0001793904-22-000006.txt : 20221011
0001793904-22-000006.hdr.sgml : 20221011
20221011091657
ACCESSION NUMBER: 0001793904-22-000006
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220630
FILED AS OF DATE: 20221011
DATE AS OF CHANGE: 20221011
EFFECTIVENESS DATE: 20221011
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-19913
FILM NUMBER: 221302622
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
13F-HR/A
1
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0001793904
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06-30-2022
06-30-2022
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RESTATEMENT
Wealth Alliance
105 BROADHOLLOW ROAD
MELLVILLE
NY
11747
13F HOLDINGS REPORT
028-19913
N
WILLIAM G. FRANEY
CHIEF FINANCIAL OFFICER
(631) 670-0703
WILLIAM G. FRANEY
MELVILLE
NY
10-11-2022
2
764
521089
false
1
Atria Investments
2
55i, LLC
INFORMATION TABLE
2
13F-TWA-Q22022-RESTATEMENT.xml
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Stock
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1951
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SOLE
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880
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Stock
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1755
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Stock
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751
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Stock
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698
2904
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DFND
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3152
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Stock
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5105
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2251
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Stock
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59
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Stock
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377
4861
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Stock
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Stock
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34
368
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Stock
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1591
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Stock
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297
1413
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Stock
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340
158
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REIT
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REIT
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118
607
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ADR
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ADR
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REIT
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Stock
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Stock
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Stock
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Stock
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26
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106
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Stock
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Stock
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414
6061
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DFND
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BERKSHIRE HATHAWAY INC
Stock
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409
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Stock
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1827
6693
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Stock
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334
1224
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1224
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Stock
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2668
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Stock
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1293
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Stock
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849
11026
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ADR
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SH
DFND
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Stock
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314
4360
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Stock
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Stock
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112
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Stock
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722
7789
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Stock
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703
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Stock
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Stock
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7111
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Stock
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Stock
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4044
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Stock
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Stock
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Stock
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286
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133
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775
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109
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0
90
ISHARES GOLD TR ISHARES NEW ISIN #US4642852044 SEDOL #BKP74N6
ETF
464285204
3118
90885
SH
SOLE
0
0
90885
ISHARES GOLD TR ISHARES NEW ISIN #US4642852044 SEDOL #BKP74N6
ETF
464285204
97
2836
SH
DFND
1
0
0
2836
ISHARES INC MSCI EMERG MRKT
ETF
464286533
3567
64346
SH
DFND
2
0
0
64346
ISHARES INC MSCI EMERG MRKT
ETF
464286533
211
3799
SH
SOLE
0
0
3799
ISHARES S&P 100 INDEX FUND
ETF
464287101
1713
9933
SH
DFND
2
0
0
9933
ISHARES S&P 100 INDEX FUND
ETF
464287101
43
251
SH
SOLE
0
0
251
ISHARES SELECT DIVIDEND ETF
ETF
464287168
689
5859
SH
DFND
1
0
0
5859
ISHARES SELECT DIVIDEND ETF
ETF
464287168
33
284
SH
SOLE
0
0
284
ISHARES TIPS BOND ETF
ETF
464287176
2306
20243
SH
DFND
2
0
0
20243
ISHARES TIPS BOND ETF
ETF
464287176
231
2024
SH
SOLE
0
0
2024
ISHARES CORE S&P 500 ETF
ETF
464287200
25535
67348
SH
DFND
2
0
0
67348
ISHARES CORE S&P 500 ETF
ETF
464287200
7688
20277
SH
SOLE
0
0
20277
ISHARES CORE S&P 500 ETF
ETF
464287200
1474
3888
SH
DFND
1
0
0
3888
ISHARES CORE US AGGREGATE BOND ETF
ETF
464287226
1256
12348
SH
SOLE
0
0
12348
ISHARES CORE US AGGREGATE BOND ETF
ETF
464287226
345
3395
SH
DFND
1
0
0
3395
ISHARES CORE US AGGREGATE BOND ETF
ETF
464287226
118
1163
SH
DFND
2
0
0
1163
ISHARES TRUST MSCI EMG MKTS ETF USD DIS
ETF
464287234
1970
49127
SH
DFND
1
0
0
49127
ISHARES TRUST MSCI EMG MKTS ETF USD DIS
ETF
464287234
86
2147
SH
SOLE
0
0
2147
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF
ETF
464287242
166
1513
SH
DFND
1
0
0
1513
ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF
ETF
464287242
126
1141
SH
SOLE
0
0
1141
ISHARES S&P GLOBAL TECHNOLOGY SECTOR INDEX FUND
ETF
464287291
673
14733
SH
DFND
2
0
0
14733
ISHARES S&P GLOBAL TECHNOLOGY SECTOR INDEX FUND
ETF
464287291
8
165
SH
SOLE
0
0
165
ISHARES S&P 500 GROWTH ETF
ETF
464287309
95
1576
SH
DFND
2
0
0
1576
ISHARES S&P 500 GROWTH ETF
ETF
464287309
94
1551
SH
DFND
1
0
0
1551
ISHARES S&P 500 GROWTH ETF
ETF
464287309
65
1080
SH
SOLE
0
0
1080
ISHARES S&P 500 VALUE ETF
ETF
464287408
233
1695
SH
DFND
2
0
0
1695
ISHARES S&P 500 VALUE ETF
ETF
464287408
55
402
SH
SOLE
0
0
402
ISHARES S&P 500 VALUE ETF
ETF
464287408
47
339
SH
DFND
1
0
0
339
ISHARES TR 20 YR TR BD ETF
ETF
464287432
565
4915
SH
DFND
1
0
0
4915
ISHARES TR 20 YR TR BD ETF
ETF
464287432
106
920
SH
DFND
2
0
0
920
ISHARES TR 20 YR TR BD ETF
ETF
464287432
18
156
SH
SOLE
0
0
156
ISHARES TRUST 1-3 YEAR TREASURY BOND ETF
ETF
464287457
860
10383
SH
SOLE
0
0
10383
ISHARES MSCI EAFE ETF
ETF
464287465
5847
93568
SH
DFND
1
0
0
93568
ISHARES MSCI EAFE ETF
ETF
464287465
144
2306
SH
SOLE
0
0
2306
ISHARES RUSSELL MID-CAP VALUE ETF
ETF
464287473
687
6765
SH
DFND
1
0
0
6765
ISHARES RUSSELL MID-CAP VALUE ETF
ETF
464287473
59
584
SH
SOLE
0
0
584
ISHARES TR RUS MD CP GR ETF
ETF
464287481
959
12102
SH
DFND
1
0
0
12102
ISHARES TR RUS MD CP GR ETF
ETF
464287481
131
1649
SH
SOLE
0
0
1649
ISHARES TR RUS MID CAP ETF
ETF
464287499
628
9714
SH
DFND
1
0
0
9714
ISHARES TR RUS MID CAP ETF
ETF
464287499
47
728
SH
SOLE
0
0
728
ISHARES S&P MIDCAP 400 INDEX FUND
ETF
464287507
2373
10488
SH
SOLE
0
0
10488
ISHARES S&P MIDCAP 400 INDEX FUND
ETF
464287507
460
2032
SH
DFND
1
0
0
2032
ISHARES S&P MIDCAP 400 INDEX FUND
ETF
464287507
10
46
SH
DFND
2
0
0
46
ISHARES RUSSELL 1000 VALUE ETF
ETF
464287598
3377
23297
SH
DFND
1
0
0
23297
ISHARES RUSSELL 1000 VALUE ETF
ETF
464287598
74
509
SH
SOLE
0
0
509
ISHARES TR RUS 1000 GRW ETF
ETF
464287614
3983
18211
SH
DFND
1
0
0
18211
ISHARES TR RUS 1000 GRW ETF
ETF
464287614
165
752
SH
SOLE
0
0
752
ISHARES RUSSELL 1000 INDEX FUND
ETF
464287622
339
1633
SH
DFND
2
0
0
1633
ISHARES RUSSELL 1000 INDEX FUND
ETF
464287622
130
625
SH
SOLE
0
0
625
ISHARES RUSSELL 1000 INDEX FUND
ETF
464287622
11
52
SH
DFND
1
0
0
52
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
1058
7774
SH
DFND
1
0
0
7774
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
22
163
SH
SOLE
0
0
163
ISHARES TR RUS 2000 GRW ETF
ETF
464287648
1336
6475
SH
DFND
1
0
0
6475
ISHARES TR RUS 2000 GRW ETF
ETF
464287648
46
225
SH
SOLE
0
0
225
ISHARES RUSSELL 2000 ETF
ETF
464287655
1883
11117
SH
DFND
1
0
0
11117
ISHARES RUSSELL 2000 ETF
ETF
464287655
64
376
SH
SOLE
0
0
376
ISHARES CORE S&P US VALUE ETF
ETF
464287663
363
5424
SH
SOLE
0
0
5424
ISHARES CORE S&P US VALUE ETF
ETF
464287663
26
384
SH
DFND
2
0
0
384
ISHARES CORE S&P US GROWTH ETF
ETF
464287671
293
3504
SH
SOLE
0
0
3504
ISHARES CORE S&P US GROWTH ETF
ETF
464287671
26
311
SH
DFND
2
0
0
311
ISHARES TRUST DJ US TECHNOLOGY
ETF
464287721
333
4167
SH
DFND
2
0
0
4167
ISHARES TRUST DJ US TECHNOLOGY
ETF
464287721
206
2582
SH
SOLE
0
0
2582
ISHARES U S REAL ESTATE ETF
ETF
464287739
678
7366
SH
DFND
1
0
0
7366
ISHARES U.S. HEALTHCARE ETF
ETF
464287762
138
515
SH
DFND
2
0
0
515
ISHARES U.S. HEALTHCARE ETF
ETF
464287762
86
322
SH
SOLE
0
0
322
ISHARES U.S. HEALTHCARE ETF
ETF
464287762
14
52
SH
DFND
1
0
0
52
ISHARES DOW JONES US ENERGY SECTOR FUND
ETF
464287796
1471
38585
SH
DFND
2
0
0
38585
ISHARES DOW JONES US ENERGY SECTOR FUND
ETF
464287796
54
1420
SH
SOLE
0
0
1420
ISHARES CORE S&P SMALL-CAP E
ETF
464287804
2254
24389
SH
SOLE
0
0
24389
ISHARES CORE S&P SMALL-CAP E
ETF
464287804
234
2532
SH
DFND
1
0
0
2532
ISHARES CORE S&P SMALL-CAP E
ETF
464287804
175
1894
SH
DFND
2
0
0
1894
ISHARES TRUST S & P EURO
ETF
464287861
359
8404
SH
DFND
2
0
0
8404
ISHARES TRUST S & P EURO
ETF
464287861
8
194
SH
SOLE
0
0
194
ISHARES S&P SMALLCAP 600 VALUE INDEX FUND
ETF
464287879
1985
22297
SH
DFND
2
0
0
22297
ISHARES S&P SMALLCAP 600 VALUE INDEX FUND
ETF
464287879
86
970
SH
SOLE
0
0
970
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF
ETF
464288158
277
2650
SH
DFND
2
0
0
2650
ISHARES SHORT-TERM NATIONAL MUNI BOND ETF
ETF
464288158
13
127
SH
SOLE
0
0
127
ISHARES TR GL CLEAN ENE ETF
ETF
464288224
2089
109684
SH
SOLE
0
0
109684
ISHARES TR GL CLEAN ENE ETF
ETF
464288224
682
35810
SH
DFND
1
0
0
35810
ISHARES TR GL CLEAN ENE ETF
ETF
464288224
16
840
SH
DFND
2
0
0
840
ISHARES TR MSCI ACWI EX US
ETF
464288240
790
17548
SH
DFND
1
0
0
17548
ISHARES TR MSCI ACWI EX US
ETF
464288240
5
118
SH
SOLE
0
0
118
ISHARES TR MSCI ACWI ETF
ETF
464288257
423
5045
SH
DFND
1
0
0
5045
ISHARES TR MSCI ACWI ETF
ETF
464288257
46
549
SH
SOLE
0
0
549
ISHARES NEW YORK MUNI BOND ETF
ETF
464288323
243
4617
SH
DFND
1
0
0
4617
ISHARES NEW YORK MUNI BOND ETF
ETF
464288323
55
1042
SH
SOLE
0
0
1042
ISHARES NATIONAL MUNI BOND ETF
ETF
464288414
1542
14501
SH
DFND
2
0
0
14501
ISHARES NATIONAL MUNI BOND ETF
ETF
464288414
465
4373
SH
DFND
1
0
0
4373
ISHARES NATIONAL MUNI BOND ETF
ETF
464288414
234
2202
SH
SOLE
0
0
2202
ISHARES TR MSCI KLD400 SOC
ETF
464288570
1295
18006
SH
DFND
2
0
0
18006
ISHARES TR 10-20 YR TRS ETF
ETF
464288653
1353
11261
SH
DFND
2
0
0
11261
ISHARES TR 10-20 YR TRS ETF
ETF
464288653
34
283
SH
SOLE
0
0
283
ISHARES TR SHORT TREAS BD
ETF
464288679
392
3564
SH
DFND
1
0
0
3564
ISHARES TR SHORT TREAS BD
ETF
464288679
7
64
SH
SOLE
0
0
64
ISHARES TR US AER DEF ETF
ETF
464288760
304
3068
SH
SOLE
0
0
3068
ISHARES TR U.S. MED DVC ETF
ETF
464288810
218
4321
SH
DFND
2
0
0
4321
ISHARES TR U.S. MED DVC ETF
ETF
464288810
3
59
SH
SOLE
0
0
59
ISHARES TR EAFE VALUE ETF
ETF
464288877
8209
189155
SH
DFND
2
0
0
189155
ISHARES TR EAFE VALUE ETF
ETF
464288877
1491
34349
SH
DFND
1
0
0
34349
ISHARES TR EAFE VALUE ETF
ETF
464288877
345
7959
SH
SOLE
0
0
7959
ISHARES TR EAFE GRWTH ETF
ETF
464288885
4713
58548
SH
DFND
2
0
0
58548
ISHARES TR EAFE GRWTH ETF
ETF
464288885
90
1113
SH
SOLE
0
0
1113
ITAU UNIBANCO HLDG S A SPON ADR REP PFD
ADR
465562106
328
76641
SH
DFND
1
0
0
76641
JOHNSON &JOHNSON COM USD1.00
Stock
478160104
1366
7693
SH
SOLE
0
0
7693
JOHNSON &JOHNSON COM USD1.00
Stock
478160104
1225
6903
SH
DFND
1
0
0
6903
KEYCORP COM
Stock
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318
18478
SH
DFND
1
0
0
18478
KIMBERLY-CLARK CORP COM
Stock
494368103
638
4721
SH
DFND
1
0
0
4721
KIMBERLY-CLARK CORP COM
Stock
494368103
36
264
SH
SOLE
0
0
264
KRANESHARES TR CSI CHINA INTERNET ETF
ETF
500767306
242
7383
SH
SOLE
0
0
7383
LAM RESEARCH CORP COM USD0.001
Stock
512807108
939
2204
SH
SOLE
0
0
2204
LAM RESEARCH CORP COM USD0.001
Stock
512807108
65
152
SH
DFND
1
0
0
152
LANDSTAR SYSTEM INC COM USD0.01
Stock
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300
2065
SH
DFND
1
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2065
ESTEE LAUDER COMPANIES INC COM USD0.01 CLASS A
Stock
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725
2845
SH
SOLE
0
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2845
ESTEE LAUDER COMPANIES INC COM USD0.01 CLASS A
Stock
518439104
276
1085
SH
DFND
1
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1085
ELI LILLY AND CO
Stock
532457108
1236
3813
SH
SOLE
0
0
3813
ELI LILLY AND CO
Stock
532457108
631
1946
SH
DFND
1
0
0
1946
ELI LILLY AND CO
Stock
532457108
24
75
SH
DFND
2
0
0
75
LINCOLN NATIONAL CORP COM NPV
Stock
534187109
232
4957
SH
SOLE
0
0
4957
LINCOLN NATIONAL CORP COM NPV
Stock
534187109
37
789
SH
DFND
1
0
0
789
LOCKHEED MARTIN CORP COM USD1.00
Stock
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1304
3032
SH
SOLE
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3032
LOCKHEED MARTIN CORP COM USD1.00
Stock
539830109
336
780
SH
DFND
1
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780
LOWES COMPANIES INC COM USD0.50
Stock
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846
4843
SH
DFND
1
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LOWES COMPANIES INC COM USD0.50
Stock
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328
1875
SH
SOLE
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1875
LULULEMON ATHLETICA INC COM USD0.005
Stock
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274
1005
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SOLE
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1005
LULULEMON ATHLETICA INC COM USD0.005
Stock
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SH
DFND
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MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP
Stock
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194
4059
SH
DFND
1
0
0
4059
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP
Stock
559080106
30
624
SH
SOLE
0
0
624
MARSH &MCLENNAN COMPANIES INC COM USD1.00
Stock
571748102
845
5443
SH
DFND
1
0
0
5443
MARSH &MCLENNAN COMPANIES INC COM USD1.00
Stock
571748102
46
295
SH
SOLE
0
0
295
MCDONALD S CORP
Stock
580135101
1102
4465
SH
DFND
1
0
0
4465
MCDONALD S CORP
Stock
580135101
173
700
SH
SOLE
0
0
700
MICROSOFT CORP
Stock
594918104
5602
21811
SH
DFND
1
0
0
21811
MICROSOFT CORP
Stock
594918104
5119
19930
SH
SOLE
0
0
19930
MICROSOFT CORP
Stock
594918104
59
228
SH
DFND
2
0
0
228
MONDELEZ INTL INC COM NPV
Stock
609207105
939
15122
SH
DFND
1
0
0
15122
MONDELEZ INTL INC COM NPV
Stock
609207105
130
2099
SH
SOLE
0
0
2099
MORGAN STANLEY COM USD0.01
Stock
617446448
265
3478
SH
DFND
1
0
0
3478
MORGAN STANLEY COM USD0.01
Stock
617446448
98
1294
SH
SOLE
0
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1294
MOTOROLA SOLUTIONS INC
Stock
620076307
982
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SH
DFND
1
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MOTOROLA SOLUTIONS INC
Stock
620076307
57
270
SH
SOLE
0
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270
NATIONAL BEVERAGE CORP
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242
4951
SH
DFND
1
0
0
4951
NATIONAL CINEMEDIA INC
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635309107
23
25486
SH
SOLE
0
0
25486
NATIONAL GRID SPON ADR EACH REP 5 ORD SHS POST SPLT
ADR
636274409
742
11469
SH
DFND
1
0
0
11469
NATIONAL GRID SPON ADR EACH REP 5 ORD SHS POST SPLT
ADR
636274409
221
3416
SH
SOLE
0
0
3416
NEW YORK COMMUNITY BANCORP INC COM USD0.01
Stock
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110
12024
SH
SOLE
0
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12024
NIKE INC CLASS B COM NPV
Stock
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531
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SH
DFND
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0
0
5200
NORDSON CORP
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258
1275
SH
DFND
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0
0
1275
NORFOLK SOUTHN CORP COM
Stock
655844108
147
645
SH
DFND
1
0
0
645
NORFOLK SOUTHN CORP COM
Stock
655844108
60
262
SH
SOLE
0
0
262
NORTHROP GRUMMAN CORP COM USD1
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514
1073
SH
DFND
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0
0
1073
NORTHROP GRUMMAN CORP COM USD1
Stock
666807102
325
680
SH
SOLE
0
0
680
NOVO NORDISK A/S ADR-EACH CNV INTO 1 CLASS B DKK1
ADR
670100205
488
4382
SH
DFND
1
0
0
4382
PNC FINANCIAL SERVICES GROUP COM USD5
Stock
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968
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SH
DFND
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PNC FINANCIAL SERVICES GROUP COM USD5
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SOLE
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PPG INDUSTRIES INC COM USD1.666
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128
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DFND
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PPG INDUSTRIES INC COM USD1.666
Stock
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SOLE
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PACKAGING CORP OF AMERICA COM USD0.01
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DFND
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2767
PALO ALTO NETWORKS INC COM USD0.0001
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DFND
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PALO ALTO NETWORKS INC COM USD0.0001
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SOLE
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PARKER-HANNIFIN CORP COM
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SOLE
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PARKER-HANNIFIN CORP COM
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SH
DFND
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PARTY CITY HOLDCO INC COM
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SH
SOLE
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PAYCHEX INC COM USD0.01
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247
2165
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DFND
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2165
PAYCHEX INC COM USD0.01
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SOLE
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PEPSICO INC
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SOLE
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PEPSICO INC
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DFND
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PEPSICO INC
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DFND
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PFIZER INC
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SOLE
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PFIZER INC
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SH
DFND
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PHILIP MORRIS INTERNATIONAL INC COM NPV
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205
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712
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232
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151
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SAP ADR REP 1 ORD
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242
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559
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464
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187
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US SML CP PWR B
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45782C474
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US EQTY PWR BUF
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INNOVATOR ETFS TR US EQTY PWR BUF
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INVESCO EXCHANGE TRADED FD TR S&P500 EQL WGT
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INVESCO EXCH TRADED FD TR II S&P500 LOW VOL
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ISHARES CORE HIGH DIVIDEND ETF
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ISHARES TRUST CORE MSCI EAFE ETF
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ISHARES TR ESG AWARE MSCI USA ETF
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0
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0
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ISHARES TR ESG AWARE MSCI USA-SMALL CAP ETF
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ISHARES TR ESG AWARE MSCI USA-SMALL CAP ETF
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ISHARES TR US INFRASTRUC
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SOLE
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120
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ISHARES TRUST ESG ADVANCED MSCI EAFE ETF
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