13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-01, with 3,766 holding rows worth $288,914,204,044.
- Accession
- 0000927971-23-000005
- Filer
- CIK 927971
- Filed
- 2023-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 11,618 entries on the cover page, a total value of $288,914,204,044 stated on the cover page (in dollars after the unit check, H1), rows summing to $288,914,204,044 with VALUE read as dollars as filed, 13F file number 028-07640. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBank of Montreal Europe Plc028-17461
- included managerBMO Asset Management Inc.028-16018
- included managerBMO Bank N.A.
- included managerBMO CAPITAL MARKETS CORP.028-17436
- included managerBMO Family Office, LLC028-17442
- included managerBMO NESBITT BURNS INC.028-16021
- included managerBMO PRIVATE INVESTMENT COUNSEL INC.028-16020
- included managerStoker Ostler Wealth Advisors, Inc.028-11481
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SACKS PARENTE GOLF INC | 78577G103 | Stock | 20,000 | $32,600 | dollars as filed | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 1,000 | $32,580 | dollars as filed | put |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 591 | $32,570 | dollars as filed | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 19,230 | $32,499 | dollars as filed | |
| WINNEBAGO INDS INC | 974637100 | COM | 500 | $31,990 | dollars as filed | call |
| MARKETWISE INC | 57064P107 | COM CL A | 17,580 | $31,820 | dollars as filed | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 352 | $31,677 | dollars as filed | |
| MICROALGO INC | G6077Y103 | COMMON | 10,000 | $31,600 | dollars as filed | |
| HECLA MNG CO | 422704106 | COM | 7,316 | $31,019 | dollars as filed | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 1,395 | $30,899 | dollars as filed | |
| KRANESHARES TRUST | 500767512 | ELECTRIFICATION | 1,369 | $30,803 | dollars as filed | |
| KRANESHARES TR | 500767538 | GLOBAL CRBN OFS | 11,999 | $30,477 | dollars as filed | |
| BONDBLOXX ETF TRUST | 09789C804 | B RT USD HI YLD | 788 | $30,393 | dollars as filed | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 500 | $30,243 | dollars as filed | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 625 | $29,925 | dollars as filed | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 735 | $29,650 | dollars as filed | |
| GREIF INC | 397624206 | CL B | 384 | $29,583 | dollars as filed | |
| VANECK ETF TRUST | 92189F676 | COM | 200 | $29,362 | dollars as filed | put |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 518 | $29,148 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 500 | $28,745 | dollars as filed | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 829 | $28,642 | dollars as filed | |
| 8X8 INC | 282914100 | COMMON STOCK | 10,764 | $28,633 | dollars as filed | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 418 | $28,303 | dollars as filed | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 27,512 | $27,951 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 636 | $26,979 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 900 | $26,937 | dollars as filed | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 880 | $26,827 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q705 | FT VEST S&P 500 | 500 | $26,055 | dollars as filed | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - JULY | 45782C284 | ETF | 1,000 | $25,700 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V104 | US CORE EQT MKT | 815 | $25,526 | dollars as filed | |
| HIGH TIDE INC | 42981E401 | COM | 14,056 | $25,456 | dollars as filed | |
| INNOVATOR ETFS TR | 45782C219 | DOUBLE STACKR 9 | 800 | $25,243 | dollars as filed | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 188 | $25,224 | dollars as filed | |
| ISHARES TR | 46429B408 | CMN | 1,020 | $25,102 | dollars as filed | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 1,216 | $25,025 | dollars as filed | |
| LENNAR CORP CL B | 526057302 | Stock | 236 | $24,900 | dollars as filed | |
| EVOLUS INC | 30052C107 | COM | 2,616 | $24,747 | dollars as filed | |
| SNDL INC | 83307B101 | COM | 11,135 | $24,719 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E115 | S&P SMLCP INFO | 500 | $24,365 | dollars as filed | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 393 | $23,898 | dollars as filed | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 1,010 | $23,806 | dollars as filed | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 460 | $23,718 | dollars as filed | |
| DBX ETF TR | 233051408 | FUND | 777 | $23,713 | dollars as filed | |
| HECLA MNG CO | 422704106 | COM | 5,500 | $23,320 | dollars as filed | call |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 581 | $23,299 | dollars as filed | |
| AMC ENTMT HLDGS INC | 00165C302 | CL A NEW | 2,684 | $22,626 | dollars as filed | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 423 | $22,491 | dollars as filed | |
| WISDOMTREE GROWTH LEADERS FUND | 97717Y717 | WT GRWTH LDRS | 688 | $22,360 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P579 | FTSE SOUTH AFR | 1,045 | $22,248 | dollars as filed | |
| FIDELITY MERRIMACK STR TR | 316188879 | TACTICAL BOND | 455 | $22,031 | dollars as filed | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 763 | $21,967 | dollars as filed | |
| DIGITALOCEAN HLDGS INC COM | 25402D102 | Stock | 897 | $21,959 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 6,800 | $21,896 | dollars as filed | put |
| PARSONS CORP DEL COM | 70202L102 | Stock | 394 | $21,871 | dollars as filed | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 845 | $21,564 | dollars as filed | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 18,682 | $21,485 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 1,415 | $21,436 | dollars as filed | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 704 | $20,979 | dollars as filed | |
| CDW CORP COM | 12514G108 | Stock | 100 | $20,721 | dollars as filed | call |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 206 | $20,584 | dollars as filed | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 425 | $20,234 | dollars as filed | |
| KRANESHARES TRUST | 500767652 | KFA MOUNT LUCAS | 625 | $20,181 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 700 | $20,146 | dollars as filed | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 403 | $20,090 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,250 | $19,600 | dollars as filed | |
| EXCHANGE TRADED CONCEPTS TRU | 301505731 | ROBO GLB ARTIF | 530 | $19,266 | dollars as filed | |
| PROSHARES TR | 74347G366 | SHRT RL EST FD | 920 | $19,246 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 548 | $19,224 | dollars as filed | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 946 | $19,184 | dollars as filed | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 542 | $19,143 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 18,063 | $18,786 | dollars as filed | |
| GOLDMAN SACHS ACTIVEBETA WORLD EQUITY ETF | 38149W739 | ETF | 441 | $18,314 | dollars as filed | |
| American Century Emerging Markets Bond ETF | 025072414 | ETP | 492 | $18,120 | dollars as filed | |
| GLOBALSTAR INC | 378973408 | COM | 12,842 | $17,722 | dollars as filed | |
| MATTERPORT INC | 577096100 | COM CL A | 7,493 | $17,609 | dollars as filed | |
| GLOBAL X FDS | 37954Y269 | NASDQ 100 CVRDGW | 630 | $17,552 | dollars as filed | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 91 | $17,249 | dollars as filed | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 383 | $16,645 | dollars as filed | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 258 | $16,313 | dollars as filed | |
| BEAMR IMAGING LTD | M1R79L104 | ORDINARY SHS | 10,000 | $16,200 | dollars as filed | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 608 | $16,173 | dollars as filed | |
| BLACKROCK ETF TRUST | 09290C509 | ISHA US AWAR ETF | 325 | $16,140 | dollars as filed | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 93 | $16,120 | dollars as filed | |
| PROSHARES TR | 74347G440 | BITCOIN ETF | 1,140 | $16,108 | dollars as filed | |
| PACER TRENDPILOT INTERNATIONAL ETF | 69374H683 | ETF | 591 | $16,016 | dollars as filed | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 324 | $15,938 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 500 | $15,635 | dollars as filed | |
| TINGO GROUP INC | 55328R109 | COM | 12,201 | $15,373 | dollars as filed | |
| TINGO GROUP INC | 55328R109 | COM | 12,200 | $15,372 | dollars as filed | put |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 1,720 | $15,239 | dollars as filed | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 340 | $15,232 | dollars as filed | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 645 | $15,196 | dollars as filed | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 219 | $15,032 | dollars as filed | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 750 | $14,993 | dollars as filed | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 295 | $14,623 | dollars as filed | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 250 | $14,605 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 165 | $14,541 | dollars as filed | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 203 | $14,415 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 318 | $14,361 | dollars as filed | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 140 | $14,066 | dollars as filed | |
| GLOBAL X FDS | 37954Y236 | DATA CTR & DIGIT | 1,023 | $13,718 | dollars as filed | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 14,000 | $13,528 | dollars as filed | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 210 | $13,520 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 128 | $13,076 | dollars as filed | |
| VIZSLA SILVER ORD (ASE) | 92859G202 | COM | 10,000 | $12,884 | dollars as filed | |
| Galiano Gold Inc | 36352H100 | COM | 19,870 | $12,727 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P850 | MUNICIPAL GRN BD | 542 | $12,591 | dollars as filed | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 423 | $12,585 | dollars as filed | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 100 | $12,466 | dollars as filed | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,342 | $12,466 | dollars as filed | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 267 | $12,020 | dollars as filed | |
| INVESCO NASDAQ NEXT GEN 100 ETF | 46138G631 | ETF | 463 | $11,774 | dollars as filed | |
| Rent the Runway, Inc. | 76010Y103 | COM CL A | 13,279 | $11,708 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092261 | PFD SECS INCOME | 587 | $11,675 | dollars as filed | |
| CYBIN INC | 23256X100 | COM | 35,800 | $11,597 | dollars as filed | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 566 | $11,552 | dollars as filed | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 278 | $11,495 | dollars as filed | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 212 | $11,302 | dollars as filed | |
| MATTERPORT INC | 577096100 | COM CL A | 4,700 | $11,045 | dollars as filed | put |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 310 | $10,821 | dollars as filed | |
| JPMORGAN BETABUILDERS US AGGREGA ETF | 46641Q241 | COM | 237 | $10,666 | dollars as filed | |
| MOOG INC | 615394301 | CL B | 148 | $10,567 | dollars as filed | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 323 | $10,533 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 200 | $10,348 | dollars as filed | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 1,180 | $10,124 | dollars as filed | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 1,851 | $9,866 | dollars as filed | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 13,507 | $9,806 | dollars as filed | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 405 | $9,477 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 100 | $9,476 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 300 | $9,390 | dollars as filed | |
| GREENBROOK TMS INC | 393704309 | Common Stock | 32,311 | $9,377 | dollars as filed | |
| ISHARES TR | 46434V886 | CMN | 264 | $9,343 | dollars as filed | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 388 | $9,308 | dollars as filed | |
| NULL | 84862C203 | NULL | 10,000 | $9,219 | dollars as filed | |
| MADISON SQUARE GARDEN ENTMT | 558256103 | COM CL A | 221 | $8,864 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 499 | $8,668 | dollars as filed | |
| SPDR SERIES TRUST | 78468R523 | ST STR BL 12 ETF | 86 | $8,536 | dollars as filed | |
| PROSHARES TR | 74347B714 | FUND | 800 | $8,536 | dollars as filed | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,072 | $8,516 | dollars as filed | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 1,500 | $8,404 | dollars as filed | put |
| NEW GOLD INC CDA | 644535106 | COM | 8,100 | $8,229 | dollars as filed | call |
| NEXIMMUNE INC | 65344D109 | COM | 32,000 | $8,176 | dollars as filed | |
| United States Oil Fund LP | 91232N207 | COM | 100 | $8,132 | dollars as filed | call |
| LUMIRADX LTD | G5709L109 | SHS | 20,000 | $7,994 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 225 | $7,801 | dollars as filed | |
| AFFIMED N V | N01045108 | COM | 14,650 | $7,647 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 105 | $7,156 | dollars as filed | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 294 | $7,049 | dollars as filed | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 175 | $7,009 | dollars as filed | |
| WTS/LION ELECTRIC EXP12/13/2027 | 536221120 | WARR | 9,842 | $6,883 | dollars as filed | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 100 | $6,864 | dollars as filed | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 208 | $6,446 | dollars as filed | |
| WISDOMTREE TR | 97717Y592 | BATTERY VL CHAIN | 200 | $6,372 | dollars as filed | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 511 | $6,326 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 197 | $6,030 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 400 | $5,984 | dollars as filed | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,600 | $5,980 | dollars as filed | put |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 184 | $5,973 | dollars as filed | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 300 | $5,919 | dollars as filed | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 75 | $5,889 | dollars as filed | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 116 | $5,708 | dollars as filed | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 231 | $5,650 | dollars as filed | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 320 | $5,636 | dollars as filed | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 210 | $5,603 | dollars as filed | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 82 | $5,569 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 2,000 | $5,480 | dollars as filed | put |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 70 | $5,273 | dollars as filed | |
| SPROTT FDS TR | 85208P808 | JUNIOR URANIUM | 225 | $5,254 | dollars as filed | |
| LIBERTY MEDIA CORP DEL COM LBTY ONE S C | 531229755 | Stock | 70 | $5,199 | dollars as filed | |
| PINTEREST INC CL A | 72352L106 | Stock | 200 | $5,144 | dollars as filed | put |
| AEMETIS INC | 00770K202 | COM NEW | 1,000 | $5,090 | dollars as filed | call |
| DIREXION SHS ETF TR | 25460G617 | HYDROGEN ETF | 370 | $4,903 | dollars as filed | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 320 | $4,864 | dollars as filed | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 129 | $4,805 | dollars as filed | |
| LANDCADIA HOLDINGS IV INC | 51477A112 | *W EXP 03/29/202 | 25,000 | $4,748 | dollars as filed | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 118 | $4,644 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E156 | S&P SMLCP FINL | 100 | $4,605 | dollars as filed | |
| Schwab US REIT ETF | 808524847 | SHS | 235 | $4,547 | dollars as filed | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 500 | $4,325 | dollars as filed | put |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 63 | $4,290 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 60 | $4,231 | dollars as filed | |
| GLOBAL X FDS | 37960A842 | GREEN BUILDNG ET | 196 | $4,145 | dollars as filed | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 57 | $4,104 | dollars as filed | |
| CALIDI BIOTHERAPEUTICS INC | 320703119 | *W EXP 03/14/202 | 12,500 | $4,011 | dollars as filed | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 60 | $3,978 | dollars as filed | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 20 | $3,974 | dollars as filed | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 388 | $3,892 | dollars as filed | |
| VINTAGE WINE ESTATES INC | 92747V114 | *W EXP 06/08/202 | 123,801 | $3,714 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 105 | $3,405 | dollars as filed | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 65 | $3,349 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 100 | $3,256 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 90 | $3,148 | dollars as filed | |
| Invesco S&P International Dev Momt ETF | 46138E222 | SHS | 90 | $3,129 | dollars as filed | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 66 | $3,109 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092832 | DIVID ETF RISI | 75 | $3,092 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 34 | $2,999 | dollars as filed | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 95 | $2,922 | dollars as filed | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 122 | $2,841 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 100 | $2,810 | dollars as filed | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 86 | $2,657 | dollars as filed | |
| DEFIANCE NEXT GEN H2 ETF | 26922B600 | ETF | 300 | $2,580 | dollars as filed | |
| ISHARES TR | 46429B465 | MSCI GERMNY ETF | 40 | $2,508 | dollars as filed | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 72 | $2,454 | dollars as filed | |
| PACER LUNT LARGE CAP MULTI-FACTOR ALTERNATOR ETF | 69374H816 | ETF | 62 | $2,444 | dollars as filed | |
| AFFIRM HLDGS INC COM CL A | 00827B106 | Stock | 100 | $2,440 | dollars as filed | put |
| PROSHARES TR II | 74347Y763 | FUND | 42 | $2,296 | dollars as filed | |
| CHURCHILL CAPITAL CORP V | 17144T115 | *W EXP 10/29/202 | 10,000 | $2,285 | dollars as filed | |
| STONECO LTD | G85158106 | COM CL A | 200 | $2,274 | dollars as filed | put |
| APOLLO STRATEGIC GRWT CPTL I | G0412A128 | *W EXP 02/12/202 | 20,000 | $2,200 | dollars as filed | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 14,622 | $2,120 | dollars as filed | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 70 | $2,094 | dollars as filed | |
| ALPS ETF TR | 00162Q387 | OSHARES US QUALT | 45 | $1,975 | dollars as filed | |
| SEMPER PARATUS ACQUISITION C | G8028L131 | *W EXP 11/04/202 | 25,000 | $1,970 | dollars as filed | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 35 | $1,940 | dollars as filed | |
| ADVISORSHARES TR | 00768Y362 | PSYCHEDELICS ETF | 1,075 | $1,930 | dollars as filed | |
| 2U INC | 90214J101 | COM | 629 | $1,869 | dollars as filed | |
| THE LION ELECTRIC COMPANY | 536221112 | *W EXP 05/06/202 | 8,709 | $1,859 | dollars as filed | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 60 | $1,763 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 45 | $1,742 | dollars as filed | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 36 | $1,685 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25460G419 | CMN | 32 | $1,652 | dollars as filed | |
| VINTAGE WINE ESTATES INC | 92747V106 | COM | 1,625 | $1,444 | dollars as filed | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 20 | $1,217 | dollars as filed | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 15 | $1,197 | dollars as filed | |
| TERAWULF INC | 88080T104 | COM | 631 | $1,079 | dollars as filed | |
| WISDOMTREE TR | 97717Y659 | CYBERSECURITY FD | 47 | $1,003 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 30 | $952 | dollars as filed | |
| NULL | 032108854 | NULL | 160 | $930 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 18 | $902 | dollars as filed | |
| ISHARES TR | 464289420 | RUS TP200 VL ETF | 13 | $894 | dollars as filed | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 18 | $890 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 46 | $855 | dollars as filed | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 400 | $836 | dollars as filed | put |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 15 | $818 | dollars as filed | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 11 | $811 | dollars as filed | |
| FUTURE HEALTH ESG CORP | 36118W110 | *W EXP 99/99/999 | 25,000 | $803 | dollars as filed | |
| Direxion Daily S&P 500 Bear 3X Shares | 25460E265 | ETF | 45 | $677 | dollars as filed | |
| ProShares UltraPro Short S&P 500 | 74347B110 | COM | 60 | $650 | dollars as filed | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 5 | $437 | dollars as filed | |
| STRATEGY SHS | 86280R878 | GOLD ENHANCED ET | 20 | $390 | dollars as filed | |
| RBC BEARINGS INC | 75524B203 | CONV | 3 | $342 | dollars as filed | |
| VANECK SOCIAL SENTIMENT ETF | 92189H839 | UIT EXCHANGE TRADED | 20 | $329 | dollars as filed | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 22 | $293 | dollars as filed | |
| SmileDirectClub Inc | 83192H106 | COM | 600 | $272 | dollars as filed | put |
| PARAMOUNT GLOBAL | 92556H305 | CONV | 14 | $266 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V118 | GBL LISTED PVT | 16 | $264 | dollars as filed | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 3 | $233 | dollars as filed | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 2 | $182 | dollars as filed | |
| DIREXION SHS ETF TR | 25460G336 | DLY SEMICNDTR BR | 20 | $178 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25460G831 | DAIL JR GOLD ETF | 4 | $128 | dollars as filed | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 7 | $122 | dollars as filed | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 3 | $118 | dollars as filed | |
| Avantis International Equity ETF | 025072703 | SHS | 2 | $115 | dollars as filed | |
| Avantis Emerging Markets Equity ETF | 025072604 | SHS | 2 | $109 | dollars as filed | |
| DBX ETF TR | 233051135 | CMN | 1 | $83 | dollars as filed | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 4 | $77 | dollars as filed | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 11 | $70 | dollars as filed | |
| FRANKLIN TEMPLETON ETF TR | 35473P488 | US TREAS BD ETF | 2 | $49 | dollars as filed | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 1 | $43 | dollars as filed | |
| ASTORIA REAL ASSET ETF | 46141T117 | UIE | 1 | $27 | dollars as filed | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 1 | $25 | dollars as filed | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1 | $24 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 1 | $22 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 1 | $21 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45783Y541 | EQUITY DEF PROTN | 800 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| INVESTMENT MANAGERS SER TR I | 46144X438 | AXS REAL ESTATE | 1,690 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000927971-23-000005 | this filing | 2023-11-01 | acceptance time not in the bulk data set |