OTA Financial Group L.P. Current Holdings: USA ETF

OTA Financial Group L.P. current holdings: USA ETF

OTA Financial Group L.P. reported $0.01 billion in exchange-traded fund shares (known by the fund name on the filing) (listed in the US), 12 positions, in its Form 13F for the quarter ended 2016-09-30; the largest are SPDR BARCLAYS HIGH YIELD BD, VEA, EEM.

SPDR BARCLAYS HIGH YIELD BD: Country of operation —; Class HGH YLD BD; Shares 54,282; Value $1,993,000.
VEA: Country of operation —; Class ETF; Shares 29,663; Value $1,109,000.
EEM: Country of operation —; Class ETF; Shares 21,206; Value $794,000.
FIRST TRUST ENERGY INCOME AN: Country of operation —; Class COM; Shares 19,616; Value $531,000.

Form 13F-HR as filed (SEC CIK 1317346): quarter ended 2016-09-30, filed 2016-10-27. The manager files one row per sub-manager; rows for the same security, class and put/call are added together.

Performance is each holding's price change from its close on the 2016-09-30 quarter end to its latest retained close (2026-09-29, or the date shown for a stock that stopped trading). Price only; dividends are not included. A stock that split in the period is restated by the split ratio in its own Form 8-K; a dash marks a holding with no retained closes.

Stock	Country of operation	Class	Shares	Value	Quarter end	Filed
SPDR BARCLAYS HIGH YIELD BD CUSIP 78464A417		HGH YLD BD	54,282	$1,993,000	2016-09-30	2016-10-27
VEA VANGUARD FTSE DEVELOPED ETF		ETF	29,663	$1,109,000	2016-09-30	2016-10-27
EEM ISHARES MSCI EMERGING MARKET		ETF	21,206	$794,000	2016-09-30	2016-10-27
FIRST TRUST ENERGY INCOME AN CUSIP 33738G104		COM	19,616	$531,000	2016-09-30	2016-10-27
VVR INVESCO SENIOR INCOME TRUST		COM	85,853	$371,000	2016-09-30	2016-10-27
VKI INVESCO AD MIT II		SH BEN INT	28,213	$346,000	2016-09-30	2016-10-27
FIRST TRUST HIGH INCOME LONG CUSIP 33738E109	United States	COM	21,388	$333,000	2016-09-30	2016-10-27
ETG EATON VANCE T/A GL DVD INCM		COM	22,141	$329,000	2016-09-30	2016-10-27
NEA NUVEEN AMT-FR QU MUNI INC FD		COM	19,285	$281,000	2016-09-30	2016-10-27
EFT EATON VANCE FLOAT RT INC TR		COM	16,864	$239,000	2016-09-30	2016-10-27
IQI INVESCO QUALITY MUNI INC TR		COM	17,076	$235,000	2016-09-30	2016-10-27
RNP COHEN & STEERS REIT & PFD		COM	10,606	$213,000	2016-09-30	2016-10-27

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