0001397424-15-000006.txt : 20150814
0001397424-15-000006.hdr.sgml : 20150814
20150814135013
ACCESSION NUMBER: 0001397424-15-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150630
FILED AS OF DATE: 20150814
DATE AS OF CHANGE: 20150814
EFFECTIVENESS DATE: 20150814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: WBI INVESTMENTS, INC.
CENTRAL INDEX KEY: 0001397424
IRS NUMBER: 222566011
STATE OF INCORPORATION: NJ
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12525
FILM NUMBER: 151054602
BUSINESS ADDRESS:
STREET 1: 1 RIVER CENTRE
STREET 2: 331 NEWMAN SPRINGS ROAD SUITE 122
CITY: RED BANK
STATE: NJ
ZIP: 07701
BUSINESS PHONE: 732-842-4920
MAIL ADDRESS:
STREET 1: 1 RIVER CENTRE
STREET 2: 331 NEWMAN SPRINGS ROAD SUITE 122
CITY: RED BANK
STATE: NJ
ZIP: 07701
FORMER COMPANY:
FORMER CONFORMED NAME: WBI INVESTMENTS
DATE OF NAME CHANGE: 20100211
FORMER COMPANY:
FORMER CONFORMED NAME: Wealth Builders
DATE OF NAME CHANGE: 20070424
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
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0001397424
XXXXXXXX
06-30-2015
06-30-2015
WBI INVESTMENTS, INC.
1 RIVER CENTRE
331 NEWMAN SPRINGS ROAD SUITE 122
RED BANK
NJ
07701
13F HOLDINGS REPORT
028-12525
N
Cynthia Rose Bonna
Chief Compliance Officer
732-842-4920
Cynthia Rose Bonna
Red Bank
NJ
08-14-2015
1
281
3915241
false
1
0001449088
028-16338
MILLINGTON SECURITIES, INC.
INFORMATION TABLE
2
13F_081315105953.xml
13F
ABERCROMBIE & FITCH CO
CL A
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ALCOA INC
COM
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DFND
1
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866650
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AMERICAN NATL INS CO
COM
028591105
1380
13484
SH
DFND
1
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13484
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AMGEN INC
COM
031162100
6687
43560
SH
DFND
1
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43560
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AMGEN INC
COM
031162100
2178
14189
SH
SOLE
14189
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0
APPLE INC
COM
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1148
9153
SH
SOLE
9153
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0
ARCHER DANIELS MIDLAND CO
COM
039483102
23144
479969
SH
DFND
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479969
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ARCHER DANIELS MIDLAND CO
COM
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57294
1188182
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SOLE
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BANK NEW YORK MELLON CORP
COM
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3419
81465
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1
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81465
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BANK NEW YORK MELLON CORP
COM
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40787
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SOLE
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BARD C R INC
COM
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27259
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DFND
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27259
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BARD C R INC
COM
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5354
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SOLE
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BECTON DICKINSON & CO
COM
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COM
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COM
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COM
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COM
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COM
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COM
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COM
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4881
73357
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COM
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CL B
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COM
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CACI INTL INC
CL A
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COM
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CL A
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COM
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COM
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COM
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COM
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COM
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DEVRY ED GROUP INC
COM
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DISNEY WALT CO
COM DISNEY
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COM
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COM
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DONNELLEY R R & SONS CO
COM
257867101
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DFND
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EASTMAN CHEM CO
COM
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DFND
1
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EASTMAN CHEM CO
COM
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SOLE
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ECOLAB INC
COM
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DFND
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ECOLAB INC
COM
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15335
SH
SOLE
15335
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0
EQUIFAX INC
COM
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6325
65174
SH
DFND
1
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FACTSET RESH SYS INC
COM
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DFND
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FASTENAL CO
COM
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COM
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FISERV INC
COM
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COM
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COM
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COM
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GAP INC DEL
COM
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SOLE
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GENERAL DYNAMICS CORP
COM
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GENERAL DYNAMICS CORP
COM
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GENUINE PARTS CO
COM
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SOLE
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GILEAD SCIENCES INC
COM
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GRAPHIC PACKAGING HLDG CO
COM
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GROUP 1 AUTOMOTIVE INC
COM
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GUESS INC
COM
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COM
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COM
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COM
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CL B
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INGRAM MICRO INC
CL A
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INTEL CORP
COM
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COM
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COM
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COM
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COM
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L BRANDS INC
COM
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L BRANDS INC
COM
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COM
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COM
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SOLE
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COM
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LOWES COS INC
COM
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DFND
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LOWES COS INC
COM
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SH
SOLE
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MARRIOTT INTL INC NEW
CL A
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SH
SOLE
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MEAD JOHNSON NUTRITION CO
COM
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MICROSOFT CORP
COM
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COM
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COM
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MOVADO GROUP INC
COM
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NATIONAL OILWELL VARCO INC
COM
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NATIONAL OILWELL VARCO INC
COM
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NIKE INC
CL B
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DFND
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NIKE INC
CL B
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NORTHROP GRUMMAN CORP
COM
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OMNICARE INC
COM
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PVH CORP
COM
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DFND
1
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PACCAR INC
COM
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DFND
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PACCAR INC
COM
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COM
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COM
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PITNEY BOWES INC
COM
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POLARIS INDS INC
COM
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COM
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PRECISION CASTPARTS CORP
COM
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SOLE
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PROSPERITY BANCSHARES INC
COM
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PUBLIC SVC ENTERPRISE GROU
COM
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RPM INTL INC
COM
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SAP SE
SPON ADR
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SH
DFND
1
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SAP SE
SPON ADR
803054204
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SOLE
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COM
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COM
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COM
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COM CL A
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STEEL DYNAMICS INC
COM
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STEEL DYNAMICS INC
COM
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SH
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STRYKER CORP
COM
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SH
DFND
1
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COM
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SH
DFND
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COM
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COM
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TJX COS INC NEW
COM
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SOLE
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COM
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SH
DFND
1
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COM
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SH
DFND
1
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TEXAS INSTRS INC
COM
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THOR INDS INC
COM
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SH
SOLE
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TIFFANY & CO NEW
COM
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SH
SOLE
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TIME WARNER INC
COM NEW
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SH
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TIME WARNER INC
COM NEW
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SH
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TOWERS WATSON & CO
CL A
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SH
DFND
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TRIPLE-S MGMT CORP
CL B
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SH
DFND
1
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COM
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SH
DFND
1
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UGI CORP NEW
COM
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SH
DFND
1
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0
UGI CORP NEW
COM
902681105
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SH
SOLE
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INTERMED TERM
921937819
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SH
SOLE
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0
0
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MCAP VL IDXVIP
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MCAP GR IDXVIP
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SML CP GRW ETF
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SOLE
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0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
481
4494
SH
SOLE
4494
0
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VMWARE INC
CL A COM
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SH
DFND
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0
WADDELL & REED FINL INC
CL A
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DFND
1
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WADDELL & REED FINL INC
CL A
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SOLE
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WASTE CONNECTIONS INC
COM
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SH
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COM
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COM
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WEYERHAEUSER CO
COM
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SH
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WEYERHAEUSER CO
COM
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COM
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COM
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COM
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ABBVIE INC
COM
00287Y109
37148
552887
SH
DFND
1
0
552887
0
ABBVIE INC
COM
00287Y109
64641
962056
SH
SOLE
962056
0
0
ABSOLUTE SHS TR
WBI SMID TACGW
00400R106
103988
4119961
SH
SOLE
4119961
0
0
ABSOLUTE SHS TR
WBI SMID TACVA
00400R205
78980
3187034
SH
SOLE
3187034
0
0
ABSOLUTE SHS TR
WBI SMID TACYL
00400R304
106949
4423026
SH
SOLE
4423026
0
0
ABSOLUTE SHS TR
WBI SMID TACSL
00400R403
80114
3383183
SH
SOLE
3383183
0
0
ABSOLUTE SHS TR
WBI LG TAC GTH
00400R502
107129
4374412
SH
SOLE
4374412
0
0
ABSOLUTE SHS TR
WBI LG CP TCVL
00400R601
88711
3693528
SH
SOLE
3693528
0
0
ABSOLUTE SHS TR
WBI LGCP TC YL
00400R700
108909
4626541
SH
SOLE
4626541
0
0
ABSOLUTE SHS TR
WBI LGCP TC SL
00400R809
98526
4122429
SH
SOLE
4122429
0
0
ABSOLUTE SHS TR
WBI TCT INC SH
00400R874
229365
9001785
SH
SOLE
9001785
0
0
ABSOLUTE SHS TR
WBI TCT HG INC
00400R882
141398
5761954
SH
SOLE
5761954
0
0
ACTIVISION BLIZZARD INC
COM
00507V109
4821
199140
SH
DFND
1
0
199140
0
AFFYMETRIX INC
COM
00826T108
3753
343674
SH
DFND
1
0
343674
0
ALTRIA GROUP INC
COM
02209s103
5673
115982
SH
DFND
1
0
115982
0
AMERIPRISE FINL INC
COM
03076C106
3682
29471
SH
DFND
1
0
29471
0
AMERIPRISE FINL INC
COM
03076C106
3076
24622
SH
SOLE
24622
0
0
BARCLAYS BK PLC
IPSP CROIL ETN
06738c786
693
57493
SH
SOLE
57493
0
0
BARCLAYS BK PLC
IPTH PURE BRD
06740p114
338
10672
SH
SOLE
10672
0
0
BOISE CASCADE CO DEL
COM
09739D100
5094
138867
SH
DFND
1
0
138867
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
2675
42880
SH
DFND
1
0
42880
0
C H ROBINSON WORLDWIDE INC
COM NEW
12541W209
8858
141978
SH
SOLE
141978
0
0
CLECO CORP NEW
COM
12561W105
5510
102313
SH
DFND
1
0
102313
0
CAMERON INTERNATIONAL CORP
COM
13342B105
12547
239580
SH
DFND
1
0
239580
0
CINEMARK HOLDINGS INC
COM
17243V102
1466
36500
SH
DFND
1
0
36500
0
CISCO SYS INC
COM
17275r102
3945
143663
SH
DFND
1
0
143663
0
CISCO SYS INC
COM
17275r102
8383
305285
SH
SOLE
305285
0
0
CLAYMORE EXCHANGE TRD FD T
GUGG BULSH 2022
18383m258
6849
331687
SH
DFND
1
0
331687
0
CLAYMORE EXCHANGE TRD FD T
GUGG BULSH 2022
18383m258
27764
1344498
SH
SOLE
1344498
0
0
CLAYMORE EXCHANGE TRD FD T
GUG BUL 2020 HY
18383m365
8464
334546
SH
DFND
1
0
334546
0
CLAYMORE EXCHANGE TRD FD T
GUG BUL 2020 HY
18383m365
921
36408
SH
SOLE
36408
0
0
CLAYMORE EXCHANGE TRD FD T
GUG BUL 2019 HY
18383m373
8481
337217
SH
DFND
1
0
337217
0
CLAYMORE EXCHANGE TRD FD T
GUG BLT2017 HY
18383m399
12888
488004
SH
DFND
1
0
488004
0
CLAYMORE EXCHANGE TRD FD T
GUG BLT2016 HY
18383m415
15048
572089
SH
DFND
1
0
572089
0
CLAYMORE EXCHANGE TRD FD T
GUG BULL2020 E
18383m514
11809
556257
SH
DFND
1
0
556257
0
CLAYMORE EXCHANGE TRD FD T
GUGG CRP BD 2017
18383m548
24159
1061915
SH
DFND
1
0
1061915
0
CLAYMORE EXCHANGE TRD FD T
GUGG CRP BD 2016
18383m555
27336
1230535
SH
DFND
1
0
1230535
0
COSTCO WHSL CORP NEW
COM
22160k105
3192
23635
SH
SOLE
23635
0
0
CRACKER BARREL OLD CTRY ST
COM
22410J106
9891
66311
SH
DFND
1
0
66311
0
CRACKER BARREL OLD CTRY ST
COM
22410J106
355
2379
SH
SOLE
2379
0
0
DOMINOS PIZZA INC
COM
25754A201
4189
36942
SH
DFND
1
0
36942
0
DYNEGY INC NEW DEL
COM
26817R108
23604
806978
SH
DFND
1
0
806978
0
EAGLE MATERIALS INC
COM
26969P108
7132
93440
SH
DFND
1
0
93440
0
ENTERGY CORP NEW
COM
29364G103
7710
109365
SH
DFND
1
0
109365
0
ENTERGY CORP NEW
COM
29364G103
31614
448419
SH
SOLE
448419
0
0
FACEBOOK INC
CL A
30303M102
3817
44503
SH
DFND
1
0
44503
0
FEDEX CORP
COM
31428X106
9842
57771
SH
DFND
1
0
57771
0
FIRST INTST BANCSYSTEM INC
COM CL A
32055Y201
1683
60672
SH
DFND
1
0
60672
0
FORUM ENERGY TECHNOLOGIES
COM
34984V100
4283
211197
SH
DFND
1
0
211197
0
GAMESTOP CORP NEW
CL A
36467W109
7080
164794
SH
DFND
1
0
164794
0
GAMESTOP CORP NEW
CL A
36467W109
37623
875764
SH
SOLE
875764
0
0
GENWORTH FINL INC
COM CL A
37247D106
5195
686226
SH
DFND
1
0
686226
0
GLACIER BANCORP INC NEW
COM
37637Q105
1269
43147
SH
DFND
1
0
43147
0
GOOGLE INC
CL A
38259p508
5180
9592
SH
DFND
1
0
9592
0
HCA HOLDINGS INC
COM
40412C101
5759
63477
SH
DFND
1
0
63477
0
HANGER INC
COM NEW
41043F208
2131
90931
SH
DFND
1
0
90931
0
HOST HOTELS & RESORTS INC
COM
44107P104
9917
500100
SH
DFND
1
0
500100
0
INTERDIGITAL INC
COM
45867G101
3982
69999
SH
DFND
1
0
69999
0
ISHARES TR
CORE US TR BD
46429b267
4684
187214
SH
DFND
1
0
187214
0
ISHARES TR
FLTG RATE BD ETF
46429b655
4666
92139
SH
SOLE
92139
0
0
ISHARES TR
CHINA ETF
46429b671
265
4735
SH
SOLE
4735
0
0
ISHARES TR
CORE MSCI EAFE
46432f842
303
5194
SH
SOLE
5194
0
0
ISHARES TR
0-5YR HI YL CP
46434v407
20250
416411
SH
DFND
1
0
416411
0
ISHARES TR
0-5YR HI YL CP
46434v407
36259
745618
SH
SOLE
745618
0
0
JANUS CAP GROUP INC
COM
47102X105
3874
226287
SH
DFND
1
0
226287
0
JONES LANG LASALLE INC
COM
48020Q107
2556
14950
SH
DFND
1
0
14950
0
KAR AUCTION SVCS INC
COM
48238T109
2041
54574
SH
DFND
1
0
54574
0
MANPOWERGROUP INC
COM
56418H100
4072
45554
SH
DFND
1
0
45554
0
MANPOWERGROUP INC
COM
56418H100
5797
64860
SH
SOLE
64860
0
0
MOSAIC CO NEW
COM
61945C103
5514
117696
SH
SOLE
117696
0
0
NEXSTAR BROADCASTING GROUP
CL A
65336K103
6701
119666
SH
DFND
1
0
119666
0
NOVARTIS A G
SPONSORED ADR
66987v109
1077
10952
SH
DFND
1
0
10952
0
NVIDIA CORP
COM
67066G104
9557
475247
SH
SOLE
475247
0
0
O REILLY AUTOMOTIVE INC NEW
COM
67103H107
1484
6569
SH
DFND
1
0
6569
0
PIMCO ETF TR
TTL RTN ACTV ETF
72201r775
6978
65213
SH
DFND
1
0
65213
0
PIMCO ETF TR
TTL RTN ACTV ETF
72201r775
1078
10077
SH
SOLE
10077
0
0
PIMCO ETF TR
0-5 HIGH YIELD
72201r783
21123
211507
SH
SOLE
211507
0
0
PIMCO ETF TR
INV GRD CRP BD
72201r817
11140
110880
SH
DFND
1
0
110880
0
PIMCO ETF TR
ENHAN SHRT MA AC
72201r833
70686
698824
SH
SOLE
698824
0
0
POWERSHARES ETF TRUST
DWA MOMENTUM PTF
73935x153
658
15286
SH
SOLE
15286
0
0
POWERSHARES ETF TRUST
FINL PFD PTFL
73935x229
1510
83126
SH
SOLE
83126
0
0
POWERSHARES ETF TRUST
CON STAPLE SEC
73935x393
478
8924
SH
SOLE
8924
0
0
POWERSHARES ETF TRUST II
SENIOR LN PORT
73936q769
54602
2295176
SH
SOLE
2295176
0
0
POWERSHARES GLOBAL ETF TRU
AGG PFD PORT
73936t565
11192
770272
SH
DFND
1
0
770272
0
POWERSHARES GLOBAL ETF TRU
AGG PFD PORT
73936t565
2216
152500
SH
SOLE
152500
0
0
POWERSHARES ETF TR II
S&P500 LOW VOL
73937b779
465
12680
SH
SOLE
12680
0
0
RYDEX ETF TRUST
GUG S&P500 PU VA
78355w304
407
7597
SH
SOLE
7597
0
0
RYDEX ETF TRUST
GUG S&P SC600 PV
78355w700
395
6168
SH
SOLE
6168
0
0
RYDEX ETF TRUST
GUG S&P500EQWTUT
78355w791
386
5564
SH
SOLE
5564
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464a763
458
6004
SH
SOLE
6004
0
0
SPDR SER TR
SHT TRM HGH YLD
78468r408
20380
704956
SH
SOLE
704956
0
0
SANOFI
SPONSORED ADR
80105n105
9697
195777
SH
DFND
1
0
195777
0
SANOFI
SPONSORED ADR
80105n105
54116
1092584
SH
SOLE
1092584
0
0
SELECT MED HLDGS CORP
COM
81619Q105
5538
341833
SH
DFND
1
0
341833
0
SHIRE PLC
SPONSORED ADR
82481R106
18757
77671
SH
DFND
1
0
77671
0
SHIRE PLC
SPONSORED ADR
82481R106
2038
8439
SH
SOLE
8439
0
0
TENARIS S A
SPONSORED ADR
88031m109
32118
1188667
SH
DFND
1
0
1188667
0
TENARIS S A
SPONSORED ADR
88031m109
989
36591
SH
SOLE
36591
0
0
UNITEDHEALTH GROUP INC
COM
91324p102
5642
46246
SH
DFND
1
0
46246
0
UNITEDHEALTH GROUP INC
COM
91324p102
1913
15678
SH
SOLE
15678
0
0
VAIL RESORTS INC
COM
91879Q109
5906
54075
SH
DFND
1
0
54075
0
VAIL RESORTS INC
COM
91879Q109
293
2682
SH
SOLE
2682
0
0
VALERO ENERGY CORP NEW
COM
91913Y100
16103
257241
SH
SOLE
257241
0
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206c771
20194
382242
SH
DFND
1
0
382242
0
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206c771
44916
850200
SH
SOLE
850200
0
0
VISA INC
COM CL A
92826C839
10931
162835
SH
DFND
1
0
162835
0
WEBMD HEALTH CORP
COM
94770V102
4446
100408
SH
DFND
1
0
100408
0
WPX ENERGY INC
COM
98212B103
5450
443803
SH
DFND
1
0
443803
0
AMDOCS LTD
SHS
G02602103
3893
71316
SH
DFND
1
0
71316
0
AMIRA NATURE FOODS LTD
SHS
G0335L102
656
57062
SH
DFND
1
0
57062
0
ASPEN INSURANCE HOLDINGS L
SHS
G05384105
4674
97581
SH
DFND
1
0
97581
0
ASPEN INSURANCE HOLDINGS L
SHS
G05384105
4172
87099
SH
SOLE
87099
0
0
ACE LTD
SHS
H0023R105
4216
41468
SH
DFND
1
0
41468
0
NIELSEN N V
COM
N63218106
6030
134682
SH
DFND
1
0
134682
0
NIELSEN N V
COM
N63218106
29443
657657
SH
SOLE
657657
0
0