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 |
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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 |
ABERDEEN STD PALLADIUM ETF T | PHYSCL PALLADM | 003262102 | 2,366 | 10,306 | SH | DFND | 0 | 0 | 10,306 | ||
ALLIANZGI EQUITY & CONV INCO | COM | 018829101 | 1,778 | 62,886 | SH | DFND | 0 | 0 | 62,886 | ||
AMAZON COM INC | COM | 023135106 | 495 | 152 | SH | DFND | 0 | 0 | 152 | ||
AMPLIFY ETF TR | ONLIN RETL ETF | 032108102 | 2,298 | 20,100 | SH | DFND | 0 | 0 | 20,100 | ||
AMPLIFY ETF TR | HIGH INCOME | 032108847 | 1,225 | 76,926 | SH | DFND | 0 | 0 | 76,926 | ||
APPLE INC | COM | 037833100 | 614 | 4,628 | SH | DFND | 0 | 0 | 4,628 | ||
EXCHANGE TRADED CONCEPTS TR | EMQQ EM INTERN | 301505889 | 3,509 | 55,196 | SH | DFND | 0 | 0 | 55,196 | ||
FLAHERTY & CRUMRIN PFD & INM | COM | 338478100 | 3,132 | 133,695 | SH | DFND | 0 | 0 | 133,695 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 109 | 10,108 | SH | DFND | 0 | 0 | 10,108 | ||
ISHARES TR | CORE US AGGBD ET | 464287226 | 5,697 | 48,200 | SH | DFND | 0 | 0 | 48,200 | ||
ISHARES TR | IBOXX INV CP ETF | 464287242 | 609 | 4,409 | SH | DFND | 0 | 0 | 4,409 | ||
ISHARES TR | GLOB HLTHCRE ETF | 464287325 | 1,668 | 21,815 | SH | DFND | 0 | 0 | 21,815 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 583 | 3,695 | SH | DFND | 0 | 0 | 3,695 | ||
ISHARES TR | RUS MD CP GR ETF | 464287481 | 6,905 | 67,268 | SH | DFND | 0 | 0 | 67,268 | ||
ISHARES TR | RUS 1000 VAL ETF | 464287598 | 1,954 | 14,290 | SH | DFND | 0 | 0 | 14,290 | ||
ISHARES TR | RUS 1000 GRW ETF | 464287614 | 5,974 | 24,775 | SH | DFND | 0 | 0 | 24,775 | ||
ISHARES TR | EUROPE ETF | 464287861 | 319 | 6,652 | SH | DFND | 0 | 0 | 6,652 | ||
ISHARES TR | JPMORGAN USD EMG | 464288281 | 1,614 | 13,925 | SH | DFND | 0 | 0 | 13,925 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 205 | 2,352 | SH | DFND | 0 | 0 | 2,352 | ||
ISHARES TR | MBS ETF | 464288588 | 796 | 7,226 | SH | DFND | 0 | 0 | 7,226 | ||
ISHARES TR | 3 7 YR TREAS BD | 464288661 | 199 | 1,493 | SH | DFND | 0 | 0 | 1,493 | ||
ISHARES TR | PFD AND INCM SEC | 464288687 | 3,401 | 88,307 | SH | DFND | 0 | 0 | 88,307 | ||
ISHARES TR | GLOBAL MATER ETF | 464288695 | 1,767 | 21,707 | SH | DFND | 0 | 0 | 21,707 | ||
JOHNSON & JOHNSON | COM | 478160104 | 358 | 2,274 | SH | DFND | 0 | 0 | 2,274 | ||
MICROSOFT CORP | COM | 594918104 | 423 | 1,901 | SH | DFND | 0 | 0 | 1,901 | ||
OXFORD LANE CAP CORP | COM | 691543102 | 1,325 | 244,885 | SH | DFND | 0 | 0 | 244,885 | ||
QUALCOMM INC | COM | 747525103 | 696 | 4,566 | SH | DFND | 0 | 0 | 4,566 | ||
STARBUCKS CORP | COM | 855244109 | 212 | 1,983 | SH | DFND | 0 | 0 | 1,983 | ||
VANGUARD BD INDEX FDS | TOTAL BND MRKT | 921937835 | 5,679 | 64,400 | SH | DFND | 0 | 0 | 64,400 | ||
VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 | 878 | 9,599 | SH | DFND | 0 | 0 | 9,599 | ||
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 1,111 | 22,174 | SH | DFND | 0 | 0 | 22,174 | ||
VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 | 405 | 2,848 | SH | DFND | 0 | 0 | 2,848 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 12,207 | 38,905 | SH | DFND | 0 | 0 | 38,905 | ||
ARK ETF TR | GENOMIC REV ETF | 00214Q302 | 2,715 | 29,110 | SH | DFND | 0 | 0 | 29,110 | ||
ADVISORSHARES TR | STAR GLOB BUYW | 00768Y768 | 368 | 10,000 | SH | DFND | 0 | 0 | 10,000 | ||
AMERICAN TOWER CORP NEW | COM | 03027X100 | 1,885 | 8,400 | SH | DFND | 0 | 0 | 8,400 | ||
ARCUS BIOSCIENCES INC | COM | 03969F109 | 209 | 8,041 | SH | DFND | 0 | 0 | 8,041 | ||
ARES CAPITAL CORP | COM | 04010L103 | 1,735 | 102,692 | SH | DFND | 0 | 0 | 102,692 | ||
BLACKROCK INCOME TR INC | COM | 09247F100 | 61 | 10,047 | SH | DFND | 0 | 0 | 10,047 | ||
BLACKROCK FLOATING RATE INCO | COM | 09255X100 | 199 | 16,401 | SH | SOLE | 0 | 0 | 16,401 | ||
BLACKSTONE GROUP INC | COM CL A | 09260D107 | 3,059 | 47,195 | SH | DFND | 0 | 0 | 47,195 | ||
CRONOS GROUP INC | COM | 22717L101 | 76 | 11,000 | SH | DFND | 0 | 0 | 11,000 | ||
CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 2,229 | 14,000 | SH | DFND | 0 | 0 | 14,000 | ||
EATON VANCE TX MNG BY WRT OP | COM | 27828Y108 | 3,306 | 215,391 | SH | DFND | 0 | 0 | 215,391 | ||
FIRST TR EXCHANGE-TRADED FD | NAS CLNEDG GREEN | 33733E500 | 2,681 | 38,170 | SH | DFND | 0 | 0 | 38,170 | ||
FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 33734X192 | 1,247 | 13,117 | SH | DFND | 0 | 0 | 13,117 | ||
FIRST TR EXCH TRADED FD III | LNG/SHT EQUITY | 33739P103 | 1,662 | 38,109 | SH | DFND | 0 | 0 | 38,109 | ||
FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 33739Q200 | 397 | 7,717 | SH | DFND | 0 | 0 | 7,717 | ||
FS KKR CAP CORP II | COM | 35952V303 | 472 | 28,763 | SH | DFND | 0 | 0 | 28,763 | ||
GLOBAL X FDS | VDEO GAM ESPRT | 37954Y392 | 1,746 | 56,240 | SH | DFND | 0 | 0 | 56,240 | ||
INDEXIQ ETF TR | HEDGE MLTI ETF | 45409B107 | 1,405 | 43,992 | SH | DFND | 0 | 0 | 43,992 | ||
INNOVATIVE INDL PPTYS INC | COM | 45781V101 | 592 | 3,233 | SH | DFND | 0 | 0 | 3,233 | ||
INVESCO EXCHANGE TRADED FD T | S&P500 BUY WRT | 46137V399 | 1,276 | 62,265 | SH | DFND | 0 | 0 | 62,265 | ||
INVESCO EXCHANGE TRADED FD T | DYNMC BIOTECH | 46137V787 | 1,917 | 27,341 | SH | DFND | 0 | 0 | 27,341 | ||
INVESCO EXCH TRADED FD TR II | FNDMNTL HY CRP | 46138E719 | 605 | 31,139 | SH | DFND | 0 | 0 | 31,139 | ||
INVESCO EXCH TRADED FD TR II | SR LN ETF | 46138G508 | 377 | 16,900 | SH | SOLE | 0 | 0 | 16,900 | ||
ISHARES TR | US TREAS BD ETF | 46429B267 | 390 | 14,328 | SH | DFND | 0 | 0 | 14,328 | ||
ISHARES TR | USA SIZE FACTOR | 46432F370 | 1,604 | 14,428 | SH | DFND | 0 | 0 | 14,428 | ||
J P MORGAN EXCHANGE-TRADED F | ULTRA SHRT INC | 46641Q837 | 4,862 | 95,733 | SH | DFND | 0 | 0 | 95,733 | ||
NVIDIA CORPORATION | COM | 67066G104 | 271 | 519 | SH | DFND | 0 | 0 | 519 | ||
ONE STOP SYS INC | COM | 68247W109 | 2,165 | 541,249 | SH | DFND | 0 | 0 | 541,249 | ||
PIMCO CORPORATE & INCOME STR | COM | 72200U100 | 1,271 | 73,712 | SH | DFND | 0 | 0 | 73,712 | ||
PIMCO ETF TR | ACTIVE BD ETF | 72201R775 | 717 | 6,342 | SH | DFND | 0 | 0 | 6,342 | ||
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 4,186 | 41,020 | SH | DFND | 0 | 0 | 41,020 | ||
PIMCO INCOME OPPORTUNITY FD | COM | 72202B100 | 1,280 | 50,662 | SH | DFND | 0 | 0 | 50,662 | ||
PROSHARES TR | LONG ONLINE SHRT | 74347B375 | 2,739 | 29,652 | SH | DFND | 0 | 0 | 29,652 | ||
ROKU INC | COM CL A | 77543R102 | 356 | 1,071 | SH | DFND | 0 | 0 | 1,071 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 27,953 | 74,766 | SH | DFND | 0 | 0 | 74,766 | ||
SPDR GOLD TR | GOLD SHS | 78463V107 | 511 | 2,866 | SH | DFND | 0 | 0 | 2,866 | ||
SPDR SER TR | BLMBRG BRC CNVRT | 78464A359 | 2,114 | 25,539 | SH | DFND | 0 | 0 | 25,539 | ||
SPDR SER TR | PORTFOLIO INTRMD | 78464A375 | 404 | 10,863 | SH | DFND | 0 | 0 | 10,863 | ||
SPDR SER TR | S&P DIVID ETF | 78464A763 | 1,126 | 10,625 | SH | DFND | 0 | 0 | 10,625 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 10,423 | 91,881 | SH | DFND | 0 | 0 | 91,881 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 7,070 | 104,820 | SH | DFND | 0 | 0 | 104,820 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 4,751 | 29,544 | SH | DFND | 0 | 0 | 29,544 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 11,796 | 90,726 | SH | DFND | 0 | 0 | 90,726 | ||
SELECT SECTOR SPDR TR | COMMUNICATION | 81369Y852 | 6,397 | 94,795 | SH | DFND | 0 | 0 | 94,795 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 1,837 | 29,304 | SH | DFND | 0 | 0 | 29,304 | ||
SHOPIFY INC | CL A | 82509L107 | 566 | 500 | SH | DFND | 0 | 0 | 500 | ||
TESLA INC | COM | 88160R101 | 323 | 458 | SH | DFND | 0 | 0 | 458 | ||
TWITTER INC | COM | 90184L102 | 200 | 3,699 | SH | DFND | 0 | 0 | 3,699 | ||
TWO RDS SHARED TR | ANFIELD CAP DI | 90213U115 | 19,680 | 2,032,021 | SH | DFND | 0 | 0 | 2,032,021 | ||
TWO RDS SHARED TR | AFFINITY WORLD | 90214Q105 | 642 | 28,032 | SH | DFND | 0 | 0 | 28,032 | ||
TWO RDS SHARED TR | ANFIELD DYNAMIC | 90214Q725 | 2,143 | 214,900 | SH | DFND | 0 | 0 | 214,900 | ||
TWO RDS SHARED TR | ANFIELD US EQU | 90214Q733 | 7,917 | 664,284 | SH | DFND | 0 | 0 | 664,284 | ||
TWO RDS SHARED TR | ANFIELD UNVL ETF | 90214Q766 | 4,171 | 426,339 | SH | DFND | 0 | 0 | 426,339 | ||
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 1,579 | 29,110 | SH | DFND | 0 | 0 | 29,110 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 200 | 2,405 | SH | DFND | 0 | 0 | 2,405 | ||
WISDOMTREE TR | JAPN HEDGE EQT | 97717W851 | 240 | 4,412 | SH | DFND | 0 | 0 | 4,412 | ||
WISDOMTREE TR | CLOUD COMPUTNG | 97717Y691 | 2,151 | 40,150 | SH | DFND | 0 | 0 | 40,150 |