Thomas R Carper

U.S. Senator112 filings1574 transactions

View on Senate EFD

Total Purchases (max)

$16.1M

Total Sales (max)

$4.6M

Net Portfolio Value

$11.5M

362 active positions of 706 total · Using max values from amount ranges

#	Ticker↕	Asset↕	Purchases↕	Sales↕	Net Value↓	Txns↕	% of Portfolio
1	—	US TREASURY BILL	$3.2M	$2.9M	$295K	92	2.6%
2	—	UBS Contingent Autocall Bank of America Rate/Coupon: 8.1% Matures: 12/30/2022	$200K	—	$200K	4	1.7%
3	—	MS Contingent Autocall Intel Rate/Coupon: 8.2% Matures: 12/9/2022	$200K	—	$200K	4	1.7%
4	—	JPM Contingent Autocall on NVDA Rate/Coupon: 12.1% Matures: 06/18/2020	$200K	—	$200K	4	1.7%
5	—	UBS Contingent Autocall on SLB 90281C708 Rate/Coupon: 9.0% Matures: 04/23/2020	$200K	—	$200K	4	1.7%
6	DD	DuPont de Nemours, Inc.	$180K	$45K	$135K	15	1.2%
7	GBIL	Goldman Sachs Access Treasury 0-1 Year ETF	$250K	$125K	$125K	18	1.1%
8	—	Amazon	$120K	—	$120K	8	1.0%
9	SWKS	Skyworks Solutions	$135K	$30K	$105K	11	0.9%
10	ICLN	Global Clean Energy Ishares ETF	$100K	—	$100K	1	0.9%
11	—	BCS Contingent Autocall on COF Rate/Coupon: 8.0% Matures: 07/19/2024	$100K	—	$100K	2	0.9%
12	—	JPM Contingent Autocall Citigroup Rate/Coupon: 10% Matures: 04/01/2024	$100K	—	$100K	2	0.9%
13	—	MS Contingent Autocall on Boeing Rate/Coupon: 8.35% Matures: 04/01/2022	$100K	—	$100K	2	0.9%
14	—	Bank of America Rate/Coupon: 3.0% Matures: 06/21/2019	$100K	—	$100K	2	0.9%
15	—	Owens & Minor Rate/Coupon: 3.875% Matures: 09/15/2021	$100K	—	$100K	2	0.9%
16	—	Government Properties Inc Rate/Coupon: 4.0% Matures: 07/15/2022	$100K	—	$100K	2	0.9%
17	—	S&P 500 Index Fund ETF	$100K	—	$100K	2	0.9%
18	XCEM	Columbia EM Core Ex-China ETF	$80K	—	$80K	3	0.7%
19	CEF	Sprott Physical Gold & Silver Trust	$150K	$75K	$75K	15	0.7%
20	PTNQ	Pacer Trendpilot 100 ETF	$75K	—	$75K	5	0.7%
21	—	SPDR Gold Tr Gold Shs	$75K	—	$75K	5	0.7%
22	SBPYX	Clearbridge Small Cap Growth Fd Cl I	$65K	—	$65K	2	0.6%
23	IGHG	ProShares Investment Grade-Interest Rate Hedged	$65K	—	$65K	2	0.6%
24	XCAPX	ACAP Strategic Fund	$65K	—	$65K	2	0.6%
25	—	Goldman Sachs Access Treasury 0-1	$65K	—	$65K	2	0.6%
26	—	HSBC Contingent Autocall Anadarko Petroleum 9% due 9/5/2017	$65K	—	$65K	2	0.6%
27	—	JPM Contingent Autocall Walgreen 9.3% due 7/28/2017	$65K	—	$65K	2	0.6%
28	—	JPM Contingent Autocall Walgreens 10% 4/28/2017	$65K	—	$65K	2	0.6%
29	—	8.05% due 1/27/17 UBS Autocall Potash	$65K	—	$65K	2	0.6%
30	ABYIX	Abbey Capital Futures Strategy Fund- Class I Sha	$75K	$15K	$60K	6	0.5%
31	SRVR	Pacer Benchmark Data & Infrastructure Real Estate	$105K	$45K	$60K	10	0.5%
32	CVS	CVS Health Corporation Common Stock	$90K	$30K	$60K	8	0.5%
33	PTMC	Pacer Trendpilot US Mid Cap ETF	$75K	$15K	$60K	6	0.5%
34	GLW	Corning Incorporated Common Stock	$75K	$15K	$60K	6	0.5%
35	RODM	Hartford Multifactor Developed Markets (ex-US) ETF	$60K	—	$60K	4	0.5%
36	PNQI	Invesco NASDAQ Internet ETF	$60K	—	$60K	4	0.5%
37	—	Invesco Pacific Growth A	$60K	—	$60K	4	0.5%
38	BSTZ	BlackRock Science and Technology Trust II	$60K	—	$60K	4	0.5%
39	—	Raytheon	$60K	—	$60K	4	0.5%
40	—	Toronto Dominion Bank Step-Up Note Rate/Coupon: 3.0% Matures: 10/31/2020	$60K	—	$60K	4	0.5%
41	—	Nuveen JFR Term Preferred Step-up Callable Notes Rate/Coupon: 1.75% Matures: 12/01/2019	$60K	—	$60K	4	0.5%
42	—	Under Armour Inc	$60K	—	$60K	4	0.5%
43	—	Broadcom Corp Rate/Coupon: 3.625% Matures: 01/15/2024	$50K	—	$50K	1	0.4%
44	—	JPM Contingent Autocall on Gilead Rate/Coupon: 8.0% Matures: 12/27/2024	$50K	—	$50K	1	0.4%
45	—	JPM Contingent Autocall GILD Rate/Coupon: 8.65% Matures: 09/20/2024	$50K	—	$50K	1	0.4%
46	—	GS Contingent Autocall AAPL Rate/Coupon: 8.0% Matures: 08/16/2024	$50K	—	$50K	1	0.4%
47	ATOAX	Aberdeen Ultra Short Municipal Income Fund Class A	$50K	—	$50K	1	0.4%
48	—	BCS Contingent Autocall CSCO Rate/Coupon: 8.3% Matures: 01/27/2023	$50K	—	$50K	1	0.4%
49	—	RBC Contingent Autocall on Nvidia Rate/Coupon: 12.65% Matures: 07/30/2019	$100K	$50K	$50K	3	0.4%
50	—	Williams Partners LP Rate/Coupon: 3.5% Matures: 08/15/2022	$50K	—	$50K	1	0.4%
51	—	Met Life Inc	$50K	—	$50K	1	0.4%
52	—	HSBC Contingent Autocall on the Blackstone Group Rate/Coupon: 8.8% Matures: 08/03/2018	$50K	—	$50K	1	0.4%
53	—	Alcoa Inc Pfd CV Cl B	$50K	—	$50K	1	0.4%
54	—	Barclays Contingent Autocall CBS Rate/Coupon: 8.45% Matures: 02/02/2018	$50K	—	$50K	1	0.4%
55	—	JPM Contingent Autocall STX Inc Rate/Coupon: 11.85% Matures: 12/29/2017	$50K	—	$50K	1	0.4%
56	—	Icahn Enterprises 4.875% due 3/15/19	$50K	—	$50K	1	0.4%
57	—	JPM Contingent Autocall STX Inc 9.75% due 9/22/2017	$50K	—	$50K	1	0.4%
58	—	HSBC Contingent Autocall FCX 8.95% due 7/30/2015	$50K	—	$50K	1	0.4%
59	—	Energen Corp Bond 4.625% due 9/1/21	$50K	—	$50K	1	0.4%
60	—	JPM Contingent Autocall Applied Materials 10.85% due 6/11/15	$50K	—	$50K	1	0.4%
61	—	Barclays Contingent Autocall Vodafone 11.05% 4/10/17	$50K	—	$50K	1	0.4%
62	—	UBS Autocall Terex Corp. 11.2% due 3/11/15	$50K	—	$50K	1	0.4%
63	—	MS Autocall Valero Energy 12% due 2/21/17	$50K	—	$50K	1	0.4%
64	—	8.05% due 1/26/15 MS Autocall FCX	$50K	—	$50K	1	0.4%
65	—	8.6% due 1/8/15 HSBC Autocall Broadcom	$50K	—	$50K	1	0.4%
66	SBUX	Starbucks Corp	$60K	$15K	$45K	5	0.4%
67	IWD	iShares Russell 1000 Value ETF	$45K	—	$45K	3	0.4%
68	ITA	iShares U.S. Aerospace & Defense ETF	$45K	—	$45K	3	0.4%
69	SI	Silvergate Capital Corporation Class A Common Stoc	$45K	—	$45K	3	0.4%
70	V	Visa Inc.	$45K	—	$45K	3	0.4%
71	ARE	Alexandria Real Estate Equities, Inc. Common Stock	$60K	$15K	$45K	5	0.4%
72	MANT	ManTech International Corporation	$45K	—	$45K	3	0.4%
73	PTLC	Pacer Trendpilot US Large Cap ETF	$45K	—	$45K	3	0.4%
74	—	FT EM SC Alphadex	$45K	—	$45K	3	0.4%
75	—	Ishares Ibonds Dec 20 Trm Corp	$45K	—	$45K	3	0.4%
76	—	Ishares Ibonds Dec 18 Trm Corp	$45K	—	$45K	3	0.4%
77	—	Pacer Trendpilot 750 ETF	$45K	—	$45K	3	0.4%
78	—	SPDR Euro Stoxx 50 ETF	$45K	—	$45K	3	0.4%
79	—	Nike Inc B	$45K	—	$45K	3	0.4%
80	SQM	Sociedad Quimica Y Minera S.A. ADR	$45K	$15K	$30K	4	0.3%
81	GLD	SPDR Gold Trust	$120K	$90K	$30K	14	0.3%
82	CME	CME Group Inc	$30K	—	$30K	2	0.3%
83	SMDV	ProShares Russell 2000 Dividend Growers ETF	$30K	—	$30K	2	0.3%
84	FLNG	Flex Lng Ltd	$30K	—	$30K	2	0.3%
85	NTLA	Intellia Therapeutics, Inc. - Common Stock	$45K	$15K	$30K	4	0.3%
86	BAH	Booz Allen Hamilton Holding Corp	$45K	$15K	$30K	4	0.3%
87	VZ	Verizon Communications Inc	$45K	$15K	$30K	4	0.3%
88	DIS	Walt Disney Company (The) Common Stock	$60K	$30K	$30K	6	0.3%
89	PYPL	PayPal Holdings, Inc. - Common Stock	$45K	$15K	$30K	4	0.3%
90	TMO	Thermo Fisher Scientific Inc Common Stock	$45K	$15K	$30K	4	0.3%
91	FPI	Farmland Partners Inc. Common Stock	$30K	—	$30K	2	0.3%
92	BSM	Black Stone Minerals, L.P. Common units representi	$30K	—	$30K	2	0.3%
93	GNR	SPDR S&P Global Natural Resources ETF	$60K	$30K	$30K	6	0.3%
94	RIO	Rio Tinto Plc	$45K	$15K	$30K	4	0.3%
95	AMT	American Tower Corporation (REIT) Common Stock	$30K	—	$30K	2	0.3%
96	EFAD	ProShares Trust ProShares MSCI EAFE Dividend Growe	$30K	—	$30K	2	0.3%
97	ABBV	AbbVie Inc. Common Stock	$60K	$30K	$30K	6	0.3%
98	LHX	L3Harris Technologies, Inc. Common Stock	$45K	$15K	$30K	4	0.3%
99	BMY	Bristol-Myers Squibb Company Common Stock	$30K	—	$30K	2	0.3%
100	SNPS	Synopsys, Inc.	$30K	—	$30K	2	0.3%
101	GOLD	Barrick Gold Corporation	$30K	—	$30K	2	0.3%
102	ERIC	Telefonaktiebolaget LM Ericsson (publ)	$30K	—	$30K	2	0.3%
103	ACIW	ACI Worldwide, Inc.	$30K	—	$30K	2	0.3%
104	AJRD	Aerojet Rocketdyne Holdings, Inc.	$30K	—	$30K	2	0.3%
105	CONE	CyrusOne Inc.	$30K	—	$30K	2	0.3%
106	GMAB	Genmab A/S	$30K	—	$30K	2	0.3%
107	ATVI	Activision Blizzard, Inc.	$30K	—	$30K	2	0.3%
108	ARNA	Arena Pharmaceuticals, Inc.	$30K	—	$30K	2	0.3%
109	PAGS	PagSeguro Digital Ltd.	$30K	—	$30K	2	0.3%
110	VIAV	Viavi Solutions Inc.	$30K	—	$30K	2	0.3%
111	DDOG	Datadog, Inc.	$30K	—	$30K	2	0.3%
112	EVOP	EVO Payments, Inc.	$30K	—	$30K	2	0.3%
113	PAAS	Pan American Silver Corp.	$30K	—	$30K	2	0.3%
114	—	GSMYX - GOLDMAN SACHS SM MD CAP GROWTH I	$30K	—	$30K	2	0.3%
115	—	GMSYX - GOLDMAN SACHS SM MD CAP GROWTH I	$30K	—	$30K	2	0.3%
116	GEM	Goldman Sachs ActiveBeta Emerging Markets Equity E	$30K	—	$30K	2	0.3%
117	EEM	iShares MSCI Emerging Markets ETF	$30K	—	$30K	2	0.3%
118	RTN	Raytheon Company	$30K	—	$30K	2	0.3%
119	NVO	Novo Nordisk A/S	$30K	—	$30K	2	0.3%
120	PEP	PepsiCo, Inc.	$30K	—	$30K	2	0.3%
121	—	Marathon Petroleum Corp	$30K	—	$30K	2	0.3%
122	—	Qualcomm Inc	$30K	—	$30K	2	0.3%
123	—	Scotts Miracle Grow	$30K	—	$30K	2	0.3%
124	—	Western Asset inflation Linked Opportunity & Income Fd	$30K	—	$30K	2	0.3%
125	—	Lazard Global Total Return & Income	$30K	—	$30K	2	0.3%
126	—	Packaging Corp	$30K	—	$30K	2	0.3%
127	—	Metlife	$30K	—	$30K	2	0.3%
128	—	Ishares MSCI Emerging Markets ETF	$30K	—	$30K	2	0.3%
129	—	CyrusOne Inc	$30K	—	$30K	2	0.3%
130	—	Sprott Physical Gold & Silver Tr	$30K	—	$30K	2	0.3%
131	—	Catalyst Millburn Hgd Strategies	$30K	—	$30K	2	0.3%
132	—	Abbvie	$30K	—	$30K	2	0.3%
133	—	Ishares Ibonds Dec 20 TRM	$30K	—	$30K	2	0.3%
134	—	TenCent Holdings Ltd Unsponsored ADR	$30K	—	$30K	2	0.3%
135	—	Hartford Multifactor Developed Markets ETF	$30K	—	$30K	2	0.3%
136	—	DowDupont	$30K	—	$30K	2	0.3%
137	—	Fifth Third Bancorp	$30K	—	$30K	2	0.3%
138	—	Tyson Foods	$30K	—	$30K	2	0.3%
139	—	Alps ETF Trust Alps Medical	$30K	—	$30K	2	0.3%
140	—	Victoryshares US 500 Volatility	$30K	—	$30K	2	0.3%
141	—	SPDR S&P Aerospace & Defense ETF	$30K	—	$30K	2	0.3%
142	—	FT Nasdaq Cybersecurity ETF	$30K	—	$30K	2	0.3%
143	—	Ishares US Regional Bank ETF	$30K	—	$30K	2	0.3%
144	—	Lord Abbbett Ultra Short Bd Fund	$30K	—	$30K	2	0.3%
145	—	Ishares Ibonds Dec 19 Trm ETF	$30K	—	$30K	2	0.3%
146	—	Global X Fintech ETF	$30K	—	$30K	2	0.3%
147	—	Fidelity Advisor Intl Capital Appreciation	$30K	—	$30K	2	0.3%
148	—	Catalyst Millburn Hedged Strategies I	$30K	—	$30K	2	0.3%
149	—	Ishares Ibonds Dec 2019 Trm Corp	$30K	—	$30K	2	0.3%
150	—	Global X Lithium & Battery	$30K	—	$30K	2	0.3%
151	—	Ares Capital	$30K	—	$30K	2	0.3%
152	—	AQR Long-Short Equity Fund	$30K	—	$30K	2	0.3%
153	—	SPDR S&P Aerospace and Defense ETF	$30K	—	$30K	2	0.3%
154	—	Western Asset/Claymore Inflation	$30K	—	$30K	2	0.3%
155	—	Pacer Trendpilot 450 ETF	$30K	—	$30K	2	0.3%
156	—	Compass Minerals	$30K	—	$30K	2	0.3%
157	—	Hexcel Corp New	$30K	—	$30K	2	0.3%
158	—	Mantech Intl Corp Cl A	$30K	—	$30K	2	0.3%
159	RAI	Reynolds American Inc.	$30K	—	$30K	2	0.3%
160	—	Central Fund of Canada Ltd A	$30K	—	$30K	2	0.3%
161	—	Western Asset/Claymore Inflation ETF	$30K	—	$30K	2	0.3%
162	—	ALPS ETF Trust-ALPS Medical	$30K	—	$30K	2	0.3%
163	—	Ishares SP Smallcap 600 Index ETF	$30K	—	$30K	2	0.3%
164	—	Lazard World Div & Inc Fd ETF	$30K	—	$30K	2	0.3%
165	—	Powershares Aero & Defense ETF	$30K	—	$30K	2	0.3%
166	—	SPDR Gold TR Gold Shs ETF	$30K	—	$30K	2	0.3%
167	—	Vanguard S&P Mid-cap 400 ETF	$30K	—	$30K	2	0.3%
168	—	First Trust DJ Internet Index ETF	$30K	—	$30K	2	0.3%
169	—	First Trust EM SC Alphadex ETF	$30K	—	$30K	2	0.3%
170	—	Vaneck Vector Junior Gold Miners ETF	$30K	—	$30K	2	0.3%
171	—	Ishares Ibond Dec 18 Trm Corp ETF	$30K	—	$30K	2	0.3%
172	—	Wisdomtree US Cap Div Growth ETF	$30K	—	$30K	2	0.3%
173	—	SPDR S&P 500 ETF	$30K	—	$30K	2	0.3%
174	—	Boeing Co	$30K	—	$30K	2	0.3%
175	—	E I Dupont de Nemours	$30K	—	$30K	2	0.3%
176	—	Under Armour Inc Cl A	$30K	—	$30K	2	0.3%
177	—	Dominion Resources	$30K	—	$30K	2	0.3%
178	—	Weight Watchers Intl Inc	$30K	—	$30K	2	0.3%
179	—	MS Contingent Autocall Marathon Petroleum Rate/Coupon: 9.5% Matures: 03/23/2018	$45K	$15K	$30K	4	0.3%
180	—	Powershares NASDAQ Internet	$30K	—	$30K	2	0.3%
181	AY	Atlantica Yield Plc	$30K	$15K	$15K	3	0.1%
182	D	Dominion Energy Inc	$15K	—	$15K	1	0.1%
183	NTR	Nutrien Ltd	$15K	—	$15K	1	0.1%
184	ALTM	Arcadium Lithium Plc	$15K	—	$15K	1	0.1%
185	—	TAMPA ELECTRIC CO Rate/Coupon: 4.9% Matures: 03/01/2029	$15K	—	$15K	1	0.1%
186	AES	The Aes Corp	$15K	—	$15K	1	0.1%
187	VLO	Valero Energy Corp	$30K	$15K	$15K	3	0.1%
188	ABT	Abbott Laboratories	$30K	$15K	$15K	3	0.1%
189	DELL	Dell Technologies Inc	$15K	—	$15K	1	0.1%
190	FDRR	Fidelity Dividend ETF For Rising Rates	$30K	$15K	$15K	3	0.1%
191	DGX	Quest Diagnostics Inc	$30K	$15K	$15K	3	0.1%
192	GLPI	Gaming and Leisure Properties, Inc. - Common Stock	$15K	—	$15K	1	0.1%
193	FMC	FMC Corp	$15K	—	$15K	1	0.1%
194	KMB	Kimberly-Clark Corp	$15K	—	$15K	1	0.1%
195	RVNC	Revance Therapeutics, Inc. - Common Stock	$15K	—	$15K	1	0.1%
196	NEE	Nextera Energy	$15K	—	$15K	1	0.1%
197	CRWD	Crowdstrike Holdings Inc	$30K	$15K	$15K	3	0.1%
198	ROK	Rockwell Automation Inc	$15K	—	$15K	1	0.1%
199	FTNT	Fortinet Inc	$30K	$15K	$15K	3	0.1%
200	KEYS	Keysight Technologies Inc. Common Stock	$30K	$15K	$15K	3	0.1%
201	NVS	Novartis AG Common Stock	$15K	—	$15K	1	0.1%
202	JHMM	John Hancock Multifactor Mid Cap ETF	$45K	$30K	$15K	5	0.1%
203	BRKR	Bruker Corporation - Common Stock	$30K	$15K	$15K	3	0.1%
204	MRVL	Marvell Technology Group Ltd. - Common Stock	$30K	$15K	$15K	3	0.1%
205	WM	Waste Management, Inc. Common Stock	$15K	—	$15K	1	0.1%
206	VHT	Vanguard Health Care ETF	$15K	—	$15K	1	0.1%
207	LDP	Cohen & Steers Limited Duration Preferred and Inco	$75K	$60K	$15K	9	0.1%
208	QTEC	First Trust NASDAQ-100-Technology Sector Index Fun	$45K	$30K	$15K	5	0.1%
209	MOO	VanEck Agribusiness ETF	$60K	$45K	$15K	7	0.1%
210	ATKR	Atkore Inc. Common Stock	$15K	—	$15K	1	0.1%
211	BHP	BHP Group Limited American Depositary Shares (Each	$15K	—	$15K	1	0.1%
212	DLR	Digital Realty Trust, Inc. Common Stock	$30K	$15K	$15K	3	0.1%
213	SAND	Sandstorm Gold Ltd. Ordinary Shares (Canada)	$15K	—	$15K	1	0.1%
214	MGM	MGM Resorts International Common Stock	$15K	—	$15K	1	0.1%
215	BMN	BlackRock 2037 Municipal Target Term Trust Common	$15K	—	$15K	1	0.1%
216	GSIMX	Goldman Sachs Gqg Partners International Opportu	$15K	—	$15K	1	0.1%
217	PRF	Invesco FTSE RAFI US 1000 ETF	$15K	—	$15K	1	0.1%
218	EELV	S&P Emerging Markets Low Vol Invesco ETF	$15K	—	$15K	1	0.1%
219	GSSC	GS Activebeta U.S. Small Cap Equity ETF	$15K	—	$15K	1	0.1%
220	FINX	Global X FinTech ETF	$45K	$30K	$15K	5	0.1%
221	—	Ryder Systems Inc Rate/Coupon: 3.65% Matures: 03/18/2024	$15K	—	$15K	1	0.1%
222	JCI	Johnson Controls International plc Ordinary Share	$30K	$15K	$15K	3	0.1%
223	KWEB	KS Trust KS CSI China Internet ETF	$30K	$15K	$15K	3	0.1%
224	LUBFX	Lord Abbett Ultra Short Bond Fund - Class F	$60K	$45K	$15K	7	0.1%
225	IWN	iShares Russell 2000 Value ETF	$30K	$15K	$15K	3	0.1%
226	GLAD	Gladstone Capital Corporation - Common Stock	$45K	$30K	$15K	5	0.1%
227	JNJ	Johnson & Johnson Common Stock	$15K	—	$15K	1	0.1%
228	—	Goldman Sachs Small-Mid Cap Growth	$15K	—	$15K	1	0.1%
229	—	Fidelity Advisor Focused Emerging Markets	$15K	—	$15K	1	0.1%
230	COR	CoreSite Realty Corporation Common Stock	$15K	—	$15K	1	0.1%
231	NUAN	Nuance Communications, Inc.	$30K	$15K	$15K	3	0.1%
232	TRIT	Triterras, Inc.	$15K	—	$15K	1	0.1%
233	CWEN	Clearway Energy, Inc.	$15K	—	$15K	1	0.1%
234	TSLA	Tesla, Inc.	$15K	—	$15K	1	0.1%
235	NTAP	NetApp, Inc.	$15K	—	$15K	1	0.1%
236	—	ACAP STRAGIC INTERVAL	$15K	—	$15K	1	0.1%
237	PFE	Pfizer Inc.	$15K	—	$15K	1	0.1%
238	TSN	Tyson Foods, Inc.	$30K	$15K	$15K	3	0.1%
239	—	AQR Long-Short Equity	$30K	$15K	$15K	3	0.1%
240	JPM	JPMorgan Chase & Co.	$15K	—	$15K	1	0.1%
241	SPY	SPDR S&P 500 ETF Trust	$15K	—	$15K	1	0.1%
242	—	Quest Diagnostics	$15K	—	$15K	1	0.1%
243	—	Fedex Corp	$30K	$15K	$15K	3	0.1%
244	—	Altria Group Inc	$15K	—	$15K	1	0.1%
245	—	Citizens Financial	$15K	—	$15K	1	0.1%
246	—	First Tr New Opportunity MLP & Energy Fund	$15K	—	$15K	1	0.1%
247	—	Pfizer Inc	$30K	$15K	$15K	3	0.1%
248	—	Ishares China Large Cap ETF	$45K	$30K	$15K	5	0.1%
249	—	The Scotts Miracle-Gro Group	$15K	—	$15K	1	0.1%
250	—	Lord Abbett Ultra Short Bond Fd	$15K	—	$15K	1	0.1%
251	—	Newell Corp	$15K	—	$15K	1	0.1%
252	—	CVS Health	$15K	—	$15K	1	0.1%
253	—	Ishares S&P Smll-Cap 600 Value	$15K	—	$15K	1	0.1%
254	—	Ishares MSCI India Sm Cap	$15K	—	$15K	1	0.1%
255	—	ETFMG Prime Mobile Payments	$15K	—	$15K	1	0.1%
256	—	Wisdom Tree Intl Sm Cap Div	$15K	—	$15K	1	0.1%
257	—	Ishares S&P GS Commodity Index	$15K	—	$15K	1	0.1%
258	—	Global X Robotics & Artificial Intelligence	$15K	—	$15K	1	0.1%
259	—	Omega Healthcare Inv	$15K	—	$15K	1	0.1%
260	—	Owens & Minor	$15K	—	$15K	1	0.1%
261	—	Ishares China Large Cap	$15K	—	$15K	1	0.1%
262	—	Newell Brands	$15K	—	$15K	1	0.1%
263	—	Gladstone Corp	$15K	—	$15K	1	0.1%
264	—	CyrusOne	$15K	—	$15K	1	0.1%
265	—	Ishares Ibonds Dec 2018 term	$15K	—	$15K	1	0.1%
266	—	Hartford Multifactor Developed Mkt	$15K	—	$15K	1	0.1%
267	—	Pacer Trendpilot 100	$15K	—	$15K	1	0.1%
268	—	Seagate Technology	$15K	—	$15K	1	0.1%
269	—	Prudential Jennison Global Opportunity A	$15K	—	$15K	1	0.1%
270	—	Fidelity Advisor International Small Cap A	$15K	—	$15K	1	0.1%
271	—	Oakmark International I Fund	$15K	—	$15K	1	0.1%
272	—	Central Fund of Canada	$45K	$30K	$15K	5	0.1%
273	—	Visa Inc	$15K	—	$15K	1	0.1%
274	—	Total S.A. Sponsored ADR	$15K	—	$15K	1	0.1%
275	—	BancoLatinomericano De Comericio Exteror S.A.	$15K	—	$15K	1	0.1%
276	—	BAE Systems PLC Sponsored ADR	$15K	—	$15K	1	0.1%
277	—	Western Asset/Claymore Inflation Opportunity Income Tr	$15K	—	$15K	1	0.1%
278	—	Ishares China Large-Cap ETF	$15K	—	$15K	1	0.1%
279	—	Agilent Corp	$15K	—	$15K	1	0.1%
280	—	Nvidia Corp	$15K	—	$15K	1	0.1%
281	—	Alexandria Real Estate Equity Inc	$15K	—	$15K	1	0.1%
282	NWL	Newell Brands Inc.	$15K	—	$15K	1	0.1%
283	—	Diageo PLC Sponsored ADR	$15K	—	$15K	1	0.1%
284	—	Packaging Corp of America	$15K	—	$15K	1	0.1%
285	—	Axis Capital Holdings Ltd	$15K	—	$15K	1	0.1%
286	—	ETN - Eaton Corporation plc	$15K	—	$15K	1	0.1%
287	—	Zoetis Corp	$15K	—	$15K	1	0.1%
288	—	CONE - CyrusOne Inc.	$15K	—	$15K	1	0.1%
289	—	SPDR Gold Tr Gold Shares	$15K	—	$15K	1	0.1%
290	—	PNR - Pentair plc	$15K	—	$15K	1	0.1%
291	—	Tencent Holdings Ltd Unsponsored ADR	$15K	—	$15K	1	0.1%
292	—	Arrow Managed Futures Strat A	$15K	—	$15K	1	0.1%
293	—	Oribtal ATK Inc	$15K	—	$15K	1	0.1%
294	—	Chubb Corp	$15K	—	$15K	1	0.1%
295	—	Analog Devices Inc	$15K	—	$15K	1	0.1%
296	—	Bristol Myers Squibb	$15K	—	$15K	1	0.1%
297	DHR	Danaher Corporation	$15K	—	$15K	1	0.1%
298	—	FMC Corp New	$15K	—	$15K	1	0.1%
299	HRS	Harris Corporation	$15K	—	$15K	1	0.1%
300	HRL	Hormel Foods Corporation	$15K	—	$15K	1	0.1%
301	NPK	National Presto Industries, Inc.	$15K	—	$15K	1	0.1%
302	RHI	Robert Half International Inc.	$15K	—	$15K	1	0.1%
303	—	Ishares SP Smallcap 600 Index	$15K	—	$15K	1	0.1%
304	—	Kraneshares CSI China Internet ETF	$15K	—	$15K	1	0.1%
305	—	Powershares ETF TR Dyna Buyback	$30K	$15K	$15K	3	0.1%
306	—	Vaneck Vectors Junior Gold Minors	$15K	—	$15K	1	0.1%
307	—	Wisdom Tree Us Small Cap QA Dividend Growth Fd	$15K	—	$15K	1	0.1%
308	—	Alpine Ultra Short Municipal Inc Fund	$15K	—	$15K	1	0.1%
309	—	Barclays Step-up Callable Note Rate/Coupon: 2% Matures: 06/30/2020	$15K	—	$15K	1	0.1%
310	—	KBA - KraneShares Bosera MSCI China A ETF	$15K	—	$15K	1	0.1%
311	—	Vector Group Ltd.	$15K	—	$15K	1	0.1%
312	—	Pembina Pipeline Corp	$15K	—	$15K	1	0.1%
313	—	Clearbridge Energy MLP Fund	$15K	—	$15K	1	0.1%
314	—	Owens & Minor Inc	$15K	—	$15K	1	0.1%
315	—	First Trust DJ Internet IDX	$15K	—	$15K	1	0.1%
316	—	Welltower Inc	$15K	—	$15K	1	0.1%
317	—	Hannon Armstrong Sustainable Infrastructure	$15K	—	$15K	1	0.1%
318	SE	Spectra Energy Corp.	$15K	—	$15K	1	0.1%
319	—	Walt Disney Co Hldg	$15K	—	$15K	1	0.1%
320	—	Verizon Communications	$15K	—	$15K	1	0.1%
321	—	Cisco Company	$15K	—	$15K	1	0.1%
322	—	Ameren Corp	$15K	—	$15K	1	0.1%
323	—	JPM Contingent Autocall on Amgen Rate/Coupon: 10.15% Matures: 08/31/2018	$15K	—	$15K	1	0.1%
324	—	HSBC Contingent Autocall on Briston Myers Squibb Rate/Coupon: 8.5% Matures: 08/31/2018	$15K	—	$15K	1	0.1%
325	NWN	Northwest Natural Gas Company (NYSE)	$15K	—	$15K	1	0.1%
326	—	Barclays Contingent Autocall on Apple Rate/Coupon: 8.15% Matures: 07/13/2018	$15K	—	$15K	1	0.1%
327	—	MS Contingent Autocall Marathon Petroleum Rate/Coupon: 10.15% Matures: 06/29/2018	$15K	—	$15K	1	0.1%
328	CVG	Convergys Corporation (NYSE)	$15K	—	$15K	1	0.1%
329	—	JPM Contingent Autocall on Apple Rate/Coupon: 8.25% Matures: 06/15/2018	$15K	—	$15K	1	0.1%
330	—	JJPM Contingent Autocall Halliburton Rate/Coupon: 10% Matures: 05/18/2018	$15K	—	$15K	1	0.1%
331	—	DuPont EI de Nemours & Co	$15K	—	$15K	1	0.1%
332	—	Google Inc Cl C	$15K	—	$15K	1	0.1%
333	—	Vanguard Health Care TF	$15K	—	$15K	1	0.1%
334	—	Vanguard Consumer Discretionary ETF	$15K	—	$15K	1	0.1%
335	—	Barclays Contingent Autocall CBS Rate/Coupon: 8.45% Matures: 02/02/18	$15K	—	$15K	1	0.1%
336	—	JPM Contingent Autocall Apple Inc Rate/Coupon: 12.7% Matures: 12/29/2017	$15K	—	$15K	1	0.1%
337	—	JPM Contingent Autocall Baker Hughes 9.75% due 10/31/2016	$15K	—	$15K	1	0.1%
338	—	JPM Contingent Autocall Apple Inc 9.50% due 9/29/2017	$15K	—	$15K	1	0.1%
339	—	FS Investment Corp Note 4% due 7/15/2019	$15K	—	$15K	1	0.1%
340	—	JPM Contingent Autocall Prudential Financial 8.15% due 8/11/2017	$15K	—	$15K	1	0.1%
341	—	Transalta Renewables Inc	$15K	—	$15K	1	0.1%
342	—	Versen Inc	$15K	—	$15K	1	0.1%
343	—	Valero Energy	$15K	—	$15K	1	0.1%
344	—	UBS Contingent Autocall MetLife 8.25% due 6/30/2017	$15K	—	$15K	1	0.1%
345	NTI	Northern Tier Energy LP (NYSE)	$15K	—	$15K	1	0.1%
346	—	HSBC Contingent Autocall Transocean 10% due 6/25/2015	$15K	—	$15K	1	0.1%
347	—	HSBC Contingent Autocall Valero Energy 9.3% due 6/18/15	$15K	—	$15K	1	0.1%
348	—	Barclays Contingent Autocall Bristol Myers 8% due 6/2/17	$15K	—	$15K	1	0.1%
349	—	Transocean Ltd	$15K	—	$15K	1	0.1%
350	—	UBS Autocall Met Life Rate/Coupon: 8.75% Matures: 03/24/2017	$15K	—	$15K	1	0.1%
351	—	UBS Autocall Met Life	$15K	—	$15K	1	0.1%
352	—	HSBC Autocall Transocean Rate/Coupon: 10.50% Matures: 03/19/2015	$15K	—	$15K	1	0.1%
353	—	HSBC Autocall Transocean	$15K	—	$15K	1	0.1%
354	—	UBS AutocallBroadcom 9.4% due 3/3/17	$15K	—	$15K	1	0.1%
355	RIG	Transocean Ltd. (NYSE)	$15K	—	$15K	1	0.1%
356	SJR	Shaw Communications, Inc. (NYSE)	$15K	—	$15K	1	0.1%
357	—	MIRAE Emerging Markets Fund	$15K	—	$15K	1	0.1%
358	—	I - Shares MSCI EAFE	$15K	—	$15K	1	0.1%
359	—	I - Shares Russell 1000 Value	$15K	—	$15K	1	0.1%
360	—	I - Shares S&P Midcap 400	$15K	—	$15K	1	0.1%
361	HDGE	Ranger Equity Bear Bear ETF	$155K	$145K	$10K	13	0.1%
362	WIW	Western Asset Inflation-Linked Opportunities & Inc	$120K	$110K	$10K	13	0.1%
363	—	UBS CONTINGENT AUTOCALL MET Rate/Coupon: 10.5% Matures: 01/16/2026	$50K	$50K	$0	2	—
364	MOS	Mosaic Company	$30K	$30K	$0	4	—
365	INOD	Innodata Inc	$15K	$15K	$0	2	—
366	SOFI	Sofi Technologies Inc	$15K	$15K	$0	2	—
367	ETRN	Equitrans Midstream Corp	$15K	$15K	$0	2	—
368	TGT	Target Corp	$15K	$15K	$0	2	—
369	EQNR	Equinor ASA	$15K	$15K	$0	2	—
370	MET	Metlife Inc	$30K	$30K	$0	4	—
371	-- TAC	TRSWF - TransAlta Renewables Inc (Exchanged) Transalta Corp (Received)	—	—	$0	1	—
372	AGX	Argan Inc	$15K	$15K	$0	2	—
373	URA	Global X Uranium ETF	$15K	$15K	$0	2	—
374	FNF	Fidelity National Financial	$15K	$15K	$0	2	—
375	PSQ	ProShares Short QQQ	$170K	$170K	$0	18	—
376	JHEM	John Hancock Multifactor Emerging Markets ETF	$30K	$30K	$0	4	—
377	RTH	VanEck Retail ETF	$60K	$60K	$0	8	—
378	DGRS	WisdomTree U.S. SmallCap Quality Dividend Growth F	$45K	$45K	$0	6	—
379	VFH	Vanguard Financials ETF	$15K	$15K	$0	2	—
380	KBE	SPDR S&P Bank ETF	$15K	$15K	$0	2	—
381	RTX	Raytheon Technologies Corporation Common Stock	$15K	$15K	$0	2	—
382	CDL	VictoryShares US Large Cap High Div Volatility Wtd	$15K	$15K	$0	2	—
383	SPGP	Invesco S&P 500 GARP ETF	$15K	$15K	$0	2	—
384	FQAL	Fidelity Quality Factor ETF	$15K	$15K	$0	2	—
385	MAXR	Maxar Technologies Inc	$30K	$30K	$0	4	—
386	GMRE	Global Medical REIT Inc. Common Stock	$15K	$15K	$0	2	—
387	SH	ProShares Short S&P500	$95K	$95K	$0	8	—
388	FAST	Fastenal Company - Common Stock	$15K	$15K	$0	2	—
389	KRE	SPDR S&P Regional Banking ETF	$15K	$15K	$0	2	—
390	C	Citigroup, Inc. Common Stock	$15K	$15K	$0	2	—
391	LMT	Lockheed Martin Corporation Common Stock	$15K	$15K	$0	2	—
392	LMRK	Landmark Infrastructure Partners LP - Common Units	$15K	$15K	$0	2	—
393	—	CS Contingent Autocall CSCO Rate/Coupon: 8.25% Matures: 05/11/2023	$50K	$50K	$0	2	—
394	WW	WW International, Inc. - Common Stock	$30K	$30K	$0	4	—
395	—	BCS Contingent Autocall on COF Rate/Coupon: 8.0% Matures: 04/12/2024	$100K	$100K	$0	4	—
396	PBA	Pembina Pipeline Corporation	$15K	$15K	$0	2	—
397	HBI	Hanesbrands Inc.	$30K	$30K	$0	4	—
398	SIL	Global X Silver Miners ETF	$15K	$15K	$0	2	—
399	-- RTX	UTX (Exchanged) Raytheon Technologies Corporation Common Stock (Received)	—	—	$0	1	—
400	—	RTN (Exchanged) UTX (Received)	—	—	$0	1	—
401	-- LGI	LOR Lazard World Dividend and Income Fund (Exchanged) Lazard Global Total Return and Income Fund, Inc. (Received)	—	—	$0	1	—
402	—	Apple Inc	$15K	$15K	$0	2	—
403	—	Iron Mountain	$30K	$30K	$0	4	—
404	—	UBS Contingent Autocall Marathon Petroleum Rate/Coupon: 11% Matures: 08/17/2018	$50K	$50K	$0	2	—
405	—	Compass Bank Rate/Coupon: 3.875% Matures: 04/10/2025	$100K	$100K	$0	4	—
406	—	Ishares MSCI Emerging Mkts ETF	$15K	$15K	$0	2	—
407	—	Ishares MSCI EAFE ETF	$15K	$15K	$0	2	—
408	—	SE - Spectra Energy Corp	—	—	$0	1	—
409	—	Enbridge Inc	—	—	$0	1	—
410	AEE	Ameren Corporation	$15K	$15K	$0	2	—
411	—	JPM Contingent Autocall Mobileye N.V. Rate/Coupon: 13.75% Matures: 05/05/2016	$50K	$50K	$0	2	—
412	—	MS Contingent Autocall on Apple Inc Rate/Coupon: 10% Matures: 04/09/2018	$15K	$15K	$0	2	—
413	ATML	Atmel Corporation (NASDAQ)	$15K	$15K	$0	2	—
414	—	MS Contingent Autocall Halliburton Rate/Coupon: 11.2% Matures: 02/09/2018	$15K	$15K	$0	2	—
415	—	JPM Contingent Autocall Tesoro Corp 10.75% due 5/21/2015	$65K	$65K	$0	4	—
416	—	SPDR Trust Series 1	$15K	$15K	$0	2	—
417	—	RYDER SYSTEM INC Rate/Coupon: 3.65% Matures: 03/18/2024	—	$15K	-$15K	1	—
418	NVDA	Nvidia Corp	$30K	$45K	-$15K	5	—
419	—	BROADCOMCORP Rate/Coupon: 3.625% Matures: 01/15/2024	—	$15K	-$15K	1	—
420	S	Sentinelone Inc Cl A	—	$15K	-$15K	1	—
421	GPCR	Structure Therapeutics Inc	—	$15K	-$15K	1	—
422	AQN	Algonquin Power and Utilities Corp	$15K	$30K	-$15K	3	—
423	MPW	Medical Properties Trust	$15K	$30K	-$15K	3	—
424	RMBS	Rambus Inc	—	$15K	-$15K	1	—
425	AVNT	Avient Corporation Common Stock	—	$15K	-$15K	1	—
426	SNDR	Schneider National, Inc. Common Stock	—	$15K	-$15K	1	—
427	ALGM	Allegro MicroSystems, Inc. - Common Stock	—	$15K	-$15K	1	—
428	DIOD	Diodes Incorporated - Common Stock	—	$15K	-$15K	1	—
429	VSH	Vishay Intertechnology, Inc. Common Stock	—	$15K	-$15K	1	—
430	UA	Under Armour, Inc. Class C Common Stock	$15K	$30K	-$15K	3	—
431	QCOM	QUALCOMM Incorporated - Common Stock	$75K	$90K	-$15K	11	—
432	HASI	Hannon Armstrong Sustainable Infrastructure Capita	$15K	$30K	-$15K	3	—
433	APO	Apollo Global Management, Inc. Class A Common Stoc	$30K	$45K	-$15K	5	—
434	IJR	iShares Core S&P Small-Cap ETF	$15K	$30K	-$15K	3	—
435	NXTG	First Trust Indxx NextG ETF	$30K	$45K	-$15K	5	—
436	HOLX	Hologic, Inc. - Common Stock	—	$15K	-$15K	1	—
437	TU	Telus Corporation Ordinary Shares	—	$15K	-$15K	1	—
438	AXS	Axis Capital Holdings Limited Common Stock	$15K	$30K	-$15K	3	—
439	MCD	McDonald's Corporation Common Stock	—	$15K	-$15K	1	—
440	HQL	TeklaLife Sciences Investors Common Stock	—	$15K	-$15K	1	—
441	—	JPM Contingent Autocall C Rate/Coupon: 10% Matures: 04/01/2024	—	$15K	-$15K	1	—
442	CFA	VictoryShares US 500 Volatility Wtd ETF	$30K	$45K	-$15K	5	—
443	CIBR	First Trust Nasdaq Cybersecurity ETF	$30K	$45K	-$15K	5	—
444	GDXJ	VanEck Vectors Junior Gold Miners ETF	$15K	$30K	-$15K	3	—
445	—	Office Properties Income Trust Rate/Coupon: 4.0% Matures: 07/15/2022	—	$15K	-$15K	1	—
446	—	Williams Companies Rate/Coupon: 3.35% Matures: 08/15/2022	—	$15K	-$15K	1	—
447	XAR	SPDR S&P Aerospace & Defense ETF	$30K	$45K	-$15K	5	—
448	IVOO	Vanguard S&P Mid-Cap 400 ETF	—	$15K	-$15K	1	—
449	KBA	KraneShares Bosera MSCI China A ETF	—	$15K	-$15K	1	—
450	ARCC	Ares Capital Corporation - Closed End Fund	$30K	$45K	-$15K	5	—
451	ETN	Eaton Corporation, PLC Ordinary Shares	—	$15K	-$15K	1	—
452	CEM	ClearBridge MLP and Midstream Fund Inc. Common Sto	—	$15K	-$15K	1	—
453	GOOG	Alphabet Inc. - Class C Capital Stock	—	$15K	-$15K	1	—
454	GAN	GAN Limited	—	$15K	-$15K	1	—
455	—	Vulcan Materials Rate/Coupon: 0.875% Matures: 03/01/2021	—	$15K	-$15K	1	—
456	VTRS	Viatris Inc.	—	$15K	-$15K	1	—
457	DLS	WisdomTree International SmallCap Dividend Fund	—	$15K	-$15K	1	—
458	—	Dominion Energy Rate/Coupon: 2.579% Matures: 07/01/2020	—	$15K	-$15K	1	—
459	HPQ	HP Inc.	—	$15K	-$15K	1	—
460	—	HPE - HP Inc.	—	$15K	-$15K	1	—
461	VOD	Vodafone Group Plc	—	$15K	-$15K	1	—
462	WFC	Wells Fargo & Company	—	$15K	-$15K	1	—
463	—	BCS SU Note Rate/Coupon: 2.0% Matures: 06/30/2020	—	$15K	-$15K	1	—
464	VGR	Vector Group Ltd.	—	$15K	-$15K	1	—
465	—	Cameco Corp	—	$15K	-$15K	1	—
466	—	BAE Systems PLC Spon ADR	—	$15K	-$15K	1	—
467	—	Newell Brands Inc	—	$15K	-$15K	1	—
468	—	Ishares S&P GSCI Commodity Index Tr	—	$15K	-$15K	1	—
469	—	Wisdom Tree US Small Cap Dividend Growth	—	$15K	-$15K	1	—
470	—	Pfizer	—	$15K	-$15K	1	—
471	—	General Electric	$15K	$30K	-$15K	3	—
472	—	Intel Corp	$15K	$30K	-$15K	3	—
473	—	Ishares Core S&P 500 ETF	—	$15K	-$15K	1	—
474	—	Kraneshares Bosera MSCI China A	$15K	$30K	-$15K	3	—
475	—	S&P 500 Index Fd	—	$15K	-$15K	1	—
476	—	Nvent Electric	—	$15K	-$15K	1	—
477	—	Aberdeen Ultra Short Muni Income Inst	—	$15K	-$15K	1	—
478	—	Hormel Foods	—	$15K	-$15K	1	—
479	—	Alpine Ultra-Short Muni Income I	—	$15K	-$15K	1	—
480	—	SPDR S&P Aerospace & Def ETF	—	$15K	-$15K	1	—
481	—	ETFMG Prime Mobile Payments ETF	—	$15K	-$15K	1	—
482	—	National Presto Corp	—	$15K	-$15K	1	—
483	—	Harris Corp Delaware	—	$15K	-$15K	1	—
484	—	Ishares Ibonds Dec 2018 Trm Corp	—	$15K	-$15K	1	—
485	—	Ishares Core S&P Small Cap ETF	—	$15K	-$15K	1	—
486	—	Arrow Managed Futures	—	$15K	-$15K	1	—
487	—	Alpine Ultra Short Muni Income	—	$15K	-$15K	1	—
488	—	Western Asset /Claymore Inflation & Opportunity	—	$15K	-$15K	1	—
489	—	Axis Capital Holdings	—	$15K	-$15K	1	—
490	—	Ishares MSCI EAFE	—	$15K	-$15K	1	—
491	—	Pacer Trendpilot 750	—	$15K	-$15K	1	—
492	—	Pacer Trendpilot 450	—	$15K	-$15K	1	—
493	—	FMC Corp	—	$15K	-$15K	1	—
494	—	Robert Half Intl	—	$15K	-$15K	1	—
495	—	Fidelity Advisor International Capital Appreciation I Fund	—	$15K	-$15K	1	—
496	—	Powershares Aerospace and Defense ETF	$15K	$30K	-$15K	3	—
497	—	MS Contingent Autocall on MPC Rate/Coupon: 10.15% Matures: 06/29/2018	—	$15K	-$15K	1	—
498	—	Ishares Russell 2000 Value ETF	—	$15K	-$15K	1	—
499	—	Omega Healthcare Inc Inc	—	$15K	-$15K	1	—
500	—	Owens & Minor Corp	—	$15K	-$15K	1	—
501	—	Verizon Corp	—	$15K	-$15K	1	—
502	—	Ishares S&P 500 Growth ETF	—	$15K	-$15K	1	—
503	—	Ishares Russell 1000 Value ETF	—	$15K	-$15K	1	—
504	—	Honeywell Intl Inc	—	$15K	-$15K	1	—
505	—	Altria Corp	—	$15K	-$15K	1	—
506	—	Medical Properties Trust Inc	—	$15K	-$15K	1	—
507	—	Western Asset Emerging Markets Fd	—	$15K	-$15K	1	—
508	—	Algonquin Power Utilities Corp	—	$15K	-$15K	1	—
509	—	Abbott Labs	—	$15K	-$15K	1	—
510	—	AAPL-Apple Inc.	—	$15K	-$15K	1	—
511	—	CSCO-Cisco Systems, Inc.	—	$15K	-$15K	1	—
512	—	Walt Disney Corp	—	$15K	-$15K	1	—
513	—	GE-General Electric Company	—	$15K	-$15K	1	—
514	—	INTC-Intel Corporation	—	$15K	-$15K	1	—
515	—	Johnson and Johnson	—	$15K	-$15K	1	—
516	—	MSFT-Microsoft Corporation	—	$15K	-$15K	1	—
517	—	PFE-Pfizer Inc.	—	$15K	-$15K	1	—
518	—	PG-The Procter & Gamble Company	—	$15K	-$15K	1	—
519	—	S&P 500 Index Fund	—	$15K	-$15K	1	—
520	—	Fidelity Advisor Emerging Markets Class I	—	$15K	-$15K	1	—
521	—	Fidelity Advisor International Capital Appreciation Class I	—	$15K	-$15K	1	—
522	—	UBS Contingent Autocall on Met Life Rate/Coupon: 8.25% Matures: 06/30/2017	—	$15K	-$15K	1	—
523	—	Preospect Capital Group	—	$15K	-$15K	1	—
524	—	Reynolds American Inc.	—	$15K	-$15K	1	—
525	—	Veresen Inc	—	$15K	-$15K	1	—
526	—	ClearBridge American Energy MLP Fund Inc.	—	$15K	-$15K	1	—
527	ASIX	AdvanSix Inc.	—	$15K	-$15K	1	—
528	—	Alcoa Inc Pfd Cl B	—	$15K	-$15K	1	—
529	MDT	Medtronic plc	—	$15K	-$15K	1	—
530	—	JPM Contingent Autocall on Amgen Rate/Coupon: 10.15% Matures: 12/7/2018	—	$15K	-$15K	1	—
531	—	Spectra Energy	—	$15K	-$15K	1	—
532	—	Calamos Asset Mgmt Cl A	—	$15K	-$15K	1	—
533	—	Convergys	—	$15K	-$15K	1	—
534	—	Prospect Capital Rate/Coupon: 5.5% Matures: 08/15/2016	—	$15K	-$15K	1	—
535	—	Testainer Group Holdings	—	$15K	-$15K	1	—
536	—	Textainer Group Holdings	—	$15K	-$15K	1	—
537	—	Baxter Intl	—	$15K	-$15K	1	—
538	WTR	Aqua America Inc.	—	$15K	-$15K	1	—
539	—	Universal Health Realty Inc Tr	—	$15K	-$15K	1	—
540	—	New Jersey Resources	—	$15K	-$15K	1	—
541	ADT	The ADT Corporation	—	$15K	-$15K	1	—
542	—	Tyco Intl PLC	—	$15K	-$15K	1	—
543	—	3M Company	—	$15K	-$15K	1	—
544	—	Enersis S.A. Amer Dep shrs	—	$15K	-$15K	1	—
545	—	Clearbridge American Energy MLP Fund	—	$15K	-$15K	1	—
546	—	Blackrock Global Opportunity Equity Tr	—	$15K	-$15K	1	—
547	—	Blackrock Res & Comm Strat Tr	—	$15K	-$15K	1	—
548	—	Northern Tier Energy LP	—	$15K	-$15K	1	—
549	—	HSBC Contingent Autocall on Anadarko Petroleum Rate/Coupon: 9.00% Matures: 09/05/2017	—	$15K	-$15K	1	—
550	—	HSBC Contingent Autocall on Bristol Myers Squibb Rate/Coupon: 8.5% Matures: 08/31/2018	—	$15K	-$15K	1	—
551	—	DuPont EI de Nemours & Co.	—	$15K	-$15K	1	—
552	GAS	AGL Resources Inc. (NYSE)	—	$15K	-$15K	1	—
553	—	JPM Contingent Autocall Prudential Financial Rate/Coupon: 8.15% Matures: 08/11/2017	—	$15K	-$15K	1	—
554	—	Baxalta	—	$15K	-$15K	1	—
555	—	HSBC Contingent Autocall on FCX Corp Rate/Coupon: 8.95% Matures: 07/30/2015	—	$15K	-$15K	1	—
556	—	One Gas Inc	—	$15K	-$15K	1	—
557	—	Transocean Ltd.	—	$15K	-$15K	1	—
558	—	U.S. Steel	—	$15K	-$15K	1	—
559	—	HSBC Contingent Autocall Transocean Rate/Coupon: 10% Matures: 06/25/2015	—	$15K	-$15K	1	—
560	—	Google Inc Cl A	—	$15K	-$15K	1	—
561	—	Banco Latinoamericano De Commerce	—	$15K	-$15K	1	—
562	—	SPDR S&P BRIC 40 Exchange	—	$15K	-$15K	1	—
563	—	DuPont	—	$15K	-$15K	1	—
564	ITW	Illinois Tool Works Inc. (NYSE)	—	$15K	-$15K	1	—
565	—	JPM Contingent Autocall Baker Hughes Rate/Coupon: 9.75% Matures: 11/03/2017	—	$15K	-$15K	1	—
566	—	JPM Contingent Autocall Walgreen Rate/Coupon: 9.3% Matures: 07/28/2017	—	$15K	-$15K	1	—
567	—	JPM Contingent Autocall Apple Inc Rate/Coupon: 9.50% Matures: 9/29/2017	—	$15K	-$15K	1	—
568	—	MS Contingent Autocall Lowes Companies 8.15% due 10/31/2016	—	$15K	-$15K	1	—
569	—	CFI Trigger Jump based on the price of gold due 9/29/14	—	$15K	-$15K	1	—
570	—	Barclays Contingent Autocall on Bristol Myers 8% due 6/2/2017	—	$15K	-$15K	1	—
571	—	MS Contingent Autocall Ford Motor 8.35% due 10/31/2016	—	$15K	-$15K	1	—
572	—	UBS Contingent Autocall MetLife 8.75% due 3/24/2017	—	$15K	-$15K	1	—
573	—	Halliburton	—	$15K	-$15K	1	—
574	—	HSBC Contingent Autocall Transocean 10.5% due 3/19/2015	—	$15K	-$15K	1	—
575	—	MS Contingent Autocall Freeport McMoran Copper 10.10% due 12/11/12014	—	$15K	-$15K	1	—
576	—	Argan Inc	—	$15K	-$15K	1	—
577	—	MS Contingent Autocall Cisco Systems 8.3% due 9/5/14	—	$15K	-$15K	1	—
578	—	UBS Contingent Autocall Broadcom 9.4% due 3/3/17	—	$15K	-$15K	1	—
579	OKE	ONEOK Inc. (NYSE)	—	$15K	-$15K	1	—
580	—	Marvell Tech Group	—	$15K	-$15K	1	—
581	—	MS Autocall Dow Chemical Rate/Coupon: 10.40% Matures: 12/19/2016	—	$15K	-$15K	1	—
582	—	MS Autocall Dow Chemical	—	$15K	-$15K	1	—
583	—	Barclays Autocall Broadcom 10% due 11/28/16	—	$15K	-$15K	1	—
584	EC	Ecopetrol SA (NYSE)	—	$15K	-$15K	1	—
585	—	Vodafone CP PLC	—	$15K	-$15K	1	—
586	TTE	TotalEnergies SE	—	$30K	-$30K	2	—
587	TSM	Taiwan Semiconductor Manufacturing Company Ltd.	$15K	$45K	-$30K	4	—
588	RMD	Resmed Inc	$30K	$60K	-$30K	6	—
589	FCPIX	Fidelity Advisor International Capital Appreciat	$45K	$75K	-$30K	8	—
590	LGI	Lazard Global Total Return and Income Fund Common	$30K	$60K	-$30K	6	—
591	FDN	First Trust Dow Jones Internet ETF	$60K	$90K	-$30K	10	—
592	INTC	Intel Corporation - Common Stock	—	$30K	-$30K	2	—
593	IJS	iShares S&P SmallCap 600 Value ETF	—	$30K	-$30K	2	—
594	—	JP Morgan Chase and Co Rate/Coupon: 2.5% Matures: 09/23/2029	—	$30K	-$30K	2	—
595	CTVA	Corteva, Inc.	—	$30K	-$30K	2	—
596	HAL	Halliburton Company	—	$30K	-$30K	2	—
597	FEMS	First Trust Emerging Markets Small Cap AlphaDEX Fu	—	$30K	-$30K	2	—
598	IAT	iShares U.S. Regional Banks ETF	—	$30K	-$30K	2	—
599	OAYIX	Oakmark International Fund Class Advisor	—	$30K	-$30K	2	—
600	FPL	First Trust New Opportunities MLP & Energy Fund	—	$30K	-$30K	2	—
601	BOTZ	Global X Robotics & Artificial Intelligence ETF	—	$30K	-$30K	2	—
602	DRI	Darden Restaurants, Inc.	—	$30K	-$30K	2	—
603	PKG	Packaging Corporation of America	—	$30K	-$30K	2	—
604	CFG	Citizens Financial Group, Inc.	—	$30K	-$30K	2	—
605	KNX	Knight-Swift Transportation Holdings Inc.	—	$30K	-$30K	2	—
606	CB	Chubb Limited	—	$30K	-$30K	2	—
607	CAG	Conagra Brands, Inc.	—	$30K	-$30K	2	—
608	FITB	Fifth Third Bancorp	—	$30K	-$30K	2	—
609	MSFT	Microsoft Corporation	—	$30K	-$30K	2	—
610	BP	BP p.l.c.	—	$30K	-$30K	2	—
611	—	Ishares Ibonds Dec 20 Trm	—	$30K	-$30K	2	—
612	—	Ishares Ibonds Dec 19 Trm	—	$30K	-$30K	2	—
613	—	Compass Materials	—	$30K	-$30K	2	—
614	—	Nuveen JFR Term Preferred Step-up Rate/Coupon: 3.0% Matures: 12/01/2019	—	$30K	-$30K	2	—
615	—	Hexcel Corp	—	$30K	-$30K	2	—
616	—	Banco Latinoamerican De Comercio Exterior S.A.	—	$30K	-$30K	2	—
617	—	Agilent Technologies	—	$30K	-$30K	2	—
618	—	Altria Group	—	$30K	-$30K	2	—
619	—	Mantech Intl	—	$30K	-$30K	2	—
620	—	Zoetis Inc Class A	—	$30K	-$30K	2	—
621	—	Pentair PLC	—	$30K	-$30K	2	—
622	—	Algonquin Power Utils	—	$30K	-$30K	2	—
623	—	Ishares Ibonds Dec 18 TRM	—	$30K	-$30K	2	—
624	—	Corning Inc	—	$30K	-$30K	2	—
625	—	Ishares MSCI India Small Cap	—	$30K	-$30K	2	—
626	—	Ishares Ibonds Dec 18 Trm ETF	—	$30K	-$30K	2	—
627	—	Arrow Managed Futures Strategies A	—	$30K	-$30K	2	—
628	—	FS Investment Corp Rate/Coupon: 4.0% Matures: 07/15/2019	—	$30K	-$30K	2	—
629	—	Orbital ATK	—	$30K	-$30K	2	—
630	—	HSBC Contingent Autocall on Anadarko Petroleum Rate/Coupon: 9.0% Matures: 09/05/2017	—	$30K	-$30K	2	—
631	—	JPM Contingent Autocall on Halliburton Rate/Coupon: 10% Matures: 05/18/2018	—	$30K	-$30K	2	—
632	—	Philip Morris Intl	—	$30K	-$30K	2	—
633	SCCO	Southern Copper Corporation	—	$30K	-$30K	2	—
634	—	Under Armour Class A	—	$30K	-$30K	2	—
635	—	PDL Biopharma Inc	—	$30K	-$30K	2	—
636	—	Under Armour Class C	—	$30K	-$30K	2	—
637	—	MetLife Inc	$15K	$50K	-$35K	2	—
638	GSMYX	Goldman Sachs Small/Mid-Cap Growth Fund Inst Cl	$15K	$60K	-$45K	5	—
639	—	FIMKX - Fidelity Advisor Focused Emerging Markets I	—	$45K	-$45K	3	—
640	GEMIX	Goldman Sachs Emerging Markets Equity Fund Insti	—	$45K	-$45K	3	—
641	FXI	iShares China Large-Cap ETF	—	$45K	-$45K	3	—
642	DOW	Dow Inc.	—	$45K	-$45K	3	—
643	OHI	Omega Healthcare Investors, Inc.	—	$45K	-$45K	3	—
644	TCEHY	Tencent Holdings Limited	—	$45K	-$45K	3	—
645	MPC	Marathon Petroleum Corporation	—	$45K	-$45K	3	—
646	—	MS Contingent Autocall Apple Computer Rate/Coupon: 12.7% Matures: 12/29/2017	—	$45K	-$45K	3	—
647	—	HSBC Contingent Autocall Valero Energy Rate/Coupon: 9.3% Matures: 06/18/2015	—	$45K	-$45K	3	—
648	—	UBS Contingent Autocall Terex Rate/Coupon: 11.2% Matures: 03/11/2015	—	$45K	-$45K	3	—
649	CSCO	Cisco Systems, Inc. - Common Stock	$15K	$65K	-$50K	3	—
650	—	JPM CONTINGENT AUTOCALL GILD SQGER Rate/Coupon: 8.0% Matures: 12/27/2024	—	$50K	-$50K	1	—
651	NID	Nuveen Intermediate Duration Municipal Term Fund C	—	$50K	-$50K	1	—
652	—	BCS Contingent Autocall COF Rate/Coupon: 10% Matures: 10/25/2024	—	$50K	-$50K	1	—
653	FIASX	Fidelity Advisor International Small Cap Class A	—	$50K	-$50K	1	—
654	—	HSBC Autocall on Broadcom Rate/Coupon: 9.2% Matures: 11/22/2024	—	$50K	-$50K	1	—
655	—	JPM Contingent Autocall on Gilead Rate/Coupon: 8.65% Matures: 09/20/2024	—	$50K	-$50K	1	—
656	—	BCS Contingent Autocall on CSCO Rate/Coupon: 8.3% Matures: 01/27/2023	—	$50K	-$50K	1	—
657	PRJAX	PGIM Jennison Global Opportunities Fund-Class A	—	$50K	-$50K	1	—
658	—	RBC Contingent Autocall on Nvidia Rate/Coupon: 12.65% Matures: 07/30/219	—	$50K	-$50K	1	—
659	—	MS Fixed to Floating Rate Note Rate/Coupon: 4.0% Matures: 02/15/2019	—	$50K	-$50K	1	—
660	—	Icahn Enterprises Rate/Coupon: 4.875% Matures: 03/15/2019	—	$50K	-$50K	1	—
661	—	Ishares S&P Mid-Cap 400 Growth ETF	—	$50K	-$50K	1	—
662	—	Lincoln National Corporation	—	$50K	-$50K	1	—
663	—	Lincoln Naitonal Corp	—	$50K	-$50K	1	—
664	—	Barclays Contingent Autocall on Vodaphone Rate/Coupon: 11.05% Matures: 04/10/2017	—	$50K	-$50K	1	—
665	—	Morgan Stanley Prd A	—	$50K	-$50K	1	—
666	—	JPM Contingent Autocall Walgreens Rate/Coupon: 9.3% Matures: 07/28/2017	—	$50K	-$50K	1	—
667	—	JPM Contingent Autocall STX Inc Rate/Coupon: 9.75% Matures: 9/22/2017	—	$50K	-$50K	1	—
668	—	Block Financial 5.125% due 10/30/2014	—	$50K	-$50K	1	—
669	—	JPM Contingent Autocall Applied Materials 10.85% due 6/11/2015	—	$50K	-$50K	1	—
670	—	Citigroup Funding Inc Redemption Link London Gold 3% due 8/11/2014	—	$50K	-$50K	1	—
671	—	MS Fixed Autocall FCX 8.05% due 1/26/2015	—	$50K	-$50K	1	—
672	LNC	Lincoln National Corporation (NYSE)	—	$50K	-$50K	1	—
673	—	Legacy Reserves LP Units	—	$50K	-$50K	1	—
674	—	International Lease Finance Bond 5.75% due 5/15/2016	—	$50K	-$50K	1	—
675	—	MS Contingent Autocall Valero Energy 12% due 2/21/17	—	$50K	-$50K	1	—
676	—	HSBC Contingent Autocall Broadcom 8.6% 1/8/15	—	$50K	-$50K	1	—
677	BHI	Baker Hughes Incorporated (NYSE)	—	$50K	-$50K	1	—
678	—	Barclays Autocall Terex 12/75% due 11/28/14	—	$50K	-$50K	1	—
679	—	9.5% due 10/17/14 JPM Autocall Freeport McMoran	—	$50K	-$50K	1	—
680	—	11.15% due 9/30/16 RBC Autocall Blackstone	—	$50K	-$50K	1	—
681	IRM	Iron Mountain Inc	$15K	$75K	-$60K	6	—
682	SBIO	Alps Medical Breakthroughs ETF	$45K	$105K	-$60K	10	—
683	UAA	Under Armour, Inc. Class A Common Stock	—	$60K	-$60K	4	—
684	IVV	iShares Core S&P 500 ETF	$15K	$75K	-$60K	6	—
685	—	UBS Contingent Autocall on SLB Rate/Coupon: 9% Matures: 04/23/2020	—	$60K	-$60K	4	—
686	QLEIX	AQR Long-Short Equity Fund Class I	—	$60K	-$60K	4	—
687	—	SPDR Eurostoxx 50 ETF	—	$60K	-$60K	4	—
688	FIMKX	Fidelity Advisor Emerging Markets Fund Class I	$30K	$95K	-$65K	6	—
689	LUBYX	Lord Abbett Ultra Short Bond Fund - Class I	$15K	$80K	-$65K	4	—
690	—	Acadian Timber	—	$65K	-$65K	2	—
691	—	Barclays Contingent Autocall on CBS Rate/Coupon: 8.45% Matures: 02/02/2018	—	$65K	-$65K	2	—
692	—	JPM Contingent Autocall Walgreen 10% due 4/28/2017	—	$65K	-$65K	2	—
693	—	UBS Contingent Autocall Potash 8.05% 1/27/2017	—	$65K	-$65K	2	—
694	—	12% due 10/21/16 JPM Autocall Potash	—	$65K	-$65K	2	—
695	MBXIX	Catalyst/Millburn Hedge Strategy Fund Class I	$30K	$105K	-$75K	9	—
696	—	JPM Contingent Autocall GILD Rate/Coupon: 9.0% Matures: 06/07/2024	—	$100K	-$100K	2	—
697	—	HSBC Contingent Autocall BMY Rate/Coupon: 8.75% Matures: 02/24/2023	—	$100K	-$100K	2	—
698	—	UBS Contingent Autocall on BAC Rate/Coupon: 8.1% Matures: 12/30/2022	—	$100K	-$100K	2	—
699	—	BCS Contingent Autocall Intel Rate/Coupon: 10.15% Matures: 06/22/2023	—	$100K	-$100K	2	—
700	—	CS Contingent Autocall MSFT Rate/Coupon: 8.25% Matures: 09/30/2022	—	$100K	-$100K	2	—
701	—	Bank of America Rate/Coupon: 3.0% Matures: 06/21/2020	$100K	$200K	-$100K	6	—
702	—	Goldman Sachs Rate/Coupon: 4.5% Matures: 12/15/2018	—	$100K	-$100K	2	—
703	—	Xerox Corp Rate/Coupon: 3.5% Matures: 08/20/2020	—	$100K	-$100K	2	—
704	—	OWENS & MINOR Rate/Coupon: 3.875% Matures: 09/15/2021	—	$200K	-$200K	4	—
705	—	Dupont	—	$200K	-$200K	2	—
706	AAPL	Apple Inc	$45K	$295K	-$250K	9	—