13F-HR filed by Advisor Group, Inc.
Advisor Group, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-13, with 5,452 holding rows worth $13,550,024,000.
- Accession
- 0001681115-19-000015
- Filer
- CIK 1681115
- Filed
- 2019-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 16,705 entries on the cover page, a total value of $13,550,024,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,550,024,000 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 |
|---|---|---|---|---|---|---|
| FARO TECHNOLOGIES INC | 311642102 | COM | 140 | $7,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 146 | $7,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 445 | $7,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 398 | $7,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 406 | $7,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 1,200 | $7,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 560 | $7,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 3,968 | $7,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 155 | $7,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 251 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 126 | $7,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 726 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 61 | $7,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 9,123 | $7,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 824 | $7,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 11,311 | $7,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 1,365 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 114 | $7,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 1,446 | $7,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,804 | $7,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 5,376 | $7,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,500 | $7,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 495 | $7,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 282 | $7,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 245 | $7,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 498 | $7,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 4,500 | $7,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 252 | $7,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 5,268 | $7,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 641 | $7,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 7 | $7,000 | thousands by filing date | principal |
| TEAM INC | 878155100 | COM | 374 | $7,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 617 | $7,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 3,225 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 425 | $7,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,300 | $7,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 315 | $7,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 300 | $7,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 600 | $7,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 890 | $7,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 900 | $7,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 1,200 | $7,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 6 | $7,000 | thousands by filing date | principal |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 12,794 | $7,000 | thousands by filing date | |
| ADVISORSHARES NEW TECH AND MEDIA ETF | 00768Y552 | ETF | 650 | $7,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 7 | $7,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 60 | $7,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 455 | $7,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W202 | UNIT 04/30/2022 | 120 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 7 | $7,000 | thousands by filing date | principal |
| MRI INTERVENTIONS INC | 55347P209 | COM NEW | 1,300 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G771 | CINTL ULTR DVD R | 325 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 281 | $7,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 100 | $6,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 68 | $6,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 176 | $6,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 264 | $6,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 1,588 | $6,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 190 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 197 | $6,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 565 | $6,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 183 | $6,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,162 | $6,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 131 | $6,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 97 | $6,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 601 | $6,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 2,300 | $6,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 500 | $6,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 599 | $6,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 335 | $6,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 688 | $6,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 191 | $6,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 664 | $6,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 277 | $6,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 945 | $6,000 | thousands by filing date | |
| TACTILE SYSTEMS TECHNOLOGY I | 87357P100 | COMMON STOCK | 146 | $6,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 2,000 | $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 | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 390 | $6,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 80 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 245 | $6,000 | thousands by filing date | |
| ALPHA ARCHITECT U.S. QUANTITATIVE MOMENTUM ETF | 02072L409 | ETF | 211 | $6,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 200 | $6,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 300 | $6,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 2,500 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 301 | $6,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 304 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 225 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 320 | $6,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 200 | $6,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,710 | $6,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 631 | $6,000 | thousands by filing date | |
| COSTCO WHOLESALE CORPORATION | 22160K955 | CALL | 3 | $6,000 | thousands by filing date | put |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,664 | $6,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 207 | $6,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 447 | $6,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 16,000 | $6,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 370 | $6,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,060 | $6,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 177 | $6,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 424 | $6,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 2,525 | $6,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 6 | $6,000 | thousands by filing date | principal |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 1,215 | $6,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 5 | $6,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 3 | $6,000 | thousands by filing date | principal |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 6 | $6,000 | thousands by filing date | principal |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 6 | $6,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 400 | $6,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 377 | $6,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 6,035 | $6,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 433 | $6,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 773 | $6,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 525 | $6,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 670 | $6,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 6 | $6,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,245 | $6,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 1,069 | $6,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 275 | $6,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 1,740 | $6,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 380 | $6,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 115 | $6,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 559 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 6 | $6,000 | thousands by filing date | principal |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 260 | $6,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 600 | $6,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 177 | $6,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 157 | $6,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 4,000 | $6,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 2,960 | $6,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 6 | $6,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 4,000 | $6,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 800 | $6,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,309 | $6,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 550 | $6,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 375 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 5,000 | $6,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 1,224 | $6,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,798 | $6,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 322 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,000 | $5,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 559 | $5,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 176 | $5,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 79 | $5,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 158 | $5,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 255 | $5,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,305 | $5,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 200 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 114 | $5,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 138 | $5,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 190 | $5,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 153 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 116 | $5,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,066 | $5,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 119 | $5,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 1,339 | $5,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 47 | $5,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 400 | $5,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 109 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 102 | $5,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 158 | $5,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 130 | $5,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 16,660 | $5,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 307 | $5,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 71 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 141 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 200 | $5,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 300 | $5,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 2,550 | $5,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 6,700 | $5,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 1,259 | $5,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 200 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 280 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 226 | $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 | |
| FIRST TR IV EIP CARBON IMP | 33738d705 | INDX FD | 245 | $5,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 286 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 200 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 260 | $5,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 494 | $5,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 212 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 100 | $5,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 300 | $5,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 227 | $5,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 975 | $5,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 275 | $5,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 1,000 | $5,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 500 | $5,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 400 | $5,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 352 | $5,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 283 | $5,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 5 | $5,000 | thousands by filing date | principal |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 4 | $5,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 4 | $5,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AB5 | BOND | 5 | $5,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 1,311 | $5,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,405 | $5,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 28 | $5,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 10,000 | $5,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 400 | $5,000 | thousands by filing date | |
| SINO GLOBAL SHIPPING AMER LT | 82935V109 | COM | 6,500 | $5,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 407 | $5,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 300 | $5,000 | thousands by filing date | |
| ENTREPRENEURSHARES SERIES TR | 293828802 | ERSHARES ENT | 300 | $5,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 597 | $5,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 4,750 | $5,000 | thousands by filing date | |
| FIREEYE INC | 31816QAB7 | NOTE 1.000% 6/0 | 5 | $5,000 | thousands by filing date | principal |
| RADA ELECTR INDS LTD | M81863124 | CMN | 1,000 | $5,000 | thousands by filing date | |
| HERMITAGE OFFSHORE SERVICE L | G4511M108 | SHS | 4,454 | $5,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 197 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 246 | $5,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3 | $5,000 | thousands by filing date | principal |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 8,000 | $5,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 883 | $4,000 | thousands by filing date | |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 42 | $4,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 58 | $4,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 217 | $4,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 2,923 | $4,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 389 | $4,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 108 | $4,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 176 | $4,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 159 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 100 | $4,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 127 | $4,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 200 | $4,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 354 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G806 | VIRTUS REAVES UT | 108 | $4,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 235 | $4,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 387 | $4,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 175 | $4,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 437 | $4,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 200 | $4,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 500 | $4,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 533 | $4,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 466 | $4,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 304 | $4,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 1,000 | $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 | |
| METALLUS INC | 887399103 | COMMON STOCK | 474 | $4,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 1,196 | $4,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 222 | $4,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 100 | $4,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 181 | $4,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 126 | $4,000 | thousands by filing date | |
| AMAZON COM INC | 023135956 | PUT | 1 | $4,000 | thousands by filing date | put |
| BANK OF AMER CORP | 060505954 | PUT | 88 | $4,000 | thousands by filing date | put |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 550 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 114 | $4,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 152 | $4,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 1,291 | $4,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 149 | $4,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 200 | $4,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 640 | $4,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 350 | $4,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 122 | $4,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 553 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 195 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 82 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 177 | $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 | |
| DISNEY WALT CO | 254687906 | COM | 1 | $4,000 | thousands by filing date | call |
| BLACKSTONE INC | 09260D957 | PUT | 10 | $4,000 | thousands by filing date | put |
| MARATHON PETE CORP | 56585A952 | PUT | 23 | $4,000 | thousands by filing date | put |
| DROPBOX INC | 26210C904 | CL A | 20 | $4,000 | thousands by filing date | call |
| Flushing Financial Corp | 343873105 | Common Stock | 200 | $4,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 170 | $4,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 5,456 | $4,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 4 | $4,000 | thousands by filing date | principal |
| CHART INDS INC | 16115Q958 | PUT | 31 | $4,000 | thousands by filing date | put |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,200 | $4,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,088 | $4,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 575 | $4,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 365 | $4,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 810 | $4,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 572 | $4,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 1,200 | $4,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 3,900 | $4,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 148 | $4,000 | thousands by filing date | |
| CERNER CORP | 156782954 | COM | 21 | $4,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 544 | $4,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 3,065 | $4,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 5 | $4,000 | thousands by filing date | principal |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 3 | $4,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 1,497 | $4,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 6,000 | $4,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 362 | $4,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 190 | $4,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 164 | $4,000 | thousands by filing date | |
| OPTION CARE HEALTH INC | 68404L102 | COM | 1,225 | $4,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 5,347 | $4,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 123 | $4,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 43 | $4,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G839 | EMERGING MKT | 170 | $4,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 185 | $4,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 104 | $3,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 246 | $3,000 | thousands by filing date | |
| ACADIAN ASSET MANAGEMENT INC COM | 10948W103 | Stock | 268 | $3,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 151 | $3,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 385 | $3,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 80 | $3,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 400 | $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 | |
| FIDELITY MERRIMACK STR TR | 316188408 | LOW DURTIN ETF | 68 | $3,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 210 | $3,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 268 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 100 | $3,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 355 | $3,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 193 | $3,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 85 | $3,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 600 | $3,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 188 | $3,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 90 | $3,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 57 | $3,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,000 | $3,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 177 | $3,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 200 | $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 | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 85 | $3,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 1,480 | $3,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 60 | $3,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 356 | $3,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 255 | $3,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 46 | $3,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 42 | $3,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 500 | $3,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 206 | $3,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 272 | $3,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 29 | $3,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 154 | $3,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 98 | $3,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 181 | $3,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 535 | $3,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 110 | $3,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 3,186 | $3,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 286 | $3,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 120 | $3,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 218 | $3,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 161 | $3,000 | thousands by filing date | |
| FIRST TR FD VI ETF FIRST TRUST SMID GROWTH STRENGTH | 33738R746 | ETF | 149 | $3,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 50 | $3,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 200 | $3,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 416 | $3,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 117 | $3,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 277 | $3,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,000 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 143 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 140 | $3,000 | thousands by filing date | |
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| AWARE INC MASS | 05453N100 | CMN | 973 | $3,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,745 | $3,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,150 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 108 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 100 | $3,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F951 | PUT | 6 | $3,000 | thousands by filing date | put |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 177 | $3,000 | thousands by filing date | |
| NETFLIX INC. | 64110L906 | CALL | 2 | $3,000 | thousands by filing date | call |
| INTERNATIONAL BUSINESS MA | 459200951 | CHS PUT | 15 | $3,000 | thousands by filing date | put |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 300 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 82 | $3,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 520 | $3,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 1,300 | $3,000 | thousands by filing date | |
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| EXPRESS INC | 30219E103 | COMMON STOCK | 750 | $3,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 6,000 | $3,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 63 | $3,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 115 | $3,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 100 | $3,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 100 | $3,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 70 | $3,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 1,350 | $3,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 35 | $3,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 378 | $3,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 200 | $3,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 3,040 | $3,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 184 | $3,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 3,000 | $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 |
| EVANS BANCORP INC | 29911Q208 | COM | 75 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 600 | $3,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 70 | $3,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 382 | $3,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 165 | $3,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,000 | $3,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 103 | $3,000 | thousands by filing date | |
| 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 | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,690 | $3,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 1,118 | $3,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 1,000 | $3,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 58 | $3,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 450 | $3,000 | thousands by filing date | |
| XILINX INC | 983919901 | COM | 15 | $3,000 | thousands by filing date | call |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 4,000 | $3,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 825 | $3,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 1,000 | $3,000 | thousands by filing date | |
| ALTERITY THERAPEUTICS LTD | 02155X106 | SPONSORED ADR | 2,500 | $3,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 200 | $3,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 180 | $3,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 700 | $3,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 895 | $3,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,000 | $3,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 168 | $3,000 | thousands by filing date | |
| CISION LTD | G1992S109 | SHS | 339 | $3,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 3 | $3,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 1 | $3,000 | thousands by filing date | principal |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,150 | $3,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 850 | $3,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 450 | $3,000 | thousands by filing date | |
| FFBW INC | 30258M107 | COM | 230 | $3,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P206 | mc | 59 | $3,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P305 | mc | 57 | $3,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 3 | $3,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 2,577 | $3,000 | thousands by filing date | |
| 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 | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 500 | $3,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 100 | $3,000 | thousands by filing date | |
| DIGIRAD CORP | 253827703 | COM NEW | 561 | $3,000 | thousands by filing date | |
| CUSHING ETF TRUST | 23163L207 | UTILITY & MLP | 100 | $3,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E848 | INSIGHTSHARES | 100 | $3,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 58 | $2,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 46 | $2,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 50 | $2,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 48 | $2,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 85 | $2,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 615 | $2,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 433 | $2,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 81 | $2,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,306 | $2,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 200 | $2,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 75 | $2,000 | thousands by filing date | |
| STRATEGIC ED INC COM | 86272C103 | Stock | 15 | $2,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 181 | $2,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 55 | $2,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 4,640 | $2,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 625 | $2,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 141 | $2,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,800 | $2,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 550 | $2,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 543 | $2,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 111 | $2,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 200 | $2,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 230 | $2,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 155 | $2,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 1,000 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 133 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,629 | $2,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 300 | $2,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 260 | $2,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 89 | $2,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 100 | $2,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 537 | $2,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 200 | $2,000 | thousands by filing date | |
| ORTHOFIX MED INC | 68752M108 | COM | 45 | $2,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 117 | $2,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 200 | $2,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 179 | $2,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 100 | $2,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 532 | $2,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 855 | $2,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 248 | $2,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 262 | $2,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 337 | $2,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 191 | $2,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 631 | $2,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 4,500 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 50 | $2,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 157 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 49 | $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 | 189 | $2,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 428 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,129 | $2,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 200 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 670 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287954 | PUT | 3 | $2,000 | thousands by filing date | put |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 200 | $2,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 1,068 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 139 | $2,000 | thousands by filing date | |
| MACYS INC | 55616P954 | COM | 70 | $2,000 | thousands by filing date | put |
| CARGURUS INC | 141788909 | COM CL A | 20 | $2,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001681115-19-000015 | this filing | 2019-11-13 | acceptance time not in the bulk data set |