13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-09, with 5,358 holding rows worth $12,154,015,000.
- Accession
- 0001681115-19-000003
- Filer
- CIK 1681115
- Filed
- 2019-05-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 16,415 entries on the cover page, a total value of $12,154,015,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $12,154,015,000 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 |
|---|---|---|---|---|---|---|
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 825 | $8,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 8,515 | $8,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 340 | $8,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 1,325 | $8,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 192 | $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 | |
| MSB FINL CORP NEW | 55352L101 | COM | 455 | $8,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C732 | INTL ULTRA DIV | 325 | $8,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 245 | $7,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 1,926 | $7,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,401 | $7,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 289 | $7,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 353 | $7,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 219 | $7,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 243 | $7,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 1,000 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 352 | $7,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 515 | $7,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 152 | $7,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 251 | $7,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 419 | $7,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,066 | $7,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 167 | $7,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 2,000 | $7,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 471 | $7,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 323 | $7,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 483 | $7,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 457 | $7,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y905 | CALL | 100 | $7,000 | thousands by filing date | call |
| LANDS END INC | 51509F105 | COMMON STOCK | 433 | $7,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 415 | $7,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 222 | $7,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 275 | $7,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 585 | $7,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 201 | $7,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 185 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 113 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 179 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 2,200 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 100 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 324 | $7,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 2,000 | $7,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 500 | $7,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,452 | $7,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 333 | $7,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 483 | $7,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 249 | $7,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 358 | $7,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 842 | $7,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 252 | $7,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 373 | $7,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 611 | $7,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 5 | $7,000 | thousands by filing date | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,106 | $7,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 2,869 | $7,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 667 | $7,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 1,425 | $7,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,200 | $7,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 175 | $7,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,400 | $7,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 350 | $7,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 300 | $7,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 8 | $7,000 | thousands by filing date | principal |
| ATHENEX INC | 04685N103 | COM | 600 | $7,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 1,463 | $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 | 558 | $7,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 125 | $7,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 6 | $7,000 | thousands by filing date | principal |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 510 | $7,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 5,400 | $7,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 300 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $7,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 4 | $7,000 | thousands by filing date | principal |
| SURGERY PARTNERS INC | 86881A100 | COM | 463 | $6,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 200 | $6,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 332 | $6,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 263 | $6,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 281 | $6,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 4,200 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 197 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 114 | $6,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 212 | $6,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 126 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 717 | $6,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 853 | $6,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 2,300 | $6,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 574 | $6,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 172 | $6,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 143 | $6,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 76 | $6,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 165 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 126 | $6,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 80 | $6,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,900 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 301 | $6,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 382 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 283 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 260 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 288 | $6,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 1,980 | $6,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 923 | $6,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 613 | $6,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 255 | $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 |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,463 | $6,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 1,000 | $6,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,060 | $6,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 254 | $6,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 49 | $6,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 1,525 | $6,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 6 | $6,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 6 | $6,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 400 | $6,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 1,100 | $6,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,100 | $6,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 422 | $6,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 1,031 | $6,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 690 | $6,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 6 | $6,000 | thousands by filing date | principal |
| ID SYSTEMS INC | 449489103 | COM | 1,069 | $6,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 280 | $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 | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,000 | $6,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 240 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E507 | CHINA ENRG ETF | 475 | $6,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 6,000 | $6,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 1,600 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 310 | $6,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 6 | $6,000 | thousands by filing date | principal |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 5 | $6,000 | thousands by filing date | principal |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 260 | $6,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,000 | $6,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 1,396 | $6,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 4,000 | $6,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 4 | $6,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 6 | $6,000 | thousands by filing date | principal |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 793 | $6,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 4,000 | $6,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 290 | $6,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,000 | $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 |
| CIVEO CORP CDA | 17878Y108 | COM | 2,981 | $6,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 74 | $6,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 6 | $6,000 | thousands by filing date | principal |
| MTECH ACQUISITION CORP | 55378W107 | COM CLASS A | 600 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 272 | $6,000 | thousands by filing date | |
| 3PEA INTL INC | 88579C109 | COM | 750 | $6,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 20,500 | $6,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 192 | $5,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 70 | $5,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 70 | $5,000 | thousands by filing date | |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 246 | $5,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,923 | $5,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 79 | $5,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 439 | $5,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 200 | $5,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 250 | $5,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 100 | $5,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 350 | $5,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 257 | $5,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 275 | $5,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 127 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 137 | $5,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 118 | $5,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 150 | $5,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 140 | $5,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 166 | $5,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 305 | $5,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,500 | $5,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 200 | $5,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 380 | $5,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 200 | $5,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 677 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 200 | $5,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 199 | $5,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 275 | $5,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 116 | $5,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 299 | $5,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 100 | $5,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 3,700 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 170 | $5,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 200 | $5,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 62 | $5,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 200 | $5,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 200 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 7 | $5,000 | thousands by filing date | principal |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 300 | $5,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,000 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 172 | $5,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 33 | $5,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,000 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 200 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 104 | $5,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 225 | $5,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 495 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 100 | $5,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,804 | $5,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 407 | $5,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 517 | $5,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 135 | $5,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,300 | $5,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 187 | $5,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 329 | $5,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 200 | $5,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 200 | $5,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 880 | $5,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,600 | $5,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 625 | $5,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 125 | $5,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 216 | $5,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 2,778 | $5,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 2,000 | $5,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 130 | $5,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 5,606 | $5,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 799 | $5,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 3,900 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 900 | $5,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 2,530 | $5,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,513 | $5,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 2,200 | $5,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 1,100 | $5,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,000 | $5,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 420 | $5,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 413 | $5,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 5 | $5,000 | thousands by filing date | principal |
| NORTHERN LTS FD TR IV | 66538H674 | FORMULA FOLIOS | 187 | $5,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 2,195 | $5,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 325 | $5,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 20,000 | $5,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727204 | SPON ADR NEW | 2,512 | $5,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 1,000 | $5,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 8,000 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,000 | $4,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 150 | $4,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 50 | $4,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 170 | $4,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 400 | $4,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 121 | $4,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 388 | $4,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 301 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 100 | $4,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 200 | $4,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 536 | $4,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 956 | $4,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 85 | $4,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 393 | $4,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 750 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 100 | $4,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 60 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 533 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 532 | $4,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 400 | $4,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 535 | $4,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 181 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 127 | $4,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 1,800 | $4,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 288 | $4,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 157 | $4,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 200 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 640 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 175 | $4,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,000 | $4,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 973 | $4,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,146 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 116 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 195 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 200 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 150 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061839 | TRINITY | 150 | $4,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 310 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 90 | $4,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 212 | $4,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 200 | $4,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 4,901 | $4,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 1,525 | $4,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 609 | $4,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,584 | $4,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 3,000 | $4,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 500 | $4,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 242 | $4,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 227 | $4,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 500 | $4,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 8,000 | $4,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 110 | $4,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 228 | $4,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 610 | $4,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 300 | $4,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 59 | $4,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,000 | $4,000 | thousands by filing date | |
| MORGAN STANLEY | 61747W257 | RENMIN/USD ETN | 100 | $4,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 4,000 | $4,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 6 | $4,000 | thousands by filing date | principal |
| FORTERRA INC | 34960W106 | COM | 900 | $4,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 800 | $4,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 164 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 83 | $4,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 711 | $4,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 1,000 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 145 | $4,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 4 | $4,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,270 | $4,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 173 | $4,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 43 | $4,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 507 | $4,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 185 | $4,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 2 | $4,000 | thousands by filing date | principal |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 102 | $3,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 29 | $3,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 250 | $3,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 300 | $3,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,640 | $3,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 691 | $3,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 500 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 100 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 84 | $3,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 380 | $3,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 82 | $3,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 92 | $3,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 300 | $3,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 76 | $3,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 153 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 39 | $3,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 188 | $3,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 113 | $3,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 239 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 133 | $3,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 200 | $3,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 250 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 100 | $3,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 142 | $3,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 265 | $3,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 255 | $3,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,047 | $3,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 56 | $3,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 29 | $3,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 98 | $3,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 50 | $3,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 263 | $3,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 286 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 100 | $3,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 831 | $3,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 1,332 | $3,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 62 | $3,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 42 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 140 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 100 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 100 | $3,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 300 | $3,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 100 | $3,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 164 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 438 | $3,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 6,600 | $3,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 67 | $3,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 32 | $3,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 185 | $3,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 124 | $3,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 325 | $3,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 2,584 | $3,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 200 | $3,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,388 | $3,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 173 | $3,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 575 | $3,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 3,000 | $3,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 1,466 | $3,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 365 | $3,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,000 | $3,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 3 | $3,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 2 | $3,000 | thousands by filing date | principal |
| OPTINOSE INC | 68404V100 | COM | 325 | $3,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 75 | $3,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 700 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 70 | $3,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 3,443 | $3,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 545 | $3,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 3,467 | $3,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 165 | $3,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 2,278 | $3,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 103 | $3,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 3 | $3,000 | thousands by filing date | principal |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 225 | $3,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 680 | $3,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 546 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,118 | $3,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 457 | $3,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 400 | $3,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 600 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 124 | $3,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 169 | $3,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 5,162 | $3,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 148 | $3,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 500 | $3,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,560 | $3,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 3 | $3,000 | thousands by filing date | principal |
| RADA ELECTR INDS LTD | M81863124 | CMN | 1,000 | $3,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,150 | $3,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K107 | COM | 300 | $3,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 940 | $3,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P100 | COM | 3,568 | $3,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 314 | $3,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 63 | $3,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 2,000 | $3,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 3 | $3,000 | thousands by filing date | principal |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 2 | $3,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 3 | $3,000 | thousands by filing date | principal |
| QUALSTAR CORP | 74758R208 | COM NEW | 500 | $3,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3 | $3,000 | thousands by filing date | principal |
| LEGACY RESVS INC COM | 524706108 | Stock | 5,818 | $3,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19762B889 | I INDIA SML CP ETF | 200 | $3,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 300 | $3,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 3 | $3,000 | thousands by filing date | principal |
| IVLU | 46435G409 | COM | 87 | $2,000 | thousands by filing date | |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 38 | $2,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 152 | $2,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 325 | $2,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 105 | $2,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 91 | $2,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 60 | $2,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 100 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 56 | $2,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 177 | $2,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 230 | $2,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 53 | $2,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 242 | $2,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 126 | $2,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 1,035 | $2,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 216 | $2,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 179 | $2,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 300 | $2,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 32 | $2,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 500 | $2,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 267 | $2,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 515 | $2,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 322 | $2,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 238 | $2,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 110 | $2,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 200 | $2,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 209 | $2,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 218 | $2,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 50 | $2,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 286 | $2,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 32 | $2,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 60 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 3 | $2,000 | thousands by filing date | principal |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 75 | $2,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 100 | $2,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 216 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,129 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 500 | $2,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 49 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 29 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 30 | $2,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 200 | $2,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 320 | $2,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 143 | $2,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 162 | $2,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 1,150 | $2,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 71 | $2,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 4,562 | $2,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 700 | $2,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 200 | $2,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 297 | $2,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 200 | $2,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 100 | $2,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 400 | $2,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 200 | $2,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 300 | $2,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 716 | $2,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 59 | $2,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 425 | $2,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 200 | $2,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 283 | $2,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 145 | $2,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 5,577 | $2,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 1 | $2,000 | thousands by filing date | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,700 | $2,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,050 | $2,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 126 | $2,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 33 | $2,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 148 | $2,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 453 | $2,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 518 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-19-000003 | this filing | 2019-05-09 | acceptance time not in the bulk data set |