Chief Compliance Officer

0000913760-19-000006.txt : 20190115 0000913760-19-000006.hdr.sgml : 20190115 20190115162012 ACCESSION NUMBER: 0000913760-19-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190115 DATE AS OF CHANGE: 20190115 EFFECTIVENESS DATE: 20190115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: INTL FCSTONE INC. CENTRAL INDEX KEY: 0000913760 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 592921318 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17573 FILM NUMBER: 19527299 BUSINESS ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-485-3500 MAIL ADDRESS: STREET 1: 708 THIRD AVENUE STREET 2: SUITE 1500 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INTERNATIONAL ASSETS HOLDING CORP DATE OF NAME CHANGE: 19931020 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0000913760 XXXXXXXX 12-31-2018 12-31-2018 false INTL FCSTONE INC.

708 Third Avenue Suite 1500 New York NY 10017

13F HOLDINGS REPORT 028-17573 N John Calvano Chief Compliance Officer 205-414-3367 John Calvano Birmingham AL 01-15-2019 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml WISDOMTREE TR US SMALLCAP DIVD 97717W604 406 16533 SH DFND 1 0 0 16533 WELLS FARGO CO NEW PERP PFD CNV A 949746804 353 280 SH DFND 1 0 0 280 WALMART INC COM 931142103 263 2813 SH DFND 1 0 0 2813 VICTORY PORTFOLIOS II VCSHS DEV ENH VL 92647N816 721 23473 SH DFND 1 0 0 23473 VICTORY PORTFOLIOS II VCSHS US 500 ENH 92647N782 1608 36617 SH DFND 1 0 0 36617 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1227 28992 SH DFND 1 0 0 28992 VICTORY PORTFOLIOS II VCSHS US DISCVRY 92647N774 1131 28690 SH DFND 1 0 0 28690 VERIZON COMMUNICATIONS INC COM 92343V104 826 14687 SH DFND 1 0 0 14687 VEREIT INC COM 92339V100 199 27306 SH DFND 1 0 0 27306 VANGUARD WORLD FDS MATERIALS ETF 92204A801 229 2070 SH DFND 1 0 0 2070 VANGUARD WORLD FDS INF TECH ETF 92204A702 226 1357 SH DFND 1 0 0 1357 VANGUARD WORLD FD MEGA CAP INDEX 921910873 504 5802 SH DFND 1 0 0 5802 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 215 2759 SH DFND 1 0 0 2759 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 345 9288 SH DFND 1 0 0 9288 VANGUARD STAR FD VG TL INTL STK F 921909768 298 6306 SH DFND 1 0 0 6306 VANGUARD SCOTTSDALE FDS LONG TERM TREAS 92206C847 334 4466 SH DFND 1 0 0 4466 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 496 5981 SH DFND 1 0 0 5981 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 980 21500 SH DFND 1 0 0 21500 VANGUARD INDEX FDS GROWTH ETF 922908736 796 5926 SH DFND 1 0 0 5926 VANGUARD INDEX FDS VALUE ETF 922908744 560 5718 SH DFND 1 0 0 5718 VANGUARD INDEX FDS SMALL CP ETF 922908751 207 1571 SH DFND 1 0 0 1571 VANGUARD INDEX FDS TOTAL STK MKT 922908769 565 4423 SH DFND 1 0 0 4423 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 255 1109 SH DFND 1 0 0 1109 VANGUARD INDEX FDS MID CAP ETF 922908629 775 5609 SH DFND 1 0 0 5609 VANGUARD GROUP DIV APP ETF 921908844 1294 13210 SH DFND 1 0 0 13210 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 421 5312 SH DFND 1 0 0 5312 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 373 4753 SH DFND 1 0 0 4753 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 587 14248 SH DFND 1 0 0 14248 UNIVERSAL DISPLAY CORP COM 91347P105 301 3217 SH DFND 1 0 0 3217 UNITEDHEALTH GROUP INC COM 91324P102 451 1810 SH DFND 1 0 0 1810 UNITED PARCEL SERVICE INC CL B 911312106 364 3729 SH DFND 1 0 0 3729 TETRA TECH INC NEW COM 88162G103 344 6635 SH DFND 1 0 0 6635 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 362 7641 SH DFND 1 0 0 7641 SQUARE INC CL A 852234103 649 11568 SH DFND 1 0 0 11568 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 335 32450 SH DFND 1 0 0 32450 SPDR SERIES TRUST AEROSPACE DEF 78464A631 366 4632 SH DFND 1 0 0 4632 SPDR SERIES TRUST S&P BIOTECH 78464A870 505 7036 SH DFND 1 0 0 7036 SPDR SERIES TRUST S&P DIVID ETF 78464A763 274 3065 SH DFND 1 0 0 3065 SPDR S&P 500 ETF TR TR UNIT 78462F103 918 3649 SH DFND 1 0 0 3649 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1592 6812 SH DFND 1 0 0 6812 SOUTHERN CO COM 842587107 288 6563 SH DFND 1 0 0 6563 SHOPIFY INC CL A 82509L107 309 2232 SH DFND 1 0 0 2232 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 541 8396 SH DFND 1 0 0 8396 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 667 28002 SH DFND 1 0 0 28002 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1146 18492 SH DFND 1 0 0 18492 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 206 3889 SH DFND 1 0 0 3889 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 226 2281 SH DFND 1 0 0 2281 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 996 11516 SH DFND 1 0 0 11516 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 264 3814 SH DFND 1 0 0 3814 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 484 7973 SH DFND 1 0 0 7973 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 300 6088 SH DFND 1 0 0 6088 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 442 9218 SH DFND 1 0 0 9218 SALESFORCE COM INC COM 79466L302 363 2652 SH DFND 1 0 0 2652 RED HAT INC COM 756577102 241 1371 SH DFND 1 0 0 1371 REAVES UTIL INCOME FD COM SH BEN INT 756158101 1044 35079 SH DFND 1 0 0 35079 RAYTHEON CO COM NEW 755111507 254 1646 SH DFND 1 0 0 1646 PROSPECT CAPITAL CORPORATION NOTE 4.750% 4/1 74348TAQ5 16 16000 SH DFND 1 0 0 16000 PROCTER AND GAMBLE CO COM 742718109 1193 12974 SH DFND 1 0 0 12974 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 303 2998 SH DFND 1 0 0 2998 PHILIP MORRIS INTL INC COM 718172109 335 4929 SH DFND 1 0 0 4929 PFIZER INC COM 717081103 385 8812 SH DFND 1 0 0 8812 PEPSICO INC COM 713448108 251 2249 SH DFND 1 0 0 2249 PAYPAL HLDGS INC COM 70450Y103 312 3706 SH DFND 1 0 0 3706 NVIDIA CORP COM 67066G104 564 4222 SH DFND 1 0 0 4222 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 946 78398 SH DFND 1 0 0 78398 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 403 45242 SH DFND 1 0 0 45242 NUTRIEN LTD COM 67077M108 275 5789 SH DFND 1 0 0 5789 NUTANIX INC CL A 67059N108 732 17604 SH DFND 1 0 0 17604 NEXTERA ENERGY INC COM 65339F101 213 1224 SH DFND 1 0 0 1224 NETFLIX INC COM 64110L106 946 3534 SH DFND 1 0 0 3534 MONMOUTH REAL ESTATE INVT CO CL A 609720107 320 25774 SH DFND 1 0 0 25774 MICROSOFT CORP COM 594918104 698 6877 SH DFND 1 0 0 6877 MERCK & CO INC COM 58933Y105 451 5864 SH DFND 1 0 0 5864 MASTERCARD INCORPORATED CL A 57636Q104 248 1315 SH DFND 1 0 0 1315 LOCKHEED MARTIN CORP COM 539830109 251 957 SH DFND 1 0 0 957 LIONS GATE ENTMNT CORP CL A VTG 535919401 244 15161 SH DFND 1 0 0 15161 KULICKE & SOFFA INDS INC COM 501242101 284 13923 SH DFND 1 0 0 13923 KROGER CO COM 501044101 374 13611 SH DFND 1 0 0 13611 KINDER MORGAN INC DEL COM 49456B101 452 29364 SH DFND 1 0 0 29364 JPMORGAN CHASE & CO COM 46625H100 1056 10820 SH DFND 1 0 0 10820 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 754 15004 SH DFND 1 0 0 15004 JOHNSON & JOHNSON COM 478160104 649 5030 SH DFND 1 0 0 5030 ISHARES US ETF TR SHT MAT BD ETF 46431W507 313 6284 SH DFND 1 0 0 6284 ISHARES US ETF TR HEALTHCARE 46431W689 226 8620 SH DFND 1 0 0 8620 ISHARES TR CORE S&P SCP ETF 464287804 717 10337 SH DFND 1 0 0 10337 ISHARES TR RUS 2000 VAL ETF 464287630 216 2012 SH DFND 1 0 0 2012 ISHARES TR RUS 1000 GRW ETF 464287614 392 2996 SH DFND 1 0 0 2996 ISHARES TR S&P MC 400GR ETF 464287606 976 5106 SH DFND 1 0 0 5106 ISHARES TR INTRM TR CRP ETF 464288638 304 5809 SH DFND 1 0 0 5809 ISHARES TR CORE S&P MCP ETF 464287507 545 3282 SH DFND 1 0 0 3282 ISHARES TR MSCI EAFE ETF 464287465 498 8468 SH DFND 1 0 0 8468 ISHARES TR BARCLAYS 7 10 YR 464287440 366 3513 SH DFND 1 0 0 3513 ISHARES TR 20 YR TR BD ETF 464287432 302 2487 SH DFND 1 0 0 2487 ISHARES TR S&P 500 VAL ETF 464287408 607 6006 SH DFND 1 0 0 6006 ISHARES TR S&P 500 GRWT ETF 464287309 1676 11126 SH DFND 1 0 0 11126 ISHARES TR GLOBAL TECH ETF 464287291 233 1619 SH DFND 1 0 0 1619 ISHARES TR IBOXX INV CP ETF 464287242 431 3819 SH DFND 1 0 0 3819 ISHARES TR USA MOMENTUM FCT 46432F396 305 3044 SH DFND 1 0 0 3044 ISHARES TR MSCI EMG MKT ETF 464287234 339 8686 SH DFND 1 0 0 8686 ISHARES TR CORE US AGGBD ET 464287226 849 7969 SH DFND 1 0 0 7969 ISHARES TR CORE S&P500 ETF 464287200 1563 6204 SH DFND 1 0 0 6204 ISHARES TR TIPS BD ETF 464287176 307 2807 SH DFND 1 0 0 2807 ISHARES TR CORE MSCI TOTAL 46432F834 380 7227 SH DFND 1 0 0 7227 ISHARES TR CORE HIGH DV ETF 46429B663 539 6386 SH DFND 1 0 0 6386 ISHARES TR CORE DIV GRWTH 46434V621 326 9820 SH DFND 1 0 0 9820 ISHARES TR MULTIFACTOR USA 46434V282 338 11990 SH DFND 1 0 0 11990 ISHARES TR PHLX SEMICND ETF 464287523 220 1401 SH DFND 1 0 0 1401 ISHARES TR U.S. MED DVC ETF 464288810 574 2872 SH DFND 1 0 0 2872 ISHARES TR MIN VOL USA ETF 46429B697 356 6783 SH DFND 1 0 0 6783 ISHARES TR CORE MSCI EAFE 46432F842 532 9665 SH DFND 1 0 0 9665 ISHARES TR US AER DEF ETF 464288760 816 4718 SH DFND 1 0 0 4718 ISHARES TR S&P US PFD STK 464288687 1455 42503 SH DFND 1 0 0 42503 ISHARES TR RUSSELL 2000 ETF 464287655 560 4179 SH DFND 1 0 0 4179 ISHARES INC CORE MSCI EMKT 46434G103 254 5385 SH DFND 1 0 0 5385 ISHARES INC MIN VOL EMRG MKT 464286533 221 3954 SH DFND 1 0 0 3954 ISHARES GOLD TRUST ISHARES 464285105 309 25110 SH DFND 1 0 0 25110 INVESCO QQQ TR UNIT SER 1 46090E103 1785 11573 SH DFND 1 0 0 11573 INVESCO EXCHNG TRADED FD TR KBW REGL BKG 46138E578 259 5788 SH DFND 1 0 0 5788 INVESCO EXCHNG TRADED FD TR S&P500 LOW VOL 46138E354 740 15855 SH DFND 1 0 0 15855 INVESCO EXCHNG TRADED FD TR S&P SMLCP HELT 46138E149 588 5464 SH DFND 1 0 0 5464 INVESCO EXCHNG TRADED FD TR DWA DEV MKTS 46138E875 346 15059 SH DFND 1 0 0 15059 INVESCO EXCHANGE TRADED FD T DWA CYCLICALS 46137V803 245 5243 SH DFND 1 0 0 5243 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1347 14736 SH DFND 1 0 0 14736 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 234 4590 SH DFND 1 0 0 4590 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 279 5297 SH DFND 1 0 0 5297 INTERNATIONAL BUSINESS MACHS COM 459200101 217 1910 SH DFND 1 0 0 1910 INTELLIA THERAPEUTICS INC COM 45826J105 246 17995 SH DFND 1 0 0 17995 INTEL CORP COM 458140100 576 12275 SH DFND 1 0 0 12275 INFOSYS LTD SPONSORED ADR 456788108 613 64366 SH DFND 1 0 0 64366 HOME DEPOT INC COM 437076102 701 4078 SH DFND 1 0 0 4078 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 334 12082 SH DFND 1 0 0 12082 GENPREX INC COM 372446104 39 35150 SH DFND 1 0 0 35150 GENERAL MTRS CO COM 37045V100 223 6659 SH DFND 1 0 0 6659 GENERAL ELECTRIC CO COM 369604103 96 12688 SH DFND 1 0 0 12688 FORD MTR CO DEL COM PAR $0.01 345370860 157 20482 SH DFND 1 0 0 20482 FIRSTHAND TECH VALUE FD INC COM 33766Y100 296 26455 SH DFND 1 0 0 26455 FIRST TR SR FLOATING RATE 20 COM SHS 33740K101 214 25815 SH DFND 1 0 0 25815 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 296 5465 SH DFND 1 0 0 5465 FIRST TR NASDAQ100 TECH INDE SHS 337345102 493 7216 SH DFND 1 0 0 7216 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 301 5207 SH DFND 1 0 0 5207 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 832 17994 SH DFND 1 0 0 17994 FIRST TR LRG CP GRWTH ALPHAD COM SHS 33735K108 898 15659 SH DFND 1 0 0 15659 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 761 6131 SH DFND 1 0 0 6131 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 794 6803 SH DFND 1 0 0 6803 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 894 17003 SH DFND 1 0 0 17003 FIRST TR EXCHANGE TRADED FD FST LOW OPPT EFT 33739Q200 532 10416 SH DFND 1 0 0 10416 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1037 21272 SH DFND 1 0 0 21272 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 285 11277 SH DFND 1 0 0 11277 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 410 9016 SH DFND 1 0 0 9016 FIRST TR EXCHANGE TRADED FD FIRST TR ENH NEW 33739Q408 1272 21256 SH DFND 1 0 0 21256 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 537 7804 SH DFND 1 0 0 7804 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 339 5469 SH DFND 1 0 0 5469 FIRST TR EXCH TRD ALPHA FD I BRAZIL ALPHADEX 33737J133 205 15518 SH DFND 1 0 0 15518 FIRST TR EXCH TRD ALPHA FD I EUROPE ALPHADEX 33737J117 641 20701 SH DFND 1 0 0 20701 FIRST TR EXCH TRD ALPHA FD I JAPAN ALPHADEX 33737J158 334 6944 SH DFND 1 0 0 6944 FIRST TR EXCH TRD ALPHA FD I GERMANY ALPHA 33737J190 213 5649 SH DFND 1 0 0 5649 FIRST TR EXCH TRD ALPHA FD I SWITZLND ALPHA 33737J232 227 5186 SH DFND 1 0 0 5186 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 317 17403 SH DFND 1 0 0 17403 FIRST TR DYNAMIC EUROPE EQT COM SHS 33740D107 244 19315 SH DFND 1 0 0 19315 FACEBOOK INC CL A 30303M102 504 3845 SH DFND 1 0 0 3845 EXXON MOBIL CORP COM 30231G102 339 4969 SH DFND 1 0 0 4969 ETF SER SOLUTIONS APTUS FORTIFIED 26922A610 573 24027 SH DFND 1 0 0 24027 ETF SER SOLUTIONS APTU BEHA MOME 26922A784 1319 46295 SH DFND 1 0 0 46295 ETF SER SOLUTIONS LONCAR CANCER 26922A826 328 17388 SH DFND 1 0 0 17388 DUKE ENERGY CORP NEW COM NEW 26441C204 283 3275 SH DFND 1 0 0 3275 DOWDUPONT INC COM 26078J100 323 6040 SH DFND 1 0 0 6040 DOMINION ENERGY INC COM 25746U109 321 4491 SH DFND 1 0 0 4491 DOLBY LABORATORIES INC COM 25659T107 221 3568 SH DFND 1 0 0 3568 DISNEY WALT CO COM DISNEY 254687106 479 4337 SH DFND 1 0 0 4337 CUMMINS INC COM 231021106 279 2085 SH DFND 1 0 0 2085 CSX CORP COM 126408103 305 4915 SH DFND 1 0 0 4915 COSTCO WHSL CORP NEW COM 22160K105 256 1255 SH DFND 1 0 0 1255 CORNING INC COM 219350105 283 9360 SH DFND 1 0 0 9360 COLLECTORS UNIVERSE INC COM NEW 19421R200 137 12044 SH DFND 1 0 0 12044 CISCO SYS INC COM 17275R102 674 15554 SH DFND 1 0 0 15554 CHEVRON CORP NEW COM 166764100 280 2575 SH DFND 1 0 0 2575 CATERPILLAR INC DEL COM 149123101 236 1859 SH DFND 1 0 0 1859 BROADCOM INC COM 11135F101 286 1125 SH DFND 1 0 0 1125 BOX INC CL A 10316T104 572 33915 SH DFND 1 0 0 33915 BOEING CO COM 097023105 549 1703 SH DFND 1 0 0 1703 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 757 25380 SH DFND 1 0 0 25380 BLACKROCK MUN 2020 TERM TR COM SHS 09249X109 159 10779 SH DFND 1 0 0 10779 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 793 3882 SH DFND 1 0 0 3882 BARCLAYS BK PLC BARC ETN+SHILL 06742A669 290 2583 SH DFND 1 0 0 2583 BANK AMER CORP COM 060505104 297 12028 SH DFND 1 0 0 12028 BANK AMER CORP 7.25%CNV PFD L 060505682 310 244 SH DFND 1 0 0 244 AT&T INC COM 00206R102 882 30893 SH DFND 1 0 0 30893 ARK ETF TR INNOVATION ETF 00214Q104 800 21508 SH DFND 1 0 0 21508 ARK ETF TR WEB X.O ETF 00214Q401 227 5346 SH DFND 1 0 0 5346 APPLE INC COM 037833100 2868 18183 SH DFND 1 0 0 18183 AMGEN INC COM 031162100 606 3114 SH DFND 1 0 0 3114 AMAZON COM INC COM 023135106 2202 1466 SH DFND 1 0 0 1466 ALTRIA GROUP INC COM 02209S103 415 8263 SH DFND 1 0 0 8263 ALPHABET INC CAP STK CL C 02079K107 309 298 SH DFND 1 0 0 298 ALPHABET INC CAP STK CL A 02079K305 367 351 SH DFND 1 0 0 351 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 215 1565 SH DFND 1 0 0 1565 ALBEMARLE CORP COM 012653101 262 3389 SH DFND 1 0 0 3389 ACCELERATE DIAGNOSTICS INC COM 00430H102 144 12540 SH DFND 1 0 0 12540 ABBVIE INC COM 00287Y109 660 7154 SH DFND 1 0 0 7154