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 |
KATAPULT HOLDINGS INC | *W EXP 06/09/202 | 485859110 | 1 | 10,000 | SH | DFND | 2 | 10,000 | 0 | 0 | |
SATELLOGIC INC | *W EXP 01/25/202 | G7823S119 | 2 | 10,000 | SH | DFND | 2 | 10,000 | 0 | 0 | |
SEELOS THERAPEUTICS INC | COM | 81577F109 | 7 | 10,000 | SH | DFND | 1 | 0 | 0 | 10,000 | |
ACCELERATE DIAGNOSTICS INC | COM | 00430H102 | 8 | 10,740 | SH | DFND | 1 | 0 | 0 | 10,740 | |
BERKSHIRE GREY INC | *W EXP 07/21/202 | 084656115 | 1 | 11,010 | SH | DFND | 2 | 11,010 | 0 | 0 | |
EATON VANCE TX ADV GLBL DIV | COM | 27828S101 | 178 | 11,760 | SH | DFND | 1 | 0 | 0 | 11,760 | |
GRAPHEX GROUP LTD | SPONSORED ADS | 38867H104 | 15 | 13,004 | SH | DFND | 2 | 13,004 | 0 | 0 | |
MEDICAL PPTYS TRUST INC | COM | 58463J304 | 154 | 13,464 | SH | DFND | 1 | 0 | 0 | 13,464 | |
BABCOCK & WILCOX ENTERPRISES | COM | 05614L209 | 78 | 13,503 | SH | DFND | 1 | 0 | 0 | 13,503 | |
MFS HIGH INCOME MUN TR | SH BEN INT | 59318D104 | 48 | 13,740 | SH | DFND | 2 | 13,740 | 0 | 0 | |
EPIPHANY TECHNOLOGY ACQUISIT | *W EXP 01/12/202 | 29429X117 | 0 | 14,000 | SH | DFND | 2 | 14,000 | 0 | 0 | |
THERATECHNOLOGIES INC | COM | 88338H100 | 12 | 14,000 | SH | DFND | 1 | 0 | 0 | 14,000 | |
CORE SCIENTIFIC INC | COMMON STOCK | 21873J108 | 1 | 14,100 | SH | DFND | 2 | 14,100 | 0 | 0 | |
BIORESTORATIVE THERAPIES INC | COM NEW | 090655606 | 41 | 14,954 | SH | DFND | 1,2 | 74 | 0 | 14,880 | |
STAR GROUP L P | UNIT LTD PARTNR | 85512C105 | 181 | 15,000 | SH | DFND | 1 | 0 | 0 | 15,000 | |
COEUR MNG INC | COM NEW | 192108504 | 51 | 15,100 | SH | DFND | 1 | 0 | 0 | 15,100 | |
MINK THERAPEUTICS INC | COM | 603693102 | 47 | 17,821 | SH | DFND | 2 | 17,821 | 0 | 0 | |
ZOMEDICA CORP | COM | 98980M109 | 3 | 20,000 | SH | DFND | 1 | 0 | 0 | 20,000 | |
AMPIO PHARMACEUTICALS INC | COM NEW | 03209T208 | 5 | 20,109 | SH | DFND | 2 | 20,109 | 0 | 0 | |
IRIDEX CORP | COM | 462684101 | 55 | 25,400 | SH | DFND | 1 | 0 | 0 | 25,400 | |
GENPREX INC | COM | 372446104 | 51 | 35,150 | SH | DFND | 1 | 0 | 0 | 35,150 | |
RENALYTIX PLC | ADS | 75973T101 | 92 | 49,056 | SH | DFND | 2 | 49,056 | 0 | 0 | |
SHARECARE INC | COM CL A | 81948W104 | 165 | 103,328 | SH | DFND | 1 | 0 | 0 | 103,328 | |
BARRICK GOLD CORP | COM | 067901108 | 218 | 12,685 | SH | DFND | 1 | 0 | 0 | 12,685 | |
INVESCO EXCH TRADED FD TR II | INTL CORP BD | 46138E636 | 239 | 11,292 | SH | DFND | 2 | 11,292 | 0 | 0 | |
TEKLA HEALTHCARE INVS | SH BEN INT | 87911J103 | 267 | 14,857 | SH | DFND | 1 | 0 | 0 | 14,857 | |
TRINSEO PLC | SHS | G9059U107 | 277 | 12,189 | SH | DFND | 1 | 0 | 0 | 12,189 | |
TEKLA HEALTHCARE OPPORTUNITI | SHS | 879105104 | 286 | 14,418 | SH | DFND | 1 | 0 | 0 | 14,418 | |
VIR BIOTECHNOLOGY INC | COM | 92764N102 | 298 | 11,755 | SH | DFND | 1 | 0 | 0 | 11,755 | |
SILVERCREST METALS INC | COM | 828363101 | 312 | 51,990 | SH | DFND | 1 | 0 | 0 | 51,990 | |
B2GOLD CORP | COM | 11777Q209 | 372 | 104,150 | SH | DFND | 1 | 0 | 0 | 104,150 | |
MAG SILVER CORP | COM | 55903Q104 | 381 | 24,350 | SH | DFND | 1 | 0 | 0 | 24,350 | |
BP PRUDHOE BAY RTY TR | UNIT BEN INT | 055630107 | 382 | 32,710 | SH | DFND | 1 | 0 | 0 | 32,710 | |
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 407 | 10,898 | SH | DFND | 1 | 0 | 0 | 10,898 | |
ENBRIDGE INC | COM | 29250N105 | 427 | 10,914 | SH | DFND | 1 | 0 | 0 | 10,914 | |
FORD MTR CO DEL | COM | 345370860 | 451 | 38,766 | SH | DFND | 1 | 0 | 0 | 38,766 | |
SPROTT PHYSICAL GOLD & SILVE | TR UNIT | 85208R101 | 461 | 25,700 | SH | DFND | 1 | 0 | 0 | 25,700 | |
INTEL CORP | COM | 458140100 | 463 | 17,508 | SH | DFND | 1 | 0 | 0 | 17,508 | |
EXELON CORP | COM | 30161N101 | 470 | 10,891 | SH | DFND | 1 | 0 | 0 | 10,891 | |
LIVENT CORP | COM | 53814L108 | 485 | 24,407 | SH | DFND | 1 | 0 | 0 | 24,407 | |
CITIZENS FINL GROUP INC | COM | 174610105 | 493 | 12,523 | SH | DFND | 1 | 0 | 0 | 12,523 | |
GOLDMAN SACHS ETF TR | FUTURE HEALTH | 38149W770 | 514 | 16,340 | SH | DFND | 2 | 16,340 | 0 | 0 | |
SPROTT PHYSICAL SILVER TR | TR UNIT | 85207K107 | 517 | 62,694 | SH | DFND | 1 | 0 | 0 | 62,694 | |
ALTRIA GROUP INC | COM | 02209S103 | 519 | 11,138 | SH | DFND | 1 | 0 | 0 | 11,138 | |
ENERGY TRANSFER L P | COM UT LTD PTN | 29273V100 | 525 | 44,267 | SH | DFND | 1 | 0 | 0 | 44,267 | |
VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 | 558 | 19,456 | SH | DFND | 2 | 19,456 | 0 | 0 | |
FIRST TR SR FLTG RATE INCOME | COM | 33733U108 | 581 | 60,962 | SH | DFND | 1,2 | 60,762 | 0 | 200 | |
KEYCORP | COM | 493267108 | 623 | 35,745 | SH | DFND | 1 | 0 | 0 | 35,745 | |
BCE INC | COM NEW | 05534B760 | 625 | 14,000 | SH | DFND | 1 | 0 | 0 | 14,000 | |
GOLDMAN SACHS ETF TR | FUTURE REAL ESTA | 38149W762 | 647 | 20,108 | SH | DFND | 2 | 20,108 | 0 | 0 | |
BLOCK INC | CL A | 852234103 | 648 | 10,306 | SH | DFND | 1 | 0 | 0 | 10,306 | |
FREEPORT-MCMORAN INC | CL B | 35671D857 | 704 | 18,525 | SH | DFND | 1 | 0 | 0 | 18,525 | |
TRUIST FINL CORP | COM | 89832Q109 | 719 | 16,707 | SH | DFND | 1 | 0 | 0 | 16,707 | |
NUVEEN S&P 500 BUY-WRITE INC | COM | 6706ER101 | 725 | 57,319 | SH | DFND | 1 | 0 | 0 | 57,319 | |
SPROTT PHYSICAL GOLD TR | UNIT | 85207H104 | 728 | 51,600 | SH | DFND | 1 | 0 | 0 | 51,600 | |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 745 | 30,866 | SH | DFND | 1 | 0 | 0 | 30,866 | |
INFOSYS LTD | SPONSORED ADR | 456788108 | 780 | 43,302 | SH | DFND | 1 | 0 | 0 | 43,302 | |
CORNING INC | COM | 219350105 | 783 | 24,524 | SH | DFND | 1 | 0 | 0 | 24,524 | |
PINNACLE WEST CAP CORP | COM | 723484101 | 784 | 10,310 | SH | DFND | 1 | 0 | 0 | 10,310 | |
BANK AMERICA CORP | COM | 060505104 | 789 | 23,832 | SH | DFND | 1 | 0 | 0 | 23,832 | |
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 868 | 30,514 | SH | DFND | 1 | 0 | 0 | 30,514 | |
US BANCORP DEL | COM NEW | 902973304 | 914 | 20,721 | SH | DFND | 1 | 0 | 0 | 20,721 | |
COMCAST CORP NEW | CL A | 20030N101 | 927 | 26,491 | SH | DFND | 1,2 | 436 | 0 | 26,055 | |
CSX CORP | COM | 126408103 | 935 | 30,172 | SH | DFND | 1 | 0 | 0 | 30,172 | |
GOLDMAN SACHS ETF TR | FUTURE TECH LEAD | 38149W812 | 974 | 46,550 | SH | DFND | 2 | 46,550 | 0 | 0 | |
GOLDMAN SACHS ETF TR | FUTURE | 38149W796 | 1,007 | 34,319 | SH | DFND | 2 | 34,319 | 0 | 0 | |
INSTEEL INDS INC | COM | 45774W108 | 1,008 | 36,628 | SH | DFND | 1 | 0 | 0 | 36,628 | |
KINDER MORGAN INC DEL | COM | 49456B101 | 1,054 | 58,297 | SH | DFND | 1 | 0 | 0 | 58,297 | |
AT&T INC | COM | 00206R102 | 1,107 | 60,067 | SH | DFND | 1 | 0 | 0 | 60,067 | |
SHOPIFY INC | CL A | 82509L107 | 1,148 | 33,031 | SH | DFND | 1 | 0 | 0 | 33,031 | |
DNP SELECT INCOME FD INC | COM | 23325P104 | 1,166 | 103,037 | SH | DFND | 1 | 0 | 0 | 103,037 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 1,210 | 13,622 | SH | DFND | 1,2 | 22 | 0 | 13,600 | |
CVS HEALTH CORP | COM | 126650100 | 1,360 | 14,590 | SH | DFND | 1 | 0 | 0 | 14,590 | |
COCA COLA CO | COM | 191216100 | 1,398 | 21,979 | SH | DFND | 1 | 0 | 0 | 21,979 | |
WALMART INC | COM | 931142103 | 1,596 | 11,211 | SH | DFND | 1 | 0 | 0 | 11,211 | |
PHILIP MORRIS INTL INC | COM | 718172109 | 1,644 | 16,043 | SH | DFND | 1 | 0 | 0 | 16,043 | |
BLACKSTONE INC | COM | 09260D107 | 1,658 | 22,351 | SH | DFND | 1 | 0 | 0 | 22,351 | |
BRISTOL-MYERS SQUIBB CO | COM | 110122108 | 1,663 | 23,115 | SH | DFND | 1 | 0 | 0 | 23,115 | |
ISHARES TR | IBOXX INV CP ETF | 464287242 | 1,665 | 15,789 | SH | DFND | 2 | 15,789 | 0 | 0 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 1,731 | 12,289 | SH | DFND | 1 | 0 | 0 | 12,289 | |
GOLDMAN SACHS ETF TR | INNOVAT EQ ETF | 38149W820 | 1,751 | 42,894 | SH | DFND | 2 | 42,894 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 1,809 | 20,483 | SH | DFND | 1 | 0 | 0 | 20,483 | |
FIRST HORIZON CORPORATION | COM | 320517105 | 1,870 | 75,848 | SH | DFND | 1 | 0 | 0 | 75,848 | |
TESLA INC | COM | 88160R101 | 1,909 | 15,387 | SH | DFND | 1 | 0 | 0 | 15,387 | |
UNITED PARCEL SERVICE INC | CL B | 911312106 | 2,061 | 11,852 | SH | DFND | 1 | 0 | 0 | 11,852 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 2,078 | 52,749 | SH | DFND | 1 | 0 | 0 | 52,749 | |
DOW INC | COM | 260557103 | 2,085 | 41,376 | SH | DFND | 1 | 0 | 0 | 41,376 | |
QUALCOMM INC | COM | 747525103 | 2,106 | 19,107 | SH | DFND | 1,2 | 37 | 0 | 19,070 | |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 2,198 | 29,480 | SH | DFND | 1 | 0 | 0 | 29,480 | |
PFIZER INC | COM | 717081103 | 2,311 | 45,103 | SH | DFND | 1 | 0 | 0 | 45,103 | |
CISCO SYS INC | COM | 17275R102 | 2,412 | 50,634 | SH | DFND | 1 | 0 | 0 | 50,634 | |
MERCK & CO INC | COM | 58933Y105 | 2,437 | 21,816 | SH | DFND | 1 | 0 | 0 | 21,816 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 2,560 | 29,263 | SH | DFND | 1,2 | 900 | 0 | 28,363 | |
PEPSICO INC | COM | 713448108 | 2,580 | 14,193 | SH | DFND | 1 | 0 | 0 | 14,193 | |
ISHARES TR | NATIONAL MUN ETF | 464288414 | 2,629 | 24,910 | SH | DFND | 2 | 24,910 | 0 | 0 | |
NVIDIA CORPORATION | COM | 67066G104 | 2,647 | 18,112 | SH | DFND | 1 | 0 | 0 | 18,112 | |
PROCTER AND GAMBLE CO | COM | 742718109 | 2,863 | 18,889 | SH | DFND | 1 | 0 | 0 | 18,889 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 3,065 | 22,855 | SH | DFND | 1 | 0 | 0 | 22,855 | |
EXXON MOBIL CORP | COM | 30231G102 | 3,198 | 28,990 | SH | DFND | 1 | 0 | 0 | 28,990 | |
HOME DEPOT INC | COM | 437076102 | 3,379 | 10,697 | SH | DFND | 1 | 0 | 0 | 10,697 | |
SOUTHERN CO | COM | 842587107 | 3,429 | 48,029 | SH | DFND | 1 | 0 | 0 | 48,029 | |
BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 3,454 | 11,181 | SH | DFND | 1 | 0 | 0 | 11,181 | |
ABBVIE INC | COM | 00287Y109 | 3,476 | 21,511 | SH | DFND | 1,2 | 22 | 0 | 21,489 | |
JOHNSON & JOHNSON | COM | 478160104 | 3,540 | 20,040 | SH | DFND | 1 | 0 | 0 | 20,040 | |
SPDR INDEX SHS FDS | S&P EM MKT DIV | 78463X533 | 3,751 | 156,272 | SH | DFND | 2 | 156,272 | 0 | 0 | |
CHEVRON CORP NEW | COM | 166764100 | 4,427 | 24,663 | SH | DFND | 1 | 0 | 0 | 24,663 | |
ORANGE | SPONSORED ADR | 684060106 | 5,155 | 521,779 | SH | DFND | 1,2 | 519,307 | 0 | 2,472 | |
AMETEK INC | COM | 031100100 | 5,183 | 37,096 | SH | DFND | 1 | 0 | 0 | 37,096 | |
AMAZON COM INC | COM | 023135106 | 5,838 | 69,210 | SH | DFND | 1 | 0 | 0 | 69,210 | |
MICROSOFT CORP | COM | 594918104 | 6,503 | 27,102 | SH | DFND | 1 | 0 | 0 | 27,102 | |
APPLE INC | COM | 037833100 | 13,788 | 105,977 | SH | DFND | 1 | 0 | 0 | 105,977 |