The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
|
COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
3M CO | COM | 88579Y101 | 12 | 110 | SH | Put | SOLE | 110 | 0 | 0 | |
3M CO | COM | 88579Y101 | 169 | 804 | SH | SOLE | 804 | 0 | 0 | ||
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 1,034 | 250,400 | SH | SOLE | 250,400 | 0 | 0 | ||
ABERDEEN GLOBAL PREMIER PPTY | COM SH BEN INT | 00302L108 | 177 | 29,200 | SH | SOLE | 29,200 | 0 | 0 | ||
ABERDEEN TOTAL DYNAMIC DIVD | COM SH BEN INT | 00326L100 | 1,087 | 123,800 | SH | SOLE | 123,800 | 0 | 0 | ||
ADAM NAT RES FD INC | COM | 00548F105 | 371 | 18,600 | SH | SOLE | 18,600 | 0 | 0 | ||
ADVANCE AUTO PARTS INC | COM | 00751Y106 | 164 | 972 | SH | SOLE | 972 | 0 | 0 | ||
ADVANCED MICRO DEVICES INC | COM | 007903107 | 8 | 1,900 | SH | Put | SOLE | 1,900 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 3,158 | 1,500 | SH | Call | SOLE | 1,500 | 0 | 0 | |
ADVENT CLAYMORE CV SECS & IN | COM | 00764C109 | 56 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
ALBEMARLE CORP | CALL | 012653901 | 104 | 192 | SH | Call | SOLE | 192 | 0 | 0 | |
ALBEMARLE CORP | PUT | 012653951 | 62 | 600 | SH | Put | SOLE | 600 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 313 | 50 | SH | Put | SOLE | 50 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 2,887 | 2,392 | SH | SOLE | 2,392 | 0 | 0 | ||
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 641 | 40,100 | SH | SOLE | 40,100 | 0 | 0 | ||
APPLIED MATLS INC | COM | 038222105 | 2,114 | 54,691 | SH | SOLE | 54,691 | 0 | 0 | ||
APPLIED MATLS INC | COM | 038222105 | 335 | 1,200 | SH | Put | SOLE | 1,200 | 0 | 0 | |
ARCONIC INC | COM | 03965L100 | 62 | 192 | SH | Call | SOLE | 192 | 0 | 0 | |
ARCONIC INC | COM | 03965L100 | 2 | 192 | SH | Put | SOLE | 192 | 0 | 0 | |
ARES DYNAMIC CR ALLOCATION F | COM | 04014F102 | 1,525 | 98,200 | SH | SOLE | 98,200 | 0 | 0 | ||
ASSURED GUARANTY LTD | COM | G0585R106 | 45 | 1,077 | SH | SOLE | 1,077 | 0 | 0 | ||
ASSURED GUARANTY LTD | COM | G0585R106 | 4 | 36 | SH | Put | SOLE | 36 | 0 | 0 | |
AUTODESK INC | COM | 052769106 | 3 | 20 | SH | SOLE | 20 | 0 | 0 | ||
AUTODESK INC | COM | 052769106 | 3 | 400 | SH | Put | SOLE | 400 | 0 | 0 | |
AVIS BUDGET GROUP | COM | 053774105 | 1,054 | 32,782 | SH | SOLE | 32,782 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 223 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,173 | 8,762 | SH | SOLE | 8,762 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 94 | 750 | SH | Call | SOLE | 750 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 27 | 1,400 | SH | Put | SOLE | 1,400 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 1,461 | 30,072 | SH | SOLE | 30,072 | 0 | 0 | ||
BAOZUN INC | SPONSORED ADR | 06684L103 | 323 | 850 | SH | Put | SOLE | 850 | 0 | 0 | |
BARINGS GLOBAL SHORT DURATIO | COM | 06760L100 | 70 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
BAUSCH HEALTH COS INC | COM | 071734107 | 100 | 3,910 | SH | SOLE | 3,910 | 0 | 0 | ||
BAUSCH HEALTH COS INC | COM | 071734107 | 15 | 1,000 | SH | Call | SOLE | 1,000 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 32 | 125 | SH | Put | SOLE | 125 | 0 | 0 | |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 48 | 2,246 | SH | SOLE | 2,246 | 0 | 0 | ||
BHP BILLITON LTD | SPONSORED ADR | 088606108 | 9,287 | 185,600 | SH | SOLE | 185,600 | 0 | 0 | ||
BLACKBERRY LTD | COM | 09228F103 | 541 | 47,571 | SH | SOLE | 47,571 | 0 | 0 | ||
BLACKBERRY LTD | COM | 09228F103 | 76 | 2,000 | SH | Put | SOLE | 2,000 | 0 | 0 | |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,675 | 159,400 | SH | SOLE | 159,400 | 0 | 0 | ||
BLACKROCK CR ALLCTN INC TR | COM | 092508100 | 326 | 26,600 | SH | SOLE | 26,600 | 0 | 0 | ||
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 71 | 64,000 | SH | SOLE | 64,000 | 0 | 0 | ||
BLACKROCK ENERGY & RES TR | COM | 09250U101 | 287 | 19,700 | SH | SOLE | 19,700 | 0 | 0 | ||
BLACKROCK ENHANCED GBL DIV T | COM | 092501105 | 1,794 | 163,200 | SH | SOLE | 163,200 | 0 | 0 | ||
BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 092524107 | 981 | 171,200 | SH | SOLE | 171,200 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 1,364 | 98,900 | SH | SOLE | 98,900 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCO | COM | 091941104 | 107 | 8,100 | SH | SOLE | 8,100 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 795 | 53,400 | SH | SOLE | 53,400 | 0 | 0 | ||
BLACKROCK MULTI-SECTOR INC T | COM | 09258A107 | 963 | 56,900 | SH | SOLE | 56,900 | 0 | 0 | ||
BLACKROCK MUN 2030 TAR TERM | COM SHS BEN IN | 09257P105 | 1,694 | 81,800 | SH | SOLE | 81,800 | 0 | 0 | ||
BLACKROCK MUN INCOME TR | SH BEN INT | 09248F109 | 745 | 59,900 | SH | SOLE | 59,900 | 0 | 0 | ||
BLACKROCK MUNIHLDNGS CALI QL | COM | 09254L107 | 688 | 54,800 | SH | SOLE | 54,800 | 0 | 0 | ||
BLACKROCK MUNIHLDS INVSTM QL | COM | 09254P108 | 548 | 43,800 | SH | SOLE | 43,800 | 0 | 0 | ||
BLACKROCK MUNIYIELD CALI QLT | COM | 09254N103 | 1,271 | 99,200 | SH | SOLE | 99,200 | 0 | 0 | ||
BLACKROCK MUNIYIELD FD INC | COM | 09253W104 | 201 | 15,300 | SH | SOLE | 15,300 | 0 | 0 | ||
BLACKROCK MUNIYIELD QLTY FD | COM | 09254E103 | 1,375 | 113,800 | SH | SOLE | 113,800 | 0 | 0 | ||
BLACKROCK RES & COMM STRAT T | SHS | 09257A108 | 1,174 | 129,400 | SH | SOLE | 129,400 | 0 | 0 | ||
BLACKROCK TAX MUNICPAL BD TR | SHS | 09248X100 | 823 | 38,800 | SH | SOLE | 38,800 | 0 | 0 | ||
BOOKING HLDGS INC | COM | 09857L108 | 4,700 | 2,369 | SH | SOLE | 2,369 | 0 | 0 | ||
BOOKING HLDGS INC | COM | 09857L108 | 513 | 40 | SH | Put | SOLE | 40 | 0 | 0 | |
BOULDER GROWTH & INCOME FD I | COM | 101507101 | 589 | 52,524 | SH | SOLE | 52,524 | 0 | 0 | ||
BUNGE LIMITED | COM | G16962105 | 105 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
BUNGE LIMITED | COM | G16962105 | 1,520 | 22,126 | SH | SOLE | 22,126 | 0 | 0 | ||
CALAMOS CONV OPP AND INC FD | SH BEN INT | 128117108 | 476 | 39,500 | SH | SOLE | 39,500 | 0 | 0 | ||
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 174 | 23,800 | SH | SOLE | 23,800 | 0 | 0 | ||
CF INDS HLDGS INC | COM | 125269100 | 358 | 6,570 | SH | SOLE | 6,570 | 0 | 0 | ||
CF INDS HLDGS INC | COM | 125269100 | 39 | 332 | SH | Put | SOLE | 332 | 0 | 0 | |
CHINA LODGING GROUP LTD | DEBT 0.375%11/0 | G21182AA1 | 4,138 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 2,230 | 4,907 | SH | SOLE | 4,907 | 0 | 0 | ||
CHIPOTLE MEXICAN GRILL INC | COM | 169656105 | 315 | 250 | SH | Put | SOLE | 250 | 0 | 0 | |
CLEARBRIDGE AMERN ENERG MLP | COM | 184691103 | 482 | 61,200 | SH | SOLE | 61,200 | 0 | 0 | ||
CLEARBRIDGE ENERGY MLP FD IN | COM | 184692101 | 1,264 | 87,000 | SH | SOLE | 87,000 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 188 | 1,252 | SH | SOLE | 1,252 | 0 | 0 | ||
CLOROX CO DEL | COM | 189054109 | 14 | 50 | SH | Put | SOLE | 50 | 0 | 0 | |
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 3,065 | 138,500 | SH | SOLE | 138,500 | 0 | 0 | ||
COHEN & STEERS LTD DUR PFD I | COM | 19248C105 | 1,338 | 56,200 | SH | SOLE | 56,200 | 0 | 0 | ||
COLUMBIA SELIGM PREM TECH GR | COM | 19842X109 | 73 | 3,400 | SH | SOLE | 3,400 | 0 | 0 | ||
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 1,809 | 129,200 | SH | SOLE | 129,200 | 0 | 0 | ||
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 2,852 | 205,500 | SH | SOLE | 205,500 | 0 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 234 | 1,150 | SH | Put | SOLE | 1,150 | 0 | 0 | |
COSTCO WHSL CORP NEW | COM | 22160K105 | 378 | 1,610 | SH | SOLE | 1,610 | 0 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 243 | 150 | SH | Call | SOLE | 150 | 0 | 0 | |
CROCS INC | COM | 227046109 | 419 | 19,700 | SH | SOLE | 19,700 | 0 | 0 | ||
CSX CORP | COM | 126408103 | 12 | 900 | SH | Put | SOLE | 900 | 0 | 0 | |
CSX CORP | COM | 126408103 | 158 | 2,139 | SH | SOLE | 2,139 | 0 | 0 | ||
DEVON ENERGY CORP NEW | COM | 25179M103 | 1,483 | 37,123 | SH | SOLE | 37,123 | 0 | 0 | ||
DEVON ENERGY CORP NEW | COM | 25179M103 | 24 | 200 | SH | Call | SOLE | 200 | 0 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 145 | 600 | SH | Put | SOLE | 600 | 0 | 0 | |
DOLLAR TREE INC | COM | 256746108 | 1,865 | 22,866 | SH | SOLE | 22,866 | 0 | 0 | ||
DOLLAR TREE INC | COM | 256746108 | 130 | 684 | SH | Put | SOLE | 684 | 0 | 0 | |
DOUBLELINE INCOME SOLUTIONS | COM | 258622109 | 1,099 | 54,400 | SH | SOLE | 54,400 | 0 | 0 | ||
DOUBLELINE OPPORTUNISTIC CR | COM | 258623107 | 53 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
DR REDDYS LABS LTD | ADR | 256135203 | 3,520 | 100,421 | SH | Call | SOLE | 100,421 | 0 | 0 | |
DUFF & PHELPS GLB UTL INC FD | COM | 26433C105 | 355 | 24,500 | SH | SOLE | 24,500 | 0 | 0 | ||
EATON VANCE ENH EQTY INC FD | COM | 278277108 | 1,077 | 61,000 | SH | SOLE | 61,000 | 0 | 0 | ||
EATON VANCE ENHANCED EQ INC | COM | 278274105 | 309 | 19,300 | SH | SOLE | 19,300 | 0 | 0 | ||
EATON VANCE FLTING RATE INC | COM | 278279104 | 972 | 66,600 | SH | SOLE | 66,600 | 0 | 0 | ||
EATON VANCE LTD DUR INCOME F | COM | 27828H105 | 298 | 23,500 | SH | SOLE | 23,500 | 0 | 0 | ||
EATON VANCE MUN BD FD | COM | 27827X101 | 704 | 61,100 | SH | SOLE | 61,100 | 0 | 0 | ||
EATON VANCE SR FLTNG RTE TR | COM | 27828Q105 | 2,455 | 174,600 | SH | SOLE | 174,600 | 0 | 0 | ||
EATON VANCE TAX MNGD GBL DV | COM | 27829F108 | 1,453 | 152,900 | SH | SOLE | 152,900 | 0 | 0 | ||
EATON VANCE TX MGD DIV EQ IN | COM | 27828N102 | 909 | 70,800 | SH | SOLE | 70,800 | 0 | 0 | ||
EATON VANCE TX MNG BY WRT OP | COM | 27828Y108 | 1,663 | 103,200 | SH | SOLE | 103,200 | 0 | 0 | ||
EATON VANCE TXMGD GL BUYWR O | COM | 27829C105 | 100 | 8,300 | SH | SOLE | 8,300 | 0 | 0 | ||
ENERGY TRANSFER PARTNERS LP | UNIT LTD PRT INT | 29278N103 | 56 | 2,507 | SH | SOLE | 2,507 | 0 | 0 | ||
ENERGY TRANSFER PARTNERS LP | UNIT LTD PRT INT | 29278N103 | 22 | 300 | SH | Call | SOLE | 300 | 0 | 0 | |
ENERGY TRANSFER PARTNERS LP | UNIT LTD PRT INT | 29278N103 | 35 | 300 | SH | Put | SOLE | 300 | 0 | 0 | |
EXACT SCIENCES CORP | COM | 30063P105 | 112 | 1,425 | SH | SOLE | 1,425 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 27 | 400 | SH | Put | SOLE | 400 | 0 | 0 | |
EXPEDIA GROUP INC | COM NEW | 30212P303 | 173 | 1,326 | SH | SOLE | 1,326 | 0 | 0 | ||
EXPEDIA GROUP INC | COM NEW | 30212P303 | 248 | 300 | SH | Call | SOLE | 300 | 0 | 0 | |
EXPEDIA GROUP INC | COM NEW | 30212P303 | 271 | 700 | SH | Put | SOLE | 700 | 0 | 0 | |
FIDUCIARY CLAYMORE MLP OPP F | COM | 31647Q106 | 817 | 66,900 | SH | SOLE | 66,900 | 0 | 0 | ||
FIRST TR ENERGY INCOME & GRW | COM | 33738G104 | 260 | 11,700 | SH | SOLE | 11,700 | 0 | 0 | ||
FIRST TR HIGH INCOME L/S FD | COM | 33738E109 | 669 | 45,700 | SH | SOLE | 45,700 | 0 | 0 | ||
FIRST TR INTER DUR PFD & IN | COM | 33718W103 | 1,947 | 90,900 | SH | SOLE | 90,900 | 0 | 0 | ||
FLAHERTY&CRMN PFD SEC INCOM | COM | 338478100 | 1,193 | 65,500 | SH | SOLE | 65,500 | 0 | 0 | ||
FLUOR CORP NEW | COM | 343412102 | 128 | 1,847 | SH | Put | SOLE | 1,847 | 0 | 0 | |
FLUOR CORP NEW | COM | 343412102 | 184 | 321 | SH | Call | SOLE | 321 | 0 | 0 | |
FOOT LOCKER INC | COM | 344849104 | 322 | 6,319 | SH | SOLE | 6,319 | 0 | 0 | ||
FOOT LOCKER INC | COM | 344849104 | 40 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
FRANKLIN LTD DURATION INC TR | COM | 35472T101 | 287 | 28,200 | SH | SOLE | 28,200 | 0 | 0 | ||
FST TR NEW OPPORT MLP & ENE | COM | 33739M100 | 1,134 | 119,000 | SH | SOLE | 119,000 | 0 | 0 | ||
GABELLI DIVD & INCOME TR | COM | 36242H104 | 244 | 10,200 | SH | SOLE | 10,200 | 0 | 0 | ||
GAMCO GLOBAL GOLD NAT RES & | COM SH BEN INT | 36465A109 | 611 | 130,100 | SH | SOLE | 130,100 | 0 | 0 | ||
GENERAL AMERN INVS INC | COM | 368802104 | 740 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 39 | 500 | SH | Put | SOLE | 500 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 951 | 4,242 | SH | SOLE | 4,242 | 0 | 0 | ||
GOODYEAR TIRE & RUBR CO | COM | 382550101 | 105 | 1,750 | SH | Put | SOLE | 1,750 | 0 | 0 | |
GOODYEAR TIRE & RUBR CO | COM | 382550101 | 19 | 200 | SH | Call | SOLE | 200 | 0 | 0 | |
GOODYEAR TIRE & RUBR CO | COM | 382550101 | 1,518 | 64,903 | SH | SOLE | 64,903 | 0 | 0 | ||
HANCOCK JOHN FINL OPPTYS FD | SH BEN INT NEW | 409735206 | 673 | 18,200 | SH | SOLE | 18,200 | 0 | 0 | ||
HANCOCK JOHN TAX-ADV DIV INC | COM | 41013V100 | 159 | 6,800 | SH | SOLE | 6,800 | 0 | 0 | ||
HDFC BANK LTD | ADR REPS 3 SHS | 40415F101 | 10,005 | 106,319 | SH | Call | SOLE | 106,319 | 0 | 0 | |
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 185 | 3,400 | SH | SOLE | 3,400 | 0 | 0 | ||
HESS CORP | COM | 42809H107 | 642 | 800 | SH | Call | SOLE | 800 | 0 | 0 | |
HESS CORP | COM | 42809H107 | 78 | 2,550 | SH | Put | SOLE | 2,550 | 0 | 0 | |
INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | 3,013 | 64,100 | SH | SOLE | 64,100 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 194 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
INVESCO DYNAMIC CR OPP FD | COM | 46132R104 | 935 | 81,500 | SH | SOLE | 81,500 | 0 | 0 | ||
INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 906 | 79,200 | SH | SOLE | 79,200 | 0 | 0 | ||
INVESCO MUN TR | COM | 46131J103 | 463 | 40,100 | SH | SOLE | 40,100 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 241 | 1,650 | SH | Put | SOLE | 1,650 | 0 | 0 | |
INVESCO QUALITY MUNI INC TRS | COM | 46133G107 | 687 | 59,300 | SH | SOLE | 59,300 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 1,421 | 330,400 | SH | SOLE | 330,400 | 0 | 0 | ||
INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 1,490 | 125,400 | SH | SOLE | 125,400 | 0 | 0 | ||
INVESCO VALUE MUN INCOME TR | COM | 46132P108 | 794 | 57,400 | SH | SOLE | 57,400 | 0 | 0 | ||
IROBOT CORP | COM | 462726100 | 1 | 9 | SH | Put | SOLE | 9 | 0 | 0 | |
IROBOT CORP | COM | 462726100 | 9 | 86 | SH | SOLE | 86 | 0 | 0 | ||
ISHARES TR | 0-5YR HI YL CP | 46434V407 | 5,235 | 111,700 | SH | Call | SOLE | 111,700 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 734 | 6,270 | SH | Call | SOLE | 6,270 | 0 | 0 | |
ISHARES TR | S&P 100 ETF | 464287101 | 37 | 250 | SH | Call | SOLE | 250 | 0 | 0 | |
ISHARES TR | S&P 100 ETF | 464287101 | 92 | 250 | SH | Put | SOLE | 250 | 0 | 0 | |
JD COM INC | SPON ADR CL A | 47215P106 | 1,170 | 44,856 | SH | SOLE | 44,856 | 0 | 0 | ||
JD COM INC | SPON ADR CL A | 47215P106 | 450 | 500 | SH | Put | SOLE | 500 | 0 | 0 | |
KAYNE ANDERSN MLP MIDS INVT | COM | 486606106 | 3,643 | 204,100 | SH | SOLE | 204,100 | 0 | 0 | ||
KAYNE ANDERSON MDSTM ENERGY | COM | 48661E108 | 908 | 70,901 | SH | SOLE | 70,901 | 0 | 0 | ||
KELLOGG CO | COM | 487836108 | 208 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
KELLOGG CO | COM | 487836108 | 112 | 652 | SH | Call | SOLE | 652 | 0 | 0 | |
KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 568 | 34,600 | SH | SOLE | 34,600 | 0 | 0 | ||
KT CORP | SPONSORED ADR | 48268K101 | 10,185 | 685,857 | SH | SOLE | 685,857 | 0 | 0 | ||
L BRANDS INC | COM | 501797104 | 163 | 674 | SH | Call | SOLE | 674 | 0 | 0 | |
L BRANDS INC | COM | 501797104 | 165 | 674 | SH | Put | SOLE | 674 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 227 | 150 | SH | Put | SOLE | 150 | 0 | 0 | |
LAM RESEARCH CORP | COM | 512807108 | 1,352 | 8,911 | SH | SOLE | 8,911 | 0 | 0 | ||
LAUDER ESTEE COS INC | CL A | 518439104 | 174 | 400 | SH | Put | SOLE | 400 | 0 | 0 | |
LAUDER ESTEE COS INC | CL A | 518439104 | 1,232 | 29,123 | SH | SOLE | 29,123 | 0 | 0 | ||
LG DISPLAY CO LTD | SPONS ADR REP | 50186V102 | 1,585 | 184,128 | SH | SOLE | 184,128 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 59 | 511 | SH | SOLE | 511 | 0 | 0 | ||
LOWES COS INC | COM | 548661107 | 7 | 143 | SH | Put | SOLE | 143 | 0 | 0 | |
MCCORMICK & CO INC | COM NON VTG | 579780206 | 198 | 1,505 | SH | SOLE | 1,505 | 0 | 0 | ||
MCCORMICK & CO INC | COM NON VTG | 579780206 | 9 | 168 | SH | Put | SOLE | 168 | 0 | 0 | |
MICHAEL KORS HLDGS LTD | SHS | G60754101 | 377 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 636 | 14,058 | SH | SOLE | 14,058 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 44 | 300 | SH | Put | SOLE | 300 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 24 | 240 | SH | Put | SOLE | 240 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 190 | 240 | SH | Call | SOLE | 240 | 0 | 0 | |
MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADS | 606822104 | 8,762 | 1,403,459 | SH | SOLE | 1,403,459 | 0 | 0 | ||
MOLSON COORS BREWING CO | CL A | 60871R100 | 91 | 400 | SH | Call | SOLE | 400 | 0 | 0 | |
MOLSON COORS BREWING CO | CL A | 60871R100 | 49 | 1,268 | SH | Put | SOLE | 1,268 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 369 | 8,432 | SH | Call | SOLE | 8,432 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 77 | 950 | SH | Put | SOLE | 950 | 0 | 0 | |
MONEYGRAM INTL INC | COM NEW | 60935Y208 | 1,045 | 195,400 | SH | SOLE | 195,400 | 0 | 0 | ||
MORGAN STANLEY | COM NEW | 617446448 | 67 | 1,300 | SH | Put | SOLE | 1,300 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 1,266 | 27,175 | SH | SOLE | 27,175 | 0 | 0 | ||
MORGAN STANLEY CHINA A SH FD | COM | 617468103 | 1,133 | 52,734 | SH | SOLE | 52,734 | 0 | 0 | ||
NETEASE INC | SPONSORED ADR | 64110W102 | 936 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
NEUBERGER BERMAN MLP INCOME | COM | 64129H104 | 682 | 78,500 | SH | SOLE | 78,500 | 0 | 0 | ||
NIKE INC | CL B | 654106103 | 407 | 4,800 | SH | SOLE | 4,800 | 0 | 0 | ||
NORFOLK SOUTHERN CORP | COM | 655844108 | 422 | 2,338 | SH | SOLE | 2,338 | 0 | 0 | ||
NORFOLK SOUTHERN CORP | COM | 655844108 | 34 | 90 | SH | Put | SOLE | 90 | 0 | 0 | |
NU SKIN ENTERPRISES INC | CL A | 67018T105 | 206 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 1,271 | 87,300 | SH | SOLE | 87,300 | 0 | 0 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 2,293 | 181,100 | SH | SOLE | 181,100 | 0 | 0 | ||
NUVEEN BUILD AMER BD FD | COM | 67074C103 | 98 | 4,900 | SH | SOLE | 4,900 | 0 | 0 | ||
NUVEEN CA QUALTY MUN INCOME | COM | 67066Y105 | 1,847 | 142,700 | SH | SOLE | 142,700 | 0 | 0 | ||
NUVEEN CALIFORNIA AMT QLT MU | COM | 670651108 | 1,194 | 92,800 | SH | SOLE | 92,800 | 0 | 0 | ||
NUVEEN CR STRATEGIES INCM FD | COM SHS | 67073D102 | 3,584 | 449,700 | SH | SOLE | 449,700 | 0 | 0 | ||
NUVEEN ENERGY MLP TOTL RTRNF | COM | 67074U103 | 1,130 | 102,100 | SH | SOLE | 102,100 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME | COM | 67072T108 | 3,161 | 304,200 | SH | SOLE | 304,200 | 0 | 0 | ||
NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 776 | 75,300 | SH | SOLE | 75,300 | 0 | 0 | ||
NUVEEN GLOBAL HIGH INCOME FD | SHS | 67075G103 | 426 | 27,300 | SH | SOLE | 27,300 | 0 | 0 | ||
NUVEEN MUN HIGH INCOME OPP F | COM | 670682103 | 646 | 51,500 | SH | SOLE | 51,500 | 0 | 0 | ||
NUVEEN MUN VALUE FD INC | COM | 670928100 | 132 | 14,100 | SH | SOLE | 14,100 | 0 | 0 | ||
NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 67070X101 | 623 | 43,200 | SH | SOLE | 43,200 | 0 | 0 | ||
NUVEEN NASDAQ 100 DYNAMIC OV | COM SHS | 670699107 | 3,021 | 125,700 | SH | SOLE | 125,700 | 0 | 0 | ||
NUVEEN NEW YORK AMT QLT MUNI | COM | 670656107 | 616 | 51,800 | SH | SOLE | 51,800 | 0 | 0 | ||
NUVEEN PFD & INCM OPPORTNYS | COM | 67073B106 | 3,359 | 362,400 | SH | SOLE | 362,400 | 0 | 0 | ||
NUVEEN PFD & INCM SECURTIES | COM | 67072C105 | 3,107 | 353,100 | SH | SOLE | 353,100 | 0 | 0 | ||
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 2,003 | 156,600 | SH | SOLE | 156,600 | 0 | 0 | ||
NUVEEN S&P 500 DYN OVERWRITE | COM | 6706EW100 | 747 | 44,200 | SH | SOLE | 44,200 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 11,543 | 135,000 | SH | SOLE | 135,000 | 0 | 0 | ||
PETROLEO BRASILEIRO SA PETRO | SP ADR NON VTG | 71654V101 | 30,207 | 2,887,906 | SH | SOLE | 2,887,906 | 0 | 0 | ||
PGIM GLOBAL SHORT DURATION H | COM | 69346J106 | 372 | 26,800 | SH | SOLE | 26,800 | 0 | 0 | ||
PIMCO DYNMIC CREDIT AND MRT | COM SHS | 72202D106 | 1,028 | 42,600 | SH | SOLE | 42,600 | 0 | 0 | ||
PIMCO INCOME STRATEGY FUND I | COM | 72201J104 | 657 | 62,300 | SH | SOLE | 62,300 | 0 | 0 | ||
POSCO | SPONSORED ADR | 693483109 | 3,571 | 53,792 | SH | SOLE | 53,792 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 870 | 10,452 | SH | SOLE | 10,452 | 0 | 0 | ||
PROCTER AND GAMBLE CO | COM | 742718109 | 21 | 1,100 | SH | Put | SOLE | 1,100 | 0 | 0 | |
PRUDENTIAL FINL INC | COM | 744320102 | 1,677 | 16,550 | SH | SOLE | 16,550 | 0 | 0 | ||
PRUDENTIAL FINL INC | COM | 744320102 | 119 | 1,100 | SH | Put | SOLE | 1,100 | 0 | 0 | |
PUTNAM PREMIER INCOME TR | SH BEN INT | 746853100 | 86 | 16,400 | SH | SOLE | 16,400 | 0 | 0 | ||
QUDIAN INC | ADR | 747798106 | 1,887 | 362,163 | SH | Call | SOLE | 362,163 | 0 | 0 | |
RALPH LAUREN CORP | CL A | 751212101 | 1,067 | 7,756 | SH | SOLE | 7,756 | 0 | 0 | ||
RALPH LAUREN CORP | CL A | 751212101 | 114 | 400 | SH | Put | SOLE | 400 | 0 | 0 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 579 | 18,900 | SH | SOLE | 18,900 | 0 | 0 | ||
ROYCE MICRO-CAP TR INC | COM | 780915104 | 575 | 56,300 | SH | SOLE | 56,300 | 0 | 0 | ||
SEADRILL LTD | COM | G7998G106 | 37,675 | 1,520,362 | SH | SOLE | 1,520,362 | 0 | 0 | ||
SEAGATE TECHNOLOGY PLC | SHS | G7945M107 | 2,471 | 52,185 | SH | SOLE | 52,185 | 0 | 0 | ||
SEAGATE TECHNOLOGY PLC | SHS | G7945M107 | 395 | 1,300 | SH | Put | SOLE | 1,300 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 61 | 250 | SH | Put | SOLE | 250 | 0 | 0 | |
SHOPIFY INC | CL A | 82509L107 | 417 | 2,534 | SH | SOLE | 2,534 | 0 | 0 | ||
SKECHERS U S A INC | CL A | 830566105 | 3,888 | 13,900 | SH | SOLE | 13,900 | 0 | 0 | ||
SNAP INC | CL A | 83304A106 | 1,372 | 161,757 | SH | SOLE | 161,757 | 0 | 0 | ||
SNAP INC | CL A | 83304A106 | 392 | 2,200 | SH | Put | SOLE | 2,200 | 0 | 0 | |
SPDR SER TR | BLOOMBERG SRT TR | 78468R408 | 4,515 | 164,400 | SH | Call | SOLE | 164,400 | 0 | 0 | |
SQUARE INC | CL A | 852234103 | 240 | 800 | SH | Put | SOLE | 800 | 0 | 0 | |
SQUARE INC | CL A | 852234103 | 1,312 | 13,253 | SH | Call | SOLE | 13,253 | 0 | 0 | |
STONE HBR EMERG MKTS TL INC | COM | 86164W100 | 461 | 35,400 | SH | SOLE | 35,400 | 0 | 0 | ||
SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 86562M209 | 4,468 | 553,325 | SH | SOLE | 553,325 | 0 | 0 | ||
SUNLANDS ONLINE ED GROUP | ADS | 86740P108 | 6,338 | 1,047,620 | SH | Call | SOLE | 1,047,620 | 0 | 0 | |
SYMANTEC CORP | COM | 871503108 | 375 | 1,000 | SH | Call | SOLE | 1,000 | 0 | 0 | |
SYMANTEC CORP | COM | 871503108 | 208 | 2,400 | SH | Put | SOLE | 2,400 | 0 | 0 | |
SYSCO CORP | COM | 871829107 | 1,164 | 15,893 | SH | SOLE | 15,893 | 0 | 0 | ||
SYSCO CORP | COM | 871829107 | 79 | 500 | SH | Put | SOLE | 500 | 0 | 0 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 3,948 | 89,400 | SH | SOLE | 89,400 | 0 | 0 | ||
TATA MTRS LTD | SPONSORED ADR | 876568502 | 1,296 | 83,400 | SH | SOLE | 83,400 | 0 | 0 | ||
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 95 | 4,100 | SH | SOLE | 4,100 | 0 | 0 | ||
TEMPLETON EMERG MKTS INCOME | COM | 880192109 | 1,420 | 142,000 | SH | SOLE | 142,000 | 0 | 0 | ||
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 103 | 16,800 | SH | SOLE | 16,800 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 66 | 800 | SH | SOLE | 800 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 66 | 800 | SH | Call | SOLE | 800 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 43 | 800 | SH | Put | SOLE | 800 | 0 | 0 | |
TIFFANY & CO NEW | COM | 886547108 | 2,723 | 20,537 | SH | Put | SOLE | 20,537 | 0 | 0 | |
TRI CONTL CORP | COM | 895436103 | 2,379 | 88,200 | SH | SOLE | 88,200 | 0 | 0 | ||
TRIPADVISOR INC | COM | 896945201 | 684 | 1,637 | SH | Put | SOLE | 1,637 | 0 | 0 | |
TRIPADVISOR INC | COM | 896945201 | 3,728 | 73,002 | SH | SOLE | 73,002 | 0 | 0 | ||
UNION PAC CORP | COM | 907818108 | 7 | 300 | SH | Put | SOLE | 300 | 0 | 0 | |
UNION PAC CORP | COM | 907818108 | 144 | 882 | SH | SOLE | 882 | 0 | 0 | ||
UNITED MICROELECTRONICS CORP | SPON ADR NEW | 910873405 | 846 | 319,739 | SH | SOLE | 319,739 | 0 | 0 | ||
UNITED PARCEL SERVICE INC | CL B | 911312106 | 1,106 | 9,475 | SH | SOLE | 9,475 | 0 | 0 | ||
UNITED PARCEL SERVICE INC | CL B | 911312106 | 22 | 400 | SH | Call | SOLE | 400 | 0 | 0 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 171 | 925 | SH | Put | SOLE | 925 | 0 | 0 | |
UNITED STATES STL CORP NEW | COM | 912909108 | 1,393 | 45,709 | SH | SOLE | 45,709 | 0 | 0 | ||
UROVANT SCIENCES LTD | SHS | G9381B108 | 12 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
V F CORP | COM | 918204108 | 376 | 4,027 | SH | SOLE | 4,027 | 0 | 0 | ||
V F CORP | COM | 918204108 | 39 | 400 | SH | Put | SOLE | 400 | 0 | 0 | |
VANECK VECTORS ETF TR | FALLEN ANGEL HG | 92189F437 | 1,126 | 38,900 | SH | SOLE | 38,900 | 0 | 0 | ||
VANECK VECTORS ETF TR | JP MORGAN MKTS | 92189F494 | 5,612 | 342,700 | SH | SOLE | 342,700 | 0 | 0 | ||
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 1,386 | 222,068 | SH | SOLE | 222,068 | 0 | 0 | ||
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 890 | 2,500 | SH | Put | SOLE | 2,500 | 0 | 0 | |
VIRTUS GLOBAL MULTI-SEC INC | COM | 92829B101 | 740 | 56,000 | SH | SOLE | 56,000 | 0 | 0 | ||
VMWARE INC | CL A COM | 928563402 | 657 | 4,211 | SH | SOLE | 4,211 | 0 | 0 | ||
VMWARE INC | CL A COM | 928563402 | 65 | 300 | SH | Put | SOLE | 300 | 0 | 0 | |
VOYA GLBL EQTY DIV & PREM OP | COM | 92912T100 | 383 | 52,800 | SH | SOLE | 52,800 | 0 | 0 | ||
VOYA PRIME RATE TR | SH BEN INT | 92913A100 | 2,758 | 553,900 | SH | SOLE | 553,900 | 0 | 0 | ||
WALMART INC | COM | 931142103 | 155 | 500 | SH | Call | SOLE | 500 | 0 | 0 | |
WALMART INC | COM | 931142103 | 281 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
WALMART INC | COM | 931142103 | 1,307 | 13,920 | SH | SOLE | 13,920 | 0 | 0 | ||
WASTE MGMT INC DEL | COM | 94106L109 | 240 | 2,660 | SH | SOLE | 2,660 | 0 | 0 | ||
WASTE MGMT INC DEL | COM | 94106L109 | 67 | 400 | SH | Call | SOLE | 400 | 0 | 0 | |
WASTE MGMT INC DEL | COM | 94106L109 | 89 | 520 | SH | Put | SOLE | 520 | 0 | 0 | |
WEIGHT WATCHERS INTL INC NEW | COM | 948626106 | 1 | 2 | SH | Put | SOLE | 2 | 0 | 0 | |
WEIGHT WATCHERS INTL INC NEW | COM | 948626106 | 6 | 83 | SH | SOLE | 83 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 215 | 1,400 | SH | Put | SOLE | 1,400 | 0 | 0 | |
WELLS FARGO CO NEW | COM | 949746101 | 1,790 | 34,061 | SH | SOLE | 34,061 | 0 | 0 | ||
WELLS FARGO CO NEW | COM | 949746101 | 17 | 500 | SH | Call | SOLE | 500 | 0 | 0 | |
WELLS FARGO INCOME OPPORTUNI | WF INC OPPTY FD | 94987B105 | 115 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
WELLS FARGO MULTI SECTOR INC | COM | 94987D101 | 1,226 | 100,800 | SH | SOLE | 100,800 | 0 | 0 | ||
WESTERN ASSET EMRG MKT DEBT | COM | 95766A101 | 134 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
WESTERN ASSET HIGH INCM FD I | COM | 95766J102 | 885 | 139,600 | SH | SOLE | 139,600 | 0 | 0 | ||
WESTERN DIGITAL CORP | COM | 958102105 | 205 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
YY INC | ADS REPCOM CLA | 98426T106 | 841 | 988 | SH | Put | SOLE | 988 | 0 | 0 | |
YY INC | ADS REPCOM CLA | 98426T106 | 3,290 | 43,918 | SH | Call | SOLE | 43,918 | 0 | 0 |