13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 5,256 holding rows worth $9,917,819,000.
- Accession
- 0001681115-18-000009
- Filer
- CIK 1681115
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 15,305 entries on the cover page, a total value of $9,917,819,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,917,819,000 with VALUE read as thousands by filing date, 13F file number 028-17493. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,534 | $17,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 800 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 575 | $17,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 3,764 | $17,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 3,050 | $17,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 526 | $17,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 5,633 | $17,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 18,341 | $17,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 900 | $17,000 | thousands by filing date | |
| IPASS INC | 46261V306 | COM NEW | 8,480 | $17,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 375 | $17,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 3,413 | $17,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 1,125 | $16,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 410 | $16,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 400 | $16,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,955 | $16,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 892 | $16,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 800 | $16,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,373 | $16,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 1,491 | $16,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 505 | $16,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 904 | $16,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 423 | $16,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 600 | $16,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 500 | $16,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 7,000 | $16,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 2,181 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 475 | $16,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 18,512 | $16,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,000 | $16,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 382 | $16,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 574 | $16,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4 | $16,000 | thousands by filing date | principal |
| OFFICE DEPOT INC | 676220106 | COM | 4,776 | $16,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 866 | $16,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,369 | $16,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 822 | $16,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,960 | $16,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 800 | $16,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 12,500 | $16,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 619 | $16,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 500 | $16,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 5,764 | $16,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 3,920 | $16,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 355 | $15,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 611 | $15,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 468 | $15,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 574 | $15,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 390 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 966 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 1,795 | $15,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 14 | $15,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 942 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 453 | $15,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 3,804 | $15,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 3,000 | $15,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 809 | $15,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 12 | $15,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 2,400 | $15,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 192 | $15,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 1,400 | $15,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 626 | $15,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 735 | $15,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 199 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 573 | $15,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 1,175 | $15,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 15 | $15,000 | thousands by filing date | principal |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 258 | $15,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 680 | $15,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 396 | $14,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 346 | $14,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 810 | $14,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 2,194 | $14,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 622 | $14,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 750 | $14,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 191 | $14,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 737 | $14,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 695 | $14,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 256 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 490 | $14,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 1,333 | $14,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 245 | $14,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 445 | $14,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 192 | $14,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 280 | $14,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 481 | $14,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 450 | $14,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 542 | $14,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 414 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 493 | $14,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 209 | $14,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15 | $14,000 | thousands by filing date | principal |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 623 | $14,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,181 | $14,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 776 | $14,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 800 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 311 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 302 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $14,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 1,200 | $14,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 315 | $14,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 4,253 | $14,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 142 | $14,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 805 | $14,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 623 | $14,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 366 | $14,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,515 | $14,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 4,200 | $14,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 576 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 455 | $14,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 5,400 | $14,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 526 | $13,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 27 | $13,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 228 | $13,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 255 | $13,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 335 | $13,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 760 | $13,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 193 | $13,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 293 | $13,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 413 | $13,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 115 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 948 | $13,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,000 | $13,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 815 | $13,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 646 | $13,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 984 | $13,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,000 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 1,420 | $13,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 212 | $13,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 584 | $13,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 422 | $13,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 375 | $13,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 1,256 | $13,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 345 | $13,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 674 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 260 | $13,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 425 | $13,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 133 | $13,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,648 | $13,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,300 | $13,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 725 | $13,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 580 | $13,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 2,000 | $13,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 836 | $13,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 289 | $13,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,200 | $13,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 461 | $13,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 11 | $13,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 11 | $13,000 | thousands by filing date | principal |
| HESKA CORP | 42805E306 | COM | 116 | $13,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 3,600 | $13,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 3,555 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 320 | $13,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 821 | $13,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 1,000 | $13,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 400 | $13,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 710 | $13,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 820 | $13,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 1,745 | $13,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 829 | $13,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 7 | $13,000 | thousands by filing date | principal |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 1,010 | $13,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,069 | $13,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 12 | $13,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959J207 | PREFERRED | 12 | $13,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,870 | $12,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 71 | $12,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 788 | $12,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,916 | $12,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 316 | $12,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 133 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 416 | $12,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 1,215 | $12,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 506 | $12,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 1,179 | $12,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,000 | $12,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 454 | $12,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 640 | $12,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,333 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 140 | $12,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E953 | PUT | 30 | $12,000 | thousands by filing date | put |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,067 | $12,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 551 | $12,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 500 | $12,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 301 | $12,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 825 | $12,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 602 | $12,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 351 | $12,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 824 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 250 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 520 | $12,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 250 | $12,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 509 | $12,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 469 | $12,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 4,458 | $12,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 900 | $12,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 6,348 | $12,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 500 | $12,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 2,025 | $12,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 605 | $12,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 189 | $12,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,403 | $12,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,467 | $12,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 3,597 | $12,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 1,000 | $12,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 1,000 | $12,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 650 | $12,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 2,000 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 529 | $12,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 12 | $12,000 | thousands by filing date | principal |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 1,100 | $12,000 | thousands by filing date | |
| TWITTER INC | 90184L902 | COM | 20 | $12,000 | thousands by filing date | call |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,000 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 936 | $12,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,000 | $12,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 12 | $12,000 | thousands by filing date | principal |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $12,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 139,510 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 620 | $12,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 12 | $12,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 800 | $12,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 12 | $12,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 11 | $12,000 | thousands by filing date | principal |
| ISHARES TR | 46435G243 | COM | 437 | $11,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 990 | $11,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 190 | $11,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 86 | $11,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 333 | $11,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 149 | $11,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 931 | $11,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 664 | $11,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 147 | $11,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 617 | $11,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 1,281 | $11,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 386 | $11,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,000 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 481 | $11,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X959 | UT SER 1 | 30 | $11,000 | thousands by filing date | put |
| TESARO INC | 881569107 | COM | 270 | $11,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 1,355 | $11,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 349 | $11,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 2,477 | $11,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 602 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9 | $11,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,106 | $11,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 11 | $11,000 | thousands by filing date | principal |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 2,000 | $11,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 732 | $11,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 2,644 | $11,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 757 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 400 | $11,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 668 | $11,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 221 | $11,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 6 | $11,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 2,000 | $11,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 200 | $11,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R300 | COM | 2,000 | $11,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 2,577 | $11,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 1,142 | $11,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 9 | $11,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 5,900 | $10,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,183 | $10,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,084 | $10,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 450 | $10,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 250 | $10,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 515 | $10,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 225 | $10,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 70 | $10,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 233 | $10,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 539 | $10,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 262 | $10,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 1,400 | $10,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,376 | $10,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,400 | $10,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 805 | $10,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 626 | $10,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 450 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 251 | $10,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 580 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 91 | $10,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 400 | $10,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 1,015 | $10,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 2,000 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 286 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 100 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 219 | $10,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 1,000 | $10,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 912 | $10,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,789 | $10,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 5,340 | $10,000 | thousands by filing date | |
| BRIGHTSPHERE INVESTMENT GROUP | G1644T109 | COMMON STOCK-FO | 797 | $10,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 472 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 366 | $10,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 1,675 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 1,026 | $10,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 269 | $10,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 163 | $10,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 1,800 | $10,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 4,772 | $10,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 6 | $10,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10 | $10,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6 | $10,000 | thousands by filing date | principal |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 1,818 | $10,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,000 | $10,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 336 | $10,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 705 | $10,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 143 | $10,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 178 | $10,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 645 | $10,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,500 | $10,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,000 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 400 | $10,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 125 | $10,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 1,021 | $10,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 879 | $10,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 500 | $10,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 385 | $10,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 689 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10 | $10,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5 | $10,000 | thousands by filing date | principal |
| HESS CORP | 42809H404 | DEP PDF SR A | 125 | $10,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 252 | $10,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 221 | $10,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 6 | $10,000 | thousands by filing date | principal |
| STRATEGY INC CL A NEW | 594972408 | Stock | 64 | $9,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 950 | $9,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $9,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,006 | $9,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 173 | $9,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 372 | $9,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 727 | $9,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,000 | $9,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 434 | $9,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 276 | $9,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,630 | $9,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 113 | $9,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 316 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 88 | $9,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 800 | $9,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 2,100 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 268 | $9,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,000 | $9,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,742 | $9,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,300 | $9,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 226 | $9,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 960 | $9,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 483 | $9,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 1,600 | $9,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,500 | $9,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 542 | $9,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,525 | $9,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 8 | $9,000 | thousands by filing date | principal |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 1,290 | $9,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 203 | $9,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 753 | $9,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 624 | $9,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 580 | $9,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 900 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 319 | $9,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 600 | $9,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 195 | $9,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 409 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 333 | $9,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 9 | $9,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 114 | $9,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 548 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 226 | $9,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 455 | $9,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 313 | $9,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 210 | $8,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 143 | $8,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 281 | $8,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 237 | $8,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 266 | $8,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 117 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 358 | $8,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 253 | $8,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 580 | $8,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 284 | $8,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 317 | $8,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 560 | $8,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 906 | $8,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 1,149 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 658 | $8,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 230 | $8,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 330 | $8,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 431 | $8,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 170 | $8,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 350 | $8,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,833 | $8,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 275 | $8,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 100 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 300 | $8,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 395 | $8,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 514 | $8,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 299 | $8,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 798 | $8,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 205 | $8,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,900 | $8,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,514 | $8,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 3,250 | $8,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 300 | $8,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 1,000 | $8,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 246 | $8,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 392 | $8,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,031 | $8,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 2,265 | $8,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 813 | $8,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 1,425 | $8,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 656 | $8,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 709 | $8,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 2,280 | $8,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 709 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 236 | $8,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 300 | $8,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 6,000 | $8,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 950 | $8,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 490 | $8,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 7 | $8,000 | thousands by filing date | principal |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 100 | $8,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 3,000 | $8,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,000 | $8,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,300 | $8,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 225 | $8,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 1,000 | $8,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 537 | $8,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 8 | $8,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H583 | ETF | 174 | $8,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 462 | $7,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 200 | $7,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 336 | $7,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 3,033 | $7,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 440 | $7,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 4,083 | $7,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 183 | $7,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 350 | $7,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 2,100 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 280 | $7,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 200 | $7,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 866 | $7,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 100 | $7,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 100 | $7,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 493 | $7,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 517 | $7,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 207 | $7,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 275 | $7,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 76 | $7,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 172 | $7,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 119 | $7,000 | thousands by filing date | |
| CITIGROUP INC | 172967904 | CALL | 3 | $7,000 | thousands by filing date | call |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 206 | $7,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 250 | $7,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 600 | $7,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 200 | $7,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 200 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 500 | $7,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 375 | $7,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 320 | $7,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD | 881624909 | CALL | 10 | $7,000 | thousands by filing date | call |
| PROS Holdings Inc | 74346Y103 | Common Stock | 186 | $7,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 226 | $7,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 5,541 | $7,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,217 | $7,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 800 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,200 | $7,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 438 | $7,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 118 | $7,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 706 | $7,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 190 | $7,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 15,620 | $7,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,961 | $7,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 1,000 | $7,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 3,900 | $7,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 200 | $7,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 4,640 | $7,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6 | $7,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 296 | $7,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 949 | $7,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,387 | $7,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 422 | $7,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 391 | $7,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 673 | $7,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 1,837 | $7,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 18,000 | $7,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 192 | $7,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,270 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $7,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 272 | $7,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 141 | $7,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 4 | $7,000 | thousands by filing date | principal |
| GABELLI CONV&INCOM SECS FD I | 36240B125 | RIGHT 10/17/2018 | 73,296 | $7,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 129 | $6,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 150 | $6,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 110 | $6,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 3,503 | $6,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 544 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 197 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-18-000009 | this filing | 2018-11-14 | acceptance time not in the bulk data set |