0001793904-21-000005.txt : 20211112
0001793904-21-000005.hdr.sgml : 20211112
20211112105754
ACCESSION NUMBER: 0001793904-21-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211112
DATE AS OF CHANGE: 20211112
EFFECTIVENESS DATE: 20211112
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Wealth Alliance
CENTRAL INDEX KEY: 0001793904
IRS NUMBER: 832902030
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19913
FILM NUMBER: 211401354
BUSINESS ADDRESS:
STREET 1: 105 BROADHOLLOW ROAD
CITY: MELLVILLE
STATE: NY
ZIP: 11747
BUSINESS PHONE: 631 670-0682
MAIL ADDRESS:
STREET 1: 105 BROADHOLLOW ROAD
CITY: MELLVILLE
STATE: NY
ZIP: 11747
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09-30-2021
09-30-2021
Wealth Alliance
105 BROADHOLLOW ROAD
MELLVILLE
NY
11747
13F HOLDINGS REPORT
028-19913
N
WILLIAM FRANEY
Chief Compliance Officer
(631) 670-0682
WILLIAM FRANEY
MELVILLE
NY
11-12-2021
2
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028-14921
ATRIA INVESTMENTS LLC
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4756
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93
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20
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864
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898
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789
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ETF
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3225
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776
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2855
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322
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2
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512
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305
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435
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213
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0
520
UNILEVER PLC SPON ADR NEW
ADR
904767704
1165
21486
SH
DFND
1
0
0
21486
UNILEVER PLC SPON ADR NEW
ADR
904767704
59
1084
SH
SOLE
0
0
1084
UNION PAC CORP COM
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907818108
637
3248
SH
DFND
1
0
0
3248
UNION PAC CORP COM
Stock
907818108
32
163
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0
0
163
UNITED PARCEL SERVICE INC
Stock
911312106
821
4507
SH
DFND
1
0
0
4507
UNITED PARCEL SERVICE INC
Stock
911312106
2
12
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SOLE
0
0
12
UNITED RENTALS INC
Stock
911363109
91
260
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DFND
1
0
0
260
UNITED RENTALS INC
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911363109
131
373
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SOLE
0
0
373
VANGUARD BD INDEX FDS TOTAL BND MRKT
ETF
921937835
292
3416
SH
SOLE
0
0
3416
VANGUARD BD INDEX FDS TOTAL BND MRKT
ETF
921937835
35
414
SH
DFND
1
0
0
414
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF
ETF
921943858
198
3930
SH
DFND
1
0
0
3930
VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF
ETF
921943858
119
2365
SH
SOLE
0
0
2365
VANGUARD WHITEHALL FDS HIGH DIV YLD
ETF
921946406
302
2920
SH
SOLE
0
0
2920
VANGUARD WHITEHALL FDS HIGH DIV YLD
ETF
921946406
5
47
SH
DFND
2
0
0
47
VANGUARD MID-CAP VALUE INDEX FUND
ETF
922908512
1648
11808
SH
SOLE
0
0
11808
VANGUARD MID-CAP VALUE INDEX FUND
ETF
922908512
72
513
SH
DFND
1
0
0
513
VANGUARD MID-CAP GROWTH INDEX FUND
ETF
922908538
2017
8536
SH
SOLE
0
0
8536
VANGUARD MID-CAP GROWTH INDEX FUND
ETF
922908538
82
346
SH
DFND
1
0
0
346
VANGUARD REAL ESTATE ETF
ETF
922908553
8808
86536
SH
SOLE
0
0
86536
VANGUARD REAL ESTATE ETF
ETF
922908553
3
26
SH
DFND
2
0
0
26
VANGUARD REAL ESTATE ETF
ETF
922908553
138
1357
SH
DFND
1
0
0
1357
VANGUARD SMALL-CAP GROWTH INDEX FUND
ETF
922908595
545
1946
SH
SOLE
0
0
1946
VANGUARD SMALL CAP VALUE ETF
ETF
922908611
450
2658
SH
SOLE
0
0
2658
VANGUARD MID-CAP INDEX FUND
ETF
922908629
2936
12401
SH
SOLE
0
0
12401
VANGUARD EXTENDED MARKETS INDEX FUND
ETF
922908652
2854
15652
SH
SOLE
0
0
15652
VANGUARD EXTENDED MARKETS INDEX FUND
ETF
922908652
157
863
SH
DFND
1
0
0
863
VANGUARD INDEX FDS VANGUARD VALUE ETF FORMERLY VANGUARD INDEX TR
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922908744
585
4325
SH
SOLE
0
0
4325
VANGUARD INDEX FDS VANGUARD VALUE ETF FORMERLY VANGUARD INDEX TR
ETF
922908744
36
267
SH
DFND
1
0
0
267
VANGUARD SMALL-CAP INDEX FUND
ETF
922908751
4010
18337
SH
SOLE
0
0
18337
VANGUARD SMALL-CAP INDEX FUND
ETF
922908751
136
623
SH
DFND
1
0
0
623
WD 40 CO COM
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203
875
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DFND
1
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875
WALMART INC COM
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931142103
330
2368
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DFND
1
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2368
WALMART INC COM
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931142103
191
1370
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0
0
1370
WATERS CORP
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941848103
136
381
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DFND
1
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0
381
WATERS CORP
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941848103
111
312
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SOLE
0
0
312
WATSCO INC
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501
1893
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DFND
1
0
0
1893
WELLS FARGO CO NEW COM
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550
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DFND
1
0
0
11861
WELLS FARGO CO NEW COM
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6
129
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SOLE
0
0
129
WEST PHARMACEUTICAL SERVICES INC
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329
776
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DFND
1
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0
776
WILLIAMS COS INC COM
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450
17367
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1
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0
17367
ZEBRA TECHNOLOGIES CORPORATION CL A
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309
600
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DFND
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0
0
600
TERMINIX GLOBAL HOLDINGS INC COM
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278
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RAYTHEON TECHNOLOGIES CORP COM
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1095
12741
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DFND
1
0
0
12741
RAYTHEON TECHNOLOGIES CORP COM
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75513E101
123
1430
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SOLE
0
0
1430
INVESCO QQQ TR UNIT SER 1
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46090E103
443
1237
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0
0
1237
TARGET CORP
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173
757
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DFND
1
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0
757
TARGET CORP
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115
501
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SOLE
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0
501
ALPS ETF TR ALERIAN MLP
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00162Q452
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172407
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SOLE
0
0
172407
ALPS ETF TR ALERIAN MLP
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00162Q452
152
4569
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1
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0
4569
AT&T INC COM USD1
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DFND
1
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31462
AT&T INC COM USD1
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54781
ABBVIE INC COM USD0.01
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2277
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21106
ABBVIE INC COM USD0.01
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108
1000
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0
1000
ADOBE SYSTEMS INCORPORATED COM
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1647
2861
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DFND
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2861
ADOBE SYSTEMS INCORPORATED COM
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3
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ADVANCE AUTO PARTS INC
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303
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0
1449
ADVANCE AUTO PARTS INC
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5
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0
25
ALIBABA GROUP HOLDING LTD SPON ADS EACH REP 8 ORD SHS
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685
4626
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DFND
1
0
0
4626
ALIBABA GROUP HOLDING LTD SPON ADS EACH REP 8 ORD SHS
ADR
01609W102
97
658
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0
0
658
ALPHABET INC CAP STK CL C
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1418
532
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DFND
1
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0
532
ALPHABET INC CAP STK CL C
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02079K107
840
315
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0
0
315
ALPHABET INC CAP STK CL A
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1027
384
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DFND
1
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0
384
ALPHABET INC CAP STK CL A
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634
237
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0
0
237
ALTRIA GROUP INC
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02209S103
98
2156
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DFND
1
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0
2156
ALTRIA GROUP INC
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02209S103
107
2354
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0
0
2354
AMERICAN TOWER CORP NEW COM
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03027X100
382
1439
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DFND
1
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0
1439
AMERICAN TOWER CORP NEW COM
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03027X100
11
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ANSYS INC COM USD0.01
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03662Q105
301
885
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1
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0
885
ANSYS INC COM USD0.01
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03662Q105
1
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0
0
3
ARMSTRONG WORLD INDS INC NEW COM WHEN ISSUED
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04247X102
254
2661
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DFND
1
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0
2661
BCE INC COM NEW ISIN #CA05534B7604 SEDOL #B188TH2
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20673
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DFND
1
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0
20673
BCE INC COM NEW ISIN #CA05534B7604 SEDOL #B188TH2
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126
2520
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0
0
2520
BANCO SANTANDER S.A. ADR
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84
23186
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DFND
1
0
0
23186
BIOMARIN PHARMACEUTICAL COM USD0.001
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255
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1
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3303
BLACKLINE INC COM
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09239B109
224
1898
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DFND
1
0
0
1898
BLACKROCK INC COM USD0.01
Stock
09247X101
661
788
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DFND
1
0
0
788
BLACKROCK INC COM USD0.01
Stock
09247X101
9
10
SH
SOLE
0
0
10
BLACKROCK LTD DURATION INCOME COM SHS
CEF
09249W101
426
24928
SH
SOLE
0
0
24928
BLACKSTONE INC
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09260D107
224
1929
SH
DFND
1
0
0
1929
BLACKSTONE INC
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09260D107
263
2259
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0
0
2259
BOOKING HOLDINGS INC COM
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09857L108
278
117
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DFND
1
0
0
117
BROADRIDGE FINANCIAL SOLUTION INC COM USD0.01
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11133T103
319
1913
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0
0
1913
BROADRIDGE FINANCIAL SOLUTION INC COM USD0.01
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11133T103
192
1154
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DFND
1
0
0
1154
BROADCOM INC COM
Stock
11135F101
1569
3235
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DFND
1
0
0
3235
BROADCOM INC COM
Stock
11135F101
11
23
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SOLE
0
0
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CDW CORP COM USD0.01
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12514G108
463
2542
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DFND
1
0
0
2542
CME GROUP INC COM
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12572Q105
399
2063
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DFND
1
0
0
2063
CRH SPON ADR EA REPR 1 ORD SHS EUR0.32
ADR
12626K203
414
8866
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DFND
1
0
0
8866
CAMECO CORP COM NPV ISIN #CA13321L1085 SEDOL #2166160
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495
22797
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DFND
1
0
0
22797
CANADIAN PACIFIC RAILWAY COMPANY COM NPV ISIN #CA13645T1003 SEDOL #2793115
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13645T100
793
12180
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DFND
1
0
0
12180
CAPITAL ONE FINANCIAL CORP COM USD0.01
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14040H105
266
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DFND
1
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0
1643
CAPITAL ONE FINANCIAL CORP COM USD0.01
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2
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0
0
15
CARDINAL HEALTH INC COM NPV
Stock
14149Y108
395
7978
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DFND
1
0
0
7978
CARDINAL HEALTH INC COM NPV
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14149Y108
2
38
SH
SOLE
0
0
38
CISCO SYSTEMS INC
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17275R102
2063
37893
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DFND
1
0
0
37893
CISCO SYSTEMS INC
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17275R102
241
4423
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0
0
4423
CLOVER HEALTH INVESTMENTS CORP COM CL A
Stock
18914F103
74
10000
SH
SOLE
0
0
10000
COMCAST CORP
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20030N101
1771
31667
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DFND
1
0
0
31667
COMCAST CORP
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20030N101
99
1771
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SOLE
0
0
1771
CONOCOPHILLIPS COM
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20825C104
872
12867
SH
DFND
1
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0
12867
CONOCOPHILLIPS COM
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20825C104
14
204
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SOLE
0
0
204
CONSTELLATION BRANDS INC COM USD0.01 CLASS A
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21036P108
375
1778
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1
0
0
1778
CONSTELLATION BRANDS INC COM USD0.01 CLASS A
Stock
21036P108
21
100
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0
0
100
COSTCO WHOLESALE CORP COM USD0.01
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22160K105
495
1103
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DFND
1
0
0
1103
COSTCO WHOLESALE CORP COM USD0.01
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22160K105
24
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SOLE
0
0
54
COSTAR GROUP INC
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22160N109
281
3260
SH
DFND
1
0
0
3260
COSTAR GROUP INC
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22160N109
1
10
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SOLE
0
0
10
CROWN CASTLE INTL CORP NEW COM ISIN #US22822V1017 SEDOL #BTGQCX1
REIT
22822V101
923
5326
SH
DFND
1
0
0
5326
CROWN CASTLE INTL CORP NEW COM ISIN #US22822V1017 SEDOL #BTGQCX1
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22822V101
232
1341
SH
SOLE
0
0
1341
CYRUSONE INC COM USD0.01
REIT
23283R100
443
5726
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DFND
1
0
0
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DESKTOP METAL INC COM CL A
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25058X105
97
13565
SH
SOLE
0
0
13565
DIAGEO ADR EACH REPR 4 ORD GBX28.935185
ADR
25243Q205
957
4960
SH
DFND
1
0
0
4960
DIAGEO ADR EACH REPR 4 ORD GBX28.935185
ADR
25243Q205
6
30
SH
SOLE
0
0
30
DOMINION ENERGY INC COM
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25746U109
772
10566
SH
DFND
1
0
0
10566
DOMINION ENERGY INC COM
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25746U109
40
551
SH
SOLE
0
0
551
DUKE ENERGY CORP NEW COM NEW ISIN #US26441C2044 SEDOL #B7JZSK0
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26441C204
838
8587
SH
DFND
1
0
0
8587
DUKE ENERGY CORP NEW COM NEW ISIN #US26441C2044 SEDOL #B7JZSK0
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26441C204
97
998
SH
SOLE
0
0
998
DUPONT DE NEMOURS INC COM
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26614N102
452
6653
SH
DFND
1
0
0
6653
DUPONT DE NEMOURS INC COM
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26614N102
20
300
SH
SOLE
0
0
300
ETFMG ALTERNATIVE HARVEST ETF
ETF
26924G508
288
20040
SH
SOLE
0
0
20040
ETFMG ALTERNATIVE HARVEST ETF
ETF
26924G508
19
1312
SH
DFND
2
0
0
1312
ETFMG ALTERNATIVE HARVEST ETF
ETF
26924G508
69
4829
SH
DFND
1
0
0
4829
EATON VANCE TAX-MANAGED DIVERS COM
CEF
27828N102
148
10627
SH
SOLE
0
0
10627
EATON VANCE TAX-MANAGED GLOBAL COM
CEF
27829F108
103
10274
SH
SOLE
0
0
10274
ECOFIN SUSTAINABLE AND SOCIAL COM SH BEN INT
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27901F109
615
44138
SH
SOLE
0
0
44138
ENBRIDGE INC COM ISIN #CA29250N1050 SEDOL #2466149
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29250N105
885
22232
SH
DFND
1
0
0
22232
ENERGY TRANSFER L P COM UT LTD PTN
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29273V100
126
13164
SH
DFND
1
0
0
13164
ENERGY TRANSFER L P COM UT LTD PTN
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29273V100
121
12585
SH
SOLE
0
0
12585
ENERGY TRANSFER L P COM UT LTD PTN
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29273V100
0
3
SH
DFND
2
0
0
3
EQUINIX INC COM
REIT
29444U700
362
459
SH
DFND
1
0
0
459
EQUINIX INC COM
REIT
29444U700
2
3
SH
SOLE
0
0
3
EQUITY RESIDENTIAL SBI USD0.01
REIT
29476L107
444
5493
SH
DFND
1
0
0
5493
EVERTEC INC USD0.01
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30040P103
254
5556
SH
DFND
1
0
0
5556
EXPONENT INC
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30214U102
224
1978
SH
DFND
1
0
0
1978
EXXON MOBIL CORP
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30231G102
1091
18541
SH
DFND
1
0
0
18541
EXXON MOBIL CORP
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30231G102
223
3791
SH
SOLE
0
0
3791
FACEBOOK INC-CLASS A
Stock
30303M102
3240
9546
SH
DFND
1
0
0
9546
FACEBOOK INC-CLASS A
Stock
30303M102
1428
4209
SH
SOLE
0
0
4209
FIDELITY NATL INFORMATION SERVICES COM USD0.01
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31620M106
1228
10095
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DFND
1
0
0
10095
FIRST FINL BANKSHARES INC COM
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32020R109
258
5612
SH
DFND
1
0
0
5612
FIVE BELOW INC
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33829M101
226
1281
SH
DFND
1
0
0
1281
FIVE BELOW INC
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33829M101
18
100
SH
SOLE
0
0
100
FOX CORP CL A COM
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35137L105
230
5723
SH
DFND
1
0
0
5723
FOX CORP CL A COM
Stock
35137L105
13
317
SH
SOLE
0
0
317
FREEPORT-MCMORAN INC COM USD0.10
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35671D857
339
10414
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DFND
1
0
0
10414
FREEPORT-MCMORAN INC COM USD0.10
Stock
35671D857
2
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SH
SOLE
0
0
54
GENERAL MTRS CO COM
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37045V100
193
3656
SH
DFND
1
0
0
3656
GENERAL MTRS CO COM
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37045V100
21
397
SH
SOLE
0
0
397
GOHEALTH INC COM CL A
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38046W105
101
20000
SH
SOLE
0
0
20000
GOLDMAN SACHS GROUP INC COM USD0.01
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38141G104
172
455
SH
DFND
1
0
0
455
GOLDMAN SACHS GROUP INC COM USD0.01
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38141G104
184
486
SH
SOLE
0
0
486
GOLDMAN SACHS BDC INC SHS
CEF
38147U107
242
13188
SH
SOLE
0
0
13188
HDFC BANK LTD SPON ADS EACH REP 3 ORD SHS
ADR
40415F101
821
11239
SH
DFND
1
0
0
11239
HDFC BANK LTD SPON ADS EACH REP 3 ORD SHS
ADR
40415F101
6
77
SH
SOLE
0
0
77
HUMANCO ACQUISITION CORP COM CL A
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44487N109
99
10000
SH
SOLE
0
0
10000
IDEXX LABORATORIES INC COM USD0.10
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45168D104
215
346
SH
DFND
1
0
0
346
IDEXX LABORATORIES INC COM USD0.10
Stock
45168D104
1
2
SH
SOLE
0
0
2
INNOVATOR ETFS TR US EQTY PWR BUF
ETF
45782C318
313
10594
SH
SOLE
0
0
10594
INNOVATOR ETFS TR US SML CP PWR B
ETF
45782C474
288
9243
SH
SOLE
0
0
9243
INNOVATOR ETFS TR US EQTY PWR BUF
ETF
45782C540
243
7889
SH
SOLE
0
0
7889
INNOVATOR ETFS TR US EQTY PWR BUF
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45782C748
1639
52769
SH
SOLE
0
0
52769
INNOVATE CORP COM
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45784J105
720
175500
SH
SOLE
0
0
175500
INVESCO ACTIVELY MANAGED ETF ULTRA SHRT DUR
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46090A887
215
4258
SH
SOLE
0
0
4258
INTUITIVE SURGICAL INC
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46120E602
465
468
SH
DFND
1
0
0
468
INTUITIVE SURGICAL INC
Stock
46120E602
17
17
SH
SOLE
0
0
17
INVESCO EXCHANGE TRADED FD TR HIG YLD EQ DIV
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46137V563
516
26069
SH
SOLE
0
0
26069
INVESCO EXCH TRADED FD TR II S&P500 LOW VOL
ETF
46138E354
416
6836
SH
SOLE
0
0
6836
INVESCO EXCH TRADED FD TR II S&P500 HDL VOL
ETF
46138E362
270
6369
SH
SOLE
0
0
6369
ISHARES TR US TREAS BD ETF
ETF
46429B267
3020
113834
SH
DFND
2
0
0
113834
ISHARES TR US TREAS BD ETF
ETF
46429B267
1
30
SH
SOLE
0
0
30
ISHARES U S ETF TR BLACKROCK ST MAT
ETF
46431W507
375
7479
SH
SOLE
0
0
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ISHARES US ETF TRUST GSCI COMMODITY DYNAMIC ROLL STRATEGY ETF
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