0001161722-11-000003.txt : 20110726 0001161722-11-000003.hdr.sgml : 20110726 20110726120116 ACCESSION NUMBER: 0001161722-11-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110726 DATE AS OF CHANGE: 20110726 EFFECTIVENESS DATE: 20110726 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 11986448 BUSINESS ADDRESS: STREET 1: 5535 BALBOA BLVD STREET 2: SUITE 200 CITY: ENCINO STATE: CA ZIP: 91316 BUSINESS PHONE: 8183827720 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 Check Here if Amendment [ ] This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California July 26, 2011 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 326 Form 13F Information Table Value Total: $372,228 ($1,000s) List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMAZON COM INC COM 023135106 1437 7028 SH SOLE 256 6772 AMGEN INCCOM COM 031162100 252 4322 SH SOLE 213 4109 AMPHENOL CORP NEW CL A COM 032095101 1112 20600 SH SOLE 20600 APPLE INC COM 037833100 1217 3626 SH SOLE 2196 1430 ARENA PHARMACEUTICALS COM 040047102 25 18700 SH SOLE 7000 11700 Advanced Micro Devices Inc Com COM 007903107 125 17872 SH SOLE 3101 14771 BALSAM VENTURES INC NEW COM 058820200 0 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 060505104 678 61836 SH SOLE 12100 49736 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 14941 193057 SH SOLE 4257 188800 Bank 1440 Peoria Ariz Com COM 062199104 25 24407 SH SOLE 24407 Bionovo Inc. COM 8 10000 SH SOLE 10000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 440 55000 SH SOLE 55000 CATERPILLAR INC COM 339 3188 SH SOLE 3067 121 CHEVRON CORPORATION COM 166764100 1487 14460 SH SOLE 11730 2730 CINCINNATI BELL INC NEW COM COM 171871106 33 10000 SH SOLE 10000 CISCO SYSTEMS INC COM 17275r102 383 24525 SH SOLE 8772 15753 CITIGROUP INC COM COM 172967424 703 16875 SH SOLE 12781 4094 COCA COLA COMPANY COM 191216100 416 6185 SH SOLE 5960 225 CONOCOPHILLIPS COM 20825C104 1025 13631 SH SOLE 9954 3677 COSTCO WHOLESALE CORP-NEW COM 22160k105 285 3503 SH SOLE 1000 2503 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 6 20000 SH SOLE 20000 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 142 15402 SH SOLE 15402 DENISON MINES CORP COM 248356107 38 20000 SH SOLE 20000 E M C CORP MASS COM 236 8583 SH SOLE 5944 2639 EXCEL TRUST INC COM 30068c109 120 10850 SH SOLE 10850 EXXON MOBIL CORPORATION COM 30231g102 1718 21112 SH SOLE 3151 17961 FIDELITY NATL INFORMATION SVCS COM 31620M106 1454 47212 SH SOLE 47212 FIRST REPUBLIC BANK COM 33616C100 487 15083 SH SOLE 15083 FORD MOTOR COMPANY NEW COM 550 39857 SH SOLE 14155 25702 Fidelity National Financial In COM 316326107 3994 253723 SH SOLE 253723 GEELY AUTOMOBILE HOLDINGSLIMIT COM g3777b103 20 50000 SH SOLE 50000 GENERAL ELECTRIC COMPANY COM 369604103 1365 72394 SH SOLE 30960 41434 GERON CORP COM 374163103 40 10000 SH SOLE 10000 GOOGLE INC CLASS A COM 38259P508 878 1734 SH SOLE 1243 491 HERBALIFE LTD COMMON STOCK COM g4412g101 9956 172732 SH SOLE 158082 14650 IDENTIVE GROUP INC COM 45170x106 33 14050 SH SOLE 14050 INTEL CORP COM 458140100 549 24753 SH SOLE 2656 22097 INTL BUSINESS MACHINES COM 459200101 3039 17715 SH SOLE 106 17609 INTUITIVE SURGICAL NEW COM 685 1840 SH SOLE 1400 440 JOHNSON & JOHNSON COM 478160104 409 6149 SH SOLE 4198 1951 Javo Beverage Company Inc COM 47189r104 0 245000 SH SOLE 245000 LAKES ENTERTAINMENT INC COM 51206p109 22 10000 SH SOLE 10000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 211 5000 SH SOLE 5000 LIGHTWAVE LOGIC INC COM 532275104 10 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 1 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 992 56178 SH SOLE 56178 MARATHON OIL CORP COM 565849106 1174 22281 SH SOLE 17321 4960 MARVELL TECH GROUP LTD F COM g5876h105 168 11400 SH SOLE 9400 2000 MC DONALDS CORP COM 580135101 307 3640 SH SOLE 2658 982 MERCK & CO INC NEW COM 417 11825 SH SOLE 3225 8600 MICROSOFT CORP COM 594918104 1791 68890 SH SOLE 6785 62105 MOTOROLA SOLUTIONS INC COM 620076307 217 4713 SH SOLE 428 4285 Metro-Goldwyn-Mayer Inc New COM 591610100 161 12170 SH SOLE 12170 North American Pallidum Compan COM 169 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 ORACLE CORPORATION COM 68389x105 1848 56157 SH SOLE 5602 50555 PACWEST BANCORP COM 695263103 629 30602 SH SOLE 30602 PFIZER INCORPORATED COM 717081103 206 10008 SH SOLE 2425 7583 PHILIP MORRIS INTL INC COM 718172109 7924 118682 SH SOLE 118415 267 PROCTER & GAMBLE COM 742718109 1063 16721 SH SOLE 737 15984 Pinetree Capital Corp New COM 723330106 28 11700 SH SOLE 11700 Rite Aid Corp Com COM 767754104 16 12310 SH SOLE 12310 SALESFORCE COM COM 79466L302 603 4046 SH SOLE 46 4000 SANDS CHINA LTD USD0.01REG S I COM g7800x107 40 14800 SH SOLE 14800 SEA DRAGON ENERGY INC COM 811375104 5 34000 SH SOLE 34000 SEAGATE TECHNOLOGY PLC F COM g7945m107 488 30225 SH SOLE 11765 18460 SHINSEI BANK LTD ORD F COM 47 47000 SH SOLE 47000 SIGNATURE GROUP HOLDINGS COM 82670c100 13 19028 SH SOLE 11000 8028 SIRIUS XM RADIO INC COM 82966U103 79 36200 SH SOLE 36200 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 SPECTRUM PHARMACEUTICALS INC COM 84763a108 93 10050 SH SOLE 10050 STILLWATER MINING CO COM 86074q102 715 32500 SH SOLE 32500 TEXAS INSTRUMENTS INC COM 882508104 220 6699 SH SOLE 2215 4484 TOWERSTREAM CORP COM 892000100 100 20000 SH SOLE 20000 TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000 TYSON FOODS INC CL A COM 902494103 388 20000 SH SOLE 20000 Transition Therapeutics Inc Ne COM 893716209 365 118002 SH SOLE 118002 UNITED PARCEL SVC INC CL B COM 911312106 17263 236700 SH SOLE 41920 194780 UNITEDHEALTH GROUP INC COM 91324p102 308 5978 SH SOLE 5538 440 US BANCORP DEL COM NEW COM 902973304 3215 126020 SH SOLE 126020 VERIZON COMMUNICATIONS COM 92343v104 243 6515 SH SOLE 2659 3856 VISA INC CL A COMMON STOCK COM 92826c839 1980 23500 SH SOLE 3500 20000 Volcano Corp COM 928645100 1292 40000 SH SOLE 40000 WELLS FARGO & CO NEW COM 949746101 212 7557 SH SOLE 2655 4902 WINN DIXIE STORES NEW COM 974280307 85 10000 SH SOLE 10000 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 419 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 68 11866 SH SOLE 11866 BHP BILLITON LTD SPONSORED ADR ADR 088606108 5440 57486 SH SOLE 57486 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 384 24500 SH SOLE 24500 ENI S P A SPON ADR F SPONSORED ADR 26874r108 902 18965 SH SOLE 14655 4310 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 78 25000 SH SOLE 25000 PETROCHINA CO ADR F SPONSORED ADR 71646e100 958 6560 SH SOLE 4930 1630 PETROLEO BRASILEIRO ADRF SPONS ADR 71654v408 869 25665 SH SOLE 19325 6340 REPSOL YPF S A ADR F SPONSORED ADR 76026t205 1057 30440 SH SOLE 23360 7080 ROYAL DUTCH SHELL A ADRF SPONS ADR 948 13328 SH SOLE 10270 3058 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 5852 464047 SH SOLE 464047 TOTAL S A ADR F 1 ADR REP 1 OR ADR 89151e109 909 15720 SH SOLE 12160 3560 BARCLAYS BK PLC IPATH S&P 500 INDEX CEF 06740c261 634 30000 SH SOLE 30000 BLDRS EMERGING MKTS 50 ADR IND INDEX CEF 09348r300 487 10445 SH SOLE 5705 4740 GLOBAL X FTSE ETF 20 COLOMBIA INDEX CEF 323 15300 SH SOLE 15300 ISHARES MSCI AUS IDX FD AUSTRA INDEX CEF 464286103 2521 96789 SH SOLE 92264 4525 ISHARES MSCI BRAZIL INDX BRAZI INDEX CEF 464286400 385 5250 SH SOLE 4600 650 ISHARES MSCI CDA IDX FD CANADA INDEX CEF 1128 35618 SH SOLE 35618 ISHARES MSCI CHILE INVESTABLE INDEX CEF 278749106 339 4500 SH SOLE 4500 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 514 10790 SH SOLE 9190 1600 ISHARES MSCI ETF ALL PERU CAPP INDEX CEF 324 8600 SH SOLE 8600 ISHARES MSCI JPN IDX FD JAPAN INDEX CEF 464286848 358 34367 SH SOLE 7500 26867 ISHARES MSCI KOREA IDX KOREA I INDEX CEF 464286772 771 11864 SH SOLE 11864 ISHARES MSCI MALAYSIA MALAYSIA INDEX CEF 464286830 879 57551 SH SOLE 50251 7300 ISHARES MSCI SINGAPORE SINGAPO INDEX CEF 464286673 787 57336 SH SOLE 51736 5600 ISHARES MSCI THAI INDEX THAILA INDEX CEF 406 6391 SH SOLE 6391 ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 328 5312 SH SOLE 5312 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 584 8407 SH SOLE 4490 3917 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 1668 26900 SH SOLE 23095 3805 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 2677 24125 SH SOLE 18645 5480 ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 1724 20525 SH SOLE 17525 3000 ISHARES TR DOW JONES SEL DIVID INDEX CEF 464287168 781 14760 SH SOLE 14166 594 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 1382 22977 SH SOLE 19650 3327 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 3299 54185 SH SOLE 43785 10400 ISHARES TR RUSSELL 2000 RUSSEL INDEX CEF 464287655 252 3044 SH SOLE 650 2394 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287671 8203 164122 SH SOLE 147052 17070 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 2302 29029 SH SOLE 29029 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 911 8329 SH SOLE 8084 245 ISHARES TR S&P LATN AMER S&P L INDEX CEF 464287390 252 4880 SH SOLE 1980 2900 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 203 2967 SH SOLE 1667 1300 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 619 6526 SH SOLE 3259 3267 ISHARES TRUST S&P 500 S&P 500 INDEX CEF 464287200 3339 25216 SH SOLE 25166 50 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 3223 86800 SH SOLE 76420 10380 MARKET VECTORS ETF TRUST GOLD INDEX CEF 57060u100 5397 98860 SH SOLE 76320 22540 MARKET VECTORS ETF TRUST INDON INDEX CEF 1995 62384 SH SOLE 62384 MARKET VECTORS ETF VIETNAM INDEX CEF 791 37941 SH SOLE 37941 POWERSHS DB COMMDTY INDX INDEX CEF 73935s105 1513 52245 SH SOLE 50305 1940 POWERSHS EXCH TRAD FD TR POWER INDEX CEF 73935x823 2315 152820 SH SOLE 139260 13560 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 860 15069 SH SOLE 5862 9207 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 1126 8531 SH SOLE 4458 4073 SECTOR SPDR ENGY SELECT SHARES INDEX CEF 81369y506 3769 50021 SH SOLE 37176 12845 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 2602 73221 SH SOLE 64741 8480 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 767 29856 SH SOLE 29856 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 3031 56060 SH SOLE 46400 9660 SPDR S&P MIDCAP 400 ETF INDEX CEF 1043 5875 SH SOLE 5875 VANGUARD ENERGY INDEX CEF 92204a306 467 4225 SH SOLE 4180 45 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 3613 57035 SH SOLE 47220 9815 VANGUARD INTL EQTY INDEX FTSE INDEX CEF 922042775 359 7210 SH SOLE 5960 1250 VANGUARD MID CAP GROWTH INDEX CEF 922908538 597 8770 SH SOLE 8770 VANGUARD MSCI EMERGING MARKETS INDEX CEF 922042858 1820 37439 SH SOLE 28975 8464 VANGUARD SMALL CAP GRWTH INDEX CEF 922908595 898 10450 SH SOLE 8400 2050 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1058 15473 SH SOLE 14423 1050 WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 3039 59105 SH SOLE 52845 6260 WISDOMTREE INDIA EARNING INDEX CEF 608 25414 SH SOLE 25414 WISDOMTREE JAPAN TOT DIV JAPAN INDEX CEF 97717w851 2154 59590 SH SOLE 56230 3360 WISDOMTREE SMALLCAP DIV SMALLC INDEX CEF 97717w604 732 15355 SH SOLE 12365 2990 BARCLAYS BANK IPATH ETN DOW JO ETF 555 12000 SH SOLE 12000 GREENHAVEN CONT CMDTY CONTINUO ETF 395258106 328 9800 SH SOLE 8640 1160 BLACKROCK BUILD AMERICA ETF 09248x100 346 17969 SH SOLE 9200 8769 ISHARES BARCLAYS TIPS BOND FUN ETF 464287176 1223 11053 SH SOLE 11053 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 14851 134849 SH SOLE 132379 2470 ISHARES S&P U S PFD FUND S&P U ETF 464288687 1629 41075 SH SOLE 41075 ISHARES TR BARCLAYS BOND BARCL ETF 464288646 6237 59433 SH SOLE 57443 1990 ISHARES TR BARCLAYS BOND BARCL ETF 464287457 303 3595 SH SOLE 3225 370 ISHARES TR BARCLAYS BOND BARCL ETF 464288638 393 3700 SH SOLE 3700 ISHARES TR BARCLAYS FUND BARCL ETF 464287226 2016 18904 SH SOLE 17607 1297 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 2557 28005 SH SOLE 21877 6128 PIMCO ETF TR ENHANCED SHORT MA ETF 72201r833 8229 81400 SH SOLE 81400 POWERSHS EXCH TRAD FD TR POWER ETF 73935X229 372 20607 SH SOLE 10807 9800 SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 5775 143582 SH SOLE 89537 54045 SPDR NUVEEN BARCLAYS CAP MUNIC ETF 78464a458 227 10035 SH SOLE 10035 SPDR SERIES TRUST BARCLAYS CAP ETF 78464a474 2229 73000 SH SOLE 73000 SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 280 4529 SH SOLE 4429 100 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 471 6013 SH SOLE 6013 SPDR GOLD TRUST SPDR GOLD SHAR COMMODITY FUND 78463V107 2593 17762 SH SOLE 7267 10495 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 310 10300 SH SOLE 600 9700 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 4548 3597050 SH SOLE 3597050 POPE RESOURCES DEPOSITARY RECE LP 732857107 938 20600 SH SOLE 20600 Pimco Bravo spec On Te I LP LP 111 111280 SH SOLE 111280 Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953 AEGON N V PERP CAP SECS % PFD 007924301 449 19000 SH SOLE 19000 AEGON NV PERPETUAL CAP SECS7.2 PFD N00927348 619 24729 SH SOLE 24729 ALLIANZ SE 8.375% UNDATED SUBO PFD 018805200 262 10000 SH SOLE 10000 AMERICAN INTL GROUP INC PFD 026874859 451 18000 SH SOLE 18000 Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059 BAC CAPITAL TRUST I 7.00% TR P PFD 055187207 264 10500 SH SOLE 1000 9500 BAC CAPITAL TRUST III 7% TRUST PFD 05518e202 201 8000 SH SOLE 8000 BAC CAPITAL TRUST IV PFD ST PFD 055185201 277 12000 SH SOLE 2000 10000 BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 426 17050 SH SOLE 7000 10050 BARCLAYS BK PLC SPONSORED ADRP PFD 06739H362 284 10792 SH SOLE 10792 Bank of America Dep Sh Repstg PFD 390 15000 SH SOLE 9000 6000 CITIGROUP CAP XIX 7.25% ENHANC PFD 17311u200 1022 40000 SH SOLE 40000 CITIGROUP CAP XV ENHANCED TRPF PFD 17310G202 247 10226 SH SOLE 10226 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 271 10740 SH SOLE 10740 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 380 15240 SH SOLE 1000 14240 COBANK ACB PERP PFD SER B %144 PFD 19075Q300 442 9750 SH SOLE 9750 COBANK ACB PFD CUM PERP SER AN PFD 19075Q201 237 5000 SH SOLE 5000 COUNTRYWIDE CAP V GTD CAP SEC PFD 222388209 346 13900 SH SOLE 13900 DEUTSCHE BK CONTINGENT CAP TRI PFD 25154A108 211 8213 SH SOLE 8213 ENDURANCE SPECIALTY HLDGPFD 7. PFD G30397304 414 16600 SH SOLE 16600 FARM CR BK TEX PERP NON CUMULA PFD 30767e307 1825 1600 SH SOLE 1600 FIFTH THIRD CAP TR VI GTD TRPF PFD 31678V206 298 11800 SH SOLE 11800 FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 227 9482 SH SOLE 9482 FLEET CAPITAL TRUST VIIIDEF IN PFD 33889x203 413 16501 SH SOLE 3566 12935 GEORGIA PWR CO 2007 A NON CUMP PFD 373334119 209 2000 SH SOLE 2000 GOLDMAN SACHS GP DEP SHS PERPE PFD 213 10000 SH SOLE 10000 GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 398 18700 SH SOLE 12500 6200 GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 519 20644 SH SOLE 4540 16104 GOLDMAN SACHS GROUP INC DEP SH PFD 38144x609 267 11100 SH SOLE 6100 5000 GOLDMAN SACHS GROUP INC DEP SH PFD 38144g804 338 15200 SH SOLE 11000 4200 GOLDMAN SACHS SER D PFD DEP SH PFD 443 19900 SH SOLE 19900 ING GROEP N V 8.50% ING PERPET PFD 456837806 282 10864 SH SOLE 10864 ING GROEP N V PERP HYBRID CAPS PFD 456837707 313 12659 SH SOLE 12659 MBNA CAP D TRUPS SER D PFD 55266J200 352 13875 SH SOLE 10625 3250 MBNA CAP E TR ORIGINATED PFDSE PFD 55270B201 546 21260 SH SOLE 12410 8850 METLIFE INC PFD SER B PFD 59156R603 215 8596 SH SOLE 8596 NATIONAL CITY CAP 8.0%47 CAP T PFD 385 15000 SH SOLE 15000 PPL ELECTRIC UTILITIES CORPPFD PFD 69351U863 300 12000 SH SOLE 12000 PRINCIPAL FINL GROUP INC PFDSE PFD 74251V201 299 3050 SH SOLE 3050 Security Etch Intl Sr-B Red/Cv PFD 0 20000 SH SOLE 20000 TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000 GOLDMAN SACHS GROUP INC/THE CONV 38145X111 222 8894 SH SOLE 8894 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 236 16920 SH SOLE 16920 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 1966 148938 SH SOLE 148938 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 2152 165773 SH SOLE 165773 BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 319 21800 SH SOLE 20600 1200 BLACKROCK MUNIVEST FUND NON-TAX CEF 134 14000 SH SOLE 14000 BLACKROCK MUNIYIELD FUND NON-TAX CEF 09253w104 228 16900 SH SOLE 16900 BLKRCK MUNIHLDGS CA QLTY NON-TAX CEF 09254l107 1174 87910 SH SOLE 28610 59300 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 516 38777 SH SOLE 37950 827 BLKRCK MUNIHLDGS QLTY II NON-TAX CEF 09254c107 243 18170 SH SOLE 18170 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 7077 530484 SH SOLE 441404 89080 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 4008 289207 SH SOLE 213860 75347 CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 937 71240 SH SOLE 18400 52840 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 26202f107 106 13253 SH SOLE 11253 2000 DREYFUS STRATEGIC MUNS NON-TAX CEF 233 28600 SH SOLE 28600 EATON VANCE CALIFORNIA MUNI BO NON-TAX CEF 27828a100 170 14600 SH SOLE 14600 FEDT PREMIER MUNI INCM NON-TAX CEF 142 10491 SH SOLE 10491 INVESCO INSURED MUNI TR SBI NON-TAX CEF 46132w103 150 11200 SH SOLE 11200 INVESCO MUNI PREM INC TR SBI NON-TAX CEF 94 12300 SH SOLE 12300 INVESCO VAN KAMPEN CA VALUE TR NON-TAX CEF 46132h106 1057 87959 SH SOLE 25403 62556 INVESCO VAN KAMPEN TR FOR INVT NON-TAX CEF 46131m106 179 13024 SH SOLE 13024 MFS INVT GRADE MUNI TR TR SBI NON-TAX CEF 136 14644 SH SOLE 14644 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 711 52298 SH SOLE 11373 40925 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 375 29414 SH SOLE 23464 5950 NUVEEN CA INV QLTY MUN INV QUA NON-TAX CEF 67062a101 529 40120 SH SOLE 27600 12520 NUVEEN CA QLTY INCM MUN NON-TAX CEF 670985100 1219 86166 SH SOLE 27250 58916 NUVEEN CA QLTY SELCT MUN CA QU NON-TAX CEF 670975101 670 49573 SH SOLE 12673 36900 NUVEEN CAL PERFORMANCE PLUS MU NON-TAX CEF 67062q106 709 53904 SH SOLE 20004 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 373 28862 SH SOLE 3262 25600 NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 515 40850 SH SOLE 22850 18000 NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 277 20060 SH SOLE 15400 4660 NUVEEN ENHANCED MUNI FD NON-TAX CEF 67074m101 181 13600 SH SOLE 13600 NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 133 10250 SH SOLE 6750 3500 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 166 12000 SH SOLE 12000 NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 257 18960 SH SOLE 18960 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 240 18723 SH SOLE 18723 PIMCO MUN INCOME FUND NON-TAX CEF 72200r107 245 18500 SH SOLE 18500 PIONEER MUNI HIGH INCM NON-TAX CEF 723763108 143 10208 SH SOLE 10208 PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 746823103 242 32900 SH SOLE 32900 PUTNAM MUNICIPAL OPPORTUNITIES NON-TAX CEF 746922103 191 17000 SH SOLE 17000 Pimco California Municipal Inc NON-TAX CEF 72201c109 129 14000 SH SOLE 14000 Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 ABERDEEN ASIA PAC INCM TAXABLE CEF 10859 1481502 SH SOLE 1481502 ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 1197 151667 SH SOLE 65400 86267 BLKROCK CR ALLO INCOME TRUST I TAXABLE CEF 092508100 581 46433 SH SOLE 8800 37633 CALAMOS CNV HIGH INCM FD TAXABLE CEF 12811p108 591 45175 SH SOLE 1700 43475 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 837 63710 SH SOLE 32222 31488 CALAMOS STRGC TOT RET FD TAXABLE CEF 232 24232 SH SOLE 22967 1265 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828H105 2315 140532 SH SOLE 70580 69952 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 331 22902 SH SOLE 16601 6301 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 603 43044 SH SOLE 13818 29226 HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 410123103 489 31901 SH SOLE 30886 1015 HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 312 14116 SH SOLE 14116 HELIOS STRATEGIC MTGE INCOME F TAXABLE CEF 42327m109 367 56142 SH SOLE 6142 50000 HELIOS TOTAL RETURN FUND TAXABLE CEF 42327v109 235 38287 SH SOLE 38287 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 173 22578 SH SOLE 19702 2876 M S EMERGING MKTS DEBT TAXABLE CEF 1527 86721 SH SOLE 9898 76823 MFS MULTI MKT INC TRUST SH BEN TAXABLE CEF 552737108 385 56380 SH SOLE 54280 2100 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 1214 99250 SH SOLE 88280 10970 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1058 86710 SH SOLE 83310 3400 NUVEEN GOVT INCOME FUND TAXABLE CEF 67090n109 421 28337 SH SOLE 25270 3067 NUVEEN MULTI STRAT INCM TAXABLE CEF 67073d102 256 28046 SH SOLE 25546 2500 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 102 11560 SH SOLE 11560 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 194 23098 SH SOLE 16565 6533 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 90 11133 SH SOLE 10200 933 PCM FD INC COM TAXABLE CEF 69323t101 118 10340 SH SOLE 10340 PIMCO CORPORATE OPPTY FD TAXABLE CEF 917 44320 SH SOLE 15395 28925 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 3380 120703 SH SOLE 49733 70970 PIMCO INCOME STRA FD II TAXABLE CEF 72201J104 2646 245659 SH SOLE 128561 117098 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 967 74695 SH SOLE 37706 36989 PIONEER FLOATING RATE TR TAXABLE CEF 72369j102 180 12877 SH SOLE 12877 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 746909100 91 15656 SH SOLE 15656 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 589 89935 SH SOLE 79435 10500 RIVUS BOND FUND FRACTIONAL SHA TAXABLE CEF hgk667100 0 49520 SH SOLE 49520 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 468 40734 SH SOLE 30834 9900 TEMPLETON GLOBAL INCOME FD INC TAXABLE CEF 880198106 4106 373249 SH SOLE 2817 370432 VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 299 3690 SH SOLE 2190 1500 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 524 52013 SH SOLE 28532 23481 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 509 33078 SH SOLE 14485 18593 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 231 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 1029 63197 SH SOLE 59367 3830 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 229 17531 SH SOLE 17531 WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 148 10668 SH SOLE 10668 WSTRN ASSET EMERGE MKT I EMERG TAXABLE CEF 95766f100 202 14650 SH SOLE 11050 3600 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 567 29707 SH SOLE 20267 9440 AGIC GLBL EQTY & CONV CEFS 00119r108 423 26120 SH SOLE 3550 22570 ALPINE TOTAL DYNAMIC DIVIDEND CEFS 021060108 413 68121 SH SOLE 59321 8800 BLACKROCK STRATEGIC EQUITY DIV CEFS 09249y107 711 66587 SH SOLE 62999 3588 CALAMOS GLOBAL INCOME FD CEFS 116 13306 SH SOLE 13306 COHEN & STEERS CLOSD END CEFS 19248p106 194 14400 SH SOLE 11300 3100 EATON VANCE TAX MANAGED CEFS 27828N102 271 24860 SH SOLE 7860 17000 EATON VANCE TAX MANAGEDGLOBAL CEFS 27829C105 498 41016 SH SOLE 40816 200 LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 237 45754 SH SOLE 45754 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 13079 430810 SH SOLE 430810 WELLS FARGO ADV GLOBAL DIVIDEN CEFS 94987c103 109 10900 SH SOLE 10900 POWERSHARES EXCH TRAD FD BUILD ETF 73937b407 6467 248824 SH SOLE 205629 43195 ISHARES TR S&P NATL AMTFREE ETF 464288414 3973 38381 SH SOLE 38381 PROSHARES ULTRA BASIC MATERIAL ETFS 74347r776 1829 35000 SH SOLE 35000 ISHARES GOLD TRUST ETF 464285105 218 14900 SH SOLE 5300 9600 ISHARES SILVER TRUST INDEX FUN ETF 46428q109 215 6345 SH SOLE 3315 3030 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1040 60140 SH SOLE 9100 51040 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 967 63227 SH SOLE 10000 53227 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 825 38000 SH SOLE 7000 31000 GABELLI EQUITY TRUST INC CEFS 362397101 1204 197306 SH SOLE 3456 193850 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 606 84228 SH SOLE 3207 81021 ANNALY CAPITAL MGMT REIT ETF 035710409 653 36225 SH SOLE 9600 26625 LC US FARMING REALTY FUNDLP BA ETF 922992144 131 132607 SH SOLE 132607 NORTHSTAR REALTY FIN CP REITS ETF 66704r100 62 15300 SH SOLE 15300