE 11150 0 0 LUXOFT HOLDING CL A ORD COM G57279104 282 4807 SH SOLE 4807 0 0 LYFT CL A ORD COM 55087P104 700 8950 SH DFND 8950 0 0 MACOM TECHNOLOGY SOLUTIONS ORD COM 55405Y100 125 7500 SH SOLE 7500 0 0 MACYS ORD COM 55616P104 11 472 SH DFND 472 0 0 MAGELLAN HEALTH ORD COM 559079207 52 800 SH SOLE 800 0 0 MAIDEN HLDNG 7.125 SRS C NON CUM PRF COM G5753U138 48 10000 SH SOLE 10000 0 0 MAIDEN HOLDINGS LTD COM 560292302 215 13307 SH SOLE 13307 0 0 MAIDEN HOLDINGS ORD COM G5753U112 0 400 SH SOLE 400 0 0 MARKER THERAPEUTICS ORD COM 57055L107 214 32480 SH DFND 32480 0 0 MARRIOTT INTERNATIONAL CL A ORD COM 571903202 100 800 SH DFND 800 0 0 MARVELL TECHNOLOGY GROUP ORD COM G5876H105 220 11096 SH SOLE 11096 0 0 MARVELL TECHNOLOGY GROUP ORD COM G5876H105 0 50 SH Call SOLE 50 0 0 MAXIM INTEGRATED PRODUCTS ORD COM 57772K101 733 13800 SH DFND 13800 0 0 MAXWELL TECHNOLOGIES ORD COM 577767106 3214 719235 SH DFND 719235 0 0 MAXWELL TECHNOLOGIES ORD COM 577767106 0 65 SH Put DFND 65 0 0 MCKESSON ORD COM 58155Q103 350 2992 SH DFND 2992 0 0 MDU RESOURCES GROUP ORD COM 552690109 12 497 SH DFND 497 0 0 MEDICINES ORD COM 584688105 335 12000 SH SOLE 12000 0 0 MEDIGUS ADR REP 20 ORD SPONSORED ADR 58471G300 5 1790 SH SOLE 1790 0 0 MEGALITH FINANCIAL ACQUISITION UNT COM 58518F208 79 7800 SH SOLE 7800 0 0 MELLANOX TECHNOLOGIES ORD COM M51363113 967 8170 SH SOLE 8170 0 0 MERCK & CO ORD COM 58933Y105 0 5 SH Call DFND 5 0 0 MFS CHARTER INCOME CF COM 552727109 170 21553 SH DFND 21553 0 0 MGM RESORTS INTERNATIONAL ORD COM 552953101 128 5000 SH DFND 5000 0 0 MICRO FOCUS INTERNATIONAL ADR COM 594837304 515 19998 SH SOLE 19998 0 0 MICROCHIP TECHNOLOGY ORD COM 595017104 180 2180 SH DFND 2180 0 0 MICRON SOLUTIONS ORD COM 59511X105 269 95971 SH SOLE 95971 0 0 MICROSOFT ORD COM 594918104 191 1622 SH DFND 1622 0 0 MITEK SYSTEMS ORD COM 606710200 58 4750 SH DFND 4750 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 0 300 SH SOLE 300 0 0 MONGODB CL A ORD COM 60937P106 1 13 SH Put DFND 13 0 0 MORGAN STANL DS REP 1/1000 SRS E PRF COM 61762V200 2 92 SH SOLE 92 0 0 MORGAN STANLEY EMERGING MKT DEBT CF COM 61744H105 154 17180 SH DFND 17180 0 0 MOUNTAIN PROVINCE DIAMONDS ORD COM 62426E402 6 7400 SH SOLE 7400 0 0 MSB FINANCIAL ORD COM 55352L101 0 1 SH DFND 1 0 0 MSC INDUSTRIAL CL A ORD COM 553530106 24 300 SH DFND 300 0 0 MTECH ACQUISITION CL A ORD COM 55378W107 59 5882 SH DFND 5882 0 0 MYLAN ORD COM N59465109 181 6419 SH SOLE 6419 0 0 MYLAN ORD COM N59465109 6 220 SH Call SOLE 220 0 0 NASPERS SPON 5 ADR REP CL N ORD SPONSORED ADR 631512209 0 4 SH SOLE 4 0 0 NATIONAL RETAIL PROPERTIES REIT ORD COM 637417106 57 1045 SH DFND 1045 0 0 NAVIGANT CONSULTING ORD COM 63935N107 2 145 SH Call SOLE 145 0 0 NETFLIX ORD COM 64110L106 755 2118 SH DFND 2118 0 0 NETFLIX ORD COM 64110L106 1 5 SH Call DFND 5 0 0 NETFLIX ORD COM 64110L106 6 19 SH Put DFND 19 0 0 NETSHOES CAYMAN ORD COM G6455X107 3 1900 SH SOLE 1900 0 0 NEUBERGER BERMAN HGH YLD STRATGS CF COM 64128C106 216 19200 SH DFND 19200 0 0 NEUROTROPE ORD COM 64129T207 11 2114 SH DFND 2114 0 0 NEVADA GOLD AND CASINOS ORD COM 64126Q206 124 50000 SH SOLE 50000 0 0 NEW AGE BEVERAGES ORD (NMS) COM 64157V108 0 81 SH Call DFND 81 0 0 NEWS CL B ORD COM 65249B208 80 6424 SH DFND 6424 0 0 NEXTERA ENERGY CAPITAL SERIES N PFD COM 65339K860 126 5000 SH SOLE 5000 0 0 NIELSEN HOLDINGS ORD COM G6518L108 47 2000 SH SOLE 2000 0 0 NIELSEN HOLDINGS ORD COM G6518L108 0 5 SH Put SOLE 5 0 0 NIKE CL B ORD COM 654106103 393 4675 SH DFND 4675 0 0 NINTENDO ADR COM 654445303 0 4 SH DFND 4 0 0 NIO ADS REP 1 CL A ORD COM 62914V106 149 29300 SH DFND 29300 0 0 NJ RESOURCES ORD COM 646025106 21 426 SH DFND 426 0 0 NOKIA ADR REPSG 1 SER A ORD SPONSORED ADR 654902204 487 85200 SH DFND 85200 0 0 NORDIC AMERICAN OFFSHORE ORD COM G65772207 0 100 SH SOLE 100 0 0 NORTHERN DYNASTY MINERALS ORD COM 66510M204 12 20000 SH SOLE 20000 0 0 NORTHSTAR REALTY EUROPE ORD COM 66706L101 86 5000 SH DFND 5000 0 0 NOVARTIS ADR REPSG 1 ORD SPONSORED ADR 66987V109 1282 13340 SH DFND 13340 0 0 NRTN TR 1000 DS REP 1 SRS C PREP PRF COM 665859872 50 2000 SH SOLE 2000 0 0 NTNL GN 40 DS REP 1 7.5 SRS C PRF COM 636220857 70 3216 SH SOLE 3216 0 0 NUTANIX CL A ORD COM 67059N108 0 25 SH Call DFND 25 0 0 NUVEEN AMT FREE MNCPL CRDT INCM CF COM 67071L106 213 14128 SH DFND 14128 0 0 NUVEEN AMT FREE MUNICIPAL CF COM 670695105 2 142 SH DFND 142 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 215 16126 SH DFND 16126 0 0 NUVEEN ARIZONA QLTY MNCPL INCM CF COM 67061W104 1 142 SH DFND 142 0 0 NUVEEN CALIF SELECT TAX-FREE INCM CF COM 67063R103 0 71 SH DFND 71 0 0 NUVEEN CALIFORNIA MUNICIPAL VALUE CF COM 67062C107 2 213 SH DFND 213 0 0 NUVEEN CALIFORNIA MUNICIPL VAL 2 CF COM 6706EB106 1 71 SH DFND 71 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 7 568 SH DFND 568 0 0 NUVEEN CORE EQUITY ALPHA CF COM 67090X107 15 1136 SH DFND 1136 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 299 38710 SH DFND 38710 0 0 NUVEEN DIVERSIFIED DIVIDEND INCM CF COM 6706EP105 9 923 SH DFND 923 0 0 NUVEEN DOW 30SM DYNAMIC OVRWRT CF COM 67075F105 31 1775 SH DFND 1775 0 0 NUVEEN ENHANCED MUNICIPAL VALUE CF COM 67074M101 1 142 SH DFND 142 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 10 1139 SH DFND 1139 0 0 NUVEEN FLOATING RATE INCOME CF COM 67072T108 1 142 SH DFND 142 0 0 NUVEEN GEORGIA QLTY MNCPL INCM CF COM 67072B107 1 142 SH DFND 142 0 0 NUVEEN GLOBAL HIGH INCOME CF COM 67075G103 4 284 SH DFND 284 0 0 NUVEEN HG INCM NOV 2021 TRGT NAV CF COM 67077N106 2 284 SH SOLE 284 0 0 NUVEEN HIGH INCOME 2020 CF COM 67075L102 1 142 SH DFND 142 0 0 NUVEEN INTERMEDIATE DURATION MUNI CF COM 670671106 146 11144 SH DFND 11144 0 0 NUVEEN MARYLAND QLTY MNCPL INCM CF COM 67061Q107 1 142 SH DFND 142 0 0 NUVEEN MASACHUSET QLTY MNCPL INCM CF COM 67061E104 0 71 SH DFND 71 0 0 NUVEEN MICHIGAN QLTY MNCPL INCM CF COM 670979103 1 142 SH DFND 142 0 0 NUVEEN MORTGAGE OPPORTUNITY TERM CF COM 670735109 3 142 SH DFND 142 0 0 NUVEEN MUNI HIGH INC OPPORTUNITY CF COM 670682103 5 426 SH DFND 426 0 0 NUVEEN MUNICIPAL CREDIT INCOME CF COM 67070X101 23 1562 SH DFND 1562 0 0 NUVEEN MUNICIPAL INCOME CF COM 67062J102 1 142 SH DFND 142 0 0 NUVEEN NASDAQ 100 DYNAMIC OVRWRT CF COM 670699107 34 1562 SH DFND 1562 0 0 NUVEEN NEW JERSEY QLTY MNCPL INCM CF COM 67069Y102 4 355 SH DFND 355 0 0 NUVEEN NEW YORK QLTY MNCPL INCM CF COM 67066X107 1 142 SH DFND 142 0 0 NUVEEN NY SELECT TAX-FREE INCM CF COM 67063V104 0 71 SH DFND 71 0 0 NUVEEN OHIO QLTY MNCPL INCM CF COM 670980101 2 142 SH DFND 142 0 0 NUVEEN PNSYLVANIA QLTY MNCPL INCM CF COM 670972108 4 355 SH DFND 355 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 15 1775 SH DFND 1775 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 5 568 SH DFND 568 0 0 NUVEEN PREFERRED AND INCOME TERM CF COM 67075A106 4 213 SH DFND 213 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 242 17883 SH DFND 17883 0 0 NUVEEN REAL ASSET INCOME AND GRO CF COM 67074Y105 4 284 SH DFND 284 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 6 639 SH DFND 639 0 0 NUVEEN S P 500 BUY WRITE INC CF COM 6706ER101 23 1775 SH DFND 1775 0 0 NUVEEN S P 500 DYNAMIC OVRWRT CF COM 6706EW100 16 1065 SH DFND 1065 0 0 NUVEEN SELECT TAX FREE INCOME 2 CF COM 67063C106 1 142 SH DFND 142 0 0 NUVEEN SELECT TAX-FREE INCOME 3 CF COM 67063X100 2 142 SH DFND 142 0 0 NUVEEN SELECT TAX-FREE INCOME CF COM 67062F100 2 142 SH DFND 142 0 0 NUVEEN SENIOR INCOME CF COM 67067Y104 1 284 SH DFND 284 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 4 284 SH DFND 284 0 0 NUVEEN TAX ADVNTGD DIVDND GRWTH CF COM 67073G105 9 568 SH DFND 568 0 0 NUVEEN TAX-ADVANTAGED TOTAL RETN CF COM 67090H102 4 426 SH DFND 426 0 0 NUVEEN TAXABLE MUNICIPAL INCM NAV CF COM 67074C103 158 7713 SH DFND 7713 0 0 NUVEEN VIRGINIA QLTY MNCPL INCM CF COM 67064R102 1 142 SH DFND 142 0 0 NUVEN CALIFOR AMT FREE QLT MNCPL CF COM 670651108 100 7206 SH DFND 7206 0 0 NVIDIA ORD COM 67066G104 332 1850 SH DFND 1850 0 0 NXCHAIN ORD COM 629471103 1 800 SH SOLE 800 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 75 850 SH SOLE 850 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 13 148 SH Call SOLE 148 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 3 39 SH Put SOLE 39 0 0 O'REILLY AUTOMOTIVE ORD COM 67103H107 406 1048 SH DFND 1048 0 0 OAKTREE CAPITAL GROUP CL A UNT (NYS) COM 674001201 0 6 SH Call SOLE 6 0 0 OAKTREE CAPITAL GROUP CL A UNT (NYS) COM 674001201 0 2 SH Put SOLE 2 0 0 OMEROS ORD (NMS) COM 682143102 0 5 SH Call SOLE 5 0 0 ONEOK ORD COM 682680103 0 6 SH DFND 6 0 0 ONESPAWORLD HOLDINGS LTD WRT 03/19/2024 COM P73684113 1393 102000 SH SOLE 102000 0 0 ONESPAWORLD HOLDINGS ORD COM P73684113 635 46543 SH SOLE 46543 0 0 OPKO HEALTH ORD COM 68375N103 0 200 SH SOLE 200 0 0 OUTFRONT MEDIA ORD COM 69007J106 3 147 SH DFND 147 0 0 OVERSTOCK COM ORD COM 690370101 166 10000 SH DFND 10000 0 0 OVERSTOCK COM ORD COM 690370101 0 20 SH Call DFND 20 0 0 OWENS ILLINOIS ORD COM 690768403 2 145 SH SOLE 145 0 0 PACIFIC BIOSCIENCES OF CALIFRNIA ORD COM 69404D108 26 3600 SH DFND 3600 0 0 PALO ALTO NETWORKS ORD COM 697435105 874 3600 SH DFND 3600 0 0 PAN AMER SILVER ORD COM 697900108 16 1270 SH DFND 1270 0 0 PAN AMER SILVER ORD COM 697900108 0 16 SH Put DFND 16 0 0 PARATEK PHARMACEUTICALS ORD COM 699374302 2 500 SH SOLE 500 0 0 PCM FUND CF COM 69323T101 1 142 SH DFND 142 0 0 PDL COMMUNITY BANCORP ORD COM 69290X101 2 200 SH DFND 200 0 0 PDS BIOTECHNOLOGY ORD COM 70465T107 1 200 SH SOLE 200 0 0 PDVWIRELESS ORD COM 69290R104 70 2000 SH SOLE 2000 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 3 284 SH DFND 284 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 264 38210 SH DFND 38210 0 0 PENNYMAC MORTGAGE INVEST REIT ORD COM 70931T103 5 258 SH DFND 258 0 0 PEOPLES UTD FINL SRS A PRF COM 712704204 74 3000 SH SOLE 3000 0 0 PERSHING GOLD ORD COM 715302204 244 210995 SH SOLE 210995 0 0 PERSHING SQR HLDNGS REG S CL USD ORD (PNK) COM G7016V101 274 15860 SH SOLE 15860 0 0 PERSPECTA ORD COM 715347100 53 2650 SH SOLE 2650 0 0 PETIQ CL A ORD COM 71639T106 56 1800 SH DFND 1800 0 0 PG&E ORD COM 69331C108 0 43 SH Call DFND 43 0 0 PGIM GLOBAL HIGH YIELD CF COM 69346J106 350 25110 SH DFND 25110 0 0 PGIM HIGH YIELD BOND CF COM 69346H100 320 22577 SH DFND 22577 0 0 PHI NON-VOTING ORD COM 69336T205 6 14549 SH SOLE 14549 0 0 PHIBRO ANIMAL HEALTH CL A ORD COM 71742Q106 19 600 SH SOLE 600 0 0 PILGRIMS PRIDE ORD COM 72147K108 508 22800 SH SOLE 22800 0 0 PILGRIMS PRIDE ORD COM 72147K108 17 800 SH Call SOLE 800 0 0 PIMCO CALIFOR MUNI INCM III CF COM 72201C109 3 284 SH DFND 284 0 0 PIMCO CALIFORNIA MUNICI INCOME II CF COM 72200M108 2 284 SH DFND 284 0 0 PIMCO CALIFORNIA MUNICIPAL INCOME CF COM 72200N106 2 142 SH DFND 142 0 0 PIMCO CORP INCOME CF COM 72200U100 4 284 SH DFND 284 0 0 PIMCO CORPORATE OPPORTUNITY CF COM 72201B101 19 1136 SH DFND 1136 0 0 PIMCO DYNAMIC INCOME CF COM 72201Y101 13 426 SH DFND 426 0 0 PIMCO DYNMC CRDT AND MRTG INCM CF COM 72202D106 225 9635 SH DFND 9635 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 61 3000 SH SOLE 3000 0 0 PIMCO GLOBAL STOCKSPLUS INCOME CF COM 722011103 2 142 SH DFND 142 0 0 PIMCO HIGH INCOME CF COM 722014107 16 1775 SH DFND 1775 0 0 PIMCO INCOME OPPORTUNITY CF COM 72202B100 3 142 SH DFND 142 0 0 PIMCO INCOME STRATEGY CF COM 72201H108 2 213 SH DFND 213 0 0 PIMCO INCOME STRATEGY II CF COM 72201J104 2 213 SH DFND 213 0 0 PIMCO MUNICIPAL INCOME CF COM 72200R107 5 355 SH DFND 355 0 0 PIMCO MUNICIPAL INCOME II CF COM 72200W106 9 639 SH DFND 639 0 0 PIMCO MUNICIPAL INCOME III CF COM 72201A103 3 284 SH DFND 284 0 0 PIMCO NEW YORK MUN INCOME III CF COM 72201E105 0 71 SH DFND 71 0 0 PIMCO NEW YORK MUNICI INCOME II CF COM 72200Y102 1 142 SH DFND 142 0 0 PIMCO NEW YORK MUNICIPAL INCOME CF COM 72200T103 1 142 SH DFND 142 0 0 PIMCO STRATEGIC INCOME CF COM 72200X104 4 426 SH DFND 426 0 0 PINTEC TECHNOLOGY HOLD ADR REP 7 ORD SPONSORED ADR 72352G107 1 100 SH SOLE 100 0 0 PIONEER DIVERSIFIED HIGH INCM CF COM 723653101 315 22162 SH DFND 22162 0 0 PIONEER HIGH INCOME CF COM 72369H106 198 22195 SH DFND 22195 0 0 PIONEER MUNICIPAL HIGH INCOME ADV CF COM 723762100 103 9600 SH DFND 9600 0 0 PIONEER MUNICIPAL HIGH INCOME CF COM 723763108 204 17100 SH DFND 17100 0 0 PITNEY BOWES ORD COM 724479100 1 250 SH Call DFND 250 0 0 PIVOTAL ACQUISITION CL A ORD COM 72583A101 4 500 SH DFND 500 0 0 PIVOTAL ACQUISITION CL A RED UNT COM 72583A200 290 28500 SH DFND 28500 0 0 PIVOTAL SOFTWARE CL A ORD COM 72582H107 30 1450 SH SOLE 1450 0 0 PNC FIN SRS P DS REP 1/4000TH PR PRF COM 693475857 26 1000 SH SOLE 1000 0 0 POINTER TELOCATION ORD COM M7946T104 28 1800 SH SOLE 1800 0 0 POLYMET MINING ORD COM 731916102 2 3700 SH SOLE 3700 0 0 PORTMAN RIDGE FINANCE ORD COM 73688F102 3 1020 SH DFND 1020 0 0 POSCO ADR REPSG 1/4 ORD SPONSORED ADR 693483109 1749 31682 SH SOLE 31682 0 0 POTNETWORK HOLDINGS INC COM 737636209 0 3000 SH SOLE 3000 0 0 POWELL INDUSTRIES ORD COM 739128106 57 2172 SH SOLE 2172 0 0 PPL ORD COM 69351T106 593 18700 SH DFND 18700 0 0 PRECISION BIOSCIENCES ORD COM 74019P108 2 150 SH SOLE 150 0 0 PROFIRE ENERGY ORD COM 74316X101 15 8660 SH DFND 8660 0 0 PROSHARES SHORT HIGH YIELD ETF (PSE) COM 74347R131 69 3162 SH Call SOLE 3162 0 0 PROSHARES ULTRA S&P 500 ETF COM 74347R107 55 475 SH DFND 475 0 0 PROSHARES ULTRASHORT S&P 500 ETF COM 74347B383 54 1650 SH DFND 1650 0 0 PROSHRES ULTRASHT 20 PLS YR TRSY ETF COM 74347B201 12 400 SH DFND 400 0 0 PUTNAM MASTER INTERMEDIATE INCOME CF COM 746909100 0 213 SH DFND 213 0 0 PUTNAM MUNICIPAL OPPORTUNITIES CF COM 746922103 5 426 SH DFND 426 0 0 PUTNAM PREMIER INCOME CF COM 746853100 4 852 SH DFND 852 0 0 PUYI ADR COM 69373Y109 1 200 SH SOLE 200 0 0 PVH ORD COM 693656100 365 3000 SH SOLE 3000 0 0 PYXUS INTERNATIONAL ORD COM 74737V106 2 92 SH DFND 92 0 0 QEP RESOURCES ORD (NYS) COM 74733V100 0 32 SH Call DFND 32 0 0 QORVO ORD COM 74736K101 201 2810 SH DFND 2810 0 0 QUALCOMM ORD COM 747525103 230 4040 SH DFND 4040 0 0 QUALCOMM ORD COM 747525103 12 225 SH Call DFND 225 0 0 QUALCOMM ORD COM 747525103 2 50 SH Put DFND 50 0 0 QUEST DIAGNOSTICS ORD COM 74834L100 89 1000 SH SOLE 1000 0 0 QUORUM HEALTH ORD COM 74909E106 10 7500 SH SOLE 7500 0 0 RA MEDICAL SYSTEMS ORD COM 74933X104 22 6500 SH SOLE 6500 0 0 RAFAEL HOLDINGS CL B ORD COM 75062E106 3 262 SH SOLE 262 0 0 READY CAPITAL ORD COM 75574U101 0 2 SH DFND 2 0 0 REALM THERAPEUTICS PLC COM 75606L103 138 35242 SH SOLE 35242 0 0 REAVES UTILITY INCOME CF COM 756158101 212 6313 SH DFND 6313 0 0 RED HAT ORD COM 756577102 15945 87278 SH DFND 87278 0 0 REDFIN ORD COM 75737F108 36 1800 SH DFND 1800 0 0 REEDS ORD COM 758338107 0 325 SH DFND 325 0 0 REGULUS RESOURCES ORD COM 75915G100 3 2500 SH DFND 2500 0 0 RESMED ORD COM 761152107 1807 17384 SH SOLE 17384 0 0 REWALK ROBOTICS LTD COM M8216Q200 8 1600 SH SOLE 1600 0 0 RIO TINTO ADR REP ONE ORD SPONSORED ADR 767204100 6994 118859 SH DFND 118859 0 0 RITE AID ORD COM 767754104 2 4100 SH DFND 4100 0 0 RIVERNORTH DOUBLLINE STRTGC OPTY CF COM 76882G107 165 10080 SH SOLE 10080 0 0 RIVERNORTH OPPORTUNI MUN INC NAV CF COM 76883F108 99 4800 SH SOLE 4800 0 0 ROSETTA STONE ORD COM 777780107 336 15381 SH SOLE 15381 0 0 ROWAN COMPANIES CL A ORD COM G7665A101 16 1494 SH SOLE 1494 0 0 RUSH ENTERPRISES CL A ORD COM 781846209 27 650 SH SOLE 650 0 0 RYANAIR HOLDINGS ADR REP 5 ORD SPONSORED ADR 783513203 2530 33762 SH SOLE 33762 0 0 SABRA HEALTH CARE REIT ORD COM 78573L106 11 598 SH DFND 598 0 0 SAFEGUARD SCIENTIFICS ORD COM 786449207 86 8000 SH SOLE 8000 0 0 SAILPOINT TECHNOLOGIES HOLDINGS ORD COM 78781P105 0 21 SH Call DFND 21 0 0 SALESFORCE.COM ORD (NYS) COM 79466L302 1 10 SH Call DFND 10 0 0 SAMSUNG ELECTRONICS REG S GDR COM 796050888 0 1 SH SOLE 1 0 0 SANDERSON FARMS ORD COM 800013104 407 3088 SH DFND 3088 0 0 SAREPTA THERAPEUTICS ORD COM 803607100 357 3000 SH DFND 3000 0 0 SB ONE BANCORP ORD COM 78413T103 262 12065 SH DFND 12065 0 0 SCHULTZE SPECIAL PURPOSE ACQUISI ORD COM 80821R109 0 62 SH DFND 62 0 0 SCHULTZE SPECIAL PURPOSE ACQUISI UNT COM 80821R208 11 1150 SH DFND 1150 0 0 SEA ADS REP CL A ORD COM 81141R100 0 42 SH Call DFND 42 0 0 SEABRIDGE GOLD ORD COM 811916105 0 40 SH Call DFND 40 0 0 SECOND STREET CAPITAL ORD COM 813630100 0 20 SH SOLE 20 0 0 SECURITY DEVICES INTL ORD COM 814196101 39 261000 SH SOLE 261000 0 0 SELECT SECTOR HEALTH CARE SPDR ETF COM 81369Y209 367 4000 SH DFND 4000 0 0 SELECT SECTOR UTI SELECT SPDR ETF COM 81369Y886 712 12254 SH DFND 12254 0 0 SELECT STR FINANCIAL SELECT SPDR ETF COM 81369Y605 13 544 SH DFND 544 0 0 SELECTA BIOSCIENCES ORD COM 816212104 2 1000 SH SOLE 1000 0 0 SENECA FOODS CL B ORD COM 817070105 36 1489 SH SOLE 1489 0 0 SHIFTPIXY ORD COM 82452L104 4 3500 SH DFND 3500 0 0 SHINHAN FINANCIAL ADR REPSG 1 ORD SPONSORED ADR 824596100 1869 50319 SH SOLE 50319 0 0 SHOE CARNIVAL ORD COM 824889109 302 8900 SH DFND 8900 0 0 SHORE COMMUNITY BANK TOMS RIVER ORD COM 825112105 33 2400 SH DFND 2400 0 0 SIBANYE STILLWATER ADR REP 4 ORD SPONSORED ADR 825724206 168 40800 SH DFND 40800 0 0 SIGMA DESIGNS ORD COM 826565103 1 6300 SH SOLE 6300 0 0 SILICON LABORATORIES ORD COM 826919102 161 2000 SH SOLE 2000 0 0 SKECHERS USA CL A ORD COM 830566105 33 1000 SH SOLE 1000 0 0 SMART GLOBAL HOLDINGS ORD COM G8232Y101 288 15000 SH SOLE 15000 0 0 SMITH MICRO SOFTWARE ORD COM 832154207 106 37991 SH SOLE 37991 0 0 SNAP CL A ORD COM 83304A106 1349 122500 SH DFND 122500 0 0 SNAP CL A ORD COM 83304A106 3 275 SH Call DFND 275 0 0 SORL AUTO PARTS ORD (NMS) COM 78461U101 0 10 SH Call SOLE 10 0 0 SOUTHERN MISSOURI BANCORP ORD COM 843380106 9 300 SH DFND 300 0 0 SPARK THERAPEUTICS ORD COM 84652J103 31885 279993 SH DFND 279993 0 0 SPARTAN ENERGY ACQUISITION CL A ORD COM 846784106 17 1800 SH SOLE 1800 0 0 SPARTAN ENERGY ACQUISITION CL A UNT COM 846784114 14 1400 SH SOLE 1400 0 0 SPDR BLMBERG BRCLY CONV SECRT ETF COM 78464A359 365 7000 SH DFND 7000 0 0 SPDR FUND CONSUMER DISCRE SELECT ETF (PSE) COM 81369Y407 4 36 SH Put DFND 36 0 0 SPDR FUND CONSUMER STAPLES ETF COM 81369Y308 17 320 SH Put DFND 320 0 0 SPDR FUND MATERIALS SELECT SECTR ETF COM 81369Y100 166 3002 SH Put DFND 3002 0 0 SPDR GOLD SHARES ETF COM 78463V107 365 2996 SH DFND 2996 0 0 SPDR GOLD SHARES ETF COM 78463V107 4 33 SH Call DFND 33 0 0 SPDR S&P 500 ETF COM 78462F103 1398 4951 SH Put DFND 4951 0 0 SPDR S&P HOMEBUILDERS ETF COM 78464A888 255 6622 SH DFND 6622 0 0 SPDR S&P RETAIL ETF (PSE) COM 78464A714 2 63 SH Put DFND 63 0 0 SPRINT ORD COM 85207U105 3 668 SH Call DFND 668 0 0 SSR MINING ORD COM 784730103 3 250 SH DFND 250 0 0 STITCH FIX CL A ORD COM 860897107 141 5000 SH DFND 5000 0 0 STOCK YARDS BANCORP ORD COM 861025104 4 142 SH DFND 142 0 0 STURM RUGER ORD COM 864159108 47 900 SH DFND 900 0 0 SUNNYSIDE BANCORP ORD COM 867475105 95 7500 SH SOLE 7500 0 0 SYNAPTICS ORD COM 87157D109 473 11900 SH DFND 11900 0 0 SYNAPTICS ORD COM 87157D109 6 165 SH Call DFND 165 0 0 SYNOVUS FINANCIAL ORD COM 87161C501 9 284 SH DFND 284 0 0 SYNTHETIC BIOLOGICS ORD COM 87164U201 4 7000 SH SOLE 7000 0 0 T MOBILE US ORD COM 872590104 495 7178 SH DFND 7178 0 0 TABLEAU SOFTWARE CL A ORD COM 87336U105 190 1500 SH DFND 1500 0 0 TAIWAN SEMICONDUCTOR MNFTG ADR 5 ORD SPONSORED ADR 874039100 327 8000 SH SOLE 8000 0 0 TAKE TWO INTERACTIVE SOFTWARE ORD (NMS) COM 874054109 0 5 SH Call DFND 5 0 0 TAKEDA PHARMACEUTICL ADR REP 0.5 ORD SPONSORED ADR 874060205 1714 84146 SH DFND 84146 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF (PSE) COM 81369Y803 49 668 SH Put DFND 668 0 0 TESLA ORD COM 88160R101 68 243 SH Call DFND 243 0 0 TESLA ORD COM 88160R101 52 189 SH Put DFND 189 0 0 THERAPEUTICSMD ORD (ASE) COM 88338N107 0 50 SH Call DFND 50 0 0 THESTREET ORD COM 88368Q103 18 8106 SH SOLE 8106 0 0 THL CREDIT ORD COM 872438106 150 23000 SH DFND 23000 0 0 THL CREDIT SENIOR LOAN CF COM 87244R103 151 9877 SH SOLE 9877 0 0 TIDELANDS OIL AND GAS ORD COM 886405109 0 526323 SH SOLE 526323 0 0 TIDEWATER ORD COM 88642R109 76 3300 SH DFND 3300 0 0 TIDEWATER ORD COM 88642R109 0 40 SH Call DFND 40 0 0 TIVITY HEALTH ORD (NMS) COM 88870R102 0 38 SH Put DFND 38 0 0 TOLL BROTHERS ORD COM 889478103 25 700 SH DFND 700 0 0 TORONTO DOMINION ORD COM 891160509 119 2205 SH SOLE 2205 0 0 TOUGHBUILT INDUSTRIES ORD COM 89157G207 3 2000 SH DFND 2000 0 0 TRADE DESK CL A ORD COM 88339J105 811 4100 SH DFND 4100 0 0 TRADE DESK CL A ORD COM 88339J105 3 17 SH Put DFND 17 0 0 TRANSDIGM GROUP ORD COM 893641100 0 1 SH DFND 1 0 0 TRANSOCEAN ORD (NYS) COM H8817H100 17 2000 SH Call SOLE 2000 0 0 TRAVELPORT WORLDWIDE ORD COM G9019D104 210 13400 SH SOLE 13400 0 0 TREX ORD COM 89531P105 1234 20065 SH DFND 20065 0 0 TREX ORD COM 89531P105 25 410 SH Call DFND 410 0 0 TRIBUNE MEDIA CL A ORD COM 896047503 9 200 SH DFND 200 0 0 TRIBUNE MEDIA CL A ORD COM 896047503 0 10 SH Put DFND 10 0 0 TRIBUNE PUBLISHING ORD COM 89609W107 206 17500 SH SOLE 17500 0 0 TRIBUNE PUBLISHING ORD COM 89609W107 1 157 SH Call SOLE 157 0 0 TRINE ACQUISITION CL A RED UNT COM 89628U207 723 72181 SH DFND 72181 0 0 TRINITY MERGER CL A ORD COM 89653L106 2 285 SH SOLE 285 0 0 TROVAGENE ORD COM 897238606 7 2000 SH DFND 2000 0 0 TRUSTCO BANK ORD COM 898349105 5 710 SH DFND 710 0 0 TSAKOS ENR NVG CUM RED PRP SRS E PRF COM G9108L157 44 2000 SH SOLE 2000 0 0 TUANCHE ADR COM 89856T104 10 1500 SH SOLE 1500 0 0 TWIN RIVER WORLDWIDE HOLDINGS ORD COM 90171V204 20 700 SH SOLE 700 0 0 TWITTER ORD COM 90184L102 65 2000 SH DFND 2000 0 0 TYSON FOODS CL A ORD COM 902494103 124 1800 SH DFND 1800 0 0 TYSON FOODS CL A ORD COM 902494103 6 100 SH Call DFND 100 0 0 UBS GROUP N ORD COM H42097107 2422 200000 SH SOLE 200000 0 0 UGI ORD COM 902681105 43 781 SH DFND 781 0 0 ULTIMATE SOFTWARE GROUP ORD COM 90385D107 1980 6000 SH SOLE 6000 0 0 ULTIMATE SOFTWARE GROUP ORD COM 90385D107 8 26 SH Put SOLE 26 0 0 UNDER ARMOUR CL C ORD COM 904311206 331 17572 SH DFND 17572 0 0 UNITED BANKSHARES ORD COM 909907107 66 1846 SH DFND 1846 0 0 UNITED MICR ELCTRNS ADR REP 5 ORD SPONSORED ADR 910873405 470 250000 SH DFND 250000 0 0 UNIVEST FINANCIAL ORD COM 915271100 5 213 SH DFND 213 0 0 UQM TECHNOLOGIES ORD COM 903213106 2068 1253526 SH SOLE 1253526 0 0 URSTADT BIDDLE REIT ORD COM 917286106 33 1988 SH SOLE 1988 0 0 US DS REP 1/1000 SR B NON CUM PR PRF COM 902973155 144 7700 SH SOLE 7700 0 0 US STEEL ORD COM 912909108 13 681 SH DFND 681 0 0 USG ORD COM 903293405 0 11 SH Call DFND 11 0 0 VANECK VECTOR JUNR GOLD MNRS ETF COM 92189F791 121 3831 SH DFND 3831 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 1275 56900 SH DFND 56900 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 4 200 SH Call DFND 200 0 0 VANECK VECTORS OIL SERVICES ETF COM 92189F718 51 3000 SH DFND 3000 0 0 VANECK VECTORS SEMICONDUCTOR ETF COM 92189F676 23 225 SH Put DFND 225 0 0 VANECK VECTR HG YLD MCPL INDX ETF COM 92189H409 941 15000 SH DFND 15000 0 0 VANECK VECTR HG YLD MCPL INDX ETF COM 92189H409 52 842 SH Put DFND 842 0 0 VANGUARD DIVIDEND APPRECIATION ETF COM 921908844 0 2 SH DFND 2 0 0 VEEVA SYSTEMS CL A ORD COM 922475108 0 2 SH DFND 2 0 0 VERSUM MATERIALS ORD COM 92532W103 822 16351 SH DFND 16351 0 0 VERSUM MATERIALS ORD COM 92532W103 1 20 SH Put DFND 20 0 0 VIACOM CL B ORD COM 92553P201 11 410 SH DFND 410 0 0 VIACOM CL B ORD COM 92553P201 0 30 SH Call DFND 30 0 0 VIKING THERAPEUTICS ORD COM 92686J106 52 5300 SH DFND 5300 0 0 VIKING THERAPEUTICS ORD COM 92686J106 5 530 SH Call DFND 530 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 7 500 SH SOLE 500 0 0 VOYA FINANCIAL ORD COM 929089100 74 1500 SH DFND 1500 0 0 VOYA PRIME RATE CF COM 92913A100 0 200 SH SOLE 200 0 0 VUZIX ORD (NMS) COM 92921W300 0 50 SH Call DFND 50 0 0 WABCO HOLDINGS ORD COM 92927K102 9 75 SH Call DFND 75 0 0 WALGREEN BOOTS ALLIANCE ORD COM 931427108 0 15 SH DFND 15 0 0 WALMART ORD COM 931142103 53 544 SH DFND 544 0 0 WALT DISNEY ORD COM 254687106 22699 204444 SH DFND 204444 0 0 WATFORD HOLDINGS ORD COM G94787101 79 2979 SH SOLE 2979 0 0 WEIGHT WATCHERS INTERNATIONAL ORD COM 948626106 4 200 SH DFND 200 0 0 WELLCARE HEALTH ORD COM 94946T106 229 850 SH SOLE 850 0 0 WELLCARE HEALTH ORD COM 94946T106 2 9 SH Put SOLE 9 0 0 WELLS FARGO GLOBAL DIVIDEND OPPO CF COM 94987C103 9 1775 SH DFND 1775 0 0 WELLS FARGO INCOME OPPORTUNITS CF COM 94987B105 187 23826 SH DFND 23826 0 0 WELLS FARGO MULTI SECTOR INCOME CF COM 94987D101 12 1065 SH DFND 1065 0 0 WELLS FARGO ORD COM 949746101 60 1250 SH DFND 1250 0 0 WELLS FARGO UTLTS AND HGH INCM CF COM 94987E109 1 142 SH DFND 142 0 0 WESBANCO ORD COM 950810101 14 355 SH DFND 355 0 0 WESDOME GOLD MINES ORD COM 95083R100 442 139001 SH DFND 139001 0 0 WESTERN ASSET CORPORATE LOAN CF COM 95790J102 1 142 SH DFND 142 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 120 8852 SH DFND 8852 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 2 142 SH DFND 142 0 0 WESTERN ASSET INVEST GR DEF OPP CF COM 95790A101 2 142 SH DFND 142 0 0 WESTERN ASSET INVSTMNT GRADE INCM CF COM 95766T100 2 142 SH DFND 142 0 0 WESTERN ASSET MRTG DEFINED OPPTY CF COM 95790B109 163 7862 SH DFND 7862 0 0 WESTERN ASSET MUNICIPAL HGH INCM CF COM 95766N103 1 142 SH DFND 142 0 0 WESTERN ASSET MUNICIPAL PARTNERS CF COM 95766P108 2 142 SH DFND 142 0 0 WESTERN ASSET PREMIER BOND CF COM 957664105 2 215 SH DFND 215 0 0 WESTERN ASST GLBAL HIGH INCOME CF COM 95766B109 184 19645 SH DFND 19645 0 0 WESTERN ASST HIGH INCM II CF COM 95766J102 178 27527 SH DFND 27527 0 0 WESTERN ASST MNGD MUNCPLS CF COM 95766M105 2 213 SH DFND 213 0 0 WESTERN AST GLB CORP DEFIND OPPTY CF COM 95790C107 4 284 SH DFND 284 0 0 WESTERN DIGITAL ORD COM 958102105 122 2550 SH DFND 2550 0 0 WESTWOOD HOLDINGS GROUP ORD COM 961765104 2 71 SH DFND 71 0 0 WORLD WRESTLING ENTERTAINM CL A ORD COM 98156Q108 86 1000 SH DFND 1000 0 0 WORLDPAY CL A ORD COM 981558109 70 625 SH DFND 625 0 0 WRAP TECHNOLOGIES ORD COM 98212N107 35 5000 SH SOLE 5000 0 0 XPO LOGISTICS ORD COM 983793100 698 13000 SH DFND 13000 0 0 XPO LOGISTICS ORD COM 983793100 1 20 SH Call DFND 20 0 0 YANDEX CL A ORD COM N97284108 103 3000 SH SOLE 3000 0 0 YATRA ONLINE ORD COM G98338109 12 2500 SH SOLE 2500 0 0 ZAYO GROUP HOLDINGS ORD COM 98919V105 2557 89997 SH DFND 89997 0 0 ZAYO GROUP HOLDINGS ORD COM 98919V105 49 1744 SH Call DFND 1744 0 0 ZILLOW GROUP CL A ORD COM 98954M101 0 9 SH Put DFND 9 0 0 ZILLOW GROUP CL C ORD COM 98954M200 2 65 SH Put DFND 65 0 0 ZIMMER BIOMET HOLDINGS ORD COM 98956P102 54 425 SH DFND 425 0 0 ZIOPHARM ONCOLGY ORD (NMS) COM 98973P101 0 5 SH Call DFND 5 0 0 ZUORA CL A ORD COM 98983V106 100 5000 SH DFND 5000 0 0 ZYNERBA PHARMACEUTICALS ORD COM 98986X109 2 500 SH DFND 500 0 0