13F-HR filed by LADENBURG THALMANN FINANCIAL SERVICES INC.
LADENBURG THALMANN FINANCIAL SERVICES INC. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 4,917 holding rows worth $6,676,097,000.
- Accession
- 0001144204-16-134135
- Filer
- CIK 1029730
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 12,471 entries on the cover page, a total value of $6,676,097,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,676,097,000 with VALUE read as thousands by filing date, 13F file number 028-14689. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerSECURITIES AMERICA ADVISORS INC028-12574
- included managerLadenburg Thalmann Asset Management028-13809
- included managerKMS FINANCIAL SERVICES, INC028-15569
- included managerArbor Point Advisors, LLC028-16922
- included managerSSN Advisory, Inc.028-16924
- included managerTriad Hybrid Solutions, LLC028-17514
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 |
|---|---|---|---|---|---|---|
| VERINT SYS INC | 92343X100 | COM | 455 | $17,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 1,188 | $17,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 1,305 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 654 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 538 | $17,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 151 | $17,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 750 | $17,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 383 | $17,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 399 | $17,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 332 | $17,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 7,231 | $17,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 14,500 | $17,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 2,348 | $17,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 685 | $17,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 1,442 | $17,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 189 | $17,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 587 | $17,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 2,013 | $17,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,000 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 1,589 | $17,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 600 | $17,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 190 | $17,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 3,420 | $17,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 234 | $16,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,145 | $16,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 990 | $16,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 1,094 | $16,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 1,577 | $16,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 724 | $16,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 799 | $16,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 347 | $16,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 11,272 | $16,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 1,000 | $16,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 700 | $16,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 1,291 | $16,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 233 | $16,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 344 | $16,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 1,600 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 989 | $16,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 6,016 | $16,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 728 | $16,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 301 | $16,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 5,990 | $16,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 451 | $16,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 1,358 | $16,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 1,349 | $16,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 671 | $16,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 409 | $16,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 1,100 | $16,000 | thousands by filing date | |
| InterContinental Hotels | 45857p608 | CS | 368 | $16,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 390 | $16,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 362 | $16,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 1,500 | $16,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 238 | $15,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 1,536 | $15,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 2,019 | $15,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 163 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 198 | $15,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 2,500 | $15,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 295 | $15,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 406 | $15,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 2,000 | $15,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 118 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 500 | $15,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 1,377 | $15,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 548 | $15,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 846 | $15,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 525 | $15,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 901 | $15,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 211 | $15,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 850 | $15,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 381 | $15,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 195 | $15,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 1,137 | $15,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 692 | $15,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 5,745 | $15,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 2,079 | $15,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 3,435 | $15,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 5,625 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,000 | $15,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 555 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 300 | $15,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,550 | $15,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 196 | $15,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 1,655 | $15,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 644 | $15,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 499 | $15,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 1,500 | $15,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 884 | $15,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 1,015 | $15,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 3,820 | $15,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 343 | $15,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 250 | $15,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 1,500 | $15,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 380 | $15,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 2,611 | $15,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,516 | $15,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 1,394 | $15,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 1,056 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 872 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 779 | $15,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 300 | $15,000 | thousands by filing date | |
| JP ENERGY PARTNERS LP | 46643C109 | UNT REPST LTD | 2,000 | $15,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 3,825 | $14,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 350 | $14,000 | thousands by filing date | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 398 | $14,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 954 | $14,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 327 | $14,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 844 | $14,000 | thousands by filing date | |
| INTERFACE INC | 458665304 | COM | 869 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 435 | $14,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 778 | $14,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 1,081 | $14,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,130 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 1,000 | $14,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 1,000 | $14,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 885 | $14,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 1,060 | $14,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 631 | $14,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 375 | $14,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 264 | $14,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 1,382 | $14,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 984 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $14,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 1,008 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 554 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 547 | $14,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 650 | $14,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 520 | $14,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 1,646 | $14,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 1,137 | $14,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 783 | $14,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 444 | $14,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 200 | $14,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 805 | $14,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,156 | $14,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 5,239 | $14,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 7,053 | $14,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 200 | $14,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 8,260 | $14,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 741 | $14,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 1,002 | $14,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 1,000 | $14,000 | thousands by filing date | |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 10,000 | $14,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,922 | $14,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 602 | $14,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 848 | $14,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 1,560 | $14,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 8,200 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 344 | $14,000 | thousands by filing date | |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 1,000 | $14,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 503 | $14,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 15,000 | $14,000 | thousands by filing date | |
| THE CUSHING MLP INFASTCR TOT | 231631201 | COM NEW | 1,079 | $14,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 279 | $13,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 345 | $13,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 985 | $13,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,014 | $13,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 533 | $13,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 1,375 | $13,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 375 | $13,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 452 | $13,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 666 | $13,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 551 | $13,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 221 | $13,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 295 | $13,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 561 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 324 | $13,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,715 | $13,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 114 | $13,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 534 | $13,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 700 | $13,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 1,153 | $13,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,200 | $13,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 528 | $13,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 1,173 | $13,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 8,179 | $13,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,236 | $13,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 618 | $13,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 500 | $13,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 10,082 | $13,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 1,111 | $13,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 1,023 | $13,000 | thousands by filing date | |
| SELECT COMFORT CORP | 81616X103 | COM | 600 | $13,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 900 | $13,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 1,000 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 269 | $13,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 400 | $13,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 564 | $13,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 855 | $13,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 1,300 | $13,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 1,495 | $13,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 249 | $13,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 200 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M175 | GUGGENHEIM ETF | 461 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G797 | CURR HD INTL HI | 518 | $13,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 200 | $12,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 1,850 | $12,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 168 | $12,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 1,638 | $12,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 219 | $12,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 417 | $12,000 | thousands by filing date | |
| J & J SNACK FOODS CORP COM | 466032109 | Stock | 99 | $12,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 900 | $12,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 285 | $12,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 345 | $12,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 839 | $12,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,984 | $12,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 594 | $12,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 503 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 100 | $12,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 598 | $12,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 536 | $12,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 320 | $12,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 1,500 | $12,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 442 | $12,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 830 | $12,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 200 | $12,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 533 | $12,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,200 | $12,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 137 | $12,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 28 | $12,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 1,500 | $12,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 900 | $12,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 759 | $12,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 2,070 | $12,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 1,000 | $12,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 120,000 | $12,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 1,087 | $12,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 1,114 | $12,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R802 | CORE BD ETF | 219 | $12,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 2,168 | $12,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 750 | $12,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 3,000 | $12,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 223 | $12,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 322 | $12,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 373 | $12,000 | thousands by filing date | |
| WISDOMTREE JAPAN HDG QLY | 97717X586 | COM | 550 | $12,000 | thousands by filing date | |
| ADVISORSHARES GARTMAN GOLD/YEN ETF | 00768Y685 | ETF | 1,000 | $12,000 | thousands by filing date | |
| FOREST CITY RLTY TR INC | 345605208 | COM CL B | 510 | $12,000 | thousands by filing date | |
| ISHARES TR | 46434VAJ9 | Cmn | 478 | $12,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 111 | $11,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 451 | $11,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 160 | $11,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 237 | $11,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 188 | $11,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 163 | $11,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 133 | $11,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 350 | $11,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 750 | $11,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 606 | $11,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 387 | $11,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 309 | $11,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 3,754 | $11,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 1,230 | $11,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 861 | $11,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 329 | $11,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 183 | $11,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 1,300 | $11,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 295 | $11,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 500 | $11,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 866 | $11,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 500 | $11,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 550 | $11,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 2,000 | $11,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 1,100 | $11,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 427 | $11,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 3,000 | $11,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 677 | $11,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 745 | $11,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 431 | $11,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 775 | $11,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 795 | $11,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 900 | $11,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 500 | $11,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 41,700 | $11,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 30,125 | $11,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 35,497 | $11,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 26,100 | $11,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 2,308 | $11,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 388 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A749 | USD COVERED BD | 110 | $11,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 457 | $11,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 725 | $11,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 800 | $11,000 | thousands by filing date | |
| CITIZENS FIRST CORP | 17462Q107 | COM | 700 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 278 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 1,000 | $11,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 545 | $11,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 500 | $11,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 100 | $11,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 658 | $11,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 4,750 | $11,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 1,200 | $11,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 1,302 | $11,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 1,756 | $11,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 499 | $10,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 309 | $10,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 400 | $10,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 328 | $10,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 148 | $10,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 347 | $10,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 775 | $10,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 1,167 | $10,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 309 | $10,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 654 | $10,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 291 | $10,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 168 | $10,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 251 | $10,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 154 | $10,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 372 | $10,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 227 | $10,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 1,331 | $10,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,276 | $10,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 390 | $10,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 691 | $10,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 221 | $10,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 1,800 | $10,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 397 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 158 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R861 | STATE STRET SPDR | 504 | $10,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 339 | $10,000 | thousands by filing date | |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 463 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 164 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 315 | $10,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 525 | $10,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 1,178 | $10,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 800 | $10,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 2,000 | $10,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 1,292 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $10,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 7,500 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 530 | $10,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 2,000 | $10,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 454 | $10,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 15,300 | $10,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 586 | $10,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 500 | $10,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 460 | $10,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 11,500 | $10,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 818 | $10,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 750 | $10,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 685 | $10,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 1,000 | $10,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 800 | $10,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 1,302 | $10,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D688 | 3X LONG GOLD | 809 | $10,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 400 | $10,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 7,536 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 250 | $10,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 308 | $10,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 1,537 | $10,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 16,000 | $10,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 35 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 400 | $10,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 1,111 | $10,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 12,674 | $10,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 156 | $9,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,000 | $9,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 205 | $9,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 528 | $9,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 413 | $9,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 2,815 | $9,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 257 | $9,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 346 | $9,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,217 | $9,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 708 | $9,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 420 | $9,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 4,700 | $9,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 153 | $9,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 325 | $9,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 100 | $9,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 261 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 200 | $9,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 69 | $9,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 267 | $9,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 563 | $9,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 630 | $9,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 175 | $9,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 1,152 | $9,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,720 | $9,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 390 | $9,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 136 | $9,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 1,123 | $9,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 301 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 400 | $9,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 163 | $9,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 355 | $9,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,496 | $9,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 543 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 3,000 | $9,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 334 | $9,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 300 | $9,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 10,000 | $9,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 1,958 | $9,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 650 | $9,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 1,963 | $9,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 164 | $9,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 13,600 | $9,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 200 | $9,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 2,500 | $9,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 599 | $9,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 1,510 | $9,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 1,031 | $9,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 486 | $9,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 443 | $9,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 1,647 | $9,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 689 | $9,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 200 | $9,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 300 | $9,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 1,513 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 400 | $9,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,436 | $9,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 500 | $9,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 431 | $9,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 355 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K539 | DAILY FINL BEAR | 292 | $9,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B589 | LAD 0-5Y CR BD | 360 | $9,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 1,000 | $9,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 498 | $9,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $9,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 925 | $9,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 3,385 | $9,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 9,000 | $9,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 837 | $9,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,040 | $8,000 | thousands by filing date | |
| MERCURY SYS INC COM | 589378108 | Stock | 317 | $8,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 204 | $8,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 27 | $8,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 271 | $8,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 371 | $8,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 373 | $8,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 160 | $8,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 300 | $8,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 1,550 | $8,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 244 | $8,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 298 | $8,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 211 | $8,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 700 | $8,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 281 | $8,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 396 | $8,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 170 | $8,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 156 | $8,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 444 | $8,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 108 | $8,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 310 | $8,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 719 | $8,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 240 | $8,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 167 | $8,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 420 | $8,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 1,013 | $8,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,238 | $8,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 164 | $8,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 668 | $8,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 658 | $8,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 1,000 | $8,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 637 | $8,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 325 | $8,000 | thousands by filing date | |
| BLUE BUFFALO PET PRODS INC | 09531U102 | COM | 336 | $8,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 4,895 | $8,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 68 | $8,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,800 | $8,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 610 | $8,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 648 | $8,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 100 | $8,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 268 | $8,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 350 | $8,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 865 | $8,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 850 | $8,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 2,000 | $8,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 1,782 | $8,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 344 | $8,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 503 | $8,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 999 | $8,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 1,200 | $8,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 550 | $8,000 | thousands by filing date | |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 648 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 354 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 900 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 119 | $8,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 483 | $8,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 321 | $8,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 8,000 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 400 | $8,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 100 | $8,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 197 | $8,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 769 | $8,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 151 | $7,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 136 | $7,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 283 | $7,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 193 | $7,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 76 | $7,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 197 | $7,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 220 | $7,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 205 | $7,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 775 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 425 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001144204-16-134135 | this filing | 2016-11-14 | acceptance time not in the bulk data set |