0001463217-20-000001.txt : 20200214 0001463217-20-000001.hdr.sgml : 20200214 20200214141756 ACCESSION NUMBER: 0001463217-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC CENTRAL INDEX KEY: 0001463217 IRS NUMBER: 270493248 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13508 FILM NUMBER: 20617933 BUSINESS ADDRESS: STREET 1: 620 NEWPORT CENTER DRIVE STREET 2: SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 949-999-8500 MAIL ADDRESS: STREET 1: 620 NEWPORT CENTER DRIVE STREET 2: SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPTIAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20130814 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS, LLC DATE OF NAME CHANGE: 20110509 FORMER COMPANY: FORMER CONFORMED NAME: UNITED CAPITAL FINANCIAL ADVISERS,INC. DATE OF NAME CHANGE: 20090501 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001463217 XXXXXXXX 12-31-2019 12-31-2019 UNITED CAPITAL FINANCIAL ADVISERS, LLC

620 NEWPORT CENTER DRIVE SUITE 500 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-13508 N Michael Herman 949-999-8500 michael.herman@gs.com Newport Beach CA 02-14-2020 3 1368 15500435 false 1 0000886982 028-04981 GOLDMAN SACHS GROUP INC 2 IMD Holdings, LLC 3 0001372312 028-13541 United Capital Financial Partners, Inc INFORMATION TABLE 2 ucfa13hrit12312019.xml 22nd Century Group Inc Common Stock 90137F103 25 22577 SH DFND 1,2,3 0 0 22577 3M Co Common Stock 88579Y101 45198 256196 SH DFND 1,2,3 10129 0 246067 ABB Ltd Common Stock 000375204 989 41064 SH DFND 1,2,3 534 0 40530 Abbott Laboratories Common Stock 002824100 57690 664171 SH DFND 1,2,3 20855 0 643316 AbbVie Inc Common Stock 00287Y109 47023 531090 SH DFND 1,2,3 51727 0 479363 Aberdeen Asia-Pacific Income Closed End Funds 003009107 84 19831 SH DFND 1,2,3 6521 0 13310 ABERDEEN PHYSICAL SWISS GOLD ETF Exchange Traded Fund 00326A104 395 27010 SH DFND 1,2,3 0 0 27010 ACADIA Pharmaceuticals Inc Common Stock 004225108 803 18762 SH DFND 1,2,3 0 0 18762 Accenture PLC A Common Stock G1151C101 37598 178555 SH DFND 1,2,3 35977 0 142579 Activision Blizzard Inc Common Stock 00507V109 2077 34962 SH DFND 1,2,3 169 0 34793 Acuity Brands Inc Common Stock 00508Y102 1229 8908 SH DFND 1,2,3 46 0 8862 Adobe Systems Inc Common Stock 00724F101 14638 44384 SH DFND 1,2,3 2124 0 42260 Adobe Systems Inc Common Stock 00724F101 693 21 SH Put DFND 1,2,3 0 0 21 Advanced Energy Industries Inc Common Stock 007973100 235 3300 SH DFND 1,2,3 0 0 3300 Advanced Micro Devices Inc Common Stock 007903107 6541 142638 SH DFND 1,2,3 514 0 142124 Aegon NV Common Stock 007924103 62 13760 SH DFND 1,2,3 0 0 13760 AerCap Holdings NV Common Stock N00985106 2890 47016 SH DFND 1,2,3 13273 0 33743 Affiliated Managers Group Inc Common Stock 008252108 367 4326 SH DFND 1,2,3 57 0 4269 Aflac Inc Common Stock 001055102 14838 280497 SH DFND 1,2,3 4698 0 275799 Agilent Technologies Inc Common Stock 00846U101 3365 39447 SH DFND 1,2,3 4048 0 35399 Agnico Eagle Mines Ltd Common Stock 008474108 287 4666 SH DFND 1,2,3 580 0 4086 Air Products & Chemicals Inc Common Stock 009158106 7523 32014 SH DFND 1,2,3 1159 0 30855 Akamai Technologies Inc Common Stock 00971T101 4351 50365 SH DFND 1,2,3 3608 0 46757 Alamos Gold Inc Common Stock 011532108 181 30004 SH DFND 1,2,3 0 0 30004 Alarm.com Holdings Inc Common Stock 011642105 366 8526 SH DFND 1,2,3 0 0 8526 Alaska Air Group Inc Common Stock 011659109 845 12466 SH DFND 1,2,3 5772 0 6694 Albemarle Corp Common Stock 012653101 243 3333 SH DFND 1,2,3 87 0 3246 Alcon Inc Ord Shs Common Stock H01301128 4543 80310 SH DFND 1,2,3 4216 0 76094 Alerian MLP ETF Exchange Traded Fund 00162Q866 842 99012 SH DFND 1,2,3 7300 0 91712 Alexandria Real Estate Equities Inc Common Stock 015271109 1891 11704 SH DFND 1,2,3 167 0 11537 Alexco Resource Corp Common Stock 01535P106 174 75000 SH DFND 1,2,3 0 0 75000 Alibaba Group Holding Ltd ADR Common Stock 01609W102 11559 54497 SH DFND 1,2,3 2477 0 52020 Align Technology Inc Common Stock 016255101 4955 17756 SH DFND 1,2,3 3842 0 13914 Allegion PLC Common Stock G0176J109 238 1911 SH DFND 1,2,3 0 0 1911 Allergan plc Common Stock G0177J108 766 4008 SH DFND 1,2,3 52 0 3956 AllianceBernstein Glb High Inc Closed End Funds 01879R106 176 14505 SH DFND 1,2,3 0 0 14505 AllianceBernstein Holding LP Common Stock 01881G106 5792 191400 SH DFND 1,2,3 0 0 191400 Alliant Energy Corp Common Stock 018802108 400 7316 SH DFND 1,2,3 42 0 7274 AllianzGI Equity & Conv Inc Closed End Funds 018829101 1060 46765 SH DFND 1,2,3 379 0 46386 Allstate Corp Common Stock 020002101 4118 36624 SH DFND 1,2,3 1491 0 35133 Alphabet Inc A Common Stock 02079K305 97135 72522 SH DFND 1,2,3 6528 0 65994 Alphabet Inc C Common Stock 02079K107 84940 63529 SH DFND 1,2,3 10776 0 52753 ALPS Medical Breakthroughs ETF Exchange Traded Fund 00162Q593 209 4950 SH DFND 1,2,3 0 0 4950 ALPS Sector Dividend Dogs ETF Exchange Traded Fund 00162Q858 23804 508298 SH DFND 1,2,3 16230 0 492068 Alteryx Inc - Class A Common Stock 02156B103 484 4837 SH DFND 1,2,3 0 0 4837 Altria Group Inc Common Stock 02209S103 7812 156518 SH DFND 1,2,3 14518 0 142001 Amarin Corp PLC ADR Common Stock 023111206 285 13315 SH DFND 1,2,3 1267 0 12048 Amazon.com Inc Common Stock 023135106 52751 28548 SH DFND 1,2,3 2169 0 26379 Amazon.com Inc Common Stock 023135106 924 5 SH Call DFND 1,2,3 0 0 5 Ambev SA Common Stock 02319V103 3911 839324 SH DFND 1,2,3 44223 0 795101 Amcor PLC Common Stock G0250X107 173 15959 SH DFND 1,2,3 464 0 15495 Ameren Corp Common Stock 023608102 634 8255 SH DFND 1,2,3 28 0 8227 America Movil SAB de CV Common Stock 02364W105 360 22472 SH DFND 1,2,3 0 0 22472 American Airlines Group Inc Common Stock 02376R102 430 14998 SH DFND 1,2,3 253 0 14745 American Campus Communities Inc Common Stock 024835100 263 5596 SH DFND 1,2,3 0 0 5596 American Eagle Outfitters Inc Common Stock 02553E106 2178 148148 SH DFND 1,2,3 22430 0 125718 American Electric Power Co Inc Common Stock 025537101 14650 155005 SH DFND 1,2,3 1346 0 153659 American Express Co Common Stock 025816109 23150 185962 SH DFND 1,2,3 47382 0 138580 American Finance Trust Inc Common Stock 02607T109 499 37598 SH DFND 1,2,3 481 0 37117 American Homes 4 Rent Common Stock 02665T306 451 17206 SH DFND 1,2,3 254 0 16952 American International Group Inc Common Stock 026874156 9098 884986 SH DFND 1,2,3 86600 0 798386 American International Group Inc Common Stock 026874784 11959 232991 SH DFND 1,2,3 6137 0 226854 American Tower Corp Common Stock 03027X100 32988 143537 SH DFND 1,2,3 41388 0 102149 American Vanguard Corp Common Stock 030371108 1264 64946 SH DFND 1,2,3 0 0 64946 American Water Works Co Inc Common Stock 030420103 474 3856 SH DFND 1,2,3 218 0 3638 Americold Realty Trust Common Stock 03064D108 758 21614 SH DFND 1,2,3 372 0 21242 Ameriprise Financial Inc Common Stock 03076C106 885 5314 SH DFND 1,2,3 119 0 5195 AmerisourceBergen Corp Common Stock 03073E105 3895 45818 SH DFND 1,2,3 8490 0 37328 AMETEK Inc Common Stock 031100100 281 2815 SH DFND 1,2,3 44 0 2771 Amgen Inc Common Stock 031162100 53460 221759 SH DFND 1,2,3 4894 0 216865 Amkor Technology Inc Common Stock 031652100 267 20528 SH DFND 1,2,3 121 0 20407 Amphenol Corp Common Stock 032095101 276 2551 SH DFND 1,2,3 103 0 2448 Ampio Pharmaceuticals Inc Common Stock 03209T109 28 47698 SH DFND 1,2,3 0 0 47698 Amplify High Income ETF Exchange Traded Fund 032108847 493 27653 SH DFND 1,2,3 19578 0 8075 Analog Devices Inc Common Stock 032654105 2627 22104 SH DFND 1,2,3 1013 0 21091 Anaplan Inc Common Stock 03272L108 837 15978 SH DFND 1,2,3 152 0 15826 Anheuser-Busch InBev SA/NV Common Stock 03524A108 514 6269 SH DFND 1,2,3 307 0 5962 Annaly Capital Management Inc Common Stock 035710409 1051 111542 SH DFND 1,2,3 39509 0 72033 Ansys Inc Common Stock 03662Q105 246 955 SH DFND 1,2,3 236 0 719 Antero Midstream Corp Common Stock 03676B102 551 72613 SH DFND 1,2,3 20000 0 52613 Anthem Inc Common Stock 036752103 2735 9054 SH DFND 1,2,3 188 0 8866 Aon PLC Common Stock G0408V102 2257 10834 SH DFND 1,2,3 486 0 10348 Apollo Commercial Real Estate Finance Inc Common Stock 03762U105 1217 66533 SH DFND 1,2,3 614 0 65919 Apollo Global Management Inc Common Stock 03768E105 648 13573 SH DFND 1,2,3 380 0 13193 AppFolio Inc Common Stock 03783C100 1192 10838 SH DFND 1,2,3 0 0 10838 Apple Inc Common Stock 037833100 452172 1539834 SH DFND 1,2,3 197110 0 1342724 Apple Inc Common Stock 037833100 294 10 SH Call DFND 1,2,3 10 0 0 Apple Inc Common Stock 037833100 411 14 SH Put DFND 1,2,3 0 0 14 Applied Materials Inc Common Stock 038222105 2392 39191 SH DFND 1,2,3 696 0 38495 AptarGroup Inc Common Stock 038336103 499 4320 SH DFND 1,2,3 34 0 4286 Aptiv PLC Common Stock G6095L109 5110 53804 SH DFND 1,2,3 269 0 53535 Aqua America Inc Common Stock 03836W103 713 15181 SH DFND 1,2,3 567 0 14614 Archer-Daniels Midland Co Common Stock 039483102 225 4861 SH DFND 1,2,3 19 0 4842 Arcturus Therapeutics Holdings Inc Common Stock 03969T109 322 29600 SH DFND 1,2,3 0 0 29600 Ares Capital Corp Common Stock 04010L103 3074 164830 SH DFND 1,2,3 2288 0 162542 ARK Autonomous Technology&Robotics ETF Exchange Traded Fund 00214Q203 271 7297 SH DFND 1,2,3 0 0 7297 Arrowhead Pharmaceuticals Inc Common Stock 04280A100 322 5079 SH DFND 1,2,3 8 0 5071 Arthur J. Gallagher & Co Common Stock 363576109 25887 271837 SH DFND 1,2,3 9768 0 262069 ASML Holding NV Common Stock N07059210 19124 64620 SH DFND 1,2,3 18213 0 46406 Aspen Technology Inc Common Stock 045327103 3474 28728 SH DFND 1,2,3 142 0 28586 Assurant Inc Common Stock 04621X108 416 3173 SH DFND 1,2,3 38 0 3135 Astrazeneca Plc Each Ads Representing 1/2 Of An Ordinary Share Common Stock 046353108 1655 33189 SH DFND 1,2,3 1310 0 31879 AT&T Inc Common Stock 00206R102 59999 1535297 SH DFND 1,2,3 110094 0 1425202 Atlantic Capital Bancshares Inc Common Stock 048269203 184 10000 SH DFND 1,2,3 0 0 10000 Atlantic Union Bankshares Corp Common Stock 04911A107 563 15000 SH DFND 1,2,3 0 0 15000 Atlantica yield plc Common Stock G0751N103 7518 284871 SH DFND 1,2,3 59485 0 225386 Atlassian Corporation PLC Common Stock G06242104 218 1812 SH DFND 1,2,3 1 0 1811 Atmos Energy Corp Common Stock 049560105 238 2127 SH DFND 1,2,3 283 0 1844 Aurora Cannabis Inc Common Stock 05156X108 49 22469 SH DFND 1,2,3 350 0 22119 Autodesk Inc Common Stock 052769106 3356 18291 SH DFND 1,2,3 205 0 18086 Automatic Data Processing Inc Common Stock 053015103 4051 23758 SH DFND 1,2,3 1440 0 22318 AutoZone Inc Common Stock 053332102 3070 2577 SH DFND 1,2,3 7 0 2570 Avalara Inc Equities 05338G106 9743 133014 SH DFND 1,2,3 0 0 133014 AvalonBay Communities Inc Common Stock 053484101 501 2387 SH DFND 1,2,3 47 0 2340 Avery Dennison Corp Common Stock 053611109 4117 31473 SH DFND 1,2,3 336 0 31137 Baidu Inc Common Stock 056752108 849 6713 SH DFND 1,2,3 0 0 6713 Baker Hughes Co Common Stock 05722G100 231 9016 SH DFND 1,2,3 321 0 8695 Ball Corp Common Stock 058498106 22824 352930 SH DFND 1,2,3 95481 0 257449 Banco Bilbao Vizcaya Argentaria SA ADR Common Stock 05946K101 396 71031 SH DFND 1,2,3 3717 0 67314 Banco Santander SA ADR Common Stock 05964H105 310 74989 SH DFND 1,2,3 4587 0 70402 BancorpSouth Bank Common Stock 05971J102 2651 84393 SH DFND 1,2,3 0 0 84393 Bank Montreal Que Com Common Stock 063671101 268 3463 SH DFND 1,2,3 131 0 3332 Bank of America Corporation Common Stock 060505104 29456 836340 SH DFND 1,2,3 41200 0 795139 Bank of New York Mellon Corp Common Stock 064058100 1797 35697 SH DFND 1,2,3 438 0 35259 Bank of Nova Scotia Common Stock 064149107 689 12205 SH DFND 1,2,3 268 0 11937 Barclays Plc Adr Common Stock 06738E204 256 26878 SH DFND 1,2,3 2348 0 24530 Barrick Gold Corp Common Stock 067901108 732 39366 SH DFND 1,2,3 2326 0 37040 Bausch Health Companies Inc Common Stock 071734107 224 7479 SH DFND 1,2,3 367 0 7112 Baxter International Inc Common Stock 071813109 2209 26413 SH DFND 1,2,3 2979 0 23434 Baytex Energy Corp Com Common Stock 07317Q105 16 10700 SH DFND 1,2,3 0 0 10700 Bce Inc Com New Common Stock 05534B760 4306 92911 SH DFND 1,2,3 4144 0 88767 Becton, Dickinson and Co Common Stock 075887109 56615 208168 SH DFND 1,2,3 1268 0 206900 Becton, Dickinson and Co Common Stock 075887109 23444 862 SH Put DFND 1,2,3 0 0 862 Berkshire Hathaway Inc A Common Stock 084670108 3396 10 SH DFND 1,2,3 0 0 10 Berkshire Hathaway Inc B Common Stock 084670702 97103 428710 SH DFND 1,2,3 46134 0 382576 Berry Global Group Inc Common Stock 08579W103 3590 75603 SH DFND 1,2,3 8680 0 66923 Best Buy Co Inc Common Stock 086516101 815 9288 SH DFND 1,2,3 18 0 9270 Bhp Billiton Ltd Common Stock 088606108 1074 19626 SH DFND 1,2,3 936 0 18690 Big Lots Inc Common Stock 089302103 318 11070 SH DFND 1,2,3 0 0 11070 Biogen Inc Common Stock 09062X103 31799 107165 SH DFND 1,2,3 2470 0 104695 Biomarin Pharmaceutical Inc Common Stock 09061G101 317 3746 SH DFND 1,2,3 15 0 3731 Bitauto Holdings Ltd Equities 091727107 148 10000 SH DFND 1,2,3 0 0 10000 Black Hills Corp Common Stock 092113109 1100 14000 SH DFND 1,2,3 0 0 14000 Blackbaud Inc Common Stock 09227Q100 796 10006 SH DFND 1,2,3 636 0 9370 BlackRock Enhanced Equity Div Closed End Funds 09251A104 1072 108057 SH DFND 1,2,3 7596 0 100461 BlackRock Enhanced Glbl Div Trust Closed End Funds 092501105 680 61883 SH DFND 1,2,3 0 0 61883 BlackRock Enhanced Intl Div Trust Closed End Funds 092524107 104 17667 SH DFND 1,2,3 0 0 17667 BlackRock Inc Common Stock 09247X101 38042 75676 SH DFND 1,2,3 2274 0 73402 BlackRock MuniAssets Fund Closed End Funds 09254J102 880 57988 SH DFND 1,2,3 0 0 57988 BlackRock MuniHoldings CA Qty Closed End Funds 09254L107 182 13000 SH DFND 1,2,3 0 0 13000 BlackRock MuniHoldings Qty II Closed End Funds 09254C107 269 21325 SH DFND 1,2,3 0 0 21325 BlackRock MuniYield CA Closed End Funds 09254M105 198 14000 SH DFND 1,2,3 0 0 14000 Blackstone Group LP Common Stock 09260D107 7549 134945 SH DFND 1,2,3 525 0 134420 Blackstone Mortgage Trust Inc A Common Stock 09257W100 11511 309257 SH DFND 1,2,3 7324 0 301932 Blackstone Trust 4.375 05/05/22 CVT Corporate Bonds 09257WAB6 21 20000 SH DFND 1,2,3 0 0 20000 Boeing Co Common Stock 097023105 43453 133390 SH DFND 1,2,3 10870 0 122520 BOK Financial Corp Common Stock 05561Q201 231 2638 SH DFND 1,2,3 15 0 2623 Booking Hldgs Inc Common Stock 09857L108 2543 1238 SH DFND 1,2,3 34 0 1204 Boston Properties Inc Common Stock 101121101 1658 12027 SH DFND 1,2,3 193 0 11834 Boston Scientific Corp Common Stock 101137107 942 20834 SH DFND 1,2,3 147 0 20687 BP PLC ADR Common Stock 055622104 5429 143853 SH DFND 1,2,3 16268 0 127585 BRISTOL MYERS SQUIBB CONTINGENT RTS Common Stock 110122157 359 119214 SH DFND 1,2,3 28691 0 90523 Bristol-Myers Squibb Company Common Stock 110122108 42228 657865 SH DFND 1,2,3 70556 0 587308 British American Tobacco PLC Common Stock 110448107 635 14953 SH DFND 1,2,3 1345 0 13608 Broadcom Inc Com Common Stock 11135F101 28619 90562 SH DFND 1,2,3 3364 0 87198 Broadmark Realty Capital Ord Common Stock 11135B100 507 39792 SH DFND 1,2,3 0 0 39792 Broadridge Financial Solutions Inc Common Stock 11133T103 900 7285 SH DFND 1,2,3 313 0 6972 Brookfield Asset Management Inc Class A Common Stock 112585104 1914 33117 SH DFND 1,2,3 699 0 32418 Brookfield Infrastructure Partners LP Common Stock G16252101 11897 237984 SH DFND 1,2,3 11050 0 226934 Brookfield Property Partners LP Common Stock G16249107 185 10135 SH DFND 1,2,3 0 0 10135 Brooks Automation Inc Common Stock 114340102 1058 25211 SH DFND 1,2,3 1299 0 23912 Brown-Forman Corp Common Stock 115637100 201 3197 SH DFND 1,2,3 0 0 3197 Brown-Forman Corp Common Stock 115637209 918 13587 SH DFND 1,2,3 57 0 13530 Brunswick Corp Common Stock 117043109 2657 44301 SH DFND 1,2,3 7509 0 36792 C.H. Robinson Worldwide Inc Common Stock 12541W209 25920 331459 SH DFND 1,2,3 16781 0 314679 Cadence Bancorp Common Stock 12739A100 8656 477449 SH DFND 1,2,3 0 0 477449 Cadence Design Systems Inc Common Stock 127387108 214 3082 SH DFND 1,2,3 295 0 2787 Cadiz Inc Common Stock 127537207 141 12823 SH DFND 1,2,3 0 0 12823 Cae Inc Com Common Stock 124765108 12145 458979 SH DFND 1,2,3 138540 0 320439 Calamos Convertible Opps & Income Closed End Funds 128117108 297 27017 SH DFND 1,2,3 0 0 27017 Calamos Strategic Total Return Closed End Funds 128125101 182 13382 SH DFND 1,2,3 1700 0 11682 Caleres Inc Common Stock 129500104 2560 107806 SH DFND 1,2,3 15751 0 92055 Cambria Foreign Shareholder Yield Etf Exchange Traded Fund 132061300 591 24250 SH DFND 1,2,3 20000 0 4250 Camden Property Trust Common Stock 133131102 1242 11701 SH DFND 1,2,3 197 0 11504 Campbell Soup Co Common Stock 134429109 348 7033 SH DFND 1,2,3 251 0 6782 Canadian Imperial Bank of Commerce Common Stock 136069101 660 7935 SH DFND 1,2,3 0 0 7935 Canadian National Railway Co Common Stock 136375102 1053 11645 SH DFND 1,2,3 108 0 11537 Canadian Natural Resources Ltd Common Stock 136385101 250 7726 SH DFND 1,2,3 328 0 7398 Canon Inc Common Stock 138006309 12349 451501 SH DFND 1,2,3 19524 0 431977 Canopy Growth Corp Common Stock 138035100 444 21075 SH DFND 1,2,3 230 0 20845 Capital Bancorp Inc/MD Common Stock 139737100 1460 98052 SH DFND 1,2,3 98052 0 0 Capital One Financial Corp Common Stock 14040H105 17270 167813 SH DFND 1,2,3 28468 0 139345 Cardinal Health Inc Common Stock 14149Y108 971 19129 SH DFND 1,2,3 17 0 19112 CarMax Inc Common Stock 143130102 8380 95585 SH DFND 1,2,3 5718 0 89867 Carnival Corp Common Stock 143658300 300 5901 SH DFND 1,2,3 115 0 5785 Caterpillar Inc Common Stock 149123101 12486 84545 SH DFND 1,2,3 7670 0 76875 CBRE Group Inc Common Stock 12504L109 695 11333 SH DFND 1,2,3 358 0 10975 CDW Corp Common Stock 12514G108 1138 7968 SH DFND 1,2,3 34 0 7934 Celanese Corp Common Stock 150870103 245 1994 SH DFND 1,2,3 47 0 1947 Centene Corp Common Stock 15135B101 10662 169587 SH DFND 1,2,3 1723 0 167864 CenterState Bank Corp Common Stock 15201P109 328 13116 SH DFND 1,2,3 0 0 13116 Century Communities Inc Common Stock 156504300 2392 87464 SH DFND 1,2,3 14991 0 72473 CenturyLink Inc Common Stock 156700106 1457 110287 SH DFND 1,2,3 27706 0 82581 Cerner Corp Common Stock 156782104 30351 413560 SH DFND 1,2,3 61131 0 352429 CF Industries Holdings Inc Common Stock 125269100 4197 87911 SH DFND 1,2,3 16964 0 70947 CGI Inc Common Stock 12532H104 13753 164288 SH DFND 1,2,3 27358 0 136930 Charles Schwab Corp Common Stock 808513105 772 16237 SH DFND 1,2,3 2573 0 13664 Charter Communications Inc Common Stock 16119P108 4619 9522 SH DFND 1,2,3 212 0 9310 Check Point Software Technologies Ltd Common Stock M22465104 12827 115600 SH DFND 1,2,3 13087 0 102513 Chesapeake Energy Corp Common Stock 165167107 47 57591 SH DFND 1,2,3 190 0 57401 Chevron Corp Common Stock 166764100 92881 770734 SH DFND 1,2,3 64690 0 706044 China Mobile Ltd Common Stock 16941M109 274 6492 SH DFND 1,2,3 0 0 6492 Chipotle Mexican Grill Inc Class A Common Stock 169656105 589 704 SH DFND 1,2,3 11 0 693 Chubb Ltd Common Stock H1467J104 15905 102178 SH DFND 1,2,3 2554 0 99624 Chunghwa Telecom Co Ltd Common Stock 17133Q502 343 9284 SH DFND 1,2,3 221 0 9063 Church & Dwight Co Inc Common Stock 171340102 576 8194 SH DFND 1,2,3 25 0 8169 Cigna Corp Common Stock 125523100 3274 16011 SH DFND 1,2,3 1278 0 14733 Cimarex Energy Co Common Stock 171798101 567 10810 SH DFND 1,2,3 47 0 10763 Cincinnati Financial Corp Common Stock 172062101 1053 10016 SH DFND 1,2,3 342 0 9674 Cinemark Holdings Inc Common Stock 17243V102 863 25483 SH DFND 1,2,3 1451 0 24032 Cintas Corp Common Stock 172908105 360 1338 SH DFND 1,2,3 326 0 1012 Cisco Systems Inc Common Stock 17275R102 137830 2873857 SH DFND 1,2,3 265227 0 2608630 Citigroup Inc Common Stock 172967424 15741 197034 SH DFND 1,2,3 2925 0 194110 Citizens Financial Group Inc Common Stock 174610105 376 9267 SH DFND 1,2,3 229 0 9038 Citrix Systems Inc Common Stock 177376100 631 5689 SH DFND 1,2,3 1367 0 4322 City Holding Co Common Stock 177835105 533 6500 SH DFND 1,2,3 0 0 6500 City Holding Co Common Stock 177835105 500 61 SH Put DFND 1,2,3 0 0 61 Clearfield Inc Common Stock 18482P103 349 25000 SH DFND 1,2,3 0 0 25000 Cleveland-Cliffs Inc Common Stock 185899101 2882 343087 SH DFND 1,2,3 68660 0 274427 Clorox Co Common Stock 189054109 22011 143355 SH DFND 1,2,3 1675 0 141680 CME Group Inc Class A Common Stock 12572Q105 46237 230358 SH DFND 1,2,3 9679 0 220679 CMS Energy Corp Common Stock 125896100 464 7389 SH DFND 1,2,3 119 0 7270 Coca-Cola Co Common Stock 191216100 21159 382280 SH DFND 1,2,3 6602 0 375679 Coca-Cola Co Common Stock 191216100 3155 570 SH Put DFND 1,2,3 0 0 570 Codexis Inc Common Stock 192005106 165 10291 SH DFND 1,2,3 0 0 10291 Cognizant Technology Solutions Corp A Common Stock 192446102 23777 383373 SH DFND 1,2,3 24738 0 358635 Cohen & Steers Select Pref & Income Closed End Funds 19248Y107 351 11139 SH DFND 1,2,3 47 0 11092 Colgate-Palmolive Co Common Stock 194162103 16768 243579 SH DFND 1,2,3 10265 0 233314 Columbia Property Trust Inc Common Stock 198287203 263 12588 SH DFND 1,2,3 0 0 12588 Comcast Corp Class A Common Stock 20030N101 7860 174781 SH DFND 1,2,3 9281 0 165500 Comerica Inc Common Stock 200340107 750 10448 SH DFND 1,2,3 495 0 9953 Commerce Bancshares Inc Common Stock 200525103 10566 155521 SH DFND 1,2,3 0 0 155521 Commercial Metals Co Common Stock 201723103 1074 48223 SH DFND 1,2,3 2966 0 45257 Communication Services Sel Sect SPDRETF Exchange Traded Fund 81369Y852 40502 755212 SH DFND 1,2,3 20055 0 735157 Community Bank System Inc Common Stock 203607106 749 10543 SH DFND 1,2,3 0 0 10543 Conagra Brands Inc Common Stock 205887102 352 10270 SH DFND 1,2,3 130 0 10140 Conatus Pharmaceuticals Inc Common Stock 20600T108 48 120870 SH DFND 1,2,3 0 0 120870 ConocoPhillips Common Stock 20825C104 21492 330501 SH DFND 1,2,3 70637 0 259864 Consolidated Edison Inc Common Stock 209115104 2212 24449 SH DFND 1,2,3 3345 0 21104 Constellation Brands Inc Common Stock 21036P108 799 4211 SH DFND 1,2,3 190 0 4021 Consumer Staples Select Sector SPDR ETF Exchange Traded Fund 81369Y308 41088 652404 SH DFND 1,2,3 6296 0 646107 Copart Inc Common Stock 217204106 20577 226269 SH DFND 1,2,3 68013 0 158256 Corning Inc Common Stock 219350105 1756 60313 SH DFND 1,2,3 1492 0 58821 Corteva Inc com Common Stock 22052L104 2763 93462 SH DFND 1,2,3 1661 0 91801 Costco Wholesale Corp Common Stock 22160K105 50707 172521 SH DFND 1,2,3 29347 0 143174 Coty Inc Common Stock 222070203 849 75442 SH DFND 1,2,3 960 0 74482 Credit Suisse FI Large Cap Gr Enh ETN Exchange Traded Fund 22542D423 562 1686 SH DFND 1,2,3 359 0 1327 Credit Suisse Group AG Common Stock 225401108 203 15115 SH DFND 1,2,3 102 0 15013 Crown Castle International Corp Common Stock 22822V101 17694 124477 SH DFND 1,2,3 5416 0 119061 CSX Corp Common Stock 126408103 27222 376203 SH DFND 1,2,3 3652 0 372551 CSX Corp Common Stock 126408103 289 40 SH Put DFND 1,2,3 0 0 40 CubeSmart Common Stock 229663109 991 31495 SH DFND 1,2,3 531 0 30964 Cumberland Pharmaceuticals Inc Common Stock 230770109 84 16246 SH DFND 1,2,3 0 0 16246 Cummins Inc Common Stock 231021106 1966 10987 SH DFND 1,2,3 405 0 10582 CVS Health Corp Common Stock 126650100 47328 637072 SH DFND 1,2,3 61116 0 575956 Cypress Semiconductor Corp Common Stock 232806109 211 9041 SH DFND 1,2,3 0 0 9041 CyrusOne Inc Common Stock 23283R100 1531 23393 SH DFND 1,2,3 435 0 22958 D.R. 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Business Machines Corp Common Stock 459200101 47377 353457 SH DFND 1,2,3 16636 0 336821 International Flavors & Fragrances Inc Common Stock 459506101 1304 10110 SH DFND 1,2,3 0 0 10110 International Paper Co Common Stock 460146103 2300 49944 SH DFND 1,2,3 3741 0 46203 InterXion Holding NV Common Stock N47279109 2977 35517 SH DFND 1,2,3 9543 0 25974 Intuit Inc Common Stock 461202103 2483 9479 SH DFND 1,2,3 68 0 9411 Intuitive Surgical Inc Common Stock 46120E602 20622 34884 SH DFND 1,2,3 7772 0 27112 Invesco Aerospace & Defense ETF Exchange Traded Fund 46137V100 547 8005 SH DFND 1,2,3 209 0 7796 Invesco BulletShares 2020 Corp Bd ETF Exchange Traded Fund 46138J502 3027 142199 SH DFND 1,2,3 1250 0 140949 Invesco BulletShares 2020 HY Corp Bd ETF Exchange Traded Fund 46138J601 34756 1452419 SH DFND 1,2,3 6763 0 1445656 Invesco BulletShares 2021 Corp Bd ETF Exchange Traded Fund 46138J700 3902 183728 SH DFND 1,2,3 1069 0 182659 Invesco BulletShares 2021 HY Corp Bd ETF Exchange Traded Fund 46138J809 28537 1156743 SH DFND 1,2,3 5049 0 1151694 Invesco BulletShares 2022 Corp Bd ETF Exchange Traded Fund 46138J882 1819 84621 SH DFND 1,2,3 219 0 84402 Invesco BulletShares 2022 HY Corp Bd ETF Exchange Traded Fund 46138J874 16230 663820 SH DFND 1,2,3 0 0 663820 Invesco BulletShares 2023 Corp Bd ETF Exchange Traded Fund 46138J866 541 25404 SH DFND 1,2,3 221 0 25183 Invesco BulletShares 2023 HY Corp Bd ETF Exchange Traded Fund 46138J858 13510 516842 SH DFND 1,2,3 0 0 516842 Invesco BulletShares 2024 High Yield Corporate Bond ETF Exchange Traded Fund 46138J833 13505 529803 SH DFND 1,2,3 0 0 529803 Invesco BulletShares 2025 HY Corp Bd ETF Exchange Traded Fund 46138J817 11973 482785 SH DFND 1,2,3 0 0 482785 Invesco BulletShares 2026 HY Corp Bd ETF Exchange Traded Fund 46138J635 12200 466377 SH DFND 1,2,3 0 0 466377 Invesco DWA Momentum ETF Exchange Traded Fund 46137V837 466 7245 SH DFND 1,2,3 993 0 6252 Invesco Dynamic Biotech & Genome ETF Exchange Traded Fund 46137V787 283 5074 SH DFND 1,2,3 0 0 5074 Invesco Dynamic Credit Opps Closed End Funds 46132R104 345 30416 SH DFND 1,2,3 0 0 30416 Invesco Dynamic Large Cap Growth ETF Exchange Traded Fund 46137V746 16775 326424 SH DFND 1,2,3 1691 0 324733 Invesco Dynamic Leisure and Entmnt ETF Exchange Traded Fund 46137V720 1256 27846 SH DFND 1,2,3 80 0 27766 Invesco Emerging Markets Sov Debt ETF Exchange Traded Fund 46138E784 1675 56633 SH DFND 1,2,3 0 0 56633 Invesco Financial Preferred ETF Exchange Traded Fund 46137V621 775 41086 SH DFND 1,2,3 0 0 41086 Invesco FTSE RAFI Dev Mkts ex-US ETF Exchange Traded Fund 46138E743 343 8059 SH DFND 1,2,3 559 0 7500 Invesco FTSE RAFI Dev Mkts ex-US S/M ETF Exchange Traded Fund 46138E735 313 9800 SH DFND 1,2,3 0 0 9800 Invesco FTSE RAFI US 1000 ETF Exchange Traded Fund 46137V613 410 3237 SH DFND 1,2,3 1284 0 1953 Invesco FTSE RAFI US 1500 Small-Mid ETF Exchange Traded Fund 46137V597 863 6315 SH DFND 1,2,3 396 0 5919 Invesco Global Listed Private Equity ETF Exchange Traded Fund 46137V589 258 20146 SH DFND 1,2,3 0 0 20146 Invesco High Yield Eq Div Achiev ETF Exchange Traded Fund 46137V563 22226 1170385 SH DFND 1,2,3 50060 0 1120325 Invesco International Dividend Achievers ETF Exchange Traded Fund 46137V548 524 30739 SH DFND 1,2,3 1100 0 29639 Invesco Ltd Common Stock G491BT108 930 51699 SH DFND 1,2,3 252 0 51447 Invesco Mortgage Capital Inc Common Stock 46131B100 197 11814 SH DFND 1,2,3 0 0 11814 Invesco MSCI Global Timber ETF Exchange Traded Fund 46138E545 241 8340 SH DFND 1,2,3 33 0 8307 Invesco Muni Income Opps Trust Closed End Funds 46132X101 694 87926 SH DFND 1,2,3 0 0 87926 Invesco Municipal Trust Closed End Funds 46131J103 769 62179 SH DFND 1,2,3 693 0 61486 Invesco Preferred ETF Exchange Traded Fund 46138E511 2458 163757 SH DFND 1,2,3 3933 0 159824 Invesco QQQ Trust Exchange Traded Fund 46090E103 38379 180511 SH DFND 1,2,3 4980 0 175531 Invesco S&P 500 Eql Wt Cnsm Stapl ETF Exchange Traded Fund 46137V373 2497 17110 SH DFND 1,2,3 154 0 16956 Invesco S&P 500 Equal Weight ETF Exchange Traded Fund 46137V357 5134 44370 SH DFND 1,2,3 0 0 44370 Invesco S&P 500 Equal Weight Tech ETF Exchange Traded Fund 46137V282 5865 29613 SH DFND 1,2,3 1707 0 27906 Invesco S&P 500 Equal Weight Utilts ETF Exchange Traded Fund 46137V274 2614 24600 SH DFND 1,2,3 280 0 24320 Invesco S&P 500 Equal Wt Hlth Care ETF Exchange Traded Fund 46137V332 2655 11990 SH DFND 1,2,3 124 0 11866 Invesco S&P 500 Equal Wt Indls ETF Exchange Traded Fund 46137V324 2508 18494 SH DFND 1,2,3 179 0 18315 Invesco S&P 500 Low Volatility ETF Exchange Traded Fund 46138E354 3720 63770 SH DFND 1,2,3 1150 0 62620 Invesco S&P 500 Pure Growth ETF Exchange Traded Fund 46137V266 560 4426 SH DFND 1,2,3 535 0 3891 Invesco S&P 500 Pure Value ETF Exchange Traded Fund 46137V258 623 8988 SH DFND 1,2,3 17 0 8971 Invesco S&P 500 Quality ETF Exchange Traded Fund 46137V241 1055 28857 SH DFND 1,2,3 3183 0 25674 Invesco S&P 500 Downside Hedged ETF Exchange Traded Fund 46090A705 663 23719 SH DFND 1,2,3 0 0 23719 Invesco S&P MidCap 400 Pure Growth ETF Exchange Traded Fund 46137V217 485 3163 SH DFND 1,2,3 0 0 3163 Invesco S&P MidCap Low Volatility ETF Exchange Traded Fund 46138E198 2702 50219 SH DFND 1,2,3 73 0 50147 Invesco S&P SmallCap Health Care ETF Exchange Traded Fund 46138E149 235 1820 SH DFND 1,2,3 0 0 1820 Invesco S&P SmallCap Low Volatility ETF Exchange Traded Fund 46138G102 535 10512 SH DFND 1,2,3 0 0 10512 Invesco Senior Income Trust Closed End Funds 46131H107 509 118596 SH DFND 1,2,3 1222 0 117374 Invesco Senior Loan ETF Exchange Traded Fund 46138G508 1265 55455 SH DFND 1,2,3 1076 0 54379 Invesco Ultra Short Duration ETF Exchange Traded Fund 46090A887 807 16028 SH DFND 1,2,3 235 0 15793 Invesco Water Resources ETF Exchange Traded Fund 46137V142 349 9027 SH DFND 1,2,3 1000 0 8027 Invitation Homes Inc Common Stock 46187W107 2290 76416 SH DFND 1,2,3 9452 0 66964 Ionis Pharmaceuticals Inc Common Stock 462222100 267 4427 SH DFND 1,2,3 1050 0 3377 IQ Hedge Multi-Strategy Tracker ETF Exchange Traded Fund 45409B107 1837 59655 SH DFND 1,2,3 3662 0 55994 Iqvia Hldgs Inc Common Stock 46266C105 797 5160 SH DFND 1,2,3 288 0 4872 Iridium Communications Inc Common Stock 46269C102 711 28853 SH DFND 1,2,3 208 0 28645 Iron Mountain Inc Common Stock 46284V101 7314 229505 SH DFND 1,2,3 106153 0 123352 Ironwood Pharmaceuticals Inc Common Stock 46333X108 1107 83177 SH DFND 1,2,3 5182 0 77995 iShares 0-5 Year High Yield Corp Bd ETF Exchange Traded Fund 46434V407 9823 211566 SH DFND 1,2,3 1447 0 210120 iShares 0-5 Year Invmt Grade Corp Bd ETF Exchange Traded Fund 46434V100 442 8653 SH DFND 1,2,3 424 0 8229 iShares 0-5 Year TIPS Bond ETF Exchange Traded Fund 46429B747 7027 69770 SH DFND 1,2,3 407 0 69362 iShares 10-20 Year Treasury Bond ETF Exchange Traded Fund 464288653 1065 7414 SH DFND 1,2,3 1 0 7413 iShares 1-3 Year Treasury Bond Exchange Traded Fund 464287457 25603 302530 SH DFND 1,2,3 30048 0 272482 Ishares 20 Plus Year Treasury Bond Etf Exchange Traded Fund 464287432 17549 129530 SH DFND 1,2,3 4878 0 124651 iShares 3-7 Year Treasury Bond ETF Exchange Traded Fund 464288661 2651 21083 SH DFND 1,2,3 109 0 20974 iShares 7-10 Year Treasury Bond ETF Exchange Traded Fund 464287440 3192 28957 SH DFND 1,2,3 1218 0 27739 iShares Broad USD High Yield Corp Bd ETF Exchange Traded Fund 46435U853 663 16125 SH DFND 1,2,3 0 0 16125 iShares California Muni Bond ETF Exchange Traded Fund 464288356 1201 19614 SH DFND 1,2,3 0 0 19614 iShares China Large-Cap Exchange Traded Fund 464287184 549 12588 SH DFND 1,2,3 225 0 12363 iShares Core 10 Year USD Bond ETF Exchange Traded Fund 464289479 879 12912 SH DFND 1,2,3 434 0 12478 iShares Core 1-5 Year USD Bond ETF Exchange Traded Fund 46432F859 8854 175666 SH DFND 1,2,3 111 0 175555 iShares Core 5-10 Year USD Bond ETF Exchange Traded Fund 46435G417 208 4110 SH DFND 1,2,3 0 0 4110 iShares Core Aggressive Allocation ETF Exchange Traded Fund 464289859 1092 18835 SH DFND 1,2,3 0 0 18835 iShares Core Dividend Growth ETF Exchange Traded Fund 46434V621 732 17409 SH DFND 1,2,3 0 0 17409 iShares Core Growth Allocation ETF Exchange Traded Fund 464289867 206 4308 SH DFND 1,2,3 0 0 4308 Ishares Core High Dividend Etf Exchange Traded Fund 46429B663 1646 16787 SH DFND 1,2,3 0 0 16787 iShares Core International Aggt Bd ETF Exchange Traded Fund 46435G672 23944 437022 SH DFND 1,2,3 8983 0 428039 iShares Core MSCI EAFE Exchange Traded Fund 46432F842 365193 5597693 SH DFND 1,2,3 82066 0 5515627 iShares Core MSCI Emerging Markets ETF Exchange Traded Fund 46434G103 273076 5079531 SH DFND 1,2,3 48873 0 5030657 iShares Core MSCI Europe ETF Exchange Traded Fund 46434V738 17381 348520 SH DFND 1,2,3 4108 0 344412 iShares Core MSCI Intl Dev Mkts ETF Exchange Traded Fund 46435G326 6806 117004 SH DFND 1,2,3 9686 0 107318 iShares Core MSCI Pacific ETF Exchange Traded Fund 46434V696 12229 209358 SH DFND 1,2,3 2011 0 207347 iShares Core MSCI Total Intl Stk ETF Exchange Traded Fund 46432F834 25224 407504 SH DFND 1,2,3 13028 0 394476 iShares 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353808 iShares Dow Jones US ETF Exchange Traded Fund 464287846 2349 14755 SH DFND 1,2,3 102 0 14653 iShares Edge MSCI Min Vol EAFE ETF Exchange Traded Fund 46429B689 37870 508046 SH DFND 1,2,3 1829 0 506217 iShares Edge MSCI Min Vol Emerging Mkts ETF Exchange Traded Fund 464286533 12773 217738 SH DFND 1,2,3 10900 0 206838 iShares Edge MSCI Min Vol Global Exchange Traded Fund 464286525 7821 81616 SH DFND 1,2,3 7434 0 74182 iShares Edge MSCI Min Vol USA Exchange Traded Fund 46429B697 70225 1070498 SH DFND 1,2,3 5644 0 1064854 iShares Edge MSCI Min Vol USA Sm-Cp ETF Exchange Traded Fund 46435G433 249 7016 SH DFND 1,2,3 0 0 7016 iShares Edge MSCI Mltfct USA SmCp ETF Exchange Traded Fund 46434V290 3160 73642 SH DFND 1,2,3 25082 0 48559 iShares Edge MSCI Multifactor USA ETF Exchange Traded Fund 46434V282 524 15186 SH DFND 1,2,3 0 0 15186 iShares Edge MSCI USA Momentum Fctr ETF Exchange Traded Fund 46432F396 5474 43595 SH DFND 1,2,3 1367 0 42228 iShares Emerging Markets Dividend ETF Exchange Traded Fund 464286319 12794 314970 SH DFND 1,2,3 9855 0 305115 iShares ESG MSCI EAFE ETF Exchange Traded Fund 46435G516 215 3122 SH DFND 1,2,3 0 0 3122 iShares Expanded Tech-Software Sect ETF Exchange Traded Fund 464287515 2362 10135 SH DFND 1,2,3 0 0 10135 iShares Floating Rate Bond ETF Exchange Traded Fund 46429B655 29166 572785 SH DFND 1,2,3 155810 0 416975 iShares Global 100 ETF Exchange Traded Fund 464287572 276 5120 SH DFND 1,2,3 646 0 4474 iShares Global Energy ETF Exchange Traded Fund 464287341 279 9054 SH DFND 1,2,3 0 0 9054 iShares Global Financials ETF Exchange Traded Fund 464287333 226 3284 SH DFND 1,2,3 0 0 3284 iShares Global Industrials ETF Exchange Traded Fund 464288729 493 5069 SH DFND 1,2,3 0 0 5069 iShares Global Infrastructure Exchange Traded Fund 464288372 273 5691 SH DFND 1,2,3 2598 0 3093 iShares Global REIT ETF Exchange Traded Fund 46434V647 5498 199043 SH DFND 1,2,3 4593 0 194450 iShares Global Tech ETF Exchange Traded Fund 464287291 293 1390 SH DFND 1,2,3 0 0 1390 iShares Global Utilities ETF Exchange Traded Fund 464288711 1019 17347 SH DFND 1,2,3 8587 0 8760 iShares Gold Trust Exchange Traded Fund 464285105 1257 86724 SH DFND 1,2,3 4191 0 82533 iShares iBonds Dec 2020 Term Corporate Exchange Traded Fund 46434VAQ3 5352 211553 SH DFND 1,2,3 6737 0 204816 iShares iBonds Dec 2021 Term Corp ETF Exchange Traded Fund 46434VBK5 6741 270088 SH DFND 1,2,3 7543 0 262545 iShares iBonds Dec 2021 Term Muni Bd ETF Exchange Traded Fund 46435G789 6479 251506 SH DFND 1,2,3 1 0 251505 iShares iBonds Dec 2022 Term Corp ETF Exchange Traded Fund 46434VBA7 6472 255892 SH DFND 1,2,3 2512 0 253380 iShares iBonds Dec 2022 Term Muni Bd ETF Exchange Traded Fund 46435G755 6496 248307 SH DFND 1,2,3 1 0 248306 iShares iBonds Dec 2023 Term Corp ETF Exchange Traded Fund 46434VAX8 6113 239175 SH DFND 1,2,3 2398 0 236777 iShares iBonds Dec 2023 Term Muni Bd ETF Exchange Traded Fund 46435G318 6332 245228 SH DFND 1,2,3 1 0 245227 iShares iBonds Dec 2024 Term Corp ETF Exchange Traded Fund 46434VBG4 5410 210584 SH DFND 1,2,3 2456 0 208128 iShares iBonds Dec 2025 Term Corp ETF Exchange Traded Fund 46434VBD1 3778 145630 SH DFND 1,2,3 2426 0 143204 iShares iBonds Dec 2026 Term Corp ETF Exchange Traded Fund 46435GAA0 3282 128371 SH DFND 1,2,3 1797 0 126574 iShares iBonds Dec 2027 Term Corp ETF Exchange Traded Fund 46435UAA9 3157 121362 SH DFND 1,2,3 1794 0 119568 iShares iBonds Dec 2028 Term Corp ETF Exchange Traded Fund 46435U515 3053 110031 SH DFND 1,2,3 1626 0 108405 ISHARES IBONDS DEC 2029 TERM ETF Exchange Traded Fund 46436E205 3081 120619 SH DFND 1,2,3 1815 0 118804 iShares iBonds Mar 2020 Term Corp ETF Exchange Traded Fund 46432FBC0 211 8088 SH DFND 1,2,3 0 0 8088 iShares iBonds Sep 2020 Term Muni Bd ETF Exchange Traded Fund 46434V571 6719 263274 SH DFND 1,2,3 1 0 263273 iShares iBoxx $ High Yield Corporate Bd Exchange Traded Fund 464288513 61539 699782 SH DFND 1,2,3 74345 0 625438 iShares iBoxx $ Investment Grade Corporate Bond ETF Exchange Traded Fund 464287242 62453 488068 SH DFND 1,2,3 2153 0 485915 iShares Intermediate Govt/Crdt Bd ETF Exchange Traded Fund 464288612 15931 141411 SH DFND 1,2,3 957 0 140454 iShares International Select Dividend Exchange Traded Fund 464288448 973 28982 SH DFND 1,2,3 0 0 28982 iShares JPMorgan USD Emerg Markets Bond Exchange Traded Fund 464288281 24248 211660 SH DFND 1,2,3 1104 0 210556 iShares MBS Exchange Traded Fund 464288588 227151 2102082 SH DFND 1,2,3 56510 0 2045572 iShares Micro-Cap Exchange Traded Fund 464288869 943 9482 SH DFND 1,2,3 405 0 9077 iShares Morningstar Large-Cap ETF Exchange Traded Fund 464287127 227 1233 SH DFND 1,2,3 0 0 1233 iShares MSCI ACWI Exchange Traded Fund 464288257 27033 341112 SH DFND 1,2,3 2442 0 338670 iShares MSCI ACWI ex US ETF Exchange Traded Fund 464288240 257 5231 SH DFND 1,2,3 0 0 5231 iShares MSCI All Country Asia ex Japan Exchange Traded Fund 464288182 2018 27461 SH DFND 1,2,3 1155 0 26306 iShares MSCI Australia Exchange Traded Fund 464286103 214 9440 SH DFND 1,2,3 363 0 9077 iShares MSCI Canada Exchange Traded Fund 464286509 19966 667994 SH DFND 1,2,3 6304 0 661690 iShares MSCI China ETF Exchange Traded Fund 46429B671 322 5021 SH DFND 1,2,3 0 0 5021 iShares MSCI EAFE Exchange Traded Fund 464287465 41890 603249 SH DFND 1,2,3 11394 0 591855 iShares MSCI EAFE Growth ETF Exchange Traded Fund 464288885 2420 27983 SH DFND 1,2,3 513 0 27470 iShares MSCI EAFE Small-Cap Exchange Traded Fund 464288273 61619 989381 SH DFND 1,2,3 11500 0 977882 iShares MSCI EAFE Value Exchange Traded Fund 464288877 1524 30519 SH DFND 1,2,3 846 0 29673 iShares MSCI Emerging Markets Exchange Traded Fund 464287234 10904 243016 SH DFND 1,2,3 9631 0 233385 iShares MSCI Eurozone Exchange Traded Fund 464286608 18414 439262 SH DFND 1,2,3 3378 0 435883 iShares MSCI France ETF Exchange Traded Fund 464286707 468 14314 SH DFND 1,2,3 0 0 14314 iShares MSCI Japan Exchange Traded Fund 46434G822 18302 308945 SH DFND 1,2,3 1987 0 306958 iShares MSCI KLD 400 Social ETF Exchange Traded Fund 464288570 1141 9499 SH DFND 1,2,3 535 0 8964 iShares MSCI Pacific ex Japan Exchange Traded Fund 464286665 16609 358723 SH DFND 1,2,3 3257 0 355466 iShares MSCI Switzerland ETF Exchange Traded Fund 464286749 20762 510866 SH DFND 1,2,3 3741 0 507126 iShares MSCI United Kingdom Exchange Traded Fund 46435G334 18286 536253 SH DFND 1,2,3 3926 0 532327 iShares MSCI USA ESG Select ETF Exchange Traded Fund 464288802 1288 9613 SH DFND 1,2,3 600 0 9013 iShares Nasdaq Biotechnology Exchange Traded Fund 464287556 1982 16448 SH DFND 1,2,3 45 0 16403 iShares National Muni Bond ETF Exchange Traded Fund 464288414 31120 273197 SH DFND 1,2,3 0 0 273197 iShares PHLX Semiconductor ETF Exchange Traded Fund 464287523 17798 70882 SH DFND 1,2,3 926 0 69956 iShares Preferred&Income Securities ETF Exchange Traded Fund 464288687 23871 635029 SH DFND 1,2,3 32436 0 602593 iShares Russell 1000 Exchange Traded Fund 464287622 11365 63696 SH DFND 1,2,3 1233 0 62463 iShares Russell 1000 Growth Exchange Traded Fund 464287614 26843 152585 SH DFND 1,2,3 5653 0 146932 iShares Russell 1000 Value Exchange Traded Fund 464287598 26282 192573 SH DFND 1,2,3 6173 0 186400 iShares Russell 2000 Exchange Traded Fund 464287655 36131 218091 SH DFND 1,2,3 11917 0 206174 iShares Russell 2000 Growth Exchange Traded Fund 464287648 10826 50535 SH DFND 1,2,3 2643 0 47892 iShares Russell 2000 Value Exchange Traded Fund 464287630 2449 19045 SH DFND 1,2,3 303 0 18742 iShares Russell 3000 Exchange Traded Fund 464287689 24135 128046 SH DFND 1,2,3 2300 0 125746 iShares Russell Mid-Cap Exchange Traded Fund 464287499 4751 79684 SH DFND 1,2,3 0 0 79684 iShares Russell Mid-Cap Growth ETF Exchange Traded Fund 464287481 12060 79040 SH DFND 1,2,3 2470 0 76570 iShares Russell Mid-Cap Value ETF Exchange Traded Fund 464287473 3157 33316 SH DFND 1,2,3 2580 0 30736 iShares S&P 100 Exchange Traded Fund 464287101 19595 135994 SH DFND 1,2,3 1125 0 134869 iShares S&P 500 Growth Exchange Traded Fund 464287309 50954 263139 SH DFND 1,2,3 3210 0 259929 iShares S&P 500 Value Exchange Traded Fund 464287408 46847 360111 SH DFND 1,2,3 7858 0 352253 iShares S&P Mid-Cap 400 Growth Exchange Traded Fund 464287606 6029 25319 SH DFND 1,2,3 2877 0 22442 iShares S&P Mid-Cap 400 Value ETF Exchange Traded Fund 464287705 1578 9240 SH DFND 1,2,3 288 0 8952 iShares S&P Small-Cap 600 Growth ETF Exchange Traded Fund 464287887 74523 385532 SH DFND 1,2,3 5034 0 380498 iShares S&P Small-Cap 600 Value ETF Exchange Traded Fund 464287879 73510 457152 SH DFND 1,2,3 3549 0 453603 iShares Select Dividend Exchange Traded Fund 464287168 19090 180672 SH DFND 1,2,3 5900 0 174772 iShares Select Dividend Exchange Traded Fund 464287168 528 50 SH Put DFND 1,2,3 0 0 50 iShares Short Maturity Bond ETF Exchange Traded Fund 46431W507 11050 219894 SH DFND 1,2,3 7604 0 212290 iShares Short Maturity Municipal Bd ETF Exchange Traded Fund 46431W838 850 16973 SH DFND 1,2,3 0 0 16973 iShares Short Treasury Bond Exchange Traded Fund 464288679 7339 66436 SH DFND 1,2,3 1732 0 64704 iShares Short-Term National Muni Bond Exchange Traded Fund 464288158 9108 85292 SH DFND 1,2,3 103 0 85189 iShares Silver Trust Exchange Traded Fund 46428Q109 1543 92530 SH DFND 1,2,3 35 0 92495 iShares TIPS Bond Exchange Traded Fund 464287176 21309 182804 SH DFND 1,2,3 4275 0 178529 Ishares Tr Intrm Tr Crp Etf Exchange Traded Fund 464288638 318246 5488900 SH DFND 1,2,3 23234 0 5465666 Ishares Tr Sh Tr Crport Etf Exchange Traded Fund 464288646 37231 694220 SH DFND 1,2,3 105281 0 588939 iShares Transportation Average Exchange Traded Fund 464287192 504 2585 SH DFND 1,2,3 47 0 2538 Ishares U S Financials Etf Exchange Traded Fund 464287788 5520 40158 SH DFND 1,2,3 695 0 39463 Ishares U S Technology Etf Exchange Traded Fund 464287721 20781 89552 SH DFND 1,2,3 3470 0 86082 iShares U.S. Energy ETF Exchange Traded Fund 464287796 1126 35276 SH DFND 1,2,3 2359 0 32917 iShares U.S. Healthcare ETF Exchange Traded Fund 464287762 7789 36216 SH DFND 1,2,3 1881 0 34335 iShares Ultra Short-Term Bond ETF Exchange Traded Fund 46434V878 1444 28692 SH DFND 1,2,3 56 0 28636 iShares US Aerospace & Defense ETF Exchange Traded Fund 464288760 2959 13324 SH DFND 1,2,3 0 0 13324 iShares US Basic Materials Exchange Traded Fund 464287838 9771 100427 SH DFND 1,2,3 575 0 99852 iShares US Consumer Goods Exchange Traded Fund 464287812 1785 13416 SH DFND 1,2,3 608 0 12808 iShares US Consumer Services Exchange Traded Fund 464287580 4625 20264 SH DFND 1,2,3 2068 0 18196 iShares US Financial Services ETF Exchange Traded Fund 464287770 4416 29088 SH DFND 1,2,3 945 0 28143 iShares US Healthcare Providers Exchange Traded Fund 464288828 761 3792 SH DFND 1,2,3 0 0 3792 iShares US Home Construction Exchange Traded Fund 464288752 15264 343635 SH DFND 1,2,3 2367 0 341268 iShares US Industrials Exchange Traded Fund 464287754 3433 20478 SH DFND 1,2,3 1565 0 18913 iShares US Oil & Gas Explor & Prod ETF Exchange Traded Fund 464288851 667 12011 SH DFND 1,2,3 1433 0 10578 iShares US Real Estate Exchange Traded Fund 464287739 1124 12150 SH DFND 1,2,3 194 0 11956 iShares US Treasury Bond Exchange Traded Fund 46429B267 513910 19811496 SH DFND 1,2,3 89765 0 19721731 iShares US Utilities Exchange Traded Fund 464287697 1667 10338 SH DFND 1,2,3 16 0 10322 Itau Unibanco Holding SA Common Stock 465562106 175 19163 SH DFND 1,2,3 155 0 19008 ITT Inc Common Stock 45073V108 338 4574 SH DFND 1,2,3 0 0 4574 Jack Henry & Associates Inc Common Stock 426281101 20950 143815 SH DFND 1,2,3 1759 0 142056 Jacobs Engineering Group Inc Common Stock 469814107 17272 192269 SH DFND 1,2,3 60596 0 131673 Jazz Pharmaceuticals PLC Common Stock G50871105 264 1769 SH DFND 1,2,3 8 0 1761 JBG SMITH Properties Common Stock 46590V100 1127 28243 SH DFND 1,2,3 313 0 27930 JH Premium Dividend Fund Closed End Funds 41013T105 203 11270 SH DFND 1,2,3 0 0 11270 JM Smucker Co Common Stock 832696405 4152 39869 SH DFND 1,2,3 6664 0 33205 Johnson & Johnson Common Stock 478160104 90406 619769 SH DFND 1,2,3 30146 0 589623 Johnson Controls International PLC Common Stock G51502105 1232 30262 SH DFND 1,2,3 18 0 30244 JPMorgan Alerian MLP ETN Exchange Traded Fund 46625H365 2274 104271 SH DFND 1,2,3 0 0 104271 JPMorgan BetaBuilders Japan ETF Exchange Traded Fund 46641Q712 509 20739 SH DFND 1,2,3 1239 0 19500 JPMorgan Chase & Co Common Stock 46625H100 102464 735033 SH DFND 1,2,3 86277 0 648756 JPMorgan Diversified Return Glbl Eq ETF Exchange Traded Fund 46641Q100 5087 81773 SH DFND 1,2,3 6283 0 75490 JPMorgan Diversified Return US Eq ETF Exchange Traded Fund 46641Q407 6073 76232 SH DFND 1,2,3 7237 0 68995 JPMorgan Ultra-Short Income ETF Exchange Traded Fund 46641Q837 10706 212301 SH DFND 1,2,3 1655 0 210646 JPMorgan Ultra-Short Municipal Inc ETF Exchange Traded Fund 46641Q654 1391 27560 SH DFND 1,2,3 0 0 27560 Kansas City Southern Common Stock 485170302 872 5696 SH DFND 1,2,3 77 0 5619 KAR Auction Services Inc Common Stock 48238T109 757 34755 SH DFND 1,2,3 26122 0 8633 KB Financial Group Inc Common Stock 48241A105 447 10798 SH DFND 1,2,3 178 0 10620 KeyCorp Common Stock 493267108 2026 100085 SH DFND 1,2,3 2033 0 98052 Keysight Technologies Inc Common Stock 49338L103 5625 54804 SH DFND 1,2,3 799 0 54005 Kilroy Realty Corp Common Stock 49427F108 1271 15149 SH DFND 1,2,3 270 0 14879 Kimberly-Clark Corp Common Stock 494368103 7348 53420 SH DFND 1,2,3 14345 0 39075 Kimco Realty Corp Common Stock 49446R109 950 45873 SH DFND 1,2,3 3891 0 41982 Kinder Morgan Inc P Common Stock 49456B101 28091 1326945 SH DFND 1,2,3 42642 0 1284303 Kinross Gold Corp Common Stock 496902404 122 25727 SH DFND 1,2,3 1378 0 24349 Kirby Corp Common Stock 497266106 1054 11775 SH DFND 1,2,3 762 0 11013 Kirkland Lake Gold Ltd Common Stock 49741E100 5905 133991 SH DFND 1,2,3 8367 0 125624 KKR & Co Inc Common Stock 48251W104 830 28449 SH DFND 1,2,3 0 0 28449 KLA Corp Common Stock 482480100 330 1854 SH DFND 1,2,3 6 0 1848 Knowles Corp Common Stock 49926D109 1022 48310 SH DFND 1,2,3 3101 0 45209 KraneShares Bosera MSCI China A ETF Exchange Traded Fund 500767405 338 10375 SH DFND 1,2,3 0 0 10375 L Brands Inc Common Stock 501797104 765 42238 SH DFND 1,2,3 19 0 42219 L3Harris Technologies Inc Common Stock 502431109 5359 27081 SH DFND 1,2,3 522 0 26559 Laboratory Corp of America Holdings Common Stock 50540R409 5357 31664 SH DFND 1,2,3 614 0 31050 Lakeland Financial Corp Common Stock 511656100 337 6888 SH DFND 1,2,3 0 0 6888 Lam Research Corp Common Stock 512807108 3691 12622 SH DFND 1,2,3 2628 0 9994 Lamar Advertising Co Common Stock 512816109 18636 208778 SH DFND 1,2,3 9405 0 199373 Lamb Weston Holdings Inc Common Stock 513272104 5987 69595 SH DFND 1,2,3 424 0 69171 Las Vegas Sands Corp Common Stock 517834107 12963 187754 SH DFND 1,2,3 60826 0 126928 Lazard Glb Total Return & Income Closed End Funds 52106W103 372 22474 SH DFND 1,2,3 0 0 22474 Lear Corp Common Stock 521865204 23661 172456 SH DFND 1,2,3 5936 0 166520 Lee Enterprises Inc Common Stock 523768109 36 25000 SH DFND 1,2,3 0 0 25000 Leidos Holdings Inc Common Stock 525327102 261 2665 SH DFND 1,2,3 59 0 2606 Lennar Corp Common Stock 526057104 271 4855 SH DFND 1,2,3 16 0 4839 LHC Group Inc Common Stock 50187A107 580 4208 SH DFND 1,2,3 0 0 4208 Liberty Broadband Corp Common Stock 530307305 220 1749 SH DFND 1,2,3 26 0 1723 Liberty Property Trust Common Stock 531172104 821 13680 SH DFND 1,2,3 0 0 13680 Liberty SiriusXM Group Common Stock 531229607 249 5179 SH DFND 1,2,3 150 0 5029 Lincoln National Corp Common Stock 534187109 346 5856 SH DFND 1,2,3 212 0 5644 Linde plc Common Stock G5494J103 1379 6478 SH DFND 1,2,3 53 0 6425 LINE Corp Common Stock 53567X101 3110 63462 SH DFND 1,2,3 17801 0 45661 LKQ Corp Common Stock 501889208 210 5886 SH DFND 1,2,3 3500 0 2386 Lloyds Banking Group PLC Common Stock 539439109 571 172656 SH DFND 1,2,3 6207 0 166449 Lockheed Martin Corp Common Stock 539830109 21658 55621 SH DFND 1,2,3 3645 0 51976 Loews Corp Common Stock 540424108 478 9113 SH DFND 1,2,3 17 0 9096 Logitech International SA Common Stock H50430232 3089 65500 SH DFND 1,2,3 18156 0 47344 Lowe's Companies Inc Common Stock 548661107 28838 240799 SH DFND 1,2,3 50531 0 190268 LPL Financial Holdings Inc Common Stock 50212V100 8606 93291 SH DFND 1,2,3 600 0 92691 Lululemon Athletica Inc Common Stock 550021109 496 2142 SH DFND 1,2,3 30 0 2112 Lumber Liquidators Holdings Inc Common Stock 55003T107 421 43138 SH DFND 1,2,3 0 0 43138 Lyft Inc Common Stock 55087P104 217 5053 SH DFND 1,2,3 248 0 4805 LyondellBasell Industries NV Common Stock N53745100 17927 189740 SH DFND 1,2,3 1167 0 188573 M&T Bank Corp Common Stock 55261F104 616 3630 SH DFND 1,2,3 188 0 3442 Macquarie Infrastructure Corp Common Stock 55608B105 27450 640749 SH DFND 1,2,3 31212 0 609537 Macy's Inc Common Stock 55616P104 921 54192 SH DFND 1,2,3 270 0 53922 Macy's Inc Common Stock 55616P104 170 100 SH Call DFND 1,2,3 0 0 100 Magellan Midstream Partners LP Common Stock 559080106 12754 202868 SH DFND 1,2,3 4329 0 198539 Main Street Capital Corp Common Stock 56035L104 210 4865 SH DFND 1,2,3 30 0 4835 Manulife Financial Corp Common Stock 56501R106 441 21739 SH DFND 1,2,3 790 0 20949 Marathon Oil Corp Common Stock 565849106 247 18153 SH DFND 1,2,3 3169 0 14984 Marathon Petroleum Corp Common Stock 56585A102 18029 299234 SH DFND 1,2,3 3080 0 296154 Markel Corp Common Stock 570535104 615 538 SH DFND 1,2,3 2 0 536 Marriott International Inc Common Stock 571903202 10918 72097 SH DFND 1,2,3 9447 0 62650 Marriott Vacations Worldwide Corp Common Stock 57164Y107 407 3161 SH DFND 1,2,3 222 0 2939 Marsh & Mclennan Companies Inc Common Stock 571748102 1001 8983 SH DFND 1,2,3 1166 0 7817 Martin Marietta Materials Inc Common Stock 573284106 256 916 SH DFND 1,2,3 26 0 890 Masco Corp Common Stock 574599106 870 18087 SH DFND 1,2,3 100 0 17987 Mastercard Inc A Common Stock 57636Q104 84473 282907 SH DFND 1,2,3 8870 0 274038 Materials Select Sector SPDR ETF Exchange Traded Fund 81369Y100 37430 609414 SH DFND 1,2,3 5129 0 604285 Maxim Integrated Products Inc Common Stock 57772K101 245 3985 SH DFND 1,2,3 146 0 3839 McCormick & Co Inc Non-Voting Common Stock 579780206 511 3012 SH DFND 1,2,3 96 0 2916 McDermott International Inc Common Stock 580037703 7 10957 SH DFND 1,2,3 0 0 10957 McDonald's Corp Common Stock 580135101 15238 77114 SH DFND 1,2,3 6007 0 71106 McKesson Corp Common Stock 58155Q103 1261 9120 SH DFND 1,2,3 110 0 9010 MDU Resources Group Inc Common Stock 552690109 10342 348112 SH DFND 1,2,3 600 0 347512 Medalist Diversified REIT Inc Common Stock 58403P105 35 10000 SH DFND 1,2,3 0 0 10000 Medical Properties Trust Inc Common Stock 58463J304 6016 285006 SH DFND 1,2,3 45730 0 239276 Medtronic PLC Common Stock G5960L103 64875 571841 SH DFND 1,2,3 82867 0 488973 Merck & Co Inc Common Stock 58933Y105 32512 357473 SH DFND 1,2,3 14778 0 342695 MetLife Inc Common Stock 59156R108 1110 21785 SH DFND 1,2,3 107 0 21678 Mettler-Toledo International Inc Common Stock 592688105 483 609 SH DFND 1,2,3 0 0 609 MGIC Investment Corp Common Stock 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30586 Molson Coors Brewing Co B Common Stock 60871R209 18011 334160 SH DFND 1,2,3 24367 0 309793 Momo Inc Common Stock 60879B107 2315 69105 SH DFND 1,2,3 20349 0 48756 Mondelez International Inc Class A Common Stock 609207105 21381 388185 SH DFND 1,2,3 15174 0 373012 Mongodb Inc Cl A Common Stock 60937P106 392 2982 SH DFND 1,2,3 0 0 2982 Monster Beverage Corp Common Stock 61174X109 699 10996 SH DFND 1,2,3 339 0 10657 Moody's Corporation Common Stock 615369105 284 1194 SH DFND 1,2,3 22 0 1172 Morgan Stanley Common Stock 617446448 1359 26581 SH DFND 1,2,3 1802 0 24779 Motorola Solutions Inc Common Stock 620076307 600 3726 SH DFND 1,2,3 27 0 3699 MPLX LP Partnership Units Common Stock 55336V100 447 17560 SH DFND 1,2,3 0 0 17560 MSCI Inc Common Stock 55354G100 4658 18043 SH DFND 1,2,3 8004 0 10039 MVC Capital Inc Common Stock 553829102 92 10000 SH DFND 1,2,3 0 0 10000 Nasdaq Inc Common Stock 631103108 22162 206929 SH DFND 1,2,3 2506 0 204423 National Grid PLC ADR Common Stock 636274409 547 8735 SH DFND 1,2,3 411 0 8324 National Oilwell Varco Inc Common Stock 637071101 687 27418 SH DFND 1,2,3 276 0 27142 NBT Bancorp Inc Equities 628778102 1431 35289 SH DFND 1,2,3 0 0 35289 NCR Corp Common Stock 62886E108 1080 30715 SH DFND 1,2,3 1574 0 29141 NetApp Inc Common Stock 64110D104 983 15795 SH DFND 1,2,3 72 0 15723 NetApp Inc Common Stock 64110D104 847 136 SH Put DFND 1,2,3 0 0 136 Netflix Inc Common Stock 64110L106 9502 29365 SH DFND 1,2,3 988 0 28377 NetScout Systems Inc Common Stock 64115T104 480 19953 SH DFND 1,2,3 8193 0 11760 Nevro Corp Common Stock 64157F103 1655 14141 SH DFND 1,2,3 0 0 14141 New Residential Invt Corp Com New Common Stock 64828T201 488 30303 SH DFND 1,2,3 0 0 30303 New York Community Capital Trust V Convertible Preferred 64944P307 274 5400 SH DFND 1,2,3 0 0 5400 Newell Brands Inc Common Stock 651229106 1006 52326 SH DFND 1,2,3 163 0 52163 Newmont Mining Corp Common Stock 651639106 1562 35955 SH DFND 1,2,3 481 0 35474 NextEra Energy Inc Common Stock 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Ltd Common Stock G6674U108 628 7458 SH DFND 1,2,3 0 0 7458 Nucor Corp Common Stock 670346105 7995 142058 SH DFND 1,2,3 1001 0 141057 Nutrien Ltd Common Stock 67077M108 1463 30533 SH DFND 1,2,3 8478 0 22055 Nuveen AMT-Free Muni Credit Inc Closed End Funds 67071L106 498 29877 SH DFND 1,2,3 0 0 29877 Nuveen AMT-Free Quality Muni Inc Closed End Funds 670657105 2314 160923 SH DFND 1,2,3 0 0 160923 Nuveen CA Quality Muni Income Closed End Funds 67066Y105 288 19364 SH DFND 1,2,3 0 0 19364 Nuveen Credit Strategies Income Closed End Funds 67073D102 462 60277 SH DFND 1,2,3 0 0 60277 Nuveen Enhanced Muni Value Closed End Funds 67074M101 2190 147259 SH DFND 1,2,3 0 0 147259 Nuveen Floating Rate Income Closed End Funds 67072T108 308 30071 SH DFND 1,2,3 0 0 30071 Nuveen GA Quality Muni Inc Closed End Funds 67072B107 162 12850 SH DFND 1,2,3 0 0 12850 Nuveen Global High Income Closed End Funds 67075G103 301 18381 SH DFND 1,2,3 735 0 17646 Nuveen Municipal Credit Income Closed End Funds 67070X101 196 11983 SH DFND 1,2,3 0 0 11983 Nuveen Municipal Income Closed End Funds 67062J102 149 13260 SH DFND 1,2,3 0 0 13260 Nuveen Municipal Value Closed End Funds 670928100 8280 773838 SH DFND 1,2,3 13870 0 759968 Nuveen Pref & Income Opps Fund Closed End Funds 67073B106 279 26690 SH DFND 1,2,3 0 0 26690 Nuveen Pref & Income Securities Fund Closed End Funds 67072C105 405 40405 SH DFND 1,2,3 0 0 40405 Nuveen Quality Muni Income Fund Closed End Funds 67066V101 1494 102327 SH DFND 1,2,3 2700 0 99627 Nuveen Select TaxFree Income Closed End Funds 67062F100 3116 189765 SH DFND 1,2,3 0 0 189765 Nuveen Select TaxFree Income 2 Closed End Funds 67063C106 2409 157976 SH DFND 1,2,3 0 0 157976 Nuveen Select TaxFree Income 3 Closed End Funds 67063X100 526 32300 SH DFND 1,2,3 0 0 32300 Nuveen TX Quality Muni Inc Closed End Funds 670983105 573 40006 SH DFND 1,2,3 0 0 40006 NV5 Global Inc Common Stock 62945V109 534 10594 SH DFND 1,2,3 0 0 10594 NVIDIA Corp Common Stock 67066G104 12182 51772 SH DFND 1,2,3 6696 0 45075 NVR Inc Common Stock 62944T105 255 67 SH DFND 1,2,3 0 0 67 NXP Semiconductors NV Common Stock N6596X109 4147 32585 SH DFND 1,2,3 596 0 31989 Occidental Petroleum Corp Common Stock 674599105 21060 511045 SH DFND 1,2,3 16120 0 494925 OGE Energy Corp Common Stock 670837103 560 12584 SH DFND 1,2,3 2307 0 10277 Okta Inc Common Stock 679295105 918 7953 SH DFND 1,2,3 89 0 7864 Old National Bancorp Common Stock 680033107 913 49938 SH DFND 1,2,3 0 0 49938 Ollie's Bargain Outlet Holdings Inc Common Stock 681116109 918 14051 SH DFND 1,2,3 833 0 13218 Omega Healthcare Investors Inc Common Stock 681936100 682 16113 SH DFND 1,2,3 885 0 15228 Omeros Corp Equities 682143102 1400 99337 SH DFND 1,2,3 88772 0 10565 Omnicom Group Inc Common Stock 681919106 1367 16868 SH DFND 1,2,3 343 0 16525 Oncternal Therapeutics Inc Common Stock 68236P107 306 77505 SH DFND 1,2,3 0 0 77505 Onemain Hldgs Inc Common Stock 68268W103 6531 154946 SH DFND 1,2,3 1112 0 153834 ONEOK Inc Common Stock 682680103 22952 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Republic Services Inc Common Stock 760759100 22345 249303 SH DFND 1,2,3 2996 0 246307 ResMed Inc Common Stock 761152107 749 4831 SH DFND 1,2,3 84 0 4747 Restaurant Brands Intl Inc com Common Stock 76131D103 299 4688 SH DFND 1,2,3 0 0 4688 Retail Properties of America Inc Common Stock 76131V202 579 43193 SH DFND 1,2,3 0 0 43193 Revolve Group Inccl A Common Stock 76156B107 995 54202 SH DFND 1,2,3 3836 0 50366 RH Com Common Stock 74967X103 1092 5117 SH DFND 1,2,3 266 0 4851 Rio Tinto PLC ADR Common Stock 767204100 757 12761 SH DFND 1,2,3 1418 0 11343 RiverNorth Marketplace Lending Corp Closed End Funds 76882B108 2301 126271 SH DFND 1,2,3 0 0 126271 Robert Half International Inc Common Stock 770323103 293 4637 SH DFND 1,2,3 26 0 4611 Rockwell Automation Inc Common Stock 773903109 863 4259 SH DFND 1,2,3 44 0 4215 Rogers Communications Inc Common Stock 775109200 1437 28931 SH DFND 1,2,3 19662 0 9269 Roku Inc Common Stock 77543R102 1118 8348 SH DFND 1,2,3 136 0 8212 Rollins Inc Common Stock 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1,2,3 5762 0 1612560 Schwab Fundamental Emerg Mkts Lg Co ETF Exchange Traded Fund 808524730 814 27279 SH DFND 1,2,3 1230 0 26049 Schwab Fundamental Intl Lg Co ETF Exchange Traded Fund 808524755 699 24169 SH DFND 1,2,3 8208 0 15961 Schwab Fundamental Intl Sm Co ETF Exchange Traded Fund 808524748 19486 586047 SH DFND 1,2,3 8493 0 577554 Schwab Fundamental US Large Company ETF Exchange Traded Fund 808524771 1543 36156 SH DFND 1,2,3 3854 0 32302 Schwab Fundamental US Small Company ETF Exchange Traded Fund 808524763 4305 106988 SH DFND 1,2,3 10883 0 96105 Schwab Intermediate-Term US Trs ETF Exchange Traded Fund 808524854 1633 29721 SH DFND 1,2,3 290 0 29431 Schwab International Equity ETF Exchange Traded Fund 808524805 86129 2561079 SH DFND 1,2,3 18370 0 2542710 Schwab International Small-Cap Eq ETF Exchange Traded Fund 808524888 2754 79472 SH DFND 1,2,3 3899 0 75573 Schwab Short-Term US Treasury ETF Exchange Traded Fund 808524862 25107 497365 SH DFND 1,2,3 875 0 496490 Schwab US Aggregate Bond ETF Exchange Traded Fund 808524839 43338 811124 SH DFND 1,2,3 2434 0 808690 Schwab US Broad Market ETF Exchange Traded Fund 808524102 46639 606652 SH DFND 1,2,3 6099 0 600553 Schwab US Dividend Equity ETF Exchange Traded Fund 808524797 7664 132321 SH DFND 1,2,3 1818 0 130503 Schwab US Large-Cap ETF Exchange Traded Fund 808524201 61953 806575 SH DFND 1,2,3 15947 0 790629 Schwab US Large-Cap Growth ETF Exchange Traded Fund 808524300 86283 928676 SH DFND 1,2,3 5643 0 923033 Schwab US Large-Cap Value ETF Exchange Traded Fund 808524409 80879 1345286 SH DFND 1,2,3 7197 0 1338090 Schwab US Mid-Cap ETF Exchange Traded Fund 808524508 20400 339155 SH DFND 1,2,3 758 0 338397 Schwab US REIT ETF Exchange Traded Fund 808524847 1605 34916 SH DFND 1,2,3 1907 0 33009 Schwab US Small-Cap ETF Exchange Traded Fund 808524607 30249 399911 SH DFND 1,2,3 13677 0 386234 Schwab US TIPS ETF Exchange Traded Fund 808524870 112607 1988472 SH DFND 1,2,3 11825 0 1976647 Seabridge Gold Inc Common Stock 811916105 691 50000 SH DFND 1,2,3 0 0 50000 Seagate Technology PLC Common Stock G7945M107 1199 20157 SH DFND 1,2,3 1680 0 18477 Sealed Air Corp Common Stock 81211K100 230 5782 SH DFND 1,2,3 122 0 5660 Seaspan Corp Common Stock Y75638109 142 10000 SH DFND 1,2,3 0 0 10000 Seattle Genetics Inc Common Stock 812578102 2758 24139 SH DFND 1,2,3 613 0 23526 Select Sector Spdr Fund Shs Ben Consumer Discretionary Exchange Traded Fund 81369Y407 37285 297281 SH DFND 1,2,3 5764 0 291517 Select Sector Spdr Trust Shs Ben Int Energy Exchange Traded Fund 81369Y506 4120 68627 SH DFND 1,2,3 1414 0 67213 Select Sector Spdr Trust The Health Care Select Sector Spdr Fund Exchange Traded Fund 81369Y209 75350 739745 SH DFND 1,2,3 107133 0 632612 Select Sector Spdr Trust The Utilities Select Sector Spdr Trust Exchange Traded Fund 81369Y886 33517 518686 SH DFND 1,2,3 4591 0 514094 Sempra Energy Common Stock 816851109 2454 16203 SH DFND 1,2,3 321 0 15882 Service Corp International Common Stock 817565104 758 16461 SH DFND 1,2,3 0 0 16461 ServiceNow Inc Common Stock 81762P102 8271 29295 SH DFND 1,2,3 367 0 28928 Sherwin-Williams Co Common Stock 824348106 22177 38004 SH DFND 1,2,3 288 0 37716 Shinhan Financial Group Co Ltd Common Stock 824596100 202 5295 SH DFND 1,2,3 346 0 4949 Shoe Carnival Inc Common Stock 824889109 1054 28278 SH DFND 1,2,3 1461 0 26817 Shopify Inc Common Stock 82509L107 1434 3607 SH DFND 1,2,3 37 0 3570 Sigma Labs Inc Common Stock 826598302 15 15000 SH DFND 1,2,3 15000 0 0 Simon Property Group Inc Common Stock 828806109 4109 27582 SH DFND 1,2,3 235 0 27347 Sirius XM Holdings Inc Common Stock 82968B103 988 138123 SH DFND 1,2,3 0 0 138123 SK Telecom Co Ltd Common Stock 78440P108 2311 100014 SH DFND 1,2,3 29267 0 70747 Skyworks Solutions Inc Common Stock 83088M102 6226 51502 SH DFND 1,2,3 7706 0 43796 SLM Corp Common Stock 78442P106 3725 418061 SH DFND 1,2,3 1338 0 416723 Smartsheet Inc Equities 83200N103 854 19008 SH DFND 1,2,3 18008 0 1000 Smith & Nephew PLC Common Stock 83175M205 250 5210 SH DFND 1,2,3 167 0 5043 Snap Inc Cl A Common Stock 83304A106 186 11416 SH DFND 1,2,3 208 0 11208 Snap-on Inc Common Stock 833034101 20021 118185 SH DFND 1,2,3 1517 0 116668 Solar Capital Ltd Equities 83413U100 3171 153800 SH DFND 1,2,3 1500 0 152300 SolarEdge Technologies Inc Common Stock 83417M104 204 2141 SH DFND 1,2,3 0 0 2141 Sonoco Products Co Common Stock 835495102 1760 28511 SH DFND 1,2,3 3426 0 25085 Sony Corp Common Stock 835699307 10053 147836 SH DFND 1,2,3 22040 0 125796 Southern Co Common Stock 842587107 25025 392861 SH DFND 1,2,3 14079 0 378782 Southwest Airlines Co Common Stock 844741108 1064 19716 SH DFND 1,2,3 1059 0 18657 Southwestern Energy Co Common Stock 845467109 25 10159 SH DFND 1,2,3 0 0 10159 SPDR Portfolio Short Term Corporate Bond ETF Exchange Traded Fund 78464A474 1194 38719 SH DFND 1,2,3 1620 0 37099 SPDR Blackstone / GSO Senior Loan ETF Exchange Traded Fund 78467V608 7489 160771 SH DFND 1,2,3 851 0 159920 SPDR Blmbg Barclays 1-3 Mth T-Bill ETF Exchange Traded Fund 78468R663 12496 136672 SH DFND 1,2,3 1828 0 134844 SPDR Blmbg Barclays Convert Secs ETF Exchange Traded Fund 78464A359 12186 219573 SH DFND 1,2,3 1935 0 217638 SPDR Blmbg Barclays High Yield Bd ETF Exchange Traded Fund 78468R622 23509 214617 SH DFND 1,2,3 3481 0 211136 SPDR Blmbg Barclays Intl Trs Bd ETF Exchange Traded Fund 78464A516 264 9170 SH DFND 1,2,3 1920 0 7250 SPDR Blmbg Barclays Inv Grd Flt Rt ETF Exchange Traded Fund 78468R200 2258 73469 SH DFND 1,2,3 1751 0 71718 SPDR DoubleLine Total Return Tact ETF Exchange Traded Fund 78467V848 332 6780 SH DFND 1,2,3 0 0 6780 SPDR Dow Jones Industrial Average ETF Exchange Traded Fund 78467X109 4207 14757 SH DFND 1,2,3 858 0 13900 SPDR Dow Jones International RelEst ETF Exchange Traded Fund 78463X863 1147 29574 SH DFND 1,2,3 18724 0 10850 SPDR Dow Jones REIT ETF Exchange Traded Fund 78464A607 1012 9923 SH DFND 1,2,3 802 0 9121 SPDR Gold Shares Exchange Traded Fund 78463V107 13726 96051 SH DFND 1,2,3 3878 0 92173 SPDR MSCI EAFE StrategicFactors ETF Exchange Traded Fund 78463X434 439 6571 SH DFND 1,2,3 2222 0 4349 SPDR MSCI USA StrategicFactors ETF Exchange Traded Fund 78468R812 1178 12445 SH DFND 1,2,3 4087 0 8358 SPDR Nuveen Blmbg Barclays Muni Bd ETF Exchange Traded Fund 78468R721 2690 53188 SH DFND 1,2,3 0 0 53188 SPDR Nuveen S&P High Yield Muni Bd ETF Exchange Traded Fund 78464A284 351 5942 SH DFND 1,2,3 0 0 5942 SPDR Portfolio Aggregate Bond ETF Exchange Traded Fund 78464A649 25813 878593 SH DFND 1,2,3 649 0 877944 SPDR Portfolio Developed Wld ex-US ETF Exchange Traded Fund 78463X889 15792 503724 SH DFND 1,2,3 7563 0 496161 SPDR Portfolio Interm Term Corp Bd ETF Exchange Traded Fund 78464A375 6421 181834 SH DFND 1,2,3 1038 0 180796 SPDR Portfolio Large Cap ETF Exchange Traded Fund 78464A854 203 5376 SH DFND 1,2,3 908 0 4468 SPDR Portfolio MSCI Global Stk Mkt ETF Exchange Traded Fund 78463X475 277 6453 SH DFND 1,2,3 522 0 5931 SPDR Portfolio S&P 500 Value ETF Exchange Traded Fund 78464A508 20794 595653 SH DFND 1,2,3 5053 0 590600 SPDR Portfolio Small Cap ETF Exchange Traded Fund 78468R853 998 30574 SH DFND 1,2,3 5315 0 25259 SPDR Portfolio Total Stock Market ETF Exchange Traded Fund 78464A805 18765 470774 SH DFND 1,2,3 10151 0 460623 SPDR Russell 1000 Low Vol Foc ETF Exchange Traded Fund 78468R754 397 4605 SH DFND 1,2,3 71 0 4534 SPDR Russell 1000 Yield Focus ETF Exchange Traded Fund 78468R770 409 5371 SH DFND 1,2,3 0 0 5371 SPDR S&P 500 ETF Exchange Traded Fund 78462F103 126337 392522 SH DFND 1,2,3 17250 0 375272 SPDR S&P 500 ETF Exchange Traded Fund 78462F103 1287 40 SH Put DFND 1,2,3 0 0 40 SPDR S&P 500 Fossil Fuel Rsrv Free ETF Exchange Traded Fund 78468R796 431 5463 SH DFND 1,2,3 0 0 5463 SPDR S&P 500 Growth Exchange Traded Fund 78464A409 20292 484191 SH DFND 1,2,3 7244 0 476947 SPDR S&P 600 Small Cap Growth ETF Exchange Traded Fund 78464A201 2959 45854 SH DFND 1,2,3 5137 0 40717 SPDR S&P 600 Small Cap Value ETF Exchange Traded Fund 78464A300 2954 44952 SH DFND 1,2,3 1347 0 43605 SPDR S&P Biotech ETF Exchange Traded Fund 78464A870 789 8297 SH DFND 1,2,3 1148 0 7149 SPDR S&P Dividend ETF Exchange Traded Fund 78464A763 42545 395514 SH DFND 1,2,3 129320 0 266194 SPDR S&P Emerging Markets ETF Exchange Traded Fund 78463X509 22487 598208 SH DFND 1,2,3 7930 0 590278 SPDR S&P Global Dividend ETF Exchange Traded Fund 78463X459 4261 59651 SH DFND 1,2,3 0 0 59651 SPDR S&P Global Infrastructure ETF Exchange Traded Fund 78463X855 300 5449 SH DFND 1,2,3 0 0 5449 SPDR S&P International Small Cap ETF Exchange Traded Fund 78463X871 978 30686 SH DFND 1,2,3 2584 0 28102 SPDR S&P MidCap 400 ETF Exchange Traded Fund 78467Y107 4845 12908 SH DFND 1,2,3 2019 0 10889 SPDR S&P Regional Banking ETF Exchange Traded Fund 78464A698 18612 319511 SH DFND 1,2,3 1377 0 318134 SPDR SSgA Global Allocation ETF Exchange Traded Fund 78467V400 472 11783 SH DFND 1,2,3 1883 0 9900 SPDR SSGA US Large Cap Low Volatil ETF Exchange Traded Fund 78468R804 1085 9502 SH DFND 1,2,3 0 0 9502 SPDR SSGA US Small Cap Low Volatil ETF Exchange Traded Fund 78468R887 12578 125679 SH DFND 1,2,3 434 0 125245 SPDR Dow Jones Global Real Estate ETF Exchange Traded Fund 78463X749 250 4848 SH DFND 1,2,3 300 0 4548 SPDR MSCI ACWI ex-US ETF Exchange Traded Fund 78463X848 5638 218796 SH DFND 1,2,3 8066 0 210730 SPDR MSCI ACWI Low Carbon Target ETF Exchange Traded Fund 78463X194 535 5397 SH DFND 1,2,3 0 0 5397 SPDR Nuveen Blmbg Barclays ST MunBd ETF Exchange Traded Fund 78468R739 1211 24664 SH DFND 1,2,3 0 0 24664 SPDR Portfolio Mid Cap ETF Exchange Traded Fund 78464A847 4109 113409 SH DFND 1,2,3 91 0 113318 SPDR S&P 400 Mid Cap Growth ETF Exchange Traded Fund 78464A821 213 3739 SH DFND 1,2,3 2925 0 814 SPDR S&P 600 Small Cap ETF Exchange Traded Fund 78464A813 208 2874 SH DFND 1,2,3 1565 0 1309 SPDR SSgA Income Allocation ETF Exchange Traded Fund 78467V202 787 22940 SH DFND 1,2,3 1352 0 21588 Spirit Airlines Inc Common Stock 848577102 956 23706 SH DFND 1,2,3 1430 0 22276 Spirit of Texas Bancshares Inc Common Stock 84861D103 820 35638 SH DFND 1,2,3 0 0 35638 Spirit Realty 3.750 05/15/21 CVT Convertible Bonds 84860WAB8 15 15000 SH DFND 1,2,3 0 0 15000 Splunk Inc Common Stock 848637104 6627 44249 SH DFND 1,2,3 467 0 43782 Spotify Technology SA Common Stock L8681T102 756 5057 SH DFND 1,2,3 38 0 5019 Sprott Gold Miners ETF Exchange Traded Fund 85210B102 869 34541 SH DFND 1,2,3 4511 0 30030 Sprott Physical Gold and Silver Trust Closed End Funds 85208R101 478 32622 SH DFND 1,2,3 0 0 32622 Sprott Physical Gold Trust Closed End Funds 85207H104 610 50100 SH DFND 1,2,3 100 0 50000 Square Inc Common Stock 852234103 2431 38851 SH DFND 1,2,3 237 0 38614 Stanley Black & Decker Inc Common Stock 854502101 713 4300 SH DFND 1,2,3 138 0 4162 Starbucks Corp Common Stock 855244109 149192 1696904 SH DFND 1,2,3 388731 0 1308173 State Street Corporation Common Stock 857477103 1485 18778 SH DFND 1,2,3 845 0 17933 Stericycle Inc Common Stock 858912108 3912 61309 SH DFND 1,2,3 12041 0 49268 STERIS PLC Common Stock G8473T100 22513 147701 SH DFND 1,2,3 1836 0 145865 STMicroelectronics NV Common Stock 861012102 301 11184 SH DFND 1,2,3 806 0 10378 StoneCastle Financial Corp Equities 861780104 3652 163750 SH DFND 1,2,3 0 0 163750 STORE Capital Corp Common Stock 862121100 249 6676 SH DFND 1,2,3 200 0 6476 Stryker Corp Common Stock 863667101 6323 30120 SH DFND 1,2,3 224 0 29896 Sumitomo Mitsui Financial Group Inc Common Stock 86562M209 573 77268 SH DFND 1,2,3 6052 0 71216 Sun Communities Inc Common Stock 866674104 3247 21633 SH DFND 1,2,3 4677 0 16956 Suncor Energy Inc Common Stock 867224107 440 13425 SH DFND 1,2,3 831 0 12594 SVB Financial Group Common Stock 78486Q101 595 2371 SH DFND 1,2,3 2 0 2369 Symantec Corp Common Stock 668771108 607 23791 SH DFND 1,2,3 0 0 23791 Synchrony Financial Common Stock 87165B103 26902 747080 SH DFND 1,2,3 4914 0 742166 Sysco Corp Common Stock 871829107 2165 25315 SH DFND 1,2,3 195 0 25120 T. Rowe Price Group Inc Common Stock 74144T108 2656 21801 SH DFND 1,2,3 5456 0 16345 T2 Biosystems Inc Common Stock 89853L104 12 10000 SH DFND 1,2,3 0 0 10000 Taiwan Semiconductor Manufacturing Co Ltd Common Stock 874039100 31301 538751 SH DFND 1,2,3 97437 0 441314 Takeda Pharmaceutical Co Ltd Common Stock 874060205 332 16818 SH DFND 1,2,3 1049 0 15769 Tapestry Inc Common Stock 876030107 556 20602 SH DFND 1,2,3 1047 0 19555 Target Corp Common Stock 87612E106 4346 33896 SH DFND 1,2,3 3451 0 30444 Taseko Mines Ltd Common Stock 876511106 48 101000 SH DFND 1,2,3 0 0 101000 TC Energy Corpcom Common Stock 87807B107 394 7392 SH DFND 1,2,3 260 0 7132 TE Connectivity Ltd Common Stock H84989104 960 10019 SH DFND 1,2,3 308 0 9711 Technology Select Sector SPDR ETF Exchange Traded Fund 81369Y803 46988 512573 SH DFND 1,2,3 12822 0 499750 Teck Resources Ltd Common Stock 878742204 176 10144 SH DFND 1,2,3 139 0 10005 Tegna Inc Common Stock 87901J105 450 26936 SH DFND 1,2,3 0 0 26936 Teladoc Health Inc Common Stock 87918A105 760 9081 SH DFND 1,2,3 84 0 8997 Telefonaktiebolaget L M Ericsson Common Stock 294821608 3984 453710 SH DFND 1,2,3 21489 0 432221 Telefonica Sa Common Stock 879382208 188 27035 SH DFND 1,2,3 1439 0 25596 Tenaris SA ADR Common Stock 88031M109 227 10007 SH DFND 1,2,3 175 0 9832 Terreno Realty Corp Common Stock 88146M101 518 9567 SH DFND 1,2,3 152 0 9415 Tesla Motors Inc Common Stock 88160R101 7328 17517 SH DFND 1,2,3 796 0 16721 Tesla Motors Inc Common Stock 88160R101 251 6 SH Call DFND 1,2,3 0 0 5 Teva Pharmaceutical Industries Ltd ADR Common Stock 881624209 114 11632 SH DFND 1,2,3 3306 0 8326 Texas Instruments Inc Common Stock 882508104 51378 400483 SH DFND 1,2,3 2464 0 398019 Texas Pacific Land Trust Common Stock 882610108 6565 8403 SH DFND 1,2,3 238 0 8165 Textron Inc Common Stock 883203101 399 8943 SH DFND 1,2,3 52 0 8891 TG Therapeutics Inc Common Stock 88322Q108 614 55360 SH DFND 1,2,3 0 0 55360 The Carlyle Group LP Common Stock 14309L102 2797 87177 SH DFND 1,2,3 0 0 87177 The Cooper Companies Inc Common Stock 216648402 319 992 SH DFND 1,2,3 4 0 988 The Estee Lauder Companies Inc Class A Common Stock 518439104 1589 7695 SH DFND 1,2,3 146 0 7549 The Hain Celestial Group Inc Common Stock 405217100 1365 52613 SH DFND 1,2,3 0 0 52613 The Hartford Financial Services Group Inc Common Stock 416515104 202 3329 SH DFND 1,2,3 152 0 3177 The Hershey Co Common Stock 427866108 378 2575 SH DFND 1,2,3 287 0 2288 The Home Depot Inc Common Stock 437076102 64860 297005 SH DFND 1,2,3 23890 0 273115 The Interpublic Group of Companies Inc Common Stock 460690100 1019 44128 SH DFND 1,2,3 45 0 44083 The Kraft Heinz Co Common Stock 500754106 1751 54485 SH DFND 1,2,3 2218 0 52267 The Kroger Co Common Stock 501044101 284 9780 SH DFND 1,2,3 800 0 8980 The Scotts Miracle Gro Co Common Stock 810186106 276 2603 SH DFND 1,2,3 347 0 2256 The Trade Desk Inc Com Cl A Common Stock 88339J105 1042 4012 SH DFND 1,2,3 59 0 3953 The Travelers Companies Inc Common Stock 89417E109 4838 35330 SH DFND 1,2,3 558 0 34772 The Wendy's Co Common Stock 95058W100 238 10705 SH DFND 1,2,3 0 0 10705 The Western Union Co Common Stock 959802109 1247 46583 SH DFND 1,2,3 469 0 46114 Thermo Fisher Scientific Inc Common Stock 883556102 31357 96522 SH DFND 1,2,3 4257 0 92265 Thomson Reuters Corp Com Common Stock 884903709 20588 287543 SH DFND 1,2,3 13158 0 274385 Thor Industries Inc Common Stock 885160101 25175 338881 SH DFND 1,2,3 4373 0 334508 Tiffany & Co Common Stock 886547108 794 5941 SH DFND 1,2,3 18 0 5923 Tile Shop Holdings Inc Common Stock 88677Q109 24 14270 SH DFND 1,2,3 14270 0 0 TJX Companies Inc Common Stock 872540109 6544 107169 SH DFND 1,2,3 19038 0 88131 T-Mobile US Inc Common Stock 872590104 10596 135124 SH DFND 1,2,3 44536 0 90588 Tompkins Financial Corp Common Stock 890110109 626 6837 SH DFND 1,2,3 0 0 6837 Toronto Dominion Bk Ont Com New Common Stock 891160509 4613 82176 SH DFND 1,2,3 18737 0 63439 Tortoise North American Pipeline Exchange Traded Fund 56167N720 661 28138 SH DFND 1,2,3 0 0 28138 Total Sa Common Stock 89151E109 13245 239516 SH DFND 1,2,3 27806 0 211710 Tower Semiconductor Ltd Common Stock M87915274 2617 108790 SH DFND 1,2,3 16187 0 92603 Toyota Motor Corporation Ads Common Stock 892331307 7654 54462 SH DFND 1,2,3 3000 0 51462 Tractor Supply Co Common Stock 892356106 20030 214359 SH DFND 1,2,3 2960 0 211399 TransDigm Group Inc Common Stock 893641100 4303 7684 SH DFND 1,2,3 102 0 7582 Transocean Ltd Common Stock H8817H100 70 10240 SH DFND 1,2,3 0 0 10240 Trex Co Inc Common Stock 89531P105 364 4050 SH DFND 1,2,3 0 0 4050 Trimble Inc Common Stock 896239100 3212 77038 SH DFND 1,2,3 23000 0 54038 TriState Capital Holdings Inc Common Stock 89678F100 500 19125 SH DFND 1,2,3 0 0 19125 Triumph Bancorp Inc Common Stock 89679E300 2025 53271 SH DFND 1,2,3 1549 0 51722 Truist Finl Corp Com Common Stock 89832Q109 13217 234684 SH DFND 1,2,3 1839 0 232845 Trustmark Corp Common Stock 898402102 290 8407 SH DFND 1,2,3 0 0 8407 Twilio Inc Common Stock 90138F102 662 6735 SH DFND 1,2,3 90 0 6645 Twitter Inc Common Stock 90184L102 778 24271 SH DFND 1,2,3 257 0 24014 Tyler Technologies Inc Common Stock 902252105 6364 21211 SH DFND 1,2,3 1200 0 20011 Tyson Foods Inc Class A Common Stock 902494103 801 8804 SH DFND 1,2,3 143 0 8661 UBS ETRACS Alerian MLP Infras ETN Exchange Traded Fund 902641646 3256 167674 SH DFND 1,2,3 4855 0 162819 UDR Inc Common Stock 902653104 496 10627 SH DFND 1,2,3 0 0 10627 Ulta Salon Cosmetics & Fragrance Inc Common Stock 90384S303 271 1070 SH DFND 1,2,3 0 0 1070 Ultrapar Participacoes SA Common Stock 90400P101 260 41514 SH DFND 1,2,3 786 0 40728 Under Armour Inc A Common Stock 904311107 323 14971 SH DFND 1,2,3 60 0 14911 Under Armour Inc C Common Stock 904311206 361 18814 SH DFND 1,2,3 16 0 18798 Unilever NV Common Stock 904784709 1429 24870 SH DFND 1,2,3 4581 0 20289 Unilever PLC ADR Common Stock 904767704 13473 235670 SH DFND 1,2,3 6114 0 229556 Union Pacific Corp Common Stock 907818108 62434 345341 SH DFND 1,2,3 10357 0 334984 United Bankshares Inc Common Stock 909907107 4163 107685 SH DFND 1,2,3 0 0 107685 United Continental Holdings Inc Common Stock 910047109 292 3317 SH DFND 1,2,3 135 0 3182 United Insurance Holdings Corp Common Stock 910710102 3821 303012 SH DFND 1,2,3 0 0 303012 United Parcel Service Inc Class B Common Stock 911312106 20783 177539 SH DFND 1,2,3 933 0 176605 United Rentals Inc Common Stock 911363109 4375 26234 SH DFND 1,2,3 619 0 25615 United Technologies Corp Common Stock 913017109 48717 325298 SH DFND 1,2,3 16448 0 308850 United Therapeutics Corp Common Stock 91307C102 476 5400 SH DFND 1,2,3 0 0 5400 United-Guardian Inc Common Stock 910571108 634 32290 SH DFND 1,2,3 0 0 32290 UnitedHealth Group Inc Common Stock 91324P102 27625 93970 SH DFND 1,2,3 16149 0 77821 Universal Display Corp Common Stock 91347P105 872 4233 SH DFND 1,2,3 54 0 4179 Urban Edge Properties Common Stock 91704F104 225 11723 SH DFND 1,2,3 0 0 11723 US Bancorp Common Stock 902973304 8403 141734 SH DFND 1,2,3 14963 0 126771 US Concrete Inc Common Stock 90333L201 768 18442 SH DFND 1,2,3 1021 0 17421 US Food Holding Corp Common Stock 912008109 4141 98857 SH DFND 1,2,3 428 0 98429 Vail Resorts Inc Common Stock 91879Q109 551 2296 SH DFND 1,2,3 0 0 2296 Valero Energy Corp Common Stock 91913Y100 1886 20139 SH DFND 1,2,3 341 0 19798 VanEck Vectors AMT-Free Interm Muni ETF Exchange Traded Fund 92189H201 324 6451 SH DFND 1,2,3 0 0 6451 VanEck Vectors Gold Miners ETF Exchange Traded Fund 92189F106 1586 54168 SH DFND 1,2,3 5031 0 49136 VanEck Vectors High-Yield Municipal ETF Exchange Traded Fund 92189H409 200 3126 SH DFND 1,2,3 0 0 3126 VanEck Vectors JP Morgan EM LC Bd ETF Exchange Traded Fund 92189H300 5027 147815 SH DFND 1,2,3 843 0 146972 VanEck Vectors Oil Services ETF Exchange Traded Fund 92189F718 198 14963 SH DFND 1,2,3 0 0 14963 VanEck Vectors NDR CMG Lg/FlatAllc ETF Exchange Traded Fund 92189F148 2990 99449 SH DFND 1,2,3 0 0 99449 Vanguard 500 ETF Exchange Traded Fund 922908363 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1773 SH DFND 1,2,3 0 0 1773 Vanguard Information Technology ETF Exchange Traded Fund 92204A702 2520 10290 SH DFND 1,2,3 200 0 10090 Vanguard Intermediate-Term Bond ETF Exchange Traded Fund 921937819 339 3892 SH DFND 1,2,3 0 0 3892 Vanguard Intermediate-Term Corp Bd ETF Exchange Traded Fund 92206C870 8651 94723 SH DFND 1,2,3 10267 0 84456 Vanguard Intl Div Apprec ETF Exchange Traded Fund 921946810 2231 30965 SH DFND 1,2,3 7800 0 23165 Vanguard Intl Hi Div Yld Idx ETF Exchange Traded Fund 921946794 256 4013 SH DFND 1,2,3 0 0 4013 Vanguard Intmdt-Term Trs ETF Exchange Traded Fund 92206C706 47606 722391 SH DFND 1,2,3 36213 0 686178 Vanguard Large-Cap ETF Exchange Traded Fund 922908637 18596 125784 SH DFND 1,2,3 2139 0 123645 Vanguard Materials ETF Exchange Traded Fund 92204A801 1513 11281 SH DFND 1,2,3 500 0 10781 Vanguard Mega Cap Growth ETF Exchange Traded Fund 921910816 3463 23775 SH DFND 1,2,3 0 0 23775 Vanguard Mega Cap Value ETF Exchange Traded Fund 921910840 5361 61499 SH DFND 1,2,3 0 0 61499 Vanguard Mid-Cap ETF Exchange Traded Fund 922908629 10984 61644 SH DFND 1,2,3 798 0 60846 Vanguard Mid-Cap Growth ETF Exchange Traded Fund 922908538 1694 10671 SH DFND 1,2,3 347 0 10324 Vanguard Mid-Cap Value ETF Exchange Traded Fund 922908512 2281 19140 SH DFND 1,2,3 160 0 18980 Vanguard Mortgage-Backed Secs ETF Exchange Traded Fund 92206C771 4763 89572 SH DFND 1,2,3 48 0 89524 Vanguard REIT ETF Exchange Traded Fund 922908553 107872 1162534 SH DFND 1,2,3 31708 0 1130827 Vanguard Russell 1000 Growth ETF Exchange Traded Fund 92206C680 270 1494 SH DFND 1,2,3 224 0 1270 Vanguard Russell 3000 ETF Exchange Traded Fund 92206C599 2848 19453 SH DFND 1,2,3 0 0 19453 Vanguard S&P 500 Growth ETF Exchange Traded Fund 921932505 447 2561 SH DFND 1,2,3 0 0 2561 Vanguard S&P Mid-Cap 400 ETF Exchange Traded Fund 921932885 359 2586 SH DFND 1,2,3 0 0 2586 Vanguard S&P Small-Cap 600 ETF Exchange Traded Fund 921932828 1125 7391 SH DFND 1,2,3 0 0 7391 Vanguard Short-Term Bond ETF Exchange Traded Fund 921937827 21649 268563 SH DFND 1,2,3 6340 0 262223 Vanguard Short-Term Corporate Bond ETF Exchange Traded Fund 92206C409 18973 234151 SH DFND 1,2,3 31015 0 203136 Vanguard Short-Term Infl-Prot Secs ETF Exchange Traded Fund 922020805 1525 30937 SH DFND 1,2,3 4232 0 26705 Vanguard Short-Term Treasury ETF Exchange Traded Fund 92206C102 1645 27049 SH DFND 1,2,3 1407 0 25642 Vanguard Small-Cap ETF Exchange Traded Fund 922908751 22517 136250 SH DFND 1,2,3 2814 0 133436 Vanguard Small-Cap Growth ETF Exchange Traded Fund 922908595 70274 353671 SH DFND 1,2,3 3024 0 350647 Vanguard Small-Cap Value ETF Exchange Traded Fund 922908611 76203 555941 SH DFND 1,2,3 5557 0 550383 Vanguard Tax-Exempt Bond ETF Exchange Traded Fund 922907746 846 15796 SH DFND 1,2,3 2328 0 13468 Vanguard Telecommunication Services ETF Exchange Traded Fund 92204A884 284 3023 SH DFND 1,2,3 356 0 2667 Vanguard Total Bond Market ETF Exchange Traded Fund 921937835 7169 85484 SH DFND 1,2,3 16678 0 68806 Vanguard Total International Bond ETF Exchange Traded Fund 92203J407 85934 1518797 SH DFND 1,2,3 7191 0 1511606 Vanguard Total International Stock ETF Exchange Traded Fund 921909768 14668 263392 SH DFND 1,2,3 14586 0 248806 Vanguard Total Stock Market ETF Exchange Traded Fund 922908769 59043 360855 SH DFND 1,2,3 35178 0 325677 Vanguard Total World Stock ETF Exchange Traded Fund 922042742 6738 83201 SH DFND 1,2,3 2585 0 80616 Vanguard Utilities ETF Exchange Traded Fund 92204A876 2000 13997 SH DFND 1,2,3 0 0 13997 Vanguard Value ETF Exchange Traded Fund 922908744 372199 3105537 SH DFND 1,2,3 26908 0 3078629 Varian Medical Systems Inc Common Stock 92220P105 9909 69776 SH DFND 1,2,3 568 0 69208 Veeva Systems Inc Common Stock 922475108 257 1829 SH DFND 1,2,3 261 0 1568 Ventas Inc Common Stock 92276F100 1642 28433 SH DFND 1,2,3 1000 0 27433 VeriSign Inc Common Stock 92343E102 2274 11803 SH DFND 1,2,3 1644 0 10159 Verisk Analytics Inc Common Stock 92345Y106 263 1763 SH DFND 1,2,3 197 0 1566 Verizon Communications Inc Common Stock 92343V104 71136 1158572 SH DFND 1,2,3 104259 0 1054313 Vertex Pharmaceuticals Inc Common Stock 92532F100 5124 23404 SH DFND 1,2,3 395 0 23009 VF Corp Common Stock 918204108 1126 11299 SH DFND 1,2,3 272 0 11027 Viacomcbs Cl B Ord Common Stock 92556H206 464 11054 SH DFND 1,2,3 646 0 10408 Visa Inc Class A Common Stock 92826C839 102464 545309 SH DFND 1,2,3 79072 0 466237 VMware Inc Common Stock 928563402 15190 100070 SH DFND 1,2,3 709 0 99361 Vodafone Group PLC ADR Common Stock 92857W308 328 16981 SH DFND 1,2,3 190 0 16791 Vornado Realty Trust Common Stock 929042109 15100 227067 SH DFND 1,2,3 1406 0 225661 Voya Emerging Markets High Dividend Eq Closed End Funds 92912P108 356 44549 SH DFND 1,2,3 0 0 44549 Voya Global Advantage and Premium Opp Closed End Funds 92912R104 757 72190 SH DFND 1,2,3 625 0 71565 Voya Natural Resources Equity Income Closed End Funds 92913C106 376 91326 SH DFND 1,2,3 850 0 90476 Voya Prime Rate Trust Closed End Funds 92913A100 94 18710 SH DFND 1,2,3 0 0 18710 Vulcan Materials Co Common Stock 929160109 840 5834 SH DFND 1,2,3 17 0 5817 W.P. Carey Inc Common Stock 92936U109 7479 93436 SH DFND 1,2,3 1221 0 92215 W.W. Grainger Inc Common Stock 384802104 2520 7444 SH DFND 1,2,3 36 0 7408 Walgreen Boots Alliance Inc Com Common Stock 931427108 24723 419315 SH DFND 1,2,3 2640 0 416675 Wal-Mart Stores Inc Common Stock 931142103 58014 488173 SH DFND 1,2,3 10396 0 477776 Walt Disney Co Common Stock 254687106 90755 627495 SH DFND 1,2,3 38872 0 588623 Washington REIT Common Stock 939653101 807 27642 SH DFND 1,2,3 0 0 27642 Waste Connections Inc Common Stock 94106B101 251 2761 SH DFND 1,2,3 105 0 2656 Waste Management Inc Common Stock 94106L109 2970 26060 SH DFND 1,2,3 6819 0 19241 Waters Corp Common Stock 941848103 12304 52662 SH DFND 1,2,3 450 0 52212 WBI BullBear Global Income ETF Exchange Traded Fund 00400R874 287 11265 SH DFND 1,2,3 0 0 11265 Wecenergy Group Inc Common Stock 92939U106 2314 25092 SH DFND 1,2,3 11214 0 13878 Wells Fargo & Co Common Stock 949746101 30872 573832 SH DFND 1,2,3 16395 0 557436 Wells Fargo & Co Convertible Preferred 949746804 1211 835 SH DFND 1,2,3 0 0 835 Welltower Inc Com Common Stock 95040Q104 1888 23092 SH DFND 1,2,3 1216 0 21876 Western Asset Global High Inc Closed End Funds 95766B109 181 18083 SH DFND 1,2,3 0 0 18083 Western Asset Muni High Income Closed End Funds 95766N103 693 91438 SH DFND 1,2,3 0 0 91438 Western Digital Corp Common Stock 958102105 6264 98687 SH DFND 1,2,3 15360 0 83327 Westinghouse Air Brake Technologies Corp Common Stock 929740108 27863 358139 SH DFND 1,2,3 48777 0 309362 Westpac Banking Corp Common Stock 961214301 474 27941 SH DFND 1,2,3 297 0 27644 WestRock Co Common Stock 96145D105 6092 141965 SH DFND 1,2,3 6163 0 135802 Weyerhaeuser Co Common Stock 962166104 2731 90439 SH DFND 1,2,3 3741 0 86698 Wheaton Precious Metals Corp Common Stock 962879102 1070 35979 SH DFND 1,2,3 79 0 35900 Whirlpool Corp Common Stock 963320106 288 1952 SH DFND 1,2,3 49 0 1903 Williams Companies Inc Common Stock 969457100 7057 297526 SH DFND 1,2,3 3823 0 293703 Willis Towers Watson Public Limited Company Shs Common Stock G96629103 370 1830 SH DFND 1,2,3 0 0 1830 Wintrust Financial Corp Common Stock 97650W108 251 3543 SH DFND 1,2,3 0 0 3543 WisdomTree CBOE S&P500 PutWriteStrat ETF Exchange Traded Fund 97717X560 363 12757 SH DFND 1,2,3 0 0 12757 WisdomTree Emerging Markets High Div ETF Exchange Traded Fund 97717W315 6072 132660 SH DFND 1,2,3 3250 0 129410 WisdomTree Emerging Markets SmCp Div ETF Exchange Traded Fund 97717W281 1842 38510 SH DFND 1,2,3 3985 0 34525 WisdomTree Europe SmallCap Dividend ETF Exchange Traded Fund 97717W869 311 4758 SH DFND 1,2,3 0 0 4758 WisdomTree International Hedged Quality Dividend Growth ETF Exchange Traded Fund 97717X594 6252 172077 SH DFND 1,2,3 0 0 172077 WisdomTree International High Div ETF Exchange Traded Fund 97717W802 1039 24715 SH DFND 1,2,3 13480 0 11235 WisdomTree International LargeCp Div ETF Exchange Traded Fund 97717W794 3526 71975 SH DFND 1,2,3 0 0 71975 WisdomTree International SmallCp Div ETF Exchange Traded Fund 97717W760 2076 29188 SH DFND 1,2,3 0 0 29188 WisdomTree Japan SmallCap Dividend ETF Exchange Traded Fund 97717W836 624 8484 SH DFND 1,2,3 0 0 8484 WisdomTree SmallCap Dividend ETF Exchange Traded Fund 97717W604 27462 957532 SH DFND 1,2,3 34000 0 923532 WisdomTree US High Dividend ETF Exchange Traded Fund 97717W208 425 5538 SH DFND 1,2,3 0 0 5538 WisdomTree US LargeCap Dividend ETF Exchange Traded Fund 97717W307 3643 34387 SH DFND 1,2,3 0 0 34387 WisdomTree US MidCap Dividend ETF Exchange Traded Fund 97717W505 14748 387688 SH DFND 1,2,3 13030 0 374658 WisdomTree US Quality Dividend Gr ETF Exchange Traded Fund 97717X669 3601 74291 SH DFND 1,2,3 1595 0 72696 WisdomTree US SmallCap Earnings ETF Exchange Traded Fund 97717W562 1218 31669 SH DFND 1,2,3 0 0 31669 WisdomTree US Total Dividend ETF Exchange Traded Fund 97717W109 3283 31094 SH DFND 1,2,3 0 0 31094 WisdomTree Yield Enhanced US Aggt Bd ETF Exchange Traded Fund 97717X511 293 5612 SH DFND 1,2,3 0 0 5612 WNS (Holdings) Ltd Common Stock 92932M101 3081 46571 SH DFND 1,2,3 13068 0 33503 Workday Inc Common Stock 98138H101 3667 22298 SH DFND 1,2,3 294 0 22004 World Acceptance Corp Common Stock 981419104 795 9200 SH DFND 1,2,3 9200 0 0 WPP PLC Common Stock 92937A102 369 5243 SH DFND 1,2,3 391 0 4852 WPX Energy Inc Class A Common Stock 98212B103 2934 213546 SH DFND 1,2,3 34635 0 178911 Xcel Energy Inc Common Stock 98389B100 3010 47402 SH DFND 1,2,3 2186 0 45216 Xerox Holdings Corp Common Stock 98421M106 1008 27351 SH DFND 1,2,3 144 0 27207 Xilinx Inc Common Stock 983919101 24862 254287 SH DFND 1,2,3 3035 0 251253 XPO Logistics Inc Common Stock 983793100 26556 333197 SH DFND 1,2,3 24352 0 308845 Xtrackers Harvest CSI 300 China A ETF Exchange Traded Fund 233051879 1205 40639 SH DFND 1,2,3 0 0 40639 Xtrackers MSCI EAFE Hedged Equity ETF Exchange Traded Fund 233051200 239470 7089107 SH DFND 1,2,3 30954 0 7058153 Xylem Inc Common Stock 98419M100 6514 82675 SH DFND 1,2,3 8920 0 73755 Yamana Gold Inc Common Stock 98462Y100 40 10000 SH DFND 1,2,3 0 0 10000 Yandex NV Common Stock N97284108 2878 66170 SH DFND 1,2,3 18345 0 47825 Yum Brands Inc Common Stock 988498101 13946 138445 SH DFND 1,2,3 5073 0 133372 Yum China Hldgs Inc Com Common Stock 98850P109 4697 97829 SH DFND 1,2,3 6430 0 91399 Zimmer Biomet Holdings Inc Common Stock 98956P102 2823 18977 SH DFND 1,2,3 1262 0 17715 Zions Bancorp NA Common Stock 989701107 1422 27397 SH DFND 1,2,3 20001 0 7396 Zoetis Inc Common Stock 98978V103 1514 11438 SH DFND 1,2,3 1460 0 9978