General Counsel and CCO

0001742998-23-000003.txt : 20230711 0001742998-23-000003.hdr.sgml : 20230711 20230711115824 ACCESSION NUMBER: 0001742998-23-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230711 DATE AS OF CHANGE: 20230711 EFFECTIVENESS DATE: 20230711 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: 231081591 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 06-30-2023 06-30-2023 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 07-11-2023 3 634 79218 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 FNYIAQ22023 3D SYSTEMS ORD COM 88554D205 1 200 SH SOLE 200 0 0 ABCAM ADR COM 000380204 5 240 SH Call SOLE 240 0 0 ABSOLUTE SOFTWARE ORD COM 00386B109 114 10000 SH SOLE 10000 0 0 AC IMMUNE SA ORD COM H00263105 7 2625 SH SOLE 2625 0 0 ACCOLADE ORD COM 00437E102 20 1500 SH SOLE 1500 0 0 ACTIVISION BLIZZARD ORD COM 00507V109 1624 19272 SH DFND 19272 0 0 ADAMIS PHARMACEUTICALS ORD (NMS) COM 00547W307 0 7 SH Call SOLE 7 0 0 ADVANCE AUTO PARTS ORD COM 00751Y106 8 128 SH SOLE 128 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 381 3350 SH SOLE 3350 0 0 ADVANCED MICRO DEVICES ORD COM 007903107 34 304 SH Call SOLE 304 0 0 ADVISORSHARES MSOS 2X DAILY ETF COM 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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 18 1600 SH SOLE 1600 0 0 NUVEEN MUNICIPAL CREDIT OPPORTUN CF COM 670663103 8 800 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 94 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 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 7 700 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 66 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 15 1000 SH SOLE 1000 0 0 NUVEEN VARIABLE RATE PREF INCM CF COM 67080R102 10 700 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 414 980 SH DFND 980 0 0 OATLY GROUP ADS REP ORD COM 67421J108 0 250 SH SOLE 250 0 0 OCCIDENTAL PETROLEUM ORD COM 674599105 123 2100 SH SOLE 2100 0 0 ODYSSEY MARINE EXPLORATION ORD (NMS) COM 676118201 0 225 SH Call SOLE 225 0 0 OFS CAPITAL ORD COM 67103B100 0 100 SH SOLE 100 0 0 OLYMPUS CORP COM 68163W208 401 25400 SH SOLE 25400 0 0 ONEOK ORD COM 682680103 92 1500 SH SOLE 1500 0 0 OPERA ADS COM 68373M107 32 1650 SH SOLE 1650 0 0 ORACLE ORD COM 68389X105 47 403 SH SOLE 403 0 0 ORGANIGRAM HOLDINGS ORD COM 68620P705 0 500 SH SOLE 500 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 489 115000 SH SOLE 115000 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 46 10918 SH Call SOLE 10918 0 0 OUSTER CL A ORD COM 68989M202 0 100 SH SOLE 100 0 0 OVERSTOCK COM ORD COM 690370101 17 550 SH SOLE 550 0 0 PACW PACWEST BANCORP ORD (NMS) COM 695263103 0 5 SH Call SOLE 5 0 0 PAGAYA TECH CL A ORD COM M7S64L115 0 200 SH SOLE 200 0 0 PAGERDUTY ORD COM 69553P100 22 1000 SH SOLE 1000 0 0 PAN AMER SILVER ORD COM 697900108 4 300 SH SOLE 300 0 0 PAN AMER SILVER ORD COM 697900108 12 825 SH Call SOLE 825 0 0 PAN AMERICAN SILVER RTS COM 697900132 42 83500 SH SOLE 83500 0 0 PAN GLOBAL RESOURCE ORD COM 69806A108 23 91000 SH SOLE 91000 0 0 PARAMOUNT GLOBAL CL B ORD COM 92556H206 98 6219 SH SOLE 6219 0 0 PAYPAL HOLDINGS ORD COM 70450Y103 336 5050 SH SOLE 5050 0 0 PBF ENERGY CL A ORD COM 69318G106 573 14000 SH SOLE 14000 0 0 PCM FUND CF COM 69323T101 2 300 SH SOLE 300 0 0 PDC ENERGY ORD COM 69327R101 284 4000 SH SOLE 4000 0 0 PEABODY ENERGY ORD COM 704551100 32 1500 SH SOLE 1500 0 0 PENNANTPARK FLOATING RATE CAPITA ORD COM 70806A106 12 1200 SH SOLE 1200 0 0 PENNANTPARK INVESTMENT ORD COM 708062104 22 3800 SH SOLE 3800 0 0 PERDOCEO EDUCATION ORD COM 71363P106 132 10785 SH SOLE 10785 0 0 PETROLEO BRASILEIRO ADR REPSTG 2 PRF SPONSORED ADR 71654V101 3 270 SH SOLE 270 0 0 PFIZER ORD COM 717081103 1082 29500 SH SOLE 29500 0 0 PHOENIX BIOTECH ACQUISITION CL A ORD COM 71902K105 22 2084 SH SOLE 2084 0 0 PILGRIMS PRIDE ORD COM 72147K108 10 500 SH SOLE 500 0 0 PIMCO 25YR ZERO CUPN US TRS INDX ETF COM 72201R882 46 500 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 1 200 SH SOLE 200 0 0 PIMCO CORP INCOME CF COM 72200U100 13 1000 SH SOLE 1000 0 0 PIMCO CORPORATE OPPORTUNITY CF COM 72201B101 44 3200 SH SOLE 3200 0 0 PIMCO DYNAMIC INCOME CF COM 72201Y101 105 5600 SH SOLE 5600 0 0 PIMCO DYNAMIC INCOME OPPORT CF COM 69355M107 20 1600 SH SOLE 1600 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 50 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 13 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 6 600 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 68 2500 SH SOLE 2500 0 0 PINTEREST CL A ORD COM 72352L106 2 100 SH Call SOLE 100 0 0 PLANET LABS PBC CL A ORD COM 72703X106 0 40 SH SOLE 40 0 0 PLUG POWER ORD COM 72919P202 129 12444 SH DFND 12444 0 0 PLUG POWER ORD COM 72919P202 2 211 SH Call DFND 211 0 0 POLESTAR AUTOMOTIVE HLD CL A ADS COM 731105201 15 4000 SH SOLE 4000 0 0 POLESTAR AUTOMOTIVE HOLD CL C 1 ADS COM 731105102 0 400 SH SOLE 400 0 0 POSEIDA THERAPEUTICS INC COM 73730P108 20 11500 SH SOLE 11500 0 0 PPL ORD COM 69351T106 211 8000 SH SOLE 8000 0 0 PROSHARES ULTRA BLOM NAT GAS ETF COM 74347Y763 5 75 SH SOLE 75 0 0 PROSHARES ULTRA VIX SHORT TERM ETF COM 74347Y771 159 8650 SH SOLE 8650 0 0 PROSHARES ULTRASHORT QQQ ETF COM 74347G739 39 3000 SH SOLE 3000 0 0 PROTAGENIC THERAPEUTICS ORD COM 74365N202 38 18750 SH SOLE 18750 0 0 PURE STORAGE CL A ORD (NYS) COM 74624M102 0 5 SH Put SOLE 5 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 3 300 SH SOLE 300 0 0 QUALCOMM ORD COM 747525103 11 100 SH SOLE 100 0 0 QUALCOMM ORD COM 747525103 1 10 SH Call SOLE 10 0 0 RADIUS GLOBAL INFRASTRUCT CL A ORD COM 750481103 47 3200 SH SOLE 3200 0 0 RAFAEL HOLDINGS CL B ORD COM 75062E106 0 220 SH SOLE 220 0 0 RAMBUS ORD COM 750917106 52 825 SH SOLE 825 0 0 RAPID7 ORD COM 753422104 0 20 SH SOLE 20 0 0 REALTY INCOME REIT ORD COM 756109104 5 100 SH SOLE 100 0 0 RECRUITER.COM GROUP ORD COM 75630B303 1 7600 SH SOLE 7600 0 0 RED ROBIN GOURMET BURGERS ORD COM 75689M101 269 19500 SH SOLE 19500 0 0 REGAL REXNORD ORD COM 758750103 107 700 SH SOLE 700 0 0 REGIONS FINANCIAL ORD COM 7591EP100 53 3000 SH SOLE 3000 0 0 REKOR SYSTEMS ORD (NMS) COM 759419104 0 30 SH Call SOLE 30 0 0 RENEW ENERGY GLOBAL CL A ORD COM G7500M104 34 6300 SH SOLE 6300 0 0 RESMED ORD COM 761152107 437 2000 SH SOLE 2000 0 0 RIGETTI COMPUTING ORD COM 76655K103 3 3122 SH DFND 3122 0 0 RIOT PLATFORMS ORD COM 767292105 6 550 SH SOLE 550 0 0 RIVIAN AUTOMOTIVE CL A ORD COM 76954A103 59 3550 SH SOLE 3550 0 0 ROCKET LAB USA ORD COM 773122106 1 248 SH DFND 248 0 0 ROGERS ORD COM 775133101 17 110 SH SOLE 110 0 0 ROOT CL A ORD COM 77664L207 4 525 SH SOLE 525 0 0 RPT REALTY ORD COM 74971D101 3 300 SH SOLE 300 0 0 RUSH ENTERPRISES CL A ORD COM 781846209 196 3243 SH SOLE 3243 0 0 RXSIGHT ORD COM 78349D107 126 4400 SH SOLE 4400 0 0 SARCOS TECHNOLOGY AND ROBOTICS ORD COM 80359A205 12 6238 SH DFND 6238 0 0 SAVERS VALUE VILLAGE ORD COM 80517M109 10 440 SH DFND 440 0 0 SCHRODINGER ORD COM 80810D103 673 13500 SH SOLE 13500 0 0 SCYNEXIS ORD COM 811292200 0 1 SH Call SOLE 1 0 0 SEAGEN ORD COM 81181C104 2296 11934 SH DFND 11934 0 0 SEAGEN ORD COM 81181C104 25 131 SH Call DFND 131 0 0 SEELOS THERAPEUTICS ORD COM 81577F109 2 2000 SH SOLE 2000 0 0 SELECT SECTOR INDUSTRIAL SPDR ETF COM 81369Y704 107 1000 SH SOLE 1000 0 0 SELECT SECTOR UTI SELECT SPDR ETF COM 81369Y886 6 100 SH SOLE 100 0 0 SENECA FOODS CL B ORD COM 817070105 14 450 SH SOLE 450 0 0 SERITAGE GROWTH PROPERTIES CL A ORD COM 81752R100 6 759 SH DFND 759 0 0 SHF HOLDINGS CL A ORD COM 824430102 0 1000 SH SOLE 1000 0 0 SHOPIFY CL A SUB VTG ORD COM 82509L107 387 6000 SH SOLE 6000 0 0 SIFY TECHNOLOGIES ADR REP 1 ORD (NMS) COM 82655M107 0 30 SH Put SOLE 30 0 0 SIGNATURE 40 DS REP SRS A PRF COM 82669G203 0 104039 SH SOLE 104039 0 0 SILICON MOTION TECHNO ADR REP 4 ORD SPONSORED 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33 75 SH Put DFND 75 0 0 SPDR S&P REGIONAL BANKING ETF COM 78464A698 2 50 SH Put SOLE 50 0 0 SPLASH BEVERAGE GROUP ORD COM 84862C203 36 32500 SH SOLE 32500 0 0 SPLUNK ORD COM 848637104 75 715 SH SOLE 715 0 0 SPROTT URANIUM MINERS ETF COM 85208P303 33 1000 SH SOLE 1000 0 0 STOCK YARDS BANCORP ORD COM 861025104 9 200 SH SOLE 200 0 0 STRATASYS ORD COM M85548101 5 308 SH SOLE 308 0 0 SUMMIT WIRELESS TECHNOLOGIES ORD (NMS) COM 86633R302 0 100 SH Call SOLE 100 0 0 SUNLIGHT FINANCIAL HOLD CL A ORD COM 86738J106 56 194250 SH SOLE 194250 0 0 SUNRUN ORD COM 86771W105 1 60 SH SOLE 60 0 0 SUPER GROUP ORD COM G8588X103 5 2000 SH SOLE 2000 0 0 SUPER MICRO COMPUTER ORD COM 86800U104 38 156 SH SOLE 156 0 0 SWEETGREEN CL A ORD COM 87043Q108 1 150 SH SOLE 150 0 0 SYNOVUS FINANCIAL ORD COM 87161C501 12 400 SH SOLE 400 0 0 TALKSPACE ORD COM 87427V103 166 130870 SH SOLE 130870 0 0 TECK RESOURCES CL B ORD COM 878742204 105 2500 SH SOLE 2500 0 0 TEGNA ORD COM 87901J105 225 13890 SH SOLE 13890 0 0 TEGNA ORD COM 87901J105 0 6 SH Call SOLE 6 0 0 TELADOC HEALTH ORD COM 87918A105 1 50 SH SOLE 50 0 0 TENARIS ADR REP 2 ORD SPONSORED ADR 88031M109 1677 56000 SH SOLE 56000 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 TILRAY BRANDS ORD COM 88688T100 12 8160 SH SOLE 8160 0 0 TOP FINANCIAL GROUP ORD COM G989A6102 4 500 SH SOLE 500 0 0 TOWER SEMICONDUCTOR ORD COM M87915274 1165 31060 SH SOLE 31060 0 0 TOWER SEMICONDUCTOR ORD COM M87915274 23 621 SH Call SOLE 621 0 0 TRADEUP ACQUISITION ORD COM 89268A107 54 5000 SH SOLE 5000 0 0 TRANSOCEAN ORD COM H8817H100 2 323 SH Call SOLE 323 0 0 TRITIUM DCFC ORD COM Q9225T108 1002 920030 SH SOLE 920030 0 0 TRITON INTERNATIONAL ORD (NYS) COM G9078F107 0 10 SH Call SOLE 10 0 0 TRIVAGO ADR REP ORD SPONSORED ADR 89686D105 0 100 SH SOLE 100 0 0 TRONOX HOLDINGS ORD COM Q9235V101 76 6000 SH SOLE 6000 0 0 TRUSTCO BANK ORD COM 898349204 8 300 SH SOLE 300 0 0 TYSON FOODS CL A ORD COM 902494103 433 8500 SH SOLE 8500 0 0 U HAUL HOLDING ORD COM 023586100 165 3000 SH SOLE 3000 0 0 UBER TECHNOLOGIES INC COM 90353T100 43 1000 SH DFND 1000 0 0 UBS GROUP N ORD COM H42097107 0 1 SH SOLE 1 0 0 UGI ORD COM 902681105 10 400 SH SOLE 400 0 0 UMB FINANCIAL ORD COM 902788108 3 50 SH SOLE 50 0 0 UNDER ARMOUR CL A ORD COM 904311107 0 100 SH SOLE 100 0 0 UNDER ARMOUR CL A ORD COM 904311107 0 50 SH Call SOLE 50 0 0 UNITED BANKSHARES ORD COM 909907107 86 2900 SH SOLE 2900 0 0 UNITED STATES NATURAL GAS ETV COM 912318300 296 40000 SH SOLE 40000 0 0 UNITY SOFTWARE ORD COM 91332U101 5 124 SH DFND 124 0 0 UNIVAR SOLUTIONS ORD COM 91336L107 1935 54000 SH DFND 54000 0 0 UNIVAR SOLUTIONS ORD COM 91336L107 0 10 SH Call DFND 10 0 0 UNIVAR SOLUTIONS ORD COM 91336L107 0 10 SH Put DFND 10 0 0 URSTADT BIDDLE CL A REIT ORD COM 917286205 6 295 SH SOLE 295 0 0 UWM HOLDINGS CORP COM 91823B117 0 3000 SH SOLE 3000 0 0 V2X ORD COM 92242T101 74 1500 SH SOLE 1500 0 0 VALLEY NATIONAL ORD COM 919794107 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