CCO, SA Stone Investment Advisors Inc.

0000913760-21-000021.txt : 20210203 0000913760-21-000021.hdr.sgml : 20210203 20210203095502 ACCESSION NUMBER: 0000913760-21-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 EFFECTIVENESS DATE: 20210203 FILER: COMPANY DATA: COMPANY CONFORMED NAME: StoneX Group 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: 21584690 BUSINESS ADDRESS: STREET 1: 155 EAST 44TH STREET STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-485-3500 MAIL ADDRESS: STREET 1: 155 EAST 44TH STREET STREET 2: SUITE 900 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: INTL FCSTONE INC. DATE OF NAME CHANGE: 20110302 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 12-31-2020 12-31-2020 false StoneX Group Inc.

155 East 44th Street Suite 900 New York NY 10017

13F HOLDINGS REPORT 028-17573 N John Calvano CCO, SA Stone Investment Advisors Inc. 205-414-3367 John Calvano Birmingham AL 02-03-2021 1 0 0 1 0001650393 028-17766 SA Stone Investment Advisors Inc. INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 492 4491 SH DFND 1 0 0 4491 ADVANCED MICRO DEVICES INC COM 007903107 354 3863 SH DFND 1 0 0 3863 ALBEMARLE CORP COM 012653101 597 4035 SH DFND 1 0 0 4035 AMAZON COM INC COM 023135106 8599 2640 SH DFND 1 0 0 2640 AMERCO COM 023586100 221 486 SH DFND 1 0 0 486 AMETEK INC COM 031100100 4647 38428 SH DFND 1 0 0 38428 AMGEN INC COM 031162100 1110 4827 SH DFND 1 0 0 4827 AMPLIFY ETF TR BLACKSWAN GRWT 032108888 203 6198 SH DFND 1 0 0 6198 APPLE INC COM 037833100 13118 98859 SH DFND 1 0 0 98859 BP PLC SPONSORED ADR 055622104 279 13607 SH DFND 1 0 0 13607 BK OF AMERICA CORP COM 060505104 643 21229 SH DFND 1 0 0 21229 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1539 6636 SH DFND 1 0 0 6636 BOEING CO COM 097023105 1342 6268 SH DFND 1 0 0 6268 BRISTOL-MYERS SQUIBB CO COM 110122108 1052 16822 SH DFND 1 0 0 16822 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 13 18885 SH DFND 1 0 0 18885 CSX CORP COM 126408103 461 5078 SH DFND 1 0 0 5078 CVS HEALTH CORP COM 126650100 728 10662 SH DFND 1 0 0 10662 CATERPILLAR INC COM 149123101 550 3019 SH DFND 1 0 0 3019 CHEVRON CORP NEW COM 166764100 736 8710 SH DFND 1 0 0 8710 COCA COLA CO COM 191216100 695 12669 SH DFND 1 0 0 12669 CONSOLIDATED EDISON INC COM 209115104 231 3192 SH DFND 1 0 0 3192 CORNING INC COM 219350105 518 14392 SH DFND 1 0 0 14392 CROCS INC COM 227046109 231 3694 SH DFND 1 0 0 3694 CUMMINS INC COM 231021106 542 2387 SH DFND 1 0 0 2387 DBX ETF TR XTRACK MSCI JAPN 233051507 220 4815 SH DFND 1 0 0 4815 DEERE & CO COM 244199105 554 2054 SH DFND 1 0 0 2054 DELTA AIR LINES INC DEL COM NEW 247361702 261 6480 SH DFND 1 0 0 6480 DISNEY WALT CO COM 254687106 1535 8475 SH DFND 1 0 0 8475 DISCOVER FINL SVCS COM 254709108 257 2841 SH DFND 1 0 0 2841 DOCUSIGN INC COM 256163106 261 1172 SH DFND 1 0 0 1172 DOLLAR GEN CORP NEW COM 256677105 211 1002 SH DFND 1 0 0 1002 DOW INC COM 260557103 504 9080 SH DFND 1 0 0 9080 EMERSON ELEC CO COM 291011104 379 4718 SH DFND 1 0 0 4718 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 393 784 SH DFND 1 0 0 784 FIDELITY COVINGTON TRUST MSCI HLTH CARE I 316092600 5137 88951 SH DFND 1 0 0 88951 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 513 4332 SH DFND 1 0 0 4332 FIRST TR NASDAQ 100 TECH IND SHS 337345102 1033 7480 SH DFND 1 0 0 7480 FORD MTR CO DEL COM 345370860 189 21462 SH DFND 1 0 0 21462 FRESHPET INC COM 358039105 288 2025 SH DFND 1 0 0 2025 GENERAL ELECTRIC CO COM 369604103 283 26166 SH DFND 1 0 0 26166 GENERAL MLS INC COM 370334104 283 4818 SH DFND 1 0 0 4818 GENPREX INC COM 372446104 146 35150 SH DFND 1 0 0 35150 HOME DEPOT INC COM 437076102 1774 6679 SH DFND 1 0 0 6679 HONEYWELL INTL INC COM 438516106 508 2390 SH DFND 1 0 0 2390 HUBSPOT INC COM 443573100 363 915 SH DFND 1 0 0 915 INFOSYS LTD SPONSORED ADR 456788108 896 52847 SH DFND 1 0 0 52847 INTEL CORP COM 458140100 663 13303 SH DFND 1 0 0 13303 INTERNATIONAL BUSINESS MACHS COM 459200101 842 6688 SH DFND 1 0 0 6688 INTERNATIONAL PAPER CO COM 460146103 413 8313 SH DFND 1 0 0 8313 IRIDEX CORP COM 462684101 66 26100 SH DFND 1 0 0 26100 ISHARES GOLD TRUST ISHARES 464285105 472 26045 SH DFND 1 0 0 26045 ISHARES INC MSCI EMERG MRKT 464286533 251 4115 SH DFND 1 0 0 4115 ISHARES TR CORE S&P TTL STK 464287150 1202 13942 SH DFND 1 0 0 13942 ISHARES TR TIPS BD ETF 464287176 470 3680 SH DFND 1 0 0 3680 ISHARES TR TRANS AVG ETF 464287192 222 1006 SH DFND 1 0 0 1006 ISHARES TR CORE S&P500 ETF 464287200 14785 39387 SH DFND 1 0 0 39387 ISHARES TR CORE US AGGBD ET 464287226 5272 44605 SH DFND 1 0 0 44605 ISHARES TR MSCI EMG MKT ETF 464287234 426 8249 SH DFND 1 0 0 8249 ISHARES TR IBOXX INV CP ETF 464287242 941 6811 SH DFND 1 0 0 6811 ISHARES TR GLOBAL TECH ETF 464287291 327 1090 SH DFND 1 0 0 1090 ISHARES TR S&P 500 GRWT ETF 464287309 1923 30128 SH DFND 1 0 0 30128 ISHARES TR S&P 500 VAL ETF 464287408 890 6955 SH DFND 1 0 0 6955 ISHARES TR 20 YR TR BD ETF 464287432 378 2396 SH DFND 1 0 0 2396 ISHARES TR 1 3 YR TREAS BD 464287457 513 5940 SH DFND 1 0 0 5940 ISHARES TR MSCI EAFE ETF 464287465 781 10699 SH DFND 1 0 0 10699 ISHARES TR RUS MD CP GR ETF 464287481 1149 11198 SH DFND 1 0 0 11198 ISHARES TR RUS MID CAP ETF 464287499 261 3809 SH DFND 1 0 0 3809 ISHARES TR CORE S&P MCP ETF 464287507 8286 36051 SH DFND 1 0 0 36051 ISHARES TR PHLX SEMICND ETF 464287523 295 778 SH DFND 1 0 0 778 ISHARES TR RUS 1000 VAL ETF 464287598 405 2964 SH DFND 1 0 0 2964 ISHARES TR RUS 1000 GRW ETF 464287614 412 1708 SH DFND 1 0 0 1708 ISHARES TR RUS 1000 ETF 464287622 493 2326 SH DFND 1 0 0 2326 ISHARES TR RUS 2000 VAL ETF 464287630 253 1918 SH DFND 1 0 0 1918 ISHARES TR RUS 2000 GRW ETF 464287648 1318 4599 SH DFND 1 0 0 4599 ISHARES TR RUSSELL 2000 ETF 464287655 2637 13449 SH DFND 1 0 0 13449 ISHARES TR U.S. REAL ES ETF 464287739 377 4397 SH DFND 1 0 0 4397 ISHARES TR CORE S&P SCP ETF 464287804 7804 84913 SH DFND 1 0 0 84913 ISHARES TR SHRT NAT MUN ETF 464288158 282 2608 SH DFND 1 0 0 2608 ISHARES TR MSCI ACWI ETF 464288257 218 2406 SH DFND 1 0 0 2406 ISHARES TR MRGSTR MD CP GRW 464288307 642 1679 SH DFND 1 0 0 1679 ISHARES TR NATIONAL MUN ETF 464288414 2810 23975 SH DFND 1 0 0 23975 ISHARES TR MBS ETF 464288588 536 4865 SH DFND 1 0 0 4865 ISHARES TR MRGSTR SM CP GR 464288604 359 1184 SH DFND 1 0 0 1184 ISHARES TR INTRM GOV CR ETF 464288612 417 3545 SH DFND 1 0 0 3545 ISHARES TR ISHS 5-10YR INVT 464288638 285 4605 SH DFND 1 0 0 4605 ISHARES TR SHORT TREAS BD 464288679 317 2870 SH DFND 1 0 0 2870 ISHARES TR PFD AND INCM SEC 464288687 1216 31583 SH DFND 1 0 0 31583 ISHARES TR US AER DEF ETF 464288760 291 3069 SH DFND 1 0 0 3069 ISHARES TR U.S. MED DVC ETF 464288810 809 2471 SH DFND 1 0 0 2471 ISHARES TR EAFE GRWTH ETF 464288885 721 7142 SH DFND 1 0 0 7142 JOHNSON & JOHNSON COM 478160104 2171 13795 SH DFND 1 0 0 13795 LILLY ELI & CO COM 532457108 785 4650 SH DFND 1 0 0 4650 LOCKHEED MARTIN CORP COM 539830109 740 2085 SH DFND 1 0 0 2085 LOWES COS INC COM 548661107 817 5089 SH DFND 1 0 0 5089 MCDONALDS CORP COM 580135101 882 4108 SH DFND 1 0 0 4108 MICROSOFT CORP COM 594918104 4152 18667 SH DFND 1 0 0 18667 MONMOUTH REAL ESTATE INVT CO CL A 609720107 592 34181 SH DFND 1 0 0 34181 NEW YORK MTG TR INC COM PAR $.02 649604501 192 50621 SH DFND 1 0 0 50621 NEWAGE INC COM 650194103 530 201400 SH DFND 1 0 0 201400 NICE LTD SPONSORED ADR 653656108 247 871 SH DFND 1 0 0 871 NIKE INC CL B 654106103 463 3270 SH DFND 1 0 0 3270 PEPSICO INC COM 713448108 1103 7391 SH DFND 1 0 0 7391 PFIZER INC COM 717081103 792 21524 SH DFND 1 0 0 21524 PHILIP MORRIS INTL INC COM 718172109 573 6818 SH DFND 1 0 0 6818 PROCTER AND GAMBLE CO COM 742718109 1532 11013 SH DFND 1 0 0 11013 PROGRESSIVE CORP COM 743315103 223 2254 SH DFND 1 0 0 2254 QUALCOMM INC COM 747525103 1423 9343 SH DFND 1 0 0 9343 REAVES UTIL INCOME FD COM SH BEN INT 756158101 1272 38595 SH DFND 1 0 0 38595 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 332 3655 SH DFND 1 0 0 3655 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 1261 9817 SH DFND 1 0 0 9817 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 690 11586 SH DFND 1 0 0 11586 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 789 8871 SH DFND 1 0 0 8871 SILVERCREST METALS INC COM 828363101 327 29250 SH DFND 1 0 0 29250 SOUTHERN CO COM 842587107 1352 22008 SH DFND 1 0 0 22008 SOUTHWEST AIRLS CO COM 844741108 353 7583 SH DFND 1 0 0 7583 SQUARE INC CL A 852234103 2512 11542 SH DFND 1 0 0 11542 STARBUCKS CORP COM 855244109 353 3302 SH DFND 1 0 0 3302 STITCH FIX INC COM CL A 860897107 390 6638 SH DFND 1 0 0 6638 STRYKER CORPORATION COM 863667101 228 926 SH DFND 1 0 0 926 TEKLA HEALTHCARE OPPORTUNITI SHS 879105104 590 28945 SH DFND 1 0 0 28945 TEXAS INSTRS INC COM 882508104 306 1862 SH DFND 1 0 0 1862 THERMO FISHER SCIENTIFIC INC COM 883556102 341 731 SH DFND 1 0 0 731 TIMOTHY PLAN HIG DV STK ETF 887432326 591 22825 SH DFND 1 0 0 22825 TIMOTHY PLAN INTL ETF 887432334 261 9648 SH DFND 1 0 0 9648 TIMOTHY PLAN US LRGMD CP CORE 887432359 618 20012 SH DFND 1 0 0 20012 UNION PAC CORP COM 907818108 388 1861 SH DFND 1 0 0 1861 UNITED PARCEL SERVICE INC CL B 911312106 838 4978 SH DFND 1 0 0 4978 UNITED RENTALS INC COM 911363109 215 927 SH DFND 1 0 0 927 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3994 28294 SH DFND 1 0 0 28294 VANGUARD STAR FDS VG TL INTL STK F 921909768 621 10316 SH DFND 1 0 0 10316 VANGUARD WORLD FD MEGA GRWTH IND 921910816 879 4314 SH DFND 1 0 0 4314 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 245 2822 SH DFND 1 0 0 2822 VANGUARD WORLD FD MEGA CAP INDEX 921910873 2391 17917 SH DFND 1 0 0 17917 VANGUARD BD INDEX FDS INTERMED TERM 921937819 2588 27871 SH DFND 1 0 0 27871 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 440 5303 SH DFND 1 0 0 5303 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 8015 90879 SH DFND 1 0 0 90879 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 815 17254 SH DFND 1 0 0 17254 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 6863 74998 SH DFND 1 0 0 74998 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 3260 53637 SH DFND 1 0 0 53637 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1461 25041 SH DFND 1 0 0 25041 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 519 10355 SH DFND 1 0 0 10355 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 256 3221 SH DFND 1 0 0 3221 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 276 4576 SH DFND 1 0 0 4576 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 934 16930 SH DFND 1 0 0 16930 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 22263 64777 SH DFND 1 0 0 64777 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 262 1233 SH DFND 1 0 0 1233 VANGUARD INDEX FDS SML CP GRW ETF 922908595 235 879 SH DFND 1 0 0 879 VANGUARD INDEX FDS MID CAP ETF 922908629 2824 13658 SH DFND 1 0 0 13658 VANGUARD INDEX FDS LARGE CAP ETF 922908637 241 1369 SH DFND 1 0 0 1369 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 236 1431 SH DFND 1 0 0 1431 VANGUARD INDEX FDS GROWTH ETF 922908736 5514 21767 SH DFND 1 0 0 21767 VANGUARD INDEX FDS VALUE ETF 922908744 1055 8868 SH DFND 1 0 0 8868 VANGUARD INDEX FDS SMALL CP ETF 922908751 9379 48177 SH DFND 1 0 0 48177 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4028 20692 SH DFND 1 0 0 20692 WALMART INC COM 931142103 2192 15147 SH DFND 1 0 0 15147 WELLS FARGO CO NEW COM 949746101 496 16446 SH DFND 1 0 0 16446 AT&T INC COM 00206R102 1469 51081 SH DFND 1 0 0 51081 ARK ETF TR INNOVATION ETF 00214Q104 6245 50161 SH DFND 1 0 0 50161 ARK ETF TR AUTNMUS TECHNLGY 00214Q203 498 6531 SH DFND 1 0 0 6531 ARK ETF TR GENOMIC REV ETF 00214Q302 1065 11425 SH DFND 1 0 0 11425 ARK ETF TR NEXT GNRTN INTER 00214Q401 1289 8809 SH DFND 1 0 0 8809 ARK ETF TR FINTECH INNOVA 00214Q708 485 9748 SH DFND 1 0 0 9748 ABBVIE INC COM 00287Y109 1715 16001 SH DFND 1 0 0 16001 ACCELERATE DIAGNOSTICS INC COM 00430H102 92 12140 SH DFND 1 0 0 12140 ADOBE SYSTEMS INCORPORATED COM 00724F101 349 698 SH DFND 1 0 0 698 AGEAGLE AERIAL SYS INC NEW COM 00848K101 100 16669 SH DFND 1 0 0 16669 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 215 922 SH DFND 1 0 0 922 ALPHABET INC CAP STK CL C 02079K107 1218 695 SH DFND 1 0 0 695 ALPHABET INC CAP STK CL A 02079K305 904 516 SH DFND 1 0 0 516 ALTRIA GROUP INC COM 02209S103 445 10633 SH DFND 1 0 0 10633 AMERICAN TOWER CORP NEW COM 03027X100 293 1299 SH DFND 1 0 0 1299 BABCOCK & WILCOX ENTERPRISES COM 05614L209 47 13500 SH DFND 1 0 0 13500 BARCLAYS BANK PLC IPATH SHILR CAPE 06742A669 945 5305 SH DFND 1 0 0 5305 BLACKROCK INC COM 09247X101 415 577 SH DFND 1 0 0 577 BLACKSTONE GROUP INC COM CL A 09260D107 1407 21717 SH DFND 1 0 0 21717 BOX INC CL A 10316T104 271 15009 SH DFND 1 0 0 15009 BROADCOM INC COM 11135F101 811 1852 SH DFND 1 0 0 1852 B2GOLD CORP COM 11777Q209 634 113150 SH DFND 1 0 0 113150 CHARTER COMMUNICATIONS INC N CL A 16119P108 221 334 SH DFND 1 0 0 334 CHEWY INC CL A 16679L109 322 3580 SH DFND 1 0 0 3580 CISCO SYS INC COM 17275R102 1228 27451 SH DFND 1 0 0 27451 COMCAST CORP NEW CL A 20030N101 611 11666 SH DFND 1 0 0 11666 CONSTELLATION BRANDS INC CL A 21036P108 207 943 SH DFND 1 0 0 943 CORNERSTONE TOTAL RETURN FD COM 21924U300 201 17628 SH DFND 1 0 0 17628 COSTCO WHSL CORP NEW COM 22160K105 1112 2952 SH DFND 1 0 0 2952 CROWDSTRIKE HLDGS INC CL A 22788C105 1867 8813 SH DFND 1 0 0 8813 DNP SELECT INCOME FD INC COM 23325P104 2032 196807 SH DFND 1 0 0 196807 DOMINION ENERGY INC COM 25746U109 441 5867 SH DFND 1 0 0 5867 DUKE ENERGY CORP NEW COM NEW 26441C204 461 5031 SH DFND 1 0 0 5031 DUPONT DE NEMOURS INC COM 26614N102 223 3129 SH DFND 1 0 0 3129 ETF SER SOLUTIONS DEFIANCE NEXT 26922A289 791 23548 SH DFND 1 0 0 23548 ETF SER SOLUTIONS APTUS DEFINED 26922A388 859 29262 SH DFND 1 0 0 29262 ETF SER SOLUTIONS APTUS DRAWDOWN 26922A784 1040 28823 SH DFND 1 0 0 28823 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 270 4689 SH DFND 1 0 0 4689 EATON VANCE TX ADV GLBL DIV COM 27828S101 1039 56952 SH DFND 1 0 0 56952 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 219 35370 SH DFND 1 0 0 35370 ESSENTIAL UTILS INC COM 29670G102 321 6791 SH DFND 1 0 0 6791 ETSY INC COM 29786A106 421 2366 SH DFND 1 0 0 2366 EXXON MOBIL CORP COM 30231G102 592 14370 SH DFND 1 0 0 14370 FACEBOOK INC CL A 30303M102 1278 4683 SH DFND 1 0 0 4683 FASTLY INC CL A 31188V100 387 4431 SH DFND 1 0 0 4431 FEDEX CORP COM 31428X106 332 1278 SH DFND 1 0 0 1278 FIRST TR EXCHANGE TRADED FD CHINDIA ETF 33733A102 240 4070 SH DFND 1 0 0 4070 FIRST TR BICK INDEX FD COM SHS 33733H107 270 7172 SH DFND 1 0 0 7172 FIRST TR VALUE LINE DIVID IN SHS 33734H106 5221 148876 SH DFND 1 0 0 148876 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 591 11615 SH DFND 1 0 0 11615 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 82 10348 SH DFND 1 0 0 10348 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 1189 10636 SH DFND 1 0 0 10636 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1779 18718 SH DFND 1 0 0 18718 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 423 19306 SH DFND 1 0 0 19306 FIRST TR EXCHANGE TRADED FD AUTO INDEX FD 33734X309 210 4053 SH DFND 1 0 0 4053 FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 33734X846 697 15714 SH DFND 1 0 0 15714 FIRST TR EXCHANGE TRADED FD INTL EQUITY OPP 33734X853 204 2958 SH DFND 1 0 0 2958 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 857 15599 SH DFND 1 0 0 15599 FIRST TRUST LRGCP GWT ALPHAD COM SHS 33735K108 1108 11466 SH DFND 1 0 0 11466 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 688 18046 SH DFND 1 0 0 18046 FIRST TR EXCH TRD ALPHDX FD EMERG MKT ALPH 33737J182 359 14220 SH DFND 1 0 0 14220 FIRST TR EXCH TRD ALPHDX FD GERMANY ALPHA 33737J190 239 4665 SH DFND 1 0 0 4665 FIRST TR EXCH TRD ALPHDX FD SWITZLND ALPHA 33737J232 251 4162 SH DFND 1 0 0 4162 FIRST TR EXCHANGE TRADED FD INDXX NEXTG ETF 33737K205 530 7657 SH DFND 1 0 0 7657 FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 33737M102 252 3849 SH DFND 1 0 0 3849 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 210 3408 SH DFND 1 0 0 3408 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 360 17190 SH DFND 1 0 0 17190 FIRST TR EXCHANGE-TRADED FD SENIOR LN FD 33738D309 735 15453 SH DFND 1 0 0 15453 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 272 5585 SH DFND 1 0 0 5585 FIRST TR EXCHANGE-TRADED FD MULTI ASSET DI 33738R100 612 40691 SH DFND 1 0 0 40691 FIRST TR EXCHANGE-TRADED FD NASD TECH DIV 33738R118 1386 28015 SH DFND 1 0 0 28015 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 411 10151 SH DFND 1 0 0 10151 FIRST TR EXCHANGE-TRADED FD S&P INTL DIVID 33738R688 174 10699 SH DFND 1 0 0 10699 FIRST TR EXCHANGE-TRADED FD NASDAQ TRANSN 33738R795 409 14568 SH DFND 1 0 0 14568 FIRST TR EXCH TRADED FD III INSTL PFD SECS 33739P855 459 22513 SH DFND 1 0 0 22513 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1204 23395 SH DFND 1 0 0 23395 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 50388 839249 SH DFND 1 0 0 839249 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 951 17369 SH DFND 1 0 0 17369 FIRST TR EXCHNG TRADED FD VI CBOE EQT BUFER 33740F847 653 18568 SH DFND 1 0 0 18568 FIRST TR EXCHNG TRADED FD VI VEST US BUFFER 33740F862 590 17000 SH DFND 1 0 0 17000 FIRST TR EXCHNG TRADED FD VI LOW DUR STRTGC 33740F870 396 19363 SH DFND 1 0 0 19363 FRANKLIN LTD DURATION INCOME COM 35472T101 193 20350 SH DFND 1 0 0 20350 GLOBAL X FDS RBTCS ARTFL INTE 37954Y715 349 10535 SH DFND 1 0 0 10535 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 694 11201 SH DFND 1 0 0 11201 INDEXIQ ETF TR IQ MRGR ARB ETF 45409B800 275 8051 SH DFND 1 0 0 8051 INTELLIA THERAPEUTICS INC COM 45826J105 754 13867 SH DFND 1 0 0 13867 INVESCO EXCHANGE TRADED FD T AEROSPACE DEFN 46137V100 362 5340 SH DFND 1 0 0 5340 INVESCO EXCHANGE TRADED FD T S&P500 EQL HLT 46137V332 253 966 SH DFND 1 0 0 966 INVESCO EXCHANGE TRADED FD T NASDAQ INTERNT 46137V530 1100 4820 SH DFND 1 0 0 4820 INVESCO EXCHANGE TRADED FD T DYNMC SEMICNDT 46137V647 209 1991 SH DFND 1 0 0 1991 INVESCO EXCHANGE TRADED FD T DWA CYCLICALS 46137V803 560 7366 SH DFND 1 0 0 7366 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 666 4734 SH DFND 1 0 0 4734 INVESCO EXCHANGE TRADED FD T DWA MOMENTUM 46137V837 269 3063 SH DFND 1 0 0 3063 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 622 6696 SH DFND 1 0 0 6696 INVESCO EXCHANGE TRADED FD T DWA HEALTHCARE 46137V852 500 3124 SH DFND 1 0 0 3124 INVESCO EXCH TRADED FD TR II S&P 500 MOMNTM 46138E339 203 3830 SH DFND 1 0 0 3830 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1050 18680 SH DFND 1 0 0 18680 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 504 33025 SH DFND 1 0 0 33025 ISHARES SILVER TR ISHARES 46428Q109 1475 60030 SH DFND 1 0 0 60030 ISHARES TR US TREAS BD ETF 46429B267 725 26625 SH DFND 1 0 0 26625 ISHARES TR CORE HIGH DV ETF 46429B663 711 8110 SH DFND 1 0 0 8110 ISHARES TR MSCI EAFE MIN VL 46429B689 1199 16336 SH DFND 1 0 0 16336 ISHARES TR MSCI USA MIN VOL 46429B697 1782 26248 SH DFND 1 0 0 26248 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 223 4443 SH DFND 1 0 0 4443 ISHARES TR MSCI USA QLT FCT 46432F339 649 5587 SH DFND 1 0 0 5587 ISHARES TR MSCI USA VALUE 46432F388 367 4228 SH DFND 1 0 0 4228 ISHARES TR CORE MSCI TOTAL 46432F834 870 12944 SH DFND 1 0 0 12944 ISHARES TR CORE MSCI EAFE 46432F842 1019 14753 SH DFND 1 0 0 14753 ISHARES INC CORE MSCI EMKT 46434G103 535 8628 SH DFND 1 0 0 8628 ISHARES INC ESG AWR MSCI EM 46434G863 373 8897 SH DFND 1 0 0 8897 ISHARES TR MSCI USA MULTIFT 46434V282 1318 34975 SH DFND 1 0 0 34975 ISHARES TR CORE DIV GRWTH 46434V621 889 19833 SH DFND 1 0 0 19833 ISHARES TR BLACKROCK ULTRA 46434V878 232 4597 SH DFND 1 0 0 4597 ISHARES TR IBONDS DEC22 ETF 46434VBA7 640 25040 SH DFND 1 0 0 25040 ISHARES TR IBONDS DEC21 ETF 46434VBK5 891 35763 SH DFND 1 0 0 35763 ISHARES TR ESG AWR MSCI USA 46435G425 1440 16739 SH DFND 1 0 0 16739 JPMORGAN CHASE & CO COM 46625H100 1964 15459 SH DFND 1 0 0 15459 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 207 4072 SH DFND 1 0 0 4072 JD.COM INC SPON ADR CL A 47215P106 345 3930 SH DFND 1 0 0 3930 KINDER MORGAN INC DEL COM 49456B101 382 27947 SH DFND 1 0 0 27947 MASTERCARD INCORPORATED CL A 57636Q104 364 1020 SH DFND 1 0 0 1020 MERCADOLIBRE INC COM 58733R102 395 236 SH DFND 1 0 0 236 MERCK & CO. INC COM 58933Y105 873 10590 SH DFND 1 0 0 10590 NIO INC SPON ADS 62914V106 215 4418 SH DFND 1 0 0 4418 NETFLIX INC COM 64110L106 1821 3367 SH DFND 1 0 0 3367 NEXTERA ENERGY INC COM 65339F101 315 4084 SH DFND 1 0 0 4084 NORTHERN LTS FD TR IV INTRNTINL ESG 66538H419 923 29807 SH DFND 1 0 0 29807 NORTHERN LTS FD TR IV INSPIRE 100ETF 66538H534 282 7714 SH DFND 1 0 0 7714 NORTHERN LTS FD TR IV INSPIRE CORP 66538H633 838 31534 SH DFND 1 0 0 31534 NUTANIX INC CL A 67059N108 263 8254 SH DFND 1 0 0 8254 NVIDIA CORPORATION COM 67066G104 1773 3396 SH DFND 1 0 0 3396 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 1026 79623 SH DFND 1 0 0 79623 NUVEEN CR STRATEGIES INCOME COM SHS 67073D102 98 15500 SH DFND 1 0 0 15500 NUVEEN CORPORATE INCM NOVEME COM 67077N106 512 55632 SH DFND 1 0 0 55632 ORACLE CORP COM 68389X105 248 3836 SH DFND 1 0 0 3836 PPL CORP COM 69351T106 210 7356 SH DFND 1 0 0 7356 PACER FDS TR TRENDP US LAR CP 69374H105 267 8168 SH DFND 1 0 0 8168 PACER FDS TR TRENDPILOT US BD 69374H642 394 14318 SH DFND 1 0 0 14318 PAYPAL HLDGS INC COM 70450Y103 845 3607 SH DFND 1 0 0 3607 PELOTON INTERACTIVE INC CL A COM 70614W100 273 1798 SH DFND 1 0 0 1798 PIMCO ETF TR ACTIVE BD ETF 72201R775 211 1860 SH DFND 1 0 0 1860 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1110 10872 SH DFND 1 0 0 10872 PINTEREST INC CL A 72352L106 215 3255 SH DFND 1 0 0 3255 PROSHARES TR ONLINE RTL ETF 74347B169 265 3490 SH DFND 1 0 0 3490 PROSHARES TR S&P 500 DV ARIST 74348A467 232 2908 SH DFND 1 0 0 2908 RBB FD INC MFAM SMLCP GRWTH 74933W874 468 12157 SH DFND 1 0 0 12157 REGENERON PHARMACEUTICALS COM 75886F107 246 509 SH DFND 1 0 0 509 SPDR S&P 500 ETF TR TR UNIT 78462F103 3954 10547 SH DFND 1 0 0 10547 SPDR GOLD TR GOLD SHS 78463V107 543 3047 SH DFND 1 0 0 3047 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 443 10519 SH DFND 1 0 0 10519 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 609 18051 SH DFND 1 0 0 18051 SPDR SER TR WELLS FG PFD ETF 78464A292 255 5740 SH DFND 1 0 0 5740 SPDR SER TR AEROSPACE DEF 78464A631 791 6897 SH DFND 1 0 0 6897 SPDR SER TR S&P DIVID ETF 78464A763 513 4846 SH DFND 1 0 0 4846 SPDR SER TR S&P SEMICNDCTR 78464A862 230 1346 SH DFND 1 0 0 1346 SPDR SER TR S&P BIOTECH 78464A870 1264 8978 SH DFND 1 0 0 8978 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 840 17040 SH DFND 1 0 0 17040 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 2778 9069 SH DFND 1 0 0 9069 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1533 3650 SH DFND 1 0 0 3650 SPDR SER TR NUVEEN BLMBRG SR 78468R739 240 4823 SH DFND 1 0 0 4823 SALESFORCE COM INC COM 79466L302 889 3993 SH DFND 1 0 0 3993 SEA LTD SPONSORD ADS 81141R100 1417 7120 SH DFND 1 0 0 7120 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 14865 131035 SH DFND 1 0 0 131035 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 419 6210 SH DFND 1 0 0 6210 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 409 2543 SH DFND 1 0 0 2543 SELECT SECTOR SPDR TR ENERGY 81369Y506 565 14901 SH DFND 1 0 0 14901 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 219 7436 SH DFND 1 0 0 7436 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 524 5922 SH DFND 1 0 0 5922 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 10996 84575 SH DFND 1 0 0 84575 SHOPIFY INC CL A 82509L107 3099 2738 SH DFND 1 0 0 2738 SPROTT PHYSICAL GOLD TR UNIT 85207H104 750 49700 SH DFND 1 0 0 49700 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 332 17150 SH DFND 1 0 0 17150 SUNOCO LP/SUNOCO FIN CORP COM UT REP LP 86765K109 251 8733 SH DFND 1 0 0 8733 TELADOC HEALTH INC COM 87918A105 227 1136 SH DFND 1 0 0 1136 TESLA INC COM 88160R101 1924 2726 SH DFND 1 0 0 2726 THERATECHNOLOGIES INC COM 88338H100 35 14000 SH DFND 1 0 0 14000 THE TRADE DESK INC COM CL A 88339J105 286 357 SH DFND 1 0 0 357 3M CO COM 88579Y101 415 2375 SH DFND 1 0 0 2375 TRUIST FINL CORP COM 89832Q109 216 4506 SH DFND 1 0 0 4506 TWILIO INC CL A 90138F102 274 810 SH DFND 1 0 0 810 UNITEDHEALTH GROUP INC COM 91324P102 1144 3265 SH DFND 1 0 0 3265 UNIVERSAL DISPLAY CORP COM 91347P105 270 1173 SH DFND 1 0 0 1173 VALERO ENERGY CORP COM 91913Y100 352 6228 SH DFND 1 0 0 6228 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 272 7565 SH DFND 1 0 0 7565 VANECK VECTORS ETF TR VIDEO GAMING 92189F114 268 3825 SH DFND 1 0 0 3825 VANECK VECTORS ETF TR MORNINGSTAR WIDE 92189F643 1717 27701 SH DFND 1 0 0 27701 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 241 1101 SH DFND 1 0 0 1101 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 264 4865 SH DFND 1 0 0 4865 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 477 8140 SH DFND 1 0 0 8140 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 353 2029 SH DFND 1 0 0 2029 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 230 1027 SH DFND 1 0 0 1027 VANGUARD WORLD FDS INF TECH ETF 92204A702 687 1941 SH DFND 1 0 0 1941 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 533 6399 SH DFND 1 0 0 6399 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 1003 6340 SH DFND 1 0 0 6340 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 876 9019 SH DFND 1 0 0 9019 VERIZON COMMUNICATIONS INC COM 92343V104 1481 25217 SH DFND 1 0 0 25217 VICTORY PORTFOLIOS II VCSHS US EQ INCM 92647N824 1081 20080 SH DFND 1 0 0 20080 VICTORY PORTFOLIOS II VCSHS US LRG CAP 92647N865 581 12323 SH DFND 1 0 0 12323 VICTORY PORTFOLIOS II VCSHS US SMCP HG 92647N873 456 9124 SH DFND 1 0 0 9124 VICTORY PORTFOLIOS II VCSHS INTL HG DV 92647N881 415 13940 SH DFND 1 0 0 13940 VISA INC COM CL A 92826C839 773 3534 SH DFND 1 0 0 3534 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 334 6243 SH DFND 1 0 0 6243 ZSCALER INC COM 98980G102 212 1062 SH DFND 1 0 0 1062 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 1207 3579 SH DFND 1 0 0 3579 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 320 1225 SH DFND 1 0 0 1225 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 306 1854 SH DFND 1 0 0 1854 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 220 4612 SH DFND 1 0 0 4612 MEDTRONIC PLC SHS G5960L103 311 2643 SH DFND 1 0 0 2643 TRINSEO S A SHS L9340P101 1015 19819 SH DFND 1 0 0 19819