Sarah Netburn

Columbia Aggressive Growth NY 529 Portfolio Class A — Int./Div.

IRA #1 Rollover; (H)

iShares S&P 500 Growth ETF — Dividend — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Value ETF — Dividend — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Mid Cap ETF — Sold

Vanguard Index Funds Vanguard Small Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Small Cap ETF — Sold

iShares U.S. Financials ETF — Dividend — Sold (part)

iShares U.S. Financials ETF — Sold

SPDR Gold Shares ETF — Dividend — Sold (part)

SPDR Gold Shares ETF — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

iShares U.S. Heathcare ETF — Dividend — Buy

iShares U.S. Heathcare ETF — Sold (part)

iShares U.S. Heathcare ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P MidCap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. SmallCap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

Account (H)

UBS Bank USA Deposit Account — Interest

ROTH IRA # 2; (H)

UBS Bank USA Deposit Account — Interest

Eaton Vance Richard Bernstein Equity — Dividend

IRA #3 ETF4; (H)

iShares S&P 500 Growth ETF — Dividend — Sold (part)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Value ETF — Dividend — Sold (part)

iShares S&P 500 Value ETF — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

iShares U.S. Treas Bond ETF — Dividend — Sold (part)

iShares U.S. Treas Bond ETF — Sold (part)

iShares U.S. Treas Bond ETF — Buy (add'l)

iShares 1-3 Treas Bond — Dividend — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold (part)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF DE — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Mid Cap ETF DE — Sold

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Sold

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard Short Term Corporate BD ETF DE — Dividend — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

iShares U.S. Financials — Dividend — Sold (part)

iShares U.S. Financials — Buy (add'l)

iShares U.S. Financials — Sold

First Trust Enhanced Short Mat Fund — Dividend — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Dividend — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Dividend — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Buy (add'l)

SPDR Gold Shares ETF (GLD-448FQ1) — Dividend — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

Biotec Index FD ETF — Sold (part)

Schwab US TIPS ETF — Dividend — Buy (add'l)

Schwab US TIPS ETF — Sold (part)

Schwab US TIPS ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Dividend — Buy

Invesco Emerging Markets Sovereign Debt ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Sold

iShares U.S. Healthcare ETF — Dividend — Buy

iShares U.S. Healthcare ETF — Sold

iShares Broad USD High Yield Bond ETF — Dividend — Buy

iShares Broad USD High Yield Bond ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P Mid Cap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. Small Cap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

JP Morgan Ultra-Short Income ETF — Dividend — Buy

Joint Int Muni Acct; EX

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 031539 DTD 062819 CALLABLE F — Interest — Buy

BATTERY PK CITY NY SR B RV BE/R/ 5 DUE 110138 DTD 080619 CALLABLE FC — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Sold (part)

TRIBOROUGH BRDG & TUNL A RV LOC CITIB BE/R/ .98 110132 DTD 103018 CA — Interest — Buy

NEW YORK ST DORM AUTH RE SR A RV BE/R/ 5 DUE 070130 DTD 040220 FC 07 — Interest — Buy

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 021530 DTD 010320 FC 081520 — Interest — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Int./Div. — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Redeemed

NEW YORK NY CITY TRANSI C-1 RV BE/R/ 5 DUE 050133 DTD 052020 CALLABL — Interest — Buy

WESTCHESTER CNTY NY BE/R/ 5 DUE 121527 DTD 121819 FC 121520 0.900% Y — Interest — Buy

NEW YORK CITY TRANSITION SR B BE/R/ 5 DUE 020121 DTD 082802 0.199% Y — Interest — Buy

LONG IS PWR AUTH NY ELE SR A RV BE/R/ 5 DUE 090132 DTD 082020 CALLAB — Interest — Buy

Joint PMP Notes Acct;

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Interest — Buy

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Redeemed

JPMORGAN CHASE NA BAR MLCD SPX 02/28/2022 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TA CYN SPX SOLEW 02/28/2030 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Redeemed

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Interest — Buy

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Redeemed

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Interest — Buy

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Redeemed

BOFA FINANCE LLC L/O TA-CYN MDY SPY 07/06/2022 — Interest — Buy

CREDIT SUISSE AG L/O TA-CYN DJI RTY 07/15/2024 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN MDY 07/21/2022 — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Redeemed

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Interest — Buy

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Redeemed

MORGAN STANLEY FINANCE L/O TA-CYN RTY SPX 08/10/2023 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Redeemed

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Interest — Buy

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Redeemed

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Interest — Buy

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Redeemed

BARCLAYS BANK PLC L/O TA-CYN NDX SPX 10/06/2022 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 11/16/2023 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN SOLEW SPX 11/29/2030 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN EEM IWM 12/09/2025 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 12/16/2025 — Interest — Buy

GS FINANCE CORP L/O TA-CYN NDX RTY 12/29/2023 — Interest — Buy

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Columbia Aggressive Growth NY 529 Portfolio Class A — Int./Div.

IRA #1 Rollover; (H)

iShares S&P 500 Growth ETF — Dividend — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Value ETF — Dividend — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Mid Cap ETF — Sold

Vanguard Index Funds Vanguard Small Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Small Cap ETF — Sold

iShares U.S. Financials ETF — Dividend — Sold (part)

iShares U.S. Financials ETF — Sold

SPDR Gold Shares ETF — Dividend — Sold (part)

SPDR Gold Shares ETF — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

iShares U.S. Heathcare ETF — Dividend — Buy

iShares U.S. Heathcare ETF — Sold (part)

iShares U.S. Heathcare ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P MidCap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. SmallCap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

Account (H)

UBS Bank USA Deposit Account — Interest

ROTH IRA # 2; (H)

UBS Bank USA Deposit Account — Interest

Eaton Vance Richard Bernstein Equity — Dividend

IRA #3 ETF4; (H)

iShares S&P 500 Growth ETF — Dividend — Sold (part)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Value ETF — Dividend — Sold (part)

iShares S&P 500 Value ETF — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

iShares U.S. Treas Bond ETF — Dividend — Sold (part)

iShares U.S. Treas Bond ETF — Sold (part)

iShares U.S. Treas Bond ETF — Buy (add'l)

iShares 1-3 Treas Bond — Dividend — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold (part)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF DE — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Mid Cap ETF DE — Sold

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Sold

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard Short Term Corporate BD ETF DE — Dividend — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

iShares U.S. Financials — Dividend — Sold (part)

iShares U.S. Financials — Buy (add'l)

iShares U.S. Financials — Sold

First Trust Enhanced Short Mat Fund — Dividend — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Dividend — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Dividend — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Buy (add'l)

SPDR Gold Shares ETF (GLD-448FQ1) — Dividend — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

Biotec Index FD ETF — Sold (part)

Schwab US TIPS ETF — Dividend — Buy (add'l)

Schwab US TIPS ETF — Sold (part)

Schwab US TIPS ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Dividend — Buy

Invesco Emerging Markets Sovereign Debt ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Sold

iShares U.S. Healthcare ETF — Dividend — Buy

iShares U.S. Healthcare ETF — Sold

iShares Broad USD High Yield Bond ETF — Dividend — Buy

iShares Broad USD High Yield Bond ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P Mid Cap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. Small Cap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

JP Morgan Ultra-Short Income ETF — Dividend — Buy

Joint Int Muni Acct; EX

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 031539 DTD 062819 CALLABLE F — Interest — Buy

BATTERY PK CITY NY SR B RV BE/R/ 5 DUE 110138 DTD 080619 CALLABLE FC — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Sold (part)

TRIBOROUGH BRDG & TUNL A RV LOC CITIB BE/R/ .98 110132 DTD 103018 CA — Interest — Buy

NEW YORK ST DORM AUTH RE SR A RV BE/R/ 5 DUE 070130 DTD 040220 FC 07 — Interest — Buy

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 021530 DTD 010320 FC 081520 — Interest — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Int./Div. — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Redeemed

NEW YORK NY CITY TRANSI C-1 RV BE/R/ 5 DUE 050133 DTD 052020 CALLABL — Interest — Buy

WESTCHESTER CNTY NY BE/R/ 5 DUE 121527 DTD 121819 FC 121520 0.900% Y — Interest — Buy

NEW YORK CITY TRANSITION SR B BE/R/ 5 DUE 020121 DTD 082802 0.199% Y — Interest — Buy

LONG IS PWR AUTH NY ELE SR A RV BE/R/ 5 DUE 090132 DTD 082020 CALLAB — Interest — Buy

Joint PMP Notes Acct;

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Interest — Buy

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Redeemed

JPMORGAN CHASE NA BAR MLCD SPX 02/28/2022 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TA CYN SPX SOLEW 02/28/2030 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Redeemed

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Interest — Buy

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Redeemed

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Interest — Buy

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Redeemed

BOFA FINANCE LLC L/O TA-CYN MDY SPY 07/06/2022 — Interest — Buy

CREDIT SUISSE AG L/O TA-CYN DJI RTY 07/15/2024 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN MDY 07/21/2022 — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Redeemed

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Interest — Buy

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Redeemed

MORGAN STANLEY FINANCE L/O TA-CYN RTY SPX 08/10/2023 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Redeemed

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Interest — Buy

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Redeemed

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Interest — Buy

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Redeemed

BARCLAYS BANK PLC L/O TA-CYN NDX SPX 10/06/2022 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 11/16/2023 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN SOLEW SPX 11/29/2030 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN EEM IWM 12/09/2025 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 12/16/2025 — Interest — Buy

GS FINANCE CORP L/O TA-CYN NDX RTY 12/29/2023 — Interest — Buy

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Columbia Aggressive Growth NY 529 Portfolio Class A — Int./Div.

IRA #1 Rollover; (H)

iShares S&P 500 Growth ETF — Dividend — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Value ETF — Dividend — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Mid Cap ETF — Sold

Vanguard Index Funds Vanguard Small Cap ETF — Dividend — Sold (part)

Vanguard Index Funds Vanguard Small Cap ETF — Sold

iShares U.S. Financials ETF — Dividend — Sold (part)

iShares U.S. Financials ETF — Sold

SPDR Gold Shares ETF — Dividend — Sold (part)

SPDR Gold Shares ETF — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

iShares U.S. Heathcare ETF — Dividend — Buy

iShares U.S. Heathcare ETF — Sold (part)

iShares U.S. Heathcare ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P MidCap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. SmallCap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

Account (H)

UBS Bank USA Deposit Account — Interest

ROTH IRA # 2; (H)

UBS Bank USA Deposit Account — Interest

Eaton Vance Richard Bernstein Equity — Dividend

IRA #3 ETF4; (H)

iShares S&P 500 Growth ETF — Dividend — Sold (part)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Growth ETF — Buy (add'l)

iShares S&P 500 Growth ETF — Sold (part)

iShares S&P 500 Value ETF — Dividend — Sold (part)

iShares S&P 500 Value ETF — Buy (add'l)

iShares S&P 500 Value ETF — Buy (add'l)

iShares U.S. Treas Bond ETF — Dividend — Sold (part)

iShares U.S. Treas Bond ETF — Sold (part)

iShares U.S. Treas Bond ETF — Buy (add'l)

iShares 1-3 Treas Bond — Dividend — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

iShares 1-3 Treas Bond — Sold (part)

Vanguard FTSE Emerging Markets ETF — Dividend — Buy (add'l)

Vanguard FTSE Emerging Markets ETF — Sold (part)

Vanguard FTSE Emerging Markets ETF — Sold

Vanguard Index Funds Vanguard Mid Cap ETF DE — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Mid Cap ETF DE — Sold

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Dividend — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Buy (add'l)

Vanguard Index Funds Vanguard Small Cap ETF DE Sol — Sold

Vanguard FTSE All World Ex-US ETF — Dividend — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Buy (add'l)

Vanguard FTSE All World Ex-US ETF — Sold

Vanguard Short Term Corporate BD ETF DE — Dividend — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

Vanguard Short Term Corporate BD ETF DE — Sold (part)

iShares U.S. Financials — Dividend — Sold (part)

iShares U.S. Financials — Buy (add'l)

iShares U.S. Financials — Sold

First Trust Enhanced Short Mat Fund — Dividend — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

First Trust Enhanced Short Mat Fund — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Dividend — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

iShares iBoxx $ Investment Grade Corporate Bond ETF — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Dividend — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Sold (part)

First Trust Low Duration Mortgage Opportunities EFT — Buy (add'l)

SPDR Gold Shares ETF (GLD-448FQ1) — Dividend — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

SPDR Gold Shares ETF (GLD-448FQ1) — Sold (part)

Biotec Index FD ETF — Dividend — Sold (part)

Biotec Index FD ETF — Sold (part)

Biotec Index FD ETF — Sold (part)

Schwab US TIPS ETF — Dividend — Buy (add'l)

Schwab US TIPS ETF — Sold (part)

Schwab US TIPS ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Dividend — Buy

Invesco Emerging Markets Sovereign Debt ETF — Buy (add'l)

Invesco Emerging Markets Sovereign Debt ETF — Sold

iShares U.S. Healthcare ETF — Dividend — Buy

iShares U.S. Healthcare ETF — Sold

iShares Broad USD High Yield Bond ETF — Dividend — Buy

iShares Broad USD High Yield Bond ETF — Sold

iShares Core MSCI Emerging Markets ETF — Dividend — Buy

iShares Core S&P Mid Cap ETF — Dividend — Buy

iShares MSCI EAFE ETF — Dividend — Buy

Schwab U.S. Small Cap ETF — Dividend — Buy

Technology Select Sector SPDR ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Dividend — Buy

Industrial Select Sector SPDR Fund ETF — Buy (add'l)

First Trust Indxx Nextg ETF — Dividend — Buy

JP Morgan Ultra-Short Income ETF — Dividend — Buy

Joint Int Muni Acct; EX

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 031539 DTD 062819 CALLABLE F — Interest — Buy

BATTERY PK CITY NY SR B RV BE/R/ 5 DUE 110138 DTD 080619 CALLABLE FC — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Interest — Buy

METROPOLITAN TRANSN AUTH RV NTS BE/R/ 4 DUE 020122 DTD 010820 FC 051 — Sold (part)

TRIBOROUGH BRDG & TUNL A RV LOC CITIB BE/R/ .98 110132 DTD 103018 CA — Interest — Buy

NEW YORK ST DORM AUTH RE SR A RV BE/R/ 5 DUE 070130 DTD 040220 FC 07 — Interest — Buy

NEW YORK ST DORM AUTH ST RV BE/R/ 5 DUE 021530 DTD 010320 FC 081520 — Interest — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Int./Div. — Buy

NASSAU CNTY NTS BE/R/ 2 DUE 091420 DTD 121219 FC 091420 1.759% YIELD — Redeemed

NEW YORK NY CITY TRANSI C-1 RV BE/R/ 5 DUE 050133 DTD 052020 CALLABL — Interest — Buy

WESTCHESTER CNTY NY BE/R/ 5 DUE 121527 DTD 121819 FC 121520 0.900% Y — Interest — Buy

NEW YORK CITY TRANSITION SR B BE/R/ 5 DUE 020121 DTD 082802 0.199% Y — Interest — Buy

LONG IS PWR AUTH NY ELE SR A RV BE/R/ 5 DUE 090132 DTD 082020 CALLAB — Interest — Buy

Joint PMP Notes Acct;

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Interest — Buy

BOFA FINANCE LLC L/O TA-CYN NDX XSPDSX 02/17/2023 — Redeemed

JPMORGAN CHASE NA BAR MLCD SPX 02/28/2022 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TA CYN SPX SOLEW 02/28/2030 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Interest — Buy

ROYAL BANK OF CANADA L/O TA- CYN NDX RTY 03/09/2023 — Redeemed

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Interest — Buy

BOFA FINANCE LLC TA-CYN SPX 03/17/2022 — Redeemed

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Interest — Buy

BARCLAYS BANK PLC TC-YN SPX 06/30/2021 7.50% — Redeemed

BOFA FINANCE LLC L/O TA-CYN MDY SPY 07/06/2022 — Interest — Buy

CREDIT SUISSE AG L/O TA-CYN DJI RTY 07/15/2024 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN MDY 07/21/2022 — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Interest — Buy

GS FINANCE CORP TC-YN MDY 07/27/2021 6.90% — Redeemed

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Interest — Buy

CREDIT SUISSE AG TC-YN SPX 08/04/2021 7.10% — Redeemed

MORGAN STANLEY FINANCE L/O TA-CYN RTY SPX 08/10/2023 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Interest — Buy

MORGAN STANLEY FINANCE TA- CYN RSP 08/17/2022 — Redeemed

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Interest — Buy

GS FINANCE CORP TC-YN SPX 09/21/2021 7.00% — Redeemed

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Interest — Buy

BANK OF NOVA SCOTIA TA-CYN SPX 09/21/2023 — Redeemed

BARCLAYS BANK PLC L/O TA-CYN NDX SPX 10/06/2022 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 11/16/2023 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN SOLEW SPX 11/29/2030 — Interest — Buy

CITIGROUP GLOBAL MARKETS L/O TACYN EEM IWM 12/09/2025 — Interest — Buy

MORGAN STANLEY FINANCE L/O TACYN NDX RTY 12/16/2025 — Interest — Buy

GS FINANCE CORP L/O TA-CYN NDX RTY 12/29/2023 — Interest — Buy

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Acct

UBS Portfolio Management Program -- Moderate Risk Profile — Int./Div. — Buy

UBS Portfolio Management Program -- Moderate Risk Profile — Sold

Spouse's income — 2020 — Cuti Hecker Wang LLP -- salary

Spouse's income — 2020 — Cuti Hecker Wang LLP -- salary

Spouse's income — 2020 — Cuti Hecker Wang LLP -- salary

Account listed as "IRA #4 (H)" in my 2019 Report was closed before 2020. Accounts EX and EX were opened in 2020 and closed in 2020.