13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-09, with 4,620 holding rows worth $4,062,014,000.
- Accession
- 0001681115-16-000009
- Filer
- CIK 1681115
- Filed
- 2016-11-09
- 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, 12,739 entries on the cover page, a total value of $4,062,014,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,062,014,000 with VALUE read as thousands by filing date, 13F file number 028-17493. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerROYAL ALLIANCE ASSOCIATES INC
- included managerSAGEPOINT FINANCIAL, INC.
- included managerFSC Securities CORP
- included managerWOODBURY FINANCIAL SERVICES, INC.
- included managerVision2020 Wealth Management Copr.
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 |
|---|---|---|---|---|---|---|
| ALON USA ENERGY INC | 020520102 | COM | 1,302 | $10,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 839 | $10,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 400 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 430 | $10,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461761 | INDIA CONSUMER | 287 | $10,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 80 | $10,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 500 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 400 | $10,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676126 | SHS | 7,850 | $10,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 186 | $10,000 | thousands by filing date | |
| CAN-FITE BIOPHARMA LTD | 13471N102 | SPONSORED ADR | 4,000 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 400 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 400 | $10,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 700 | $10,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 63 | $10,000 | thousands by filing date | principal |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 3,901 | $10,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 10 | $10,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25459Y264 | IBILLION INDEX | 400 | $10,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 4,200 | $9,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 799 | $9,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 127 | $9,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 235 | $9,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 250 | $9,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 206 | $9,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 1,082 | $9,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 719 | $9,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,000 | $9,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 132 | $9,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 149 | $9,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 187 | $9,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 201 | $9,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 149 | $9,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 530 | $9,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 494 | $9,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 539 | $9,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 334 | $9,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 4,750 | $9,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 500 | $9,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 234 | $9,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 635 | $9,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 513 | $9,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 795 | $9,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 599 | $9,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 185 | $9,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 487 | $9,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 675 | $9,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 550 | $9,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 1,231 | $9,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 374 | $9,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 573 | $9,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 5,347 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 80 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 242 | $9,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 700 | $9,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,000 | $9,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 538 | $9,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 534 | $9,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 136 | $9,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 386 | $9,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 600 | $9,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 390 | $9,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 134 | $9,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 1,087 | $9,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 2,900 | $9,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 1,362 | $9,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 296 | $9,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 1,199 | $9,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 97 | $9,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 186 | $9,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 1,270 | $9,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,760 | $9,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,750 | $9,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 320 | $9,000 | thousands by filing date | |
| CONTINENTAL RESOURCES INC/OK | 212015901 | COM | 5 | $9,000 | thousands by filing date | call |
| OPUS BK IRVINE CALIF | 684000102 | COM | 250 | $9,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 406 | $9,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 500 | $9,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 29 | $9,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 9 | $9,000 | thousands by filing date | principal |
| TYSON FOODS | 902494301 | COM | 114 | $9,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 3 | $9,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F846 | UNIT 08/31/2018 | 165 | $9,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 2,732 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 100 | $8,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 3,600 | $8,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,629 | $8,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 67 | $8,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 200 | $8,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 333 | $8,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 124 | $8,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 485 | $8,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 500 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 210 | $8,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 237 | $8,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 600 | $8,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 135 | $8,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 250 | $8,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 1,132 | $8,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 308 | $8,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 756 | $8,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 2,712 | $8,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 287 | $8,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,235 | $8,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 247 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 305 | $8,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 90 | $8,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 80 | $8,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 530 | $8,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 468 | $8,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 500 | $8,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 4,350 | $8,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 187 | $8,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 638 | $8,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 249 | $8,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 240 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J141 | CHINA ALPHADEX | 379 | $8,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 581 | $8,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 600 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 172 | $8,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 1,070 | $8,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,500 | $8,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 1,176 | $8,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 241 | $8,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 8 | $8,000 | thousands by filing date | principal |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 578 | $8,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 791 | $8,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 4,080 | $8,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 667 | $8,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 554 | $8,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 676 | $8,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 5,000 | $8,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 258 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 624 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,050 | $8,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 371 | $8,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 385 | $8,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 225 | $8,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 8 | $8,000 | thousands by filing date | principal |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 6 | $8,000 | thousands by filing date | principal |
| GAS NAT INC | 367204104 | COM | 1,069 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B842 | GLB CRUDE OIL | 700 | $8,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6 | $8,000 | thousands by filing date | principal |
| QUOTIENT LTD | G73268107 | SHS | 1,000 | $8,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 547 | $8,000 | thousands by filing date | |
| ARADIGM CORP | 038505400 | COM NO PAR NEW | 1,100 | $8,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 1,206 | $8,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 60 | $8,000 | thousands by filing date | principal |
| Engility Holdings Inc | 29286C107 | COM | 243 | $8,000 | thousands by filing date | |
| LOMBARD MED INC | G55598109 | COM | 9,025 | $8,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 506 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 391 | $8,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 537 | $8,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD | 92763WAA1 | NOTE 1.500% 3/1 | 8 | $8,000 | thousands by filing date | principal |
| NEVRO CORP | 64157FAA1 | BOND | 6 | $8,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 130 | $8,000 | thousands by filing date | |
| PFPT1.25 12/18 | 743424AB9 | Bond 30/360P2 U | 4 | $8,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 530 | $8,000 | thousands by filing date | |
| ELKHORN ETF TR | 287711204 | FTSE RAFI EQTY | 300 | $8,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 120 | $7,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 723 | $7,000 | thousands by filing date | |
| ACI WORLDWIDE INC COM | 004498101 | Stock | 363 | $7,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 44 | $7,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 129 | $7,000 | thousands by filing date | |
| KORN FERRY COM NEW | 500643200 | Stock | 338 | $7,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 240 | $7,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 92 | $7,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 300 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 420 | $7,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 221 | $7,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 225 | $7,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,000 | $7,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 573 | $7,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 170 | $7,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 407 | $7,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 665 | $7,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 307 | $7,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 1,400 | $7,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 775 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 279 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 91 | $7,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 225 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 388 | $7,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 279 | $7,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 280 | $7,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 655 | $7,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 311 | $7,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 1,196 | $7,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 387 | $7,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 483 | $7,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 259 | $7,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 485 | $7,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 157 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,200 | $7,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 254 | $7,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,250 | $7,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 2,359 | $7,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 1,050 | $7,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 134 | $7,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 413 | $7,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 476 | $7,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 240 | $7,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 126 | $7,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 600 | $7,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 684 | $7,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 534 | $7,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 163 | $7,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 4,635 | $7,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 530 | $7,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 1,546 | $7,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,623 | $7,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 900 | $7,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 4 | $7,000 | thousands by filing date | principal |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,616 | $7,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 206 | $7,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 182 | $7,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 4 | $7,000 | thousands by filing date | principal |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 5 | $7,000 | thousands by filing date | principal |
| iShares MSCI Mexico ETF | 464286822 | SHS | 130 | $6,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 204 | $6,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 8,850 | $6,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 420 | $6,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 729 | $6,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 360 | $6,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 102 | $6,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 678 | $6,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 420 | $6,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 500 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 145 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 208 | $6,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 118 | $6,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 766 | $6,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 298 | $6,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 500 | $6,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 200 | $6,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 450 | $6,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 2,000 | $6,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 465 | $6,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 312 | $6,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 372 | $6,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 675 | $6,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 5,760 | $6,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 175 | $6,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 200 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 200 | $6,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 149 | $6,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 1,602 | $6,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 439 | $6,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 245 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L837 | INTL QLTDV IDX | 302 | $6,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 435 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 83 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 129 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 146 | $6,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 119 | $6,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 500 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 4,089 | $6,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 185 | $6,000 | thousands by filing date | |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 135 | $6,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 223 | $6,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 575 | $6,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 225 | $6,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 855 | $6,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 1,183 | $6,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 4 | $6,000 | thousands by filing date | principal |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 1,637 | $6,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 700 | $6,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 1,000 | $6,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 336 | $6,000 | thousands by filing date | |
| ABERDEEN EMERGING MKTS SMALL | 00301T102 | COM | 500 | $6,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 271 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347X575 | SHT MSCI NEW | 400 | $6,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 256 | $6,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 2,100 | $6,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 6,700 | $6,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 2,058 | $6,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 335 | $6,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,000 | $6,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 300 | $6,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 146 | $6,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 200 | $5,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 180 | $5,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 131 | $5,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 157 | $5,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 615 | $5,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 73 | $5,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 366 | $5,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 79 | $5,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 212 | $5,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 246 | $5,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 59 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 118 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 109 | $5,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 349 | $5,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 1,740 | $5,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 63 | $5,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 181 | $5,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 195 | $5,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,646 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 331 | $5,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 145 | $5,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 98 | $5,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 200 | $5,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 197 | $5,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 502 | $5,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 322 | $5,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 435 | $5,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 400 | $5,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 300 | $5,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 104 | $5,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 172 | $5,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 428 | $5,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 210 | $5,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 209 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X610 | EURO QTLY DIV GR | 211 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 127 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 166 | $5,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 973 | $5,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 373 | $5,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 230 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 105 | $5,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 211 | $5,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 580 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 100 | $5,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,000 | $5,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC | 21036P908 | CL A | 5 | $5,000 | thousands by filing date | call |
| Flushing Financial Corp | 343873105 | Common Stock | 200 | $5,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 193 | $5,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 192 | $5,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 208 | $5,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 264 | $5,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 625 | $5,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 1,334 | $5,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 20 | $5,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 283 | $5,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 105 | $5,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 40 | $5,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 2,465 | $5,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 464 | $5,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 292 | $5,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 275 | $5,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 274 | $5,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 648 | $5,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 112 | $5,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 1,201 | $5,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 4,880 | $5,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 214 | $5,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 2,500 | $5,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 100 | $5,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,262 | $5,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 456 | $5,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 548 | $5,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 370 | $5,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 179 | $5,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 5 | $5,000 | thousands by filing date | principal |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 1,332 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 169 | $5,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 256 | $5,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 5 | $5,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X657 | INTL TECH ETF | 145 | $5,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 95 | $5,000 | thousands by filing date | |
| CERNER CORP | 156782954 | COM | 110 | $5,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 278 | $5,000 | thousands by filing date | |
| UNITED STS DIESEL HEATING OI | 911783108 | UNIT | 350 | $5,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 1,780 | $5,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 800 | $5,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 200 | $5,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 527 | $5,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 1,414 | $5,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 959 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 200 | $5,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 355 | $5,000 | thousands by filing date | |
| EVINE LIVE INC | 300487105 | CL A | 2,000 | $5,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 182 | $5,000 | thousands by filing date | |
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| STONE ENERGY CORP COM NEW | 861642304 | Stock | 430 | $5,000 | thousands by filing date | |
| iShares MSCI Intl Momentum Factor ETF | 46434V449 | SHS | 135 | $4,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 308 | $4,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 132 | $4,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 91 | $4,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 945 | $4,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 81 | $4,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 257 | $4,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 139 | $4,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 203 | $4,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 200 | $4,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 100 | $4,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 193 | $4,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 118 | $4,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 164 | $4,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 148 | $4,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 400 | $4,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 20 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 215 | $4,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 102 | $4,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 302 | $4,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 375 | $4,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 665 | $4,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 287 | $4,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 457 | $4,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 653 | $4,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 100 | $4,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 257 | $4,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 146 | $4,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 225 | $4,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 161 | $4,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 200 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 118 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 370 | $4,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 229 | $4,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 197 | $4,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 73 | $4,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 290 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 100 | $4,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 140 | $4,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 390 | $4,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 300 | $4,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 400 | $4,000 | thousands by filing date | |
| SALESFORCE INC | 79466L902 | CALL | 25 | $4,000 | thousands by filing date | call |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 175 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 150 | $4,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 171 | $4,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 700 | $4,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 2,095 | $4,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 360 | $4,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 117 | $4,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 300 | $4,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4 | $4,000 | thousands by filing date | principal |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 500 | $4,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 580 | $4,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 1,500 | $4,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 1,795 | $4,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,150 | $4,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 102 | $4,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 521 | $4,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 130 | $4,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 100 | $4,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 745 | $4,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 338 | $4,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 1,200 | $4,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 36 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 950 | $4,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 5,128 | $4,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 5,000 | $4,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 100 | $4,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 684 | $4,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 260 | $4,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 503 | $4,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 100 | $4,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 350 | $4,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 72 | $4,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 205 | $4,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 96 | $4,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 2,000 | $4,000 | thousands by filing date | |
| FIRST TRUST MULTI STRGY ALTER ETF | 73935B870 | ALT MULTI STRG | 177 | $4,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 86 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 916 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 200 | $4,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 150 | $4,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 212 | $4,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 2,566 | $4,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P306 | COM PAR | 985 | $4,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 102 | $3,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 800 | $3,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 68 | $3,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 300 | $3,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 79 | $3,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 347 | $3,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 228 | $3,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 86 | $3,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 389 | $3,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 250 | $3,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 200 | $3,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 97 | $3,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 319 | $3,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 178 | $3,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 441 | $3,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 109 | $3,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 200 | $3,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 62 | $3,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 168 | $3,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 308 | $3,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 195 | $3,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 441 | $3,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 285 | $3,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 230 | $3,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 6,304 | $3,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 100 | $3,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,600 | $3,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 334 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 367 | $3,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 61 | $3,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 222 | $3,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 95 | $3,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 717 | $3,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 749 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-16-000009 | this filing | 2016-11-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001681115-17-000010 | base | 2017-11-02 | acceptance time not in the bulk data set |