0000920112-23-000026.txt : 20230203
0000920112-23-000026.hdr.sgml : 20230203
20230203101140
ACCESSION NUMBER: 0000920112-23-000026
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20221231
FILED AS OF DATE: 20230203
DATE AS OF CHANGE: 20230203
EFFECTIVENESS DATE: 20230203
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DUBUQUE BANK & TRUST CO
CENTRAL INDEX KEY: 0000933482
IRS NUMBER: 420223620
STATE OF INCORPORATION: IA
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10581
FILM NUMBER: 23584118
BUSINESS ADDRESS:
STREET 1: 1398 CENTRAL AVE.
CITY: DUBUQUE
STATE: IA
ZIP: 52001
BUSINESS PHONE: 5635874197
MAIL ADDRESS:
STREET 1: 1398 CENTRAL
CITY: DUBUQUE
STATE: IA
ZIP: 52001
13F-HR
1
primary_doc.xml
X0202
13F-HR
LIVE
false
false
false
0000933482
XXXXXXXX
12-31-2022
12-31-2022
DUBUQUE BANK & TRUST CO
1398 CENTRAL
DUBUQUE
IA
52001
13F HOLDINGS REPORT
028-10581
N
Mark Stevens
Chief Investment Officer, SVP
563-587-4079
Mark Stevens
Dubuque
IA
02-03-2023
0
330
764333
false
INFORMATION TABLE
2
information_table.xml
INFORMATION TABLE
3M Co
COM
88579Y101
268
2235
SH
DFND
2220
0
15
3M Co
COM
88579Y101
1728
14412
SH
SOLE
14412
0
0
ADAMS EXPRESS COMPANY
COM
006212104
34
2315
SH
DFND
2315
0
0
ADAMS EXPRESS COMPANY
COM
006212104
7589
521922
SH
SOLE
521922
0
0
ALPHABET INC
CAP STK CL A
02079K305
170
1932
SH
DFND
1892
0
40
ALPHABET INC
CAP STK CL A
02079K305
8986
101848
SH
SOLE
95656
0
6192
AMBEV SA
SPONSORED ADR
02319V103
50
18256
SH
SOLE
18256
0
0
AMER EXPRESS CO
COM
025816109
256
1730
SH
DFND
1730
0
0
AMER EXPRESS CO
COM
025816109
651
4408
SH
SOLE
4408
0
0
ANALOG DEVICES INC
COM
032654105
3
17
SH
DFND
0
0
17
ANALOG DEVICES INC
COM
032654105
348
2122
SH
SOLE
2122
0
0
APPLIED MATERIALS
COM
038222105
475
4873
SH
SOLE
4873
0
0
ASE Technology Holding Co Ltd
SPONSORED ADS
00215W100
96
15361
SH
SOLE
15361
0
0
AT&T INC
COM
00206R102
433
23500
SH
DFND
23500
0
0
AT&T INC
COM
00206R102
270
14645
SH
SOLE
14645
0
0
AUTOMATIC DATA PROCESSING
COM
053015103
206
861
SH
SOLE
861
0
0
AVERY DENNISON CORP
COM
053611109
267
1474
SH
SOLE
1474
0
0
AbbVie Inc
COM
00287Y109
59
365
SH
DFND
315
0
50
AbbVie Inc
COM
00287Y109
6249
38669
SH
SOLE
36697
0
1972
Abbott Laboratories
COM
002824100
6
58
SH
DFND
58
0
0
Abbott Laboratories
COM
002824100
2309
21028
SH
SOLE
18601
0
2427
Accenture PLC
SHS CLASS A
G1151C101
316
1184
SH
SOLE
1184
0
0
Adobe Inc
COM
00724F101
363
1080
SH
SOLE
1080
0
0
Aflac Inc
COM
001055102
201
2794
SH
SOLE
2794
0
0
Agree Realty Corp
COM
008492100
6
91
SH
DFND
91
0
0
Agree Realty Corp
COM
008492100
1455
20511
SH
SOLE
20511
0
0
Air Products and Chemicals Inc
COM
009158106
222
719
SH
SOLE
719
0
0
Alliant Energy Corp
COM
018802108
50
900
SH
DFND
900
0
0
Alliant Energy Corp
COM
018802108
280
5068
SH
SOLE
5068
0
0
Alphabet Inc
CAP STK CL C
02079K107
27
300
SH
DFND
300
0
0
Alphabet Inc
CAP STK CL C
02079K107
1468
16547
SH
SOLE
16547
0
0
Altria Group Inc
COM
02209S103
11
250
SH
DFND
250
0
0
Altria Group Inc
COM
02209S103
219
4796
SH
SOLE
4796
0
0
Amazon.com Inc
COM
023135106
47
556
SH
DFND
556
0
0
Amazon.com Inc
COM
023135106
5029
59874
SH
SOLE
58983
0
891
American Electric Power Co Inc
COM
025537101
38
400
SH
DFND
400
0
0
American Electric Power Co Inc
COM
025537101
303
3187
SH
SOLE
3187
0
0
Americas Gold & Silver Corp
COM
03062D100
11
20000
SH
SOLE
20000
0
0
Amgen Inc
COM
031162100
90
341
SH
DFND
328
0
13
Amgen Inc
COM
031162100
9215
35087
SH
SOLE
32896
0
2191
Apple Inc
COM
037833100
269
2071
SH
DFND
1654
0
417
Apple Inc
COM
037833100
17641
135773
SH
SOLE
131060
0
4713
Archer-Daniels-Midland Co
COM
039483102
357
3843
SH
SOLE
3843
0
0
BK OF AMERICA CORP
COM
060505104
156
4707
SH
DFND
4539
0
168
BK OF AMERICA CORP
COM
060505104
430
12998
SH
SOLE
12998
0
0
BLACKSTONE SECD LN
COMMON STOCK
09261X102
9
394
SH
DFND
394
0
0
BLACKSTONE SECD LN
COMMON STOCK
09261X102
2050
91736
SH
SOLE
91736
0
0
BOEING CO
COM
097023105
407
2135
SH
SOLE
2101
0
34
BRISTOL-MYRS SQUIB
COM
110122108
76
1055
SH
DFND
1000
0
55
BRISTOL-MYRS SQUIB
COM
110122108
794
11035
SH
SOLE
11035
0
0
Bank OZK
COM
06417N103
242
6045
SH
SOLE
6045
0
0
Berkshire Hathaway Inc
CL B NEW
084670702
42
137
SH
DFND
137
0
0
Berkshire Hathaway Inc
CL B NEW
084670702
6461
20917
SH
SOLE
20864
0
53
Black Hills Corp
COM
092113109
18
256
SH
DFND
256
0
0
Black Hills Corp
COM
092113109
4288
60968
SH
SOLE
56133
0
4835
BlackRock Advisors LLC
RUS MID CAP ETF
464287499
401
5943
SH
SOLE
5943
0
0
BlackRock Advisors LLC
S&P MC 400GR ETF
464287606
324
4740
SH
SOLE
4740
0
0
BlackRock Advisors LLC
RUS 1000 ETF
464287622
339
1612
SH
SOLE
1612
0
0
BlackRock Advisors LLC
RUSSELL 3000 ETF
464287689
2738
12408
SH
SOLE
12408
0
0
BlackRock Advisors LLC
S&P MC 400VL ETF
464287705
602
5971
SH
SOLE
5971
0
0
BlackRock Advisors LLC
CORE S&P SCP ETF
464287804
685
7236
SH
SOLE
7236
0
0
BlackRock Advisors LLC
CORE MSCI EMKT
46434G103
2
48
SH
DFND
48
0
0
BlackRock Advisors LLC
CORE MSCI EMKT
46434G103
279
5985
SH
SOLE
5985
0
0
BlackRock Fund Advisors
MSCI EAFE ETF
464287465
425
6478
SH
SOLE
6478
0
0
BlackRock Fund Advisors
SHRT NAT MUN ETF
464288158
2592
24858
SH
SOLE
24858
0
0
BlackRock Fund Advisors
MBS ETF
464288588
37
401
SH
DFND
401
0
0
BlackRock Fund Advisors
MBS ETF
464288588
5470
58978
SH
SOLE
53662
0
5316
BlackRock Fund Advisors
PFD AND INCM SEC
464288687
275
9022
SH
SOLE
9022
0
0
BlackRock Fund Advisors
EAFE GRWTH ETF
464288885
579
6916
SH
DFND
6916
0
0
BlackRock Fund Advisors
EAFE GRWTH ETF
464288885
26153
312238
SH
SOLE
303091
0
9147
BlackRock Fund Advisors
MSCI USA MIN VOL
46429B697
2125
29476
SH
SOLE
29476
0
0
BlackRock Inc
COM
09247X101
60
84
SH
DFND
84
0
0
BlackRock Inc
COM
09247X101
6247
8816
SH
SOLE
8230
0
586
Blade Air Mobility Inc
CL A COM
092667104
80
22300
SH
SOLE
22300
0
0
Boston Scientific Corp
COM
101137107
227
4903
SH
SOLE
4903
0
0
Broadcom Inc
COM
11135F101
78
140
SH
DFND
140
0
0
Broadcom Inc
COM
11135F101
7943
14206
SH
SOLE
13282
0
924
Bunge Ltd
COM
G16962105
334
3345
SH
SOLE
3345
0
0
CDN NATL RAILWAYS
COM
136375102
255
2147
SH
SOLE
2147
0
0
CISCO SYSTEMS
COM
17275R102
74
1548
SH
DFND
1421
0
127
CISCO SYSTEMS
COM
17275R102
7436
156090
SH
SOLE
145972
0
10118
COLGATE-PALMOLIVE
COM
194162103
331
4200
SH
SOLE
4200
0
0
CONOCOPHILLIPS
COM
20825C104
83
701
SH
DFND
701
0
0
CONOCOPHILLIPS
COM
20825C104
1003
8500
SH
SOLE
8500
0
0
CREDIT SUISSE AG/NASSAU
None
22542D225
309
3500
SH
SOLE
3500
0
0
CVS Health Corp
COM
126650100
8
90
SH
DFND
0
0
90
CVS Health Corp
COM
126650100
407
4366
SH
SOLE
4366
0
0
Caterpillar Inc
COM
149123101
366
1526
SH
SOLE
1526
0
0
Charles Schwab Investment Management Inc
US BRD MKT ETF
808524102
312
6958
SH
SOLE
6958
0
0
Chevron Corp
COM
166764100
500
2786
SH
DFND
2760
0
26
Chevron Corp
COM
166764100
8390
46742
SH
SOLE
44636
0
2106
Cigna Corp
COM
125523100
8
24
SH
DFND
11
0
13
Cigna Corp
COM
125523100
252
762
SH
SOLE
762
0
0
Coca-Cola Co/The
COM
191216100
104
1639
SH
DFND
1639
0
0
Coca-Cola Co/The
COM
191216100
4096
64385
SH
SOLE
56325
0
8060
Comcast Corp
CL A
20030N101
581
16627
SH
SOLE
16627
0
0
Costco Wholesale Corp
COM
22160K105
69
151
SH
DFND
151
0
0
Costco Wholesale Corp
COM
22160K105
4481
9817
SH
SOLE
9778
0
39
DEERE & CO
COM
244199105
641
1495
SH
SOLE
1495
0
0
DIAGEO
SPON ADR NEW
25243Q205
320
1794
SH
SOLE
1794
0
0
DUKE ENERGY CORP
COM NEW
26441C204
46
451
SH
DFND
451
0
0
DUKE ENERGY CORP
COM NEW
26441C204
273
2648
SH
SOLE
2648
0
0
Danaher Corp
COM
235851102
670
2523
SH
SOLE
2523
0
0
Denison Mines Corp
COM
248356107
388
337000
SH
SOLE
337000
0
0
Dollar General Corp
COM
256677105
201
816
SH
SOLE
816
0
0
Duff & Phelps Closed-End Funds
COM
23325P104
171
15172
SH
SOLE
15172
0
0
ETF Managers Group LLC
PRIME JUNIR SLVR
26924G102
747
70834
SH
SOLE
70834
0
0
Easterly Government Properties
COM
27616P103
4
294
SH
DFND
294
0
0
Easterly Government Properties
COM
27616P103
1258
88168
SH
SOLE
73823
0
14345
Eli Lilly & Co
COM
532457108
512
1399
SH
SOLE
1399
0
0
Endeavour Silver Corp
COM
29258Y103
159
49000
SH
SOLE
49000
0
0
Energy Fuels Inc/Canada
COM NEW
292671708
81
13000
SH
SOLE
13000
0
0
Energy Transfer LP
COM UT LTD PTN
29273V100
214
18051
SH
SOLE
18051
0
0
Exxon Mobil Corp
COM
30231G102
1224
11094
SH
DFND
11042
0
52
Exxon Mobil Corp
COM
30231G102
2137
19370
SH
SOLE
19305
0
65
FACEBOOK INC
CL A
30303M102
210
1745
SH
SOLE
1745
0
0
FLEXSHARES TR
MORNSTAR USMKT
33939L100
450
3031
SH
SOLE
3031
0
0
First Horizon Corp
COM
320517105
42
1703
SH
DFND
1703
0
0
First Horizon Corp
COM
320517105
4449
181577
SH
SOLE
166787
0
14790
First Majestic Silver Corp
COM
32076V103
259
31000
SH
SOLE
31000
0
0
First Trust ETFs/USA
TCW OPPORTUNIS
33740F805
381
8673
SH
SOLE
8673
0
0
Fortuna Silver Mines Inc
COM
349915108
109
29000
SH
SOLE
29000
0
0
Franklin LibertyShares ETFs/US
US LOW VOLATILIT
35473P504
300
6484
SH
DFND
6484
0
0
Franklin LibertyShares ETFs/US
US LOW VOLATILIT
35473P504
10659
230656
SH
SOLE
228446
0
2210
GOLDMAN SACHS GRP
COM
38141G104
35
101
SH
DFND
101
0
0
GOLDMAN SACHS GRP
COM
38141G104
3325
9683
SH
SOLE
9643
0
40
General Electric Co
COM NEW
369604301
22
262
SH
DFND
262
0
0
General Electric Co
COM NEW
369604301
241
2879
SH
SOLE
2816
0
63
General Mills Inc
COM
370334104
424
5054
SH
SOLE
5054
0
0
Gilead Sciences Inc
COM
375558103
241
2807
SH
SOLE
2807
0
0
HUMANA INC
COM
444859102
442
863
SH
SOLE
843
0
20
Heartland Financial USA Inc
COM
42234Q102
7080
151874
SH
DFND
0
0
151874
Heartland Financial USA Inc
COM
42234Q102
70121
1504106
SH
SOLE
86146
0
1417961
Home Depot Inc/The
COM
437076102
204
646
SH
DFND
646
0
0
Home Depot Inc/The
COM
437076102
4799
15193
SH
SOLE
13283
0
1910
Honeywell International Inc
COM
438516106
1334
6225
SH
SOLE
6225
0
0
Hubbell Inc
COM
443510607
704
3000
SH
SOLE
3000
0
0
IBM
COM
459200101
1644
11668
SH
SOLE
11568
0
100
INDEXIQ ETF TRUST/USA
HEDGE MLTI ETF
45409B107
275
9646
SH
DFND
9646
0
0
INDEXIQ ETF TRUST/USA
HEDGE MLTI ETF
45409B107
15807
555395
SH
SOLE
552738
0
2657
ING Groep NV
SPONSORED ADR
456837103
3751
308199
SH
DFND
308199
0
0
INTERCONTINENTAL EXCHANGE
COM
45866F104
298
2903
SH
SOLE
2903
0
0
ISHARES
SELECT DIVID ETF
464287168
204
1693
SH
SOLE
1693
0
0
ISHARES
CORE S&P500 ETF
464287200
329
857
SH
DFND
857
0
0
ISHARES
CORE S&P500 ETF
464287200
4694
12216
SH
SOLE
12216
0
0
ISHARES
S&P 500 GRWT ETF
464287309
471
8049
SH
SOLE
8049
0
0
ISHARES
RUSSELL 2000 ETF
464287655
8
45
SH
DFND
0
0
45
ISHARES
RUSSELL 2000 ETF
464287655
646
3706
SH
SOLE
3706
0
0
ISHARES
EAFE VALUE ETF
464288877
603
13134
SH
DFND
13134
0
0
ISHARES
EAFE VALUE ETF
464288877
27701
603781
SH
SOLE
581777
0
22004
ISHARES TRUST
1 3 YR TREAS BD
464287457
185
2278
SH
DFND
2278
0
0
ISHARES TRUST
1 3 YR TREAS BD
464287457
12512
154144
SH
SOLE
137614
0
16530
ISHARES/USA
RUS 1000 GRW ETF
464287614
204
951
SH
SOLE
951
0
0
ISHARES/USA
NATIONAL MUN ETF
464288414
1441
13656
SH
SOLE
13656
0
0
Industrial Logistics Propertie
COM SHS BEN INT
456237106
3674
1123563
SH
SOLE
1123563
0
0
Intel Corp
COM
458140100
6
241
SH
DFND
186
0
55
Intel Corp
COM
458140100
941
35619
SH
SOLE
25624
0
9995
Invesco Capital Management LLC
DIVID ACHIEVEV
46137V506
584
16000
SH
SOLE
16000
0
0
Invesco Capital Management LLC
INTL DIVI ACHI
46137V548
244
14600
SH
SOLE
14600
0
0
Invesco Capital Management LLC
S&P INTL LOW
46138E230
91
3412
SH
DFND
3412
0
0
Invesco Capital Management LLC
S&P INTL LOW
46138E230
5434
202931
SH
SOLE
201894
0
1037
Invesco Capital Management LLC
TREAS COLATERL
46138G888
7
64
SH
DFND
64
0
0
Invesco Capital Management LLC
TREAS COLATERL
46138G888
1770
16804
SH
SOLE
16659
0
145
JP Morgan ETFs/USA
EQUITY PREMIUM
46641Q332
245
4503
SH
DFND
4503
0
0
JP Morgan ETFs/USA
EQUITY PREMIUM
46641Q332
15582
285953
SH
SOLE
279726
0
6227
JP Morgan ETFs/USA
ULTRA SHT MUNCPL
46641Q654
1551
30695
SH
SOLE
30695
0
0
JP Morgan ETFs/USA
INTL BD OPP ETF
46641Q852
992
21569
SH
SOLE
21569
0
0
JPMorgan Chase & Co
COM
46625H100
132
987
SH
DFND
941
0
46
JPMorgan Chase & Co
COM
46625H100
7955
59318
SH
SOLE
55679
0
3639
Johnson & Johnson
COM
478160104
196
1111
SH
DFND
1076
0
35
Johnson & Johnson
COM
478160104
10657
60330
SH
SOLE
57295
0
3035
KIMBERLY-CLARK CP
COM
494368103
73
535
SH
DFND
500
0
35
KIMBERLY-CLARK CP
COM
494368103
303
2229
SH
SOLE
2229
0
0
Kraft Foods Inc
CL A
609207105
12
173
SH
DFND
173
0
0
Kraft Foods Inc
CL A
609207105
622
9325
SH
SOLE
9325
0
0
LOWE'S COS INC
COM
548661107
76
383
SH
DFND
368
0
15
LOWE'S COS INC
COM
548661107
5873
29477
SH
SOLE
29330
0
147
Linde PLC
SHS
G5494J103
296
908
SH
SOLE
908
0
0
MAG Silver Corp
COM
55903Q104
438
28000
SH
SOLE
28000
0
0
MARSH & MCLENNAN
COM
571748102
208
1256
SH
SOLE
1256
0
0
MASTERCARD INC
CL A
57636Q104
443
1275
SH
SOLE
1275
0
0
MCDONALD'S CORP
COM
580135101
13
49
SH
DFND
49
0
0
MCDONALD'S CORP
COM
580135101
4553
17277
SH
SOLE
15400
0
1877
MCKESSON CORP
COM
58155Q103
261
695
SH
SOLE
695
0
0
MICROSOFT CORP
COM
594918104
98
408
SH
DFND
380
0
28
MICROSOFT CORP
COM
594918104
14908
62164
SH
SOLE
59332
0
2832
MOODYS CORP
COM
615369105
345
1240
SH
SOLE
1240
0
0
MORGAN STANLEY
COM NEW
617446448
8
92
SH
DFND
92
0
0
MORGAN STANLEY
COM NEW
617446448
2524
29682
SH
SOLE
25966
0
3716
Medtronic PLC
SHS
G5960L103
57
731
SH
DFND
731
0
0
Medtronic PLC
SHS
G5960L103
5543
71319
SH
SOLE
66404
0
4915
Merck & Co Inc
COM
58933Y105
237
2138
SH
DFND
2100
0
38
Merck & Co Inc
COM
58933Y105
763
6880
SH
SOLE
6780
0
100
MetLife Inc
COM
59156R108
355
4906
SH
SOLE
4906
0
0
Metalla Royalty & Streaming Lt
COM NEW
59124U605
79
16000
SH
SOLE
16000
0
0
NEXTERA ENERGY
COM
65339F101
251
3000
SH
DFND
3000
0
0
NEXTERA ENERGY
COM
65339F101
200
2396
SH
SOLE
2396
0
0
NIKE INC
CL B
654106103
453
3874
SH
SOLE
3874
0
0
NORDIC AMER TANKER
COM
G65773106
155
50500
SH
SOLE
50500
0
0
NORTHROP GRUMMAN
COM
666807102
336
616
SH
SOLE
616
0
0
NUSCALE POWER CORP
CL A COM
67079K100
144
14000
SH
SOLE
14000
0
0
NexGen Energy Ltd
COM
65340P106
463
104426
SH
SOLE
104426
0
0
Norfolk Southern Corp
COM
655844108
320
1300
SH
DFND
1300
0
0
Norfolk Southern Corp
COM
655844108
308
1250
SH
SOLE
1250
0
0
Nucor Corp
COM
670346105
337
2557
SH
SOLE
2557
0
0
Nuveen Asset Management LLC
NUVEEN BLMBRG SH
78468R739
93
1972
SH
DFND
1972
0
0
Nuveen Asset Management LLC
NUVEEN BLMBRG SH
78468R739
13261
282275
SH
SOLE
282275
0
0
Nuveen Closed-End Funds/USA
COM
6706ER101
1216
96144
SH
SOLE
96144
0
0
Nuveen Closed-End Funds/USA
COM
67072C105
99
14525
SH
SOLE
14525
0
0
Nuveen Closed-End Funds/USA
COM
67074Y105
9
795
SH
DFND
795
0
0
Nuveen Closed-End Funds/USA
COM
67074Y105
2058
175928
SH
SOLE
175928
0
0
ORACLE CORP
COM
68389X105
69
842
SH
DFND
807
0
35
ORACLE CORP
COM
68389X105
4359
53331
SH
SOLE
53049
0
282
PEPSICO INC
COM
713448108
92
510
SH
DFND
510
0
0
PEPSICO INC
COM
713448108
3833
21219
SH
SOLE
21103
0
116
PNC Financial Services Group I
COM
693475105
160
1014
SH
DFND
1000
0
14
PNC Financial Services Group I
COM
693475105
441
2795
SH
SOLE
2795
0
0
PROGRESSIVE CP(OH)
COM
743315103
215
1659
SH
SOLE
1659
0
0
PROSHARES ETFS/USA
SHORT QQQ NEW
74347B714
545
37000
SH
SOLE
37000
0
0
Pfizer Inc
COM
717081103
57
1108
SH
DFND
1000
0
108
Pfizer Inc
COM
717081103
1583
30890
SH
SOLE
30790
0
100
Physicians Realty Trust
COM
71943U104
4
269
SH
DFND
269
0
0
Physicians Realty Trust
COM
71943U104
983
67954
SH
SOLE
67954
0
0
Postal Realty Trust Inc
CL A
73757R102
9
629
SH
DFND
629
0
0
Postal Realty Trust Inc
CL A
73757R102
1996
137390
SH
SOLE
137390
0
0
ProShare Advisors LLC
SHORT S&P 500 NE
74347B425
208
13000
SH
SOLE
13000
0
0
Procter & Gamble Co/The
COM
742718109
119
787
SH
DFND
787
0
0
Procter & Gamble Co/The
COM
742718109
3366
22208
SH
SOLE
20097
0
2111
Proshare Capital Management LLC
ULTRA SILVER NEW
74347W353
630
19683
SH
SOLE
19683
0
0
Putnam Investment Management LLC
COM
746823103
70
11200
SH
SOLE
11200
0
0
Putnam Investment Management LLC
SH BEN INT
746853100
44
12170
SH
SOLE
12170
0
0
ROPER INDUSTRIES INC
COM
776696106
416
963
SH
SOLE
963
0
0
Rafferty Asset Management LLC
DAILY JR GLD MIN
25460G831
376
10400
SH
SOLE
10400
0
0
Raytheon Technologies Corp
COM
75513E101
101
1001
SH
DFND
1001
0
0
Raytheon Technologies Corp
COM
75513E101
10697
105990
SH
SOLE
100552
0
5438
SALESFORCE.COM INC
COM
79466L302
22
164
SH
DFND
164
0
0
SALESFORCE.COM INC
COM
79466L302
1746
13171
SH
SOLE
13098
0
73
SELECT SECTOR SPDR
TECHNOLOGY
81369Y803
12
95
SH
DFND
0
0
95
SELECT SECTOR SPDR
TECHNOLOGY
81369Y803
229
1841
SH
SOLE
1841
0
0
SILVERCORP METALS
COM
82835P103
1
410
SH
DFND
410
0
0
SILVERCORP METALS
COM
82835P103
112
38000
SH
SOLE
38000
0
0
SILVERCREST METALS
COM
828363101
186
31000
SH
SOLE
31000
0
0
STARBUCKS CORP
COM
855244109
54
546
SH
DFND
546
0
0
STARBUCKS CORP
COM
855244109
6183
62326
SH
SOLE
57144
0
5182
STATE STREET ETF/USA
NUVEEN BLOOMBERG
78464A284
93
1906
SH
DFND
1906
0
0
STATE STREET ETF/USA
NUVEEN BLOOMBERG
78464A284
3510
71669
SH
SOLE
71669
0
0
Seligman Funds/Closed-end/USA
COM
895436103
32
1253
SH
DFND
1253
0
0
Seligman Funds/Closed-end/USA
COM
895436103
7217
281577
SH
SOLE
281577
0
0
Skeena Resources Ltd
COM
83056P715
90
17000
SH
SOLE
17000
0
0
Sprott Asset Management CEFs
TR UNIT
85207K107
1228
148985
SH
SOLE
148985
0
0
Sprott ETF Trust
URANIUM MINERS E
85208P303
668
21056
SH
SOLE
21056
0
0
Starwood Property Trust Inc
COM
85571B105
4
198
SH
DFND
198
0
0
Starwood Property Trust Inc
COM
85571B105
799
43595
SH
SOLE
43595
0
0
State Street ETF/USA
TR UNIT
78462F103
202
529
SH
DFND
529
0
0
State Street ETF/USA
TR UNIT
78462F103
4230
11062
SH
SOLE
11062
0
0
State Street Global Advisors Inc
BLOOMBERG HIGH Y
78468R622
5
58
SH
DFND
58
0
0
State Street Global Advisors Inc
BLOOMBERG HIGH Y
78468R622
2982
33136
SH
SOLE
33136
0
0
TEXAS INSTRUMENTS
COM
882508104
63
381
SH
DFND
381
0
0
TEXAS INSTRUMENTS
COM
882508104
7096
42948
SH
SOLE
39556
0
3392
TRAVELERS CO INC
COM
89417E109
465
2482
SH
SOLE
2482
0
0
Target Corp
COM
87612E106
47
316
SH
DFND
303
0
13
Target Corp
COM
87612E106
3263
21894
SH
SOLE
21803
0
91
Tesla Inc
COM
88160R101
64
519
SH
DFND
519
0
0
Tesla Inc
COM
88160R101
241
1959
SH
SOLE
1959
0
0
Thermo Fisher Scientific Inc
COM
883556102
949
1724
SH
SOLE
1724
0
0
Tyson Foods Inc
CL A
902494103
225
3607
SH
SOLE
3607
0
0
UTD PARCEL SERV
CL B
911312106
68
392
SH
DFND
392
0
0
UTD PARCEL SERV
CL B
911312106
7892
45397
SH
SOLE
42539
0
2858
Union Pacific Corp
COM
907818108
432
2084
SH
DFND
2084
0
0
Union Pacific Corp
COM
907818108
304
1468
SH
SOLE
1468
0
0
United Rentals Inc
COM
911363109
473
1331
SH
SOLE
1331
0
0
UnitedHealth Group Inc
COM
91324P102
3
6
SH
DFND
0
0
6
UnitedHealth Group Inc
COM
91324P102
841
1587
SH
SOLE
1587
0
0
Uranium Energy Corp
COM
916896103
303
78071
SH
SOLE
78071
0
0
Uranium Royalty Corp
COM
91702V101
85
36000
SH
SOLE
36000
0
0
VANGUARD
S&P 500 ETF SHS
922908363
452
1286
SH
SOLE
1286
0
0
VANGUARD ETF/USA
DIV APP ETF
921908844
639
4210
SH
SOLE
4210
0
0
VANGUARD ETF/USA
VG TL INTL STK F
921909768
2322
44901
SH
SOLE
44901
0
0
VANGUARD ETF/USA
SHRT TRM CORP BD
92206C409
33
443
SH
DFND
443
0
0
VANGUARD ETF/USA
SHRT TRM CORP BD
92206C409
11242
149521
SH
SOLE
149521
0
0
VANGUARD ETF/USA
SM CP VAL ETF
922908611
222
1400
SH
DFND
1400
0
0
VANGUARD ETF/USA
SM CP VAL ETF
922908611
8749
55093
SH
SOLE
54093
0
1000
VANGUARD ETF/USA
TOTAL STK MKT
922908769
1477
7726
SH
DFND
7726
0
0
VANGUARD ETF/USA
TOTAL STK MKT
922908769
5897
30843
SH
SOLE
30843
0
0
VANGUARD GROUP INC/THE
TOTAL INT BD ETF
92203J407
890
18760
SH
SOLE
18760
0
0
VERIZON COMMUN
COM
92343V104
72
1823
SH
DFND
1823
0
0
VERIZON COMMUN
COM
92343V104
1996
50658
SH
SOLE
43781
0
6877
VISA INC
COM CL A
92826C839
47
228
SH
DFND
228
0
0
VISA INC
COM CL A
92826C839
4043
19461
SH
SOLE
19359
0
102
Van Eck Associates Corp
INTRMDT MUNI ETF
92189H201
925
20271
SH
DFND
20271
0
0
Van Eck Associates Corp
INTRMDT MUNI ETF
92189H201
39241
860352
SH
SOLE
860352
0
0
Vanguard ETF/USA
500 GRTH IDX F
921932505
1268
6010
SH
SOLE
6010
0
0
Vanguard ETF/USA
INTERMED TERM
921937819
1976
26591
SH
SOLE
26591
0
0
Vanguard ETF/USA
TOTAL BND MRKT
921937835
91
1264
SH
DFND
1264
0
0
Vanguard ETF/USA
TOTAL BND MRKT
921937835
4492
62534
SH
SOLE
60543
0
1991
Vanguard ETF/USA
VAN FTSE DEV MKT
921943858
268
6390
SH
SOLE
6390
0
0
Vanguard ETF/USA
FTSE EMR MKT ETF
922042858
205
5269
SH
DFND
5269
0
0
Vanguard ETF/USA
FTSE EMR MKT ETF
922042858
10295
264110
SH
SOLE
261183
0
2927
Vanguard ETF/USA
INF TECH ETF
92204A702
7
22
SH
DFND
0
0
22
Vanguard ETF/USA
INF TECH ETF
92204A702
464
1452
SH
SOLE
1452
0
0
Vanguard ETF/USA
REAL ESTATE ETF
922908553
3
42
SH
DFND
42
0
0
Vanguard ETF/USA
REAL ESTATE ETF
922908553
257
3114
SH
SOLE
3114
0
0
Vanguard ETF/USA
SML CP GRW ETF
922908595
207
1031
SH
DFND
1031
0
0
Vanguard ETF/USA
SML CP GRW ETF
922908595
7814
38966
SH
SOLE
38256
0
710
Vanguard ETF/USA
GROWTH ETF
922908736
951
4461
SH
DFND
4461
0
0
Vanguard ETF/USA
GROWTH ETF
922908736
34959
164040
SH
SOLE
164040
0
0
Vanguard ETF/USA
VALUE ETF
922908744
1387
9883
SH
DFND
9883
0
0
Vanguard ETF/USA
VALUE ETF
922908744
51806
369069
SH
SOLE
369069
0
0
Vanguard Group Inc/The
LARGE CAP ETF
922908637
413
2370
SH
SOLE
2370
0
0
Vanguard Group Inc/The
EXTEND MKT ETF
922908652
13
99
SH
DFND
99
0
0
Vanguard Group Inc/The
EXTEND MKT ETF
922908652
588
4424
SH
SOLE
4424
0
0
Voya Investments LLC
CORE S&P MCP ETF
464287507
52
215
SH
DFND
0
0
215
Voya Investments LLC
CORE S&P MCP ETF
464287507
537
2222
SH
SOLE
2222
0
0
WASTE MANAGEMENT
COM
94106L109
591
3767
SH
SOLE
3767
0
0
WEC Energy Group Inc
COM
92939U106
188
2000
SH
DFND
2000
0
0
WEC Energy Group Inc
COM
92939U106
86
912
SH
SOLE
912
0
0
WELLS FARGO & CO
COM
949746101
9
219
SH
DFND
99
0
120
WELLS FARGO & CO
COM
949746101
1881
45563
SH
SOLE
45563
0
0
Walmart Inc
COM
931142103
186
1310
SH
DFND
1310
0
0
Walmart Inc
COM
931142103
9213
64978
SH
SOLE
60818
0
4160
Walt Disney Co/The
COM
254687106
473
5444
SH
SOLE
5444
0
0
YAMANA GOLD INC
COM
98462Y100
111
20000
SH
DFND
20000
0
0
i-80 Gold Corp
None
44955L106
71
25000
SH
SOLE
25000
0
0
iShares ETFs/USA
7-10 YR TRSY BD
464287440
304
3173
SH
SOLE
3173
0
0
iShares ETFs/USA
MSCI ACWI EX US
464288240
96
2115
SH
DFND
2115
0
0
iShares ETFs/USA
MSCI ACWI EX US
464288240
775
17030
SH
SOLE
17030
0
0
iShares ETFs/USA
JPMORGAN USD EMG
464288281
7
79
SH
DFND
79
0
0
iShares ETFs/USA
JPMORGAN USD EMG
464288281
3217
38028
SH
SOLE
38028
0
0
iShares ETFs/USA
BLACKROCK ULTRA
46434V878
115
2293
SH
DFND
2293
0
0
iShares ETFs/USA
BLACKROCK ULTRA
46434V878
4312
86175
SH
SOLE
82140
0
4035