Nicholas Garaufis

RCA CAPITAL GROUP LLC BANK DEPOSIT SWEEP PROGRAM — Interest — Closed

DAVIS NEW YORK VENTURE CLASS A — Int/Div — Sold

NEUBERGER BERMAN FOCUS FUND — Int/Div — Sold

BLACKROCK ADVANTAGE LARGE CAPFDCL A — Int/Div — Sold

INVESTCO AMERICAN FRANCHISE CL A — Int/Div — Sold

INVESTCO GLOBAL GROWTH FD CL A — Int/Div — Sold

AMERICAN BALANCED SHARES CL FI — Int/Div — Sold

ISHARES TR. RUSSELL 1000 VALUE ETF — Int/Div — Sold (part)

ISHARES TR. RUSSELL 1000 VALUE ETF — Sold

AB GLOBAL REAL ESTATE INVESTMENT CL A — Int/Div — Sold

OPPENHEIMER MID CAP VALUE FUND — Int/Div — Sold

ABRELATIVE VALUE FUNDCL A — Int/Div — Sold

CITY OF NEW YORK DEFERRED COMPENSATION PLAN — Int/Div

ABC PENSION PLAN — None

ISHARES RUSSELLMIDCAP ETF ISIN — Int/Div — Sold (part)

ISHARES RUSSELLMIDCAP ETF ISIN — Sold

ISHARES MSCI EAFE ETF — Int/Div — Buy (add'l)

ISHARES MSCI EAFE ETF — Sold (part)

ISHARES MSCI EAFE ETF — Sold (part)

ISHARES MSCI EAFE ETF — Sold (part)

ISHARES MSCI EAFE ETF — Sold

ISHARES RUSSELL GROWTH 2000 ETF — Int/Div — Sold (part)

ISHARES RUSSELL GROWTH 2000 ETF — Sold

ISHARES MSC EMERGING MKT — Int/Div — Sold (part)

ISHARES MSC EMERGING MKT — Sold (part)

ISHARES MSC EMERGING MKT — Sold

FRANKLIN MUTUAL SHARES FD — Int/Div — Sold

ISHARES S&P SOO GROWTH ETF TR — Int/Div — Sold

PIMCO TOTAL RETURN CLC — Int/Div — Sold (part)

PIMCO TOTAL RETURN CLC — Sold

OPPENHEIMER GLOBAL FUND — Int/Div — Sold (part)

OPPENHEIMER GLOBAL FUND — Sold

INVESTCO EQUITY & INCOME — Int/Div — Sold (part)

INVESTCO EQUITY & INCOME — Sold

AMERICAN FUNDS: AMERICAN BALANCED CLASS C — Int/Div — Sold

ABLGCAPGROWTH A — Int/Div — Sold (part)

ABLGCAPGROWTH A — Sold

AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER CLASS ( — Int/Div — Sold

AMERICAN GROWTH FD OF AMERICA C — Int/Div — Sold (part)

AMERICAN GROWTH FD OF AMERICA C — Sold (part)

AMERICAN GROWTH FD OF AMERICA C — Sold

AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND — Int/Div — Sold

INVESTCO DEVELOPING MKTCL A — Int/Div — Sold (part)

INVESTCO DEVELOPING MKTCL A — Sold

PIMCO COMM REAL RETURN — Int/Div — Sold

ISHARES S&P SMCAP 600 — Int/Div — Buy (add'l)

ISHARES S&P SMCAP 600 — Sold (part)

ISHARES S&P SMCAP 600 — Sold

COLUMBIA SM CAP VAL I CIA — Int/Div — Sold

EAGLE SMALLER COMPANY FUND — Int/Div — Sold

ISHARES RUSSELL 2000 ETF — Int/Div — Sold (part)

ISHARES RUSSELL 2000 ETF — Sold (part)

ISHARES RUSSELL 2000 ETF — Sold

PIMCO UNCONSTRAINED — Int/Div — Sold (part)

PIMCO UNCONSTRAINED — Sold

ARTISAN INTL INVESTOR — Int/Div — Sold (part)

ARTISAN INTL INVESTOR — Sold

SALIENT SELECT INC INST — Int/Div — Sold

ISHARES TR COHEN & STEERS REIT FTF — Int/Div — Sold (part)

ISHARES TR COHEN & STEERS REIT FTF — Sold (part)

ISHARES TR COHEN & STEERS REIT FTF — Sold

PIMCOHIGH YIELD A — Int/Div — Sold

BLACKROCK GLOBAL ALLOCATION FDCLC — Int/Div — Sold

ARTISAN MID-CAP VALUE — Int/Div — Sold

MAINSTAY EPOCH US EQUITY YIELD FD — Int/Div — Sold

DEUTSCHE SMALL CAP VALUE — Int/Div — Sold

GOLDMAN SACHS SATELLITE STRAT PORTFOLIO — Int/Div — Sold

BLACKROCK EQUITY DIVIDEND — Int/Div — Sold

FIDELITY ADVISORS FLOATING RATE HIGH INC FD — Int/Div — Sold

SPDR S&P SOO ETF — Int/Div — Sold

ISHARES S&P MID-CAP 300 GROWTH — Int/Div — Buy (add'l)

ISHARES S&P MID-CAP 300 GROWTH — Buy (add'l)

ISHARES S&P MID-CAP 300 GROWTH — Sold

ISHARES RUSSELL TOP 200 VALUF — Int/Div — Buy (add'l)

ISHARES RUSSELL TOP 200 VALUF — Buy (add'l)

ISHARES RUSSELL TOP 200 VALUF — Sold (part)

ISHARES RUSSELL TOP 200 VALUF — Sold

ISHARES S&P MIDCAP 400 VALLE — Int/Div — Buy (add'l)

ISHARES S&P MIDCAP 400 VALLE — Buy (add'l)

ISHARES S&P MIDCAP 400 VALLE — Buy (add'l)

ISHARES S&P MIDCAP 400 VALLE — Sold (part)

ISHARES S&P MIDCAP 400 VALLE — Sold

ALLIANZGI NFS INTL VALUE — Int/Div — Sold

JPMORGAN LARGE CAP GROWTH — Int/Div — Sold

PIMCO CORPORATE & INCOME OPPORTUNITY FD — Int/Div — Sold (part)

PIMCO CORPORATE & INCOME OPPORTUNITY FD — Sold

ISHARES EDGE MSCI MIN VOL EAFE FTF — Int/Div — Sold

AB DISCOVERY VALUE FD — Int/Div — Sold

COHEN & STEERS REAL ESTATE SECURITIES — Int/Div — Sold

TROWE PRICE GROWTH — Int/Div — Sold

SANFORD C. BERNSTEIN & CO — Interest — Open

BERNSTEIN DIVERSIFIED MUNICIPAL PORTFOLIO — Int/Div — Buy

AB TAX-MANAGED WEALTH APPRECIATION STRAT-ADV — Int/Div — Buy

AB TAX-MANAGED WEALTH APPRECIATION STRAT-ADV — Sold (part)

AB GLOBAL BOND FUND - ADV — Int/Div — Buy

AB GLOBAL BOND FUND - ADV — Buy (add'l)

BERNSTEIN INTERMEDIATE DURATION — Int/Div — Buy

BERNSTEIN INTERMEDIATE DURATION — Buy (add'l)

AB WEALTH APPRECIATION STRATEGY FD ADV — Int/Div — Buy

AB WEALTH APPRECIATION STRATEGY FD ADV — Buy (add'l)

AB WEALTH APPRECIATION STRATEGY FD ADV — Buy (add'l)

AB WEALTH APPRECIATION STRATEGY FD ADV — Sold (part)

Income — 2017 — ABC INC. RETIREMENT PLAN - PENSION INCOME (FIDELITY INVESTMENTS INSTITUTIONAL OPERATONS) — $11,422.00

Income — 207 — COLUMBIA UNIVERSITY SCHOOL OF LAW - TEACHING — $28,333.00

Spouse's income — 2017 — CITIZENS BUDGET COMMISSION. FORM 1099-MISC. - CONSULTING INCOME

Spouse's income — 2207 — JIPMORGAN CHASE FOR DELOITTE. FORM 1099-R - PENSION INCOME

Spouse's income — 2017 — MAIMONIDES MEDICAL CENTER, FORM 1099-MISC « CONSULTING INCOME

Spouse's income — 207 — NATIONAL FINANCIAL SERVICES, FORM 1099-R - PENSION INCOME

Spouse's income — 2017 — FEDCAP REHABILITATION. FORM 1099-MISC - CONSLLTING INCOME

VIL, PAGE 4 OF 12, LINE 15:

ABC, INC. PENSION PLAN, I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER MY LATE WIFE'S PENSION PLAN

PART 111, LINE 2 DISCLOSES INCOME RECEIVED, THESE PAYMENTS WILL CEASE UPON MY DEATH.

VII, PAGE 4 OF 12, LINE 4

NAME CHANGED FROM BLACK ROCK FLEXIBLE EQUITY FD TO BLACK ROCK ADVANTAGE LARGE-CAP GROWTH FD INVESTOR.

VII, PAGE 4 OF 12, LINE 13:

NAME CHANGED FROM AB GROWTH & INCOME FUND CL A TO AB RELATIVE VALUE FUND CL A.

VIL, PAGE 7 OF 12, LINE 66:

NAME CHANGED FROM MAINSTAY ICAP SELECT TO MAINSTAY EPOCH US EQUITY YIELD FD.

VII, PAGE § OF 12, LINE 71:

NAME CHANGED FROM ISHARES S&P 500 ETF TRUST UNIT TO SPDR S&P 500 ETF.