# EDGAR Filing Document

**Accession Number:** 0000073956
**File Stem:** 0000950123-23-000551
**Filing Date:** 2023-2
**Character Count:** 29004
**Document Hash:** 5045ed32ea998ea140fd8ac6da58e8a3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950123-23-000551.hdr.sgml**: 20230201

**ACCESSION NUMBER**: 0000950123-23-000551

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230201

**DATE AS OF CHANGE**: 20230131

**EFFECTIVENESS DATE**: 20230201

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIFTH THIRD SECURITIES, INC.
- **CENTRAL INDEX KEY:** 0000073956
- **IRS NUMBER:** 314122170
- **STATE OF INCORPORATION:** OH
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-19362
- **FILM NUMBER:** 23574109

**BUSINESS ADDRESS:**
- **STREET 1:** 34 FOUNTAIN SQUARE PLAZA
- **STREET 2:** MD 1090AM
- **CITY:** CINCINNATI
- **STATE:** OH
- **ZIP:** 45202
- **BUSINESS PHONE:** 513-534-7421

**MAIL ADDRESS:**
- **STREET 1:** 38 FOUNTAIN SQUARE PLAZA
- **STREET 2:** MD 1090AM
- **CITY:** CINCINNATI
- **STATE:** OH
- **ZIP:** 45263

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIFTH III SECURITIES INC                                /BD
- **DATE OF NAME CHANGE:** 20020207

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIFTH THIRD SECURITIES INC\                             /BD
- **DATE OF NAME CHANGE:** 20011219

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** FIFTH THIRD SECURITIES INC\\\OH                         /BD
- **DATE OF NAME CHANGE:** 20011018

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Fifth Third Securities Inc.<br>**Address:** 38 Fountain Square Plaza<br>MD 1090AM<br>Cincinnati, OH 45263

**Form 13F File Number:** 028-19362

**CRD Number (if applicable):** 000000628

**SEC File Number (if applicable):** 801-63623

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Jarrett Jacobs<br>**Title:** Chief Compliance Officer<br>**Phone:** 513-534-7421

**Signature, Place, and Date of Signing:**

Jarrett Jacobs  Cincinnati, OH  01-31-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 1

**Form 13F Information Table Entry Total:** 203

**Form 13F Information Table Value Total:** $761118312

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

| No.   | Name                                  | Form 13F File Number   |
|:---|:---|:---|
|  | Fifth Third Bank National Association | 028-00539              |

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| Xtrackers USD High Yield Corp Bd ETF | Exchange Traded Fund | 233051432 |  | 624469 | 18524 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Consumer Discret ETF | Exchange Traded Fund | 316092204 |  | 249675 | 4405 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Consumer Staples ETF | Exchange Traded Fund | 316092303 |  | 2659205 | 59344 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Energy ETF | Exchange Traded Fund | 316092402 |  | 1635734 | 68613 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Health Care ETF | Exchange Traded Fund | 316092600 |  | 483433 | 7556 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Information Tech ETF | Exchange Traded Fund | 316092808 |  | 337590 | 3572 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Real Estate ETF | Exchange Traded Fund | 316092857 |  | 257776 | 10390 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Fidelity MSCI Communication ServicesETF | Exchange Traded Fund | 316092873 |  | 492860 | 15868 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Goldman Sachs ActiveBeta Intl Eq ETF | Exchange Traded Fund | 381430107 |  | 352195 | 12176 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Goldman Sachs ActiveBeta US LgCp Eq ETF | Exchange Traded Fund | 381430503 |  | 693604 | 9069 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Goldman Sachs Access Treasury 0-1 Yr ETF | Exchange Traded Fund | 381430529 |  | 4848928 | 48486 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Goldman Sachs ActiveBeta US SmCp Eq ETF | Exchange Traded Fund | 381430602 |  | 510010 | 9288 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Gold Trust | Exchange Traded Fund | 464285204 |  | 8964903 | 259176 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI World | Exchange Traded Fund | 464286392 |  | 826586 | 7566 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core S Total US Stock Mkt ETF | Exchange Traded Fund | 464287150 |  | 7331751 | 86459 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Select Dividend | Exchange Traded Fund | 464287168 |  | 249763 | 2071 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares TIPS Bond | Exchange Traded Fund | 464287176 |  | 9022837 | 84769 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core S 500 | Exchange Traded Fund | 464287200 |  | 24337103 | 63343 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core US Aggregate Bond | Exchange Traded Fund | 464287226 |  | 8259478 | 85158 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI Emerging Markets | Exchange Traded Fund | 464287234 |  | 2488920 | 65670 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares iBoxx $ Investment Grade Corporate Bond ETF | Exchange Traded Fund | 464287242 |  | 3670057 | 34810 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares S 500 Growth | Exchange Traded Fund | 464287309 |  | 7122435 | 121751 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares North American Natural Resources | Exchange Traded Fund | 464287374 |  | 1787892 | 43971 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares S 500 Value | Exchange Traded Fund | 464287408 |  | 5744706 | 39599 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Ishares 20 Plus Year Treasury Bond Etf | Exchange Traded Fund | 464287432 |  | 1181678 | 11869 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares 7-10 Year Treasury Bond ETF | Exchange Traded Fund | 464287440 |  | 4858638 | 50727 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares 1-3 Year Treasury Bond | Exchange Traded Fund | 464287457 |  | 4354263 | 53643 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI EAFE | Exchange Traded Fund | 464287465 |  | 890120 | 13560 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell Mid-Cap Value ETF | Exchange Traded Fund | 464287473 |  | 10824122 | 102754 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell Mid-Cap Growth ETF | Exchange Traded Fund | 464287481 |  | 4548582 | 54408 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell Mid-Cap | Exchange Traded Fund | 464287499 |  | 5518018 | 81809 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core S Mid-Cap | Exchange Traded Fund | 464287507 |  | 5214927 | 21559 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Cohen  Steers REIT ETF | Exchange Traded Fund | 464287564 |  | 552623 | 10077 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 1000 Value | Exchange Traded Fund | 464287598 |  | 1642727 | 10832 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares S Mid-Cap 400 Growth | Exchange Traded Fund | 464287606 |  | 2190484 | 32071 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 1000 Growth | Exchange Traded Fund | 464287614 |  | 11145552 | 52023 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 1000 | Exchange Traded Fund | 464287622 |  | 801239 | 3806 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 2000 Value | Exchange Traded Fund | 464287630 |  | 1645867 | 11868 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 2000 Growth | Exchange Traded Fund | 464287648 |  | 1753895 | 8175 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Russell 2000 | Exchange Traded Fund | 464287655 |  | 4402636 | 25250 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core S US Value ETF | Exchange Traded Fund | 464287663 |  | 715694 | 10133 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Ishares Core U S Growth Etf | Exchange Traded Fund | 464287671 |  | 2337901 | 28668 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Utilities | Exchange Traded Fund | 464287697 |  | 7726935 | 89287 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Ishares U S Technology Etf | Exchange Traded Fund | 464287721 |  | 3677884 | 49374 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Industrials | Exchange Traded Fund | 464287754 |  | 2092121 | 21689 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Financial Services ETF | Exchange Traded Fund | 464287770 |  | 3306502 | 20991 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares U.S. Energy ETF | Exchange Traded Fund | 464287796 |  | 525709 | 11308 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core S Small-Cap | Exchange Traded Fund | 464287804 |  | 8427906 | 89052 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Basic Materials | Exchange Traded Fund | 464287838 |  | 292087 | 2341 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares S Small-Cap 600 Value ETF | Exchange Traded Fund | 464287879 |  | 679164 | 7438 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Short-Term National Muni Bond | Exchange Traded Fund | 464288158 |  | 2236572 | 21449 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares JPMorgan USD Emerg Markets Bond | Exchange Traded Fund | 464288281 |  | 3055763 | 36124 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Morningstar Mid-Cap Growth ETF | Exchange Traded Fund | 464288307 |  | 606958 | 11265 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Global Infrastructure | Exchange Traded Fund | 464288372 |  | 8098369 | 176666 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares National Muni Bond ETF | Exchange Traded Fund | 464288414 |  | 1531394 | 14512 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares International Select Dividend | Exchange Traded Fund | 464288448 |  | 729029 | 26842 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares iBoxx $ High Yield Corporate Bd | Exchange Traded Fund | 464288513 |  | 4394147 | 59678 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core US REIT ETF | Exchange Traded Fund | 464288521 |  | 284733 | 5758 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MBS | Exchange Traded Fund | 464288588 |  | 1388839 | 14974 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Ishares Tr Intrm Tr Crp Etf | Exchange Traded Fund | 464288638 |  | 221112 | 4466 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares 3-7 Year Treasury Bond ETF | Exchange Traded Fund | 464288661 |  | 2471054 | 21508 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Short Treasury Bond | Exchange Traded Fund | 464288679 |  | 4028920 | 36653 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Preferred Securities ETF | Exchange Traded Fund | 464288687 |  | 3160679 | 103527 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Aerospace  Defense ETF | Exchange Traded Fund | 464288760 |  | 2985879 | 26693 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Medical Devices | Exchange Traded Fund | 464288810 |  | 5248831 | 99844 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Oil  Gas Explor  Prod ETF | Exchange Traded Fund | 464288851 |  | 247008 | 2660 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI EAFE Value | Exchange Traded Fund | 464288877 |  | 433887 | 9457 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI EAFE Growth ETF | Exchange Traded Fund | 464288885 |  | 345007 | 4119 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Large-Cap ETF | Exchange Traded Fund | 808524201 |  | 2165349 | 47959 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Large-Cap Growth ETF | Exchange Traded Fund | 808524300 |  | 640773 | 11533 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Mid-Cap ETF | Exchange Traded Fund | 808524508 |  | 4138524 | 63077 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Small-Cap ETF | Exchange Traded Fund | 808524607 |  | 3290159 | 81218 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab Emerging Markets Equity ETF | Exchange Traded Fund | 808524706 |  | 729036 | 30800 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab Fundamental Intl Lg Co ETF | Exchange Traded Fund | 808524755 |  | 218054 | 7501 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Dividend Equity ETF | Exchange Traded Fund | 808524797 |  | 9712555 | 128575 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab International Equity ETF | Exchange Traded Fund | 808524805 |  | 817844 | 25391 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US Aggregate Bond ETF | Exchange Traded Fund | 808524839 |  | 2692894 | 58990 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US REIT ETF | Exchange Traded Fund | 808524847 |  | 1410221 | 73106 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab Short-Term US Treasury ETF | Exchange Traded Fund | 808524862 |  | 565604 | 11724 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab US TIPS ETF | Exchange Traded Fund | 808524870 |  | 8115060 | 156691 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Schwab International Small-Cap Eq ETF | Exchange Traded Fund | 808524888 |  | 519696 | 16514 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Total International Stock ETF | Exchange Traded Fund | 921909768 |  | 4517348 | 87342 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mega Cap Growth ETF | Exchange Traded Fund | 921910816 |  | 794447 | 4617 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mega Cap ETF | Exchange Traded Fund | 921910873 |  | 637374 | 4814 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard S 500 Growth ETF | Exchange Traded Fund | 921932505 |  | 8993954 | 42637 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard S 500 Value ETF | Exchange Traded Fund | 921932703 |  | 1135326 | 8106 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard S Small-Cap 600 Value ETF | Exchange Traded Fund | 921932778 |  | 4497441 | 28637 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard S Mid-Cap 400 Value ETF | Exchange Traded Fund | 921932844 |  | 316505 | 2063 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard S Mid-Cap 400 ETF | Exchange Traded Fund | 921932885 |  | 894074 | 5466 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Intermediate-Term Bond ETF | Exchange Traded Fund | 921937819 |  | 1843738 | 24808 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Short-Term Bond ETF | Exchange Traded Fund | 921937827 |  | 4393800 | 58366 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Total Bond Market ETF | Exchange Traded Fund | 921937835 |  | 9140640 | 127236 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard FTSE Developed Markets ETF | Exchange Traded Fund | 921943858 |  | 6214687 | 148074 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard High Dividend Yield ETF | Exchange Traded Fund | 921946406 |  | 545054 | 5037 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Short-Term Infl-Prot Secs ETF | Exchange Traded Fund | 922020805 |  | 3257696 | 69743 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Global ex-US Real Estate ETF | Exchange Traded Fund | 922042676 |  | 875953 | 21189 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Total World Stock ETF | Exchange Traded Fund | 922042742 |  | 4406479 | 51125 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard FTSE Emerging Markets ETF | Exchange Traded Fund | 922042858 |  | 2495815 | 64028 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Tax-Exempt Bond ETF | Exchange Traded Fund | 922907746 |  | 781744 | 15796 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard 500 ETF | Exchange Traded Fund | 922908363 |  | 23906616 | 68044 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mid-Cap Value ETF | Exchange Traded Fund | 922908512 |  | 3951015 | 29214 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mid-Cap Growth ETF | Exchange Traded Fund | 922908538 |  | 3651455 | 20312 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard REIT ETF | Exchange Traded Fund | 922908553 |  | 708782 | 8593 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Small-Cap Growth ETF | Exchange Traded Fund | 922908595 |  | 2276641 | 11352 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Small-Cap Value ETF | Exchange Traded Fund | 922908611 |  | 3666969 | 23091 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mid-Cap ETF | Exchange Traded Fund | 922908629 |  | 2459643 | 12068 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Growth ETF | Exchange Traded Fund | 922908736 |  | 10517250 | 49351 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Value ETF | Exchange Traded Fund | 922908744 |  | 13905331 | 99061 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Small-Cap ETF | Exchange Traded Fund | 922908751 |  | 3801434 | 20711 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Total Stock Market ETF | Exchange Traded Fund | 922908769 |  | 9172676 | 47976 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Alerian MLP ETF | Exchange Traded Fund | 00162Q452 |  | 9585798 | 251794 | SH |  | DFND | 1 | 0 | 0 | 0 |
| DIMENSIONAL U S SMALL CAP ETF | Exchange Traded Fund | 25434V500 |  | 210840 | 4122 | SH |  | DFND | 1 | 0 | 0 | 0 |
| First Trust Water ETF | Exchange Traded Fund | 33733B100 |  | 1001999 | 12626 | SH |  | DFND | 1 | 0 | 0 | 0 |
| First Trust Health Care AlphaDEX ETF | Exchange Traded Fund | 33734X143 |  | 2619088 | 24088 | SH |  | DFND | 1 | 0 | 0 | 0 |
| First Trust Rising Dividend Achiev ETF | Exchange Traded Fund | 33738R506 |  | 43151663 | 982505 | SH |  | DFND | 1 | 0 | 0 | 0 |
| First Trust Dorsey Wright Focus 5 ETF | Exchange Traded Fund | 33738R605 |  | 2218294 | 47654 | SH |  | DFND | 1 | 0 | 0 | 0 |
| FlexShares Mstar Glbl Upstrm Nat Res ETF | Exchange Traded Fund | 33939L407 |  | 242563 | 5580 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Global X US Preferred ETF | Exchange Traded Fund | 37954Y657 |  | 641214 | 32925 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Global X US Infrastructure Dev ETF | Exchange Traded Fund | 37954Y673 |  | 1142084 | 42886 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Global X Lithium  Battery Tech ETF | Exchange Traded Fund | 37954Y855 |  | 1357574 | 22961 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco Water Resources ETF | Exchange Traded Fund | 46137V142 |  | 253525 | 4919 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco S 500 Equal Weight Tech ETF | Exchange Traded Fund | 46137V282 |  | 2089628 | 8600 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco S 500 Eql Wt Cnsm Stapl ETF | Exchange Traded Fund | 46137V373 |  | 3178647 | 18642 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco S MidCap Momentum ETF | Exchange Traded Fund | 46137V464 |  | 1689205 | 22433 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco DB Commodity Index Tracking Fund | Exchange Traded Fund | 46138B103 |  | 2271473 | 92149 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco S 500 Low Volatility ETF | Exchange Traded Fund | 46138E354 |  | 2044736 | 31999 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco S 500 High Div Low Vol ETF | Exchange Traded Fund | 46138E362 |  | 1550179 | 35368 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco Preferred ETF | Exchange Traded Fund | 46138E511 |  | 487672 | 43620 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco National AMT-Free Muni Bd ETF | Exchange Traded Fund | 46138E537 |  | 3839991 | 167392 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco Fundamental Hi Yld Corp Bd ETF | Exchange Traded Fund | 46138E719 |  | 509678 | 29770 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco DWA SmallCap Momentum ETF | Exchange Traded Fund | 46138E842 |  | 490984 | 6748 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco Senior Loan ETF | Exchange Traded Fund | 46138G508 |  | 9593963 | 467314 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco Solar ETF | Exchange Traded Fund | 46138G706 |  | 538735 | 7386 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco DB Agriculture Fund | Exchange Traded Fund | 46140H106 |  | 2579623 | 128021 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Invesco DB Oil Fund | Exchange Traded Fund | 46140H403 |  | 5441727 | 357773 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Silver Trust | Exchange Traded Fund | 46428Q109 |  | 5274891 | 239550 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares S GSCI Commodity-Indexed Trust | Exchange Traded Fund | 46428R107 |  | 717850 | 33813 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares US Treasury Bond | Exchange Traded Fund | 46429B267 |  | 1160878 | 51095 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Ishares Core High Dividend Etf | Exchange Traded Fund | 46429B663 |  | 1739453 | 16687 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Edge MSCI Min Vol USA | Exchange Traded Fund | 46429B697 |  | 830916 | 11524 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares 0-5 Year TIPS Bond ETF | Exchange Traded Fund | 46429B747 |  | 3697182 | 38131 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI USA Quality Factor ETF | Exchange Traded Fund | 46432F339 |  | 222108 | 1949 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core MSCI Total Intl Stk ETF | Exchange Traded Fund | 46432F834 |  | 573244 | 9904 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core MSCI EAFE | Exchange Traded Fund | 46432F842 |  | 2636512 | 42772 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core MSCI Emerging Markets ETF | Exchange Traded Fund | 46434G103 |  | 729561 | 15622 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares MSCI Intl Quality Factor ETF | Exchange Traded Fund | 46434V456 |  | 661371 | 20419 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Core Dividend Growth ETF | Exchange Traded Fund | 46434V621 |  | 19393671 | 387873 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Fallen Angels USD Bond ETF | Exchange Traded Fund | 46435G474 |  | 225378 | 9158 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares International Dividend Gr ETF | Exchange Traded Fund | 46435G524 |  | 3547062 | 61513 | SH |  | DFND | 1 | 0 | 0 | 0 |
| iShares Broad USD High Yield Corp Bd ETF | Exchange Traded Fund | 46435U853 |  | 1705471 | 49391 | SH |  | DFND | 1 | 0 | 0 | 0 |
| ProShares S 500 Dividend Aristocrats | Exchange Traded Fund | 74348A467 |  | 1935685 | 21510 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S 500 ETF | Exchange Traded Fund | 78462F103 |  | 17170170 | 44690 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Gold Shares | Exchange Traded Fund | 78463V107 |  | 18078569 | 106570 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Dow Jones International RelEst ETF | Exchange Traded Fund | 78463X863 |  | 408162 | 15247 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S 500 Growth | Exchange Traded Fund | 78464A409 |  | 342225 | 6754 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Portfolio S 500 Value ETF | Exchange Traded Fund | 78464A508 |  | 1894332 | 48710 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Portfolio TIPS ETF | Exchange Traded Fund | 78464A656 |  | 254432 | 9877 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Portfolio Long Term Treasury ETF | Exchange Traded Fund | 78464A664 |  | 13218985 | 455356 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S Regional Banking ETF | Exchange Traded Fund | 78464A698 |  | 318782 | 5427 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S Metals and Mining ETF | Exchange Traded Fund | 78464A755 |  | 1643381 | 32993 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S Dividend ETF | Exchange Traded Fund | 78464A763 |  | 3156912 | 25233 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S Semiconductor ETF | Exchange Traded Fund | 78464A862 |  | 204522 | 1223 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S Biotech ETF | Exchange Traded Fund | 78464A870 |  | 244020 | 2940 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Dow Jones Industrial Average ETF | Exchange Traded Fund | 78467X109 |  | 1444182 | 4349 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR S MidCap 400 ETF | Exchange Traded Fund | 78467Y107 |  | 6532433 | 14698 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Blmbg BarclaysST HY Bd ETF | Exchange Traded Fund | 78468R408 |  | 3696479 | 152495 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Blmbg Barclays High Yield Bd ETF | Exchange Traded Fund | 78468R622 |  | 778771 | 8653 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Blmbg Barclays 1-3 Mth T-Bill ETF | Exchange Traded Fund | 78468R663 |  | 1655243 | 18096 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Nuveen Blmbg ST MunBd ETF | Exchange Traded Fund | 78468R739 |  | 899009 | 19136 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Russell 1000 Yield Focus ETF | Exchange Traded Fund | 78468R770 |  | 326170 | 3481 | SH |  | DFND | 1 | 0 | 0 | 0 |
| SPDR Portfolio S 500 High Div ETF | Exchange Traded Fund | 78468R788 |  | 426475 | 10775 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Materials Select Sector SPDR ETF | Exchange Traded Fund | 81369Y100 |  | 383817 | 4941 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Select Sector Spdr Trust The Health Care Select Sector Spdr Fund | Exchange Traded Fund | 81369Y209 |  | 17112481 | 125965 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Consumer Staples Select Sector SPDR ETF | Exchange Traded Fund | 81369Y308 |  | 24364793 | 326824 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Select Sector Spdr Fund Shs Ben Consumer Discretionary | Exchange Traded Fund | 81369Y407 |  | 314465 | 2435 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Select Sector Spdr Trust Shs Ben Int Energy | Exchange Traded Fund | 81369Y506 |  | 7637968 | 87321 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Financial Select Sector SPDR ETF | Exchange Traded Fund | 81369Y605 |  | 13935757 | 407478 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Industrial Select Sector SPDR ETF | Exchange Traded Fund | 81369Y704 |  | 2244688 | 22856 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Technology Select Sector SPDR ETF | Exchange Traded Fund | 81369Y803 |  | 4531402 | 36414 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Utilities Select Sector SPDR ETF | Exchange Traded Fund | 81369Y886 |  | 7787289 | 110458 | SH |  | DFND | 1 | 0 | 0 | 0 |
| VanEck Fallen Angel HiYld Bd ETF | Exchange Traded Fund | 92189F437 |  | 274010 | 10141 | SH |  | DFND | 1 | 0 | 0 | 0 |
| VanEck Semiconductor ETF | Exchange Traded Fund | 92189F676 |  | 3222281 | 15878 | SH |  | DFND | 1 | 0 | 0 | 0 |
| VanEck JPMorgan EMLcl Ccy Bd ETF | Exchange Traded Fund | 92189H300 |  | 1567366 | 64687 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Total International Bond ETF | Exchange Traded Fund | 92203J407 |  | 1410758 | 29744 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Consumer Discretionary ETF | Exchange Traded Fund | 92204A108 |  | 1370366 | 6257 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Consumer Staples ETF | Exchange Traded Fund | 92204A207 |  | 268006 | 1399 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Energy ETF | Exchange Traded Fund | 92204A306 |  | 3295056 | 27169 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Financials ETF | Exchange Traded Fund | 92204A405 |  | 941964 | 11386 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Health Care ETF | Exchange Traded Fund | 92204A504 |  | 2464116 | 9934 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Industrials ETF | Exchange Traded Fund | 92204A603 |  | 595772 | 3262 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Information Technology ETF | Exchange Traded Fund | 92204A702 |  | 4455394 | 13949 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Materials ETF | Exchange Traded Fund | 92204A801 |  | 439456 | 2582 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Utilities ETF | Exchange Traded Fund | 92204A876 |  | 12674897 | 82648 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Telecommunication Services ETF | Exchange Traded Fund | 92204A884 |  | 216318 | 2630 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Short-Term Corporate Bond ETF | Exchange Traded Fund | 92206C409 |  | 15809838 | 210265 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Russell 2000 Growth ETF | Exchange Traded Fund | 92206C623 |  | 2678634 | 17203 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Russell 2000 Value ETF | Exchange Traded Fund | 92206C649 |  | 1376488 | 11304 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Russell 2000 ETF | Exchange Traded Fund | 92206C664 |  | 641692 | 9119 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Russell 1000 Growth ETF | Exchange Traded Fund | 92206C680 |  | 7896509 | 143260 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Russell 1000 Value ETF | Exchange Traded Fund | 92206C714 |  | 8333419 | 125164 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Mortgage-Backed Secs ETF | Exchange Traded Fund | 92206C771 |  | 466762 | 10254 | SH |  | DFND | 1 | 0 | 0 | 0 |
| Vanguard Intermediate-Term Corp Bd ETF | Exchange Traded Fund | 92206C870 |  | 1061422 | 13694 | SH |  | DFND | 1 | 0 | 0 | 0 |
| WisdomTree EmMkts ex-Stt-Ownd EntrprsETF | Exchange Traded Fund | 97717X578 |  | 366743 | 13746 | SH |  | DFND | 1 | 0 | 0 | 0 |

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