13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-11, with 5,290 holding rows worth $10,184,241,000.
- Accession
- 0001681115-19-000001
- Filer
- CIK 1681115
- Filed
- 2019-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 15,928 entries on the cover page, a total value of $10,184,241,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $10,184,241,000 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 |
|---|---|---|---|---|---|---|
| ADVISORSHARES TR | 00768Y834 | MADRONA GLB BD | 619 | $15,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 3,050 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 636 | $15,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 386 | $15,000 | thousands by filing date | |
| LIBERTY EXPEDIA HLDGS INC | 53046P109 | SER A COM | 407 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 900 | $15,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 944 | $15,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 45,000 | $15,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 902 | $14,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 1,560 | $14,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 836 | $14,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 132 | $14,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 204 | $14,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 2,786 | $14,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 1,100 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 1,200 | $14,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 540 | $14,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 2,478 | $14,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 289 | $14,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 221 | $14,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 304 | $14,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 434 | $14,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 864 | $14,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 840 | $14,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,126 | $14,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 542 | $14,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 230 | $14,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 514 | $14,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 600 | $14,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 368 | $14,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 500 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 293 | $14,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 14 | $14,000 | thousands by filing date | principal |
| INVESCO QQQ TR | 46090E903 | CALL | 10 | $14,000 | thousands by filing date | call |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 1,200 | $14,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 2,714 | $14,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 323 | $14,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 3,000 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 462 | $14,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 429 | $14,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 490 | $14,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,397 | $14,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 623 | $14,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 532 | $14,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 654 | $14,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 781 | $14,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 8,133 | $14,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 6 | $14,000 | thousands by filing date | principal |
| HARBORONE BANCORP INC | 41165F101 | COM | 900 | $14,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 9,318 | $14,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C864 | EMERGING MKT | 574 | $14,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 3,801 | $13,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 178 | $13,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 624 | $13,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 304 | $13,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 1,000 | $13,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 473 | $13,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 661 | $13,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 216 | $13,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 674 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 556 | $13,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 326 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 378 | $13,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 800 | $13,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 509 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 475 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 426 | $13,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 875 | $13,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,000 | $13,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 377 | $13,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 500 | $13,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 936 | $13,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 4,960 | $13,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 492 | $13,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 650 | $13,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 710 | $13,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 500 | $13,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,350 | $13,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 439 | $13,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E701 | CHINA SMALL CP | 586 | $13,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 444 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 576 | $13,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 1,305 | $13,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 590 | $13,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 13 | $13,000 | thousands by filing date | principal |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 1,306 | $13,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,700 | $12,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 4,950 | $12,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 1,926 | $12,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 346 | $12,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 764 | $12,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 536 | $12,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 833 | $12,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 476 | $12,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 387 | $12,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 115 | $12,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 1,149 | $12,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,020 | $12,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 1,219 | $12,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,000 | $12,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 221 | $12,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 4,119 | $12,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X909 | CALL | 3 | $12,000 | thousands by filing date | call |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 4,000 | $12,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 554 | $12,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 641 | $12,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15 | $12,000 | thousands by filing date | principal |
| KCAP FINANCIAL INC | 48668E101 | COM | 3,475 | $12,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 347 | $12,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 250 | $12,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 532 | $12,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 434 | $12,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 1,300 | $12,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 866 | $12,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 7,864 | $12,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 12 | $12,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 9,050 | $12,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 3,600 | $12,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 3,655 | $12,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 1,000 | $12,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,070 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT SILVER | 74347W114 | COM | 320 | $12,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 12 | $12,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 448 | $12,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 357 | $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 |
| INVESCO EXCH TRD SLF IDX FD | 46138J684 | BULLSHS 21 USD | 500 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 437 | $11,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 3,643 | $11,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 95 | $11,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 3,033 | $11,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 855 | $11,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 657 | $11,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 608 | $11,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 594 | $11,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 844 | $11,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 196 | $11,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 284 | $11,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 1,333 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 140 | $11,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 68 | $11,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 499 | $11,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,983 | $11,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,067 | $11,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 804 | $11,000 | thousands by filing date | |
| XPERI CORP | 98421B100 | COM | 606 | $11,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,385 | $11,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 473 | $11,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 741 | $11,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 345 | $11,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 164 | $11,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,302 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E214 | S&P INTL QULTY | 520 | $11,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 250 | $11,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 696 | $11,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 2,817 | $11,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 765 | $11,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 485 | $11,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 3,060 | $11,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 550 | $11,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 379 | $11,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 11 | $11,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 11 | $11,000 | thousands by filing date | principal |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 912 | $11,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 821 | $11,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 757 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 529 | $11,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 9,600 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 309 | $11,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 1,131 | $11,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 12 | $11,000 | thousands by filing date | principal |
| NEW YORK MTG TR INC | 649604808 | PFD-C CONV | 500 | $11,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 12 | $11,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 12 | $11,000 | thousands by filing date | principal |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 1,374 | $11,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 11 | $11,000 | thousands by filing date | principal |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 269 | $10,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 1,032 | $10,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 420 | $10,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 250 | $10,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 256 | $10,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 167 | $10,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 167 | $10,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 1,001 | $10,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 1,440 | $10,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 847 | $10,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 506 | $10,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 183 | $10,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 6,818 | $10,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 256 | $10,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,269 | $10,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 188 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 1,420 | $10,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 490 | $10,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 608 | $10,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 470 | $10,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 301 | $10,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,000 | $10,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 270 | $10,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 384 | $10,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 523 | $10,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 2,100 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 250 | $10,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 386 | $10,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 550 | $10,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 1,340 | $10,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 1,000 | $10,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,710 | $10,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,060 | $10,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 4,380 | $10,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 2,000 | $10,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 972 | $10,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 2,325 | $10,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 9 | $10,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10 | $10,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 11 | $10,000 | thousands by filing date | principal |
| HESKA CORP | 42805E306 | COM | 116 | $10,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 1,369 | $10,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 3,575 | $10,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 1,043 | $10,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 609 | $10,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 5,542 | $10,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 474 | $10,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,531 | $10,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 12,500 | $10,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 1,324 | $10,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 956 | $10,000 | thousands by filing date | |
| LHC GROUP INC | 50187A907 | CALL | 18 | $10,000 | thousands by filing date | call |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 400 | $10,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 609 | $10,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 130 | $10,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 706 | $10,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 18,000 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 394 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10 | $10,000 | thousands by filing date | principal |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 9 | $10,000 | thousands by filing date | principal |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 942 | $10,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 9 | $10,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 3,413 | $10,000 | thousands by filing date | |
| LIBERTY EXPEDIA HOLDINGS | 53046P208 | SER B COM | 252 | $10,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 109 | $9,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 2,000 | $9,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 214 | $9,000 | thousands by filing date | |
| NATIONAL VISION HLDGS INC COM | 63845R107 | Stock | 308 | $9,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 672 | $9,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 549 | $9,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 288 | $9,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 178 | $9,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 798 | $9,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 218 | $9,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 560 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 480 | $9,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 719 | $9,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 3,064 | $9,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 312 | $9,000 | thousands by filing date | |
| SITE CENTERS CORP | 82981J109 | COM | 841 | $9,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 523 | $9,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 575 | $9,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 795 | $9,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 396 | $9,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 825 | $9,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 450 | $9,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,038 | $9,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 535 | $9,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 1,026 | $9,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 4,648 | $9,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 824 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 286 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 219 | $9,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 403 | $9,000 | thousands by filing date | |
| MORGAN STANLEY | 617446908 | Option | 40 | $9,000 | thousands by filing date | call |
| DROPBOX INC | 26210C904 | CL A | 20 | $9,000 | thousands by filing date | call |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 827 | $9,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 342 | $9,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 530 | $9,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 836 | $9,000 | thousands by filing date | |
| CARDTRONICS PLC | G1991C105 | COMMON STOCK-FO | 349 | $9,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4 | $9,000 | thousands by filing date | principal |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 4,500 | $9,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 602 | $9,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 2,400 | $9,000 | thousands by filing date | |
| GENERAL ELECTRIC CO | 369604903 | COM | 70 | $9,000 | thousands by filing date | call |
| SOLARWINDS CORP | 83417Q105 | COM | 681 | $9,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 1,000 | $9,000 | thousands by filing date | |
| TRINSEO S A | L9340P101 | SHS | 211 | $9,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,515 | $9,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 909 | $9,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 7 | $9,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 9 | $9,000 | thousands by filing date | principal |
| KADMON HLDGS INC | 48283N106 | COM | 4,200 | $9,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,069 | $9,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 200 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y203 | WILSHIRE REIT | 221 | $9,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 868 | $8,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,183 | $8,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 313 | $8,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,470 | $8,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,096 | $8,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 1,000 | $8,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 150 | $8,000 | thousands by filing date | |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 276 | $8,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 233 | $8,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 597 | $8,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,562 | $8,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 241 | $8,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 411 | $8,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,000 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 300 | $8,000 | thousands by filing date | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 109 | $8,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 491 | $8,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 630 | $8,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 246 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 288 | $8,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 15,630 | $8,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,002 | $8,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 1,029 | $8,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 7,000 | $8,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 88 | $8,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,300 | $8,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 100 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 247 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $8,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 9,592 | $8,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 1,562 | $8,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,500 | $8,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 358 | $8,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 1,000 | $8,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 6 | $8,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 6 | $8,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P114 | FUND | 310 | $8,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 154 | $8,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 800 | $8,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 337 | $8,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 211 | $8,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 680 | $8,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 197 | $8,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 182 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 53 | $8,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 1,500 | $8,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 600 | $8,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 626 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 333 | $8,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 1,021 | $8,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 218 | $8,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,000 | $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 | |
| MSB FINL CORP NEW | 55352L101 | COM | 455 | $8,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 5 | $8,000 | thousands by filing date | principal |
| 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 | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 950 | $7,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 990 | $7,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 250 | $7,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 17 | $7,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 202 | $7,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,021 | $7,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 548 | $7,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 470 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 75 | $7,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 173 | $7,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 681 | $7,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 931 | $7,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 483 | $7,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 401 | $7,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,367 | $7,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y905 | CALL | 100 | $7,000 | thousands by filing date | call |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 391 | $7,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 500 | $7,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 275 | $7,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 363 | $7,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,153 | $7,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 600 | $7,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 250 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 324 | $7,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 506 | $7,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 2,433 | $7,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 2,080 | $7,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 780 | $7,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 483 | $7,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 1,066 | $7,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 299 | $7,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 523 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,200 | $7,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 472 | $7,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 551 | $7,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 1,675 | $7,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 423 | $7,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,861 | $7,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 815 | $7,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,431 | $7,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 107 | $7,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 3,452 | $7,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 13,579 | $7,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 2,200 | $7,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 5,070 | $7,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 296 | $7,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 7 | $7,000 | thousands by filing date | principal |
| ARDAGH GROUP S A | L0223L101 | COM | 639 | $7,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 136 | $7,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,835 | $7,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 493 | $7,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 673 | $7,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 3,738 | $7,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 197 | $7,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 225 | $7,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 5,400 | $7,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 375 | $7,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 141 | $7,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C732 | INTL ULTRA DIV | 325 | $7,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 129 | $6,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 111 | $6,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 285 | $6,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 315 | $6,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 5,029 | $6,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 243 | $6,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 225 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 358 | $6,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 416 | $6,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 276 | $6,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 233 | $6,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 946 | $6,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 131 | $6,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 651 | $6,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 525 | $6,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 109 | $6,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 169 | $6,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 100 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 1,400 | $6,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 510 | $6,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 100 | $6,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,376 | $6,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 443 | $6,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 133 | $6,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,842 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 126 | $6,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 274 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 233 | $6,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 185 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 112 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E396 | S&P 500 CONC ETF | 195 | $6,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 179 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 100 | $6,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 500 | $6,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 575 | $6,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 2,000 | $6,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 186 | $6,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,815 | $6,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 798 | $6,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 6 | $6,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 4,217 | $6,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 800 | $6,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 681 | $6,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 254 | $6,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,525 | $6,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 569 | $6,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,266 | $6,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 6 | $6,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,106 | $6,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 6 | $6,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,913 | $6,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 418 | $6,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,467 | $6,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 607 | $6,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 600 | $6,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,069 | $6,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 6 | $6,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,133 | $6,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 3,900 | $6,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 300 | $6,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 2,000 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6 | $6,000 | thousands by filing date | principal |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 260 | $6,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 1,000 | $6,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 4,000 | $6,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,300 | $6,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 459 | $6,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 60 | $6,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 6 | $6,000 | thousands by filing date | principal |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 323 | $6,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 6 | $6,000 | thousands by filing date | principal |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 910 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $6,000 | thousands by filing date | principal |
| JP MORGAN EXCHANGE TRADED FD | 46641Q704 | DIVRSFD RT EUR | 262 | $6,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E305 | CDN ENERGY INM | 1,091 | $6,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 148 | $5,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 72 | $5,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 400 | $5,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 200 | $5,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 283 | $5,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 263 | $5,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 300 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 197 | $5,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 250 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-19-000001 | this filing | 2019-02-11 | acceptance time not in the bulk data set |