1 2020-12-21 — American New Economy Fund Purchase Self $50,001 - $100,000 20018064 { } 2 2020-12-18 — 10 (Wells Fargo Financial) Investment Company of America Purchase Self $50,001 - $100,000 20018064 { } 3 2020-12-18 — WF 10 (Wells Fargo Financial) Washington Mutual Inv FD Purchase Self $50,001 - $100,000 20018064 { } 4 2020-12-17 — AMCAP Fund Purchase Self $50,001 - $100,000 20018064 { } 5 2020-12-17 — American balanced Fund Purchase Self $50,001 - $100,000 20018064 { } 6 2020-12-17 — American Mutual Fund Purchase Self $50,001 - $100,000 20018064 { } 7 2020-12-17 — Capital World growth & Income Fund Purchase Self $50,001 - $100,000 20018064 { } 8 2020-12-17 DGRO iShares Core Dividend growth ETF Purchase Self $50,001 - $100,000 20018064 { } 9 2020-12-16 — 10 (Wells Fargo Financial) Fundamental Investors CL A Purchase Self $50,001 - $100,000 20018064 { } 10 2020-12-10 FDN First Trust DJ Internet Index Fund Purchase Self $15,001 - $50,000 20018460 { } 11 2020-12-10 GSLC 10 (Wells Fargo Financial) goldman Sachs Activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20018460 { } 12 2020-12-10 VIG 10 (Wells Fargo Financial) Vanguard Div Appreciation ETF Purchase Self $50,001 - $100,000 20018460 { } 13 2020-12-10 FDN First Trust DJ Internet Index Fund Purchase Self $15,001 - $50,000 20018064 { } 14 2020-12-10 GSLC goldman Sachs Activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20018064 { } 15 2020-12-10 VIG E57 (Edward Jones) Vanguard Div Appreciation ETF Purchase Self $50,001 - $100,000 20018064 { } 16 2020-11-30 AAL American Airlines group, Inc. Purchase Self $15,001 - $50,000 20017831 { } 17 2020-11-30 DRI E57 (Edward Jones) Darden Restaurants, Inc. Purchase Self $15,001 - $50,000 20017831 { } 18 2020-11-30 DGRO E57 (Edward Jones) iShares Core Dividend growth ETF Purchase Self $15,001 - $50,000 20017831 { } 19 2020-11-30 LUV E57 (Edward Jones) Southwest Airlines Company Purchase Self $15,001 - $50,000 20017831 { } 20 2020-11-10 — UIT First Trust Diversified W115 Sale SP $1,001 - $15,000 20017831 { } 21 2020-10-16 AAPL Apple Inc. Purchase Self $15,001 - $50,000 20017610 { } 22 2020-10-16 AAPL 25 (Wells Fargo Financial) Apple Inc. Purchase Self $15,001 - $50,000 20017610 { } 23 2020-10-16 CVX 10 (Wells Fargo Financial) Chevron Corporation Sale Self $15,001 - $50,000 20017610 { } 24 2020-10-16 JNJ WF 10 (Wells Fargo Financial) Johnson & Johnson Purchase Self $50,001 - $100,000 20017610 { } 25 2020-10-16 JNJ WF 10 (Wells Fargo Financial) Johnson & Johnson Purchase Self $15,001 - $50,000 20017610 { } 26 2020-10-16 — The blackstone group Inc. Class A (bX) Sale Self $15,001 - $50,000 20017610 { } 27 2020-10-16 VDC 25 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale Self $15,001 - $50,000 20017610 { } 28 2020-10-06 CVX Chevron Corporation Exchange Self $15,001 - $50,000 20017610 { } 29 2020-10-06 CVX Chevron Corporation Exchange Self $1,001 - $15,000 20017610 { } 30 2020-10-06 NBL 25 (Wells Fargo Financial) Noble Energy Inc. Exchange Self $1,001 - $15,000 20017610 { } 31 2020-10-06 NBL Noble Energy Inc. Exchange Self $15,001 - $50,000 20017610 { } 32 2020-09-28 ABT Abbott Laboratories Purchase Self $50,001 - $100,000 20017475 { } 33 2020-09-28 ABT WF 10 (Wells Fargo Financial) Abbott Laboratories Purchase Self $15,001 - $50,000 20017475 { } 34 2020-09-28 — 10 (Wells Fargo Financial) JPMORGAN CHASE & CO FIX/FLT JR SbRdNTd PERP MAT CLLB NRA TAXABLE CPN 4.051% DUE 12/29/49 Purchase Self $15,001 - $50,000 20017475 { } 35 2020-09-24 — 69 (Wells Fargo Financial) BANK NOVA SCOTIA 0% 1Y: LKD EURO STOXX 50 INDEX DUE 09/24/2020 CPN 0.000% DUE 09/24/20 Sale Self $15,001 - $50,000 20017475 { } 36 2020-09-21 — Redemption FIFTH THIRD BANCORP FIX TO FLT JR SbRdNTd CALLABLE PERPTL CPN 5.100% DUE 12/31/49 Purchase Self $15,001 - $50,000 20017475 { } 37 2020-09-21 CIBR First Trust NASDAQ Cybersecurity ETF Purchase Self $15,001 - $50,000 20017475 { } 38 2020-09-21 — 12/29/49 Principal U.S. Mega-Cap ETF Purchase Self $1,001 - $15,000 20017475 { } 39 2020-09-21 VDC 10 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale Self $50,001 - $100,000 20017475 { } 40 2020-09-21 VDC 10 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale Self $15,001 - $50,000 20017475 { } 41 2020-09-21 VDC 25 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale Self $15,001 - $50,000 20017475 { } 42 2020-09-09 JPM 69 (Wells Fargo Financial) JP Morgan Chase & Co. Sale Self $15,001 - $50,000 20017475 { } 43 2020-09-08 GOOGL 25 (Wells Fargo Financial) Alphabet Inc. - Class A Purchase Self $15,001 - $50,000 20017475 { } 44 2020-09-08 AAPL 69 (Wells Fargo Financial) Apple Inc. Sale (partial) Self $15,001 - $50,000 20017475 { } 45 2020-09-08 AAPL 10 (Wells Fargo Financial) Apple Inc. Sale (partial) Self $15,001 - $50,000 20017475 { } 46 2020-09-08 INTU 25 (Wells Fargo Financial) Intuit Inc. Sale Self $15,001 - $50,000 20017475 { } 47 2020-09-08 JPM 69 (Wells Fargo Financial) JP Morgan Chase & Co. Sale Self $15,001 - $50,000 20017475 { } 48 2020-09-08 USMC 25 (Wells Fargo Financial) Principal U.S. Mega-Cap ETF Sale (partial) Self $15,001 - $50,000 20017475 { } 49 2020-09-08 SPY WF 10 (Wells Fargo Financial) SPDR S&P 500 Sale (partial) Self $15,001 - $50,000 20017475 { } 50 2020-09-08 VIG 53 (Wells Fargo Financial) Vanguard div Appreciation ETF Sale (partial) Self $50,001 - $100,000 20017475 { } 51 2020-08-11 — FT divers Income & growth Fall 15 Sale SP $100,001 - $250,000 20017309 { } 52 2020-08-10 AEP American Electric Power Company, Inc. Purchase SP $15,001 - $50,000 20017309 { } 53 2020-08-10 AXP E62 (Edward Jones) American Express Company Sale Self $15,001 - $50,000 20017309 { } 54 2020-08-10 DUK duke Energy Corporation Purchase SP $15,001 - $50,000 20017309 { } 55 2020-08-10 DGRO iShares Core dividend growth ETF Purchase SP $50,001 - $100,000 20017309 { } 56 2020-08-10 JNJ Johnson & Johnson Purchase SP $15,001 - $50,000 20017309 { } 57 2020-08-10 PNC E62 (Edward Jones) PNC Financial Services group, Inc. Sale Self $50,001 - $100,000 20017309 { } 58 2020-08-10 PNC 10 (Wells Fargo Financial) PNC Financial Services group, Inc. Sale Self $15,001 - $50,000 20017309 { } 59 2020-08-10 CWB 69 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $50,001 - $100,000 20017309 { } 60 2020-08-10 SDY 10 (Wells Fargo Financial) SPDR S&P dividend ETF Purchase Self $15,001 - $50,000 20017309 { } 61 2020-08-10 SDY 10 (Wells Fargo Financial) SPDR S&P dividend ETF Purchase Self $15,001 - $50,000 20017309 { } 62 2020-08-10 XLV 69 (Wells Fargo Financial) SPDR Select Sector Fund - Health Care Purchase Self $50,001 - $100,000 20017309 { } 63 2020-08-10 USB 10 (Wells Fargo Financial) U.S. bancorp Sale Self $50,001 - $100,000 20017309 { } 64 2020-08-10 V 10 (Wells Fargo Financial) Visa Inc. Sale Self $15,001 - $50,000 20017309 { } 65 2020-07-20 — AMERICAN FUNDS THE TAX EXEMPT BOND FUND OF AMERICA Purchase SP $1,001 - $15,000 20017070 { } 66 2020-07-01 — "CITIGROUP INC PERPETUAL FIX/FLT BONDS CALLABLE CPN 6.125% DUE 12/29/49 dTd 11/13/15 FC 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP- 172967Kd2" Purchase Self $100,001 - $250,000 20017070 { } 67 2020-07-01 AMZN 05/15/16 CALL1 11/15/20 @ 100.000, CUSIP-172967Kd2" Amazon.com, Inc. Purchase Self $50,001 - $100,000 20017070 { } 68 2020-07-01 AAPL Apple Inc. Purchase Self $15,001 - $50,000 20017070 { } 69 2020-07-01 — 69 (Wells Fargo Financial) Filing Id #20017070 Home depot, Inc. (Hd) Sale Self $50,001 - $100,000 20017070 { } 70 2020-07-01 PFE 69 (Wells Fargo Financial) Pfizer, Inc. Purchase Self $15,001 - $50,000 20017070 { } 71 2020-07-01 RTX 69 (Wells Fargo Financial) Raytheon Technologies Corporation Sale Self $15,001 - $50,000 20017070 { } 72 2020-06-23 — JPMORGAN FEDERAL MONEY MARKET FUND Purchase SP $1,001 - $15,000 20016929 { } 73 2020-06-10 — JPMORGAN FEDERAL MONEY MARKET FUND Purchase SP $15,001 - $50,000 20016929 { } 74 2020-06-10 INFR Legg Mason global Infrastructure ETF Sale SP $15,001 - $50,000 20016929 { } 75 2020-06-09 EFG iShares MSCI EAFE growth ETF Sale (partial) SP $1,001 - $15,000 20016929 { } 76 2020-06-09 EFV iShares MSCI EAFE Value ETF Purchase SP $15,001 - $50,000 20016929 { } 77 2020-06-09 IWM iShares Russell 2000 ETF Sale (partial) SP $1,001 - $15,000 20016929 { } 78 2020-06-09 — JPMORGAN FEDERAL MONEY MARKET FUND Sale (partial) SP $15,001 - $50,000 20016929 { } 79 2020-06-09 ISD PGIM High Yield bond Fund, Inc. Purchase SP $15,001 - $50,000 20016929 { } 80 2020-06-09 VV Vanguard Large-Cap ETF Purchase SP $1,001 - $15,000 20016929 { } 81 2020-06-02 PNC E48 (Edward Jones) PNC Financial Services group, Inc. Purchase Self $15,001 - $50,000 20016929 { } 82 2020-06-01 PNC 10 (Wells Fargo Financial) PNC Financial Services group, Inc. Purchase Self $15,001 - $50,000 20016929 { } 83 2020-06-01 PNC 10 (Wells Fargo Financial) PNC Financial Services group, Inc. Purchase Self $15,001 - $50,000 20016929 { } 84 2020-06-01 TJX 69 (Wells Fargo Financial) TJX Companies, Inc. Sale Self $1,001 - $15,000 20016929 { } 85 2020-06-01 USB 69 (Wells Fargo Financial) U.S. bancorp Purchase Self $50,001 - $100,000 20016929 { } 86 2020-06-01 VDC 10 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale (partial) Self $15,001 - $50,000 20016929 { } 87 2020-05-26 SKYY E62 (Edward Jones) First Trust Cloud Computing ETF Purchase Self $15,001 - $50,000 20016729 { } 88 2020-05-26 GSLC 69 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Sale Self $15,001 - $50,000 20016729 { } 89 2020-05-26 GSLC 25 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Sale Self $15,001 - $50,000 20016729 { } 90 2020-05-26 USMC 05/29/49 Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $1,001 - $15,000 20016729 { } 91 2020-05-26 USMC 25 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20016729 { } 92 2020-05-26 USMC 25 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $1,001 - $15,000 20016729 { } 93 2020-05-26 USMC 53 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20016729 { } 94 2020-05-26 — The blackstone group Inc. Class a (bX) Purchase Self $50,001 - $100,000 20016729 { } 95 2020-05-26 — 10 (Wells Fargo Financial) The blackstone group Inc. Class a (bX) Purchase Self $15,001 - $50,000 20016729 { } 96 2020-05-19 AMZN amazon.com, Inc. Purchase Self $50,001 - $100,000 20016729 { } 97 2020-05-19 AAPL 10 (Wells Fargo Financial) apple Inc. Purchase Self $15,001 - $50,000 20016729 { } 98 2020-05-19 — 10 (Wells Fargo Financial) becton, dickinson and Company (bdX) Sale Self $15,001 - $50,000 20016729 { } 99 2020-05-19 CARR 69 (Wells Fargo Financial) Carrier global Corporation Sale Self $1,001 - $15,000 20016729 { } 100 2020-05-19 SKYY 25 (Wells Fargo Financial) First Trust Cloud Computing ETF Purchase Self $15,001 - $50,000 20016729 { } 101 2020-05-19 SKYY First Trust Cloud Computing ETF Purchase SP $15,001 - $50,000 20016729 { } 102 2020-05-19 SKYY 31 (Wells Fargo Financial) First Trust Cloud Computing ETF Purchase Self $15,001 - $50,000 20016729 { } 103 2020-05-19 — 53 (Wells Fargo Financial) Home depot, Inc. (Hd) Purchase Self $15,001 - $50,000 20016729 { } 104 2020-05-19 ITOT iShares Core S&P Total U.S. Stock Market ETF Purchase SP $15,001 - $50,000 20016729 { } 105 2020-05-19 JPM E62 (Edward Jones) JP Morgan Chase & Co. Purchase Self $15,001 - $50,000 20016729 { } 106 2020-05-19 JPM 10 (Wells Fargo Financial) JP Morgan Chase & Co. Purchase Self $1,001 - $15,000 20016729 { } 107 2020-05-19 OTIS 69 (Wells Fargo Financial) otis Worldwide Corporation Sale Self $1,001 - $15,000 20016729 { } 108 2020-05-19 — WF 69 (Wells Fargo Financial) PNC FINANCIAL SERVICES UNSECURED FIX To FLOAT CaLLabLE SER R PERPTL CPN 4.850% DUE 05/29/49 [oT] Purchase Self $50,001 - $100,000 20016729 { } 109 2020-05-19 VIG Vanguard div appreciation ETF Purchase SP $15,001 - $50,000 20016729 { } 110 2020-05-19 VIG 31 (Wells Fargo Financial) Vanguard div appreciation ETF Purchase Self $15,001 - $50,000 20016729 { } 111 2020-05-19 VZ 10 (Wells Fargo Financial) Verizon Communications Inc. Purchase Self $15,001 - $50,000 20016729 { } 112 2020-05-12 — UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH PORT SER 2015 [oT] Sale SP $50,001 - $100,000 20016729 { } 113 2020-05-11 DRI darden Restaurants, Inc. Purchase SP $15,001 - $50,000 20016729 { } 114 2020-05-11 JNJ Johnson & Johnson Purchase SP $15,001 - $50,000 20016729 { } 115 2020-05-11 — Procter & gamble Company (Pg) Purchase SP $15,001 - $50,000 20016729 { } 116 2020-04-24 — 10 (Wells Fargo Financial) boFa FIN LLC 0% 1Y: LKD To S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 [oT] Sale Self $50,001 - $100,000 20016520 { } 117 2020-04-24 — boFa FIN LLC 0% 1Y: LKD To S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 [oT] Sale Self $15,001 - $50,000 20016520 { } 118 2020-04-23 — UIT INVESCO UNIT TRS CENT EQUITY TR DIVERSFED SER 2016- [oT] Sale SP $100,001 - $250,000 20016520 { } 119 2020-04-22 — american Capital Income [oT] Purchase SP $1,001 - $15,000 20016520 { } 120 2020-04-22 — american Fundamental Investors [oT] Purchase SP $1,001 - $15,000 20016520 { } 121 2020-04-22 — american growth Fund [oT] Purchase SP $1,001 - $15,000 20016520 { } 122 2020-04-22 — american New Perspective Cl a [oT] Purchase SP $1,001 - $15,000 20016520 { } 123 2020-04-22 — american Tax-exempt bond Fd [oT] Purchase SP $1,001 - $15,000 20016520 { } 124 2020-04-22 CVX Chevron Corporation Purchase SP $15,001 - $50,000 20016520 { } 125 2020-04-22 DUK duke Energy Corporation Purchase SP $15,001 - $50,000 20016520 { } 126 2020-04-22 EMR Emerson Electric Company Purchase SP $15,001 - $50,000 20016520 { } 127 2020-04-22 — Franklin Rising dividend Cl a [oT] Purchase SP $1,001 - $15,000 20016520 { } 128 2020-04-22 — iShares Core dividend growth ETF (dgRo) Purchase SP $15,001 - $50,000 20016520 { } 129 2020-04-22 MPC Marathon Petroleum Corporation Purchase SP $15,001 - $50,000 20016520 { } 130 2020-04-15 AMZN amazon.com, Inc. Purchase Self $15,001 - $50,000 20016520 { } 131 2020-04-15 AMZN 10 (Wells Fargo Financial) amazon.com, Inc. Purchase Self $15,001 - $50,000 20016520 { } 132 2020-04-15 AAPL apple Inc. Purchase Self $15,001 - $50,000 20016520 { } 133 2020-04-15 AAPL 53 (Wells Fargo Financial) apple Inc. Purchase Self $50,001 - $100,000 20016520 { } 134 2020-04-15 — E62 (Edward Jones) JPMoRgaN CHASE & Co FIXED/FLOAT JR SbRdNTd CaLLabLE PERPETUAL MAT CPN 88.875% DUE 12/29/49 [oT] Purchase Self $50,001 - $100,000 20016520 { } 135 2020-04-15 — 12/29/49 JPMoRgaN CHASE & Co JR SUboRdINaTEd FIX/FLT CaLLabLE PERP MAT SER CC CPN 4.625% DUE 12/31/49 [oT] Purchase Self $50,001 - $100,000 20016520 { } 136 2020-04-15 — 12/31/49 JPMoRgaN CHASE & Co JR SUboRdINaTEd FIX/FLT CaLLabLE PERP MAT SER CC CPN 4.625% DUE 12/31/49 [oT] Purchase Self $50,001 - $100,000 20016520 { } 137 2020-04-15 VIG Vanguard div appreciation ETF Purchase Self $50,001 - $100,000 20016520 { } 138 2020-04-15 VIG 10 (Wells Fargo Financial) Vanguard div appreciation ETF Purchase Self $50,001 - $100,000 20016520 { } 139 2020-04-15 VIG 69 (Wells Fargo Financial) Vanguard div appreciation ETF Purchase Self $15,001 - $50,000 20016520 { } 140 2020-04-13 DRI darden Restaurants, Inc. Purchase SP $15,001 - $50,000 20016520 { } 141 2020-04-06 AEP american Electric Power Company, Inc. Purchase SP $15,001 - $50,000 20016520 { } 142 2020-04-06 — iShares Core dividend growth ETF (dgRo) Purchase SP $15,001 - $50,000 20016520 { } 143 2020-04-06 — iShares Core dividend growth ETF (dgRo) Purchase SP $1,001 - $15,000 20016520 { } 144 2020-04-06 — iShares Core dividend growth ETF (dgRo) Purchase SP $1,001 - $15,000 20016520 { } 145 2020-04-06 — Southern Company (So) Purchase SP $15,001 - $50,000 20016520 { } 146 2020-03-27 — 03/27/20 Transfer to WF 10 Filing Id #20016346 BANK NOVA SCOTIA 0% EDP bC CAPPED LEVERagEd INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 [oT] Sale Self $50,001 - $100,000 20016346 { } 147 2020-03-27 — 08/25/22 dTd 08/31/17 Transfer to WF 10 HSBC USA INC 0% EDP NTS LKD To EURO STOXX 50 INDEX MTY 03/27/20 CPN 0.000% DUE 03/27/20 [oT] Sale Self $15,001 - $50,000 20016346 { } 148 2020-03-18 AEP 69 (Wells Fargo Financial) american Electric Power Company, Inc. Sale Self $15,001 - $50,000 20016346 { } 149 2020-03-18 — diageo plc (dEo) Sale (partial) Self $1,001 - $15,000 20016346 { } 150 2020-03-18 — 69 (Wells Fargo Financial) diageo plc (dEo) Sale Self $1,001 - $15,000 20016346 { } 151 2020-03-18 NOC Redemption Northrop grumman Corporation Sale Self $15,001 - $50,000 20016346 { } 152 2020-03-18 LUV Southwest airlines Company Sale SP $15,001 - $50,000 20016346 { } 153 2020-03-18 LUV 31 (Wells Fargo Financial) Southwest airlines Company Sale Self $15,001 - $50,000 20016346 { } 154 2020-03-18 — 25 (Wells Fargo Financial) SPDR dow Jones Industrial average ETF (dIa) Sale (partial) Self $1,001 - $15,000 20016346 { } 155 2020-03-18 — 53 (Wells Fargo Financial) SPDR dow Jones Industrial average ETF (dIa) Sale Self $1,001 - $15,000 20016346 { } 156 2020-03-18 VEA Vanguard FTSE developed Markets ETF Sale Self $1,001 - $15,000 20016346 { } 157 2020-03-18 VPU 53 (Wells Fargo Financial) Vanguard Utilities ETF Sale Self $15,001 - $50,000 20016346 { } 158 2020-03-18 VPU 53 (Wells Fargo Financial) Vanguard Utilities ETF Sale Self $15,001 - $50,000 20016346 { } 159 2020-03-18 VPU Vanguard Utilities ETF Sale Self $15,001 - $50,000 20016346 { } 160 2020-03-18 DIS 10 (Wells Fargo Financial) Walt disney Company Sale Self $1,001 - $15,000 20016346 { } 161 2020-03-11 MMM 3M Company Sale Self $1,001 - $15,000 20016346 { } 162 2020-03-11 GSLC goldman Sachs activebeta U.S. Large Cap Equity ETF Sale Self $50,001 - $100,000 20016346 { } 163 2020-03-11 SDY SPDR S&P dividend ETF Sale Self $15,001 - $50,000 20016346 { } 164 2020-03-11 SDY 69 (Wells Fargo Financial) SPDR S&P dividend ETF Sale Self $100,001 - $250,000 20016346 { } 165 2020-03-11 SDY 10 (Wells Fargo Financial) SPDR S&P dividend ETF Sale Self $50,001 - $100,000 20016346 { } 166 2020-03-11 TRV 25 (Wells Fargo Financial) The Travelers Companies, Inc. Sale Self $1,001 - $15,000 20016346 { } 167 2020-03-11 VDC 69 (Wells Fargo Financial) Vanguard Consumer Staples ETF Sale Self $15,001 - $50,000 20016346 { } 168 2020-03-11 VIG 10 (Wells Fargo Financial) Vanguard div appreciation ETF Sale Self $15,001 - $50,000 20016346 { } 169 2020-03-11 VIG 25 (Wells Fargo Financial) Vanguard div appreciation ETF Sale Self $50,001 - $100,000 20016346 { } 170 2020-03-10 FDN First Trust dJ Internet Index Fund Sale Self $50,001 - $100,000 20016346 { } 171 2020-03-10 VDC Vanguard Consumer Staples ETF Sale (partial) Self $15,001 - $50,000 20016346 { } 172 2020-03-10 VPU 25 (Wells Fargo Financial) Vanguard Utilities ETF Sale Self $15,001 - $50,000 20016346 { } 173 2020-02-28 — baRCLaYS bK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 [oT] Sale Self $50,001 - $100,000 20016198 { } 174 2020-02-28 — baRCLaYS bK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 [oT] Sale Self $50,001 - $100,000 20016198 { } 175 2020-02-26 FDL 53 (Wells Fargo Financial) First Trust Morningstar ETF Sale Self $15,001 - $50,000 20016198 { } 176 2020-02-25 FDL 10 (Wells Fargo Financial) First Trust Morningstar ETF Sale (partial) Self $15,001 - $50,000 20016198 { } 177 2020-02-25 VPU 25 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $50,001 - $100,000 20016198 { } 178 2020-02-24 — 69 (Wells Fargo Financial) BANK NOVA SCOTIA 0% BLS bC CAPPED LEVERagEd INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 [oT] Exchange Self $50,001 - $100,000 20016346 { } 179 2020-02-24 — 03/27/20 Transfer from WF 95 BANK NOVA SCOTIA 0% BLS bC CAPPED LEVERagEd INDX RETURN MTY 03/27/20 CPN 0.000% DUE 03/27/20 [oT] Exchange Self $50,001 - $100,000 20016346 { } 180 2020-02-24 — 03/27/20 Redemption baRCLaYS bK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 [oT] Exchange Self $50,001 - $100,000 20016346 { } 181 2020-02-24 — baRCLaYS bK PLC 0% BLS CAPPED LEVERAGE INDEX RETURN NT MTY 02/28/2020 CPN 0.000% DUE 02/28/20 [oT] Exchange Self $50,001 - $100,000 20016346 { } 182 2020-02-24 — 02/28/20 Transfer from WF 95 boFa FIN LLC 0% BLS LKD To S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 [oT] Exchange Self $50,001 - $100,000 20016346 { } 183 2020-02-24 — from WF 95 boFa FIN LLC 0% BLS LKD To S&P 500 INDEX DUE 04/24/2020 CPN 0.000% DUE 04/24/20 [oT] Exchange Self $50,001 - $100,000 20016346 { } 184 2020-02-24 FDN 69 (Wells Fargo Financial) First Trust dJ Internet Index Fund Exchange Self $50,001 - $100,000 20016346 { } 185 2020-02-24 FDN First Trust dJ Internet Index Fund Exchange Self $50,001 - $100,000 20016346 { } 186 2020-02-24 FDL 10 (Wells Fargo Financial) First Trust Morningstar ETF Exchange Self $50,001 - $100,000 20016346 { } 187 2020-02-24 FDL WF 10 First Trust Morningstar ETF Exchange Self $50,001 - $100,000 20016346 { } 188 2020-02-24 GSLC goldman Sachs activebeta U.S. Large Cap Equity ETF Exchange Self $100,001 - $250,000 20016346 { } 189 2020-02-24 GSLC goldman Sachs activebeta U.S. Large Cap Equity ETF Exchange Self $100,001 - $250,000 20016346 { } 190 2020-02-24 — HSBC USA INC 0% BLS aUToCaLL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 dTd 08/31/17 [oT] Exchange Self $50,001 - $100,000 20016346 { } 191 2020-02-24 — 08/25/22 dTd 08/31/17 Transfer from WF 95 HSBC USA INC 0% BLS aUToCaLL LKD EURO STOXX 50 IDX DUE 08/25/2022 CPN 0.000% DUE 08/25/22 dTd 08/31/17 [oT] Exchange Self $50,001 - $100,000 20016346 { } 192 2020-02-24 USMC 69 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Exchange Self $100,001 - $250,000 20016346 { } 193 2020-02-24 USMC Principal U.S. Mega-Cap Multi- Factor Index ETF Exchange Self $100,001 - $250,000 20016346 { } 194 2020-02-24 SPY WF 53 (Wells Fargo Financial) SPDR S&P 500 Exchange Self $100,001 - $250,000 20016346 { } 195 2020-02-24 SPY SPDR S&P 500 Exchange Self $100,001 - $250,000 20016346 { } 196 2020-02-24 SDY SPDR S&P dividend ETF Exchange Self $50,001 - $100,000 20016346 { } 197 2020-02-24 SDY SPDR S&P dividend ETF Exchange Self $50,001 - $100,000 20016346 { } 198 2020-02-24 VDC 69 (Wells Fargo Financial) Vanguard Consumer Staples ETF Exchange Self $100,001 - $250,000 20016346 { } 199 2020-02-24 VDC Vanguard Consumer Staples ETF Exchange Self $100,001 - $250,000 20016346 { } 200 2020-02-24 VIG 10 (Wells Fargo Financial) Vanguard div appreciation ETF Exchange Self $50,001 - $100,000 20016346 { } 201 2020-02-24 VIG Vanguard div appreciation ETF Exchange Self $50,001 - $100,000 20016346 { } 202 2020-02-24 VPU Vanguard Utilities ETF Exchange Self $15,001 - $50,000 20016346 { } 203 2020-02-24 VPU Vanguard Utilities ETF Exchange Self $15,001 - $50,000 20016346 { } 204 2020-02-18 FDL 10 (Wells Fargo Financial) First Trust Morningstar ETF Sale Self $1,001 - $15,000 20016198 { } 205 2020-02-18 FDL 25 (Wells Fargo Financial) First Trust Morningstar ETF Sale (partial) Self $15,001 - $50,000 20016198 { } 206 2020-02-18 GSLC 25 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20016198 { } 207 2020-02-18 VPU 95 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $15,001 - $50,000 20016198 { } 208 2020-02-10 CSQ Calamos Strategic Total Return Fund Sale Self $1,001 - $15,000 20016198 { } 209 2020-02-10 GSLC 25 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20016198 { } 210 2020-02-10 GSLC 53 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20016198 { } 211 2020-02-10 QQQ 95 (Wells Fargo Financial) Invesco QQQ Trust, Series 1 Purchase Self $15,001 - $50,000 20016198 { } 212 2020-02-10 USMC 53 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20016198 { } 213 2020-02-10 — 95 (Wells Fargo Financial) SPDR dow Jones Industrial average ETF (dIa) Purchase Self $1,001 - $15,000 20016198 { } 214 2020-02-10 SPY WF 53 (Wells Fargo Financial) SPDR S&P 500 Purchase Self $15,001 - $50,000 20016198 { } 215 2020-02-10 SDY 95 (Wells Fargo Financial) SPDR S&P dividend ETF Purchase Self $15,001 - $50,000 20016198 { } 216 2020-02-10 VDC 95 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $15,001 - $50,000 20016198 { } 217 2020-02-10 VIG 95 (Wells Fargo Financial) Vanguard div appreciation ETF Purchase Self $15,001 - $50,000 20016198 { } 218 2020-02-10 VPU 95 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $15,001 - $50,000 20016198 { } 219 2020-02-10 VPU 53 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $15,001 - $50,000 20016198 { } 220 2020-01-31 — BANK NOVA SCOTIA 0% 1Y: b C LKD S&P 500 MTY 01/31/2020 CPN 0.000% DUE 01/31/20 [oT] Sale Self $50,001 - $100,000 20015025 { } 221 2020-01-31 — boFa FIN LLC 0% 1Y: ACCELERATED RETURN NTS LKD To S&P MTY 01/31/20 CPN 0.000% DUE 01/31/20 [oT] Sale Self $100,001 - $250,000 20015025 { } 222 2020-01-16 — american balanced Fund Class a [oT] Purchase SP $1,001 - $15,000 20015025 { } 223 2020-01-16 IVZ Invesco Ltd Purchase SP $1,001 - $15,000 20015025 { } 224 2019-12-30 — JPMoRgaN FEDERAL MONEY MARKET FUND [oT] Purchase SP $1,001 - $15,000 20014994 { } 225 2019-12-23 — JPMoRgaN FEDERAL MONEY MARKET FUND [oT] Purchase SP $1,001 - $15,000 20014994 { } 226 2019-12-20 — BANK NOVA SCOTIA b 0EDP C ACLRTD RTRN NT LKD S&P 500 IDX DUE 12/20/2019 CPN 0.000% [oT] Sale Self $50,001 - $100,000 20014994 { } 227 2019-12-12 — CREDIT SUISSE ag 0% EDP LONDON BRH LKD To EURO STOXX 50 INDEX 1/30/2020 CPN 0.000% DUE 11/30/20 [oT] Sale Self $50,001 - $100,000 20014994 { } 228 2019-12-12 IVZ Invesco Ltd Sale SP $1,001 - $15,000 20014994 { } 229 2019-12-10 GSLC DUE 11/30/20 goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20014994 { } 230 2019-12-10 CWB 25 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Sale (partial) Self $50,001 - $100,000 20014994 { } 231 2019-12-10 VPU 95 (Wells Fargo Financial) Vanguard Utilities ETF Sale Self $15,001 - $50,000 20014994 { } 232 2019-12-03 GSLC 95 (Wells Fargo Financial) goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $1,001 - $15,000 20014994 { } 233 2019-12-03 GSLC 95 (Wells Fargo Financial) Filing ID #20014994 goldman Sachs activebeta U.S. Large Cap Equity ETF Purchase Self $15,001 - $50,000 20014994 { } 234 2019-12-03 CWB SPDR bloomberg barclays Convertible Securities ETF Sale Self $15,001 - $50,000 20014994 { } 235 2019-12-03 CWB 95 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Sale Self $50,001 - $100,000 20014994 { } 236 2019-12-03 SDY 95 (Wells Fargo Financial) SPDR S&P Dividend ETF Purchase Self $15,001 - $50,000 20014994 { } 237 2019-12-03 VIG Vanguard Div appreciation ETF Purchase Self $15,001 - $50,000 20014994 { } 238 2019-12-03 VIG 25 (Wells Fargo Financial) Vanguard Div appreciation ETF Purchase Self $15,001 - $50,000 20014994 { } 239 2019-11-29 — CREDIT SUISSE ag 0% EDP LKD EURO STOXX 50 INDEX DUE 11/27/2020 CPN 0.000% DUE 11/27/20 [oT] Sale SP $15,001 - $50,000 20013776 { } 240 2019-11-07 FDL Redemption First Trust Morningstar ETF Purchase Self $15,001 - $50,000 20013776 { } 241 2019-11-07 USMC 95 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20013776 { } 242 2019-11-07 SPY WF 95 (Wells Fargo Financial) SPDR S&P 500 Purchase Self $15,001 - $50,000 20013776 { } 243 2019-11-07 SDY 95 (Wells Fargo Financial) SPDR S&P dividend ETF Purchase Self $15,001 - $50,000 20013776 { } 244 2019-11-07 VPU 95 (Wells Fargo Financial) Filing Id #20013776 Vanguard Utilities ETF Sale (partial) Self $15,001 - $50,000 20013776 { } 245 2019-10-21 SDY 95 (Wells Fargo Financial) SPDR S&P Dividend ETF Purchase Self $50,001 - $100,000 20012595 { } 246 2019-10-21 SDY 95 (Wells Fargo Financial) SPDR S&P Dividend ETF Purchase Self $50,001 - $100,000 20012595 { } 247 2019-10-21 SDY 69 (Wells Fargo Financial) SPDR S&P Dividend ETF Purchase Self $15,001 - $50,000 20012595 { } 248 2019-10-19 — sP M81 (Merrill Lynch) R2000 STEPUP ISSUER BARC STEP 35.00% sV 1,488.786 DUE 09/30/22 [oT] Sale Self $50,001 - $100,000 20010637 { } 249 2019-10-10 ACN accenture plc Class a ordinary Shares Sale Self $15,001 - $50,000 20012595 { } 250 2019-10-10 DD 69 (Wells Fargo Financial) DuPont de Nemours, Inc. Sale Self $1,001 - $15,000 20012595 { } 251 2019-10-10 XOM 69 (Wells Fargo Financial) Exxon Mobil Corporation Sale Self $1,001 - $15,000 20012595 { } 252 2019-10-10 FDN 69 (Wells Fargo Financial) First Trust DJ Internet Index Fund Sale (partial) Self $15,001 - $50,000 20012595 { } 253 2019-10-10 FDL 95 (Wells Fargo Financial) First Trust Morningstar ETF Purchase Self $15,001 - $50,000 20012595 { } 254 2019-10-10 FDL 95 (Wells Fargo Financial) First Trust Morningstar ETF Purchase Self $1,001 - $15,000 20012595 { } 255 2019-10-10 JNJ WF 25 (Wells Fargo Financial) Johnson & Johnson Sale (partial) Self $1,001 - $15,000 20012595 { } 256 2019-10-10 JNJ WF 69 (Wells Fargo Financial) Johnson & Johnson Sale Self $1,001 - $15,000 20012595 { } 257 2019-10-10 NEE NextEra Energy, Inc. Sale Self $15,001 - $50,000 20012595 { } 258 2019-10-10 PNC 69 (Wells Fargo Financial) PNC Financial Services group, Inc. Sale (partial) Self $1,001 - $15,000 20012595 { } 259 2019-10-10 PNC 69 (Wells Fargo Financial) PNC Financial Services group, Inc. Sale Self $1,001 - $15,000 20012595 { } 260 2019-10-10 — 69 (Wells Fargo Financial) Royal Dutch Shell PLC Royal Dutch Shell PLC american Depositary Shares (RDS.b) Sale Self $1,001 - $15,000 20012595 { } 261 2019-10-10 CWB 69 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $1,001 - $15,000 20012595 { } 262 2019-10-10 SPY WF 95 (Wells Fargo Financial) SPDR S&P 500 Sale (partial) Self $15,001 - $50,000 20012595 { } 263 2019-10-10 SDY 95 (Wells Fargo Financial) SPDR S&P Dividend ETF Purchase Self $1,001 - $15,000 20012595 { } 264 2019-10-10 VDC 25 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $1,001 - $15,000 20012595 { } 265 2019-10-10 VPU 25 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $15,001 - $50,000 20012595 { } 266 2019-10-02 — JPMoRgaN FEDERAL MONEY MARKET FUND [oT] Purchase SP $1,001 - $15,000 20012595 { } 267 2019-09-27 — 69 (Wells Fargo Financial) boFa FIN LLC 0% EDP LKD To S&P 500 INDEX DUE 09/27/2019 CPN 0.000% DUE 09/27/19 [oT] Sale Self $50,001 - $100,000 20012439 { } 268 2019-09-27 — Redemption boFa FIN LLC 0% EDP STEP UP NOT LKD To EURO STOXX 50 DUE 09/27/2019 [oT] Sale Self $50,001 - $100,000 20012439 { } 269 2019-09-26 AMZN amazon.com, Inc. Sale Self $15,001 - $50,000 20012439 { } 270 2019-09-26 — HaRTFoRd FORTIS FUNDS ௭* GRWTH OPPTYS [oT] Sale Self $50,001 - $100,000 20012439 { } 271 2019-09-26 VDC Vanguard Consumer Staples ETF Purchase Self $15,001 - $50,000 20012439 { } 272 2019-09-26 VPU 69 (Wells Fargo Financial) Vanguard Utilities ETF Purchase Self $50,001 - $100,000 20012439 { } 273 2019-08-30 — BANK NOVA SCOTIA 0% 1Y: ACCL RTRN LKD RUSSELL 2000 IDX MTY 08/30/19 [oT] Sale Self $15,001 - $50,000 20012318 { } 274 2019-08-30 — CaNadIaN IMPERIAL BKEDP 0% COMM ToRoNTo BRH LKD MSCI EMRGNG DUE 08/30/19 [oT] Sale Self $15,001 - $50,000 20012318 { } 275 2019-08-30 — Redemption CaNadIaN IMPRL bK 0%EDP COMM TRNT BRH RTN NT LKD S&P500 IDX DUE08/30/2019 [oT] Sale Self $50,001 - $100,000 20012318 { } 276 2019-08-14 CWB 69 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $50,001 - $100,000 20012318 { } 277 2019-08-14 SPY WF 95 (Wells Fargo Financial) SPDR S&P 500 Purchase Self $15,001 - $50,000 20012318 { } 278 2019-08-14 VDC 95 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $50,001 - $100,000 20012318 { } 279 2019-08-06 CTVA Corteva, Inc. Sale Self $1,001 - $15,000 20012318 { } 280 2019-08-06 — 69 (Wells Fargo Financial) dow Inc. (doW) Sale Self $1,001 - $15,000 20012318 { } 281 2019-08-06 FDL 69 (Wells Fargo Financial) First Trust Morningstar ETF Purchase Self $15,001 - $50,000 20012318 { } 282 2019-08-06 FDL 25 (Wells Fargo Financial) First Trust Morningstar ETF Purchase Self $15,001 - $50,000 20012318 { } 283 2019-08-06 CWB 95 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $15,001 - $50,000 20012318 { } 284 2019-08-06 CWB 69 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $1,001 - $15,000 20012318 { } 285 2019-08-06 WM 69 (Wells Fargo Financial) Waste Management, Inc. Sale Self $1,001 - $15,000 20012318 { } 286 2019-07-29 — SP E62 (Edward Jones) FIN BASKET ARN ISS boFa CAP 18.06% [oT] Sale Self $50,001 - $100,000 20012046 { } 287 2019-07-26 — american Funds Developing: World growth & Income FD [oT] Purchase SP $15,001 - $50,000 20012046 { } 288 2019-07-26 — american Mutual Fund Inc Class a [oT] Purchase SP $15,001 - $50,000 20012046 { } 289 2019-07-26 — Coca-Cola Company (Ko) Sale SP $15,001 - $50,000 20012046 { } 290 2019-07-24 USMC Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $1,001 - $15,000 20012046 { } 291 2019-07-24 USMC 95 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20012046 { } 292 2019-07-24 USMC 95 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $1,001 - $15,000 20012046 { } 293 2019-07-24 USMC 95 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $1,001 - $15,000 20012046 { } 294 2019-07-24 USMC 95 (Wells Fargo Financial) Principal U.S. Mega-Cap Multi- Factor Index ETF Purchase Self $15,001 - $50,000 20012046 { } 295 2019-07-24 CWB 69 (Wells Fargo Financial) SPDR bloomberg barclays Convertible Securities ETF Purchase Self $50,001 - $100,000 20012046 { } 296 2019-07-24 VDC 25 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $50,001 - $100,000 20012046 { } 297 2019-07-24 VDC 25 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $15,001 - $50,000 20012046 { } 298 2019-07-24 VDC 53 (Wells Fargo Financial) Vanguard Consumer Staples ETF Purchase Self $50,001 - $100,000 20012046 { } 299 2019-07-24 VPU 95 (Wells Fargo Financial) Vanguard Utilities ETF Sale Self $1,001 - $15,000 20012046 { } 300 2019-07-23 SPG 95 (Wells Fargo Financial) Simon Property group, Inc. Sale Self $1,001 - $15,000 20012046 { } 301 2019-06-21 — JPMORGAN FEDERAL MONEY MARKET FUND [oT] Purchase SP $1,001 - $15,000 20011937 { } 302 2019-06-03 — boFa FIN LLC 0% EDP MKT LKD STP NTS LKD EURO STOXX 50 INDX 05/31/2019 CPN 0.000% DUE 05/31/19 [oT] Sale SP $50,001 - $100,000 20011937 { } 303 2019-04-26 — AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 Sale SP $50,001 - $100,000 20011612 { } 304 2019-04-26 — R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19 Sale SP $100,001 - $250,000 20011612 { } 305 2019-04-18 AAPL Apple Inc. Purchase SP $1,001 - $15,000 20011612 { } 306 2019-04-18 ADP Automatic Data Processing, Inc. Sale (partial) SP $1,001 - $15,000 20011612 { } 307 2019-04-18 BDX becton, Dickinson and Company Purchase SP $1,001 - $15,000 20011612 { } 308 2019-04-18 HD Home Depot, Inc. Sale (partial) SP $1,001 - $15,000 20011612 { } 309 2019-04-18 INTU Intuit Inc. Sale (partial) SP $1,001 - $15,000 20011612 { } 310 2019-04-18 JPM JP Morgan Chase & Co. Purchase SP $1,001 - $15,000 20011612 { } 311 2019-04-18 PFE Pfizer, Inc. Sale (partial) SP $1,001 - $15,000 20011612 { } 312 2019-04-18 VZ Verizon Communications Inc. Sale (partial) SP $1,001 - $15,000 20011612 { } 313 2019-04-18 DIS Walt Disney Company Purchase SP $1,001 - $15,000 20011612 { } 314 2019-04-11 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 Sale SP $50,001 - $100,000 20011612 { } 315 2019-04-11 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 Sale SP $50,001 - $100,000 20011612 { } 316 2019-04-08 — JPMORGAN Hign Yield Fund Purchase SP $1,001 - $15,000 20011612 { } 317 2019-04-08 — Vanguard Total bond Market EFT Sale (partial) SP $1,001 - $15,000 20011612 { } 318 2019-04-04 GOOGL Alphabet Inc. - Class A Purchase SP $15,001 - $50,000 20011612 { } 319 2019-04-04 JNJ Johnson & Johnson Sale (partial) SP $1,001 - $15,000 20011612 { } 320 2019-04-04 RTN Raytheon Company Sale (partial) SP $1,001 - $15,000 20011612 { } 321 2019-04-04 UNH UnitedHealth group Incorporated Common Stock Sale (partial) SP $1,001 - $15,000 20011612 { } 322 2019-03-29 — R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19 Sale SP $50,001 - $100,000 20011362 { } 323 2019-03-28 — JPMORGAN FEDERAL MONEY MARKET FUND Purchase SP $1,001 - $15,000 20011362 { } 324 2019-03-25 T AT&T Inc. Purchase SP $15,001 - $50,000 20011362 { } 325 2019-03-25 — general Electric Company (gE) Purchase SP $1,001 - $15,000 20011362 { } 326 2019-03-25 — ISHARES CORE DIVIDEND GROWTH: ETF Purchase SP $15,001 - $50,000 20011362 { } 327 2019-03-04 XOM Exxon Mobil Corporation Purchase SP $1,001 - $15,000 20011362 { } 328 2019-03-04 TRV The Travelers Companies, Inc. Purchase SP $1,001 - $15,000 20011362 { } 329 2019-02-22 — R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19 Sale SP $15,001 - $50,000 20011244 { } 330 2019-02-22 — SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19 Sale SP $50,001 - $100,000 20011244 { } 331 2019-02-21 — SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20 Purchase SP $15,001 - $50,000 20011244 { } 332 2019-02-21 — SP500 CLIRN ISSUER BOFA CAP 9.00% SV 2,774.88 DUE 04/24/20 Purchase SP $50,001 - $100,000 20011244 { } 333 2019-01-31 — sP M81 (Merrill Lynch) Exxon Mobil Corporation (XOM) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 334 2019-01-31 — The Travelers Companies, Inc. (TRV) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 335 2019-01-24 — sP M81 (Merrill Lynch) R2000 ARN ISSUER HSBC CAP 12.75% sV 1,518.89 DUE 01/24/19 [oT] Sale Self $50,001 - $100,000 20011085 { } 336 2019-01-24 — sP M81 (Merrill Lynch) sP500 CLIRNS ISSUER BNS CAP 11.50% sV 2,642.33 DUE 03/27/20 [oT] Purchase Self $50,001 - $100,000 20011085 { } 337 2019-01-08 — Apple Inc. (AAPL) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 338 2019-01-08 — sP M81 (Merrill Lynch) Intuit Inc. (INTU) [sT] Purchase Self $1,001 - $15,000 20011085 { } 339 2019-01-08 — sP M81 (Merrill Lynch) Johnson & Johnson (JNJ) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 340 2019-01-08 — sP M81 (Merrill Lynch) Microsoft Corporation (MSFT) [sT] Purchase Self $1,001 - $15,000 20011085 { } 341 2019-01-08 — sP M81 (Merrill Lynch) Pepsico, Inc. (PEP) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 342 2019-01-08 — sP M81 (Merrill Lynch) Walmart Inc. (WMT) [sT] Purchase Self $1,001 - $15,000 20011085 { } 343 2019-01-08 — sP M81 (Merrill Lynch) Zoetis Inc. Class A (ZTS) [sT] Purchase Self $1,001 - $15,000 20011085 { } 344 2019-01-04 — sP M81 (Merrill Lynch) Exxon Mobil Corporation (XOM) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 345 2019-01-04 — sP M81 (Merrill Lynch) Filing ID #20011085 Northrop grumman Corporation (NOC) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 346 2019-01-04 — simon Property group, Inc. (sPg) [sT] s (partial) Self $1,001 - $15,000 20011085 { } 347 2018-12-26 — JPMorgan Federal Money Market Purchase SP $1,001 - $15,000 20010922 { } 348 2018-12-24 BNS bank Nova Scotia Halifax Pfd 3 Ordinary Shares Sale SP $1,001 - $15,000 20010922 { } 349 2018-12-24 FDN First Trust DJ Internet Index Fund Purchase SP $1,001 - $15,000 20010922 { } 350 2018-12-24 QQQ Invesco QQQ Trust, Series 1 Purchase SP $1,001 - $15,000 20010922 { } 351 2018-12-24 DIA SPDR Dow Jones Industrial Average ETF Purchase SP $1,001 - $15,000 20010922 { } 352 2018-12-24 SPY SPDR S&P 500 Purchase SP $1,001 - $15,000 20010922 { } 353 2018-12-24 VCR Vanguard Consumer Discretion ETF Sale SP $15,001 - $50,000 20010922 { } 354 2018-12-21 AEP American Electric Power Company, Inc. Purchase SP $1,001 - $15,000 20010922 { } 355 2018-12-21 AXP American Express Company Sale (partial) SP $1,001 - $15,000 20010922 { } 356 2018-12-21 BNS bank Nova Scotia Halifax Pfd 3 Ordinary Shares Sale (partial) SP $1,001 - $15,000 20010922 { } 357 2018-12-21 PFE Pfizer, Inc. Purchase SP $1,001 - $15,000 20010922 { } 358 2018-12-21 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 Sale SP $50,001 - $100,000 20010922 { } 359 2018-12-21 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 Sale SP $50,001 - $100,000 20010922 { } 360 2018-12-21 VZ Verizon Communications Inc. Purchase SP $1,001 - $15,000 20010922 { } 361 2018-12-21 WM Waste Management, Inc. Purchase SP $1,001 - $15,000 20010922 { } 362 2018-12-20 — SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20 Purchase SP $15,001 - $50,000 20010922 { } 363 2018-12-20 — SP500 CLIRN ISS BARC CAP 14.02% SV 2,467.42 DUE 02/28/20 Purchase SP $50,001 - $100,000 20010922 { } 364 2018-12-17 T AT&T Inc. Sale SP $15,001 - $50,000 20010922 { } 365 2018-12-12 — Invesco American Franchise Fund Sale JT $15,001 - $50,000 20010922 { } 366 2018-11-29 — sP M81 (Merrill Lynch) sP500 ARN ISSUER BOFA CAP 13.92% sV 2,737.76 DUE 01/31/20 [oT] Purchase Self $100,001 - $250,000 20010775 { } 367 2018-11-29 — sP500 CLIRNS ISSUER bNs CAP 10.96% sV 2,737.76 DUE 01/31/20 [oT] Purchase Self $50,001 - $100,000 20010775 { } 368 2018-11-29 — SX5E STEPUP ISSUER Cs STEP 35.00% sV 3,174.16 DUE 11/19/21 [oT] Purchase Self $50,001 - $100,000 20010775 { } 369 2018-11-26 — sP M81 (Merrill Lynch) SX5E STEPUP ISSUER BAC STEP 27.90% sV 3,044.33 DUE 11/26/18 [oT] Sale Self $50,001 - $100,000 20010775 { } 370 2018-11-23 — sP M40 (Merrill Lynch) SPX/SX5E STEPUP Iss HSBC STEP 22.80% sV 100.00 DUE 11/23/18 [oT] Sale Self $50,001 - $100,000 20010775 { } 371 2018-11-21 — American Electric Power Company, Inc. (AEP) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 372 2018-11-21 — sP M81 (Merrill Lynch) becton, Dickinson and Company (BDX) [sT] Purchase Self $1,001 - $15,000 20010775 { } 373 2018-11-21 — sP M81 (Merrill Lynch) DowDuPont Inc. (DWDP) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 374 2018-11-21 — sP M81 (Merrill Lynch) First Trust DJ Internet Index Fund (FDN) [sT] Purchase Self $1,001 - $15,000 20010775 { } 375 2018-11-21 — sP M81 (Merrill Lynch) Invesco QQQ Trust, series 1 (QQQ) [sT] Purchase Self $1,001 - $15,000 20010775 { } 376 2018-11-21 — sP M81 (Merrill Lynch) Pfizer, Inc. (PFE) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 377 2018-11-21 — sP M81 (Merrill Lynch) R2000 CLIRN ISSUER BAC CAP 17.92% sV 1,334.341 DUE 11/21/18 [oT] Sale Self $100,001 - $250,000 20010775 { } 378 2018-11-21 — Raytheon Company (RTN) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 379 2018-11-21 — simon Property group, Inc. (sPg) [sT] Purchase Self $1,001 - $15,000 20010775 { } 380 2018-11-21 — SPDR Dow Jones Industrial Average ETF (DIA) [sT] Purchase Self $15,001 - $50,000 20010775 { } 381 2018-11-21 — sP M40 (Merrill Lynch) SPDR s&P 500 (SPY) [sT] Purchase Self $15,001 - $50,000 20010775 { } 382 2018-11-21 — stryker Corporation (SYK) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 383 2018-11-02 — sP M40 (Merrill Lynch) Home Depot, Inc. (HD) [sT] Purchase Self $1,001 - $15,000 20010775 { } 384 2018-11-02 — sP M40 (Merrill Lynch) Filing ID #20010775 Johnson & Johnson (JNJ) [sT] Purchase Self $1,001 - $15,000 20010775 { } 385 2018-11-02 — sP M81 (Merrill Lynch) JP Morgan Chase & Co. (JPM) [sT] Purchase Self $1,001 - $15,000 20010775 { } 386 2018-11-02 — sP M81 (Merrill Lynch) McDonald's Corporation (MCD) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 387 2018-11-02 — sP M81 (Merrill Lynch) NextEra Energy, Inc. (NEE) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 388 2018-11-02 — sP M81 (Merrill Lynch) Northrop grumman Corporation (NOC) [sT] Purchase Self $1,001 - $15,000 20010775 { } 389 2018-11-02 — sP M81 (Merrill Lynch) Pepsico, Inc. (PEP) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 390 2018-11-02 — United Technologies Corporation (UTX) [sT] Purchase Self $1,001 - $15,000 20010775 { } 391 2018-11-02 — sP M81 (Merrill Lynch) Verizon Communications Inc. (VZ) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 392 2018-11-02 — sP M81 (Merrill Lynch) Walmart Inc. (WMT) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 393 2018-11-02 — sP M81 (Merrill Lynch) Walt Disney Company (DIS) [sT] Purchase Self $1,001 - $15,000 20010775 { } 394 2018-11-02 — sP M81 (Merrill Lynch) Waste Management, Inc. (WM) [sT] s (partial) Self $1,001 - $15,000 20010775 { } 395 2018-10-26 — Amazon.com, Inc. (AMZN) [sT] Purchase Self $15,001 - $50,000 20010637 { } 396 2018-10-26 — sP M81 (Merrill Lynch) Apple Inc. (AAPL) [sT] s (partial) Self $1,001 - $15,000 20010637 { } 397 2018-10-26 — sP M40 (Merrill Lynch) International Business Machines Corporation (IBM) [sT] Sale Self $1,001 - $15,000 20010637 { } 398 2018-10-26 — Northrop grumman Corporation (NOC) [sT] s (partial) Self $1,001 - $15,000 20010637 { } 399 2018-10-26 — sP M81 (Merrill Lynch) PNC Financial services group, Inc. (PNC) [sT] s (partial) Self $1,001 - $15,000 20010637 { } 400 2018-10-25 — sP M81 (Merrill Lynch) International Business Machines Corporation (IBM) [sT] s (partial) Self $1,001 - $15,000 20010637 { } 401 2018-10-16 — sP M81 (Merrill Lynch) First Trust DJ Internet Index Fund (FDN) [sT] Purchase Self $1,001 - $15,000 20010637 { } 402 2018-10-16 — SPDR Dow Jones Industrial Average ETF (DIA) [sT] Purchase Self $1,001 - $15,000 20010637 { } 403 2018-10-16 — sP M40 (Merrill Lynch) SPDR s&P 500 (SPY) [sT] Purchase Self $1,001 - $15,000 20010637 { } 404 2018-10-12 — SX5E STEPUP ISSUER BOFA STEP 15.20% sV 3,521.76 DUE 07/25/19 [oT] Sale Self $50,001 - $100,000 20010637 { } 405 2018-10-11 — sP M81 (Merrill Lynch) Invesco QQQ Trust, series 1 (QQQ) [sT] Purchase Self $15,001 - $50,000 20010637 { } 406 2018-10-11 — sP M40 (Merrill Lynch) SPDR s&P 500 (SPY) [sT] Purchase Self $15,001 - $50,000 20010637 { } 407 2018-10-11 — sP M40 (Merrill Lynch) SX5E STEPUP ISSUER BNS STEP 30.00% sV 3,563.64 DUE 09/24/20 [oT] Sale Self $50,001 - $100,000 20010637 { } 408 2018-10-03 — sP M40 (Merrill Lynch) Filing ID #20010637 JPMORGAN FEDERAL MONEY MARKET FUND [oT] Purchase Self $1,001 - $15,000 20010637 { } 409 2018-09-28 — R2000 CLIRN ISSUER CIBC CAP 18.04% SV 1,237.751 DUE 09/28/18 Sale SP $15,001 - $50,000 20010415 { } 410 2018-09-27 — general Electric Company (gE) Purchase SP $1,001 - $15,000 20010415 { } 411 2018-09-27 — ISHARES CORE DIVIDEND GROWTH EXCHANGE TRADED FUND Purchase SP $15,001 - $50,000 20010415 { } 412 2018-09-21 — SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 Sale SP $50,001 - $100,000 20010415 { } 413 2018-09-21 — SX5E STEPUP ISSUER BOFA STEP 27.00% SV 3,584.55 DUE 05/31/19 Purchase SP $50,001 - $100,000 20010415 { } 414 2018-08-30 — american Mutual Fund Cl a [oT] Purchase SP $15,001 - $50,000 20010197 { } 415 2018-08-30 — Coca-Cola Company (Ko) Sale (partial) SP $1,001 - $15,000 20010197 { } 416 2018-08-30 DE Deere & Company Sale (partial) SP $1,001 - $15,000 20010197 { } 417 2018-08-30 EMR Emerson Electric Company Sale (partial) SP $1,001 - $15,000 20010197 { } 418 2018-08-30 GE General Electric Company Sale SP $15,001 - $50,000 20010197 { } 419 2018-08-30 MSFT Microsoft Corporation Sale (partial) SP $1,001 - $15,000 20010197 { } 420 2018-08-28 — FIRST TR EXCHANGE TRADED FD DOW JONES IN [oT] Purchase SP $1,001 - $15,000 20010197 { } 421 2018-08-28 — VANGUARD CONSUMER DISCRETIONARY ETF [oT] Purchase SP $15,001 - $50,000 20010197 { } 422 2018-07-27 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 [oT] Sale (partial) SP $50,001 - $100,000 20010072 { } 423 2018-07-26 — SP500 ARN ISSUER boFa CAP 10.09% SV 2837.44 DUE 09/27/19 [oT] Purchase SP $50,001 - $100,000 20010197 { } 424 2018-07-13 — gENERaTIoN PK MGMT DIST TEX ULTD TAX RD a OID APR16 03.750%SEP01 2036 [oT] Sale SP $50,001 - $100,000 20010072 { } 425 2018-07-12 — FIRST TR EXCHANGE TRADED FD DOW JONES IN [oT] Purchase SP $1,001 - $15,000 20010072 { } 426 2018-07-12 — HARTFORD GROWTH OPPORTUNITIES FD [oT] Purchase SP $15,001 - $50,000 20010072 { } 427 2018-06-29 — sP M81 (Merrill Lynch) sP500 ARN ISSUER BOFA CAP 10.00% sV 2,388.77 DUE 06/29/18 [oT] Sale Self $100,001 - $250,000 20009819 { } 428 2018-06-29 — sP500 CLIRN ISSUER BAC CAP 15.36% sV 2,097.90 DUE 06/29/18 [oT] Sale Self $50,001 - $100,000 20009819 { } 429 2018-06-28 — sP M81 (Merrill Lynch) bank Nova scotia Halifax Pfd 3 ordinary shares (bNs) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 430 2018-06-28 — sP M81 (Merrill Lynch) MSCI EM ARN ISSUER CIBC CAP 18.78% sV 1,046.71 DUE 08/30/19 [oT] Purchase Self $15,001 - $50,000 20009819 { } 431 2018-06-28 — sP M81 (Merrill Lynch) R2000 ARNS ISSUER bNs CAP 13.17% sV 1,645.017 DUE 08/30/19 [oT] Purchase Self $50,001 - $100,000 20009819 { } 432 2018-06-28 — The Travelers Companies, Inc. (TRV) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 433 2018-06-27 — JPMoRgaN FEDERAL MONEY MARKET FUND [oT] Sale (partial) SP $1,001 - $15,000 20012046 { } 434 2018-06-21 — 3M Company (MMM) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 435 2018-06-21 — sP M81 (Merrill Lynch) Intuit Inc. (INTU) [sT] Purchase Self $1,001 - $15,000 20009819 { } 436 2018-06-21 — Northrop grumman Corporation (NOC) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 437 2018-06-21 — sP M81 (Merrill Lynch) TJX Companies, Inc. (TJX) [sT] Purchase Self $1,001 - $15,000 20009819 { } 438 2018-06-21 — sP M81 (Merrill Lynch) United Technologies Corporation (UTX) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 439 2018-06-21 — sP M81 (Merrill Lynch) Visa Inc. (V) [sT] s (partial) Self $1,001 - $15,000 20009819 { } 440 2018-06-20 — ISHARES MSCI EAFE ETF [oT] Sale (partial) SP $15,001 - $50,000 20012046 { } 441 2018-05-25 — SX5E CLIRN ISSUER BAC CAP 24.90% [oT] Sale Self $100,001 - $250,000 20009664 { } 442 2018-05-24 — sP M81 (Merrill Lynch) FIN BASKET ARN Iss BOFA CAP 18.06% [oT] Purchase Self $50,001 - $100,000 20009664 { } 443 2018-05-24 — SX5E STEPUP ISSUER BOFA STEP 15.20% [oT] Purchase Self $50,001 - $100,000 20009664 { } 444 2018-05-07 — Automatic Data Processing, Inc. (ADP) [sT] s (partial) Self $1,001 - $15,000 20009664 { } 445 2018-05-07 — NextEra Energy, Inc. (NEE) [sT] s (partial) Self $1,001 - $15,000 20009664 { } 446 2018-05-07 — sP M81 (Merrill Lynch) Northrop grumman Corporation (NOC) [sT] Purchase Self $1,001 - $15,000 20009664 { } 447 2018-05-01 — sP M81 (Merrill Lynch) Diageo plc (DEO) [sT] Purchase Self $1,001 - $15,000 20009664 { } 448 2018-05-01 — sP M81 (Merrill Lynch) Pepsico, Inc. (PEP) [sT] Purchase Self $1,001 - $15,000 20009664 { } 449 2018-05-01 — Walt Disney Company (DIS) [sT] Purchase Self $1,001 - $15,000 20009664 { } 450 2018-04-27 — SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18 Sale SP $50,001 - $100,000 20009504 { } 451 2018-04-26 — sP M81 (Merrill Lynch) R2000 STEPUP ISSUER bNs STEP 30.00% [oT] Purchase Self $50,001 - $100,000 20009664 { } 452 2018-04-25 — Procter & gamble Company (Pg) Sale SP $1,001 - $15,000 20009504 { } 453 2018-04-24 — Procter & gamble Company (Pg) Sale (partial) SP $1,001 - $15,000 20009504 { } 454 2018-04-23 MO Altria group, Inc. Sale SP $1,001 - $15,000 20009504 { } 455 2018-04-23 NOC Northrop grumman Corporation Purchase SP $1,001 - $15,000 20009504 { } 456 2018-04-23 — Procter & gamble Company (Pg) Sale (partial) SP $1,001 - $15,000 20009504 { } 457 2018-04-23 SYK Stryker Corporation Purchase SP $1,001 - $15,000 20009504 { } 458 2018-04-11 — CALAMOS STRAT TOT RETURN Purchase SP $1,001 - $15,000 20009504 { } 459 2018-04-11 — FIRST TR EXCHANGE TRADED Purchase SP $1,001 - $15,000 20009504 { } 460 2018-04-11 VPU Vanguard Utilities ETF Purchase SP $1,001 - $15,000 20009504 { } 461 2018-03-28 — FIRST TR EXCHANGE TRADED FD DOW JONES IN ACTUAL PRICES Purchase SP $1,001 - $15,000 20009212 { } 462 2018-03-28 — JPMORGAN FEDERAL MONEY MARKET FUND Purchase SP $1,001 - $15,000 20009212 { } 463 2018-03-28 — R2000 CLIRNS ISSUER CIBC CAP 20.40% SV 1,075.699 DUE 03/28/18 Sale SP $100,001 - $250,000 20009212 { } 464 2018-03-28 — SP500 CLIRN ISSUER BAC CAP 16.60% SV 2,036.71 DUE 03/28/18 Sale SP $15,001 - $50,000 20009212 { } 465 2018-03-28 — SX5E CLIRN ISSUER CS CAP 25.65% SV 3,444.73 DUE 08/30/19 Sale SP $50,001 - $100,000 20009212 { } 466 2018-03-28 — SX5E CLIRN ISSUER CS CAP 25.65% SV 3,444.73 DUE 08/30/19 Sale SP $50,001 - $100,000 20009212 { } 467 2018-03-28 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 Purchase SP $15,001 - $50,000 20009212 { } 468 2018-03-28 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,331.25 DUE 03/25/21 Purchase SP $50,001 - $100,000 20009212 { } 469 2018-03-26 — R2000 CLIRN ISSUER CIBC CAP 16.00% SV 1,417.127 DUE 04/26/19 Purchase SP $100,001 - $250,000 20009212 { } 470 2018-03-15 — CAPITAL INCOME BUILDER CL A Purchase SP $1,001 - $15,000 20009212 { } 471 2018-03-14 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20009212 { } 472 2018-03-13 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20009212 { } 473 2018-03-13 TRV The Travelers Companies, Inc. Purchase SP $1,001 - $15,000 20009212 { } 474 2018-03-12 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20009212 { } 475 2018-03-12 TRV The Travelers Companies, Inc. Purchase SP $1,001 - $15,000 20009212 { } 476 2018-03-09 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20009212 { } 477 2018-03-09 TRV The Travelers Companies, Inc. Purchase SP $1,001 - $15,000 20009212 { } 478 2018-03-08 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20009212 { } 479 2018-03-08 JPM JP Morgan Chase & Co. Sale SP $1,001 - $15,000 20009212 { } 480 2018-03-08 TRV The Travelers Companies, Inc. Purchase SP $1,001 - $15,000 20009212 { } 481 2018-03-05 — SX5E CLIRN ISSUER CS CAP 25.65% SV 3,444.73 DUE 08/30/19 Sale SP $1,001 - $15,000 20009212 { } 482 2018-02-26 SYK 2000036474 sP stryker Corporation Purchase Self $1,001 - $15,000 20009095 { } 483 2018-02-26 ACN Accenture plc Class A Ordinary Shares Purchase SP $1,001 - $15,000 20009063 { } 484 2018-02-26 AAPL Apple Inc. Purchase SP $1,001 - $15,000 20009063 { } 485 2018-02-26 XOM Exxon Mobil Corporation Sale SP $1,001 - $15,000 20009063 { } 486 2018-02-26 NOC Northrop grumman Corporation Purchase SP $1,001 - $15,000 20009063 { } 487 2018-02-26 PFE Pfizer, Inc. Sale SP $1,001 - $15,000 20009063 { } 488 2018-02-26 — Royal Dutch Shell PLC Royal Dutch Shell PLC American Depositary Shares (RDS.b) Sale SP $1,001 - $15,000 20009063 { } 489 2018-02-26 SYK Stryker Corporation Purchase SP $1,001 - $15,000 20009063 { } 490 2018-02-26 UNH UnitedHealth group Incorporated Common Stock Sale SP $1,001 - $15,000 20009063 { } 491 2018-02-26 VZ Verizon Communications Inc. Sale SP $1,001 - $15,000 20009063 { } 492 2018-02-26 ZTS Zoetis Inc. Class A Purchase SP $1,001 - $15,000 20009063 { } 493 2018-02-23 — RIO GRANDE CITY TEX CONS ISD ULTD b PSF GTD OID OCT15 03.500%AUG15 2037 Sale SP $15,001 - $50,000 20009063 { } 494 2018-02-22 — AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 Purchase SP $50,001 - $100,000 20009212 { } 495 2018-02-22 — AAPL ARN ISSUER HSBC CAP 21.60% SV 172.95 DUE 04/26/19 Purchase SP $15,001 - $50,000 20009212 { } 496 2018-02-21 — R2000 CLIRN ISSUER BAC CAP 17.92% SV 1,334.341 DUE 11/21/18 Purchase SP $50,001 - $100,000 20009063 { } 497 2018-02-16 — R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,375.595 DUE 01/28/22 Sale SP $50,001 - $100,000 20009063 { } 498 2018-02-14 FDN First Trust DJ Internet Index Fund Purchase SP $1,001 - $15,000 20009063 { } 499 2018-02-14 QQQ PowerShares QQQ Trust, Series 1 Purchase SP $1,001 - $15,000 20009063 { } 500 2018-02-13 QQQ PowerShares QQQ Trust, Series 1 Purchase SP $1,001 - $15,000 20009063 { } 501 2018-02-13 DIA SPDR Dow Jones Industrial Average ETF Purchase SP $1,001 - $15,000 20009063 { } 502 2018-02-13 SPY SPDR S&P 500 Purchase SP $1,001 - $15,000 20009063 { } 503 2018-02-13 — SX5E ARN ISSUER BOFA CAP 17.70% SV 3,637.20 DUE 12/21/18 Sale SP $15,001 - $50,000 20009063 { } 504 2018-02-13 — SX5E CLIRN ISSUER BAC CAP 24.90% SV 3,071.21 DUE 05/25/18 Purchase SP $15,001 - $50,000 20009063 { } 505 2018-02-13 — SX5E STEPUP ISSUER BOFA STEP 26.91% SV 3,563.64 DUE 09/26/19 Purchase SP $50,001 - $100,000 20009063 { } 506 2018-02-09 — SP500 STEPUP ISSUER HSBC STEP 35.00% SV 2,296.68 Sale SP $100,001 - $250,000 20009063 { } 507 2018-02-09 — SP500 STEPUP ISSUER HSBC STEP 35.00% SV 2,296.68 DUE 01/27/23 Sale SP $15,001 - $50,000 20009063 { } 508 2018-02-07 MSFT Microsoft Corporation Purchase SP $1,001 - $15,000 20009063 { } 509 2018-02-07 V Visa Inc. Purchase SP $1,001 - $15,000 20009063 { } 510 2018-02-06 — DAVIS NY VENTURE FD CL C Sale SP $50,001 - $100,000 20009063 { } 511 2018-02-06 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 Purchase SP $50,001 - $100,000 20009063 { } 512 2018-02-01 MET MetLife, Inc. Sale SP $1,001 - $15,000 20009063 { } 513 2018-01-31 MET MetLife, Inc. Sale SP $1,001 - $15,000 20008867 { } 514 2018-01-26 — MSCI EM ARN ISSUER SEK CAP 17.65% SV 857.45 DUE 01/26/18 Sale SP $50,001 - $100,000 20008867 { } 515 2018-01-25 — R2000 ARN ISSUER RBC CAP 12.75% SV 1,601.669 DUE 03/29/19 Purchase SP $50,001 - $100,000 20008867 { } 516 2018-01-22 BAC bank of America Corporation Sale SP $15,001 - $50,000 20008867 { } 517 2018-01-22 — general Electric Company (gE) Purchase SP $15,001 - $50,000 20008867 { } 518 2018-01-19 — SX5E CLIRN ISSUER BAC CAP 24.90% SV 3,071.21 DUE 05/25/18 Purchase SP $1,001 - $15,000 20008867 { } 519 2018-01-16 ACN Accenture plc Class A Ordinary Shares Purchase SP $1,001 - $15,000 20008867 { } 520 2018-01-16 ADP Automatic Data Processing, Inc. Purchase SP $1,001 - $15,000 20008867 { } 521 2018-01-16 INTC Intel Corporation Sale SP $1,001 - $15,000 20008867 { } 522 2018-01-16 PM Philip Morris International Inc Sale SP $1,001 - $15,000 20008867 { } 523 2018-01-16 — Royal Dutch Shell PLC Royal Dutch Shell PLC American Depositary Shares (RDS.b) Purchase SP $1,001 - $15,000 20008867 { } 524 2018-01-16 WM Waste Management, Inc. Purchase SP $1,001 - $15,000 20008867 { } 525 2018-01-16 ZTS Zoetis Inc. Class A Purchase SP $1,001 - $15,000 20008867 { } 526 2018-01-12 ACN Accenture plc Class A Ordinary Shares Purchase SP $1,001 - $15,000 20008867 { } 527 2018-01-12 MO Altria group, Inc. Purchase SP $1,001 - $15,000 20008867 { } 528 2018-01-12 AEP American Electric Power Company, Inc. Sale SP $1,001 - $15,000 20008867 { } 529 2018-01-12 ADP Automatic Data Processing, Inc. Purchase SP $1,001 - $15,000 20008867 { } 530 2018-01-12 KO Coca-Cola Company Sale SP $15,001 - $50,000 20008867 { } 531 2018-01-12 D Dominion Energy, Inc. Sale SP $1,001 - $15,000 20008867 { } 532 2018-01-12 XOM Exxon Mobil Corporation Purchase SP $1,001 - $15,000 20008867 { } 533 2018-01-12 HD Home Depot, Inc. Sale SP $1,001 - $15,000 20008867 { } 534 2018-01-12 INTC Intel Corporation Sale SP $1,001 - $15,000 20008867 { } 535 2018-01-12 OXY Occidental Petroleum Corporation Sale SP $1,001 - $15,000 20008867 { } 536 2018-01-12 PEP Pepsico, Inc. Purchase SP $1,001 - $15,000 20008867 { } 537 2018-01-12 PM Philip Morris International Inc Sale SP $15,001 - $50,000 20008867 { } 538 2018-01-12 — Royal Dutch Shell PLC Royal Dutch Shell PLC American Depositary Shares (RDS.b) Purchase SP $1,001 - $15,000 20008867 { } 539 2018-01-12 KHC The Kraft Heinz Company Sale SP $1,001 - $15,000 20008867 { } 540 2018-01-12 WM Waste Management, Inc. Purchase SP $1,001 - $15,000 20008867 { } 541 2018-01-12 ZTS Zoetis Inc. Class A Purchase SP $1,001 - $15,000 20008867 { } 542 2018-01-05 — ARLINGTON TEX HIGHER ED FIN CORP ED REV REV A JUL16 05.000%DEC01 2051 Sale SP $50,001 - $100,000 20008867 { } 543 2018-01-04 — SX5E CLIRN ISSUER BAC CAP 24.90% SV 3,071.21 DUE 05/25/18 Purchase SP $50,001 - $100,000 20008867 { } 544 2018-01-02 — JPMORGAN HIGH YIELD FUND Purchase SP $1,001 - $15,000 20008867 { } 545 2017-12-22 — SP500 CLIRNS ISSUER BNS CAP 16.40% SV 2,038.97 DUE 12/22/17 Sale SP $15,001 - $50,000 20008658 { } 546 2017-12-21 — R2000 ARN ISSUER SEK CAP 11.55% SV 1,547.107 DUE 02/22/19 Purchase SP $15,001 - $50,000 20008658 { } 547 2017-12-12 DEO Diageo plc Purchase SP $1,001 - $15,000 20008658 { } 548 2017-12-11 DEO Diageo plc Purchase SP $1,001 - $15,000 20008658 { } 549 2017-12-08 KO Coca-Cola Company Sale SP $1,001 - $15,000 20008658 { } 550 2017-12-08 DEO Diageo plc Purchase SP $1,001 - $15,000 20008658 { } 551 2017-12-08 PM Philip Morris International Inc Sale SP $1,001 - $15,000 20008658 { } 552 2017-12-08 SPG Simon Property group, Inc. Sale SP $1,001 - $15,000 20008658 { } 553 2017-12-08 UNH UnitedHealth group Incorporated Common Stock Purchase SP $1,001 - $15,000 20008658 { } 554 2017-12-08 WMT Wal-Mart Stores, Inc. Sale SP $1,001 - $15,000 20008658 { } 555 2017-12-01 — R2000 CLIRN ISSUER BAC CAP 17.92% Purchase SP $50,001 - $100,000 20008658 { } 556 2017-12-01 — SP500 CLIRN ISSUER BAC CAP 14.80% SV 2,075.81 DUE 04/27/18 Sale SP $50,001 - $100,000 20008658 { } 557 2017-11-30 T AT&T Inc. Purchase SP $1,001 - $15,000 20008516 { } 558 2017-11-30 TRMB Trimble Inc. Sale SP $1,001 - $15,000 20008516 { } 559 2017-11-28 — SP500 CLIRN ISSUER BAC CAP 16.60% SV 2,036.71 DUE 03/28/18 Sale SP $50,001 - $100,000 20008516 { } 560 2017-11-28 — SX5E CLIRN ISSUER BOFA CAP 25.90% SV 3,333.96 DUE 02/22/19 Purchase SP $50,001 - $100,000 20008516 { } 561 2017-11-22 — R2000 ARN ISSUER SEK CAP 13.83% Sale SP $50,001 - $100,000 20008516 { } 562 2017-11-22 — R2000 ARN ISSUER SEK CAP 13.83% Sale SP $50,001 - $100,000 20008516 { } 563 2017-11-21 — SX5E STEPUP ISSUER CS STEP 30.00% SV 3,579.32 DUE 11/27/20 Purchase SP $15,001 - $50,000 20008658 { } 564 2017-11-21 — R2000 ARN ISSUER HSBC CAP 12.75% SV 1,518.89 DUE 01/24/19 Purchase SP $50,001 - $100,000 20008516 { } 565 2017-11-21 — SPDR DOW JONES INDUST AV ETF TRUST Sale SP $1,001 - $15,000 20008516 { } 566 2017-11-21 — SX5E ARN ISSUER BOFA CAP 19.23% SV 3,579.32 DUE 01/25/19 Purchase SP $50,001 - $100,000 20008516 { } 567 2017-11-20 CSCO Cisco Systems, Inc. Sale SP $1,001 - $15,000 20008516 { } 568 2017-11-20 ELGX Endologix, Inc. Sale SP $1,001 - $15,000 20008516 { } 569 2017-11-20 — SX5E LIRN ISSUER HSBC PART 118.00% SV 3,669.79 DUE 03/27/20 Sale SP $15,001 - $50,000 20008516 { } 570 2017-11-15 — general Electric Company (gE) Sale SP $1,001 - $15,000 20008516 { } 571 2017-11-15 NOC Northrop grumman Corporation Purchase SP $1,001 - $15,000 20008516 { } 572 2017-11-03 RTN Raytheon Company Purchase SP $1,001 - $15,000 20008516 { } 573 2017-11-03 KHC The Kraft Heinz Company Sale SP $1,001 - $15,000 20008516 { } 574 2017-10-27 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 Sale SP $100,001 - $250,000 20008329 { } 575 2017-10-26 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,560.40 DUE 12/21/18 Purchase SP $50,001 - $100,000 20008329 { } 576 2017-10-26 — SX5E ARN ISSUER BOFA CAP 17.70% SV 3,637.20 DUE 12/21/18 Purchase SP $15,001 - $50,000 20008329 { } 577 2017-10-19 — POWERSHARES QQQ TRUST SE 1 Purchase JT $1,001 - $15,000 20008329 { } 578 2017-10-19 — SPDR DOW JONES INDUST AV ETF TRUST Purchase JT $15,001 - $50,000 20008329 { } 579 2017-10-19 — VANGUARD 500 INDEX FUND SHS ETF Purchase JT $15,001 - $50,000 20008329 { } 580 2017-10-19 — VANGUARD FTSE DEVELOPED MARKETS ETF Purchase JT $15,001 - $50,000 20008329 { } 581 2017-10-17 AXP American Express Company Sale SP $1,001 - $15,000 20008329 { } 582 2017-10-17 JPM JP Morgan Chase & Co. Sale SP $1,001 - $15,000 20008329 { } 583 2017-10-17 UNH unitedHealth group Incorporated Common Stock Sale SP $1,001 - $15,000 20008329 { } 584 2017-10-04 PNC PNC Financial Services group, Inc. Purchase SP $15,001 - $50,000 20008329 { } 585 2017-10-04 DIS Walt Disney Company Sale SP $1,001 - $15,000 20008329 { } 586 2017-10-02 — u.S. bancorp (uSb) Sale SP $1,001 - $15,000 20008329 { } 587 2017-09-29 — R2000 ARN ISSUER SEK CAP 14.28% SV 1,217.325 DUE 09/29/17 Sale SP $50,001 - $100,000 20008172 { } 588 2017-09-29 — SX5E STEPUP ISSUER BAC STEP 21.70% SV 3,019.34 DUE 09/29/17 Sale SP $15,001 - $50,000 20008172 { } 589 2017-09-29 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,221.14 DUE 09/28/18 Sale SP $50,001 - $100,000 20008172 { } 590 2017-09-28 — R2000 STEPUP ISSUER BARC STEP 35.00% SV 1,488.786 DUE 09/30/22 Purchase SP $50,001 - $100,000 20008172 { } 591 2017-09-28 — SX5E STEPUP ISSUER BNS STEP 30.00% SV 3,563.64 DUE 09/24/20 Purchase SP $50,001 - $100,000 20008172 { } 592 2017-09-28 — SX5E STEPUP ISSUER BNS STEP 30.00% SV 3,563.64 DUE 09/24/20 Purchase SP $15,001 - $50,000 20008172 { } 593 2017-09-26 BNS bank Nova Scotia Halifax Pfd 3 Ordinary Shares Purchase SP $1,001 - $15,000 20008172 { } 594 2017-09-25 BNS bank Nova Scotia Halifax Pfd 3 Ordinary Shares Purchase SP $1,001 - $15,000 20008172 { } 595 2017-09-25 — Royal Dutch Shell PLC Royal Dutch Shell PLC American Depositary Shares (RDS.b) Purchase SP $1,001 - $15,000 20008172 { } 596 2017-09-22 BNS bank Nova Scotia Halifax Pfd 3 Ordinary Shares Purchase SP $1,001 - $15,000 20008172 { } 597 2017-09-22 XOM Exxon Mobil Corporation Sale SP $1,001 - $15,000 20008172 { } 598 2017-09-22 MET MetLife, Inc. Sale SP $1,001 - $15,000 20008172 { } 599 2017-09-22 OXY Occidental Petroleum Corporation Sale SP $1,001 - $15,000 20008172 { } 600 2017-09-22 — Royal Dutch Shell PLC Royal Dutch Shell PLC American Depositary Shares (RDS.b) Purchase SP $1,001 - $15,000 20008172 { } 601 2017-09-22 USB U.S. bancorp Sale SP $1,001 - $15,000 20008172 { } 602 2017-09-21 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,415.07 DUE 07/27/18 Purchase SP $50,001 - $100,000 20008172 { } 603 2017-09-19 — SP500 ARN ISSUER BOFA CAP 10.00% SV 2,388.77 DUE 06/29/18 Purchase SP $50,001 - $100,000 20008172 { } 604 2017-09-19 — SX5E STEPUP ISSUER BAC STEP 27.90% SV 3,044.33 DUE 11/26/18 Purchase SP $50,001 - $100,000 20008172 { } 605 2017-09-01 — DU PONT E I DE NEMOURS PAY DATE 09/01/2017 Exchange SP $15,001 - $50,000 20008172 { } 606 2017-08-28 — RIO GRANDE CITY TEX CONS ISD SER b RF PSF GTD OID OCT15 03.500%AUG15 2037 Purchase SP $50,001 - $100,000 20008162 { } 607 2017-08-25 KO Coca-Cola Company Purchase SP $1,001 - $15,000 20008162 { } 608 2017-08-25 CVS CVS Health Corporation Sale SP $1,001 - $15,000 20008162 { } 609 2017-08-25 PM Philip Morris International Inc Purchase SP $1,001 - $15,000 20008162 { } 610 2017-08-25 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 Sale SP $100,001 - $250,000 20008162 { } 611 2017-08-25 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 Sale SP $100,001 - $250,000 20008162 { } 612 2017-08-25 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 Sale SP $15,001 - $50,000 20008162 { } 613 2017-08-25 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 Sale SP $100,001 - $250,000 20008162 { } 614 2017-08-25 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,280.78 DUE 08/31/18 Sale SP $15,001 - $50,000 20008162 { } 615 2017-08-24 KO Coca-Cola Company Purchase SP $1,001 - $15,000 20008162 { } 616 2017-08-24 CVS CVS Health Corporation Sale SP $1,001 - $15,000 20008162 { } 617 2017-08-24 PM Philip Morris International Inc Purchase SP $1,001 - $15,000 20008162 { } 618 2017-08-24 — SX5E CLIRN ISSUER CS CAP 25.65% SV 3,444.73 DUE 08/30/19 Purchase SP $50,001 - $100,000 20008162 { } 619 2017-08-24 — SX5E CLIRN ISSUER CS CAP 25.65% SV 3,444.73 DUE 08/30/19 Purchase SP $50,001 - $100,000 20008162 { } 620 2017-08-24 — SX5E STEPUP ISSUER HSBC STEP 40.00% SV 3,444.73 DUE 08/25/22 Purchase SP $50,001 - $100,000 20008162 { } 621 2017-08-24 — SX5E STEPUP ISSUER HSBC STEP 40.00% SV 3,444.73 DUE 08/25/22 Purchase SP $50,001 - $100,000 20008162 { } 622 2017-08-09 BHF brighthouse Financial, Inc. Sale SP $1,001 - $15,000 20008162 { } 623 2017-08-09 INTC Intel Corporation Sale SP $1,001 - $15,000 20008162 { } 624 2017-08-09 IBM International business Machines Corporation Sale SP $1,001 - $15,000 20008162 { } 625 2017-08-09 MET MetLife, Inc. Sale SP $1,001 - $15,000 20008162 { } 626 2017-08-09 V Visa Inc. Purchase SP $15,001 - $50,000 20008162 { } 627 2017-08-08 BHF brighthouse Financial, Inc. Sale SP $1,001 - $15,000 20008162 { } 628 2017-08-07 JPM JP Morgan Chase & Co. Sale SP $1,001 - $15,000 20008162 { } 629 2017-07-19 RTN sP M81 (Merrill Lynch) Raytheon Company Purchase Self $1,001 - $15,000 20007730 { } 630 2017-07-18 MMM 3M Company Sale Self $1,001 - $15,000 20007730 { } 631 2017-07-18 DD E.I. du Pont de Nemours and Company Sale Self $1,001 - $15,000 20007730 { } 632 2017-07-18 — sP M81 (Merrill Lynch) general Electric Company (gE) Sale Self $1,001 - $15,000 20007730 { } 633 2017-07-18 MCD sP M81 (Merrill Lynch) McDonald's Corporation Sale Self $1,001 - $15,000 20007730 { } 634 2017-07-18 MSFT sP M81 (Merrill Lynch) Microsoft Corporation Sale Self $1,001 - $15,000 20007730 { } 635 2017-07-18 RTN sP M81 (Merrill Lynch) Raytheon Company Purchase Self $1,001 - $15,000 20007730 { } 636 2017-07-18 — sP M81 (Merrill Lynch) simon Property group, Inc. (sPg) Sale Self $1,001 - $15,000 20007730 { } 637 2017-07-18 UTX sP M81 (Merrill Lynch) United Technologies Corporation Sale Self $1,001 - $15,000 20007730 { } 638 2017-07-18 VZ sP M81 (Merrill Lynch) Verizon Communications Inc. Purchase Self $1,001 - $15,000 20007730 { } 639 2017-07-12 — sP M81 (Merrill Lynch) American Funds Tax Exempt Bond Fd Purchase Self $50,001 - $100,000 20007730 { } 640 2017-07-12 — Bond Fund of America Cl A Exchange Self $1,001 - $15,000 20007730 { } 641 2017-07-12 — Capital Income Builder Cl A Exchange Self $1,001 - $15,000 20007730 { } 642 2017-07-12 — sP M81 (Merrill Lynch) Washington Mutual Investors Fund CL Exchange Self $1,001 - $15,000 20007730 { } 643 2017-07-12 — Washington Mutual Investors Fund CL Exchange Self $1,001 - $15,000 20007730 { } 644 2017-07-12 — Wimberley Tex ISD school Bonds Sale Self $15,001 - $50,000 20007730 { } 645 2017-06-28 — sP500 ARN ISSUER CIBC CAP 11.94% sV 2,716.31 DUE 08/30/19 [oT] Purchase Self $15,001 - $50,000 20009819 { } 646 2017-06-27 — sP M81 (Merrill Lynch) Apple Inc. (AAPL) [sT] Purchase Self $15,001 - $50,000 20009819 { } 647 2017-06-27 — schlumberger N.V. (sLb) [sT] Sale Self $1,001 - $15,000 20009819 { } 648 2017-05-15 — deere & Company (dE) Sale SP $1,001 - $15,000 20007393 { } 649 2017-05-15 TRMB Trimble Inc. Sale SP $1,001 - $15,000 20007393 { } 650 2017-05-12 — R2000 CLIRNS ISSUER CIBC CAP 20.40% Sale SP $15,001 - $50,000 20007393 { } 651 2017-05-08 — R2000 CLIRN ISSUER CIBC CAP 18.18% Sale SP $50,001 - $100,000 20007393 { } 652 2017-05-03 CWEI Clayton Williams Energy, Inc. Exchange SP $50,001 - $100,000 20007468 { } 653 2017-05-03 CWEI Clayton Williams Energy, Inc. Exchange JT $50,001 - $100,000 20007468 { } 654 2017-05-03 NBL Noble Energy Inc. Exchange JT $50,001 - $100,000 20007468 { } 655 2017-05-03 NBL Noble Energy Inc. Exchange SP $50,001 - $100,000 20007468 { } 656 2017-05-03 — SX5E STEPUP ISSUER HSBC STEP 30.00% Purchase SP $15,001 - $50,000 20007393 { } 657 2017-05-02 — R2000 ARN ISSUER SEK CAP 14.37% Sale SP $50,001 - $100,000 20007393 { } 658 2017-05-02 — R2000 ARN ISSUER SEK CAP 14.37% Sale SP $1,001 - $15,000 20007393 { } 659 2017-04-28 — SP500 ARN ISSUER BAC CAP 15.42% SV 1,951.70 DUE 04/28/17 Sale SP $15,001 - $50,000 20007185 { } 660 2017-04-25 — SX5E STEPUP ISSUER HSBC STEP 30.00% SV 3,221.14 DUE 09/28/18 Purchase SP $50,001 - $100,000 20007185 { } 661 2017-04-20 — GOLDMAN SACHS CAPITAL II - VAR% PERPETUAL Sale SP $15,001 - $50,000 20007185 { } 662 2017-04-20 — GOLDMAN SACHS CAPITAL II - VAR% PERPETUAL Sale SP $15,001 - $50,000 20007185 { } 663 2017-04-20 — MSCI EM ARN ISSUER SEK CAP 17.65% SV 857.45 DUE 01/26/18 Purchase SP $50,001 - $100,000 20007185 { } 664 2017-04-20 — R2000 ARN ISSUER SEK CAP 13.83% SV 1,237.751 DUE 11/22/17 Purchase SP $50,001 - $100,000 20007185 { } 665 2017-04-20 — WELLS FARGO & COMPANY JR SUBORDNTD SER K GLB VAR% PERPETUAL CALLABLE Sale SP $15,001 - $50,000 20007185 { } 666 2017-04-20 — WELLS FARGO & COMPANY JR Sale SP $15,001 - $50,000 20007185 { } 667 2017-04-19 ABT Abbott Laboratories Sale SP $15,001 - $50,000 20007185 { } 668 2017-04-19 IBM International Business Machines Corporation Purchase SP $1,001 - $15,000 20007185 { } 669 2017-04-19 IBM International Business Machines Corporation Purchase SP $1,001 - $15,000 20007185 { } 670 2017-04-17 — UIT FIRST TRUST GLOBAL DIVID PORT SER 42 MONTHLY REINVEST Sale SP $100,001 - $250,000 20007185 { } 671 2017-04-03 — SX5E ARN ISSUER BOFA CAP 19.80% SV 3,333.96 DUE 04/27/18 Purchase SP $50,001 - $100,000 20007185 { } 672 2017-03-24 AXP American Express Company Purchase Self $1,001 - $15,000 20006989 { } 673 2017-03-24 AXP sP M81 (Merrill Lynch) American Express Company Purchase Self $1,001 - $15,000 20006989 { } 674 2017-03-24 PM Philip Morris International Inc Sale Self $1,001 - $15,000 20006989 { } 675 2017-03-24 PM sP M81 (Merrill Lynch) Philip Morris International Inc Sale Self $1,001 - $15,000 20006989 { } 676 2017-03-24 KHC The Kraft Heinz Company Sale Self $1,001 - $15,000 20006989 { } 677 2017-03-24 KHC sP M81 (Merrill Lynch) The Kraft Heinz Company Sale Self $1,001 - $15,000 20006989 { } 678 2017-03-24 TMO sP M81 (Merrill Lynch) Thermo Fisher scientific Inc Sale Self $15,001 - $50,000 20006989 { } 679 2017-03-24 UNH UnitedHealth group Incorporated Common stock Purchase Self $1,001 - $15,000 20006989 { } 680 2017-03-24 UNH UnitedHealth group Incorporated Common stock Purchase Self $1,001 - $15,000 20006989 { } 681 2017-03-21 — UIT FRIST TRUST EQUITY INCOME PoRTFoLIo SER 54 MONTHLY Purchase Self $15,001 - $50,000 20006989 { } 682 2017-03-15 — sP M81 (Merrill Lynch) DJIA LIRN ISSUER RBC PART 111.30% sV 16,846.1 DUE 06/28/19 Sale Self $15,001 - $50,000 20006989 { } 683 2017-03-15 — INDU BUF CAP PART NTS CAP 66.45% sV 17,900.10 DUE 12/27/19 BUF 30.00% Sale Self $50,001 - $100,000 20006989 { } 684 2017-03-15 — sP M81 (Merrill Lynch) R2000 ARN ISSUER SEK CAP 13.83% sV 1,237.751 DUE 11/22/17 Purchase Self $50,001 - $100,000 20006989 { } 685 2017-03-15 — R2000 ARN ISSUER SEK CAP 14.28% sV 1,217.325 DUE 09/29/17 Purchase Self $50,001 - $100,000 20006989 { } 686 2017-03-07 — sP M81 (Merrill Lynch) UIT FIRST TRUST SER 24 INTL CAP STRENGTH PORT Sale Self $15,001 - $50,000 20006989 { } 687 2017-02-17 — R2000 CLIRNS ISSUER CIBC CAP 20.40% SV 1,075.699 DUE 03/28/18 Purchase SP $50,001 - $100,000 20006839 { } 688 2017-02-06 — R2000 CLIRNS ISSUER CIBC CAP 20.40% SV 1,075.699 DUE 03/28/18 Purchase SP $15,001 - $50,000 20006839 { } 689 2017-02-03 — INNATE IMMUNOTHERAPEUTIC AUD PAR ORDINARY Purchase JT $1,001 - $15,000 20006839 { } 690 2017-01-26 — INNATE IMMUNOTHERAPEUTIC AUD PAR ORDINARY Purchase JT $1,001 - $15,000 20006694 { } 691 2017-01-26 — R2000 STEPUP ISSUER BARC STEP 35.00% Purchase SP $15,001 - $50,000 20006694 { } 692 2017-01-26 — SP500 STEPUP ISSUER HSBC STEP 35.00% Purchase SP $15,001 - $50,000 20006694 { } 693 2017-01-26 — SP500 STEPUP ISSUER HSBC STEP 35.00% Purchase SP $50,001 - $100,000 20006694 { } 694 2017-01-19 — SPX/SX5E STEPUP ISS HSBC STEP 22.80% Purchase SP $50,001 - $100,000 20006694 { } 695 2017-01-19 — US BANCORP JR SUBORDNTD Sale SP $15,001 - $50,000 20006694 { } 696 2017-01-19 — WELLS FARGO & COMPANY JR SUBORDNTD SER Sale SP $15,001 - $50,000 20006694 { } 697 2017-01-18 JPM JP Morgan Chase & Co. Sale SP $1,001 - $15,000 20006694 { } 698 2017-01-18 PM Philip Morris International Inc Purchase SP $1,001 - $15,000 20006694 { } 699 2017-01-18 SPG Simon Property Group, Inc. Purchase SP $1,001 - $15,000 20006694 { } 700 2017-01-18 SPG Simon Property Group, Inc. Purchase SP $1,001 - $15,000 20006694 { } 701 2017-01-17 — SP500 CLIRN ISSUER CS CAP 19.85% Sale SP $100,001 - $250,000 20006694 { } 702 2017-01-17 — SP500 CLIRN ISSUER CS CAP 19.85% Sale SP $15,001 - $50,000 20006694 { } 703 2017-01-17 — SP500 STEPUP ISSUER BNS STEP 16.30% Sale SP $100,001 - $250,000 20006694 { } 704 2016-12-30 — KMC Inc Sale Self $1,001 - $15,000 20006700 { } 705 2016-12-27 — R2000 CLIRN ISSUER CIBC CAP 18.18% SV 1,217.325 DUE 07/27/18 BUF 10% Purchase SP $50,001 - $100,000 20006448 { } 706 2016-12-27 — SP500 bEaRaRN ISS BARC CAP 13.5% SV 2090.10 DUE 07/28/17 Sale SP $50,001 - $100,000 20006448 { } 707 2016-12-07 — aRLINgToN TEX HIGHER ED FIN CORP ED REV SER a RF JUL16 05.000%DEC01 2051 Purchase SP $50,001 - $100,000 20006448 { } 708 2016-12-07 — TEXAS ST TRANSN COMMN-HWY IMPT MAY16 05.000%APR01 2041 Sale SP $50,001 - $100,000 20006448 { } 709 2016-10-28 — SP500 CLIRN ISSUER RBC CAP 12.02% SV 1,994.65 DUE 10/28/16 BUF 10.00% Sale SP $100,001 - $250,000 20006161 { } 710 2016-10-19 MET MetLife, Inc. Sale SP $1,001 - $15,000 20006161 { } 711 2016-10-18 MET MetLife, Inc. Sale SP $1,001 - $15,000 20006161 { } 712 2016-10-11 — SP500 CLIRN ISSUER BAC CAP 14.80% SV 2,075.81 DUE 04/27/18 Purchase SP $50,001 - $100,000 20006161 { } 713 2016-09-30 — SP500 CLIRN ISSUER BARC CAP 12.16% SV 1,965.99 DUE 09/30/16 Sale SP $15,001 - $50,000 20006029 { } 714 2016-09-29 — R2000 CLIRN ISSUER CIBC CAP 18.04% Purchase SP $15,001 - $50,000 20006161 { } 715 2016-09-27 — R2000 STEPUP ISSUER Db STEP 30.00% SV 1,031.58 DUE 02/25/19 Sale SP $50,001 - $100,000 20006029 { } 716 2016-09-27 — R2000 STEPUP ISSUER Db STEP 30.00% SV 1,031.58 DUE 02/25/19 Sale SP $15,001 - $50,000 20006029 { } 717 2016-09-27 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 Purchase SP $15,001 - $50,000 20006029 { } 718 2016-09-27 — SP500 CLIRN ISSUER BAC CAP 16.60% SV 2,036.71 DUE 03/28/18 BUF 10% Purchase SP $50,001 - $100,000 20006029 { } 719 2016-09-13 SSL Sasol Ltd. American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 720 2016-09-12 MMM 3M Company Purchase SP $15,001 - $50,000 20006029 { } 721 2016-09-12 ABT Abbott Laboratories Purchase SP $15,001 - $50,000 20006029 { } 722 2016-09-12 ABBV AbbVie Inc. Sale SP $1,001 - $15,000 20006029 { } 723 2016-09-12 AGN Allergan plc Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 724 2016-09-12 GOOGL Alphabet Inc. - Class A Sale SP $1,001 - $15,000 20006029 { } 725 2016-09-12 GOOG Alphabet Inc. - Class C Capital Stock Sale SP $1,001 - $15,000 20006029 { } 726 2016-09-12 AMZN Amazon.com, Inc. Sale SP $1,001 - $15,000 20006029 { } 727 2016-09-12 DOX Amdocs Limited - Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 728 2016-09-12 AMX America Movil, S.A.b. de C.V. American Depository Receipt Series L Sale SP $1,001 - $15,000 20006029 { } 729 2016-09-12 AEP American Electric Power Company, Inc. Purchase SP $1,001 - $15,000 20006029 { } 730 2016-09-12 AXP American Express Company Sale SP $1,001 - $15,000 20006029 { } 731 2016-09-12 AMP Ameriprise Financial, Inc. Sale SP $1,001 - $15,000 20006029 { } 732 2016-09-12 AME AMETEK, Inc. Sale SP $1,001 - $15,000 20006029 { } 733 2016-09-12 APH Amphenol Corporation Sale SP $1,001 - $15,000 20006029 { } 734 2016-09-12 AON Aon plc Class A Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 735 2016-09-12 AAPL Apple Inc. Sale SP $1,001 - $15,000 20006029 { } 736 2016-09-12 T AT&T Inc. Sale SP $1,001 - $15,000 20006029 { } 737 2016-09-12 ATHN athenahealth, Inc. Sale SP $1,001 - $15,000 20006029 { } 738 2016-09-12 AEXAY Atos Origin SA Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 739 2016-09-12 ANZBY Australia and New Zealand banking group Limited Sale SP $1,001 - $15,000 20006029 { } 740 2016-09-12 AXAHY AXA SA Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 741 2016-09-12 BAESY BAE SYSTEMS plc Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 742 2016-09-12 BMRN bioMarin Pharmaceutical Inc. Sale SP $1,001 - $15,000 20006029 { } 743 2016-09-12 BLK blackRock, Inc. Sale SP $1,001 - $15,000 20006029 { } 744 2016-09-12 BHKLY BOC Hong Kong Sale SP $1,001 - $15,000 20006029 { } 745 2016-09-12 BSX boston Scientific Corporation Sale SP $1,001 - $15,000 20006029 { } 746 2016-09-12 AVGO broadcom Limited - Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 747 2016-09-12 — broadridge Financial Solutions, Inc. Sale SP $1,001 - $15,000 20006029 { } 748 2016-09-12 CA CA Inc. Sale SP $1,001 - $15,000 20006029 { } 749 2016-09-12 CDNS Cadence Design Systems, Inc. Sale SP $1,001 - $15,000 20006029 { } 750 2016-09-12 CAH Cardinal Health, Inc. Sale SP $1,001 - $15,000 20006029 { } 751 2016-09-12 CRI Carter's, Inc. Sale SP $1,001 - $15,000 20006029 { } 752 2016-09-12 CBS CBS Corporation Class b Sale SP $1,001 - $15,000 20006029 { } 753 2016-09-12 CE Celanese Corporation Celanese Corporation Series A Sale SP $1,001 - $15,000 20006029 { } 754 2016-09-12 CELG Celgene Corporation Sale SP $1,001 - $15,000 20006029 { } 755 2016-09-12 CNC Centene Corporation Sale SP $1,001 - $15,000 20006029 { } 756 2016-09-12 CF CF Industries Holdings, Inc. Sale SP $1,001 - $15,000 20006029 { } 757 2016-09-12 CHTR Charter Communications, Inc. - Class A Sale SP $1,001 - $15,000 20006029 { } 758 2016-09-12 CVX Chevron Corporation Sale SP $1,001 - $15,000 20006029 { } 759 2016-09-12 CICHY China Construction bank Corporation Unsponsored ADR representing H shares Sale SP $1,001 - $15,000 20006029 { } 760 2016-09-12 CHL China Mobile Limited Sale SP $1,001 - $15,000 20006029 { } 761 2016-09-12 CMPR Cimpress N.V - Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 762 2016-09-12 CSCO Cisco Systems, Inc. Sale SP $1,001 - $15,000 20006029 { } 763 2016-09-12 C Citigroup, Inc. Sale SP $1,001 - $15,000 20006029 { } 764 2016-09-12 CTXS Citrix Systems, Inc. Sale SP $1,001 - $15,000 20006029 { } 765 2016-09-12 KO Coca-Cola Company Purchase SP $1,001 - $15,000 20006029 { } 766 2016-09-12 CTSH Cognizant Technology Solutions Corporation - Class A Sale SP $1,001 - $15,000 20006029 { } 767 2016-09-12 CMCSA Comcast Corporation - Class A Sale SP $1,001 - $15,000 20006029 { } 768 2016-09-12 CAG ConAgra Foods, Inc. Sale SP $1,001 - $15,000 20006029 { } 769 2016-09-12 CSGP CoStar group, Inc. Sale SP $1,001 - $15,000 20006029 { } 770 2016-09-12 COST Costco Wholesale Corporation Sale SP $1,001 - $15,000 20006029 { } 771 2016-09-12 CCI Crown Castle International Corp. Sale SP $1,001 - $15,000 20006029 { } 772 2016-09-12 CVS CVS Health Corporation Purchase SP $15,001 - $50,000 20006029 { } 773 2016-09-12 DHR Danaher Corporation Sale SP $1,001 - $15,000 20006029 { } 774 2016-09-12 DLPH Delphi Automotive plc Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 775 2016-09-12 XRAY DENTSPLY SIRONA Inc. Sale SP $1,001 - $15,000 20006029 { } 776 2016-09-12 DLAKY Deutsche Lufthansa A g Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 777 2016-09-12 DIISY Direct Line Insurance group PLC Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 778 2016-09-12 D Dominion Resources, Inc. Purchase SP $1,001 - $15,000 20006029 { } 779 2016-09-12 DOW Dow Chemical Company Sale SP $1,001 - $15,000 20006029 { } 780 2016-09-12 DNKN Dunkin' brands group, Inc. Sale SP $1,001 - $15,000 20006029 { } 781 2016-09-12 DD E.I. du Pont de Nemours and Company Purchase SP $15,001 - $50,000 20006029 { } 782 2016-09-12 ETN Eaton Corporation, PLC Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 783 2016-09-12 LLY Eli Lilly and Company Sale SP $1,001 - $15,000 20006029 { } 784 2016-09-12 ENLAY Enel Societa Per Azioni Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 785 2016-09-12 ETR Entergy Corporation Sale SP $1,001 - $15,000 20006029 { } 786 2016-09-12 ERIC Ericsson - ADS each representing 1 underlying Class b share Sale SP $1,001 - $15,000 20006029 { } 787 2016-09-12 EL Estee Lauder Companies, Inc. Sale SP $1,001 - $15,000 20006029 { } 788 2016-09-12 EXPD Expeditors International of Washington, Inc. Sale SP $1,001 - $15,000 20006029 { } 789 2016-09-12 XOM Exxon Mobil Corporation Purchase SP $1,001 - $15,000 20006029 { } 790 2016-09-12 — Facebook, Inc. - Class A (Fb) Sale SP $1,001 - $15,000 20006029 { } 791 2016-09-12 FIS Fidelity National Information Services, Inc. Sale SP $1,001 - $15,000 20006029 { } 792 2016-09-12 FITB Fifth Third bancorp Sale SP $1,001 - $15,000 20006029 { } 793 2016-09-12 FLEX Flex Ltd. - Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 794 2016-09-12 FLR Fluor Corporation Sale SP $1,001 - $15,000 20006029 { } 795 2016-09-12 F Ford Motor Company Sale SP $1,001 - $15,000 20006029 { } 796 2016-09-12 FTV Fortive Corporation Sale SP $1,001 - $15,000 20006029 { } 797 2016-09-12 IT gartner, Inc. Sale SP $1,001 - $15,000 20006029 { } 798 2016-09-12 — general Dynamics Corporation (gD) Sale SP $1,001 - $15,000 20006029 { } 799 2016-09-12 — general Electric Company (gE) Purchase SP $15,001 - $50,000 20006029 { } 800 2016-09-12 — general Motors Company (gM) Sale SP $1,001 - $15,000 20006029 { } 801 2016-09-12 GIL gildan Activewear, Inc. Class A Sub. Vot. Sale SP $1,001 - $15,000 20006029 { } 802 2016-09-12 HBI Hanesbrands Inc. Sale SP $1,001 - $15,000 20006029 { } 803 2016-09-12 HIG Hartford Financial Services group, Inc. Sale SP $1,001 - $15,000 20006029 { } 804 2016-09-12 HSIC Henry Schein, Inc. Sale SP $1,001 - $15,000 20006029 { } 805 2016-09-12 HD Home Depot, Inc. Purchase SP $1,001 - $15,000 20006029 { } 806 2016-09-12 HON Honeywell International Inc. Sale SP $1,001 - $15,000 20006029 { } 807 2016-09-12 ITYBY Imperial Tobacco group plc Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 808 2016-09-12 INTC Intel Corporation Purchase SP $1,001 - $15,000 20006029 { } 809 2016-09-12 ICE Intercontinental Exchange Inc. Sale SP $1,001 - $15,000 20006029 { } 810 2016-09-12 IBM International business Machines Corporation Sale SP $1,001 - $15,000 20006029 { } 811 2016-09-12 IP International Paper Company Sale SP $1,001 - $15,000 20006029 { } 812 2016-09-12 IPG Interpublic group of Companies, Inc. Sale SP $1,001 - $15,000 20006029 { } 813 2016-09-12 INTU Intuit Inc. Sale SP $1,001 - $15,000 20006029 { } 814 2016-09-12 ISUZY Isuzu Motors Ltd Ord American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 815 2016-09-12 ITVPY ITV plc Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 816 2016-09-12 JKHY Jack Henry & Associates, Inc. Sale SP $1,001 - $15,000 20006029 { } 817 2016-09-12 JNJ Johnson & Johnson Purchase SP $1,001 - $15,000 20006029 { } 818 2016-09-12 JPM JP Morgan Chase & Co. Purchase SP $15,001 - $50,000 20006029 { } 819 2016-09-12 KDDIY KDDI Corporation Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 820 2016-09-12 K Kellogg Company Sale SP $1,001 - $15,000 20006029 { } 821 2016-09-12 KLAC KLA-Tencor Corporation Sale SP $1,001 - $15,000 20006029 { } 822 2016-09-12 KEP Korea Electric Power Corporation Sale SP $1,001 - $15,000 20006029 { } 823 2016-09-12 LAMR Lamar Advertising Company - Class A Sale SP $1,001 - $15,000 20006029 { } 824 2016-09-12 LPLA LPL Financial Holdings Inc. Sale SP $1,001 - $15,000 20006029 { } 825 2016-09-12 LUKOY Lukoil Co Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 826 2016-09-12 MGA Magna International, Inc. Sale SP $1,001 - $15,000 20006029 { } 827 2016-09-12 MAT Mattel, Inc. Sale SP $1,001 - $15,000 20006029 { } 828 2016-09-12 MCD McDonald's Corporation Purchase SP $15,001 - $50,000 20006029 { } 829 2016-09-12 MDVN Medivation, Inc. Sale SP $1,001 - $15,000 20006029 { } 830 2016-09-12 MDT Medtronic plc. Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 831 2016-09-12 MET MetLife, Inc. Purchase SP $15,001 - $50,000 20006029 { } 832 2016-09-12 MSFT Microsoft Corporation Purchase SP $15,001 - $50,000 20006029 { } 833 2016-09-12 TAP Molson Coors brewing Company Class b Sale SP $1,001 - $15,000 20006029 { } 834 2016-09-12 MSCI MSCI Inc Sale SP $1,001 - $15,000 20006029 { } 835 2016-09-12 NEE NextEra Energy, Inc. Purchase SP $15,001 - $50,000 20006029 { } 836 2016-09-12 NICE NICE Ltd - American Depositary Shares each representing one Ordinary Share Sale SP $1,001 - $15,000 20006029 { } 837 2016-09-12 NTT Nippon Telegraph and Telephone Corporation Sale SP $1,001 - $15,000 20006029 { } 838 2016-09-12 NRBAY Nordea bank Ab Sponsored ADR Sale SP $1,001 - $15,000 20006029 { } 839 2016-09-12 OXY Occidental Petroleum Corporation Purchase SP $15,001 - $50,000 20006029 { } 840 2016-09-12 OMC Omnicom group Inc. Sale SP $1,001 - $15,000 20006029 { } 841 2016-09-12 ON ON Semiconductor Corporation Sale SP $1,001 - $15,000 20006029 { } 842 2016-09-12 OTEX Open Text Corporation - Common Shares Sale SP $1,001 - $15,000 20006029 { } 843 2016-09-12 ORCL Oracle Corporation Sale SP $1,001 - $15,000 20006029 { } 844 2016-09-12 PAYX Paychex, Inc. Sale SP $1,001 - $15,000 20006029 { } 845 2016-09-12 PKI PerkinElmer, Inc. Sale SP $1,001 - $15,000 20006029 { } 846 2016-09-12 PSMMY Persimmon Plc Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 847 2016-09-12 PFE Pfizer, Inc. Purchase SP $15,001 - $50,000 20006029 { } 848 2016-09-12 PM Philip Morris International Inc Purchase SP $15,001 - $50,000 20006029 { } 849 2016-09-12 PXD Pioneer Natural Resources Company Sale SP $1,001 - $15,000 20006029 { } 850 2016-09-12 PNC PNC Financial Services group, Inc. Sale SP $1,001 - $15,000 20006029 { } 851 2016-09-12 — Procter & gamble Company (Pg) Purchase SP $1,001 - $15,000 20006029 { } 852 2016-09-12 PGR Progressive Corporation Sale SP $1,001 - $15,000 20006029 { } 853 2016-09-12 PEG Public Service Enterprise group Incorporated Sale SP $1,001 - $15,000 20006029 { } 854 2016-09-12 DGX Quest Diagnostics Incorporated Sale SP $1,001 - $15,000 20006029 { } 855 2016-09-12 RTN Raytheon Company Sale SP $1,001 - $15,000 20006029 { } 856 2016-09-12 RXN Rexnord Corporation Sale SP $1,001 - $15,000 20006029 { } 857 2016-09-12 RBA Ritchie bros. Auctioneers Incorporated Sale SP $1,001 - $15,000 20006029 { } 858 2016-09-12 ROP Roper Technologies, Inc. Sale SP $1,001 - $15,000 20006029 { } 859 2016-09-12 RDS.A Royal Dutch Shell PLC Royal Dutch Shell American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 860 2016-09-12 RYAAY Ryanair Holdings plc - American Depositary Shares, each representing five Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 861 2016-09-12 R Ryder System, Inc. Sale SP $1,001 - $15,000 20006029 { } 862 2016-09-12 CRM Salesforce.com Inc Sale SP $1,001 - $15,000 20006029 { } 863 2016-09-12 SNY Sanofi American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 864 2016-09-12 SLB Schlumberger N.V. Purchase SP $1,001 - $15,000 20006029 { } 865 2016-09-12 SEE Sealed Air Corporation Sale SP $1,001 - $15,000 20006029 { } 866 2016-09-12 — Sensata Technologies Holding N.V. Sale SP $1,001 - $15,000 20006029 { } 867 2016-09-12 SHW Sherwin-Williams Company Sale SP $1,001 - $15,000 20006029 { } 868 2016-09-12 SPG Simon Property group, Inc. Purchase SP $15,001 - $50,000 20006029 { } 869 2016-09-12 SMFKY Smurfit Kappa group Plc American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 870 2016-09-12 SPLK Splunk Inc. Sale SP $1,001 - $15,000 20006029 { } 871 2016-09-12 SSNC SS&C Technologies Holdings, Inc. Sale SP $1,001 - $15,000 20006029 { } 872 2016-09-12 STE STERIS plc Ordinary Shares Sale SP $1,001 - $15,000 20006029 { } 873 2016-09-12 — SX5E STEPUP ISSUER BAC STEP 21.70% SV 3,019.34 DUE 09/29/17 Purchase SP $15,001 - $50,000 20006029 { } 874 2016-09-12 SYF Synchrony Financial Sale SP $1,001 - $15,000 20006029 { } 875 2016-09-12 TDHOY T&D Holdings Inc Tokyo Unsponsored ADR Sale SP $1,001 - $15,000 20006029 { } 876 2016-09-12 TSM Taiwan Semiconductor Manufacturing Company Ltd. Sale SP $1,001 - $15,000 20006029 { } 877 2016-09-12 AMTD TD Ameritrade Holding Corporation Sale SP $1,001 - $15,000 20006029 { } 878 2016-09-12 TEL TE Connectivity Ltd. New Switzerland Registered Shares Sale SP $1,001 - $15,000 20006029 { } 879 2016-09-12 TFX Teleflex Incorporated Sale SP $1,001 - $15,000 20006029 { } 880 2016-09-12 TELNY Telenor ASA American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 881 2016-09-12 TSLA Tesla Motors, Inc. Sale SP $1,001 - $15,000 20006029 { } 882 2016-09-12 TEVA Teva Pharmaceutical Industries Limited American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 883 2016-09-12 TXN Texas Instruments Incorporated Sale SP $1,001 - $15,000 20006029 { } 884 2016-09-12 KHC The Kraft Heinz Company Purchase SP $15,001 - $50,000 20006029 { } 885 2016-09-12 PCLN The Priceline group Inc. Sale SP $1,001 - $15,000 20006029 { } 886 2016-09-12 TRV The Travelers Companies, Inc. Sale SP $1,001 - $15,000 20006029 { } 887 2016-09-12 TMO Thermo Fisher Scientific Inc Purchase SP $15,001 - $50,000 20006029 { } 888 2016-09-12 TWX Time Warner Inc. New Sale SP $1,001 - $15,000 20006029 { } 889 2016-09-12 TJX TJX Companies, Inc. Sale SP $1,001 - $15,000 20006029 { } 890 2016-09-12 TD Toronto Dominion bank Sale SP $1,001 - $15,000 20006029 { } 891 2016-09-12 TOT Total S.A. Sale SP $1,001 - $15,000 20006029 { } 892 2016-09-12 TDG Transdigm group Incorporated Transdigm group Inc. Sale SP $1,001 - $15,000 20006029 { } 893 2016-09-12 USB U.S. bancorp Purchase SP $1,001 - $15,000 20006029 { } 894 2016-09-12 ULTA Ulta Salon, Cosmetics & Fragrance, Inc. Sale SP $1,001 - $15,000 20006029 { } 895 2016-09-12 UNP Union Pacific Corporation Sale SP $1,001 - $15,000 20006029 { } 896 2016-09-12 UOVEY United Overseas bk Singapore American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 897 2016-09-12 UTX United Technologies Corporation Purchase SP $1,001 - $15,000 20006029 { } 898 2016-09-12 UNH UnitedHealth group Incorporated Common Stock Sale SP $1,001 - $15,000 20006029 { } 899 2016-09-12 VAR Varian Medical Systems, Inc. Sale SP $1,001 - $15,000 20006029 { } 900 2016-09-12 VRSK Verisk Analytics, Inc. Sale SP $1,001 - $15,000 20006029 { } 901 2016-09-12 VZ Verizon Communications Inc. Purchase SP $1,001 - $15,000 20006029 { } 902 2016-09-12 VRTX Vertex Pharmaceuticals Incorporated Sale SP $1,001 - $15,000 20006029 { } 903 2016-09-12 V Visa Inc. Sale SP $1,001 - $15,000 20006029 { } 904 2016-09-12 VMC Vulcan Materials Company Sale SP $1,001 - $15,000 20006029 { } 905 2016-09-12 WMT Wal-Mart Stores, Inc. Purchase SP $1,001 - $15,000 20006029 { } 906 2016-09-12 DIS Walt Disney Company Purchase SP $15,001 - $50,000 20006029 { } 907 2016-09-12 WAT Waters Corporation Sale SP $1,001 - $15,000 20006029 { } 908 2016-09-12 WFC Wells Fargo & Company Sale SP $1,001 - $15,000 20006029 { } 909 2016-09-12 WJRYY West Japan Railway Co Unsponsored ADR Sale SP $15,001 - $50,000 20006029 { } 910 2016-09-12 WEX WEX Inc. common stock Sale SP $1,001 - $15,000 20006029 { } 911 2016-09-12 WDAY Workday, Inc. Sale SP $1,001 - $15,000 20006029 { } 912 2016-09-12 — WPP plc - American Depositary Shares Sale SP $1,001 - $15,000 20006029 { } 913 2016-09-12 XLNX Xilinx, Inc. Sale SP $1,001 - $15,000 20006029 { } 914 2016-08-23 — R2000 ARN ISSUER SEK CAP 14.37% SV 1,140.398 DUE 06/30/17 Purchase SP $50,001 - $100,000 20005819 { } 915 2016-08-19 MCD McDonald's Corporation Sale SP $1,001 - $15,000 20005819 { } 916 2016-08-18 — R2000 ARN ISSUER BARC CAP 18.51% SV 1,003.273 DUE 03/31/17 Sale SP $50,001 - $100,000 20005819 { } 917 2016-08-18 — SP500 CLIRN ISSUER BAC CAP 15.36% SV 2,097.90 DUE 06/29/18 BUF 10% Purchase SP $50,001 - $100,000 20005819 { } 918 2016-08-18 SOMMY Sumitomo Chemical Co Ltd Unsponsored ADR Sale SP $1,001 - $15,000 20005819 { } 919 2016-08-17 AGN Allergan plc Ordinary Shares Purchase SP $1,001 - $15,000 20005819 { } 920 2016-08-17 BMY bristol-Myers Squibb Company Sale SP $1,001 - $15,000 20005819 { } 921 2016-08-17 COF Capital One Financial Corporation Sale SP $1,001 - $15,000 20005819 { } 922 2016-08-17 IBN ICICI bank Limited Sale SP $1,001 - $15,000 20005819 { } 923 2016-08-17 PCLN The Priceline group Inc. Purchase SP $1,001 - $15,000 20005819 { } 924 2016-08-17 USB U.S. bancorp Purchase SP $1,001 - $15,000 20005819 { } 925 2016-08-12 TWX Time Warner Inc. New Purchase SP $1,001 - $15,000 20005819 { } 926 2016-08-11 GILD gilead Sciences, Inc. Sale SP $1,001 - $15,000 20005819 { } 927 2016-08-10 IBM International business Machines Corporation Sale SP $1,001 - $15,000 20005819 { } 928 2016-08-10 ORCL Oracle Corporation Purchase SP $1,001 - $15,000 20005819 { } 929 2016-08-09 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 Purchase SP $15,001 - $50,000 20005819 { } 930 2016-08-08 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 BUF 10% Purchase SP $15,001 - $50,000 20005819 { } 931 2016-08-08 — SP500 CLIRN ISSUER BAC CAP 14.04% SV 2,089.41 DUE 10/27/17 BUF 10% Purchase SP $50,001 - $100,000 20005819 { } 932 2016-08-04 CELG Celgene Corporation Purchase SP $1,001 - $15,000 20005819 { } 933 2016-08-03 COF Capital One Financial Corporation Sale SP $1,001 - $15,000 20005819 { } 934 2016-08-03 CELG Celgene Corporation Purchase SP $1,001 - $15,000 20005819 { } 935 2016-08-03 GILD gilead Sciences, Inc. Sale SP $1,001 - $15,000 20005819 { } 936 2016-08-03 IBM International business Machines Corporation Sale SP $1,001 - $15,000 20005819 { } 937 2016-08-03 ORCL Oracle Corporation Purchase SP $1,001 - $15,000 20005819 { } 938 2016-08-03 TWX Time Warner Inc. New Purchase SP $1,001 - $15,000 20005819 { } 939 2016-08-03 USB U.S. bancorp Purchase SP $1,001 - $15,000 20005819 { } 940 2016-07-29 — FT UNIT 5935 SABRIENT BAKERS DOZEN ... Sale SP $50,001 - $100,000 20005629 { } 941 2016-07-29 — FT UNIT 5935 SABRIENT BAKERS DOZEN ... Sale SP $15,001 - $50,000 20005629 { } 942 2016-07-29 — FT UNIT 5935 SABRIENT BAKERS DOZEN ... Sale SP $15,001 - $50,000 20005629 { } 943 2016-07-29 — FT UNIT 5935 SABRIENT BAKERS DOZEN ... Sale SP $50,001 - $100,000 20005629 { } 944 2016-07-29 — R2000 CLIRNS ISSUER CIBC CAP 20.40%... Purchase SP $50,001 - $100,000 20005629 { } 945 2016-07-29 — SP500 CLIRN ISSUER BAC CAP 14.54% S... Purchase SP $50,001 - $100,000 20005629 { } 946 2016-07-29 — SP500 CLIRN ISSUER BAC CAP 16.60% S... Purchase SP $15,001 - $50,000 20005629 { } 947 2016-07-29 — SP500 CLIRN ISSUER BAC CAP 16.60% S... Purchase SP $15,001 - $50,000 20005629 { } 948 2016-07-26 IBM International Business Machines Corporation Sale SP $1,001 - $15,000 20005629 { } 949 2016-07-20 AXP American Express Company Purchase SP $1,001 - $15,000 20005629 { } 950 2016-07-20 MET MetLife, Inc. Sale SP $1,001 - $15,000 20005629 { } 951 2016-07-06 SWKS Skyworks Solutions, Inc. Sale SP $1,001 - $15,000 20005629 { } 952 2016-06-15 BBL BHP Billiton plc Sponsored ADR Sale SP $1,001 - $15,000 20005456 { } 953 2016-06-15 BBL BHP Billiton plc Sponsored ADR Sale SP $1,001 - $15,000 20005456 { } 954 2016-06-14 HD Home Depot, Inc. Sale SP $1,001 - $15,000 20005456 { } 955 2016-06-13 — GOLDMAN SACHS CAPITAL II - VAR% PERPETUAL CALLABLE-MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 956 2016-06-13 — WELLS FARGO & COMPANY JR SUBORDNTD SER K GLB VAR% PERPETUAL CALLABLE-MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 957 2016-06-13 — WELLS FARGO & COMPANY JR SUBORDNTD SER K GLB VAR% PERPETUAL CALLABLE-MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 958 2016-06-13 — WELLS FARGO & COMPANY JR SUBORDNTD SER K GLB VAR% PERPETUAL CALLABLE-MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 959 2016-06-10 — GOLDMAN SACHS CAPITAL II - VAR% PERPETUAL CALLABLE-MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 960 2016-06-10 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 BUF 10% Purchase SP $100,001 - $250,000 20005456 { } 961 2016-06-10 — US BANCORP JR SUBORDNTD SER I GLB VAR% PERPETUAL CALLABLE- MAY AFFECT YIEL Purchase SP $15,001 - $50,000 20005456 { } 962 2016-06-09 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 BUF 10% Purchase SP $15,001 - $50,000 20005456 { } 963 2016-06-09 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 BUF 10% Purchase SP $15,001 - $50,000 20005456 { } 964 2016-06-08 — SP500 CLIRN ISSUER BAC CAP 14.54% SV 1,987.66 DUE 08/25/17 BUF 10% Purchase SP $15,001 - $50,000 20005456 { } 965 2016-05-27 — sP M81 (Merrill Lynch) R2000 CLIRN ISSUER Cs CAP 14.10% sV... Sale Self $50,001 - $100,000 20005270 { } 966 2016-05-26 — sP M81 (Merrill Lynch) buy sP500 BEARARN Iss BARC CAP 13.5% sV... Purchase Self $50,001 - $100,000 20005270 { } 967 2016-05-25 FLR sP M81 (Merrill Lynch) Fluor Corporation Purchase Self $1,001 - $15,000 20005270 { } 968 2016-05-24 VLO Valero Energy Corporation Sale Self $1,001 - $15,000 20005270 { } 969 2016-05-20 — sP M81 (Merrill Lynch) Filing ID #20005270 general Dynamics Corporation (gD) Purchase Self $1,001 - $15,000 20005270 { } 970 2016-05-20 M sP M81 (Merrill Lynch) Macy's Inc Sale Self $1,001 - $15,000 20005270 { } 971 2016-05-18 PEP sP M81 (Merrill Lynch) Pepsico, Inc. Sale Self $1,001 - $15,000 20005270 { } 972 2016-05-11 ETR sP M81 (Merrill Lynch) Entergy Corporation Purchase Self $1,001 - $15,000 20005270 { } 973 2016-05-11 TEVA Teva Pharmaceutical Industries Limited American Depositary shares Sale Self $1,001 - $15,000 20005270 { } 974 2016-05-10 AAPL Apple Inc. Sale Self $1,001 - $15,000 20005270 { } 975 2016-05-10 — sP M81 (Merrill Lynch) general Dynamics Corporation (gD) Purchase Self $1,001 - $15,000 20005270 { } 976 2016-05-10 M sP M81 (Merrill Lynch) Macy's Inc Sale Self $1,001 - $15,000 20005270 { } 977 2016-05-05 ETR sP M81 (Merrill Lynch) Entergy Corporation Purchase Self $1,001 - $15,000 20005270 { } 978 2016-05-05 — sP M81 (Merrill Lynch) TEXAS sT TRANSN COMMN-HWY IMPT MAY16 05.000%APR01 2041 Purchase Self $50,001 - $100,000 20005270 { } 979 2016-05-04 DIISY Direct Line Insurance group PLC Unsponsored ADR Purchase Self $1,001 - $15,000 20005270 { } 980 2016-05-04 TEVA sP M81 (Merrill Lynch) Teva Pharmaceutical Industries Limited American Depositary shares Sale Self $1,001 - $15,000 20005270 { } 981 2016-05-03 ITVPY sP M81 (Merrill Lynch) ITV plc Unsponsored ADR Purchase Self $1,001 - $15,000 20005270 { } 982 2016-04-28 — sP M81 (Merrill Lynch) Coca-Cola Company (Ko) Purchase Self $1,001 - $15,000 20005013 { } 983 2016-04-28 — sP M81 (Merrill Lynch) Facebook, Inc. - Class A (Fb) Purchase Self $1,001 - $15,000 20005013 { } 984 2016-04-28 PEP sP M81 (Merrill Lynch) Pepsico, Inc. Sale Self $1,001 - $15,000 20005013 { } 985 2016-04-27 AAPL sP E62 (Edward Jones) Apple Inc. Sale Self $1,001 - $15,000 20005013 { } 986 2016-04-27 — sP M81 (Merrill Lynch) GENERATION PK MGMT DIST TEX Purchase Self $50,001 - $100,000 20005013 { } 987 2016-04-26 BKJAY sP M81 (Merrill Lynch) bank Yokohama Ltd Japan American Depositary shares Sale Self $1,001 - $15,000 20005013 { } 988 2016-04-22 AAL American Airlines group, Inc. Sale Self $1,001 - $15,000 20005013 { } 989 2016-04-22 — FINAL PRINCIPAL PAYMENT: oN 13467 UNITS Redemption UIT INVESCO UNIT TRS CENT: EQUITY TR DIVERSFED SER 2016-2: QUARTERLY REINVEST: SOLICITED: PRosPECTUs ENCLOSED Purchase Self $100,001 - $250,000 20005013 { } 990 2016-04-21 AAPL sP M81 (Merrill Lynch) Apple Inc. Sale Self $1,001 - $15,000 20005013 { } 991 2016-04-21 — sP M81 (Merrill Lynch) UIT FIRST TRUST MKT STRENGTH: ALLOCATION SELECT SER 13: PORT SEMI ANNUAL REINVEST: FINAL PRINCIPAL PAYMENT: oN 13467 UNITS Sale Self $100,001 - $250,000 20005013 { } 992 2016-04-12 NKE sP M81 (Merrill Lynch) Nike, Inc. Sale Self $1,001 - $15,000 20005013 { } 993 2016-04-11 NKE sP M81 (Merrill Lynch) Nike, Inc. Sale Self $1,001 - $15,000 20005013 { } 994 2016-04-01 BIIB biogen Inc. Sale Self $1,001 - $15,000 20005013 { } 995 2016-04-01 BIIB sP M81 (Merrill Lynch) biogen Inc. Sale Self $1,001 - $15,000 20005013 { } 996 2016-03-30 WFC SOLICITED: PRosPECTUs ENCLOSED Wells Fargo & Company Purchase Self $1,001 - $15,000 20005013 { } 997 2016-03-30 WFC Wells Fargo & Company Purchase Self $1,001 - $15,000 20004874 { } 998 2016-03-29 CHTR sP M81 (Merrill Lynch) Charter Communications, Inc. - Class A Purchase Self $1,001 - $15,000 20005013 { } 999 2016-03-29 — sP M81 (Merrill Lynch) Coca-Cola Company (Ko) Purchase Self $1,001 - $15,000 20005013 { } 1000 2016-03-16 — sP500 ARN ISSUER BAC CAP 15.42% sV ... Purchase Self $15,001 - $50,000 20004874 { } 1001 2016-03-04 — sP500 ARN ISSUER BAC CAP 11.16% sV ... Sale Self $50,001 - $100,000 20004874 { } 1002 2016-02-26 MAT Mattel, Inc. Sale SP $1,001 - $15,000 20004681 { } 1003 2016-02-26 MET MetLife, Inc. Purchase SP $1,001 - $15,000 20004681 { } 1004 2016-02-26 REGN Regeneron Pharmaceuticals, Inc. Sale SP $1,001 - $15,000 20004681 { } 1005 2016-02-25 — R2000 STEPUP ISSUER Db STEP 30.00% SV 1,031.58 DUE 02/25/19 Purchase SP $15,001 - $50,000 20004681 { } 1006 2016-02-25 — SP500 CLIRN ISSUER CS CAP 19.85% SV 1,951.70 DUE 02/23/18 Purchase SP $50,001 - $100,000 20004681 { } 1007 2016-02-25 — SP500 CLIRN ISSUER CS CAP 19.85% SV 1,951.70 DUE 02/23/18 Purchase SP $15,001 - $50,000 20004681 { } 1008 2016-02-24 — R2000 STEPUP ISSUER HSBC STEP 25.00% SV1,137.686 DUE 12/21/18 Purchase SP $15,001 - $50,000 20004681 { } 1009 2016-02-24 — R2000 STEPUP ISSUER HSBC STEP 25.00% SV1,137.686 DUE 12/21/18 Sale SP $50,001 - $100,000 20004681 { } 1010 2016-02-23 — R2000 ARN ISSUER BARC CAP 18.51% SV 1,003.273 DUE 03/31/17 Purchase SP $50,001 - $100,000 20004681 { } 1011 2016-02-23 — R2000 STEPUP ISSUER Db STEP 30.00% SV 1,031.58 DUE 02/25/19 Purchase SP $15,001 - $50,000 20004681 { } 1012 2016-02-17 T AT&T Inc. Sale SP $1,001 - $15,000 20004681 { } 1013 2016-02-17 IVZ Invesco Ltd Purchase SP $1,001 - $15,000 20004681 { } 1014 2016-02-17 MSFT Microsoft Corporation Sale SP $1,001 - $15,000 20004681 { } 1015 2016-02-01 PCP Precision Castparts Corporation Exchange SP $1,001 - $15,000 20004681 { } 1016 2016-01-28 AMP Ameriprise Financial, Inc. Sale SP $1,001 - $15,000 20004681 { } 1017 2016-01-28 MDT Medtronic plc. Ordinary Shares Purchase SP $1,001 - $15,000 20004681 { } 1018 2016-01-28 REGN Regeneron Pharmaceuticals, Inc. Sale SP $1,001 - $15,000 20004681 { } 1019 2016-01-27 — Ft Unit 5601 Sabrient bakers Dozen Port 2015 Sale SP $15,001 - $50,000 20004540 { } 1020 2016-01-27 — Ft Unit 5601 Sabrient bakers Dozen Port 2015 Sale SP $15,001 - $50,000 20004540 { } 1021 2016-01-27 — Ft Unit 5601 Sabrient bakers Dozen Port 2015 Sale SP $50,001 - $100,000 20004540 { } 1022 2016-01-27 — Ft Unit 5601 Sabrient bakers Dozen Port 2015 Sale SP $50,001 - $100,000 20004540 { } 1023 2016-01-27 — Ft Unit 5935 Sabrient bakers Dozen Port 2016 Purchase SP $1,001 - $15,000 20004540 { } 1024 2016-01-27 — Ft Unit 5935 Sabrient bakers Dozen Port 2016 Purchase SP $15,001 - $50,000 20004540 { } 1025 2016-01-27 — Ft Unit 5935 Sabrient bakers Dozen Port 2016 Purchase SP $15,001 - $50,000 20004540 { } 1026 2016-01-27 — Ft Unit 5935 Sabrient bakers Dozen Port Purchase SP $50,001 - $100,000 20004540 { } 1027 2016-01-27 — Ft Unit 5935 Sabrient bakers Dozen Port 2016 Purchase SP $50,001 - $100,000 20004540 { } 1028 2016-01-22 AGN Allergan plc Ordinary Shares Sale SP $1,001 - $15,000 20004540 { } 1029 2016-01-22 LLY Eli Lilly and Company Purchase SP $1,001 - $15,000 20004540 { } 1030 2016-01-14 DOX Amdocs Limited - Ordinary Shares Purchase SP $1,001 - $15,000 20004540 { } 1031 2016-01-11 — BHP billiton plc Sponsored ADR (bbL) Purchase SP $1,001 - $15,000 20004540 { } 1032 2016-01-11 TRMB Trimble Navigation Limited Purchase SP $1,001 - $15,000 20004540 { } 1033 2016-01-08 FDX FedEx Corporation Sale SP $1,001 - $15,000 20004540 { } 1034 2016-01-08 UNP Union Pacific Corporation Purchase SP $1,001 - $15,000 20004540 { } 1035 2016-01-07 FDX FedEx Corporation Sale SP $1,001 - $15,000 20004540 { } 1036 2016-01-07 UNP Union Pacific Corporation Purchase SP $1,001 - $15,000 20004540 { } 1037 2016-01-05 VZ Verizon Communications Inc. Sale SP $1,001 - $15,000 20004540 { } 1038 2015-12-30 VZ Verizon Communications Inc. Sale SP $1,001 - $15,000 20004345 { } 1039 2015-12-22 CMI Cummins Inc. Sale SP $1,001 - $15,000 20004345 { } 1040 2015-12-22 — R2000 STEPUP ISSUER HSBC STEP 25.00 Purchase SP $50,001 - $100,000 20004345 { } 1041 2015-12-22 — R2000 STEPUP ISSUER HSBC STEP 25.00 Purchase SP $15,001 - $50,000 20004345 { } 1042 2015-12-22 — SP500 CLIRNS ISSUER BNS CAP 16.40% Purchase SP $15,001 - $50,000 20004345 { } 1043 2015-12-22 — SP500 SUNS ISSUER CIBC STEP 16.30% Purchase SP $50,001 - $100,000 20004345 { } 1044 2015-12-11 TJX TJX Companies, Inc. Purchase SP $1,001 - $15,000 20004345 { } 1045 2015-12-10 TJX TJX Companies, Inc. Purchase SP $1,001 - $15,000 20004345 { } 1046 2015-12-08 — BHP billiton plc Sponsored ADR (bbL) Sale SP $1,001 - $15,000 20004345 { } 1047 2015-12-08 TRMB Trimble Navigation Limited Sale SP $1,001 - $15,000 20004345 { } 1048 2015-12-07 CMI Cummins Inc. Sale SP $1,001 - $15,000 20004345 { } 1049 2015-11-27 — REINVESTMENT: UIT FIRST TRUST: SER 24 INTL CAP STRENGTH PORT: SEMI ANNUAL REINVESTMENT: SOLICITED: PRosPECTUs ENCLOSED Sale Self $1,001 - $15,000 20004198 { } 1050 2015-11-23 — UIT FIRST TRUST DIVERSIFIED INCME & GRWTH PRTFLIO WINTER: 2015 SER MONTHLY REINVESTMENT: Purchase Self $1,001 - $15,000 20004198 { } 1051 2015-11-20 VZ SOLICITED: Verizon Communications Inc. Sale Self $1,001 - $15,000 20004198 { } 1052 2015-11-19 CVS sP M81 (Merrill Lynch) CVS Health Corporation Sale Self $1,001 - $15,000 20004198 { } 1053 2015-11-13 AAPL Apple Inc. Sale Self $1,001 - $15,000 20004198 { } 1054 2015-11-13 IBM sP M81 (Merrill Lynch) International business Machines Corporation Purchase Self $1,001 - $15,000 20004198 { } 1055 2015-11-13 M sP M81 (Merrill Lynch) Macy's Inc Purchase Self $1,001 - $15,000 20004198 { } 1056 2015-11-13 — sP M81 (Merrill Lynch) Procter & gamble Company (Pg) Purchase Self $1,001 - $15,000 20004198 { } 1057 2015-11-13 RDS.A sP M81 (Merrill Lynch) Royal Dutch shell PLC Royal Dutch shell American Depositary shares Purchase Self $1,001 - $15,000 20004198 { } 1058 2015-11-12 F sP M81 (Merrill Lynch) Ford Motor Company Sale Self $1,001 - $15,000 20005013 { } 1059 2015-11-12 — sP M81 (Merrill Lynch) general Motors Company (gM) Purchase Self $1,001 - $15,000 20005013 { } 1060 2015-11-06 PCLN The Priceline group Inc. Purchase Self $1,001 - $15,000 20005013 { } 1061 2015-11-04 F sP M81 (Merrill Lynch) Ford Motor Company Sale Self $1,001 - $15,000 20005013 { } 1062 2015-11-04 — sP M81 (Merrill Lynch) general Motors Company (gM) Purchase Self $1,001 - $15,000 20005013 { } 1063 2015-10-29 WMT sP M81 (Merrill Lynch) Wal-Mart stores, Inc. Purchase Self $1,001 - $15,000 20004045 { } 1064 2015-10-28 — sP M81 (Merrill Lynch) sP500 ARN ISSUER BAC CAP 11.16% sV Purchase Self $100,001 - $250,000 20004198 { } 1065 2015-10-26 BXLT baxalta Incorporated Sale Self $1,001 - $15,000 20004045 { } 1066 2015-10-16 ESRX sP M81 (Merrill Lynch) Express scripts Holding Company Purchase Self $1,001 - $15,000 20004045 { } 1067 2015-10-09 LNKD LinkedIn Corporation Class A Sale Self $1,001 - $15,000 20005013 { } 1068 2015-10-08 DLTR sP M81 (Merrill Lynch) Dollar Tree, Inc. Sale Self $1,001 - $15,000 20004045 { } 1069 2015-10-06 XOM sP M81 (Merrill Lynch) Exxon Mobil Corporation Purchase Self $1,001 - $15,000 20004045 { } 1070 2015-10-05 TOT sP M81 (Merrill Lynch) Total s.A. Sale Self $1,001 - $15,000 20004045 { } 1071 2015-10-02 BXLT sP M81 (Merrill Lynch) baxalta Incorporated Sale Self $1,001 - $15,000 20004045 { } 1072 2015-10-02 — sP M81 (Merrill Lynch) Procter & gamble Company (Pg) Purchase Self $1,001 - $15,000 20004045 { } 1073 2015-09-28 TOT sP M81 (Merrill Lynch) Filing ID #20004045 Total s.A. Sale Self $1,001 - $15,000 20004045 { } 1074 2015-09-25 XOM Exxon Mobil Corporation Purchase SP $1,001 - $15,000 20003907 { } 1075 2015-09-23 — SP500 C LIRN Issuer bac 14.54% Purchase SP $50,001 - $100,000 20003907 { } 1076 2015-09-23 — SP500 C LIRN Issuer barc Cap 12.1 Purchase SP $15,001 - $50,000 20003907 { } 1077 2015-09-23 — SX5E LIRN ISSUER HSBC PART 118.00% Sale SP $15,001 - $50,000 20003907 { } 1078 2015-09-23 — SX5E LIRN ISSUER HSBC PART 118.00% Sale SP $50,001 - $100,000 20003907 { } 1079 2015-09-15 SLH Solera Holdings, Inc. Solera Holdings, Inc. Sale SP $1,001 - $15,000 20003907 { } 1080 2015-09-02 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Sale SP $50,001 - $100,000 20003907 { } 1081 2015-09-02 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Sale SP $15,001 - $50,000 20003907 { } 1082 2015-09-02 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Purchase SP $15,001 - $50,000 20003907 { } 1083 2015-09-02 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Sale SP $15,001 - $50,000 20003907 { } 1084 2015-09-02 — FT Unit 5221 Sabrient Sale Price Sale SP $50,001 - $100,000 20003907 { } 1085 2015-09-02 — Ft Unit 5601 Sabrient bakers Dozen Purchase SP $15,001 - $50,000 20003907 { } 1086 2015-09-02 — FT Unit 5601 Sabrient bakers Dozen Purchase SP $50,001 - $100,000 20003907 { } 1087 2015-09-02 — FT Unit 5601 Sabrientbakers Dozen Purchase SP $50,001 - $100,000 20003907 { } 1088 2015-09-02 — R2000 C LIRN Issuer CAP 14.10% Purchase SP $100,001 - $250,000 20003907 { } 1089 2015-09-02 — SP500 ARN Issuer bac Cap 10.65% Sale SP $50,001 - $100,000 20003907 { } 1090 2015-09-01 WMT Wal-Mart Stores, Inc. Purchase SP $1,001 - $15,000 20003907 { } 1091 2015-08-26 CAH sP M81 (Merrill Lynch) Cardinal Health, Inc. Purchase Self $1,001 - $15,000 20003710 { } 1092 2015-08-25 CAH sP M81 (Merrill Lynch) Cardinal Health, Inc. Purchase Self $1,001 - $15,000 20003710 { } 1093 2015-08-25 MCK sP M81 (Merrill Lynch) McKesson Corporation Sale Self $1,001 - $15,000 20003710 { } 1094 2015-08-07 NOC sP M81 (Merrill Lynch) Northrop grumman Corporation Sale Self $1,001 - $15,000 20003710 { } 1095 2015-08-05 AAPL Apple Inc. Sale Self $1,001 - $15,000 20003710 { } 1096 2015-08-05 CERN sP M81 (Merrill Lynch) Cerner Corporation Purchase Self $1,001 - $15,000 20003710 { } 1097 2015-08-04 — sP M81 (Merrill Lynch) UIT First Trust series 21 Cap strength Sale Self $100,001 - $250,000 20003710 { } 1098 2015-07-31 BAX sP M81 (Merrill Lynch) baxter International Inc. Sale Self $1,001 - $15,000 20003518 { } 1099 2015-07-31 BAX baxter International Inc. Sale JT $1,001 - $15,000 20003518 { } 1100 2015-07-31 NOC sP M81 (Merrill Lynch) Northrop grumman Corporation Sale Self $1,001 - $15,000 20003518 { } 1101 2015-07-31 NOC Northrop grumman Corporation Sale JT $1,001 - $15,000 20003518 { } 1102 2015-07-31 UTX United Technologies Corporation Purchase JT $1,001 - $15,000 20003518 { } 1103 2015-07-31 UTX United Technologies Corporation Purchase Self $1,001 - $15,000 20003518 { } 1104 2015-07-30 JPM JP Morgan Chase & Co. Sale Self $1,001 - $15,000 20003518 { } 1105 2015-07-30 JPM JP Morgan Chase & Co. Sale JT $1,001 - $15,000 20003518 { } 1106 2015-07-30 NOC sP M81 (Merrill Lynch) Northrop grumman Corporation Sale Self $1,001 - $15,000 20003518 { } 1107 2015-07-30 NOC Northrop grumman Corporation Sale JT $1,001 - $15,000 20003518 { } 1108 2015-07-30 RDS.A M39 (Merrill Lynch) Royal Dutch shell PLC Royal Dutch shell American Depositary shares Purchase Self $1,001 - $15,000 20003518 { } 1109 2015-07-30 RDS.A Royal Dutch shell PLC Royal Dutch shell American Depositary shares Purchase JT $1,001 - $15,000 20003518 { } 1110 2015-07-30 TOT Total s.A. Purchase JT $1,001 - $15,000 20003518 { } 1111 2015-07-30 TOT JT M39 (Merrill Lynch) Total s.A. Purchase Self $1,001 - $15,000 20003518 { } 1112 2015-07-29 — sP M81 (Merrill Lynch) Eog Resources, Inc. (Eog) Sale Self $1,001 - $15,000 20003518 { } 1113 2015-07-29 — Eog Resources, Inc. (Eog) Sale JT $1,001 - $15,000 20003518 { } 1114 2015-07-28 TYC Tyco International plc Sale JT $1,001 - $15,000 20003518 { } 1115 2015-07-28 TYC M39 (Merrill Lynch) Tyco International plc Sale Self $1,001 - $15,000 20003518 { } 1116 2015-07-22 — FT UNIT 5221 SABRIENT BAKERS DOZEN Sale JT $50,001 - $100,000 20003518 { } 1117 2015-07-22 — FT UNIT 5221 SABRIENT BAKERS DOZEN Sale Self $50,001 - $100,000 20003518 { } 1118 2015-07-22 — sP500 ARN ISSUER BAC CAP 10.65% Purchase JT $50,001 - $100,000 20003518 { } 1119 2015-07-22 — sP500 ARN ISSUER BAC CAP 10.65% Purchase Self $50,001 - $100,000 20003518 { } 1120 2015-07-09 — ISHARES MSCI EAFE VALUE ETF Purchase Self $1,001 - $15,000 20003518 { } 1121 2015-07-09 — sP M81 (Merrill Lynch) UIT FIRST TRUST DIVERSIFIED INCOME & GROWTH Purchase Self $50,001 - $100,000 20003518 { } 1122 2015-07-09 — UIT VAN KAMPEN UNIT 967 s&P Sale Self $50,001 - $100,000 20003518 { } 1123 2015-07-02 — sP M81 (Merrill Lynch) Celanese Corporation Celanese Purchase Self $1,001 - $15,000 20003518 { } 1124 2015-07-02 CE Celanese Corporation Celanese Corporation series A Purchase JT $1,001 - $15,000 20003518 { } 1125 2015-06-29 COF Capital one Financial Corporation Purchase JT $1,001 - $15,000 20003518 { } 1126 2015-06-29 DOW Dow Chemical Company Sale JT $1,001 - $15,000 20003518 { } 1127 2015-06-29 DOW M39 (Merrill Lynch) Dow Chemical Company Sale Self $1,001 - $15,000 20003518 { } 1128 2015-06-26 ACN Accenture plc. Class A ordinary shares Sale JT $1,001 - $15,000 20003518 { } 1129 2015-06-26 ACN M39 (Merrill Lynch) Accenture plc. Class A ordinary shares Sale Self $1,001 - $15,000 20003518 { } 1130 2015-06-26 COF M39 (Merrill Lynch) Capital one Financial Corporation Purchase Self $1,001 - $15,000 20003518 { } 1131 2015-06-26 KMI Kinder Morgan, Inc. Sale JT $1,001 - $15,000 20003518 { } 1132 2015-06-26 KMI M39 (Merrill Lynch) Kinder Morgan, Inc. Sale Self $1,001 - $15,000 20003518 { } 1133 2015-06-22 — sP M81 (Merrill Lynch) FT Unit 5463 sabrient Fwd Looking SBFL3 Purchase Self $50,001 - $100,000 20003352 { } 1134 2015-06-12 NSC sP M40 (Merrill Lynch) Norfolk southern Corporation Sale Self $1,001 - $15,000 20003352 { } 1135 2015-06-10 — sP M81 (Merrill Lynch) general Electric Company (gE) Sale Self $1,001 - $15,000 20005013 { } 1136 2015-06-10 COF sP M81 (Merrill Lynch) Capital one Financial Corporation Purchase Self $1,001 - $15,000 20003352 { } 1137 2015-06-09 BAX sP M81 (Merrill Lynch) baxter International Inc. Sale Self $1,001 - $15,000 20003352 { } 1138 2015-06-08 ABBV AbbVie Inc. Purchase Self $1,001 - $15,000 20003352 { } 1139 2015-06-08 CE sP M81 (Merrill Lynch) Celanese Corporation Celanese Corporation series A Purchase Self $1,001 - $15,000 20003352 { } 1140 2015-06-08 CELG sP M81 (Merrill Lynch) Celgene Corporation Sale Self $1,001 - $15,000 20003352 { } 1141 2015-06-08 DOW sP M40 (Merrill Lynch) Dow Chemical Company Sale Self $1,001 - $15,000 20003352 { } 1142 2015-06-08 — general Electric Company (gE) Sale Self $1,001 - $15,000 20003352 { } 1143 2015-06-04 CMI sP M81 (Merrill Lynch) Cummins Inc. Purchase Self $1,001 - $15,000 20003352 { } 1144 2015-05-29 AMT American Tower Corporation Sale Self $1,001 - $15,000 20003203 { } 1145 2015-05-28 ANTM sP M81 (Merrill Lynch) Anthem, Inc. Sale Self $1,001 - $15,000 20003203 { } 1146 2015-05-20 — sP M81 (Merrill Lynch) Dollar general Corporation (Dg) Sale Self $1,001 - $15,000 20003203 { } 1147 2015-05-19 MCD McDonald's Corporation Purchase Self $1,001 - $15,000 20003203 { } 1148 2015-05-12 ADM sP M81 (Merrill Lynch) Archer-Daniels-Midland Company Purchase Self $1,001 - $15,000 20003203 { } 1149 2015-05-12 PX sP M81 (Merrill Lynch) Praxair, Inc. Sale Self $1,001 - $15,000 20003203 { } 1150 2015-05-08 — sP M81 (Merrill Lynch) FIRST TRUST gLobAL DIVIDEND MONTHLY REINVESTMENT SERIES NUMBER 42 Purchase Self $100,001 - $250,000 20003203 { } 1151 2015-05-06 CSCO sP M81 (Merrill Lynch) Cisco systems, Inc. Purchase Self $1,001 - $15,000 20003203 { } 1152 2015-04-27 — sP M81 (Merrill Lynch) glaxosmithKline PLC (gsK) Sale Self $1,001 - $15,000 20003001 { } 1153 2015-04-23 — sP M81 (Merrill Lynch) FIRST TRUST gLobAL DIVIDEND MONTHLY REINVESTMENT SERIES NUMBER 33 Sale Self $100,001 - $250,000 20003001 { } 1154 2015-04-21 AMZN Amazon.com, Inc. Purchase Self $1,001 - $15,000 20003001 { } 1155 2015-04-20 AMZN sP M81 (Merrill Lynch) Amazon.com, Inc. Purchase Self $1,001 - $15,000 20003001 { } 1156 2015-04-16 FCX sP M81 (Merrill Lynch) Filing ID #20003001 Freeport-McMoRan, Inc. Sale Self $1,001 - $15,000 20003001 { } 1157 2015-04-13 T sP M81 (Merrill Lynch) AT&T Inc. Purchase Self $15,001 - $50,000 20003001 { } 1158 2015-04-13 TRMB sP M81 (Merrill Lynch) Trimble Navigation Limited Purchase Self $1,001 - $15,000 20003001 { } 1159 2015-04-09 CMI sP E62 (Edward Jones) Cummins Inc. Sale Self $1,001 - $15,000 20003001 { } 1160 2015-04-09 MNK sP M81 (Merrill Lynch) Mallinckrodt plc ordinary shares Purchase Self $1,001 - $15,000 20003001 { } 1161 2015-04-08 PRGO sP M81 (Merrill Lynch) Perrigo Company plc ordinary shares Sale Self $1,001 - $15,000 20003001 { } 1162 2015-04-08 — sP E62 (Edward Jones) UIT FIRST TRUST: SER 24 INTL CAP STRENGTH PORT: SEMI ANNUAL REINVESTMENT: SOLICITED: PRosPECTUs ENCLOSED Purchase Self $15,001 - $50,000 20003001 { } 1163 2015-04-06 FCX Freeport-McMoRan, Inc. Sale Self $1,001 - $15,000 20003001 { } 1164 2015-04-02 VLO PRosPECTUs ENCLOSED Valero Energy Corporation Purchase Self $1,001 - $15,000 20003001 { } 1165 2015-03-26 — SX5E LIRN ISSUER HSBC PART 118.00% Purchase SP $15,001 - $50,000 20002832 { } 1166 2015-03-26 — SX5E LIRN ISSUER HSBC PART 118.00% Purchase SP $15,001 - $50,000 20002832 { } 1167 2015-03-26 — SX5E LIRN ISSUER HSBC PART 118.00% Purchase SP $15,001 - $50,000 20002832 { } 1168 2015-03-26 — SX5E LIRN ISSUER HSBC PART 118.00% Purchase SP $50,001 - $100,000 20002832 { } 1169 2015-03-25 COP ConocoPhillips Sale SP $1,001 - $15,000 20002832 { } 1170 2015-03-25 — DJIA LIRN Issurer RBC PART 111.30% Purchase SP $15,001 - $50,000 20002832 { } 1171 2015-03-24 — SX5E LIRN ISSUER RBC PART 145.50% S... Sale SP $15,001 - $50,000 20002832 { } 1172 2015-03-24 — SX5E LIRN ISSUER RBC PART 145.50% S... Sale SP $50,001 - $100,000 20002832 { } 1173 2015-03-24 — SX5E LIRN ISSUER RBC PART 145.50% S... Sale SP $100,001 - $250,000 20002832 { } 1174 2015-03-24 — SX5E LIRN ISSUER RBC PART 145.50% S... Sale SP $15,001 - $50,000 20002832 { } 1175 2015-03-18 BSX Boston Scientific Corporation Purchase SP $1,001 - $15,000 20002832 { } 1176 2015-03-16 COST Costco Wholesale Corporation Sale SP $1,001 - $15,000 20002832 { } 1177 2015-03-16 DLTR Dollar Tree, Inc. Purchase SP $1,001 - $15,000 20002832 { } 1178 2015-03-16 HBI Hanesbrands Inc. Purchase SP $1,001 - $15,000 20002832 { } 1179 2015-03-16 PVH PVH Corp. Sale SP $1,001 - $15,000 20002832 { } 1180 2015-03-11 EMC EMC Corporation Sale SP $1,001 - $15,000 20002832 { } 1181 2015-03-06 — DN BMO HARRIS BANK NA CALLABLE CD FEB 20 2029 CURRENT COUPON 3.00 Sale SP $50,001 - $100,000 20002832 { } 1182 2015-03-06 — INDU BUF CAP PART NTS CAP 66.45% SV.. Purchase SP $50,001 - $100,000 20002832 { } 1183 2015-02-26 F Ford Motor Company Sale SP $1,001 - $15,000 20002832 { } 1184 2015-02-26 F Ford Motor Company Sale Self $1,001 - $15,000 20002642 { } 1185 2015-02-23 — sP M81 (Merrill Lynch) sasol Ltd. American Depositary shares (ssL) Purchase Self $1,001 - $15,000 20002642 { } 1186 2015-02-19 — sP M81 (Merrill Lynch) sP500 CLIRN Issuer RPC Cap 12.02% Purchase Self $100,001 - $250,000 20005013 { } 1187 2015-02-18 RDS.A sP M81 (Merrill Lynch) Royal Dutch shell PLC Royal Dutch shell American Depositary shares Purchase Self $1,001 - $15,000 20002642 { } 1188 2015-02-11 MSFT sP M81 (Merrill Lynch) Microsoft Corporation Sale Self $1,001 - $15,000 20002642 { } 1189 2015-02-11 TSLA sP M81 (Merrill Lynch) Tesla Motors, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1190 2015-02-11 VZ sP M81 (Merrill Lynch) Verizon Communications Inc. Purchase Self $1,001 - $15,000 20002642 { } 1191 2015-02-10 ASML sP M81 (Merrill Lynch) ASML Holding N.V. - ADS represents 1 ordinary share Sale Self $1,001 - $15,000 20002642 { } 1192 2015-02-10 CIT sP M81 (Merrill Lynch) CIT group Inc Sale Self $1,001 - $15,000 20002642 { } 1193 2015-02-10 CCE sP M81 (Merrill Lynch) Coca-Cola Enterprises, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1194 2015-02-10 CAG sP M81 (Merrill Lynch) ConAgra Foods, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1195 2015-02-10 IDXX sP M81 (Merrill Lynch) IDEXX Laboratories, Inc. Sale Self $1,001 - $15,000 20002642 { } 1196 2015-02-10 ICE Intercontinental Exchange Inc. Purchase Self $1,001 - $15,000 20002642 { } 1197 2015-02-10 IPG sP M81 (Merrill Lynch) Interpublic group of Companies, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1198 2015-02-10 SPLK sP M81 (Merrill Lynch) splunk Inc. Sale Self $1,001 - $15,000 20002642 { } 1199 2015-02-09 ABT Abbott Laboratories Sale Self $1,001 - $15,000 20002642 { } 1200 2015-02-09 ACN sP M81 (Merrill Lynch) Accenture plc. Class A ordinary shares Purchase Self $1,001 - $15,000 20002642 { } 1201 2015-02-09 ADBE sP M81 (Merrill Lynch) Adobe systems Incorporated Purchase Self $1,001 - $15,000 20002642 { } 1202 2015-02-09 AKAM sP M81 (Merrill Lynch) Akamai Technologies, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1203 2015-02-09 AA sP M81 (Merrill Lynch) Alcoa Inc. Sale Self $1,001 - $15,000 20002642 { } 1204 2015-02-09 ALXN sP M81 (Merrill Lynch) Alexion Pharmaceuticals, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1205 2015-02-09 BABA sP M81 (Merrill Lynch) Alibaba group Holding Limited American Depositary shares each representing one ordinary share Sale Self $1,001 - $15,000 20002642 { } 1206 2015-02-09 ADS sP M81 (Merrill Lynch) Alliance Data systems Corporation Sale Self $1,001 - $15,000 20002642 { } 1207 2015-02-09 AMZN sP M81 (Merrill Lynch) Amazon.com, Inc. Sale Self $1,001 - $15,000 20002642 { } 1208 2015-02-09 AMT sP M81 (Merrill Lynch) American Tower Corporation Purchase Self $1,001 - $15,000 20002642 { } 1209 2015-02-09 AMP sP M81 (Merrill Lynch) Ameriprise Financial, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1210 2015-02-09 AAPL sP M81 (Merrill Lynch) Apple Inc. Sale Self $1,001 - $15,000 20002642 { } 1211 2015-02-09 ASML sP M81 (Merrill Lynch) ASML Holding N.V. - ADS represents 1 ordinary share Sale Self $1,001 - $15,000 20002642 { } 1212 2015-02-09 BIIB sP M81 (Merrill Lynch) biogen Idec Inc. Purchase Self $1,001 - $15,000 20002642 { } 1213 2015-02-09 BLK sP M81 (Merrill Lynch) blackRock, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1214 2015-02-09 BMY sP M81 (Merrill Lynch) bristol-Myers squibb Company Sale Self $1,001 - $15,000 20002642 { } 1215 2015-02-09 — Cbs Corporation Class b (Cbs) Purchase Self $1,001 - $15,000 20002642 { } 1216 2015-02-09 CIT sP M81 (Merrill Lynch) CIT group Inc Sale Self $1,001 - $15,000 20002642 { } 1217 2015-02-09 CCE sP M81 (Merrill Lynch) Coca-Cola Enterprises, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1218 2015-02-09 CTSH sP M81 (Merrill Lynch) Cognizant Technology solutions Corporation - Class A Purchase Self $1,001 - $15,000 20002642 { } 1219 2015-02-09 CMA sP M81 (Merrill Lynch) Comerica Incorporated Sale Self $1,001 - $15,000 20002642 { } 1220 2015-02-09 COST sP M81 (Merrill Lynch) Costco Wholesale Corporation Sale Self $1,001 - $15,000 20002642 { } 1221 2015-02-09 CMI sP M81 (Merrill Lynch) Cummins Inc. Purchase Self $1,001 - $15,000 20002642 { } 1222 2015-02-09 DHR sP M81 (Merrill Lynch) Danaher Corporation Sale Self $1,001 - $15,000 20002642 { } 1223 2015-02-09 DLPH sP M81 (Merrill Lynch) Delphi Automotive plc ordinary shares Purchase Self $1,001 - $15,000 20002642 { } 1224 2015-02-09 DFS sP M81 (Merrill Lynch) Discover Financial services Purchase Self $1,001 - $15,000 20002642 { } 1225 2015-02-09 — sP M81 (Merrill Lynch) Dollar general Corporation (Dg) Purchase Self $1,001 - $15,000 20002642 { } 1226 2015-02-09 D sP M81 (Merrill Lynch) Dominion Resources, Inc. Sale Self $1,001 - $15,000 20002642 { } 1227 2015-02-09 DOW sP M81 (Merrill Lynch) Dow Chemical Company Purchase Self $1,001 - $15,000 20002642 { } 1228 2015-02-09 EMC sP M81 (Merrill Lynch) EMC Corporation Purchase Self $1,001 - $15,000 20002642 { } 1229 2015-02-09 — sP M81 (Merrill Lynch) Eog Resources, Inc. (Eog) Purchase Self $1,001 - $15,000 20002642 { } 1230 2015-02-09 EL sP M81 (Merrill Lynch) Estee Lauder Companies, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1231 2015-02-09 — sP M81 (Merrill Lynch) Facebook, Inc. - Class A (Fb) Purchase Self $1,001 - $15,000 20002642 { } 1232 2015-02-09 FDX sP M81 (Merrill Lynch) FedEx Corporation Purchase Self $1,001 - $15,000 20002642 { } 1233 2015-02-09 — sP M81 (Merrill Lynch) general Dynamics Corporation (gD) Sale Self $1,001 - $15,000 20002642 { } 1234 2015-02-09 — sP M81 (Merrill Lynch) general Motors Company (gM) Sale Self $1,001 - $15,000 20002642 { } 1235 2015-02-09 — sP M81 (Merrill Lynch) goldcorp Inc. (gg) Sale Self $1,001 - $15,000 20002642 { } 1236 2015-02-09 — sP M81 (Merrill Lynch) google Inc. - Class C Capital stock (goog) Purchase Self $1,001 - $15,000 20002642 { } 1237 2015-02-09 HCA sP M81 (Merrill Lynch) HCA Holdings, Inc. Sale Self $1,001 - $15,000 20002642 { } 1238 2015-02-09 HON sP M81 (Merrill Lynch) Honeywell International Inc. Purchase Self $1,001 - $15,000 20002642 { } 1239 2015-02-09 IDXX sP M81 (Merrill Lynch) IDEXX Laboratories, Inc. Sale Self $1,001 - $15,000 20002642 { } 1240 2015-02-09 ILMN sP M81 (Merrill Lynch) Illumina, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1241 2015-02-09 ICE sP M81 (Merrill Lynch) Intercontinental Exchange Inc. Purchase Self $1,001 - $15,000 20002642 { } 1242 2015-02-09 JNJ sP M81 (Merrill Lynch) Johnson & Johnson Sale Self $1,001 - $15,000 20002642 { } 1243 2015-02-09 KMI sP E48 (Edward Jones) Kinder Morgan, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1244 2015-02-09 LVLT sP M81 (Merrill Lynch) Level 3 Communications, Inc. Sale Self $1,001 - $15,000 20002642 { } 1245 2015-02-09 LNKD sP M81 (Merrill Lynch) LinkedIn Corporation Class A Purchase Self $1,001 - $15,000 20002642 { } 1246 2015-02-09 MMC sP M81 (Merrill Lynch) Marsh & McLennan Companies, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1247 2015-02-09 MLM sP M81 (Merrill Lynch) Martin Marietta Materials, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1248 2015-02-09 MCK sP M81 (Merrill Lynch) McKesson Corporation Purchase Self $1,001 - $15,000 20002642 { } 1249 2015-02-09 — sP M81 (Merrill Lynch) Michael Kors Holdings Limited ordinary Purchase Self $1,001 - $15,000 20002642 { } 1250 2015-02-09 MSFT sP M81 (Merrill Lynch) Microsoft Corporation Purchase Self $1,001 - $15,000 20002642 { } 1251 2015-02-09 MDLZ sP M81 (Merrill Lynch) Mondelez International, Inc. - Class A Purchase Self $1,001 - $15,000 20002642 { } 1252 2015-02-09 NEE sP M81 (Merrill Lynch) NextEra Energy, Inc. Sale Self $1,001 - $15,000 20002642 { } 1253 2015-02-09 NKE sP M81 (Merrill Lynch) Nike, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1254 2015-02-09 NBL sP M81 (Merrill Lynch) Noble Energy Inc. Sale Self $1,001 - $15,000 20002642 { } 1255 2015-02-09 ORCL sP M81 (Merrill Lynch) oracle Corporation Purchase Self $1,001 - $15,000 20002642 { } 1256 2015-02-09 PRGO sP M81 (Merrill Lynch) Perrigo Company plc ordinary shares Purchase Self $1,001 - $15,000 20002642 { } 1257 2015-02-09 PFE sP M81 (Merrill Lynch) Pfizer, Inc. Sale Self $1,001 - $15,000 20002642 { } 1258 2015-02-09 PX sP M81 (Merrill Lynch) Praxair, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1259 2015-02-09 PCP sP M81 (Merrill Lynch) Precision Castparts Corporation Sale Self $1,001 - $15,000 20002642 { } 1260 2015-02-09 — sP M81 (Merrill Lynch) Procter & gamble Company (Pg) Sale Self $1,001 - $15,000 20002642 { } 1261 2015-02-09 PVH sP M81 (Merrill Lynch) PVH Corp. Purchase Self $1,001 - $15,000 20002642 { } 1262 2015-02-09 RL sP M81 (Merrill Lynch) Ralph Lauren Corporation Sale Self $1,001 - $15,000 20002642 { } 1263 2015-02-09 RRC sP M81 (Merrill Lynch) Range Resources Corporation Sale Self $1,001 - $15,000 20002642 { } 1264 2015-02-09 RTN sP M81 (Merrill Lynch) Raytheon Company Purchase Self $1,001 - $15,000 20002642 { } 1265 2015-02-09 REGN sP M81 (Merrill Lynch) Regeneron Pharmaceuticals, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1266 2015-02-09 SNDK sP M81 (Merrill Lynch) sanDisk Corporation Sale Self $1,001 - $15,000 20002642 { } 1267 2015-02-09 — schlumberger N.V. (sLb) Purchase Self $1,001 - $15,000 20002642 { } 1268 2015-02-09 SHW sP M81 (Merrill Lynch) sherwin-Williams Company Sale Self $1,001 - $15,000 20002642 { } 1269 2015-02-09 SPLK sP M81 (Merrill Lynch) splunk Inc. Sale Self $1,001 - $15,000 20002642 { } 1270 2015-02-09 SBUX sP M81 (Merrill Lynch) starbucks Corporation Sale Self $1,001 - $15,000 20002642 { } 1271 2015-02-09 HOT sP M81 (Merrill Lynch) starwood Hotels & Resorts Worldwide, Inc. Sale Self $1,001 - $15,000 20002642 { } 1272 2015-02-09 TGT sP M81 (Merrill Lynch) Target Corporation Sale Self $1,001 - $15,000 20002642 { } 1273 2015-02-09 TEVA sP M81 (Merrill Lynch) Teva Pharmaceutical Industries Limited American Depositary shares Sale Self $1,001 - $15,000 20002642 { } 1274 2015-02-09 PCLN sP M81 (Merrill Lynch) The Priceline group Inc. Purchase Self $1,001 - $15,000 20002642 { } 1275 2015-02-09 FOXA sP M81 (Merrill Lynch) Twenty-First Century Fox, Inc. - Class A Sale Self $1,001 - $15,000 20002642 { } 1276 2015-02-09 TYC sP M81 (Merrill Lynch) Tyco International plc Purchase Self $1,001 - $15,000 20002642 { } 1277 2015-02-09 ULTA sP M81 (Merrill Lynch) Ulta salon, Cosmetics & Fragrance, Inc. Purchase Self $1,001 - $15,000 20002642 { } 1278 2015-02-09 UA sP M81 (Merrill Lynch) Under Armour, Inc. Class A Purchase Self $1,001 - $15,000 20002642 { } 1279 2015-02-09 UNP sP M81 (Merrill Lynch) Union Pacific Corporation Sale Self $1,001 - $15,000 20002642 { } 1280 2015-02-09 UTX sP M81 (Merrill Lynch) United Technologies Corporation Purchase Self $1,001 - $15,000 20002642 { } 1281 2015-02-09 UNH sP M81 (Merrill Lynch) UnitedHealth group Incorporated Purchase Self $1,001 - $15,000 20002642 { } 1282 2015-02-09 VMW sP M81 (Merrill Lynch) Vmware, Inc. Common stock, Class A Sale Self $1,001 - $15,000 20002642 { } 1283 2015-02-04 COP sP M81 (Merrill Lynch) ConocoPhillips Sale Self $1,001 - $15,000 20005013 { } 1284 2015-02-03 COP sP M81 (Merrill Lynch) ConocoPhillips Sale Self $1,001 - $15,000 20005013 { } 1285 2015-02-03 RDS.A sP M81 (Merrill Lynch) Royal Dutch shell PLC Royal Dutch shell American Depositary shares Purchase Self $1,001 - $15,000 20005013 { } 1286 2015-01-14 JPM sP M81 (Merrill Lynch) JP Morgan Chase & Co. Purchase Self $1,001 - $15,000 20002642 { } 1287 2015-01-14 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Purchase SP $100,001 - $250,000 20002628 { } 1288 2015-01-14 — Ft Unit 5221 Sabrient bakers Dozen Port 2015 Purchase SP $50,001 - $100,000 20002628 { } 1289 2015-01-14 FCX sP M81 (Merrill Lynch) Freeport-McMoRan, Inc. Purchase Self $1,001 - $15,000 20002531 { } 1290 2015-01-05 DD E.I. du Pont de Nemours and Company Sale Self $1,001 - $15,000 20002531 { } 1291 2014-12-29 DD sP M81 (Merrill Lynch) E.I. du Pont de Nemours and Company Sale Self $1,001 - $15,000 20002531 { } 1292 2014-12-29 DD sP M81 (Merrill Lynch) E.I. du Pont de Nemours and Company Sale Self $1,001 - $15,000 20002307 { } 1293 2014-12-22 MAT sP M81 (Merrill Lynch) Mattel, Inc. Purchase Self $1,001 - $15,000 20002307 { } 1294 2014-12-12 HCA sP M81 (Merrill Lynch) HCA Holdings, Inc. Purchase Self $1,001 - $15,000 20002307 { } 1295 2014-12-11 ACT Actavis plc ordinary shares Purchase Self $1,001 - $15,000 20002307 { } 1296 2014-12-11 HCA sP M81 (Merrill Lynch) HCA Holdings, Inc. Purchase Self $1,001 - $15,000 20002307 { } 1297 2014-12-10 — sP M81 (Merrill Lynch) stratasys, Ltd. (ssYs) Sale Self $1,001 - $15,000 20002307 { } 1298 2014-12-09 LYB sP M81 (Merrill Lynch) Lyondellbasell Industries NV ordinary shares Class A Sale Self $1,001 - $15,000 20002307 { } 1299 2014-12-08 APA sP M81 (Merrill Lynch) Apache Corporation Sale Self $1,001 - $15,000 20002307 { } 1300 2014-12-08 SNDK sP M81 (Merrill Lynch) sanDisk Corporation Purchase Self $1,001 - $15,000 20002307 { } 1301 2014-12-08 HOT sP M81 (Merrill Lynch) starwood Hotels & Resorts Worldwide, Inc. Purchase Self $1,001 - $15,000 20002307 { } 1302 2014-12-03 ADS sP M81 (Merrill Lynch) Alliance Data systems Corporation Sale Self $1,001 - $15,000 20002307 { } 1303 2014-12-03 HAL sP M81 (Merrill Lynch) Halliburton Company Sale Self $1,001 - $15,000 20002307 { } 1304 2014-12-02 BIIB sP M81 (Merrill Lynch) biogen Idec Inc. Purchase Self $1,001 - $15,000 20002307 { } 1305 2014-11-18 BAX baxter International Inc. Purchase Self $1,001 - $15,000 20002132 { } 1306 2014-11-17 LMT sP M81 lockheed Martin Corporation Sale Self $1,001 - $15,000 20002132 { } 1307 2014-11-12 WFC sP M81 (Merrill Lynch) Wells Fargo & Company Sale Self $1,001 - $15,000 20003476 { } 1308 2014-11-11 PRGO sP M81 (Merrill Lynch) Perrigo Company plc ordinary shares Sale Self $1,001 - $15,000 20003476 { } 1309 2014-11-07 CVS sP M81 (Merrill Lynch) CVS Health Corporation Sale Self $1,001 - $15,000 20003476 { } 1310 2014-11-07 LMT sP M81 (Merrill Lynch) Lockheed Martin Corporation Sale Self $1,001 - $15,000 20003476 { } 1311 2014-11-07 SYMC sP M81 (Merrill Lynch) symantec Corporation Purchase Self $1,001 - $15,000 20003476 { } 1312 2014-11-05 BAX baxter International Inc. Purchase Self $1,001 - $15,000 20003476 { } 1313 2014-11-04 LVLT sP M81 (Merrill Lynch) Level 3 Communications, Inc. Purchase Self $1,001 - $15,000 20003476 { } 1314 2014-11-04 — sP M81 (Merrill Lynch) unilever NV (uN) Sale Self $1,001 - $15,000 20003476 { } 1315 2014-11-03 LH sP M81 (Merrill Lynch) Laboratory Corporation of America Holdings Sale Self $1,001 - $15,000 20003476 { } 1316 2014-04-22 HAL sP M81 (Merrill Lynch) Halliburton Company Purchase Self $1,001 - $15,000 20003476 { } 1317 2013-08-15 — Dallas Co TX Util 5.000% 02/15/2024 Sale SP $50,001 - $100,000 20002945 { } 1318 2013-08-15 — Dallas Co TX Util 5.000% 02/15/2024 Sale SP $50,001 - $100,000 20002581 { } 1319 2013-07-26 — BHP billiton plc Sponsored ADR (bbL) Purchase SP $1,001 - $15,000 20002945 { } 1320 2013-07-26 EMR Emerson Electric Company Purchase SP $1,001 - $15,000 20002945 { } 1321 2013-07-26 — BHP billiton plc Sponsored ADR (bbL) Purchase SP $1,001 - $15,000 20002581 { } 1322 2013-07-26 EMR Emerson Electric Company Purchase SP $1,001 - $15,000 20002581 { } 1323 2013-07-01 DE Deere & Company Purchase SP $15,001 - $50,000 20002945 { } 1324 2013-07-01 DE Deere & Company Purchase SP $15,001 - $50,000 20002581 { } 