General Counsel & CCO

0001742998-21-000007.txt : 20211013 0001742998-21-000007.hdr.sgml : 20211013 20211013122920 ACCESSION NUMBER: 0001742998-21-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211013 DATE AS OF CHANGE: 20211013 EFFECTIVENESS DATE: 20211013 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: 211320673 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 09-30-2021 09-30-2021 FNY Investment Advisers, LLC

90 PARK AVENUE, 5TH FLOOR NEW YORK NY 10016

13F HOLDINGS REPORT 028-18846 N Shawn Fischman General Counsel & CCO 212-331-6872 Shawn Fischman New York NY 10-13-2021 1 739 215806 false 1 0001589689 MYDA Advisors LLC INFORMATION TABLE 2 FNYIA.xml FNYIAQ32021 22ND CENTURY GROUP ORD COM 90137F103 109 37000 SH SOLE 37000 0 0 23ANDME HOLDING CL A ORD COM 90138Q108 194 21500 SH SOLE 21500 0 0 26 CAPITAL ACQUISITION UNT COM 90138P209 1 100 SH SOLE 100 0 0 3D SYSTEMS ORD COM 88554D205 27 1000 SH SOLE 1000 0 0 3D SYSTEMS ORD COM 88554D205 2 100 SH Call SOLE 100 0 0 890 5TH AVENUE PARTNERS UNT COM 28250A204 14 1400 SH SOLE 1400 0 0 ABB ADR REP 1 ORD SPONSORED ADR 000375204 2175 65213 SH SOLE 65213 0 0 ABERDEEN ASIA PACIFIC INCOME CF COM 003009107 41 10000 SH SOLE 10000 0 0 ABERDEEN GLOBAL PREMIER PROPERTIE CF COM 00302L108 75 12500 SH SOLE 12500 0 0 ABERDEEN STNDRD GLB INFR INCM NAV CF COM 00326W106 97 4900 SH SOLE 4900 0 0 ABERDEEN TOTAL DYNAMIC DIVIDEND CF COM 00326L100 48 5000 SH SOLE 5000 0 0 ACCELERATE ACQUISITION UNT COM 00439D201 7 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79 8100 SH SOLE 8100 0 0 FORTRESS VALUE ACQUISITION CL A ORD COM 34964G107 2 300 SH SOLE 300 0 0 FORTRESS VALUE ACQUISITION UNT COM 34964G206 13 1400 SH SOLE 1400 0 0 FOX CL B ORD COM 35137L204 24 660 SH SOLE 660 0 0 FREEPORT MCMORAN ORD COM 35671D857 0 20 SH SOLE 20 0 0 FT DYNAMIC EUROPE EQUITY INCOME CF COM 33740D107 47 3702 SH SOLE 3702 0 0 FTAC HERA ACQUISITION UNT COM G3728Y129 7 800 SH SOLE 800 0 0 FTE NETWORKS ORD COM 30283R402 5 4000 SH SOLE 4000 0 0 FUELCELL ENERGY ORD COM 35952H601 2 300 SH SOLE 300 0 0 GABELLI CONVERTBLE & INCM SECURTY CF COM 36240B109 35 5800 SH SOLE 5800 0 0 GABELLI GLB SML MID CAP VAL CF COM 36249W104 142 8936 SH SOLE 8936 0 0 GAMESTOP CL A ORD COM 36467W109 0 1 SH SOLE 1 0 0 GENERAL MOTORS ORD COM 37045V100 34 650 SH Call SOLE 650 0 0 GENIUS PRODUCTS ORD COM 37229R305 0 122 SH SOLE 122 0 0 GENWORTH FINANCIAL CL A ORD COM 37247D106 3 800 SH SOLE 800 0 0 GIGCAPITAL4 UNT COM 37518G200 3 300 SH SOLE 300 0 0 GINKGO BIOWORKS HOLD CL A ORD COM 37611X100 577 49790 SH SOLE 49790 0 0 GINKGO BIOWORKS HOLD CL A ORD COM 37611X100 0 13 SH Call SOLE 13 0 0 GLADSTONE INVESTMENT ORD COM 376546107 20 1500 SH SOLE 1500 0 0 GLOBALSTAR VTG ORD (ASE) COM 378973408 0 359 SH Call SOLE 359 0 0 GLOBIS ACQUISITION ORD COM 379582109 7 700 SH SOLE 700 0 0 GO ACQUISITION CL A ORD COM 362019101 36 3680 SH SOLE 3680 0 0 GOGO ORD COM 38046C109 155 9000 SH SOLE 9000 0 0 GOLD FIELDS ADR REP 1 ORD SPONSORED ADR 38059T106 1998 246119 SH SOLE 246119 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 32 1750 SH SOLE 1750 0 0 GOLDMAN SACHS MLP ENERGY RENSANC ORD COM 38148G206 83 7800 SH SOLE 7800 0 0 GOLUB CAPITAL BDC ORD COM 38173M102 51 3250 SH SOLE 3250 0 0 GORES METROPOULOS II CL A ORD COM 382873107 33 3400 SH SOLE 3400 0 0 GORES METROPOULOS II UNT COM 382873206 0 80 SH SOLE 80 0 0 GRAYSCALE BITCOIN UNT COM 389637109 38 1150 SH SOLE 1150 0 0 GRAYSCALE DIGITAL LARGE UNT COM G40705108 25 1000 SH SOLE 1000 0 0 GRAYSCALE ETHEREUM COM UNT COM 389638107 42 1500 SH SOLE 1500 0 0 GREENLANE HOLDINGS CL A ORD COM 395330103 47 19863 SH SOLE 19863 0 0 GREENLIGHT CAPITAL CL A ORD COM G4095J109 51 7000 SH SOLE 7000 0 0 GREENROSE ACQUISITION ORD COM 395392103 5 500 SH SOLE 500 0 0 GREIF CL B ORD COM 397624206 524 8100 SH SOLE 8100 0 0 GRID DYNAMICS HOLDINGS INC COM 39813G109 19 665 SH SOLE 665 0 0 GRIFOLS ADR REP ONE NON VTG CL B ORD SPONSORED ADR 398438408 423 29019 SH SOLE 29019 0 0 GRINDROD SHIPPING HOLDINGS ORD COM Y28895103 399 25905 SH SOLE 25905 0 0 GROVE ORD COM 39959A106 13 2689 SH SOLE 2689 0 0 GROWGENERATION ORD COM 39986L109 0 15 SH Put SOLE 15 0 0 GROWTH CAPITAL ACQUISITION UNT COM 39986V206 103 10000 SH SOLE 10000 0 0 GRUPO SUPERVIELLE ADR REP 5 CL B ORD (NYS) COM 40054A108 0 117 SH Call SOLE 117 0 0 GS ACQUISITION HOLDINGS II CL A ORD COM 36258Q105 355 34745 SH SOLE 34745 0 0 GUANGSHEN RAILWAY ADR COM 40065W107 8 880 SH SOLE 880 0 0 HEALTHCARE CAPITAL CL A ORD COM 42228C101 7 722 SH SOLE 722 0 0 HEALTHCOR CATALIO ACQUISTN CL A ORD COM G44125105 823 83188 SH SOLE 83188 0 0 HECLA MINING ORD COM 422704106 137 25000 SH SOLE 25000 0 0 HEICO ORD COM 422806109 432 3280 SH SOLE 3280 0 0 HENNESSY CAPITAL INVESTMENT CL A ORD COM 42589T107 4123 417756 SH SOLE 417756 0 0 HERCULES CAPITAL ORD COM 427096508 41 2500 SH SOLE 2500 0 0 HERITAGE SOUTHEAST BANCORPORATIO ORD (PNK) COM 42727V105 51 2000 SH SOLE 2000 0 0 HERTZ GLOBAL HLDGS ORD COM 42806J700 5 257 SH SOLE 257 0 0 HEWLETT PACKARD ENTERPRISE ORD COM 42824C109 192 13500 SH SOLE 13500 0 0 HEWLETT PACKARD ENTERPRISE ORD COM 42824C109 2 200 SH Call SOLE 200 0 0 HEXO ORD (NYS) COM 428304307 0 75 SH Call SOLE 75 0 0 HIGH INCOME SECURITIES CF COM 42968F108 26 3000 SH SOLE 3000 0 0 HIGHLAND GLOB ALLO NAV CF COM 43010T104 119 13200 SH SOLE 13200 0 0 HIGHLAND INCOME CF COM 43010E404 37 3500 SH SOLE 3500 0 0 HIPPO HOLDINGS CL A ORD COM 433539103 280 60000 SH SOLE 60000 0 0 HIPPO HOLDINGS CL A ORD COM 433539103 7 1500 SH Call SOLE 1500 0 0 HIPPO HOLDINGS CL A ORD COM 433539103 1 250 SH Put SOLE 250 0 0 HOEGH LNG PARTNERS CUM SRS A PRF COM Y3262R118 313 14406 SH SOLE 14406 0 0 HOEGH LNG PARTNERS UNT COM Y3262R100 54 11100 SH SOLE 11100 0 0 HORIZON ACQSN II COM G46044106 1 115 SH SOLE 115 0 0 HORIZON ACQUISITION CL A ORD COM G46049105 204 20500 SH SOLE 20500 0 0 HUANENG POWR INT ADR REP 40 CL N ORD SPONSORED ADR 443304100 230 10960 SH SOLE 10960 0 0 HYCROFT MINING HOLDING CL A ORD COM 44862P109 1 1100 SH SOLE 1100 0 0 HYLIION HOLDINGS CL A ORD COM 449109107 23 2795 SH SOLE 2795 0 0 HYRECAR ORD COM 44916T107 127 15000 SH SOLE 15000 0 0 HYZON MOTORS CL A ORD COM 44951Y102 381 55000 SH SOLE 55000 0 0 IHS MARKIT ORD COM G47567105 3207 27500 SH SOLE 27500 0 0 IMMUNITYBIO ORD COM 45256X103 48 5000 SH SOLE 5000 0 0 IMMUNITYBIO ORD COM 45256X103 1 150 SH Call SOLE 150 0 0 IMPALA PLATINUM HOLDINGS ADR (PNK) SPONSORED ADR 452553308 296 26000 SH SOLE 26000 0 0 IMPEL NEUROPHARMA ORD COM 45258K109 65 5377 SH SOLE 5377 0 0 INFLARX ORD COM N44821101 823 318000 SH SOLE 318000 0 0 INMUNE BIO ORD COM 45782T105 15 800 SH SOLE 800 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 INTERNATIONAL BUSINESS MACHINES ORD COM 459200101 1881 13540 SH SOLE 13540 0 0 INTERNATIONAL GAME TECHNOLOGY ORD (NYS) COM G4863A108 1 65 SH Call SOLE 65 0 0 INTERNATIONAL PAPER ORD COM 460146103 2012 38000 SH SOLE 38000 0 0 INTERNATIONAL PAPER ORD COM 460146103 206 3900 SH Call SOLE 3900 0 0 INTERNATIONAL PAPER ORD COM 460146103 25 480 SH Put SOLE 480 0 0 INTUIT ORD COM 461202103 65 122 SH Call SOLE 122 0 0 INVESCO CREDIT DYNAMIC OPP CF COM 46132R104 58 5000 SH SOLE 5000 0 0 INVESCO HIGH INCOME CF COM 46131F101 42 2900 SH SOLE 2900 0 0 INVESCO SNR INCOME CF COM 46131H107 89 20000 SH SOLE 20000 0 0 INVSC QQQ TRUST SRS 1 ETF COM 46090E103 225 631 SH Put SOLE 631 0 0 ION ACQUISITION CORP 2 CL A ORD COM G49393104 119 12070 SH SOLE 12070 0 0 IPOWER ORD COM 46265P107 43 10905 SH SOLE 10905 0 0 IQVIA HOLDINGS ORD COM 46266C105 64 271 SH SOLE 271 0 0 IRON SPARK I CL A ORD COM 46301G103 895 89589 SH SOLE 89589 0 0 IRONSOURCE CL A ORD COM M5R75Y101 59 5500 SH SOLE 5500 0 0 ISHARES 20 PLS YEAR TREASURY BND ETF COM 464287432 0 5 SH Put SOLE 5 0 0 ISHARES CORE S&P 500 ETF COM 464287200 3 7 SH SOLE 7 0 0 ISHARES GLOBAL CLEAN ENERGY ETF (NMS) COM 464288224 4 200 SH Call SOLE 200 0 0 ISHARES MSCI EAFE ETF COM 464287465 276 3550 SH SOLE 3550 0 0 ISHARES MSCI EMERGING MARKETS ETF COM 464287234 10 200 SH Put SOLE 200 0 0 ISHARES MSCI FRANCE ETF COM 464286707 49 1339 SH SOLE 1339 0 0 ISHARES MSCI INDIA INDEX ETF COM 46429B598 99 2038 SH SOLE 2038 0 0 ISHARES MSCI JAPAN ETF COM 46434G822 99 1412 SH SOLE 1412 0 0 ISHARES MSCI TAIWAN ETF COM 46434G772 49 805 SH SOLE 805 0 0 ISHARES RUSSELL 2000 ETF COM 464287655 10 50 SH Call SOLE 50 0 0 ISORAY ORD COM 46489V104 0 810 SH SOLE 810 0 0 ISUN ORD COM 465246106 927 111723 SH SOLE 111723 0 0 ITAU UNIBANCO HOLDING ADR REP 1 PRF SPONSORED ADR 465562106 1172 270000 SH SOLE 270000 0 0 IVANHOE CAPITAL ACQUISITION CL A ORD COM G4R87P114 1 200 SH SOLE 200 0 0 JACKSON FINANCIAL CL A ORD COM 46817M107 2035 78300 SH SOLE 78300 0 0 JAWS MUSTANG ACQUISITION UNT COM G50737116 502 50000 SH SOLE 50000 0 0 JD.COM ADR REP 2 CL A ORD SPONSORED ADR 47215P106 298 4136 SH SOLE 4136 0 0 JOBY AVIATION CL A ORD COM G65163100 6 600 SH Call SOLE 600 0 0 JOFF FINTECH ACQUISITION UNT COM 46592C209 79 8000 SH SOLE 8000 0 0 JOHN HANCOCK PREFERRED INCOME III CF COM 41021P103 104 5600 SH SOLE 5600 0 0 JOHNSON CONTROLS INTERNATIONAL ORD COM G51502105 60 882 SH SOLE 882 0 0 JUST EAT TAKEAWAY COM N V SPONSO ADR COM 48214T305 0 1 SH SOLE 1 0 0 KAYNE ANDERSON ENERGY INFRA CF COM 486606106 40 5000 SH SOLE 5000 0 0 KAYNE ANDRSN NXTGEN ENRGY INFRA CF COM 48661E108 36 5000 SH SOLE 5000 0 0 KEURIG DR PEPPER ORD COM 49271V100 341 10000 SH SOLE 10000 0 0 KEURIG DR PEPPER ORD COM 49271V100 8 235 SH Call SOLE 235 0 0 KHOSLA VENTURES ACQUISITION CL A ORD COM 482504107 0 100 SH SOLE 100 0 0 KHOSLA VENTURES ACQUISITION II CO COM 482505104 405 39814 SH SOLE 39814 0 0 KKR ACQUISITION HOLDINGS I CL A ORD COM 48253T109 6 700 SH SOLE 700 0 0 KKR ACQUISITION HOLDINGS I UNT COM 48253T208 16 1653 SH SOLE 1653 0 0 KKR INCOME OPPORTUNITIES CF COM 48249T106 192 11768 SH SOLE 11768 0 0 KONINKLIJKE PHILIPS ADR COM 500472303 666 15000 SH SOLE 15000 0 0 KRANESHARES CSI CHINA INTERNET ETF COM 500767306 47 1000 SH SOLE 1000 0 0 KRANESHARES CSI CHINA INTERNET ETF COM 500767306 11 250 SH Call SOLE 250 0 0 KRANESHARES GLOBAL CARBON ETF COM 500767678 20 500 SH SOLE 500 0 0 LAS VEGAS SANDS ORD COM 517834107 3 100 SH SOLE 100 0 0 LATCH ORD COM 51818V106 0 60 SH SOLE 60 0 0 LAZARD GLOBAL TOTAL RETURN INCOME CF COM 52106W103 84 4200 SH SOLE 4200 0 0 LAZARD GROWTH ACQUISITION UNT COM G54035129 119 12000 SH SOLE 12000 0 0 LEFTERIS ACQUISITION CL A ORD COM 52470X109 4210 430092 SH SOLE 430092 0 0 LEGATO MERGER ORD COM 52473X106 98 9410 SH SOLE 9410 0 0 LENNAR CL B ORD COM 526057302 4 54 SH SOLE 54 0 0 LI CYCLE HOLDINGS ORD COM 50202P105 156 13411 SH SOLE 13411 0 0 LIBERTY ALL STAR GROWTH CF COM 529900102 51 5973 SH SOLE 5973 0 0 LIBERTY GLOBAL CL A ORD COM G5480U104 12 420 SH SOLE 420 0 0 LIBERTY MEDIA FORMULA ONE SRS A ORD COM 531229870 51 1089 SH SOLE 1089 0 0 LINDE ORD COM G5494J103 293 1000 SH SOLE 1000 0 0 LIVE OAK ACQUISITION II CL A ORD COM 53804W106 0 100 SH SOLE 100 0 0 LIVE OAK ACQUISITION UNT COM 53804W205 1 100 SH SOLE 100 0 0 LLOYDS BANKING GROUP ADR 4 ORD SPONSORED ADR 539439109 2255 920449 SH SOLE 920449 0 0 LMP CAPITAL & INCM CF COM 50208A102 185 13500 SH SOLE 13500 0 0 LOGITECH N ORD COM H50430232 2732 31000 SH SOLE 31000 0 0 LONGWEI PETROLEUM INVEST HOLDING ORD COM 543354104 0 5000 SH SOLE 5000 0 0 LUCID GROUP ORD COM 549498103 63 2500 SH SOLE 2500 0 0 M3-BRIGADE ACQUISITION II CORP COM 553800111 89 67000 SH SOLE 67000 0 0 MACK CALI REALTY REIT ORD COM 554489104 856 50000 SH SOLE 50000 0 0 MACYS ORD COM 55616P104 5 230 SH Put SOLE 230 0 0 MAIDEN HOLDINGS LTD COM 560292302 230 10387 SH SOLE 10387 0 0 MAIN STREET CAPITAL ORD COM 56035L104 51 1250 SH SOLE 1250 0 0 MALACCA STRAITS ACQUISITION CL A ORD COM G5859B117 22 2216 SH SOLE 2216 0 0 MALACCA STRAITS ACQUISITION COMP UNT COM G5859B125 6 600 SH SOLE 600 0 0 MARIN SOFTWARE ORD COM 56804T205 21 2406 SH SOLE 2406 0 0 MARQETA CL A ORD COM 57142B104 2 100 SH SOLE 100 0 0 MARQUEE RAINE ACQUISITION CL A ORD COM G58442107 4 450 SH SOLE 450 0 0 MASTERCARD CL A ORD COM 57636Q104 2 8 SH SOLE 8 0 0 MATTHEWS INTERNATIONAL CL A ORD COM 577128101 1 30 SH SOLE 30 0 0 MCAP ACQUISITION CL A ORD COM 55282T109 246 25000 SH SOLE 25000 0 0 MCAP ACQUISITION UNT COM 55282T208 1 100 SH SOLE 100 0 0 MEDALLIA ORD COM 584021109 6 200 SH SOLE 200 0 0 MEDIACO HOLDING CL A ORD COM 58450D104 30 2591 SH SOLE 2591 0 0 MICRO FOCUS INTERNATIONAL ADR COM 594837403 272 50000 SH SOLE 50000 0 0 MICRON TECHNOLOGY ORD COM 595112103 496 7000 SH SOLE 7000 0 0 MILLER HOWARD HIGH INCOME EQUITY CF COM 600379101 268 27302 SH SOLE 27302 0 0 MIND MEDICINE ORD COM 60255C109 9 4000 SH SOLE 4000 0 0 MODEL PERFORMANCE ACQUISITION UNT COM G6246M113 211 20000 SH SOLE 20000 0 0 MODERNA ORD COM 60770K107 55 143 SH SOLE 143 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 64 8060 SH SOLE 8060 0 0 MORGAN STANLEY EMERGING MKT DEBT CF COM 61744H105 51 5600 SH SOLE 5600 0 0 MOSAIC ORD COM 61945C103 35 1000 SH SOLE 1000 0 0 MOTIVE CAPITAL CL A ORD COM G6293A103 17 1770 SH SOLE 1770 0 0 MOTUS GI HOLDINGS ORD COM 62014P108 0 200 SH SOLE 200 0 0 MOUNTAIN CREST ACQUISITION II RTS COM 62402D113 50 66900 SH SOLE 66900 0 0 MS EMERGING MARKTS DOMESTIC DEBT CF COM 617477104 58 10000 SH SOLE 10000 0 0 MSC INDUSTRIAL CL A ORD COM 553530106 10 130 SH SOLE 130 0 0 MUDRICK CAPITAL ACQUISTN II CL A ORD COM 62477L107 14 1500 SH SOLE 1500 0 0 MULTIPLAN CL A ORD COM 62548M100 0 100 SH SOLE 100 0 0 NAKED BRAND GROUP ORD COM Q6519T117 0 160 SH SOLE 160 0 0 NATIONAL RETAIL PROPERTIES REIT ORD COM 637417106 0 8 SH SOLE 8 0 0 NAVIOS MARITIME ORD COM Y62197119 1 400 SH SOLE 400 0 0 NCINO ORD COM 63947U107 56 796 SH SOLE 796 0 0 NERVGEN PHARMA ORD COM 64082X203 12 6500 SH SOLE 6500 0 0 NETFLIX ORD COM 64110L106 3411 5589 SH SOLE 5589 0 0 NEUBERGER BERMAN HGH YLD STRATGS CF COM 64128C106 168 13331 SH SOLE 13331 0 0 NEUBERGER BERMN REAL EST SEC INCM CF COM 64190A103 24 5000 SH SOLE 5000 0 0 NEUBERGR BRM MLP AND ENR INCM NAV CF COM 64129H104 36 7500 SH SOLE 7500 0 0 NEW AMERICA HIGH INCOME CF COM 641876800 81 8500 SH SOLE 8500 0 0 NEW MOUNTAIN FINANCE ORD COM 647551100 23 1750 SH SOLE 1750 0 0 NEWLAKE CAPITAL COM 651495103 48 1650 SH SOLE 1650 0 0 NEWMONT ORD COM 651639106 162 3000 SH SOLE 3000 0 0 NEXPOINT STRATEG OPRT 5.50 SRS A PRF COM 65340G304 36 1655 SH SOLE 1655 0 0 NOKIA ADR REPSG 1 SER A ORD SPONSORED ADR 654902204 3706 680000 SH SOLE 680000 0 0 NORTH ATLANTIC ACQUISITION UNT COM G66139117 304 30400 SH SOLE 30400 0 0 NORTHERN STAR INVESTMENT CL A ORD COM 66573W107 338 34100 SH SOLE 34100 0 0 NOVAGOLD RESOURCES ORD COM 66987E206 1 230 SH SOLE 230 0 0 NOVARTIS ADR REPSG 1 ORD SPONSORED ADR 66987V109 2649 32400 SH SOLE 32400 0 0 NOVELSTEM INTERNATIONAL ORD (PNK) COM 67001V109 1 5500 SH SOLE 5500 0 0 NUANCE COMMUNICATIONS ORD COM 67020Y100 338 6155 SH SOLE 6155 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 15 1000 SH SOLE 1000 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 39 2500 SH SOLE 2500 0 0 NUVEEN CORE PLUS IMPACT CF COM 67080D103 29 1500 SH SOLE 1500 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 123 18891 SH SOLE 18891 0 0 NUVEEN DYNAMIC MUNICI OPPORT CF COM 67079X102 39 2446 SH SOLE 2446 0 0 NUVEEN EMERGING MKTS DEBT 2022 CF COM 67077P101 8 1050 SH SOLE 1050 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 117 11817 SH SOLE 11817 0 0 NUVEEN FLOATING RATE INCOME CF COM 67072T108 50 5000 SH SOLE 5000 0 0 NUVEEN GLOBAL HIGH INCOME CF COM 67075G103 64 4005 SH SOLE 4005 0 0 NUVEEN MUNICIPAL CREDIT OPPORTUN CF COM 670663103 15 1000 SH SOLE 1000 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 131 13400 SH SOLE 13400 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 79 8000 SH SOLE 8000 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 15 1000 SH SOLE 1000 0 0 NUVEEN REAL ASSET INCOME AND GRO CF COM 67074Y105 53 3500 SH SOLE 3500 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 103 9770 SH SOLE 9770 0 0 NUVEEN SENIOR INCOME CF COM 67067Y104 43 7500 SH SOLE 7500 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 30 2000 SH SOLE 2000 0 0 NUVEEN TAX ADVNTGD DIVDND GRWTH CF COM 67073G105 31 2000 SH SOLE 2000 0 0 NUVEEN TAX-ADVANTAGED TOTAL RETN CF COM 67090H102 33 3002 SH SOLE 3002 0 0 NVIDIA ORD COM 67066G104 1319 6371 SH SOLE 6371 0 0 NXP SEMICONDUCTORS ORD COM N6596X109 0 5 SH Call SOLE 5 0 0 OAKTREE SPECIALTY LENDING ORD COM 67401P108 45 6500 SH SOLE 6500 0 0 OATLY GROUP ADS REP ORD COM 67421J108 1 100 SH SOLE 100 0 0 OKTA CL A ORD COM 679295105 332 1400 SH SOLE 1400 0 0 ON HOLDING CL A ORD COM H5919C104 30 1000 SH SOLE 1000 0 0 ONE EQUITY PARTNERS OPEN WATER I UNT COM 68237L204 248 25000 SH SOLE 25000 0 0 OPENDOOR TECHNOLOGIES ORD COM 683712103 102 5000 SH SOLE 5000 0 0 ORAMED PHARMACEUTICALS ORD COM 68403P203 48 2195 SH SOLE 2195 0 0 ORGANIGRAM HOLDINGS ORD COM 68620P101 12 5400 SH SOLE 5400 0 0 ORIGIN AGRITECH ORD COM G67828205 141 17100 SH SOLE 17100 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 34 5100 SH SOLE 5100 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 6 1000 SH Call SOLE 1000 0 0 OWL ROCK CAPITAL ORD COM 69121K104 56 4000 SH SOLE 4000 0 0 OXFORD LANE CAPITAL ORD COM 691543102 108 15000 SH SOLE 15000 0 0 PALO ALTO NETWORKS ORD COM 697435105 2418 5050 SH SOLE 5050 0 0 PAVMED ORD COM 70387R106 40 4750 SH SOLE 4750 0 0 PAYONEER GLOBAL ORD COM 70451X104 21 2500 SH SOLE 2500 0 0 PEABODY ENERGY ORD COM 704551100 36 2500 SH SOLE 2500 0 0 PEABODY ENERGY ORD COM 704551100 7 500 SH Call SOLE 500 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 31 2500 SH SOLE 2500 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 32 5000 SH SOLE 5000 0 0 PERSHING ORD COM G7016V101 84 2331 SH SOLE 2331 0 0 PERSHING SQUARE TONTINE HLD CL A ORD COM 71531R109 2303 116950 SH SOLE 116950 0 0 PETROLEO BRASILEIRO ADR REPSTG 2 ORD SPONSORED ADR 71654V408 2 200 SH SOLE 200 0 0 PFSWEB ORD COM 717098206 348 27000 SH SOLE 27000 0 0 PGIM GLOBAL HIGH YIELD CF COM 69346J106 137 8914 SH SOLE 8914 0 0 PGIM HIGH YIELD BOND CF COM 69346H100 126 7786 SH SOLE 7786 0 0 PGIM SHORT DURATION HIGH YIELD CF COM 69355J104 93 5000 SH SOLE 5000 0 0 PILGRIMS PRIDE ORD COM 72147K108 72 2500 SH SOLE 2500 0 0 PIMCO DYNAMIC INCOME OPPORT CF COM 69355M107 78 3750 SH SOLE 3750 0 0 PIMCO DYNMC CRDT AND MRTG INCM CF COM 72202D106 36 1750 SH SOLE 1750 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 103 8500 SH SOLE 8500 0 0 PIMCO HIGH INCOME CF COM 722014107 47 7500 SH SOLE 7500 0 0 PIMCO INCOME OPPORTUNITY CF COM 72202B100 110 4500 SH SOLE 4500 0 0 PIMCO INCOME STRATEGY CF COM 72201H108 58 5000 SH SOLE 5000 0 0 PINE ISLAND ACQ CL A ORD COM 722615101 48 5000 SH SOLE 5000 0 0 PIONEER FLOATING RATE CF COM 72369J102 198 17300 SH SOLE 17300 0 0 PIONEER HIGH INCOME CF COM 72369H106 24 2500 SH SOLE 2500 0 0 PLAYSTUDIOS CL A ORD COM 72815G108 0 100 SH SOLE 100 0 0 PLX PHARMA ORD COM 72942A107 57 2987 SH SOLE 2987 0 0 PMV CONSUMER ACQUISITION UNT COM 693486201 6 600 SH SOLE 600 0 0 POWER DIGITAL INFRASTRUCTUR CL A ORD COM 739190106 105 10402 SH SOLE 10402 0 0 POWERED BRANDS UNT COM G7209M124 23 2360 SH SOLE 2360 0 0 PRIME IMPACT ACQUISITION I CL A ORD COM G61074103 511 52050 SH SOLE 52050 0 0 PRIME IMPACT ACQUISITION I UNT COM G61074111 6 600 SH SOLE 600 0 0 PRINCIPAL REAL ESTATE INCOME CF COM 74255X104 52 3593 SH SOLE 3593 0 0 PROCAPS GROUP ORD COM L7756P102 30 3000 SH SOLE 3000 0 0 PROGRESS SOFTWARE ORD COM 743312100 62 1278 SH SOLE 1278 0 0 PROPERTY SOLUT ACQ II CL A ORD COM 74350A108 4 500 SH SOLE 500 0 0 PROSHARES SHORT VIX SHORT TERM ETF COM 74347W130 288 5301 SH SOLE 5301 0 0 PROSHARES ULTRA BLOM NAT GAS ETF COM 74347Y870 16 200 SH SOLE 200 0 0 PROSHARES ULTRA S&P 500 ETF COM 74347R107 292 2443 SH SOLE 2443 0 0 PROSHARES ULTRASHORT S&P 500 ETF COM 74347B383 2 300 SH SOLE 300 0 0 PROSHRES ULTRASHT 20 PLS YR TRSY ETF COM 74347B201 9 500 SH SOLE 500 0 0 QUANTUM SI CL A ORD COM 74765K105 29 3492 SH SOLE 3492 0 0 QUOTIENT ORD COM G73268107 8 3645 SH SOLE 3645 0 0 QURATE RETAIL 8 0 PRF COM 74915M308 2757 25500 SH SOLE 25500 0 0 RECHARGE ACQUISITION CL A ORD COM 756229100 22 2248 SH SOLE 2248 0 0 RECRUITER.COM GROUP ORD COM 75630B303 0 240 SH SOLE 240 0 0 REDBALL ACQUISITION CL A ORD COM G7417R105 207 21100 SH SOLE 21100 0 0 REINVENT TECHNOLOGY PARTNER CL A ORD COM G7484L106 7 800 SH SOLE 800 0 0 REKOR SYSTEMS ORD COM 759419104 114 10000 SH SOLE 10000 0 0 REKOR SYSTEMS ORD COM 759419104 4 407 SH Call SOLE 407 0 0 RESMED ORD COM 761152107 1721 6532 SH SOLE 6532 0 0 REWALK ROBOTICS LTD COM M8216Q200 0 120 SH SOLE 120 0 0 REXFORD INDUSTRIAL REALTY REIT ORD COM 76169C100 64 1142 SH SOLE 1142 0 0 RIVERNORTH SPECIALTY FINANCE NAC CF COM 76882B108 3 204 SH SOLE 204 0 0 ROYAL DUTCH SHELL ADR REP 2 CL A ORD SPONSORED ADR 780259206 133 3000 SH SOLE 3000 0 0 ROYCE MICRO CAPITAL CF COM 780915104 137 12000 SH SOLE 12000 0 0 ROYCE VALUE CF COM 780910105 184 10250 SH SOLE 10250 0 0 RUSH ENTERPRISES CL B ORD COM 781846308 19 430 SH SOLE 430 0 0 RYANAIR HOLDINGS ORD COM 783513203 165 1500 SH SOLE 1500 0 0 SABA CAPITAL INCOME OPPORTUNITIES CF COM 78518H103 11 2500 SH SOLE 2500 0 0 SAFEHOLD ORD (NYS) COM 78645L100 17 240 SH Call SOLE 240 0 0 SALESFORCE.COM ORD COM 79466L302 3605 13293 SH SOLE 13293 0 0 SALIENT MIDSTREAM & MLP CF COM 79471V105 31 5000 SH SOLE 5000 0 0 SANDERSON FARMS ORD COM 800013104 674 3585 SH SOLE 3585 0 0 SANTANDER CONSUMER USA HOLDINGS ORD COM 80283M101 4 100 SH SOLE 100 0 0 SAP ADR REP 1 ORD SPONSORED ADR 803054204 1889 13992 SH SOLE 13992 0 0 SARATOGA INVESTMENT ORD COM 80349A208 40 1399 SH SOLE 1399 0 0 SASOL ADR REP 1 ORD SPONSORED ADR 803866300 3373 179069 SH SOLE 179069 0 0 SCIPLAY CL A ORD COM 809087109 413 20000 SH SOLE 20000 0 0 SCOTTS MIRACLE GRO ORD COM 810186106 131 900 SH SOLE 900 0 0 SCOTTS MIRACLE GRO ORD COM 810186106 0 5 SH Call SOLE 5 0 0 SCVX CL A ORD COM G79448208 60 6050 SH SOLE 6050 0 0 SEANERGY MARITIME HOLDINGS ORD COM Y73760301 11 8000 SH SOLE 8000 0 0 SEAWORLD ENTERTAINMENT ORD COM 81282V100 66 1210 SH SOLE 1210 0 0 SEMA4 HOLDINGS CL A ORD COM 81663L101 0 100 SH Call SOLE 100 0 0 SEVEN HILLS REALTY CF COM 81784E101 30 3003 SH SOLE 3003 0 0 SEVEN OAKS ACQUISITION CL A ORD COM 81787X106 1 200 SH SOLE 200 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 SIRIUS XM HOLDINGS ORD COM 82968B103 0 150 SH SOLE 150 0 0 SIXTH STREET SPECIALTY LENDING ORD COM 83012A109 55 2500 SH SOLE 2500 0 0 SLR INVESTMENT ORD COM 83413U100 38 2000 SH SOLE 2000 0 0 SMITH NEPHEW ADR REP 2 ORD SPONSORED ADR 83175M205 1030 30000 SH SOLE 30000 0 0 SNAP CL A ORD COM 83304A106 147 2000 SH SOLE 2000 0 0 SNAP CL A ORD COM 83304A106 7 108 SH Call SOLE 108 0 0 SOCIAL CAP HEDOSOP HOLD IV CL A ORD COM G82514103 2 200 SH SOLE 200 0 0 SOCIAL CAP HEDOSOP HOLD VI CL A ORD COM G8251L105 29 2900 SH SOLE 2900 0 0 SOCIAL CAP SUVRETTA HLD II CL A ORD COM G8253U103 989 100152 SH SOLE 100152 0 0 SOCIAL CAP SUVRETTA HLD IV CL A ORD COM G8253Y105 1059 108000 SH SOLE 108000 0 0 SOCIAL CAPITAL HEDOSOPHIA VI UNT COM G8251L121 1 100 SH SOLE 100 0 0 SOCIAL CAPITAL SUVRETTA CL A ORD COM G8253T106 954 95900 SH SOLE 95900 0 0 SOCIAL CAPITAL SUVRETTA HOLDINGS CORP III COM G8253W109 1136 116000 SH SOLE 116000 0 0 SOCIAL LEVERAGE ACQUISI UNT COM 83363K201 8 900 SH SOLE 900 0 0 SOFTBANK GROUP UNSPONSORED ADR (PNK) SPONSORED ADR 83404D109 38 1320 SH SOLE 1320 0 0 SOLID BIOSCIENCES ORD COM 83422E105 0 100 SH Call SOLE 100 0 0 SONY GROUP ADR REP ORD SPONSORED ADR 835699307 110 1000 SH SOLE 1000 0 0 SOUTHWEST AIRLINES ORD COM 844741108 25 500 SH SOLE 500 0 0 SOUTHWSTN ENER ORD COM 845467109 46 8470 SH SOLE 8470 0 0 SPARTAN ACQUISITION III UNT COM 84677R205 7 750 SH SOLE 750 0 0 SPDR EURO STOXX 50 ETF COM 78463X202 296 6543 SH SOLE 6543 0 0 SPDR GOLD SHARES ETF COM 78463V107 3 20 SH SOLE 20 0 0 SPDR S&P 500 ETF COM 78462F103 10 25 SH Call SOLE 25 0 0 SPDR S&P 500 ETF COM 78462F103 31 74 SH Put SOLE 74 0 0 SPDR S&P REGIONAL BANKING ETF COM 78464A698 677 10000 SH SOLE 10000 0 0 SPECIAL OPPORTUNITIES CF COM 84741T104 76 5000 SH SOLE 5000 0 0 SPHERE 3D ORD COM 84841L308 0 90 SH Call SOLE 90 0 0 SPLASH BEVERAGE GROUP ORD COM 84862C203 117 58873 SH SOLE 58873 0 0 SPORTRADAR GROUP CL A ORD COM H8088L103 22 1000 SH SOLE 1000 0 0 SPORTS ENTERTAINMENT ACQ CL A ORD COM 84918M106 14 1400 SH SOLE 1400 0 0 SPORTS VENTURES ACQUISITION CORP COM G8372A111 4 444 SH SOLE 444 0 0 SPROTT FOCUS TRUST CEF COM 85208J109 147 17930 SH SOLE 17930 0 0 SPROTT PHYSICAL SILVER ETV COM 85207K107 384 50000 SH SOLE 50000 0 0 SQUARE CL A ORD COM 852234103 0 4 SH Call SOLE 4 0 0 STATE AUTO FINANCIAL ORD (NMS) COM 855707105 0 1 SH Put SOLE 1 0 0 STEEL DYNAMICS ORD COM 858119100 64 1111 SH SOLE 1111 0 0 STELLANTIS ORD COM N82405106 2108 110400 SH SOLE 110400 0 0 STELLUS CAPITAL INVESTMENT ORD COM 858568108 19 1500 SH SOLE 1500 0 0 STMICROELECTRONICS ADR COM 861012102 1308 30000 SH SOLE 30000 0 0 STONECO CL A ORD COM G85158106 10 300 SH SOLE 300 0 0 SUPERCOM ORD COM M87095119 1 1300 SH SOLE 1300 0 0 SVF INVESTMENT 2 CL A ORD COM G8601M100 893 91000 SH SOLE 91000 0 0 SVF INVESTMENT 3 CL A ORD COM G8601N108 779 79344 SH SOLE 79344 0 0 SVF INVESTMENT CL A ORD COM G8601L102 14 1500 SH SOLE 1500 0 0 SWITCHBACK II CL A ORD COM G8633T115 0 100 SH SOLE 100 0 0 TAILWIND ACQUISITION CL A ORD COM 87403Q102 436 44659 SH SOLE 44659 0 0 TAKEDA PHARMA ADR REP 0.5 ORD SPONSORED ADR 874060205 4762 290753 SH SOLE 290753 0 0 TCG BDC ORD COM 872280102 26 2000 SH SOLE 2000 0 0 TCW STRATEGIC INCOME CF COM 872340104 5 1000 SH SOLE 1000 0 0 TECHNIPFMC ORD COM G87110105 75 10000 SH SOLE 10000 0 0 TECK RESOURCES CL B ORD COM 878742204 0 20 SH SOLE 20 0 0 TEKLA HEALTHCARE OPPORTUNITIES CF COM 879105104 28 1250 SH SOLE 1250 0 0 TEKLA LIFE SCIENCES INVESTORS CF COM 87911K100 31 1500 SH SOLE 1500 0 0 TELADOC HEALTH ORD COM 87918A105 12 100 SH SOLE 100 0 0 TELKONET ORD (PNK) COM 879604106 2 77000 SH SOLE 77000 0 0 TEMPLETON EMERGING MARKET INCOME CF COM 880192109 38 5000 SH SOLE 5000 0 0 TEMPLETON GLOBAL INCOME CF COM 880198106 26 5000 SH SOLE 5000 0 0 TEMPUR SEALY INTERNATIONAL ORD COM 88023U101 69 1497 SH SOLE 1497 0 0 TENCENT MUSC ENT ADR REP 2 CL A ORD SPONSORED ADR 88034P109 580 80109 SH SOLE 80109 0 0 TERADATA ORD COM 88076W103 1083 18900 SH SOLE 18900 0 0 TESLA ORD COM 88160R101 3 5 SH Call SOLE 5 0 0 TEVA PHARMA IND ADR REP 1 ORD (NYS) COM 881624209 6 650 SH Call SOLE 650 0 0 THIMBLE POINT ACQUISITION CL A ORD COM 88408P107 1 200 SH SOLE 200 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 0 526323 SH SOLE 526323 0 0 TIGA ACQUISITION CL A ORD COM G88672103 5655 558267 SH SOLE 558267 0 0 TILRAY CL 2 ORD COM 88688T100 4 360 SH SOLE 360 0 0 TILRAY CL 2 ORD COM 88688T100 3 330 SH Call SOLE 330 0 0 TOAST CL A ORD COM 888787108 13 270 SH SOLE 270 0 0 TORTOISE MIDSTREAM ENERGY CF COM 89148B200 54 1900 SH SOLE 1900 0 0 TORTOISE PIPELINE AND ENERGY CF COM 89148H207 0 1 SH SOLE 1 0 0 TOYOTA MOTOR ADR REP 10 ORD SPONSORED ADR 892331307 302 1700 SH SOLE 1700 0 0 TPG PACE SOLUTIONS CL A ORD COM G8656V104 2 240 SH SOLE 240 0 0 TRANSOCEAN ORD COM H8817H100 52 13732 SH SOLE 13732 0 0 TRILLIUM THERAPEUTICS ORD COM 89620X506 175 10000 SH SOLE 10000 0 0 TRIMBLE ORD COM 896239100 61 742 SH SOLE 742 0 0 TRIPLE S MANAGEMENT CL B ORD (NYS) COM 896749108 0 2 SH Put SOLE 2 0 0 TRIPLEPOINT VENTURE GROWTH BDC ORD COM 89677Y100 31 2000 SH SOLE 2000 0 0 TRIVAGO ADR REP ORD SPONSORED ADR 89686D105 0 20 SH Call SOLE 20 0 0 TSAKOS ENRG NVGT CM RD PRP SRS F PRF COM G9108L165 58 2439 SH SOLE 2439 0 0 TURTLE BEACH ORD COM 900450206 55 2000 SH SOLE 2000 0 0 TZP STRATEGIES ACQUISITION UNT COM G91595127 0 100 SH SOLE 100 0 0 UBER TECHNOLOGIES INC COM 90353T100 112 2500 SH SOLE 2500 0 0 UNDER ARMOUR CL C ORD COM 904311206 15 880 SH SOLE 880 0 0 UNITED THERAPEUTICS ORD COM 91307C102 92 500 SH SOLE 500 0 0 UNITED THERAPEUTICS ORD COM 91307C102 32 175 SH Call SOLE 175 0 0 UNITED THERAPEUTICS ORD COM 91307C102 0 5 SH Put SOLE 5 0 0 UNITY SOFTWARE ORD COM 91332U101 492 3900 SH SOLE 3900 0 0 UNIVERSAL DISPLAY ORD COM 91347P105 0 1 SH Call SOLE 1 0 0 URBAN GRO ORD COM 91704K202 11 848 SH SOLE 848 0 0 UWM HOLDINGS CL A ORD COM 91823B109 1 180 SH SOLE 180 0 0 UWM HOLDINGS CORP COM 91823B117 4 4800 SH SOLE 4800 0 0 VALE ADR REPTG ONE ORD SPONSORED ADR 91912E105 139 10000 SH SOLE 10000 0 0 VANECK GOLD MINERS ETF COM 92189F106 220 7494 SH SOLE 7494 0 0 VANGUARD FTSE EUROPE ETF COM 922042874 99 1511 SH SOLE 1511 0 0 VBI VACCINES ORD COM 91822J103 76 24683 SH SOLE 24683 0 0 VECTOIQ ACQUISITION II CL A ORD COM 92244F109 142 14701 SH SOLE 14701 0 0 VECTOIQ ACQUISITION II UNT COM 92244F208 209 21144 SH SOLE 21144 0 0 VECTOR ACQUISITION II CL A ORD COM G9460A104 590 60542 SH SOLE 60542 0 0 VELO3D INC WRT EXP 12/01/2025 COM 92259N112 62 40708 SH SOLE 40708 0 0 VELODYNE LIDAR ORD COM 92259F101 0 150 SH Call SOLE 150 0 0 VEONEER ORD COM 92336X109 3 100 SH SOLE 100 0 0 VERB TECHNOLOGY COMPANY ORD COM 92337U104 0 110 SH SOLE 110 0 0 VERSO CL A ORD COM 92531L207 93 4500 SH SOLE 4500 0 0 VIACOMCBS CL B ORD COM 92556H206 18 460 SH SOLE 460 0 0 VICI PPTYS ORD COM 925652109 582 20490 SH SOLE 20490 0 0 VIKING THERAPEUTICS ORD COM 92686J106 1 180 SH SOLE 180 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 25 3000 SH SOLE 3000 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 1 120 SH Call SOLE 120 0 0 VINCE HOLDING ORD COM 92719W207 782 94852 SH SOLE 94852 0 0 VIRTUOSO ACQUISITION CL A ORD COM 92837J104 35 3600 SH SOLE 3600 0 0 VIRTUS ALLIA CNV INCM 2024 TG TR CF COM 92838R105 8 800 SH SOLE 800 0 0 VIRTUS ALLIAN ARTIF INTEL TCH OP CF COM 92838Y100 53 2000 SH SOLE 2000 0 0 VIRTUS ALLIANZGI CONV INCM CF COM 92838X102 29 5000 SH SOLE 5000 0 0 VIRTUS ALLIANZGI CONV INCM FD II CF COM 92838U108 25 5000 SH SOLE 5000 0 0 VIRTUS ALLIANZGI EQT CONV INCM CF COM 92841M101 58 2000 SH SOLE 2000 0 0 VIRTUS DIVIDEND INTER PREMIUM STR CF COM 92840R101 74 5000 SH SOLE 5000 0 0 VISTA OIL GAS ADR REP SRS A ORD SPONSORED ADR 92837L109 717 142575 SH SOLE 142575 0 0 VISTAS MEDIA ACQUISITION CL A ORD COM 92840T107 1 100 SH SOLE 100 0 0 VISTRA ORD COM 92840M102 374 21900 SH SOLE 21900 0 0 VISTRA ORD COM 92840M102 1 100 SH Call SOLE 100 0 0 VIVOPOWER INTERNATIO ORD COM G9376R100 544 96400 SH SOLE 96400 0 0 VMWARE CL A ORD COM 928563402 847 5700 SH SOLE 5700 0 0 VPC IMPACT ACQUISIT HOLD II CL A ORD COM G9460L126 5 601 SH SOLE 601 0 0 VPC IMPACT ACQUISITION HOLD CL A ORD COM G9441E100 101 10000 SH SOLE 10000 0 0 VYNE THERAPEUTICS ORD COM 92941V209 0 25 SH SOLE 25 0 0 WELLS FARGO INCOME OPPORTUNITS CF COM 94987B105 167 19000 SH SOLE 19000 0 0 WESCO INTERL 1000 DS RP 1 SRS A PRF COM 95082P303 706 22500 SH SOLE 22500 0 0 WESTERN ASSET DIVERSIFIED INCOME CF COM 95790K109 115 6000 SH SOLE 6000 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 40 3000 SH SOLE 3000 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 47 3000 SH SOLE 3000 0 0 WESTERN ASSET INVSTMNT GRADE INCM CF COM 95766T100 15 979 SH SOLE 979 0 0 WESTRN ASST HIGH INCM OPPORTUNITY CF COM 95766K109 181 35000 SH SOLE 35000 0 0 WILLIS TOWERS WATSON ORD COM G96629103 152 656 SH SOLE 656 0 0 WILLSCOT MOBILE MINI HOLDIN CL A ORD COM 971378104 280 8850 SH SOLE 8850 0 0 WM TECHNOLOGY CL A ORD COM 92971A109 676 46640 SH SOLE 46640 0 0 WM TECHNOLOGY CL A ORD COM 92971A109 0 1 SH Call SOLE 1 0 0 WW INTERNATIONAL ORD COM 98262P101 7 393 SH Call SOLE 393 0 0 XAI OCTGON FLOAT RTE ALTRNTV NAV CF COM 98400T106 36 4312 SH SOLE 4312 0 0 XILINX ORD COM 983919101 7206 47731 SH SOLE 47731 0 0 XL FLEET CL A ORD COM 9837FR100 0 20 SH SOLE 20 0 0 XOS ORD COM 98423B108 162 35000 SH SOLE 35000 0 0 XOS ORD COM 98423B108 1 400 SH Call SOLE 400 0 0 XPAC ACQUISITION UNT COM G9831X114 491 50000 SH SOLE 50000 0 0 YEXT ORD (NYS) COM 98585N106 0 67 SH Call SOLE 67 0 0 YORK WATER ORD COM 987184108 179 4100 SH SOLE 4100 0 0 ZANITE ACQUISITION CL A ORD COM 98907K103 2616 258800 SH SOLE 258800 0 0 ZILLOW GROUP CL A ORD COM 98954M101 13 150 SH SOLE 150 0 0 ZURN WATER SOLUTIONS ORD COM 98983L108 2862 88050 SH SOLE 88050 0 0