EVP, Director of Business Services

0001451623-20-000004.txt : 20200814 0001451623-20-000004.hdr.sgml : 20200814 20200814104919 ACCESSION NUMBER: 0001451623-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BENJAMIN EDWARDS INC CENTRAL INDEX KEY: 0001451623 IRS NUMBER: 263472087 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19533 FILM NUMBER: 201102489 BUSINESS ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 BUSINESS PHONE: 314-726-1600 MAIL ADDRESS: STREET 1: ONE NORTH BRENTWOOD BOULEVARD STREET 2: SUITE 850 CITY: Clayton STATE: MO ZIP: 63105 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001451623 XXXXXXXX 06-30-2020 06-30-2020 BENJAMIN EDWARDS INC

ONE NORTH BRENTWOOD BOULEVARD SUITE 850 Clayton MO 63105

13F COMBINATION REPORT 028-19533 0001445065 028-15560 BENJAMIN F. EDWARDS & COMPANY, INC. N Christopher M Keller EVP, Director of Business Services 314-726-1600 Christopher M Keller St. Louis MO 08-13-2020 0 369 119884 false INFORMATION TABLE 2 EWM_13FXMLOutput_2020-06-30.xml MEDTRONIC PLC SHS G5960L103 371 4048 SH DFND 0 0 4048 ABBVIE INC COM 00287Y109 65 666 SH DFND 0 0 666 AMERICAN ELEC PWR CO INC COM 025537101 14 175 SH DFND 0 0 175 CELLECTIS S A SPON ADS 15117K103 13 750 SH DFND 0 0 750 DBX ETF TR XTRACK MUN INFRA 233051705 11 390 SH DFND 0 0 390 DELTA AIR LINES INC DEL COM NEW 247361702 3 112 SH DFND 0 0 112 DOUBLELINE INCOME SOLUTIONS COM 258622109 21 1375 SH DFND 0 0 1375 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 14 1930 SH DFND 0 0 1930 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 12 225 SH DFND 0 0 225 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 45 872 SH DFND 0 0 872 ISHARES TR S&P MC 400GR ETF 464287606 12 54 SH DFND 0 0 54 ISHARES TR CORE S&P US VLU 464287663 230 4409 SH DFND 0 0 4409 ISHARES TR IBONDS 27 ETF 46435UAA9 143 5319 SH DFND 0 0 5319 KINDER MORGAN INC DEL COM 49456B101 369 24342 SH DFND 0 0 24342 MASTERCARD INCORPORATED CL A 57636Q104 1319 4461 SH DFND 0 0 4461 NIKE INC CL B 654106103 25 256 SH DFND 0 0 256 NOVARTIS AG SPONSORED ADR 66987V109 17 200 SH DFND 0 0 200 REPUBLIC SVCS INC COM 760759100 1663 20268 SH DFND 0 0 20268 SPDR SER TR PRTFLO S&P500 GW 78464A409 1624 36146 SH DFND 0 0 36146 SPDR SER TR HLTH CR EQUIP 78464A581 43 480 SH DFND 0 0 480 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 125 2125 SH DFND 0 0 2125 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 248 4598 SH DFND 0 0 4598 TERADYNE INC COM 880770102 20 240 SH DFND 0 0 240 UNION PAC CORP COM 907818108 763 4512 SH DFND 0 0 4512 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3027 36622 SH DFND 0 0 36622 WESTERN ASSET INTER MUNI FD COM 958435109 19 2270 SH DFND 0 0 2270 XCEL ENERGY INC COM 98389B100 829 13264 SH DFND 0 0 13264 ZSCALER INC COM 98980G102 14 131 SH DFND 0 0 131 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 54 730 SH DFND 0 0 730 ARK ETF TR ISRAEL INOVATE 00214Q609 5 206 SH DFND 0 0 206 AIR PRODS & CHEMS INC COM 009158106 937 3879 SH DFND 0 0 3879 ALTRIA GROUP INC COM 02209S103 55 1396 SH DFND 0 0 1396 AUTODESK INC COM 052769106 21 89 SH DFND 0 0 89 BAXTER INTL INC COM 071813109 6 70 SH DFND 0 0 70 BLACKROCK INC COM 09247X101 21 38 SH DFND 0 0 38 CHEVRON CORP NEW COM 166764100 16 184 SH DFND 0 0 184 FIRST TR EXCHANGE TRADED FD DOW 30 EQL WGT 33733A201 9 381 SH DFND 0 0 381 FIRST TR VALUE LINE DIVID IN SHS 33734H106 649 21405 SH DFND 0 0 21405 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 46 1213 SH DFND 0 0 1213 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 13 176 SH DFND 0 0 176 FIRST TR NAS100 EQ WEIGHTED SHS 337344105 54 674 SH DFND 0 0 674 FIRST TR EXCH TRD ALPHDX FD DEV MRK EX US 33737J174 56 1197 SH DFND 0 0 1197 FIRST TR EXCHANGE-TRADED FD FST TR GLB FD 33739H101 6 378 SH DFND 0 0 378 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 1753 83465 SH DFND 0 0 83465 INTELLIA THERAPEUTICS INC COM 45826J105 38 1817 SH DFND 0 0 1817 IRIDIUM COMMUNICATIONS INC COM 46269C102 9 344 SH DFND 0 0 344 ISHARES INC MSCI CDA ETF 464286509 5 195 SH DFND 0 0 195 ISHARES TR LNG TR CRPRT BD 464289511 97 1379 SH DFND 0 0 1379 ISHARES TR IBONDS DEC 29 46436E205 114 4258 SH DFND 0 0 4258 JPMORGAN CHASE & CO COM 46625H100 74 790 SH DFND 0 0 790 LANCASTER COLONY CORP COM 513847103 484 3122 SH DFND 0 0 3122 LEIDOS HOLDINGS INC COM 525327102 288 3075 SH DFND 0 0 3075 NANOSTRING TECHNOLOGIES INC COM 63009R109 13 430 SH DFND 0 0 430 PARSONS CORPORATION COM 70202L102 127 3500 SH DFND 0 0 3500 PAYCHEX INC COM 704326107 486 6417 SH DFND 0 0 6417 SPDR S&P 500 ETF TR TR UNIT 78462F103 5 17 SH DFND 0 0 17 SCHWAB CHARLES CORP COM 808513105 5 136 SH DFND 0 0 136 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 10 408 SH DFND 0 0 408 SQUARE INC CL A 852234103 95 902 SH DFND 0 0 902 VANGUARD INDEX FDS SML CP GRW ETF 922908595 50 253 SH DFND 0 0 253 VISA INC COM CL A 92826C839 26 132 SH DFND 0 0 132 SPOTIFY TECHNOLOGY S A SHS L8681T102 12 47 SH DFND 0 0 47 ALPHABET INC CAP STK CL C 02079K107 71 50 SH DFND 0 0 50 BECTON DICKINSON & CO COM 075887109 661 2764 SH DFND 0 0 2764 BRISTOL-MYERS SQUIBB CO COM 110122108 24 404 SH DFND 0 0 404 CITIZENS FINANCIAL GROUP INC COM 174610105 1 47 SH DFND 0 0 47 DOMINION ENERGY INC COM 25746U109 450 5542 SH DFND 0 0 5542 DUKE ENERGY CORP NEW COM NEW 26441C204 6 80 SH DFND 0 0 80 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 58 1547 SH DFND 0 0 1547 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 47 1120 SH DFND 0 0 1120 FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 33739P103 5 110 SH DFND 0 0 110 FIRST TR EXCH TRADED FD III HORIZON MNGD ETF 33739P871 16 556 SH DFND 0 0 556 FIRST TR EXCHANGE-TRADED FD FT STRG INCM ETF 33739Q309 16 350 SH DFND 0 0 350 FIRST TR EXCHNG TRADED FD VI ALT ABSLT STRG 33740Y101 16 628 SH DFND 0 0 628 HENRY JACK & ASSOC INC COM 426281101 801 4355 SH DFND 0 0 4355 HOME DEPOT INC COM 437076102 1378 5501 SH DFND 0 0 5501 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 118 13213 SH DFND 0 0 13213 ISHARES INC MSCI GERMANY ETF 464286806 5 184 SH DFND 0 0 184 ISHARES TR NATIONAL MUN ETF 464288414 25 220 SH DFND 0 0 220 ISHARES TR US AER DEF ETF 464288760 41 248 SH DFND 0 0 248 L3HARRIS TECHNOLOGIES INC COM 502431109 396 2335 SH DFND 0 0 2335 MCDONALDS CORP COM 580135101 891 4832 SH DFND 0 0 4832 MICROSOFT CORP COM 594918104 1067 5242 SH DFND 0 0 5242 NASDAQ INC COM 631103108 721 6039 SH DFND 0 0 6039 NEXTERA ENERGY INC COM 65339F101 2046 8518 SH DFND 0 0 8518 OGE ENERGY CORP COM 670837103 7 238 SH DFND 0 0 238 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 87 2938 SH DFND 0 0 2938 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 34 583 SH DFND 0 0 583 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 70 1237 SH DFND 0 0 1237 SIMON PPTY GROUP INC NEW COM 828806109 68 1000 SH DFND 0 0 1000 SNAP ON INC COM 833034101 596 4301 SH DFND 0 0 4301 US BANCORP DEL COM NEW 902973304 266 7232 SH DFND 0 0 7232 UNILEVER N V N Y SHS NEW 904784709 13 241 SH DFND 0 0 241 VALERO ENERGY CORP COM 91913Y100 6411 109000 SH DFND 0 0 109000 WD-40 CO COM 929236107 380 1918 SH DFND 0 0 1918 XILINX INC COM 983919101 519 5279 SH DFND 0 0 5279 EATON CORP PLC SHS G29183103 8 90 SH DFND 0 0 90 JOHNSON CTLS INTL PLC SHS G51502105 65 1900 SH DFND 0 0 1900 TE CONNECTIVITY LTD REG SHS H84989104 6 77 SH DFND 0 0 77 AMERICAN TOWER CORP NEW COM 03027X100 911 3523 SH DFND 0 0 3523 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 153 855 SH DFND 0 0 855 BOOZ ALLEN HAMILTON HLDG COR CL A 099502106 544 6993 SH DFND 0 0 6993 CASEYS GEN STORES INC COM 147528103 972 6500 SH DFND 0 0 6500 CISCO SYS INC COM 17275R102 593 12707 SH DFND 0 0 12707 COMMERCE BANCSHARES INC COM 200525103 805 13534 SH DFND 0 0 13534 CONSTELLATION BRANDS INC CL A 21036P108 7 40 SH DFND 0 0 40 DOLLAR GEN CORP NEW COM 256677105 447 2344 SH DFND 0 0 2344 ETF SER SOLUTIONS US GLB JETS 26922A842 10 575 SH DFND 0 0 575 FIDELITY NATL INFORMATION SV COM 31620M106 622 4641 SH DFND 0 0 4641 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 224 2921 SH DFND 0 0 2921 GENERAL DYNAMICS CORP COM 369550108 0 2 SH DFND 0 0 2 INVESCO EXCH TRADED FD TR II FNDMNTL HY CRP 46138E719 80 4396 SH DFND 0 0 4396 ISHARES TR MBS ETF 464288588 2675 24168 SH DFND 0 0 24168 ISHARES TR IBONDS DEC 26 46435U259 4 133 SH DFND 0 0 133 ISHARES TR IBDS DEC28 ETF 46435U515 144 4985 SH DFND 0 0 4985 ISHARES TR IBONDS DEC 46435U697 4 132 SH DFND 0 0 132 KIMBERLY CLARK CORP COM 494368103 1021 7225 SH DFND 0 0 7225 LILLY ELI & CO COM 532457108 11 69 SH DFND 0 0 69 M & T BK CORP COM 55261F104 4 37 SH DFND 0 0 37 MAIN STR CAP CORP COM 56035L104 489 15718 SH DFND 0 0 15718 NUVEEN MORTGAGE AND INCOME F COM 670735109 417 21324 SH DFND 0 0 21324 PAGERDUTY INC COM 69553P100 15 521 SH DFND 0 0 521 PROCTER AND GAMBLE CO COM 742718109 40 333 SH DFND 0 0 333 REALTY INCOME CORP COM 756109104 701 11775 SH DFND 0 0 11775 SPDR SER TR S&P REGL BKG 78464A698 71 1857 SH DFND 0 0 1857 SPDR SER TR BLOOMBERG BRCLYS 78468R622 45 449 SH DFND 0 0 449 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 54 544 SH DFND 0 0 544 SERES THERAPEUTICS INC COM 81750R102 6 1334 SH DFND 0 0 1334 SIXTH STREET SPECIALTY LENDN COM 83012A109 503 30482 SH DFND 0 0 30482 TRAVELERS COMPANIES INC COM 89417E109 6 55 SH DFND 0 0 55 VANECK VECTORS ETF TR AMT FREE SHORT M 92189F528 74 4098 SH DFND 0 0 4098 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 8 100 SH DFND 0 0 100 WISDOMTREE TR US MIDCAP DIVID 97717W505 935 33001 SH DFND 0 0 33001 AUTOMATIC DATA PROCESSING IN COM 053015103 948 6365 SH DFND 0 0 6365 COMCAST CORP NEW CL A 20030N101 334 8565 SH DFND 0 0 8565 CONOCOPHILLIPS COM 20825C104 13 300 SH DFND 0 0 300 DBX ETF TR XTRACK HRVST CSI 233051879 5 171 SH DFND 0 0 171 ETF SER SOLUTIONS DEFIANCE NEXT 26922A289 7 240 SH DFND 0 0 240 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 41 1596 SH DFND 0 0 1596 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 107 3530 SH DFND 0 0 3530 FIRST TR EXCHANGE-TRADED FD BUYWRIT INCM ETF 33738R308 29 1496 SH DFND 0 0 1496 FRANKLIN TEMPLETON ETF TR FTSE UNTD KGDM 35473P678 5 258 SH DFND 0 0 258 HONEYWELL INTL INC COM 438516106 7 47 SH DFND 0 0 47 INVESCO EXCHANGE-TRADED FD T VAR RATE PFD 46138G870 462 19727 SH DFND 0 0 19727 IRON MTN INC NEW COM 46284V101 3 113 SH DFND 0 0 113 ISHARES TR CORE S&P500 ETF 464287200 78 252 SH DFND 0 0 252 ISHARES TR CORE S&P SCP ETF 464287804 34 493 SH DFND 0 0 493 ISHARES TR IBOXX HI YD ETF 464288513 313 3829 SH DFND 0 0 3829 ISHARES TR SH TR CRPORT ETF 464288646 2887 52764 SH DFND 0 0 52764 ISHARES TR 3 7 YR TREAS BD 464288661 0 0 SH DFND 0 0 0 ISHARES TR IBONDS DEC20 ETF 46434VAQ3 107 4206 SH DFND 0 0 4206 ISHARES TR IBONDS DEC2026 46435GAA0 118 4415 SH DFND 0 0 4415 JOHNSON & JOHNSON COM 478160104 1290 9176 SH DFND 0 0 9176 ONEOK INC NEW COM 682680103 473 14252 SH DFND 0 0 14252 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 66 3605 SH DFND 0 0 3605 PUBLIC SVC ENTERPRISE GRP IN COM 744573106 27 558 SH DFND 0 0 558 STORE CAP CORP COM 862121100 545 22874 SH DFND 0 0 22874 STRYKER CORPORATION COM 863667101 674 3741 SH DFND 0 0 3741 THOMSON REUTERS CORP. COM NEW 884903709 426 6269 SH DFND 0 0 6269 UNITEDHEALTH GROUP INC COM 91324P102 500 1695 SH DFND 0 0 1695 V F CORP COM 918204108 727 11936 SH DFND 0 0 11936 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 24 409 SH DFND 0 0 409 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 52 313 SH DFND 0 0 313 VANGUARD INDEX FDS VALUE ETF 922908744 50 500 SH DFND 0 0 500 WALGREENS BOOTS ALLIANCE INC COM 931427108 372 8785 SH DFND 0 0 8785 BROOKFIELD PROPERTY PARTRS L UNIT LTD PARTN G16249107 40 4000 SH DFND 0 0 4000 STERIS PLC SHS USD G8473T100 1084 7065 SH DFND 0 0 7065 AMGEN INC COM 031162100 4 18 SH DFND 0 0 18 APPLE INC COM 037833100 3379 9262 SH DFND 0 0 9262 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 625 4949 SH DFND 0 0 4949 DEERE & CO COM 244199105 665 4233 SH DFND 0 0 4233 EQUITRANS MIDSTREAM CORP COM 294600101 162 19491 SH DFND 0 0 19491 FIRST TR NASDAQ-100 TECH IND NY ARCA BIOTECH 33733E203 158 939 SH DFND 0 0 939 FIRST TR STOXX EUROPEAN SELE COMMON SHS 33735T109 32 3038 SH DFND 0 0 3038 FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 33737M102 47 979 SH DFND 0 0 979 FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 33739P301 97 1915 SH DFND 0 0 1915 ISHARES INC MSCI FRANCE ETF 464286707 5 183 SH DFND 0 0 183 ISHARES TR CORE US AGGBD ET 464287226 1638 13859 SH DFND 0 0 13859 ISHARES TR S&P MC 400VL ETF 464287705 10 73 SH DFND 0 0 73 ISHARES TR U.S. MED DVC ETF 464288810 109 413 SH DFND 0 0 413 ISHARES TR IBONDS DEC 27 46435U283 4 132 SH DFND 0 0 132 MARATHON OIL CORP COM 565849106 2 300 SH DFND 0 0 300 MERCADOLIBRE INC COM 58733R102 12 12 SH DFND 0 0 12 PPG INDS INC COM 693506107 6 55 SH DFND 0 0 55 PEPSICO INC COM 713448108 392 2963 SH DFND 0 0 2963 PFIZER INC COM 717081103 420 12848 SH DFND 0 0 12848 PHILIP MORRIS INTL INC COM 718172109 7 100 SH DFND 0 0 100 PHILLIPS 66 COM 718546104 10 136 SH DFND 0 0 136 PROSHARES TR SHORT S&P 500 NE 74347B425 7 325 SH DFND 0 0 325 PROSPERITY BANCSHARES INC COM 743606105 496 8360 SH DFND 0 0 8360 PURE STORAGE INC CL A 74624M102 15 881 SH DFND 0 0 881 SCHWAB STRATEGIC TR US REIT ETF 808524847 24 694 SH DFND 0 0 694 SELECT SECTOR SPDR TR ENERGY 81369Y506 42 1121 SH DFND 0 0 1121 3M CO COM 88579Y101 48 310 SH DFND 0 0 310 VANECK VECTORS ETF TR PFD SECS EX FINL 92189F429 0 1 SH DFND 0 0 1 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 50 781 SH DFND 0 0 781 WILLIAMS COS INC COM 969457100 442 23222 SH DFND 0 0 23222 ALPS ETF TR ALERIAN MLP 00162Q452 433 17547 SH DFND 0 0 17547 AMERICOLD RLTY TR COM 03064D108 572 15760 SH DFND 0 0 15760 ASTRAZENECA PLC SPONSORED ADR 046353108 16 300 SH DFND 0 0 300 CME GROUP INC COM 12572Q105 14 87 SH DFND 0 0 87 COCA COLA CO COM 191216100 1215 27195 SH DFND 0 0 27195 CROWN CASTLE INTL CORP NEW COM 22822V101 390 2330 SH DFND 0 0 2330 EDITAS MEDICINE INC COM 28106W103 27 912 SH DFND 0 0 912 EVERGY INC COM 30034W106 17 285 SH DFND 0 0 285 EXXON MOBIL CORP COM 30231G102 486 10863 SH DFND 0 0 10863 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 130 1555 SH DFND 0 0 1555 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 21 1058 SH DFND 0 0 1058 FIRST TR EXCH TRADED FD III EME MRK BD ETF 33739P202 8 242 SH DFND 0 0 242 FORD MTR CO DEL COM 345370860 3 500 SH DFND 0 0 500 GALLAGHER ARTHUR J & CO COM 363576109 967 9918 SH DFND 0 0 9918 ILLUMINA INC COM 452327109 55 148 SH DFND 0 0 148 INTERCONTINENTAL EXCHANGE IN COM 45866F104 341 3719 SH DFND 0 0 3719 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 592 16731 SH DFND 0 0 16731 ISHARES TR 20 YR TR BD ETF 464287432 255 1558 SH DFND 0 0 1558 ISHARES TR NASDAQ BIOTECH 464287556 128 938 SH DFND 0 0 938 ISHARES TR GLB INFRASTR ETF 464288372 67 1737 SH DFND 0 0 1737 ISHARES INC CORE MSCI EMKT 46434G103 91 1922 SH DFND 0 0 1922 ISHARES TR IBONDS 28 TRM TS 46436E833 121 4537 SH DFND 0 0 4537 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 11 831 SH DFND 0 0 831 MPLX LP COM UNIT REP LTD 55336V100 1 55 SH DFND 0 0 55 NORTHROP GRUMMAN CORP COM 666807102 7 24 SH DFND 0 0 24 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 4 378 SH DFND 0 0 378 PROGRESSIVE CORP OHIO COM 743315103 360 4497 SH DFND 0 0 4497 ROKU INC COM CL A 77543R102 35 303 SH DFND 0 0 303 ROSS STORES INC COM 778296103 10 116 SH DFND 0 0 116 SPDR SER TR S&P 400 MDCP VAL 78464A839 835 19598 SH DFND 0 0 19598 SHELL MIDSTREAM PARTNERS L P UNIT LTD INT 822634101 18 1500 SH DFND 0 0 1500 SHERWIN WILLIAMS CO COM 824348106 1094 1894 SH DFND 0 0 1894 SPLUNK INC COM 848637104 32 160 SH DFND 0 0 160 UNILEVER PLC SPON ADR NEW 904767704 7 133 SH DFND 0 0 133 ZILLOW GROUP INC CL C CAP STK 98954M200 34 586 SH DFND 0 0 586 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 62 2500 SH DFND 0 0 2500 CENTERPOINT ENERGY INC COM 15189T107 58 3100 SH DFND 0 0 3100 DISNEY WALT CO COM DISNEY 254687106 16 141 SH DFND 0 0 141 ENBRIDGE INC COM 29250N105 6 195 SH DFND 0 0 195 ENZO BIOCHEM INC COM 294100102 1 300 SH DFND 0 0 300 FIRST TR NASDAQ-100 TECH IND CAP STRENGTH ETF 33733E104 147 2516 SH DFND 0 0 2516 FIRST TR NASDAQ-100 TECH IND DJ INTERNT IDX 33733E302 94 553 SH DFND 0 0 553 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 72 801 SH DFND 0 0 801 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 83 3963 SH DFND 0 0 3963 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 12 276 SH DFND 0 0 276 FIRST TR EXCHANGE-TRADED FD MNGD FUTRS STRGY 33739G103 13 294 SH DFND 0 0 294 FIRST TR EXCH TRADED FD III MANAGD MUN ETF 33739N108 181 3282 SH DFND 0 0 3282 ISHARES SILVER TR ISHARES 46428Q109 40 2342 SH DFND 0 0 2342 ISHARES INC MSCI BRAZIL ETF 464286400 76 2639 SH DFND 0 0 2639 ISHARES TR MSCI MIN VOL ETF 46429B697 1188 19593 SH DFND 0 0 19593 ISHARES TR IBONDS DEC22 ETF 46434VBA7 235 9138 SH DFND 0 0 9138 ISHARES TR IBONDS DEC24 ETF 46434VBG4 113 4298 SH DFND 0 0 4298 ISHARES TR IBONDS 29 TRM TS 46436E825 120 4520 SH DFND 0 0 4520 ISHARES TR IBONDS 26 TRM TS 46436E858 121 4586 SH DFND 0 0 4586 LOCKHEED MARTIN CORP COM 539830109 26 70 SH DFND 0 0 70 MORGAN STANLEY COM NEW 617446448 29 600 SH DFND 0 0 600 NVIDIA CORPORATION COM 67066G104 7 18 SH DFND 0 0 18 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 128 21918 SH DFND 0 0 21918 PRINCIPAL EXCHANGE-TRADED FD SPECTRUM PFD 74255Y888 853 8782 SH DFND 0 0 8782 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 281 2693 SH DFND 0 0 2693 STARBUCKS CORP COM 855244109 32 437 SH DFND 0 0 437 SYSCO CORP COM 871829107 6 117 SH DFND 0 0 117 TJX COS INC NEW COM 872540109 8 149 SH DFND 0 0 149 TESLA INC COM 88160R101 103 95 SH DFND 0 0 95 TRACTOR SUPPLY CO COM 892356106 1550 11760 SH DFND 0 0 11760 2U INC COM 90214J101 44 1156 SH DFND 0 0 1156 VANECK VECTORS ETF TR AMT FREE LONG MU 92189F536 11 525 SH DFND 0 0 525 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1031 9698 SH DFND 0 0 9698 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1463 15381 SH DFND 0 0 15381 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 39 410 SH DFND 0 0 410 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 471 5998 SH DFND 0 0 5998 WALMART INC COM 931142103 1232 10289 SH DFND 0 0 10289 TRANE TECHNOLOGIES PLC SHS G8994E103 5 59 SH DFND 0 0 59 STRATASYS LTD SHS M85548101 27 1692 SH DFND 0 0 1692 AT&T INC COM 00206R102 563 18640 SH DFND 0 0 18640 ARK ETF TR INNOVATION ETF 00214Q104 150 2109 SH DFND 0 0 2109 AEROVIRONMENT INC COM 008073108 2 25 SH DFND 0 0 25 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 6 27 SH DFND 0 0 27 APTARGROUP INC COM 038336103 908 8110 SH DFND 0 0 8110 BP PLC SPONSORED ADR 055622104 9 400 SH DFND 0 0 400 CVS HEALTH CORP COM 126650100 7 109 SH DFND 0 0 109 DIGITAL RLTY TR INC COM 253868103 194 1365 SH DFND 0 0 1365 DOW INC COM 260557103 73 1800 SH DFND 0 0 1800 FIRST TR MORNINGSTAR DIVID L SHS 336917109 66 2589 SH DFND 0 0 2589 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 1 17 SH DFND 0 0 17 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 106 2326 SH DFND 0 0 2326 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 43 939 SH DFND 0 0 939 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 72 2327 SH DFND 0 0 2327 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 94 1717 SH DFND 0 0 1717 GILEAD SCIENCES INC COM 375558103 806 10472 SH DFND 0 0 10472 GLACIER BANCORP INC NEW COM 37637Q105 502 14222 SH DFND 0 0 14222 HOULIHAN LOKEY INC CL A 441593100 20 360 SH DFND 0 0 360 ILLINOIS TOOL WKS INC COM 452308109 1139 6517 SH DFND 0 0 6517 INGERSOLL RAND INC COM 45687V106 1 52 SH DFND 0 0 52 INTEL CORP COM 458140100 24 400 SH DFND 0 0 400 INTERNATIONAL BUSINESS MACHS COM 459200101 1058 8762 SH DFND 0 0 8762 INVESCO EXCH TRADED FD TR II FNDMNTL IG CRP 46138E693 1391 51184 SH DFND 0 0 51184 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 348 14945 SH DFND 0 0 14945 INVITAE CORP COM 46185L103 67 2217 SH DFND 0 0 2217 ISHARES TR S&P 500 GRWT ETF 464287309 49 238 SH DFND 0 0 238 ISHARES TR BARCLAYS 7 10 YR 464287440 56 458 SH DFND 0 0 458 ISHARES TR CORE S&P US GWT 464287671 276 3840 SH DFND 0 0 3840 ISHARES TR INTRM TR CRP ETF 464288638 1232 20399 SH DFND 0 0 20399 ISHARES TR 10-20 YR TRS ETF 464288653 170 1016 SH DFND 0 0 1016 ISHARES TR PFD AND INCM SEC 464288687 892 25746 SH DFND 0 0 25746 ISHARES TR NEW ZEALAND ETF 464289123 27 479 SH DFND 0 0 479 ISHARES INC MSCI TAIWAN ETF 46434G772 81 2014 SH DFND 0 0 2014 ISHARES TR IBONDS DEC23 ETF 46434VAX8 148 5659 SH DFND 0 0 5659 ISHARES TR IBONDS DEC25 ETF 46434VBD1 531 19682 SH DFND 0 0 19682 ISHARES TR IBONDS DEC21 ETF 46434VBK5 231 9193 SH DFND 0 0 9193 ISHARES TR IBONDS DEC 25 46435U432 4 128 SH DFND 0 0 128 LENDINGTREE INC NEW COM 52603B107 31 108 SH DFND 0 0 108 LOWES COS INC COM 548661107 39 289 SH DFND 0 0 289 MFS MUN INCOME TR SH BEN INT 552738106 14 2300 SH DFND 0 0 2300 MERCK & CO. INC COM 58933Y105 617 7977 SH DFND 0 0 7977 MONDELEZ INTL INC CL A 609207105 8 160 SH DFND 0 0 160 NUVEEN SELECT TAX FREE INCOM SH BEN INT 67063C106 25 1700 SH DFND 0 0 1700 PHILLIPS 66 PARTNERS LP COM UNIT REP INT 718549207 7 200 SH DFND 0 0 200 PINTEREST INC CL A 72352L106 19 857 SH DFND 0 0 857 PUTNAM MANAGED MUN INCOME TR COM 746823103 40 5400 SH DFND 0 0 5400 QTS RLTY TR INC COM CL A 74736A103 11 179 SH DFND 0 0 179 SPDR SER TR S&P 600 SMCP VAL 78464A300 149 3029 SH DFND 0 0 3029 SPDR SER TR PRTFLO S&P500 VL 78464A508 971 33496 SH DFND 0 0 33496 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 2182 42264 SH DFND 0 0 42264 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 50 896 SH DFND 0 0 896 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1051 4897 SH DFND 0 0 4897 ABBOTT LABS COM 002824100 29 314 SH DFND 0 0 314 AMAZON COM INC COM 023135106 276 100 SH DFND 0 0 100 AMERICAN EXPRESS CO COM 025816109 2 23 SH DFND 0 0 23 ASSURANT INC COM 04621X108 524 5073 SH DFND 0 0 5073 CDK GLOBAL INC COM 12508E101 4 86 SH DFND 0 0 86 COLGATE PALMOLIVE CO COM 194162103 400 5460 SH DFND 0 0 5460 COSTCO WHSL CORP NEW COM 22160K105 717 2365 SH DFND 0 0 2365 EVERSOURCE ENERGY COM 30040W108 34 408 SH DFND 0 0 408 FIDELITY COVINGTON TR MSCI CONSM DIS 316092204 298 5731 SH DFND 0 0 5731 FIRST TR EXCHANGE-TRADED FD NASDAQ BK ETF 33738R860 10 545 SH DFND 0 0 545 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 2171 117837 SH DFND 0 0 117837 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 5 88 SH DFND 0 0 88 FRANKLIN TEMPLETON ETF TR FRANKLN SWZLND 35473P694 5 185 SH DFND 0 0 185 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1797 127239 SH DFND 0 0 127239 ISHARES GOLD TRUST ISHARES 464285105 1087 63953 SH DFND 0 0 63953 ISHARES TR IBOXX INV CP ETF 464287242 1038 7717 SH DFND 0 0 7717 ISHARES TR S&P 500 VAL ETF 464287408 36 331 SH DFND 0 0 331 ISHARES TR 1 3 YR TREAS BD 464287457 79 907 SH DFND 0 0 907 ISHARES TR IBONDS DEC 28 46435U325 4 131 SH DFND 0 0 131 ISHARES TR IBONDS 27 TRM TS 46436E841 120 4566 SH DFND 0 0 4566 LULULEMON ATHLETICA INC COM 550021109 11 35 SH DFND 0 0 35 MCCORMICK & CO INC COM NON VTG 579780206 892 4973 SH DFND 0 0 4973 PEOPLES UNITED FINANCIAL INC COM 712704105 256 22130 SH DFND 0 0 22130 PIMCO DYNAMIC INCOME FD SHS 72201Y101 110 4460 SH DFND 0 0 4460 PROTO LABS INC COM 743713109 37 325 SH DFND 0 0 325 QUALCOMM INC COM 747525103 1048 11494 SH DFND 0 0 11494 SPDR SER TR S&P 600 SMCP GRW 78464A201 228 4024 SH DFND 0 0 4024 SPDR SER TR S&P 400 MDCP GRW 78464A821 1301 24193 SH DFND 0 0 24193 SALESFORCE COM INC COM 79466L302 14 74 SH DFND 0 0 74 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 35 664 SH DFND 0 0 664 SPIRE INC COM 84857L101 298 4531 SH DFND 0 0 4531 STEEL DYNAMICS INC COM 858119100 5 200 SH DFND 0 0 200 STONECASTLE FINL CORP COM 861780104 143 8996 SH DFND 0 0 8996 TWITTER INC COM 90184L102 7 248 SH DFND 0 0 248 VANGUARD INDEX FDS SM CP VAL ETF 922908611 39 365 SH DFND 0 0 365 VERIZON COMMUNICATIONS INC COM 92343V104 1208 21904 SH DFND 0 0 21904 WATSCO INC COM 942622200 1413 7949 SH DFND 0 0 7949 WYNN RESORTS LTD COM 983134107 2 21 SH DFND 0 0 21 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 420 3286 SH DFND 0 0 3286 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 41 597 SH DFND 0 0 597 TELADOC HEALTH INC COM 87918A105 6 32 SH DFND 0 0 32 TORO CO COM 891092108 411 6191 SH DFND 0 0 6191 VANGUARD INDEX FDS GROWTH ETF 922908736 71 350 SH DFND 0 0 350 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 36 2250 SH DFND 0 0 2250 WEC ENERGY GROUP INC COM 92939U106 816 9311 SH DFND 0 0 9311 WASTE MGMT INC DEL COM 94106L109 19 180 SH DFND 0 0 180