0001742998-21-000005.txt : 20210412 0001742998-21-000005.hdr.sgml : 20210412 20210412094428 ACCESSION NUMBER: 0001742998-21-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210412 DATE AS OF CHANGE: 20210412 EFFECTIVENESS DATE: 20210412 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: 21819588 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 03-31-2021 03-31-2021 FNY Investment Advisers, LLC

90 PARK AVENUE, 5TH FLOOR NEW YORK NY 10016

13F HOLDINGS REPORT 028-18846 N Shawn Fischman 212-331-6872 Shawn Fischman New York NY 04-12-2021 1 804 268720 false 1 0001589689 MYDA Advisors LLC INFORMATION TABLE 2 FNYIA.xml FNYIA2021Q1 1LIFE HEALTHCARE ORD COM 68269G107 15 400 SH SOLE 400 0 0 26 CAPITAL ACQUISITION UNT COM 90138P209 1 100 SH SOLE 100 0 0 3D SYSTEMS ORD COM 88554D205 411 15000 SH SOLE 15000 0 0 3D SYSTEMS ORD COM 88554D205 4 150 SH Put SOLE 150 0 0 890 5TH AVENUE PARTNERS CL A ORD COM 28250A105 145 15000 SH SOLE 15000 0 0 890 5TH AVENUE PARTNERS UNT COM 28250A204 167 16700 SH SOLE 16700 0 0 ABCELLERA BIOLOGICS ORD COM 00288U106 20 602 SH SOLE 602 0 0 ABERDEEN ASIA PACIFIC INCOME CF COM 003009107 172 42251 SH SOLE 42251 0 0 ABERDEEN GLOBAL PREMIER PROPERTIE CF COM 00302L108 92 15628 SH SOLE 15628 0 0 ABERDEEN INCOME CREDIT STRATEGIES CF COM 003057106 101 8748 SH SOLE 8748 0 0 ABERDEEN STNDRD GLB INFR INCM NAV CF COM 00326W106 6 344 SH SOLE 344 0 0 ABG ACQUISITION I CL A ORD COM G00496102 178 18054 SH SOLE 18054 0 0 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TRUST/ABERDEEN EMERGING OPP CF COM 33731K102 7 521 SH SOLE 521 0 0 FISKER CL A ORD COM 33813J106 368 21423 SH SOLE 21423 0 0 FLAHERTY & CRMRN PRF INCM SEC NAV CF COM 338478100 102 4369 SH SOLE 4369 0 0 FLUIDIGM ORD COM 34385P108 131 29116 SH SOLE 29116 0 0 FLUX POWER HOLDINGS ORD COM 344057302 3195 246735 SH SOLE 246735 0 0 FOLEY TRASIMENE ACQ CL A ORD COM 34431F104 2 200 SH SOLE 200 0 0 FOREST ROAD ACQUISITION CL A ORD COM 34619R102 1125 111230 SH SOLE 111230 0 0 FORTIVE ORD COM 34959J108 141 2000 SH SOLE 2000 0 0 FORTRESS CAPITAL ACQUISITION UNT COM G36427113 66 6620 SH SOLE 6620 0 0 FORTRESS VALUE ACQUISITION CORP II COM 349642108 49 5000 SH SOLE 5000 0 0 FORTRESS VALUE ACQUISITION III CORP COM 34964G107 1 200 SH SOLE 200 0 0 FORTRESS VALUE ACQUISITION UNT COM 34964G206 14 1400 SH SOLE 1400 0 0 FORUM MERGER III CL A ORD COM 349885103 0 100 SH SOLE 100 0 0 FORUM MERGER III UNT COM 349885202 1 110 SH SOLE 110 0 0 FOX CORPORATION ORD COM 35137L204 17 500 SH SOLE 500 0 0 FREEPORT MCMORAN ORD COM 35671D857 236 7180 SH SOLE 7180 0 0 FREQUENCY THERAPEUTICS ORD COM 35803L108 13 1400 SH SOLE 1400 0 0 FT DYNAMIC EUROPE EQUITY INCOME CF COM 33740D107 57 4549 SH SOLE 4549 0 0 FTAC OLYMPUS ACQUISITION CL A ORD COM G37288100 1140 107900 SH SOLE 107900 0 0 FTAC OLYMPUS ACQUISITION UNT COM G37288118 1 100 SH SOLE 100 0 0 FTE NETWORKS ORD COM 30283R402 5 4000 SH SOLE 4000 0 0 GABELLI CONVERTBLE & INCM SECURTY CF COM 36240B109 22 3616 SH SOLE 3616 0 0 GABELLI GLB SML MID CAP VAL CF COM 36249W104 30 2074 SH SOLE 2074 0 0 GAMESTOP CL A ORD COM 36467W109 0 2 SH SOLE 2 0 0 GASLOG PRTN CUM RED PERP SRS B PRF COM Y2687W124 74 3423 SH SOLE 3423 0 0 GENESIS PARK ACQ CL A ORD COM G38245109 157 15000 SH SOLE 15000 0 0 GENIUS BRANDS INTERNATIONAL ORD COM 37229T301 0 60 SH Call SOLE 60 0 0 GENIUS PRODUCTS ORD COM 37229R305 0 122 SH SOLE 122 0 0 GENMAB ADR COM 372303206 492 15000 SH SOLE 15000 0 0 GENOCEA BIOSCIENCES ORD COM 372427401 514 190000 SH SOLE 190000 0 0 GENWORTH FINANCIAL CL A ORD COM 37247D106 19 6000 SH SOLE 6000 0 0 GEO GROUP REIT ORD COM 36162J106 38 5000 SH SOLE 5000 0 0 GERON ORD COM 374163103 24 15747 SH SOLE 15747 0 0 GIGCAPITAL4 UNT COM 37518G200 2 300 SH SOLE 300 0 0 GLADSTONE CAPITAL ORD COM 376535100 78 7875 SH SOLE 7875 0 0 GLADSTONE INVESTMENT ORD COM 376546107 48 4001 SH SOLE 4001 0 0 GLOBAL X SILVER MINERS ETF COM 37954Y848 49 1250 SH SOLE 1250 0 0 GLOBALSTAR VTG ORD COM 378973408 155 115000 SH SOLE 115000 0 0 GLOBALSTAR VTG ORD COM 378973408 1 1202 SH Call SOLE 1202 0 0 GLOBIS ACQUISITION ORD COM 379582109 6 700 SH SOLE 700 0 0 GO ACQUISITION CL A ORD COM 362019101 52 5280 SH SOLE 5280 0 0 GODADDY CL A ORD COM 380237107 232 3000 SH SOLE 3000 0 0 GOLDEN ARROW MERGER UNT COM 380799205 0 100 SH SOLE 100 0 0 GOLDEN FALCON ACQUISITION CL A ORD COM 38102H109 23 2409 SH SOLE 2409 0 0 GOLDMAN SACHS BDC ORD COM 38147U107 97 5034 SH SOLE 5034 0 0 GOLDMAN SACHS MLP ENERGY RENSANC ORD COM 38148G206 145 15071 SH SOLE 15071 0 0 GOLUB CAPITAL BDC ORD COM 38173M102 133 9100 SH SOLE 9100 0 0 GOOD WORKS ACQUISITION ORD COM 38216X107 1706 157600 SH SOLE 157600 0 0 GORES HOLDINGS V ORD COM 382864106 27 2800 SH SOLE 2800 0 0 GORES HOLDINGS V UNT COM 382864205 7 700 SH SOLE 700 0 0 GORES HOLDINGS VI CL A ORD COM 38286R105 142 10400 SH SOLE 10400 0 0 GORES METROPOULOS II UNT COM 382873206 0 80 SH SOLE 80 0 0 GRAYSCALE BITCOIN ORD COM 389637109 130 2600 SH SOLE 2600 0 0 GREEN GROWTH BRANDS ORD COM 39305B105 32 997000 SH SOLE 997000 0 0 GREENBOX POS ORD COM 39366L208 986 70454 SH SOLE 70454 0 0 GREENLANE HOLDINGS CL A ORD COM 395330103 68 12889 SH SOLE 12889 0 0 GREENLIGHT CAPITAL CL A ORD COM G4095J109 103 11900 SH SOLE 11900 0 0 GREENROSE ACQUISITION ORD COM 395392103 54 5500 SH SOLE 5500 0 0 GREENVISION ACQUISITION ORD COM 39678G103 4 420 SH SOLE 420 0 0 GREIF CL B ORD COM 397624206 292 5116 SH SOLE 5116 0 0 GROWTH CAPITAL ACQUISITION UNT COM 39986V206 99 10000 SH SOLE 10000 0 0 GRUBHUB ORD COM 400110102 10649 177484 SH SOLE 177484 0 0 GRUPO ARPRTUR DL ADR REP 8 SRS B ORD SPONSORED ADR 400501102 404 8000 SH SOLE 8000 0 0 GS ACQUISITION HOLDINGS II CL A ORD COM 36258Q105 761 73000 SH SOLE 73000 0 0 GS ACQUISITION HOLDINGS UNT COM 36258Q204 1 100 SH SOLE 100 0 0 GSX TECHEDU 3 ADR REP 2 CL A ORD SPONSORED ADR 36257Y109 6 200 SH SOLE 200 0 0 GSX TECHEDU 3 ADR REP 2 CL A ORD SPONSORED ADR 36257Y109 0 5 SH Call SOLE 5 0 0 GUANGSHEN RAILWAY ADR COM 40065W107 4 480 SH SOLE 480 0 0 GUGGENHEIM ENHANCED EQUITY INCOME CF COM 40167B100 67 9375 SH SOLE 9375 0 0 GX ACQUISITON CL A ORD COM 36251A107 381 37800 SH SOLE 37800 0 0 GX ACQUISITON UNT COM 36251A206 12 1220 SH SOLE 1220 0 0 HEALTH SCIENCES ACQUISITIONS ORD COM G4411D109 33 3000 SH SOLE 3000 0 0 HEALTHCOR CATALIO ACQUISTN CL A ORD COM G44125105 1025 102500 SH SOLE 102500 0 0 HECLA MINING ORD COM 422704106 113 20000 SH SOLE 20000 0 0 HEICO ORD COM 422806109 260 2070 SH SOLE 2070 0 0 HERCULES CAPITAL ORD COM 427096508 141 8839 SH SOLE 8839 0 0 HIG ACQ CL A ORD COM G44898107 59 6000 SH SOLE 6000 0 0 HIGHCAPE CAPITAL ACQUISITIN CL A ORD COM 42984L105 2 250 SH SOLE 250 0 0 HIGHLAND GLOB ALLO NAV CF COM 43010T104 79 10359 SH SOLE 10359 0 0 HIGHLAND INCOME CF COM 43010E404 238 21485 SH SOLE 21485 0 0 HORIZON ACQSN II COM G46044106 1 115 SH SOLE 115 0 0 HORIZON ACQUISITION CL A ORD COM G46049105 5 600 SH SOLE 600 0 0 HORIZON TECHNOLOGY FINANCE ORD COM 44045A102 134 9386 SH SOLE 9386 0 0 HUDSON EXECUTIVE INVESTMENT CL A ORD COM 443761101 101 10200 SH SOLE 10200 0 0 HYCROFT MINING HOLDING CL A ORD COM 44862P109 3 1100 SH SOLE 1100 0 0 HYLIION HOLDINGS CL A ORD COM 449109107 31 2995 SH SOLE 2995 0 0 IDERA PHARMACEUTICALS ORD COM 45168K405 1 1500 SH SOLE 1500 0 0 IMMATICS ORD COM N44445109 3 300 SH SOLE 300 0 0 IMMUNITYBIO ORD COM 45256X103 1 67 SH Call SOLE 67 0 0 INFLARX ORD COM N44821101 1365 350000 SH SOLE 350000 0 0 INMUNE BIO ORD COM 45782T105 73 6200 SH SOLE 6200 0 0 INPHI ORD COM 45772F107 422 2367 SH SOLE 2367 0 0 INPHONIC ORD (OTC) COM 45772G105 0 14472 SH SOLE 14472 0 0 INSU ACQUISITION III CL A ORD COM 457817104 4 500 SH SOLE 500 0 0 INTEL ORD COM 458140100 384 6000 SH SOLE 6000 0 0 INTERNATIONAL BUSINESS MACHINES ORD COM 459200101 13 100 SH SOLE 100 0 0 INVESCO BOND CF COM 46132L107 79 3963 SH SOLE 3963 0 0 INVESCO CREDIT DYNAMIC OPP CF COM 46132R104 195 17180 SH SOLE 17180 0 0 INVESCO HIGH INCM 2024 TRGT TERM CF COM 46136K105 8 900 SH SOLE 900 0 0 INVESCO HIGH INCOME CF COM 46131F101 57 4108 SH SOLE 4108 0 0 INVESCO MUNICIPAL OPPORTUNITY CF COM 46132C107 20 1558 SH SOLE 1558 0 0 INVESCO SNR INCOME CF COM 46131H107 98 23476 SH SOLE 23476 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 95 300 SH Put SOLE 300 0 0 ION ACQUISITION 1 UNT COM G49392122 2 220 SH SOLE 220 0 0 IRIDEX ORD COM 462684101 10 1500 SH SOLE 1500 0 0 ISHARES 20 PLS YEAR TREASURY BND ETF COM 464287432 135 1000 SH SOLE 1000 0 0 ISHARES CHINA LARGE CAP ETF COM 464287184 11 250 SH SOLE 250 0 0 ISHARES CORE S&P 500 ETF COM 464287200 23 60 SH SOLE 60 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 540 2445 SH SOLE 2445 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 310 1405 SH Put SOLE 1405 0 0 ISHARES SILVER TRUST ETF COM 46428Q109 198 8740 SH SOLE 8740 0 0 ISHARES SILVER TRUST ETF COM 46428Q109 2 100 SH Call SOLE 100 0 0 ISORAY ORD COM 46489V104 0 810 SH SOLE 810 0 0 ISUN ORD COM 465246106 2749 205959 SH SOLE 205959 0 0 IVY HIGH INCOME OPPORTUNITIES CF COM 465893105 124 9116 SH SOLE 9116 0 0 JAWS ACQUISITION CL A ORD COM G50744104 1 100 SH Call SOLE 100 0 0 JAWS ACQUISITION UNT COM G50744120 52 3500 SH SOLE 3500 0 0 JAWS MUSTANG ACQUISITION UNT COM G50737116 507 50000 SH SOLE 50000 0 0 JAWS SPITFIRE ACQ CL A ORD COM G50740102 1025 100000 SH SOLE 100000 0 0 JOFF FINTECH ACQUISITION UNT COM 46592C209 89 9000 SH SOLE 9000 0 0 JOHN HANCOCK FINANCIAL OPP CF COM 409735206 121 3153 SH SOLE 3153 0 0 JOHN HANCOCK PREFERRED INCOME III CF COM 41021P103 79 4368 SH SOLE 4368 0 0 JOHN HANCOCK PREMIUM DIVIDEND CF COM 41013T105 190 12750 SH SOLE 12750 0 0 JUMIA TECHNOLOGIES ADR REP 2 ORD SPONSORED ADR 48138M105 1 50 SH Put SOLE 50 0 0 KAYNE ANDERSON ENERGY INFRA CF COM 486606106 169 23668 SH SOLE 23668 0 0 KAYNE ANDRSN NXTGEN ENRGY INFRA CF COM 48661E108 33 5070 SH SOLE 5070 0 0 KENSINGTON CAPITAL ACQU II UNT COM 49006L203 26 2550 SH SOLE 2550 0 0 KEURIG DR PEPPER ORD COM 49271V100 54 1593 SH SOLE 1593 0 0 KISMET ACQUISITION ONE ORD COM G52753103 465 47061 SH SOLE 47061 0 0 KKR ACQUISITION HOLDINGS I UNT COM 48253T208 2 200 SH SOLE 200 0 0 KKR INCOME OPPORTUNITIES CF COM 48249T106 325 20568 SH SOLE 20568 0 0 KLUDEIN I ACQUISITION UNT COM 49878L208 19 1950 SH SOLE 1950 0 0 KOPIN ORD COM 500600101 83 8000 SH SOLE 8000 0 0 KROGER ORD COM 501044101 71 2000 SH SOLE 2000 0 0 KUSHCO HOLDINGS ORD (PNK) COM 50133S103 38 31515 SH SOLE 31515 0 0 LAM RESEARCH ORD COM 512807108 347 584 SH SOLE 584 0 0 LANDCADIA HOLDINGS III CL A ORD COM 51476H100 435 43500 SH SOLE 43500 0 0 LAZARD GROWTH ACQUISITION UNT COM G54035129 120 12000 SH SOLE 12000 0 0 LEFTERIS ACQUISITION CL A ORD COM 52470X109 4200 427745 SH SOLE 427745 0 0 LEISURE ACQUISITION ORD COM 52539T107 762 62444 SH SOLE 62444 0 0 LENNAR CL B ORD COM 526057302 36 440 SH SOLE 440 0 0 LGL SYSTEMS ACQUISITION CL A ORD COM 50201G106 164 16559 SH SOLE 16559 0 0 LGL SYSTEMS ACQUISITION UNT COM 50201G205 0 49 SH SOLE 49 0 0 LI AUTO ADR 2 ORD SPONSORED ADR 50202M102 18 750 SH SOLE 750 0 0 LIBERTY GLOBAL CL A ORD COM G5480U104 15 600 SH SOLE 600 0 0 LIBERTY MEDIA FORMULA ONE SRS A ORD COM 531229870 61 1600 SH SOLE 1600 0 0 LITHIUM AMERICAS ORD COM 53680Q207 73 4551 SH SOLE 4551 0 0 LIVE OAK ACQUISITION CORP II COM 53804W205 1 100 SH SOLE 100 0 0 LIVE OAK ACQUISITION II CL A ORD COM 53804W106 108 10900 SH SOLE 10900 0 0 LIVEXLIVE MEDIA ORD COM 53839L208 400 92269 SH SOLE 92269 0 0 LIVEXLIVE MEDIA ORD COM 53839L208 3 695 SH Call SOLE 695 0 0 LLOYDS BANKING GROUP ADR 4 ORD SPONSORED ADR 539439109 3756 1619020 SH SOLE 1619020 0 0 LMP AUTOMOTIVE HOLDINGS ORD COM 53952P101 332 20000 SH SOLE 20000 0 0 LOGITECH N ORD COM H50430232 229 2200 SH SOLE 2200 0 0 LONGWEI PETROLEUM INVEST HOLDING ORD COM 543354104 0 5000 SH SOLE 5000 0 0 LUCKIN COFFEE ADR REP 8 ORD SPONSORED ADR 54951L109 0 100 SH SOLE 100 0 0 LUMINEX ORD COM 55027E102 95 3000 SH SOLE 3000 0 0 LUMINEX ORD COM 55027E102 0 25 SH Put SOLE 25 0 0 MACQUARIE GLOBAL INFRASTRUCTURE CF COM 55608D101 7 359 SH SOLE 359 0 0 MAGNA INTERNATIONAL ORD COM 559222401 246 2800 SH SOLE 2800 0 0 MAIDEN HOLDINGS LTD COM 560292302 305 14131 SH SOLE 14131 0 0 MAIN STREET CAPITAL ORD COM 56035L104 208 5313 SH SOLE 5313 0 0 MALACCA STRAITS ACQUISITION CL A ORD COM G5859B117 311 31600 SH SOLE 31600 0 0 MALACCA STRAITS ACQUISITION COMP UNT COM G5859B125 210 20600 SH SOLE 20600 0 0 MARKER THERAPEUTICS ORD COM 57055L107 38 17000 SH SOLE 17000 0 0 MATTHEWS INTERNATIONAL CL A ORD COM 577128101 1 30 SH SOLE 30 0 0 MCAP ACQUISITION UNT COM 55282T208 0 100 SH SOLE 100 0 0 MERCADOLIBRE ORD COM 58733R102 45 31 SH SOLE 31 0 0 MERCER PARK BRAND ACQUISITION ORD COM 58810P102 88 8750 SH SOLE 8750 0 0 MERIDA MERGER ORD COM 58953M106 90 9206 SH SOLE 9206 0 0 MFS HIGH INCOME MUNICIPAL CF COM 59318D104 10 2010 SH SOLE 2010 0 0 MFS HIGH YIELD MUNICIPAL CF COM 59318E102 22 5033 SH SOLE 5033 0 0 MFS MUNICIPAL INCOME CF COM 552738106 45 6693 SH SOLE 6693 0 0 MICRO FOCUS INTERNATIONAL ADR COM 594837403 384 50000 SH SOLE 50000 0 0 MICRON TECHNOLOGY ORD COM 595112103 4 50 SH Call SOLE 50 0 0 MICROSOFT ORD COM 594918104 589 2500 SH SOLE 2500 0 0 MICROSOFT ORD COM 594918104 57 242 SH Call SOLE 242 0 0 MICROVISION ORD COM 594960304 18 1000 SH SOLE 1000 0 0 MID AMERICA APT COMMUNITI REIT ORD COM 59522J103 1011 7009 SH SOLE 7009 0 0 MILLER HOWARD HIGH INCOME EQUITY CF COM 600379101 5 563 SH SOLE 563 0 0 MIND MEDICINE MINDMED ORD COM 60255C109 55 20000 SH SOLE 20000 0 0 MODERNA ORD COM 60770K107 92 704 SH SOLE 704 0 0 MOMO ADR REP 2 CL A ORD SPONSORED ADR 60879B107 22 1500 SH SOLE 1500 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 68 10370 SH SOLE 10370 0 0 MORGAN STANLEY EMERGING MKT DEBT CF COM 61744H105 16 1855 SH SOLE 1855 0 0 MOTIVE CAPITAL CL A ORD COM G6293A103 5206 531268 SH SOLE 531268 0 0 MOTUS GI HOLDINGS ORD COM 62014P108 0 200 SH SOLE 200 0 0 MP MATERIALS CL A ORD COM 553368101 1 50 SH SOLE 50 0 0 MS EMERGING MARKTS DOMESTIC DEBT CF COM 617477104 161 26771 SH SOLE 26771 0 0 MSC INDUSTRIAL CL A ORD COM 553530106 7 80 SH SOLE 80 0 0 MULTIPLAN CL A ORD COM 62548M100 3 600 SH SOLE 600 0 0 MUSTANG BIO ORD COM 62818Q104 664 200000 SH SOLE 200000 0 0 MYT NETHERLANDS PAREN ADS REP ORD COM 55406W103 158 5600 SH SOLE 5600 0 0 NAKED BRAND GROUP ORD COM Q6519T117 0 80 SH SOLE 80 0 0 NATIONAL BEVERAGE ORD COM 635017106 9 200 SH SOLE 200 0 0 NAVSIGHT HOLDINGS CL A ORD COM 639358100 1162 116000 SH SOLE 116000 0 0 NETEASE ADR COM 64110W102 123 1200 SH SOLE 1200 0 0 NEUBERGER BERMN REAL EST SEC INCM CF COM 64190A103 65 14263 SH SOLE 14263 0 0 NEUBERGR BRM MLP AND ENR INCM NAV CF COM 64129H104 14 3350 SH SOLE 3350 0 0 NEW AMERICA HIGH INCOME CF COM 641876800 65 7273 SH SOLE 7273 0 0 NEW MOUNTAIN FINANCE ORD COM 647551100 71 5750 SH SOLE 5750 0 0 NEW VISTA ACQUISITION UNT COM G6529L113 59 6000 SH SOLE 6000 0 0 NEW WAVE HOLDINGS CORP COM 64913V103 3 50000 SH SOLE 50000 0 0 NEW YORK TIMES CL A ORD COM 650111107 12 250 SH Call SOLE 250 0 0 NEWTEK SERVICES ORD COM 652526203 120 4531 SH SOLE 4531 0 0 NEXGEN ENERGY ORD COM 65340P106 18 5000 SH SOLE 5000 0 0 NEXPOINT STRATEG OPRT 5.50 SRS A PRF COM 65340G304 35 1655 SH SOLE 1655 0 0 NEXPOINT STRATEGIC OPPORTUNITIES CF COM 65340G205 81 7135 SH SOLE 7135 0 0 NEXTGEN ACQUISITION CL A ORD COM G65305107 24 2500 SH SOLE 2500 0 0 NOKIA ADR REPSG 1 SER A ORD SPONSORED ADR 654902204 1952 493000 SH SOLE 493000 0 0 NORTH ATLANTIC ACQUISITION UNT COM G66139117 301 30300 SH SOLE 30300 0 0 NORTHERN STAR INVESTMENT CL A ORD COM 66573W107 998 99846 SH SOLE 99846 0 0 NOVAGOLD RESOURCES ORD COM 66987E206 5 600 SH SOLE 600 0 0 NOVARTIS ADR REPSG 1 ORD SPONSORED ADR 66987V109 256 3000 SH SOLE 3000 0 0 NUMINUS WELLNESS ORD COM 67054W103 17 20000 SH SOLE 20000 0 0 NUVEEN AMT FREE MNCPL CRDT INCM CF COM 67071L106 143 8475 SH SOLE 8475 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 143 9710 SH SOLE 9710 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 140 9453 SH SOLE 9453 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 367 56596 SH SOLE 56596 0 0 NUVEEN DOW 30SM DYNAMIC OVRWRT CF COM 67075F105 111 6883 SH SOLE 6883 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 216 22700 SH SOLE 22700 0 0 NUVEEN FLOATING RATE INCOME CF COM 67072T108 140 14550 SH SOLE 14550 0 0 NUVEEN GLOBAL HIGH INCOME CF COM 67075G103 80 5214 SH SOLE 5214 0 0 NUVEEN MORTGAGE AND INCOME CF COM 670735109 1 94 SH SOLE 94 0 0 NUVEEN MUNI HIGH INC OPPORTUNITY CF COM 670682103 137 9548 SH SOLE 9548 0 0 NUVEEN MUNICIPAL CREDIT INCOME CF COM 67070X101 76 4761 SH SOLE 4761 0 0 NUVEEN MUNICIPAL CREDIT OPPORTUN CF COM 670663103 196 13991 SH SOLE 13991 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 156 16133 SH SOLE 16133 0 0 NUVEEN PREFERRD AND INCM 2022 TRM CF COM 46623C202 5 219 SH SOLE 219 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 73 7778 SH SOLE 7778 0 0 NUVEEN PREFERRED AND INCOME TERM CF COM 67075A106 59 2387 SH SOLE 2387 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 186 12336 SH SOLE 12336 0 0 NUVEEN REAL ASSET INCOME AND GRO CF COM 67074Y105 26 1823 SH SOLE 1823 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 42 4386 SH SOLE 4386 0 0 NUVEEN SENIOR INCOME CF COM 67067Y104 188 33638 SH SOLE 33638 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 68 4840 SH SOLE 4840 0 0 OAKTREE SPECIALTY LENDING ORD COM 67401P108 78 12676 SH SOLE 12676 0 0 ODONATE THERAPEUTICS ORD COM 676079106 1 500 SH SOLE 500 0 0 ONE CL A ORD COM G7000X105 6 550 SH SOLE 550 0 0 ONE EQUITY PARTNERS OPEN WATER I UNT COM 68237L204 249 25000 SH SOLE 25000 0 0 OPENDOOR TECHNOLOGIES ORD COM 683712103 8 400 SH Call SOLE 400 0 0 OSCAR HEALTH CL A ORD COM 687793109 5 200 SH SOLE 200 0 0 OSPREY TECHNOLOGY ACQUISITI CL A ORD COM 68839R104 2483 240647 SH SOLE 240647 0 0 OTR ACQUISITION UNT COM 67113Q204 266 25000 SH SOLE 25000 0 0 OUSTER INC WRT EXP 10/09/2025 COM 68989M111 116 55700 SH SOLE 55700 0 0 OWL ROCK CAPITAL ORD COM 69121K104 92 6750 SH SOLE 6750 0 0 OXFORD LANE CAPITAL ORD COM 691543102 180 28683 SH SOLE 28683 0 0 PALANTIR TECHNOLOGIES CL A ORD COM 69608A108 163 7000 SH SOLE 7000 0 0 PAR TECHNOLOGY ORD COM 698884103 1471 22500 SH SOLE 22500 0 0 PAYPAL HOLDINGS ORD COM 70450Y103 142 588 SH SOLE 588 0 0 PAYSAFE ORD COM G6964L107 87 6500 SH SOLE 6500 0 0 PEABODY ENERGY ORD COM 704551100 38 12500 SH SOLE 12500 0 0 PENN NATIONAL GAMING ORD COM 707569109 900 8585 SH SOLE 8585 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 67 5686 SH SOLE 5686 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 60 10734 SH SOLE 10734 0 0 PERIDOT ACQUISITION CL A ORD COM G7008A115 2 200 SH SOLE 200 0 0 PERSHING SQUARE TONTINE HLD CL A ORD COM 71531R109 81 3400 SH SOLE 3400 0 0 PETROLEO BRASILEIRO ADR REPSTG 2 ORD SPONSORED ADR 71654V408 5 600 SH SOLE 600 0 0 PETROS PHARMACEUTICALS ORD COM 71678J100 73 20000 SH SOLE 20000 0 0 PG&E ORD COM 69331C108 4 400 SH SOLE 400 0 0 PGIM GLOBAL HIGH YIELD CF COM 69346J106 84 5657 SH SOLE 5657 0 0 PGIM HIGH YIELD BOND CF COM 69346H100 189 12110 SH SOLE 12110 0 0 PHENIXFIN ORD COM 71742W103 3 100 SH SOLE 100 0 0 PIMCO DYNAMIC INCOME CF COM 72201Y101 83 2969 SH SOLE 2969 0 0 PIMCO DYNMC CRDT AND MRTG INCM CF COM 72202D106 90 4074 SH SOLE 4074 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 106 10245 SH SOLE 10245 0 0 PIMCO GLOBAL STOCKSPLUS INCOME CF COM 722011103 14 1395 SH SOLE 1395 0 0 PIMCO HIGH INCOME CF COM 722014107 74 10990 SH SOLE 10990 0 0 PIMCO INCOME OPPORTUNITY CF COM 72202B100 120 4563 SH SOLE 4563 0 0 PIMCO INCOME STRATEGY II CF COM 72201J104 89 8658 SH SOLE 8658 0 0 PINDUODUO ADR REP 4 ORD SPONSORED ADR 722304102 46 345 SH SOLE 345 0 0 PINE ISLAND ACQ CL A ORD COM 722615101 50 5000 SH SOLE 5000 0 0 PINTEREST CL A ORD COM 72352L106 296 4000 SH SOLE 4000 0 0 PIONEER FLOATING RATE CF COM 72369J102 19 1659 SH SOLE 1659 0 0 PIONEER HIGH INCOME CF COM 72369H106 26 2813 SH SOLE 2813 0 0 PIONEER MUNICIPAL HIGH INCOME CF COM 723763108 126 10264 SH SOLE 10264 0 0 PLANTX LIFE ORD COM 72750P105 15 25000 SH SOLE 25000 0 0 PLBY GROUP ORD COM 72814P109 137 7000 SH SOLE 7000 0 0 PLUG POWER ORD COM 72919P202 1 50 SH SOLE 50 0 0 PLURALSIGHT CL A ORD COM 72941B106 8 400 SH SOLE 400 0 0 PLURALSIGHT CL A ORD COM 72941B106 6 300 SH Call SOLE 300 0 0 PMV CONSUMER ACQUISITION UNT COM 693486201 6 600 SH SOLE 600 0 0 POWERED BRANDS UNT COM G7209M124 15 1600 SH SOLE 1600 0 0 PRIME IMPACT ACQUISITION I CL A ORD COM G61074103 1886 193860 SH SOLE 193860 0 0 PRIME IMPACT ACQUISITION I UNT COM G61074111 5 600 SH SOLE 600 0 0 PRINCIPAL REAL ESTATE INCOME CF COM 74255X104 92 6886 SH SOLE 6886 0 0 PROPHASE LABS ORD COM 74345W108 439 59400 SH SOLE 59400 0 0 PROSHARES SHORT QQQ ETF COM 74347B714 9 700 SH SOLE 700 0 0 PROSHARES ULTRA S&P 500 ETF COM 74347R107 337 3300 SH SOLE 3300 0 0 PROSHARES ULTRASHORT QQQ ETF COM 74347G739 78 3000 SH SOLE 3000 0 0 PROSHARES ULTRASHORT S&P 500 ETF COM 74347B383 10 1000 SH SOLE 1000 0 0 PROVIDENT ACQUISITION UNT COM G7282L118 50 5000 SH SOLE 5000 0 0 PRUDENTIAL ADR REPSTG 2 ORD SPONSORED ADR 74435K204 268 6294 SH SOLE 6294 0 0 PURECYCLE TECHNOLOGIES ORD COM 74623V103 448 17600 SH SOLE 17600 0 0 PUTNAM MASTER INTERMEDIATE INCOME CF COM 746909100 25 5893 SH SOLE 5893 0 0 QIAGEN ORD COM N72482123 121 2500 SH SOLE 2500 0 0 QUIDEL ORD COM 74838J101 38 300 SH SOLE 300 0 0 QUOTIENT ORD COM G73268107 57 15645 SH SOLE 15645 0 0 QURATE RETAIL 8 0 PRF COM 74915M308 2033 20000 SH SOLE 20000 0 0 REALPAGE ORD COM 75606N109 2136 24500 SH SOLE 24500 0 0 REALTY INCOME REIT ORD COM 756109104 2 36 SH SOLE 36 0 0 RECHARGE ACQUISITION CL A ORD COM 756229100 21 2248 SH SOLE 2248 0 0 REDBALL ACQUISITION CL A ORD COM G7417R105 207 20901 SH SOLE 20901 0 0 REINVENT TECHNOLOGY PART Z CL A ORD COM G74847107 2252 225000 SH SOLE 225000 0 0 REINVENT TECHNOLOGY PARTNER CL A ORD COM G7483N129 58 5776 SH SOLE 5776 0 0 REINVENT TECHNOLOGY PARTNERS UNT COM G7483N111 1 125 SH SOLE 125 0 0 REINVENT TECHNOLOGY UNT COM G74847123 1 100 SH SOLE 100 0 0 REMARK HOLDINGS ORD COM 75955K102 29 12875 SH SOLE 12875 0 0 RESMED ORD COM 761152107 1261 6500 SH SOLE 6500 0 0 REVIVE THERAPEUTICS ORD COM 761516103 9 25000 SH SOLE 25000 0 0 REVOLUTION ACCELERATIN ACQU CL A ORD COM 76156P106 2129 210000 SH SOLE 210000 0 0 REVOLUTION ACCELERATIN ACQU CL A ORD COM 76156P106 2 200 SH Call SOLE 200 0 0 REVOLUTION ACCELERATION UNT COM 76156P205 1 100 SH SOLE 100 0 0 REWALK ROBOTICS LTD COM M8216Q200 0 120 SH SOLE 120 0 0 RICE ACQ CL A ORD COM 762594109 8 865 SH SOLE 865 0 0 RIVERNORTH FLEXIBLE MUNICIPAL IN ORD COM 76883H104 33 1500 SH SOLE 1500 0 0 RIVERNORTH MANAGED DRTN MUNI NAV CF COM 76882H105 154 8299 SH SOLE 8299 0 0 RIVERNORTH OPPORTUNI MUN INC NAV CF COM 76883F108 100 4569 SH SOLE 4569 0 0 RIVERNORTH SPECIALTY FINANCE NAC CF COM 76882B108 94 5300 SH SOLE 5300 0 0 RLX TECHNOLOGY ADS REP CL A ORD COM 74969N103 209 20211 SH SOLE 20211 0 0 RMG ACQUISITION II CL A ORD COM G76083107 3264 325751 SH SOLE 325751 0 0 RMR MORTGAGE NAV CF COM 76970B101 36 3004 SH SOLE 3004 0 0 ROYAL DUTCH SHELL ADR REP 2 CL B ORD SPONSORED ADR 780259107 25 700 SH SOLE 700 0 0 ROYAL GOLD ORD COM 780287108 2 20 SH SOLE 20 0 0 ROYCE MICRO CAPITAL CF COM 780915104 46 4082 SH SOLE 4082 0 0 ROYCE VALUE CF COM 780910105 147 8134 SH SOLE 8134 0 0 RUSH ENTERPRISES CL B ORD COM 781846308 150 3342 SH SOLE 3342 0 0 SALIENT MIDSTREAM & MLP CF COM 79471V105 28 5638 SH SOLE 5638 0 0 SANDBRIDGE ACQUISITION CL A ORD COM 799793104 11 1200 SH SOLE 1200 0 0 SARATOGA INVESTMENT ORD COM 80349A208 70 2771 SH SOLE 2771 0 0 SASOL ADR REP 1 ORD SPONSORED ADR 803866300 1217 84015 SH SOLE 84015 0 0 SC HEALTH CL A ORD COM G78516203 1798 178400 SH SOLE 178400 0 0 SCVX CL A ORD COM G79448208 185 18813 SH SOLE 18813 0 0 SEQUANS COMMUNICATIONS ADR REP 4 ORD SPONSORED ADR 817323207 1248 206735 SH SOLE 206735 0 0 SEVEN OAKS ACQUISITION CL A ORD COM 81787X106 196 20200 SH SOLE 20200 0 0 SHOPIFY CL A SUB VTG ORD (NYS) COM 82509L107 4 4 SH Put SOLE 4 0 0 SIBANYE STILLWATER ADR REP 4 ORD SPONSORED ADR 82575P107 864 48391 SH SOLE 48391 0 0 SILVER SPIKE ACQUISITION CL A ORD COM G8136L106 339 18511 SH SOLE 18511 0 0 SILVER SPIKE ACQUISITION II UNT COM G8201H121 994 100000 SH SOLE 100000 0 0 SILVERBOX ENGAGED MERGER I UNT COM 82836L200 0 100 SH SOLE 100 0 0 SIMON PROPERTY GROUP ACQUISITION UNT COM 82880R202 31 3137 SH SOLE 3137 0 0 SINGPOINT ORD (PNK) COM 82932V201 8 4000 SH SOLE 4000 0 0 SIRIUS XM HOLDINGS ORD COM 82968B103 0 5 SH SOLE 5 0 0 SIXTH STREET SPECIALTY LENDING ORD COM 83012A109 198 9458 SH SOLE 9458 0 0 SKILLZ CL A ORD COM 83067L109 9 500 SH SOLE 500 0 0 SKYLINE CHAMPION ORD COM 830830105 3623 80055 SH SOLE 80055 0 0 SLACK TECHNOLOGIES CL A ORD COM 83088V102 1625 40000 SH SOLE 40000 0 0 SLR SENIOR INVESTMENT ORD COM 83416M105 99 6741 SH SOLE 6741 0 0 SMITH MICRO SOFTWARE ORD COM 832154207 275 50000 SH SOLE 50000 0 0 SNAP CL A ORD COM 83304A106 742 14196 SH SOLE 14196 0 0 SNOWFLAKE CL A ORD COM 833445109 6 30 SH SOLE 30 0 0 SOARING EAGLE ACQUISITION UNT COM G8354H100 1 100 SH SOLE 100 0 0 SOCIAL CAP HEDOSOP HOLD IV CL A ORD COM G82514103 13 1200 SH SOLE 1200 0 0 SOCIAL CAP HEDOSOP HOLD V CL A ORD COM G8252P105 171 10000 SH SOLE 10000 0 0 SOCIAL CAP HEDOSOP HOLD V CL A ORD COM G8252P105 21 1250 SH Call SOLE 1250 0 0 SOCIAL CAP HEDOSOP HOLD VI CL A ORD COM G8251L105 12 1200 SH SOLE 1200 0 0 SOCIAL CAPITAL HEDOSOPHIA VI UNT COM G8251L121 1 100 SH SOLE 100 0 0 SOCIAL LEVERAGE ACQUISI UNT COM 83363K201 8 900 SH SOLE 900 0 0 SOCIEDAD QUIMI Y MNR CHL RTS WI COM 833636111 0 191 SH SOLE 191 0 0 SOCIEDAD QUIMICA ADR REP 1 SRS B ORD SPONSORED ADR 833635105 54 1029 SH SOLE 1029 0 0 SOFTBANK GROUP UNSPONSORED ADR (PNK) SPONSORED ADR 83404D109 289 6800 SH SOLE 6800 0 0 SOFTWARE ACQUISITION GRP II CL A ORD COM 83407F101 42 4250 SH SOLE 4250 0 0 SPARTAN ACQUISITION CL A ORD COM 846775104 1152 110220 SH SOLE 110220 0 0 SPARTAN ACQUISITION III UNT COM 84677R205 58 5800 SH SOLE 5800 0 0 SPDR FUND CONSUMER STAPLES ETF COM 81369Y308 3 50 SH Call SOLE 50 0 0 SPDR GOLD SHARES ETF COM 78463V107 211 1320 SH SOLE 1320 0 0 SPDR S&P 500 ETF COM 78462F103 175 443 SH Put SOLE 443 0 0 SPECIAL OPPORTUNITIES CF COM 84741T104 99 6787 SH SOLE 6787 0 0 SPORTS ENTERTAINMENT ACQ CL A ORD COM 84918M106 51 5300 SH SOLE 5300 0 0 SPORTS VENTURES ACQUISITION CORP COM G8372A111 4 468 SH SOLE 468 0 0 SPOTIFY TECHNOLOGY ORD COM L8681T102 2 10 SH Put SOLE 10 0 0 SPROTT FOCUS TRUST ORD COM 85208J109 14 1844 SH SOLE 1844 0 0 SPROTT PHYSICAL SILVER ETV COM 85207K107 439 50000 SH SOLE 50000 0 0 SRAX CL A ORD COM 78472M106 23 5000 SH SOLE 5000 0 0 ST JAMES GOLD CORP COM 790014104 46 9505 SH SOLE 9505 0 0 STABLE ROAD ACQUISITION CL A ORD COM 85236Q109 183 13887 SH SOLE 13887 0 0 STABLE ROAD ACQUISITION CL A ORD COM 85236Q109 2 200 SH Call SOLE 200 0 0 STAR PEAK CL A RED UNT COM 855179206 52 5000 SH SOLE 5000 0 0 STARBOARD VALUE ACQUISITION CL A ORD COM 85521J109 0 100 SH SOLE 100 0 0 STELLUS CAPITAL INVESTMENT ORD COM 858568108 43 3403 SH SOLE 3403 0 0 STEM HLDGS ORD COM 85858U107 35 55234 SH SOLE 55234 0 0 SUMMER INFANT ORD COM 865646301 46 3502 SH SOLE 3502 0 0 SUNDIAL GROWERS ORD COM 86730L109 42 38000 SH SOLE 38000 0 0 SUNDIAL GROWERS ORD COM 86730L109 0 20 SH Call SOLE 20 0 0 SUPERCOM ORD COM M87095119 2 1300 SH SOLE 1300 0 0 SUPERIOR INDS ORD COM 868168105 1066 187805 SH SOLE 187805 0 0 SUPERNOVA PARTNERS ACQ CO CL A ORD COM 86846V108 2 275 SH SOLE 275 0 0 SUSTAINABLE OPPORT ACQ CL A ORD COM G8598Y109 2695 271458 SH SOLE 271458 0 0 SUSTAINABLE OPPORTUNITI UNT COM G8598Y125 1 145 SH SOLE 145 0 0 SYNLOGIC ORD COM 87166L100 10 3000 SH SOLE 3000 0 0 TAILWIND ACQUISITION CL A ORD COM 87403Q102 213 21570 SH SOLE 21570 0 0 TAIWAN SEMICONDUCTOR MNFTG ADR 5 ORD SPONSORED ADR 874039100 591 5000 SH SOLE 5000 0 0 TAKEDA PHARMA ADR REP 0.5 ORD SPONSORED ADR 874060205 1880 102988 SH SOLE 102988 0 0 TCG BDC ORD COM 872280102 73 5601 SH SOLE 5601 0 0 TECHNIP ENERGIES SPNS ADR REP ORD SPONSORED ADR 87854Y109 98 6562 SH SOLE 6562 0 0 TEEKAY TANKERS CL A ORD COM Y8565N102 13 1000 SH SOLE 1000 0 0 TELADOC HEALTH ORD COM 87918A105 4 25 SH SOLE 25 0 0 TEMPLETON EMERGING MARKET INCOME CF COM 880192109 47 6438 SH SOLE 6438 0 0 TEMPLETON GLOBAL INCOME CF COM 880198106 127 24016 SH SOLE 24016 0 0 TENCENT HOLDINGS ADR (PNK) SPONSORED ADR 88032Q109 1093 13700 SH SOLE 13700 0 0 TENCENT MUSC ENT ADR REP 2 CL A ORD SPONSORED ADR 88034P109 989 48300 SH SOLE 48300 0 0 TENCENT MUSC ENT ADR REP 2 CL A ORD SPONSORED ADR 88034P109 12 630 SH Call SOLE 630 0 0 TESLA ORD COM 88160R101 1715 2568 SH SOLE 2568 0 0 TEVA PHARMA IND ADR REP 1 ORD (NYS) COM 881624209 8 750 SH Call SOLE 750 0 0 THOMA BRAVO ADVANTAGE ORD COM G88272102 5 500 SH SOLE 500 0 0 THUNDER BRIDGE ACQUISITION II LTD COM G8857S116 2704 259571 SH SOLE 259571 0 0 THUNDER BRIDGE CAPITAL PARTNERS UNT COM 88605T209 39 4000 SH SOLE 4000 0 0 TIANRONG INTERNET PRODUCTS SER ORD COM 886307107 0 200 SH SOLE 200 0 0 TIDELANDS OIL AND GAS ORD COM 886405109 2 526323 SH SOLE 526323 0 0 TIGA ACQUISITION CL A ORD COM G88672103 6400 637487 SH SOLE 637487 0 0 TILRAY CL 2 ORD COM 88688T100 2 100 SH Put SOLE 100 0 0 TOKYO ELECTRON ADR REP 2 ORD (PNK) SPONSORED ADR 889110102 218 2000 SH SOLE 2000 0 0 TORTOISE ACQUISITION CL A ORD COM G89554102 738 67400 SH SOLE 67400 0 0 TORTOISE ACQUISITION CL A ORD COM G89554102 8 750 SH Call SOLE 750 0 0 TORTOISE ACQUISITION II UNT COM G89554110 3 300 SH SOLE 300 0 0 TORTOISE ENERGY INDEPENDENCE CF COM 89148K200 7 434 SH SOLE 434 0 0 TORTOISE ENERGY INFRASTRUCTURE CF COM 89147L886 102 4181 SH SOLE 4181 0 0 TORTOISE MIDSTREAM ENERGY CF COM 89148B200 29 1138 SH SOLE 1138 0 0 TORTOISE PIPELINE AND ENERGY CF COM 89148H207 3 160 SH SOLE 160 0 0 TPCO HLDG ORD COM 87270T106 185 25000 SH SOLE 25000 0 0 TPG PACE BENEFICIAL FIN CL A ORD COM G8990D125 129 6600 SH SOLE 6600 0 0 TRADE DESK CL A ORD COM 88339J105 3 5 SH SOLE 5 0 0 TRILLIUM THERAPEUTICS ORD COM 89620X506 428 39900 SH SOLE 39900 0 0 TRIPLEPOINT VENTURE GROWTH BDC ORD COM 89677Y100 80 5558 SH SOLE 5558 0 0 TRITON INTL 6 875 SRS D RED PRP PRF COM G9078F206 60 2300 SH SOLE 2300 0 0 TS INNOVATION ACQUISITIONS CL A ORD COM 87284T100 115 10638 SH SOLE 10638 0 0 TSAKOS ENRG NVGT CM RD PRP SRS F PRF COM G9108L165 59 2439 SH SOLE 2439 0 0 TUATARA CAPITAL ACQUISITION UNT COM G9118J127 1275 127500 SH SOLE 127500 0 0 TUESDAY MORNING ORD COM 89904V101 76 25000 SH SOLE 25000 0 0 TUSCAN HOLDINGS CORP II COM 90070A103 1 100 SH SOLE 100 0 0 TUSCAN HOLDINGS ORD COM 90069K104 9432 766859 SH SOLE 766859 0 0 TUSCAN HOLDINGS ORD COM 90069K104 13 1100 SH Call SOLE 1100 0 0 TWC TECH HLDG II UNT COM 90117G204 1 100 SH SOLE 100 0 0 TWC TECH HOLDINGS II ORD COM 90117G105 2432 247200 SH SOLE 247200 0 0 TZP STRATEGIES ACQUISITION UNT COM G91595127 0 100 SH SOLE 100 0 0 UBER TECHNOLOGIES INC COM 90353T100 81 1500 SH SOLE 1500 0 0 UNDER ARMOUR CL C ORD COM 904311206 66 3600 SH SOLE 3600 0 0 UNION ACQUISITION ORD COM G9402Q100 28 2840 SH SOLE 2840 0 0 UNITED THERAPEUTICS ORD COM 91307C102 65 392 SH SOLE 392 0 0 UP FINTECH HOLDING ADR COM 91531W106 8 500 SH SOLE 500 0 0 UPSTART HOLDINGS ORD COM 91680M107 154 1200 SH SOLE 1200 0 0 URANIUM ENERGY ORD COM 916896103 143 50000 SH SOLE 50000 0 0 URANIUM ENERGY ORD COM 916896103 0 200 SH Call SOLE 200 0 0 URSTADT BIDDLE REIT ORD COM 917286106 185 13524 SH SOLE 13524 0 0 USA TECHNOLOGIES ORD COM 90328S500 945 80665 SH SOLE 80665 0 0 UWM HOLDINGS CL A ORD COM 91823B109 18 2300 SH SOLE 2300 0 0 UWM HOLDINGS CORP COM 91823B117 5 3300 SH SOLE 3300 0 0 UXIN ADR REP 3 ORD (NMS) COM 91818X108 0 50 SH Call SOLE 50 0 0 VANECK VECTOR JUNR GOLD MNRS ETF COM 92189F791 90 2000 SH SOLE 2000 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 100 3100 SH SOLE 3100 0 0 VARIAN MEDICAL SYSTEMS ORD COM 92220P105 0 5 SH SOLE 5 0 0 VBI VACCINES ORD COM 91822J103 93 30000 SH SOLE 30000 0 0 VECTOIQ ACQUISITION II CL A ORD COM 92244F109 245 24701 SH SOLE 24701 0 0 VECTOIQ ACQUISITION II UNT COM 92244F208 214 21144 SH SOLE 21144 0 0 VECTOR ACQUISITION CL A ORD COM G9442R126 985 83250 SH SOLE 83250 0 0 VEONEER ORD COM 92336X109 322 13159 SH SOLE 13159 0 0 VERB TECHNOLOGY COMPANY ORD COM 92337U104 0 170 SH SOLE 170 0 0 VERTEX PHARMACEUTICALS ORD COM 92532F100 8 40 SH SOLE 40 0 0 VERTICAL CAPITAL INCOME NAV CF COM 92535C104 18 1824 SH SOLE 1824 0 0 VESPER HEALTHCARE ACQ UNT COM 92538T203 2 200 SH SOLE 200 0 0 VG ACQUISITION CL A ORD COM G9446E105 732 72009 SH SOLE 72009 0 0 VIACOMCBS CL B ORD COM 92556H206 1140 25288 SH SOLE 25288 0 0 VIACOMCBS CL B ORD COM 92556H206 46 1027 SH Call SOLE 1027 0 0 VIAD ORD COM 92552R406 3294 78908 SH SOLE 78908 0 0 VIKING THERAPEUTICS ORD COM 92686J106 1 180 SH SOLE 180 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 118 8934 SH SOLE 8934 0 0 VINCE HOLDING ORD COM 92719W207 1090 97233 SH SOLE 97233 0 0 VIPSHOP HOLDGS SPON ADS REP 0.20 ORD COM 92763W103 298 10000 SH SOLE 10000 0 0 VIRTUS ALLIAN ARTIF INTEL TCH OP CF COM 92838Y100 101 3811 SH SOLE 3811 0 0 VIRTUS ALLIANZGI CONV INCM CF COM 92838X102 133 23563 SH SOLE 23563 0 0 VIRTUS ALLIANZGI CONV INCM FD II CF COM 92838U108 126 25303 SH SOLE 25303 0 0 VISA CL A ORD COM 92826C839 5 26 SH SOLE 26 0 0 VISTA OIL GAS ADR REP SRS A ORD SPONSORED ADR 92837L109 504 197236 SH SOLE 197236 0 0 VISTA OUTDOOR ORD COM 928377100 641 20000 SH SOLE 20000 0 0 VISTAS MEDIA ACQUISITION CL A ORD COM 92840T107 0 100 SH SOLE 100 0 0 VITRU ORD COM G9440D103 253 17078 SH SOLE 17078 0 0 VOYA PRIME RATE CF COM 92913A100 461 99363 SH SOLE 99363 0 0 VPC IMPACT ACQUISITION HOLD CL A ORD COM G9441E100 105 8119 SH SOLE 8119 0 0 VTV THERAPEUTICS CL A ORD COM 918385105 1 600 SH SOLE 600 0 0 VUZIX ORD COM 92921W300 127 5000 SH SOLE 5000 0 0 VYNE THERAPEUTICS ORD COM 92941V209 0 25 SH SOLE 25 0 0 WAITR HOLDINGS ORD COM 930752100 17 6000 SH SOLE 6000 0 0 WALT DISNEY ORD COM 254687106 276 1500 SH SOLE 1500 0 0 WELLS FARGO INCOME OPPORTUNITS CF COM 94987B105 170 20184 SH SOLE 20184 0 0 WELLS FARGO ORD COM 949746101 39 1000 SH SOLE 1000 0 0 WESCO INTERL 1000 DS RP 1 SRS A PRF COM 95082P303 554 18000 SH SOLE 18000 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 178 13484 SH SOLE 13484 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 47 3091 SH SOLE 3091 0 0 WESTERN ASSET MORTGAGE OP CF COM 95790B109 104 7133 SH SOLE 7133 0 0 WESTERN ASST GLBAL HIGH INCOME CF COM 95766B109 27 2631 SH SOLE 2631 0 0 WESTERN AST GLB CORP DEFIND OPPTY CF COM 95790C107 87 4974 SH SOLE 4974 0 0 WESTRN ASST HIGH INCM OPPORTUNITY CF COM 95766K109 76 14983 SH SOLE 14983 0 0 WHITEHORSE FINANCE ORD COM 96524V106 91 6013 SH SOLE 6013 0 0 WILLIS TOWERS WATSON ORD COM G96629103 1144 5000 SH SOLE 5000 0 0 WISEKEY INTERNATIONAL HOLDINGS ADR COM 97727L200 200 14000 SH SOLE 14000 0 0 WYNN RESORTS ORD COM 983134107 213 1700 SH SOLE 1700 0 0 XILINX ORD COM 983919101 2 20 SH SOLE 20 0 0 YATSEN HOLDING ADR COM 985194109 122 9900 SH SOLE 9900 0 0 YEXT ORD (NYS) COM 98585N106 0 67 SH Call SOLE 67 0 0 ZANITE ACQUISITION CL A ORD COM 98907K103 702 70650 SH SOLE 70650 0 0 ZILLOW GROUP CL A ORD COM 98954M101 2 20 SH SOLE 20 0 0 ZOOM VIDEO COMMUNICATIONS CL A ORD COM 98980L101 240 749 SH SOLE 749 0 0