CHIEF COMPLIANCE OFFICER

0001776082-20-000003.txt : 20200508 0001776082-20-000003.hdr.sgml : 20200508 20200507173432 ACCESSION NUMBER: 0001776082-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200508 DATE AS OF CHANGE: 20200507 EFFECTIVENESS DATE: 20200508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRANSCEND WEALTH COLLECTIVE, LLC CENTRAL INDEX KEY: 0001776082 IRS NUMBER: 832430849 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-20168 FILM NUMBER: 20857828 BUSINESS ADDRESS: STREET 1: 51 JFK PARKWAY STREET 2: SUITE 110 CITY: SHORT HILLS STATE: NJ ZIP: 07078 BUSINESS PHONE: 9733703203 MAIL ADDRESS: STREET 1: 51 JFK PARKWAY STREET 2: SUITE 110 CITY: SHORT HILLS STATE: NJ ZIP: 07078 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001776082 XXXXXXXX 03-31-2020 03-31-2020 TRANSCEND WEALTH COLLECTIVE, LLC

51 JFK PARKWAY SUITE 110 SHORT HILLS NJ 07078

13F HOLDINGS REPORT 028-20168 N JAMES P. HUGHES CHIEF COMPLIANCE OFFICER (973) 370-3203 JAMES P. HUGHES SHORT HILLS NJ 05-07-2020 16 210 333523 false 1 BLACKROCK INVESTMENT MANAGEMENT 2 WESTEND ADVISORS 3 SCHAFER CULLEN CAPITAL 4 LAZARD ASSET MANAGEMENT 5 LEGG MASON PRIVATE PORTFOLIOS 6 ALLIANZ GLOBAL INVESTORS US 7 ATRIA INVESTMENTS 8 WINSLOW CAPITAL MANAGEMENT 9 JP MORGAN INVESTMENT MANAGEMENT 10 NATIXIS ADVISORS 11 JANUS CAPITAL MANAGEMENT 12 PRINCIPAL GLOBAL INVESTORS 13 EATON VANCE MANAGEMENT 14 EARNEST PARTNERS 15 LORD ABBETT & CO 16 MILLER HOWARD INVESTMENTS INFORMATION TABLE 2 twc13fq12020.xml APPLE INC COMMON STOCK 037833100 23088 90792 SH DFND 528 90264 0 MERCK & CO. INC. COMMON STOCK 58933Y105 22008 285925 SH DFND 1567 284358 0 BRISTOL-MYERS SQUIBB COMMON STOCK 110122108 11256 201946 SH DFND 374 201572 0 BLACKSTONE GROUP INC COMMON STOCK 09260D107 9358 205345 SH DFND 158 205187 0 MICROSOFT CORP COMMON STOCK 594918104 7514 47476 SH DFND 2151 45325 0 SPDR S&P 500 GROWTH ETF UIT EXCHANGE TRADED 78464A409 6910 193331 SH DFND 0 193331 0 ZOOM VIDEO COMMUNICATION COMMON STOCK 98980L101 6345 43425 SH DFND 0 43425 0 TECHNOLOGY SELECT SECTOR UIT EXCHANGE TRADED 81369Y803 4994 62138 SH DFND 35982 26156 0 BERKSHIRE HATHAWAY COMMON STOCK 084670702 4977 27325 SH DFND 194 27131 0 J P MORGAN CHASE & CO COMMON STOCK 46625H100 4778 52965 SH DFND 2449 50516 0 INVESCO QQQ TRUST UIT EXCHANGE TRADED 46090E103 4728 24831 SH DFND 0 24831 0 ALPHABET INC. COMMON STOCK 02079K305 4683 4024 SH DFND 64 3960 0 AMAZON.COM INC COMMON STOCK 023135106 4584 2342 SH DFND 122 2220 0 NORFOLK SOUTHERN CO COMMON STOCK 655844108 4438 30395 SH DFND 0 30395 0 EXXON MOBIL CORP COMMON STOCK 30231G102 3840 101042 SH DFND 1335 99707 0 JOHNSON & JOHNSON COMMON STOCK 478160104 3772 28685 SH DFND 1427 27258 0 SPDR S&P 500 ETF UIT EXCHANGE TRADED 78462F103 3649 14283 SH DFND 0 14283 0 INTERCONTINENTAL EXC COMMON STOCK 45866F104 3622 44856 SH DFND 164 44692 0 VANGUARD FTSE ALL WORLD UIT EXCHANGE TRADED 922042775 3576 87024 SH DFND 80687 6337 0 SELECT SECTOR HEALTH UIT EXCHANGE TRADED 81369Y209 3548 40050 SH DFND 37432 2618 0 PROCTER & GAMBLE COMMON STOCK 742718109 3468 31420 SH DFND 281 31139 0 SPDR GOLD SHARES ETF UIT EXCHANGE TRADED 78463V107 3323 22444 SH DFND 0 22444 0 MONDELEZ INTL COMMON STOCK 609207105 3318 65946 SH DFND 867 65079 0 HOME DEPOT INC COMMON STOCK 437076102 3195 17028 SH DFND 455 16573 0 VANGUARD HIGH DIVIDEND UIT EXCHANGE TRADED 921946406 3123 45137 SH DFND 0 45137 0 PHILIP MORRIS INTL COMMON STOCK 718172109 2972 40733 SH DFND 1163 39570 0 PFIZER INC COMMON STOCK 717081103 2930 89582 SH DFND 4750 84832 0 ILLUMINA INC COMMON STOCK 452327109 2924 10727 SH DFND 21 10706 0 VISA INC COMMON STOCK 92826C839 2888 17819 SH DFND 930 16889 0 CISCO SYSTEMS INC COMMON STOCK 17275R102 2859 72309 SH DFND 4514 67795 0 AMERN TOWER CORP REAL ESTATE INVESTME 03027X100 2859 13128 SH DFND 129 12999 0 FACEBOOK INC COMMON STOCK 30303M102 2795 16676 SH DFND 845 15831 0 CIGNA CORP COMMON STOCK 125523100 2778 15678 SH DFND 0 15678 0 OWL ROCK CAPITAL CORP COMMON STOCK 69121K104 2717 236368 SH DFND 0 236368 0 ALTRIA GROUP INC COMMON STOCK 02209S103 2652 68554 SH DFND 1973 66581 0 BANK OF AMERICA CORP COMMON STOCK 060505104 2651 122967 SH DFND 2552 120415 0 VANGUARD INTERMEDIATE UIT EXCHANGE TRADED 92206C870 2639 30299 SH DFND 26553 3746 0 ALIBABA GROUP HOLDING F AMERICAN DEPOSITORY 01609W102 2501 12781 SH DFND 495 12286 0 SPDR SHORT TERM UIT EXCHANGE TRADED 78464A474 2474 81780 SH DFND 75300 6480 0 COMMUNICAT SVS SLCT SEC UIT EXCHANGE TRADED 81369Y852 2404 54336 SH DFND 49389 4947 0 ALPHABET INC. COMMON STOCK 02079K107 2285 1959 SH DFND 81 1878 0 INTEL CORP COMMON STOCK 458140100 2247 41539 SH DFND 1978 39561 0 ISHARES RUSSELL 1000 UIT EXCHANGE TRADED 464287614 2244 14896 SH DFND 0 14896 0 PEPSICO INC COMMON STOCK 713448108 2199 18208 SH DFND 465 17743 0 SPDR S&P REGIONAL UIT EXCHANGE TRADED 78464A698 2146 65861 SH DFND 0 65861 0 NEXTERA ENERGY INC COMMON STOCK 65339F101 2109 8700 SH DFND 847 7853 0 ELECTRONIC ARTS INC COMMON STOCK 285512109 2062 20589 SH DFND 0 20589 0 HONEYWELL INTL INC COMMON STOCK 438516106 2046 15207 SH DFND 474 14733 0 SPDR FUND CONSUMER UIT EXCHANGE TRADED 81369Y308 2030 37265 SH DFND 30535 6730 0 AUTO DATA PROCESSING COMMON STOCK 053015103 2018 14695 SH DFND 352 14343 0 VANGUARD GROWTH ETF UIT EXCHANGE TRADED 922908736 1943 12399 SH DFND 0 12399 0 FIRST REPUBLIC BANK COMMON STOCK 33616C100 1930 23454 SH DFND 16 23438 0 ISHARES 3-7 YEAR UIT EXCHANGE TRADED 464288661 1873 14044 SH DFND 12288 1756 0 BRISTOL-MYERS SQUIBB RTS WARRANTS 110122157 1828 481049 SH DFND 0 481049 0 WALT DISNEY CO COMMON STOCK 254687106 1797 18605 SH DFND 282 18323 0 SPDR FUND CONSUMER UIT EXCHANGE TRADED 81369Y407 1761 17952 SH DFND 15786 2166 0 MEDTRONIC PLC F FOREIGN ORDINARIES G5960L103 1689 18632 SH DFND 1157 17475 0 VERIZON COMMUNICATN COMMON STOCK 92343V104 1684 31228 SH DFND 2016 29212 0 TEXAS INSTRUMENTS COMMON STOCK 882508104 1655 16453 SH DFND 533 15920 0 VANGUARD VALUE ETF UIT EXCHANGE TRADED 922908744 1632 18323 SH DFND 0 18323 0 ORACLE CORP SR NT COMMON STOCK 68389X105 1612 33109 SH DFND 1223 31886 0 RIVERNORTH OPPORTUNITIES CLOSED END MUTL FUND 76881Y109 1595 128442 SH DFND 0 128442 0 ISHARES IBOXX INVT GRADE UIT EXCHANGE TRADED 464287242 1585 12837 SH DFND 9978 2859 0 CAPITAL ONE FC COMMON STOCK 14040H105 1570 31129 SH DFND 0 31129 0 ROYAL DUTCH SHELL F AMERICAN DEPOSITORY 780259206 1501 42860 SH DFND 23 42837 0 VANGUARD SHORT TERM COR UIT EXCHANGE TRADED 92206C409 1488 18813 SH DFND 705 18108 0 AMGEN INC. COMMON STOCK 031162100 1470 7210 SH DFND 362 6848 0 GILEAD SCIENCES INC COMMON STOCK 375558103 1466 19592 SH DFND 107 19485 0 VANGUARD TOTAL STOCK UIT EXCHANGE TRADED 922908769 1430 11093 SH DFND 0 11093 0 THERMO FISHER SCNTFC COMMON STOCK 883556102 1419 5004 SH DFND 153 4851 0 WELLS FARGO BK N A COMMON STOCK 949746101 1391 48477 SH DFND 2158 46319 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 1388 174839 SH DFND 270 174569 0 ISHARES US MEDICAL UIT EXCHANGE TRADED 464288810 1383 6136 SH DFND 0 6136 0 MC DONALDS CORP COMMON STOCK 580135101 1365 8200 SH DFND 270 7930 0 ABBVIE INC COMMON STOCK 00287Y109 1363 17847 SH DFND 168 17679 0 KRAFT HEINZ CO COMMON STOCK 500754106 1351 54595 SH DFND 0 54595 0 ISHARES CORE HIGH UIT EXCHANGE TRADED 46429B663 1268 17719 SH DFND 0 17719 0 DANAHER CORP COMMON STOCK 235851102 1262 9121 SH DFND 28 9093 0 A T & T INC COMMON STOCK 00206R102 1239 42490 SH DFND 4157 38333 0 SELECT SECTOR INDUSTRIAL UIT EXCHANGE TRADED 81369Y704 1199 20324 SH DFND 18548 1776 0 NOVARTIS AG F AMERICAN DEPOSITORY 66987V109 1173 14155 SH DFND 1996 12159 0 BIOSPECIFICS TECH CO COMMON STOCK 090931106 1171 20700 SH DFND 0 20700 0 ISHARES 0-5 YEAR TIPS UIT EXCHANGE TRADED 46429B747 1128 11295 SH DFND 10885 410 0 SPOTIFY TECHNOLOGY F FOREIGN ORDINARIES L8681T102 1123 9250 SH DFND 21 9229 0 3M CO COMMON STOCK 88579Y101 1087 5184 SH DFND 361 4823 0 ALLEGHANY CORP DEL COMMON STOCK 017175100 1063 1924 SH DFND 0 1924 0 ISHARES RUSSELL 2000 UIT EXCHANGE TRADED 464287655 1063 9284 SH DFND 8275 1009 0 SELECT STR FINANCIAL UIT EXCHANGE TRADED 81369Y605 1056 50698 SH DFND 49291 1407 0 BOEING CO COMMON STOCK 097023105 1045 7108 SH DFND 43 7065 0 VANGUARD FTSE PACIFIC UIT EXCHANGE TRADED 922042866 1041 18873 SH DFND 17365 1508 0 VANGUARD INFORMATION UIT EXCHANGE TRADED 92204A702 1041 4912 SH DFND 950 3962 0 DIAGEO PLC F AMERICAN DEPOSITORY 25243Q205 1037 8156 SH DFND 632 7524 0 MARSH & MC LENNAN CO COMMON STOCK 571748102 1025 11758 SH DFND 261 11497 0 CHEVRON CORP COMMON STOCK 166764100 1012 14187 SH DFND 1604 12583 0 ISHARES CORE S&P MID CAP UIT EXCHANGE TRADED 464287507 989 6875 SH DFND 0 6875 0 EQUINIX INC REAL ESTATE INVESTME 29444U700 987 1580 SH DFND 69 1511 0 WISDOMTREE EMRG MRKT HG UIT EXCHANGE TRADED 97717W315 968 5345 SH DFND 0 5345 0 ISHARES EDGE MSCI USA UIT EXCHANGE TRADED 46432F396 960 9015 SH DFND 0 9015 0 CROWN CASTLE INTL CO REAL ESTATE INVESTME 22822V101 918 6263 SH DFND 310 5953 0 ISHARES MSCI UNITED UIT EXCHANGE TRADED 46435G334 916 36213 SH DFND 0 36213 0 TARGET CORP COMMON STOCK 87612E106 881 9475 SH DFND 738 8737 0 EXELON CORP COMMON STOCK 30161N101 880 23900 SH DFND 0 23900 0 ISHARES GLOBAL TIMBER UIT EXCHANGE TRADED 464288174 859 17850 SH DFND 0 17850 0 ISHARES MSCI GERMANY UIT EXCHANGE TRADED 464286806 847 36978 SH DFND 0 36978 0 ACTIVISION BLIZZARD COMMON STOCK 00507V109 837 14072 SH DFND 35 14037 0 SELECT SECTOR UTI SELECT UIT EXCHANGE TRADED 81369Y886 824 14865 SH DFND 13574 1291 0 VANGUARD TOTAL BOND UIT EXCHANGE TRADED 921937835 798 9352 SH DFND 0 9352 0 ISHARES MBS ETF UIT EXCHANGE TRADED 464288588 752 6810 SH DFND 819 5991 0 VANGUARD REAL ESTATE UIT EXCHANGE TRADED 922908553 752 10762 SH DFND 0 10762 0 BLACKROCK INC COMMON STOCK 09247X101 751 1688 SH DFND 54 1634 0 SPDR PORTFOLIO DVLPD UIT EXCHANGE TRADED 78463X889 750 31348 SH DFND 0 31348 0 YUM BRANDS INC COMMON STOCK 988498101 745 10822 SH DFND 137 10685 0 CME GROUP INC COMMON STOCK 12572Q105 737 4265 SH DFND 40 4225 0 HCA HEALTHCARE INC COMMON STOCK 40412C101 720 8009 SH DFND 0 8009 0 CARNIVAL CORP F FOREIGN ORDINARIES 143658300 709 53847 SH DFND 0 53847 0 ADOBE INC COMMON STOCK 00724F101 686 2157 SH DFND 244 1913 0 BP PLC F AMERICAN DEPOSITORY 055622104 667 27355 SH DFND 1134 26221 0 THE COCA-COLA CO COMMON STOCK 191216100 656 14742 SH DFND 443 14299 0 CVS HEALTH CORP COMMON STOCK 126650100 650 10962 SH DFND 126 10836 0 UNITEDHEALTH GRP INC COMMON STOCK 91324P102 638 2558 SH DFND 397 2161 0 VANGUARD DIVIDEND UIT EXCHANGE TRADED 921908844 638 6168 SH DFND 0 6168 0 CONSTELLATION BRAND COMMON STOCK 21036P108 629 4286 SH DFND 41 4245 0 ISHARES ASIA/PACIFIC UIT EXCHANGE TRADED 464286293 613 21566 SH DFND 0 21566 0 VANGUARD MID CAP ETF UIT EXCHANGE TRADED 922908629 612 4606 SH DFND 0 4606 0 U S BANCORP COMMON STOCK 902973304 610 7048 SH DFND 762 6286 0 ISHARES TIPS BOND ETF UIT EXCHANGE TRADED 464287176 608 5154 SH DFND 148 5006 0 ENERGY SELECT SECTOR UIT EXCHANGE TRADED 81369Y506 606 20846 SH DFND 12521 8325 0 VANGUARD SMALL CAP ETF UIT EXCHANGE TRADED 922908751 599 5192 SH DFND 0 5192 0 ISHARES CORE S&P 500 UIT EXCHANGE TRADED 464287200 591 2286 SH DFND 622 1664 0 ISHARES MSCI EAFE ETF UIT EXCHANGE TRADED 464287465 577 10796 SH DFND 439 10357 0 LYFT INC COMMON STOCK 55087P104 570 21224 SH DFND 0 21224 0 SALESFORCE COM COMMON STOCK 79466L302 548 3770 SH DFND 559 3211 0 BROADCOM INC COMMON STOCK 11135F101 541 2257 SH DFND 200 2057 0 ISHARES S&P 500 GROWTH UIT EXCHANGE TRADED 464287309 538 3259 SH DFND 0 3259 0 TWITTER INC COMMON STOCK 90184L102 528 21899 SH DFND 499 21400 0 STARBUCKS CORP COMMON STOCK 855244109 523 8072 SH DFND 603 7469 0 TESLA INC COMMON STOCK 88160R101 512 1013 SH DFND 0 1013 0 MASTERCARD INC COMMON STOCK 57636Q104 500 2070 SH DFND 204 1866 0 BCE INC F FOREIGN CANADIAN 05534B760 499 12204 SH DFND 2269 9935 0 ISHARES MSCI ALL COUNT UIT EXCHANGE TRADED 464288182 490 8213 SH DFND 8213 0 0 SPDR S&P DIVIDEND ETF UIT EXCHANGE TRADED 78464A763 487 6094 SH DFND 0 6094 0 SPDR AGGREGATE BOND ETF UIT EXCHANGE TRADED 78464A649 486 16080 SH DFND 0 16080 0 ISHARES MSCI EUROPE UIT EXCHANGE TRADED 464289180 483 3094 SH DFND 0 3094 0 QUALCOMM INC COMMON STOCK 747525103 477 6986 SH DFND 495 6491 0 PUB SVC ENTERPISE GP COMMON STOCK 744573106 472 10501 SH DFND 615 9886 0 ISHARES CORE MSCI EAFE UIT EXCHANGE TRADED 46432F842 464 9293 SH DFND 1942 7351 0 ACCENTURE PLC F FOREIGN ORDINARIES G1151C101 461 2821 SH DFND 106 2715 0 WORKDAY INC COMMON STOCK 98138H101 458 3499 SH DFND 126 3373 0 NVIDIA CORP COMMON STOCK 67066G104 454 1726 SH DFND 288 1438 0 ISHARES CORE MSCI UIT EXCHANGE TRADED 46434G103 441 9910 SH DFND 1753 8157 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 439 1254 SH DFND 163 1091 0 TJX COMPANIES INC COMMON STOCK 872540109 438 9154 SH DFND 119 9035 0 SPDR MSCI USA UIT EXCHANGE TRADED 78468R812 432 5650 SH DFND 0 5650 0 ISHARES US REGIONAL UIT EXCHANGE TRADED 464288778 419 14500 SH DFND 0 14500 0 VANGUARD HEALTH CARE UIT EXCHANGE TRADED 92204A504 415 2500 SH DFND 0 2500 0 NETFLIX INC COMMON STOCK 64110L106 409 1090 SH DFND 50 1040 0 UBER TECHNOLOGIES INC COMMON STOCK 90353T100 398 14240 SH DFND 673 13567 0 BAXTER INTERNTNL COMMON STOCK 071813109 390 4805 SH DFND 15 4790 0 COLGATE-PALMOLIVE CO COMMON STOCK 194162103 381 5678 SH DFND 202 5476 0 COMCAST CORP COMMON STOCK 20030N101 367 10432 SH DFND 3017 7415 0 SPDR DOUBLELINE TTL RTRN UIT EXCHANGE TRADED 78467V848 355 7410 SH DFND 0 7410 0 GLAXOSMITHKLINE PLC F AMERICAN DEPOSITORY 37733W105 352 9297 SH DFND 325 8972 0 DOUBLELINE INCOME SOLUTI CLOSED END MUTL FUND 258622109 351 26335 SH DFND 0 26335 0 ISHARES NASDAQ UIT EXCHANGE TRADED 464287556 351 3258 SH DFND 607 2651 0 ALPS ALERIAN MLP ETF UIT EXCHANGE TRADED 00162Q866 349 101486 SH DFND 0 101486 0 PEAPACK GLADSTONE FI COMMON STOCK 704699107 348 19391 SH DFND 0 19391 0 VANGUARD FINANCIALS ETF UIT EXCHANGE TRADED 92204A405 347 6842 SH DFND 738 6104 0 SPDR S&P 500 VALUE ETF UIT EXCHANGE TRADED 78464A508 342 13253 SH DFND 0 13253 0 STRYKER CORP COMMON STOCK 863667101 341 2050 SH DFND 67 1983 0 MEDICAL PROPERTIES REAL ESTATE INVESTME 58463J304 329 19049 SH DFND 187 18862 0 WALMART INC COMMON STOCK 931142103 327 2879 SH DFND 403 2476 0 ISHARES CORE US UIT EXCHANGE TRADED 464287226 290 2510 SH DFND 0 2510 0 ALLSTATE CORP COMMON STOCK 020002101 286 3131 SH DFND 24 3107 0 IBM CORP COMMON STOCK 459200101 275 2482 SH DFND 0 2482 0 SPDR PORTFOLIO S&P 500 UIT EXCHANGE TRADED 78464A854 271 8963 SH DFND 2206 6757 0 PNC FINL SERVICES COMMON STOCK 693475105 266 2729 SH DFND 297 2432 0 ISHARES US TREASURY BOND UIT EXCHANGE TRADED 46429B267 254 9067 SH DFND 3805 5262 0 CATERPILLAR INC COMMON STOCK 149123101 252 2175 SH DFND 0 2175 0 SEMPRA ENERGY COMMON STOCK 816851109 240 2055 SH DFND 212 1843 0 REGENERON PHARMS INC COMMON STOCK 75886F107 239 467 SH DFND 61 406 0 CITIGROUP INC COMMON STOCK 172967424 236 5604 SH DFND 2482 3122 0 FEDEX CORP COMMON STOCK 31428X106 229 1887 SH DFND 46 1841 0 AIR PROD & CHEMICALS COMMON STOCK 009158106 227 1090 SH DFND 157 933 0 WESTERN ASSET MORTGAGE O CLOSED END MUTL FUND 95790B109 224 17517 SH DFND 0 17517 0 VANGUARD CONSUMER UIT EXCHANGE TRADED 92204A108 223 1537 SH DFND 0 1537 0 LAZARD GLOBAL TOTAL RETU CLOSED END MUTL FUND 52106W103 220 18349 SH DFND 0 18349 0 CITRIX SYSTEMS INC COMMON STOCK 177376100 214 1514 SH DFND 114 1400 0 NEW RESIDENTIAL INVE REAL ESTATE INVESTME 64828T201 213 42454 SH DFND 0 42454 0 ALLIANZGI NFJ DIV INTERE CLOSED END MUTL FUND 01883A107 212 22038 SH DFND 0 22038 0 ISHARES SHORT TERM UIT EXCHANGE TRADED 464288646 209 3994 SH DFND 0 3994 0 NEW JERSEY RESOURCE COMMON STOCK 646025106 209 6146 SH DFND 0 6146 0 PAYPAL HOLDINGS INCORPOR COMMON STOCK 70450Y103 209 2179 SH DFND 271 1908 0 ISHARES INTERMEDT TERM UIT EXCHANGE TRADED 464288638 204 3719 SH DFND 242 3477 0 VANGUARD INDUSTRIALS UIT EXCHANGE TRADED 92204A603 204 1845 SH DFND 0 1845 0 TRUIST FINL CORP COMMON STOCK 89832Q109 203 6411 SH DFND 3148 3263 0 UNILEVER PLC F AMERICAN DEPOSITORY 904767704 202 3993 SH DFND 160 3833 0 VECTOIQ ACQUISITION CORP COMMON STOCK 92243N103 171 16050 SH DFND 0 16050 0 NEW YORK CMNTY BANCO COMMON STOCK 649445103 149 15844 SH DFND 0 15844 0 BLACKROCK MUNIYIELD NEWJ CLOSED END MUTL FUND 09254Y109 135 10000 SH DFND 0 10000 0 CONNECTONE BANCORP COMMON STOCK 20786W107 134 10000 SH DFND 0 10000 0 REALOGY HOLDINGS CO COMMON STOCK 75605Y106 123 40947 SH DFND 0 40947 0 VALLEY NTNL BANK COMMON STOCK 919794107 109 14955 SH DFND 0 14955 0 LAKELAND BANCORP COMMON STOCK 511637100 109 10055 SH DFND 0 10055 0 TEVA PHARMACEUTICAL IN F AMERICAN DEPOSITORY 881624209 98 10950 SH DFND 0 10950 0 BRISTOL-MYERS SQU 30 RTS WARRANTS 110122140 56 117775 SH DFND 0 117775 0 OPKO HEALTH INC COMMON STOCK 68375N103 40 30000 SH DFND 0 30000 0 MFA FINL, INC. REAL ESTATE INVESTME 55272X102 39 25110 SH DFND 0 25110 0 SOUTHWESTERN ENERGY COMMON STOCK 845467109 25 14681 SH DFND 0 14681 0 GOLDMAN SACHS MLP INCOME CLOSED END MUTL FUND 38147W103 16 19350 SH DFND 0 19350 0 ELEVATE CREDIT INC COMMON STOCK 28621V101 10 10000 SH DFND 0 10000 0