General Counsel and CCO

0001742998-23-000002.txt : 20230412 0001742998-23-000002.hdr.sgml : 20230412 20230412130857 ACCESSION NUMBER: 0001742998-23-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230412 DATE AS OF CHANGE: 20230412 EFFECTIVENESS DATE: 20230412 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: 23815239 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 X0202 13F-HR LIVE false true false 0001742998 XXXXXXXX 03-31-2023 03-31-2023 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 04-12-2023 3 673 87659 false 1 0001589689 000168658 801-108431 MYDA Advisors LLC 2 0001659380 000282319 801-121846 Sender Co & Partners, Inc. 3 0001716476 000289186 801-117184 Vazirani Asset Management LLC INFORMATION TABLE 2 FNYIA.xml FNYIAQ12023 22ND CENTURY GROUP ORD COM 90137F103 3 5000 SH SOLE 5000 0 0 89BIO ORD COM 282559103 4 300 SH SOLE 300 0 0 89BIO ORD COM 282559103 0 15 SH Call SOLE 15 0 0 89BIO ORD COM 282559103 0 3 SH Put SOLE 3 0 0 ABRDN PHYSICAL PALLADIUM SHARES ETF COM 003262102 67 500 SH SOLE 500 0 0 ACTIVISION BLIZZARD ORD COM 00507V109 425 4974 SH DFND 4974 0 0 ADAMIS PHARMACEUTICALS ORD (NMS) COM 00547W208 0 7 SH Call SOLE 7 0 0 ADMA BIOLOGICS ORD COM 000899104 0 75 SH SOLE 75 0 0 ADVANCE AUTO PARTS ORD COM 00751Y106 15 128 SH SOLE 128 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 49 510 SH SOLE 510 0 0 ADVISORSHARES MSOS 2X DAILY ETF COM 00768Y313 96 25570 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DFND 508 0 0 MATCH GROUP ORD COM 57667L107 265 6914 SH DFND 6914 0 0 MATTEL ORD (NMS) COM 577081102 4 250 SH Call SOLE 250 0 0 MAXAR TECHNOLOGIES ORD COM 57778K105 1608 31500 SH DFND 31500 0 0 MAXEON SOLAR TECHNOLOGIES ORD COM Y58473102 21 800 SH SOLE 800 0 0 META PLATFORMS CL A ORD COM 30303M102 157 742 SH DFND 742 0 0 METALS ACQUISITION CL A ORD COM G60405100 667 65300 SH SOLE 65300 0 0 MICRON TECHNOLOGY ORD COM 595112103 3 50 SH SOLE 50 0 0 MICROSTRATEGY CL A ORD COM 594972408 29 100 SH SOLE 100 0 0 MICROSTRATEGY CL A ORD COM 594972408 0 2 SH Call SOLE 2 0 0 MIMEDX GROUP ORD COM 602496101 92 27098 SH SOLE 27098 0 0 MIRION TECHNOLOG COM 60471A119 0 600 SH SOLE 600 0 0 MIRION TECHNOLOGIES CL A ORD COM 60471A101 1 170 SH SOLE 170 0 0 MODERNA ORD COM 60770K107 78 508 SH DFND 508 0 0 MOLSON COORS BEVERAGE COMPA CL B ORD COM 60871R209 25 500 SH SOLE 500 0 0 MOMENTIVE GLOBAL ORD COM 60878Y108 186 20000 SH SOLE 20000 0 0 MONEYGRAM INTERNATIONAL ORD COM 60935Y208 2776 266454 SH DFND 266454 0 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0 0 NEXTPOINT FINANCIAL ORD COM 65345F202 19 6600 SH SOLE 6600 0 0 NIO ADS REP 1 CL A ORD COM 62914V106 31 3000 SH SOLE 3000 0 0 NJ RESOURCES ORD COM 646025106 21 400 SH SOLE 400 0 0 NOKIA ADR REPSG 1 SER A ORD SPONSORED ADR 654902204 349 71136 SH SOLE 71136 0 0 NOVAGOLD RESOURCES ORD COM 66987E206 0 30 SH SOLE 30 0 0 NOVELSTEM INTERNATIONAL ORD (PNK) COM 67001V109 5 25000 SH SOLE 25000 0 0 NUVASIVE ORD COM 670704105 49 1200 SH SOLE 1200 0 0 NUVEEN AMT FREE MNCPL CRDT INCM CF COM 67071L106 44 3800 SH SOLE 3800 0 0 NUVEEN AMT FREE MUNICIPAL CF COM 670695105 1 100 SH SOLE 100 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 48 4400 SH SOLE 4400 0 0 NUVEEN ARIZONA QLTY MNCPL INCM CF COM 67061W104 1 100 SH SOLE 100 0 0 NUVEEN CALIF SELECT TAX-FREE INCM CF COM 67063R103 1 100 SH SOLE 100 0 0 NUVEEN CALIFORNIA MUNICIPAL VALUE CF COM 67062C107 4 500 SH SOLE 500 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 22 2000 SH SOLE 2000 0 0 NUVEEN CORE EQUITY ALPHA CF COM 67090X107 24 2000 SH SOLE 2000 0 0 NUVEEN CORE PLUS IMPACT CF COM 67080D103 6 600 SH SOLE 600 0 0 NUVEEN CORP INCM 2023 TRGT TRM CF COM 67079F101 0 50 SH SOLE 50 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 9 1800 SH SOLE 1800 0 0 NUVEEN DOW 30SM DYNAMIC OVRWRT CF COM 67075F105 41 2800 SH SOLE 2800 0 0 NUVEEN DYNAMIC MUNICI OPPORT CF COM 67079X102 6 600 SH SOLE 600 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 4 600 SH SOLE 600 0 0 NUVEEN FLOATING RATE INCOME CF COM 67072T108 9 1200 SH SOLE 1200 0 0 NUVEEN GEORGIA QLTY MNCPL INCM CF COM 67072B107 2 200 SH SOLE 200 0 0 NUVEEN GLOBAL HIGH INCOME CF COM 67075G103 5 500 SH SOLE 500 0 0 NUVEEN INTER DUR QLTY MUNI TRM CF COM 670677103 1 100 SH SOLE 100 0 0 NUVEEN MASACHUSET QLTY MNCPL INCM CF COM 67061E104 1 100 SH SOLE 100 0 0 NUVEEN MNESOTA QLTY MNCPL INCM CF COM 670734102 0 50 SH SOLE 50 0 0 NUVEEN MULTI ASSET INCOME CF COM 670750108 23 2000 SH SOLE 2000 0 0 NUVEEN MULTI MARKET INCOME CF COM 67075J107 0 50 SH SOLE 50 0 0 NUVEEN MUNICIPAL CREDIT INCOME CF COM 67070X101 19 1600 SH SOLE 1600 0 0 NUVEEN MUNICIPAL CREDIT OPPORTUN CF COM 670663103 9 800 SH SOLE 800 0 0 NUVEEN MUNICIPAL VALUE CF COM 670928100 3 400 SH SOLE 400 0 0 NUVEEN NASDAQ 100 DYNAMIC OVRWRT CF COM 670699107 90 3800 SH SOLE 3800 0 0 NUVEEN NEW JERSEY QLTY MNCPL INCM CF COM 67069Y102 5 500 SH SOLE 500 0 0 NUVEEN NEW YORK MUNICIPAL VALUE CF COM 67062M105 2 300 SH SOLE 300 0 0 NUVEEN NEW YORK QLTY MNCPL INCM CF COM 67066X107 5 500 SH SOLE 500 0 0 NUVEEN NY AMT FREE QLT MNCPL INCM CF COM 670656107 11 1100 SH SOLE 1100 0 0 NUVEEN NY SELECT TAX-FREE INCM CF COM 67063V104 1 100 SH SOLE 100 0 0 NUVEEN OHIO QLTY MNCPL INCM CF COM 670980101 1 100 SH SOLE 100 0 0 NUVEEN PNSYLVANIA QLTY MNCPL INCM CF COM 670972108 6 600 SH SOLE 600 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 36 5700 SH SOLE 5700 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 19 3000 SH SOLE 3000 0 0 NUVEEN PREFERRED AND INCOME CF COM 67075T105 3 200 SH SOLE 200 0 0 NUVEEN PREFERRED AND INCOME TERM CF COM 67075A106 10 600 SH SOLE 600 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 20 1800 SH SOLE 1800 0 0 NUVEEN REAL ASSET INCOME AND GRO CF COM 67074Y105 8 700 SH SOLE 700 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 17 2400 SH SOLE 2400 0 0 NUVEEN S P 500 BUY WRITE INC CF COM 6706ER101 65 5000 SH SOLE 5000 0 0 NUVEEN S P 500 DYNAMIC OVRWRT CF COM 6706EW100 31 2000 SH SOLE 2000 0 0 NUVEEN SELECT MATURITY MUNICIPAL CF COM 67061T101 0 100 SH SOLE 100 0 0 NUVEEN SELECT TAX-FREE INCOME CF COM 67062F100 2 200 SH SOLE 200 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 1 100 SH SOLE 100 0 0 NUVEEN TAXABLE MUNICIPAL INCM NAV CF COM 67074C103 16 1000 SH SOLE 1000 0 0 NUVEEN VARIABLE RATE PREF INCM CF COM 67080R102 11 700 SH SOLE 700 0 0 NUVEEN VIRGINIA QLTY MNCPL INCM CF COM 67064R102 2 200 SH SOLE 200 0 0 NUVEN CALIFOR AMT FREE QLT MNCPL CF COM 670651108 10 900 SH SOLE 900 0 0 NVIDIA ORD COM 67066G104 12 45 SH Put DFND 45 0 0 OAK STREET HEALTH ORD COM 67181A107 8186 211646 SH SOLE 211646 0 0 OATLY GROUP ADS REP ORD COM 67421J108 0 250 SH SOLE 250 0 0 OCCIDENTAL PETROLEUM ORD COM 674599105 187 3000 SH DFND 3000 0 0 ODYSSEY MARINE EXPLORATION ORD COM 676118201 32 10000 SH SOLE 10000 0 0 ODYSSEY MARINE EXPLORATION ORD COM 676118201 0 40 SH Call SOLE 40 0 0 OLYMPUS CORP COM 68163W208 654 37400 SH SOLE 37400 0 0 ONCOSEC MEDICAL ORD COM 68234L405 272 105690 SH SOLE 105690 0 0 OPENDOOR TECHNOLOGIES ORD (NMS) COM 683712103 0 50 SH Call SOLE 50 0 0 OPGEN ORD COM 68373L406 67 50892 SH SOLE 50892 0 0 ORACLE ORD COM 68389X105 13 150 SH SOLE 150 0 0 ORGANIGRAM HOLDINGS ORD COM 68620P101 0 500 SH SOLE 500 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 218 51209 SH SOLE 51209 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 18 4246 SH Call SOLE 4246 0 0 OSCAR HEALTH CL A ORD COM 687793109 1 203 SH DFND 203 0 0 OUSTER CL A ORD COM 68989M103 0 1000 SH SOLE 1000 0 0 OXFORD SQUARE CAPITAL ORD COM 69181V107 12 4100 SH SOLE 4100 0 0 PACW PACWEST BANCORP ORD COM 695263103 2 300 SH Call SOLE 300 0 0 PAGAYA TECH CL A ORD COM M7S64L115 0 400 SH SOLE 400 0 0 PALANTIR TECHNOLOGIES CL A ORD COM 69608A108 126 15000 SH SOLE 15000 0 0 PAN AMER SILVER ORD COM 697900108 7 400 SH SOLE 400 0 0 PAN AMERICAN SILVER RTS COM 697900132 45 83500 SH SOLE 83500 0 0 PARAMOUNT GLOBAL CL B ORD COM 92556H206 227 10219 SH SOLE 10219 0 0 PARK CITY GROUP ORD COM 700215304 47 7500 SH SOLE 7500 0 0 PAYPAL HOLDINGS ORD COM 70450Y103 221 2917 SH DFND 2917 0 0 PBF ENERGY CL A ORD COM 69318G106 476 11000 SH SOLE 11000 0 0 PCM FUND CF COM 69323T101 2 300 SH SOLE 300 0 0 PEABODY ENERGY ORD COM 704551100 102 4000 SH SOLE 4000 0 0 PEAPACK GLADSTONE FINANCIAL ORD COM 704699107 5 175 SH SOLE 175 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 12 1200 SH SOLE 1200 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 20 3800 SH SOLE 3800 0 0 PERDOCEO EDUCATION ORD COM 71363P106 144 10785 SH SOLE 10785 0 0 PETROLEO BRASILEIRO ADR REPSTG 2 PRF SPONSORED ADR 71654V101 1 170 SH SOLE 170 0 0 PHILLIPS EDISON AND COMPANY ORD COM 71844V201 13 400 SH SOLE 400 0 0 PILGRIMS PRIDE ORD COM 72147K108 11 500 SH SOLE 500 0 0 PIMCO ACCESS INCOME CF COM 72203T100 11 800 SH SOLE 800 0 0 PIMCO CALIFOR MUNI INCM III CF COM 72201C109 2 300 SH SOLE 300 0 0 PIMCO CALIFORNIA MUNICI INCOME II CF COM 72200M108 3 600 SH SOLE 600 0 0 PIMCO CALIFORNIA MUNICIPAL INCOME CF COM 72200N106 2 274 SH SOLE 274 0 0 PIMCO CORP INCOME CF COM 72200U100 12 1000 SH SOLE 1000 0 0 PIMCO CORPORATE OPPORTUNITY CF COM 72201B101 39 3200 SH SOLE 3200 0 0 PIMCO DYNAMIC INCOME CF COM 72201Y101 100 5600 SH SOLE 5600 0 0 PIMCO DYNAMIC INCOME OPPORT CF COM 69355M107 19 1600 SH SOLE 1600 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 46 3200 SH SOLE 3200 0 0 PIMCO GLOBAL STOCKSPLUS INCOME CF COM 722011103 2 300 SH SOLE 300 0 0 PIMCO HIGH INCOME CF COM 722014107 12 2600 SH SOLE 2600 0 0 PIMCO INCOME STRATEGY CF COM 72201H108 4 500 SH SOLE 500 0 0 PIMCO INCOME STRATEGY II CF COM 72201J104 8 1200 SH SOLE 1200 0 0 PIMCO MUNICIPAL INCOME CF COM 72200R107 5 600 SH SOLE 600 0 0 PIMCO MUNICIPAL INCOME II CF COM 72200W106 9 1000 SH SOLE 1000 0 0 PIMCO MUNICIPAL INCOME III CF COM 72201A103 5 700 SH SOLE 700 0 0 PIMCO NEW YORK MUN INCOME III CF COM 72201E105 0 100 SH SOLE 100 0 0 PIMCO NEW YORK MUNICI INCOME II CF COM 72200Y102 1 200 SH SOLE 200 0 0 PIMCO NEW YORK MUNICIPAL INCOME CF COM 72200T103 0 100 SH SOLE 100 0 0 PIMCO STRATEGIC INCOME CF COM 72200X104 2 500 SH SOLE 500 0 0 PINTEREST CL A ORD COM 72352L106 27 1016 SH DFND 1016 0 0 PIONEER HIGH INCOME CF COM 72369H106 3 500 SH SOLE 500 0 0 PIONEER MUNICIPAL HIGH INCOME ADV CF COM 723762100 2 300 SH SOLE 300 0 0 PJT PARTNERS CL A ORD COM 69343T107 295 4100 SH SOLE 4100 0 0 PLANET LABS PBC CL A ORD COM 72703X106 0 100 SH SOLE 100 0 0 PLUG POWER ORD COM 72919P202 47 4067 SH DFND 4067 0 0 PNC FINANCIAL SERVICES GROUP ORD COM 693475105 47 375 SH SOLE 375 0 0 POSEIDA THERAPEUTICS INC COM 73730P108 30 10000 SH SOLE 10000 0 0 POTNETWORK ORD COM 737636209 0 3000 SH SOLE 3000 0 0 PPL ORD COM 69351T106 222 8000 SH SOLE 8000 0 0 PRINCIPAL REAL ESTATE INCOME CF COM 74255X104 118 12533 SH SOLE 12533 0 0 PROSHARES ULTRA BLOM NAT GAS ETF COM 74347Y870 0 200 SH SOLE 200 0 0 PROSHARES ULTRA VIX SHORT TERM ETF COM 74347Y839 91 19600 SH SOLE 19600 0 0 PROSHARES ULTRAPRO SHORT QQQ ETF COM 74347G432 73 2500 SH SOLE 2500 0 0 PROSHARES ULTRASHORT QQQ ETF COM 74347G739 52 3000 SH SOLE 3000 0 0 PROTAGENIC THERAPEUTICS ORD COM 74365N202 32 18750 SH SOLE 18750 0 0 PROVENTION BIO ORD COM 74374N102 1377 57172 SH DFND 57172 0 0 PROVENTION BIO ORD COM 74374N102 3 151 SH Call DFND 151 0 0 PUTNAM MANAGED MUNICIPAL INCOME CF COM 746823103 3 600 SH SOLE 600 0 0 PUTNAM MASTER INTERMEDIATE INCOME CF COM 746909100 1 500 SH SOLE 500 0 0 PUTNAM MUNICIPAL OPPORTUNITIES CF COM 746922103 7 700 SH SOLE 700 0 0 QCR HOLDINGS ORD COM 74727A104 6 150 SH SOLE 150 0 0 QUALTRICS INTERNATIONAL CL A ORD COM 747601201 2 140 SH SOLE 140 0 0 QUANTUM COMPUTING ORD (NMS) COM 74766W108 0 1 SH Call SOLE 1 0 0 RADIUS GLOBAL INFRASTRUCT CL A ORD COM 750481103 208 14200 SH SOLE 14200 0 0 RAFAEL HOLDINGS CL B ORD COM 75062E106 0 260 SH SOLE 260 0 0 RANGE RESOURCES ORD COM 75281A109 132 5000 SH DFND 5000 0 0 RAPID7 ORD COM 753422104 22 500 SH SOLE 500 0 0 READY CAPITAL ORD COM 75574U101 192 18893 SH SOLE 18893 0 0 REALTY INCOME REIT ORD COM 756109104 3 60 SH SOLE 60 0 0 REATA PHARMACEUTICALS CL A ORD (NMS) COM 75615P103 1 15 SH Call SOLE 15 0 0 RECRUITER.COM GROUP ORD COM 75630B303 1 7430 SH SOLE 7430 0 0 RED ROBIN GOURMET BURGERS ORD COM 75689M101 280 19600 SH SOLE 19600 0 0 REGIONS FINANCIAL ORD COM 7591EP100 18 1000 SH SOLE 1000 0 0 REKOR SYSTEMS ORD (NMS) COM 759419104 0 30 SH Call SOLE 30 0 0 RENEW ENERGY GLOBAL CL A ORD COM G7500M104 35 6300 SH SOLE 6300 0 0 REUNION NEUROSCIENCE ORD COM 76134G103 19 28050 SH SOLE 28050 0 0 RH ORD COM 74967X103 37 152 SH DFND 152 0 0 RIOT PLATFORMS ORD COM 767292105 199 20000 SH DFND 20000 0 0 RIVIAN AUTOMOTIVE CL A ORD COM 76954A103 0 50 SH SOLE 50 0 0 ROBLOX CL A ORD COM 771049103 92 2049 SH DFND 2049 0 0 ROGERS COMMUNICATIONS CL B ORD COM 775109200 4 100 SH SOLE 100 0 0 ROGERS ORD COM 775133101 22 140 SH SOLE 140 0 0 ROKU CL A ORD COM 77543R102 0 10 SH SOLE 10 0 0 RPT REALTY ORD COM 74971D101 2 300 SH SOLE 300 0 0 RUBICON TECHNOLOGIES CL A ORD COM 78112J109 8 13488 SH SOLE 13488 0 0 RUBICON TECHNOLOGIES CL A ORD COM 78112J109 0 43 SH Call SOLE 43 0 0 RUBICON TECHNOLOGIES CL A ORD COM 78112J109 0 144 SH Put SOLE 144 0 0 RUSH ENTERPRISES CL A ORD COM 781846209 118 2166 SH SOLE 2166 0 0 SABA CAPITAL INCOME OPPORTUNITIES CF COM 78518H202 0 100 SH SOLE 100 0 0 SAMSARA CL A ORD COM 79589L106 32 1650 SH SOLE 1650 0 0 SATSUMA PHARMACEUTICALS ORD COM 80405P107 32 46187 SH SOLE 46187 0 0 SCYNEXIS ORD COM 811292200 61 20588 SH SOLE 20588 0 0 SEA ADS REP CL A ORD COM 81141R100 0 10 SH SOLE 10 0 0 SEAGATE TECHNOLOGY HOLDINGS ORD COM G7945M107 0 10 SH SOLE 10 0 0 SEAGEN ORD COM 81181C104 894 4420 SH SOLE 4420 0 0 SEELOS THERAPEUTICS ORD COM 81577F109 2 3000 SH SOLE 3000 0 0 SEMLER SCIENTIFIC ORD COM 81684M104 49 1842 SH SOLE 1842 0 0 SENECA FOODS CL B ORD COM 817070105 24 450 SH SOLE 450 0 0 SENSATA TECHNOLOGIES HOLDING ORD COM N7902X106 135 2700 SH SOLE 2700 0 0 SERITAGE GROWTH PROPERTIES CL A ORD COM 81752R100 202 25759 SH DFND 25759 0 0 SERITAGE GROWTH PROPERTIES CL A ORD COM 81752R100 0 120 SH Put DFND 120 0 0 SHF HOLDINGS CL A ORD COM 824430102 0 1000 SH SOLE 1000 0 0 SHIFT4 PAYMENTS CL A ORD COM 82452J109 67 894 SH DFND 894 0 0 SHOPIFY CL A SUB VTG ORD COM 82509L107 11 240 SH SOLE 240 0 0 SIEMENS ADR (PNK) SPONSORED ADR 826197501 40 500 SH SOLE 500 0 0 SILICON MOTION TECHNO ADR REP 4 ORD SPONSORED ADR 82706C108 720 11000 SH DFND 11000 0 0 SILVERCREST METALS ORD COM 828363101 142 20000 SH SOLE 20000 0 0 SILVERGATE CAPITAL CL A ORD COM 82837P408 6 4000 SH SOLE 4000 0 0 SIMMONS FIRST NATIONAL CL A ORD COM 828730200 13 800 SH SOLE 800 0 0 SINCLAIR BROADCAST GROUP CL A ORD COM 829226109 51 3000 SH SOLE 3000 0 0 SL GREEN RLTY REIT ORD COM 78440X887 110 4700 SH DFND 4700 0 0 SMITH NEPHEW ADR REP 2 ORD SPONSORED ADR 83175M205 697 25000 SH SOLE 25000 0 0 SNDL ORD COM 83307B101 0 60 SH SOLE 60 0 0 SNOWFLAKE CL A ORD COM 833445109 141 915 SH DFND 915 0 0 SOCIAL LEVERAGE ACQUISI UNT COM 83363K201 10 1000 SH SOLE 1000 0 0 SOFI TECHNOLOGIES ORD COM 83406F102 7 1220 SH DFND 1220 0 0 SOUTHWSTN ENER ORD COM 845467109 50 10000 SH SOLE 10000 0 0 SPDR GOLD SHARES ETF COM 78463V107 9 50 SH Call SOLE 50 0 0 SPDR S&P 500 ETF COM 78462F103 392 958 SH Put DFND 958 0 0 SPDR S&P REGIONAL BANKING ETF COM 78464A698 40 919 SH DFND 919 0 0 SPLUNK ORD COM 848637104 107 1125 SH SOLE 1125 0 0 SPORTSMANS WAREHOUSE HOLDINGS ORD COM 84920Y106 101 12000 SH SOLE 12000 0 0 STATE STREET ORD COM 857477103 28 376 SH DFND 376 0 0 STOCK YARDS BANCORP ORD COM 861025104 11 200 SH SOLE 200 0 0 STRATASYS ORD COM M85548101 0 1 SH Call SOLE 1 0 0 SUPER GROUP ORD COM G8588X103 8 2000 SH SOLE 2000 0 0 SWEETGREEN CL A ORD COM 87043Q108 1 150 SH SOLE 150 0 0 SYNOVUS FINANCIAL ORD COM 87161C501 6 197 SH DFND 197 0 0 TAKEDA PHARMA ADR REP 0.5 ORD SPONSORED ADR 874060205 329 20000 SH SOLE 20000 0 0 TALKSPACE ORD COM 87427V103 100 143902 SH SOLE 143902 0 0 TATTOOED CHEF CL A ORD (NMS) COM 87663X102 0 10 SH Call SOLE 10 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF COM 81369Y803 61 408 SH DFND 408 0 0 TEGNA ORD COM 87901J105 116 6890 SH SOLE 6890 0 0 TEGNA ORD COM 87901J105 0 6 SH Call SOLE 6 0 0 TELA BIO ORD COM 872381108 13 1296 SH SOLE 1296 0 0 TELADOC HEALTH ORD COM 87918A105 1 50 SH SOLE 50 0 0 TELADOC HEALTH ORD COM 87918A105 2 105 SH Call SOLE 105 0 0 TENARIS ADR REP 2 ORD SPONSORED ADR 88031M109 142 5000 SH SOLE 5000 0 0 TERRAN ORBITAL ORD (NYS) COM 88105P103 0 3 SH Call SOLE 3 0 0 TESLA ORD COM 88160R101 705 3399 SH DFND 3399 0 0 TIANRONG INTERNET PRODUCTS SER ORD COM 886307107 0 200 SH SOLE 200 0 0 TILRAY BRANDS ORD COM 88688T100 13 5160 SH SOLE 5160 0 0 TOKYO ELECTRON ADR (PNK) SPONSORED ADR 889110102 213 3600 SH SOLE 3600 0 0 TOWER SEMICONDUCTOR ORD COM M87915274 1102 25960 SH SOLE 25960 0 0 TOWER SEMICONDUCTOR ORD COM M87915274 0 11 SH Call SOLE 11 0 0 TRADE DESK CL A ORD COM 88339J105 31 509 SH DFND 509 0 0 TRAVELCENTERS OF AMERICA ORD COM 89421B109 1 16 SH Put SOLE 16 0 0 TRAVELERS COMPANIES ORD COM 89417E109 31 182 SH DFND 182 0 0 TRICIDA ORD COM 89610F101 0 4800 SH SOLE 4800 0 0 TRICIDA ORD COM 89610F101 0 38 SH Put SOLE 38 0 0 TRITIUM DCFC ORD COM Q9225T108 1060 828580 SH SOLE 828580 0 0 TRIVAGO ADR REP ORD SPONSORED ADR 89686D105 0 100 SH SOLE 100 0 0 TRUSTCO BANK ORD COM 898349204 19 625 SH SOLE 625 0 0 TSAKOS ENRG NVGT CM RD PRP SRS F PRF COM G9108L165 60 2439 SH SOLE 2439 0 0 UBER TECHNOLOGIES INC COM 90353T100 343 10847 SH DFND 10847 0 0 UGI ORD COM 902681105 13 400 SH SOLE 400 0 0 UMB FINANCIAL ORD COM 902788108 2 50 SH SOLE 50 0 0 UNILEVER ADR REP 1 ORD SPONSORED ADR 904767704 519 10000 SH SOLE 10000 0 0 UNITED BANKSHARES ORD COM 909907107 35 1000 SH SOLE 1000 0 0 UNITED STATES NATURAL GAS ETV COM 912318300 357 51500 SH SOLE 51500 0 0 UNITED STATES OIL ETF COM 91232N207 265 4000 SH SOLE 4000 0 0 UNITED THERAPEUTICS ORD (NMS) COM 91307C102 3 15 SH Put SOLE 15 0 0 UNITY SOFTWARE ORD COM 91332U101 0 10 SH SOLE 10 0 0 UNIVAR SOLUTIONS ORD COM 91336L107 70 2000 SH SOLE 2000 0 0 URSTADT BIDDLE CL A REIT ORD COM 917286205 4 258 SH SOLE 258 0 0 UWM HOLDINGS CL A ORD COM 91823B109 0 140 SH SOLE 140 0 0 UWM HOLDINGS CORP COM 91823B117 0 3300 SH SOLE 3300 0 0 V2X ORD COM 92242T101 59 1500 SH SOLE 1500 0 0 VALLEY NATIONAL ORD COM 919794107 22 2437 SH DFND 2437 0 0 VANECK GOLD MINERS ETF COM 92189F106 3 120 SH Call SOLE 120 0 0 VERIZON COMMUNICATIONS ORD COM 92343V104 5 130 SH SOLE 130 0 0 VERTEX ENERGY ORD COM 92534K107 0 100 SH Call SOLE 100 0 0 VIASAT ORD COM 92552V100 142 4200 SH SOLE 4200 0 0 VIRTUS ARTL INTLG TECGY OPTNS FD CF COM 92838Y100 87 5000 SH SOLE 5000 0 0 VIRTUS CNVTBL INC 2024 TRGT TM FD CF COM 92838R105 5 600 SH SOLE 600 0 0 VIRTUS CONVERTIBLE AND INC FUND CF COM 92838X102 10 3000 SH SOLE 3000 0 0 VIRTUS CONVERTIBLE AND INCM FD II CF COM 92838U108 2 800 SH SOLE 800 0 0 VIRTUS DIVERSIFD INC CNVRTBL FD CF COM 92840N100 23 1200 SH SOLE 1200 0 0 VISTA ENERGY SPON SRS A ADR COM 92837L109 3 200 SH SOLE 200 0 0 VISTAGEN THERAPEUTICS ORD COM 92840H202 0 2500 SH SOLE 2500 0 0 VISTRA ORD COM 92840M102 3 125 SH SOLE 125 0 0 VIVOS THERAPEUTICS ORD (NMS) COM 92859E108 0 1 SH Call SOLE 1 0 0 VMWARE CL A ORD COM 928563402 2122 17000 SH DFND 17000 0 0 VODAFONE GROUP ADR REP 10 ORD SPONSORED ADR 92857W308 3685 333820 SH SOLE 333820 0 0 VOLKSWAGEN AG (PNK) COM 928662600 1 100 SH SOLE 100 0 0 VORNADO REALTY REIT ORD COM 929042109 33 2160 SH SOLE 2160 0 0 VROOM ORD COM 92918V109 0 100 SH SOLE 100 0 0 VROOM ORD COM 92918V109 0 20 SH Call SOLE 20 0 0 VROOM ORD COM 92918V109 0 1 SH Put SOLE 1 0 0 WAITR HOLDINGS ORD (NMS) COM 930752209 0 20 SH Call SOLE 20 0 0 WALMART ORD COM 931142103 7 50 SH Call SOLE 50 0 0 WALT DISNEY ORD COM 254687106 693 6925 SH SOLE 6925 0 0 WARNER BROS. DISCOVERY SRS A ORD COM 934423104 3 240 SH SOLE 240 0 0 WASTE MANAGEMENT ORD COM 94106L109 8 50 SH SOLE 50 0 0 WELLS FARGO ORD COM 949746101 0 20 SH Call SOLE 20 0 0 WESBANCO ORD COM 950810101 18 600 SH SOLE 600 0 0 WESTERN ASSET DIVERSIFIED INCOME CF COM 95790K109 13 1000 SH SOLE 1000 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 12 1400 SH SOLE 1400 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 9 800 SH SOLE 800 0 0 WESTERN ASSET INTERMEDIATE MUNI CF COM 958435109 0 50 SH SOLE 50 0 0 WESTERN ASSET INVEST GR DEF OPP CF COM 95790A101 5 300 SH SOLE 300 0 0 WESTERN ASSET MORTGAGE OP CF COM 95790B109 2 200 SH SOLE 200 0 0 WESTERN ASSET MUNICIPAL HGH INCM CF COM 95766N103 1 200 SH SOLE 200 0 0 WESTERN ASSET MUNICIPAL PARTNERS CF COM 95766P108 1 100 SH SOLE 100 0 0 WESTERN ASSET PREMIER BOND CF COM 957664105 3 300 SH SOLE 300 0 0 WESTERN ASST GLBAL HIGH INCOME CF COM 95766B109 4 700 SH SOLE 700 0 0 WESTERN ASST HIGH INCM II CF COM 95766J102 6 1400 SH SOLE 1400 0 0 WESTERN ASST MNGD MUNCPLS CF COM 95766M105 4 400 SH SOLE 400 0 0 WESTERN AST GLB CORP DEFIND OPPTY CF COM 95790C107 15 1200 SH SOLE 1200 0 0 WESTWOOD HOLDINGS GROUP ORD COM 961765104 0 50 SH SOLE 50 0 0 WILLIS TOWERS WATSON ORD COM 948626106 26 114 SH SOLE 114 0 0 WISDOMTREE INDIA EARNINGS ETF COM 97717W422 32 1017 SH DFND 1017 0 0 WM TECHNOLOGY CL A ORD COM 92971A109 8 9421 SH SOLE 9421 0 0 WM TECHNOLOGY CL A ORD COM 92971A109 0 110 SH Call SOLE 110 0 0 WOODSIDE ENERGY GROUP ADR COM 980228308 22 1000 SH SOLE 1000 0 0 WORLD WRESTLING ENTERTAINM CL A ORD (NYS) COM 98156Q108 3 40 SH Call SOLE 40 0 0 WYNN RESORTS ORD (NMS) COM 983134107 1 13 SH Put DFND 13 0 0 XAI OCTGON FLOAT RTE ALTRNTV NAV CF COM 98400T106 1 200 SH SOLE 200 0 0 XWELL ORD COM 98420U703 0 1600 SH SOLE 1600 0 0 YANDEX CL A ORD COM N97284108 29 1580 SH SOLE 1580 0 0 ZENVIA INC COM G9889V101 9 9000 SH SOLE 9000 0 0 ZILLOW GROUP CL A ORD COM 98954M101 7 170 SH SOLE 170 0 0 ZOOM VIDEO COMMUNICATIONS CL A ORD COM 98980L101 14 203 SH DFND 203 0 0