-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Vqc/3dObAAVC48tavsKMABhtQzEwjxoXsB6OQw6tPtJ06WucZdwJxJGXo1/j8oeN VPTto0mwZDcFK/6cpzLMQg== 0001140361-09-023633.txt : 20091021 0001140361-09-023633.hdr.sgml : 20091021 20091021164144 ACCESSION NUMBER: 0001140361-09-023633 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091021 DATE AS OF CHANGE: 20091021 EFFECTIVENESS DATE: 20091021 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Iwamoto, Kong & Co., Inc. CENTRAL INDEX KEY: 0001425165 IRS NUMBER: 330188030 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12756 FILM NUMBER: 091130458 BUSINESS ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-253-8888 MAIL ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2009 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: Iwamoto Kong & Co., Inc. Address: 19200 VON KARMAN AVE, SUITE 1030 IRVINE, CALIFORNIA 92612 Form 13F File Number: 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Benjamin Lau Title: Portfolio Manager Phone: (949)-253-8888 Signature, Place, and Date of Signing: /s/ Benjamin Lau IRVINE, CALIFORNIA 10/20/2009 - --------------------------------- --------------------------------- ---------- [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 reported are 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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 483 Form 13F Information Table Value Total: $ 128,618.00 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- CALL WASH MUTUAL INC cl 9393224AD 0 3 3 3 0 - CALL PROSHS ULTRASHRT S& cl 74347R9LH 0 5 5 5 0 - BERKSHIRE HTWY CLA cs 084990175 101 1 1 0 - 3M COMPANY cs 88579Y101 1,443 19,552 19,502 0 50 A T & T INC NEW cs 00206R102 2,940 108,855 92,835 0 16,020 A W G LTD NEW cs 00244W303 0 100 100 0 - ABB LTD ADR F cs 000375204 3 125 125 0 - ABBOTT LABORATORIES cs 002824100 3,483 70,400 70,175 0 225 ABERDEEN ASIA PAC INCM cs 003009107 134 21,600 21,600 0 - ACCENTURE PLC CL A F cs G1151C101 17 450 450 0 - AECOM TECHNOLOGY CORP cs 00766T100 3 100 100 0 - AEGON NV ORD REG AMER F cs 007924103 21 2,449 - 0 2,449 AGILENT TECHNOLOGIES INC cs 00846U101 109 3,906 - 0 3,906 ALCATEL LUCENT ADR F cs 013904305 1 170 170 0 - ALCOA INC cs 013817101 59 4,480 4,480 0 - ALEXANDER & BALDWIN INC cs 014482103 10 300 300 0 - ALLERGAN INC cs 018490102 83 1,456 1,256 0 200 ALLSTATE CORPORATION cs 020002101 16 510 510 0 - ALTRIA GROUP INC cs 02209S103 93 5,230 5,230 0 - AMAZON COM INC cs 023135106 1,701 18,225 18,225 0 - AMERICA MOVIL SAB L ADRF cs 02364W105 9 200 200 0 - AMERICAN CAPITAL LTD cs 02503Y103 3 1,000 1,000 0 - AMERICAN EXPRESS COMPANY cs 025816109 3 100 - 0 100 AMGEN INCORPORATED cs 031162100 675 11,200 750 0 10,450 ANADARKO PETROLEUM CORP cs 032511107 923 14,720 - 0 14,720 ANGLO AMERN PLC ADS F cs 03485P201 8 477 477 0 - APOLLO GROUP INC CL A cs 037604105 6 75 75 0 - APPLE INC cs 037833100 342 1,844 1,444 0 400 APPLIED MATERIALS INC cs 038222105 13 937 937 0 - ARCHER-DANIELS-MIDLND CO cs 039483102 29 1,000 1,000 0 - ARCSIGHT INC cs 039666102 12 500 500 0 - ARENA PHARMACEUTICALS cs 040047102 2 500 500 0 - ARIBA INC NEW cs 04033V203 0 2 2 0 - AVANIR PHARMA INC cs 05348P401 0 125 125 0 - AVERY DENNISON CORP cs 053611109 360 10,000 - 0 10,000 BANCO SANTANDER SA ADR F cs 05964H105 18 1,100 1,100 0 - BANK OF AMERICA CORP cs 060505104 160 9,448 7,248 0 2,200 BANK OF NY MELLON CP NEW cs 064058100 250 8,634 754 0 7,880 BARCLAYS BANK IPATH ETN cs 06738C778 5 125 125 0 - BARCLAYS BANK IPATH ETN cs 06739H743 3 100 100 0 - BAXTER INTERNATIONAL INC cs 071813109 23 405 405 0 - BECTON DICKINSON & CO cs 075887109 17 239 239 0 - BEESTON ENTERPRISES NEW cs 07712Q205 1 90,000 90,000 0 - BERKSHIRE HATHAWAY CL B cs 084670207 2,472 744 731 0 13 BHP BILLITON LTD ADR F cs 088606108 25 375 325 0 50 BLACKROCK CA MUN INCM TR cs 09248E105 35 2,507 2,507 0 - BLACKROCK CORE BD TRUST cs 09249E104 25 2,000 2,000 0 - BLACKROCK EHNCD DIV INCM cs 09251A104 15 1,700 1,700 0 - BLACKROCK INC cs 09247X101 22 103 103 0 - BLACKROCK INCM OPPNTY TR cs 092475102 145 14,750 14,750 0 - BLACKROCK INTL GROWTH TR cs 092524107 24 2,019 2,019 0 - BLACKROCK INVT QLTY MUNI cs 09247D105 45 3,200 3,200 0 - BLACKROCK MUN INCOME TR cs 09248F109 28 2,000 2,000 0 - BLACKROCK STRATEGC DIVID cs 09249Y107 15 1,740 1,740 0 - BLKRCK MUNIHLDGS CA INSD cs 09254L107 13 973 973 0 - BLKRCK MUNIYIELD CA INSD cs 09254N103 130 9,830 9,830 0 - BLOCK H & R INCORPORATED cs 093671105 8 450 450 0 - BOB EVANS FARMS INC cs 096761101 9 300 300 0 - BOEING CO cs 097023105 178 3,296 496 0 2,800 BOSTON SCIENTIFIC CORP cs 101137107 2 200 200 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- BP PLC ADR F cs 055622104 75 1,400 1,400 0 - BR AMER TOBACCO PLC ADRF cs 110448107 3 50 50 0 - BRISTOL-MYERS SQUIBB CO cs 110122108 256 11,357 2,911 0 8,446 BURLINGTON NTH SANTA FE cs 12189T104 6 75 75 0 - C S X CORP cs 126408103 16 385 385 0 - C V S CAREMARK CORP cs 126650100 495 13,859 9,800 0 4,059 CABOT CORPORATION cs 127055101 46 2,000 - 0 2,000 CANADIAN OIL SANDS NEW F cs 13642L100 14 475 475 0 - CATERPILLAR INC cs 149123101 5 100 100 0 - CATHAY GENERAL BANCORP cs 149150104 81 10,000 10,000 0 - CENTERPOINT ENERGY INC cs 15189T107 1 46 46 0 - CHEUNG KONG HLDG ADR F cs 166744201 4 300 300 0 - CHEVRON CORPORATION cs 166764100 1,616 22,948 1,900 0 21,048 CHINA ARCHITECTURAL ENGR cs 16937S102 5 3,000 3,000 0 - CHINA TELECOM CORP ADR F cs 169426103 7 150 150 0 - CIMAREX ENERGY CO cs 171798101 4 100 100 0 - CISCO SYSTEMS INC cs 17275R102 131 5,550 5,550 0 - CITIGROUP INC cs 172967101 25 5,074 5,074 0 - CLARIENT INC cs 180489106 11 2,500 2,500 0 - CLEAN ENERGY FUELS CORP cs 184499101 4 310 310 0 - COACH INC cs 189754104 13 400 400 0 - COCA COLA COMPANY cs 191216100 213 3,974 3,974 0 - COHEN & STEERS QUALITY cs 19247L106 6 1,000 1,000 0 - COHEN & STEERS SELECT FD cs 19248A109 17 1,200 1,200 0 - COHEN & STEERS TOTAL cs 19247R103 56 6,154 6,154 0 - COLGATE-PALMOLIVE CO cs 194162103 359 4,700 700 0 4,000 COMMERCE ENERGY GROUP cs 20061Q106 0 8,000 8,000 0 - COMMERCEPLANET INC NEW cs 20084U209 0 250 250 0 - COMPUTRZD THERML IMAGING cs 20557C108 0 45 - 0 45 CONEXANT SYSTEMS INC NEW cs 207142308 0 3 - 0 3 CONMED CORP cs 207410101 7 375 375 0 - CONOCOPHILLIPS cs 20825C104 3,487 77,208 72,170 0 5,038 CONSOLIDATED EDISON INC cs 209115104 2,135 52,150 50,650 0 1,500 COSTCO WHSL CORP NEW cs 22160K105 172 3,050 2,950 0 100 COVIDIEN PLC F cs G2554F105 2 38 8 0 30 CROWFLIGHT MINERALS INCF cs 228024105 0 200 200 0 - CRYSTALLEX INTL CORP F cs 22942F101 0 1,590 1,590 0 - CURRENCYSHARES JAPANESE cs 23130A102 548 4,950 4,950 0 - DANAHER CORP DEL cs 235851102 52 774 774 0 - DASSAULT SYSTEMS SA ADRF cs 237545108 8 150 150 0 - DAVITA INC cs 23918K108 57 1,000 1,000 0 - DEERE & CO cs 244199105 4 100 - 0 100 DENDREON CORP cs 24823Q107 3 100 100 0 - DHT MARITIME INC F cs Y2065G105 4 1,000 1,000 0 - DIAGEO PLC NEW ADR F cs 25243Q205 1,749 28,450 28,300 0 150 DIAMOND HILL FINL TRENDS cs 25264C101 15 2,000 - 0 2,000 DIEBOLD INCORPORATED cs 253651103 111 3,375 - 0 3,375 DIRECTV GROUP INC cs 25459L106 14 500 500 0 - DISNEY WALT CO cs 254687106 34 1,233 1,142 0 91 DNP SELECT INCOME FUND cs 23325P104 336 37,650 29,050 0 8,600 DOMINION RES INC VA NEW cs 25746U109 2,073 60,095 60,095 0 - DOW 30 PREM & DIV INCM cs 260582101 104 6,650 5,950 0 700 DOW CHEMICAL COMPANY cs 260543103 0 4 4 0 - DREAM MARKETING INC cs 261990352 - 10 10 0 - DU PONT E I DE NEMOUR&CO cs 263534109 66 2,054 303 0 1,751 DUKE ENERGY CORP NEW cs 26441C105 34 2,133 2,133 0 - E M C CORP MASS cs 268648102 27 1,600 1,600 0 - E.ON AG ADR F cs 268780103 14 325 325 0 - EASTMAN KODAK COMPANY cs 277461109 1 106 106 0 - EATON CORPORATION cs 278058102 17 300 300 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- EATON VANCE INSURED cs 27828A100 43 3,335 3,335 0 - EATON VANCE LTD DURATION cs 27828H105 278 18,777 18,377 0 400 EATON VANCE RISK MANAGED cs 27829G106 17 1,000 1,000 0 - EATON VANCE SR INCM TR cs 27826S103 6 1,104 1,104 0 - EDISON INTERNATIONAL cs 281020107 3,495 104,091 103,891 0 200 ELAN CORP PLC SPON ADR F cs 284131208 3 400 400 0 - ELECTRONIC ARTS INC cs 285512109 9 450 450 0 - EMERSON ELECTRIC CO cs 291011104 2,189 54,627 54,627 0 - EMULEX CORP NEW cs 292475209 10 1,000 1,000 0 - ENERNORTH INDUSTRIES F cs 29275G101 0 150 150 0 - ENERPLUS RES FD NEW F cs 29274D604 309 13,500 - 0 13,500 ENI S P A SPON ADR F cs 26874R108 2,982 59,825 59,825 0 - ENPRO INDUSTRIES INC cs 29355X107 18 800 - 0 800 ENRON CORP XXX cs 293561106 - 30,500 30,500 0 - ERICSSON TEL ADR B NEW F cs 294821608 96 9,600 - 0 9,600 EXELON CORPORATION cs 30161N101 30 600 600 0 - EXPRESS SCRIPTS INC cs 302182100 8 100 100 0 - EXXON MOBIL CORPORATION cs 30231G102 4,677 68,163 43,923 0 24,240 FAIRPOINT COMMUN INC cs 305560104 0 24 24 0 - FEDERATED INVS PA CL B cs 314211103 2 75 75 0 - FIRST SOLAR INC cs 336433107 8 50 - 0 50 FIRST TR EXCH TRADED FD cs 33733E500 31 2,000 2,000 0 - FIRST TR ISE EXCH TRD FD cs 33736M103 3 80 80 0 - FIRST TRUST FOUR CORNERS cs 33733Q107 36 3,100 3,100 0 - FIRST TRUST/FOUR CORNERS cs 33733U108 39 3,500 3,500 0 - FIT AFTER FIFTY INC cs 338126105 0 17,500 17,500 0 - FLUOR CORPORATION NEW cs 343412102 13 260 260 0 - FORD MOTOR COMPANY NEW cs 345370860 19 2,600 2,600 0 - FOSTER WHEELER AG ORD F cs H27178104 3 100 - 0 100 FRANKLIN RESOURCES INC cs 354613101 543 5,400 - 0 5,400 FREEPORT MCMORAN COPPER cs 35671D857 15 225 225 0 - FRONTIER COMMUNICATIONS cs 35906A108 8 1,000 1,000 0 - FUQI INTERNATIONAL INC cs 36102A207 3 100 100 0 - GABELLI EQUITY TRUST INC cs 362397101 13 2,532 2,532 0 - GABELLI GLOBAL GOLD TR cs 36244N109 26 1,700 1,700 0 - GABELLI HEALTHCARE TRUST cs 36246K103 1 126 126 0 - GABELLI UTILITY TRUST cs 36240A101 4 485 485 0 - GAP INC cs 364760108 6 300 300 0 - GENCO SHIPPING & TRDG F cs Y2685T107 19 903 903 0 - GENERAL DYNAMICS CORP cs 369550108 45 700 700 0 - GENERAL ELECTRIC COMPANY cs 369604103 1,289 78,484 77,661 0 823 GENERAL MILLS INC cs 370334104 61 952 952 0 - GERON CORP cs 374163103 2 350 350 0 - GILEAD SCIENCES INC cs 375558103 21 455 455 0 - GLAXOSMITHKLINE PLC ADRF cs 37733W105 2,717 68,760 68,360 0 400 GLOBAL NETWORKS CORP cs 379382104 0 5 5 0 - GLOBALSTAR TELECOM ORXXX cs G3930H104 - 180 180 0 - GOLDMAN SACHS GROUP INC cs 38141G104 147 800 - 0 800 GOLDSPRING INC cs 381536101 0 20,000 20,000 0 - GOODRICH CORPORATION cs 382388106 217 4,000 - 0 4,000 GOOGLE INC CLASS A cs 38259P508 134 270 235 0 35 GREENHAVEN CONT CMDTY cs 395258106 2,550 106,400 106,400 0 - GRILL CONCEPTS INC NEW cs 398502302 4 13,700 13,700 0 - H & Q HEALTHCARE FUND cs 404052102 11 1,000 1,000 0 - HAIN CELESTIAL GROUP INC cs 405217100 15 800 800 0 - HALLIBURTON CO HLDG CO cs 406216101 4 150 150 0 - HANOVER INSURANCE GROUP cs 410867105 103 2,481 - 0 2,481 HARLEY DAVIDSON INC cs 412822108 5 200 - 0 200 HEWLETT-PACKARD COMPANY cs 428236103 234 4,960 4,960 0 - HILL ROM HOLDINGS INC cs 431475102 7 313 313 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- HILLENBRAND INC cs 431571108 6 313 313 0 - HOME DEPOT INC cs 437076102 2,283 85,683 76,483 0 9,200 HORMEL FOODS CORP cs 440452100 19 525 525 0 - HSBC HLDGS PLC ADR NEW F cs 404280406 41 708 708 0 - HUGOTON ROYALTY TR UBI cs 444717102 39 2,203 2,066 0 137 IGNIS PETROLEUM GROUP cs 451725105 0 1,000 - 0 1,000 ING CLARION GLBL RE INCM cs 44982G104 16 2,500 2,500 0 - INTEL CORP cs 458140100 284 14,508 14,508 0 - INTERNATIONAL PAPER CO cs 460146103 1 53 53 0 - INTL BUSINESS MACHINES cs 459200101 635 5,310 1,510 0 3,800 IOWA TELECOMMUNICATIONS cs 462594201 13 1,000 1,000 0 - IRVINE SENSOR CORP NEW cs 463664607 0 12 12 0 - ISHARES BROKER DEALER FD cs 464288794 15 500 500 0 - ISHARES DJ US HOME CONST cs 464288752 20 1,600 1,600 0 - ISHARES IBOXX INVESTOP cs 464287242 105 985 985 0 - ISHARES MSCI EMRG MKT FD cs 464287234 107 2,740 2,740 0 - ISHARES MSCI JPN IDX FD cs 464286848 58 5,800 5,800 0 - ISHARES RUSSELL MIDCAP cs 464287499 10 125 125 0 - ISHARES S&P 500 GROWTH cs 464287309 32 600 600 0 - ISHARES S&P NORTH AM FD cs 464287374 10 300 300 0 - ISHARES S&P NORTH AM FD cs 464287515 44 1,000 1,000 0 - ISHARES S&P SMCAP GROWTH cs 464287887 19 350 350 0 - ISHARES S&P U S PFD FUND cs 464288687 7 200 200 0 - ISHARES TR BARCLAYS BOND cs 464288596 53 500 500 0 - ISHARES TR BARCLAYS BOND cs 464288638 4,862 46,975 46,425 0 550 ISHARES TR BARCLAYS FUND cs 464287226 89 850 850 0 - ISHARES TR BARCLAYS TIPS cs 464287176 3,536 34,373 34,373 0 - ISHARES TR DJ TOTAL MKT cs 464287846 3 60 60 0 - ISHARES TR DJ US FINL cs 464287788 37 700 700 0 - ISHARES TR DJ US HLTHCAR cs 464287762 326 5,530 5,530 0 - ISHARES TR MSCI EAFE FD cs 464287465 434 7,945 7,945 0 - ISHARES TR NASDAQ BIO FD cs 464287556 2,265 27,840 27,740 0 100 ISHARES TR RUSSELL 2000 cs 464287648 20 300 300 0 - ISHARES TR RUSSELL 2000 cs 464287655 176 2,925 2,925 0 - ISHARES TR RUSSELL 3000 cs 464287689 0 1 1 0 - ISHARES TR S&P GLOBAL cs 464287275 22 400 400 0 - ISHARES TR S&P GLOBAL cs 464287325 60 1,245 1,245 0 - ISHARES TR S&P GLOBAL cs 464287341 10 300 300 0 - ISHARES TR S&P MIDCAP cs 464287507 14 200 200 0 - ISHARES TRUST cs 464288513 153 1,775 1,775 0 - ISHARES TRUST INDEX FUND cs 464287184 53 1,302 1,302 0 - ISHARES TRUST S&P 500 cs 464287200 38 355 355 0 - JETBLUE AIRWAYS CORP cs 477143101 3 500 500 0 - JOHNSON & JOHNSON cs 478160104 5,187 85,193 68,993 0 16,200 JP MORGAN EXCH TRADED NT cs 46625H365 75 3,000 3,000 0 - JPMORGAN CHASE & CO cs 46625H100 195 4,455 4,455 0 - KB HOME cs 48666K109 2 100 100 0 - KIMBERLY-CLARK CORP cs 494368103 618 10,475 10,475 0 - KRAFT FOODS INC cs 50075N104 21 800 800 0 - L-3 COMMUNICATIONS HLDGS cs 502424104 12 151 151 0 - LDK SOLAR CO LTD ADR F cs 50183L107 2 200 200 0 - LEGG MASON INC cs 524901105 2 50 50 0 - LEVEL 3 COMMUNICATIONS cs 52729N100 1 500 500 0 - LIFE TECHNOLOGIES CORP cs 53217V109 5 100 100 0 - LILLY ELI & COMPANY cs 532457108 36 1,100 1,100 0 - LINEAR TECHNOLOGY CORP cs 535678106 41 1,500 1,500 0 - LOWES COMPANIES INC cs 548661107 25 1,200 1,200 0 - MANITOWOC COMPANY INC cs 563571108 0 50 50 0 - MARATHON OIL CORP cs 565849106 261 8,178 - 0 8,178 MARKET VECTORS ETF TRUST cs 57060U100 1,087 24,000 4,000 0 20,000
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- MARKET VECTORS ETF TRUST cs 57060U605 7 175 175 0 - MARKET VECTORS ETF TRUST cs 57060U829 16 600 600 0 - MARKET VECTORS ETF TRUST cs 57060U837 8 250 250 0 - MASCO CORP cs 574599106 23 1,800 1,800 0 - MASSEY ENERGY COMPANY cs 576206106 42 1,500 - 0 1,500 MC DONALDS CORP cs 580135101 3,185 55,811 50,850 0 4,961 MEDTRONIC INC cs 585055106 39 1,067 867 0 200 MELTRONIX INC cs 585730104 0 12,000 12,000 0 - MERCK & CO INC cs 589331107 21 664 664 0 - MERISEL INC NEW cs 589849306 0 10 10 0 - METAWAVE COMMUN NEW cs 591409107 0 100 - 0 100 METROPCS COMMUNICATIONS cs 591708102 1 100 100 0 - MICROCHIP TECHNOLOGY INC cs 595017104 15 575 575 0 - MICROSOFT CORP cs 594918104 418 16,233 3,333 0 12,900 MID CAP S P D R TRUST cs 595635103 64 510 510 0 - MINDSPEED TECH INC NEW cs 602682205 0 2 - 0 2 MIV THERAPEUTICS INC NEW cs 55306V205 0 549 549 0 - MONSANTO CO NEW DEL cs 61166W101 155 2,000 - 0 2,000 MONTEREY GOURMET FOODS cs 612570101 10 5,000 5,000 0 - MORGAN STANLEY cs 617446448 6 200 200 0 - MOTOROLA INC cs 620076109 3 400 400 0 - MS CA INSD MUN INCM TR cs 61745P502 133 10,000 10,000 0 - MS CA QLTY MUNI SECS cs 61745P635 48 3,930 3,930 0 - MS INSURED CA MUN SECS cs 61745P825 57 4,170 4,170 0 - N I I HOLDINGS INC NEW cs 62913F201 9 300 300 0 - N V E CORPORATION NEW cs 629445206 5 100 100 0 - NESTLE S A REG B ADR F cs 641069406 68 1,600 1,600 0 - NETEASE.COM INC ADR F cs 64110W102 5 100 100 0 - NETFLIX INC cs 64110L106 5 100 100 0 - NEW YORK CMNTY BANCORP cs 649445103 12 1,089 1,089 0 - NIKE INC CLASS B cs 654106103 29 450 450 0 - NINTENDO LTD ADR F cs 654445303 16 500 - 0 500 NOBLE CORP F cs H5833N103 10 275 275 0 - NOKIA CORP SPON ADR F cs 654902204 2,603 178,075 178,075 0 - NORTEL NETWORKS CP NEW F cs 656568508 0 15 15 0 - NORTHROP GRUMMAN CORP cs 666807102 337 6,514 6,214 0 300 NOVARTIS A G SPON ADR F cs 66987V109 68 1,355 1,355 0 - NSTAR cs 67019E111 13 400 400 0 - NUCOR CORP cs 670346105 60 1,275 1,275 0 - NUVEEN AZ DIV ADVNTGE FD cs 67071P107 41 3,000 3,000 0 - NUVEEN AZ PREM INCM MUNI cs 67061W104 40 3,000 3,000 0 - NUVEEN CA DIV ADV MUN FD cs 67066Y105 923 69,450 68,650 0 800 NUVEEN CA QLTY INCM MUN cs 670985100 55 3,904 3,904 0 - NUVEEN CA SELECT TAX FR cs 67063R103 68 5,000 5,000 0 - NUVEEN CALIF MUNI MARKET cs 67062U107 40 3,000 3,000 0 - NUVEEN DIVERSFD DIVID FD cs 6706EP105 12 1,300 1,300 0 - NUVEEN EQTY PREM INC FD cs 6706ER101 63 5,150 5,150 0 - NUVEEN EQTY PREM OPTY FD cs 6706EM102 60 4,800 4,800 0 - NUVEEN INSD CA PRE FD II cs 67061U108 137 10,177 10,177 0 - NUVEEN INSD CA PREM INCM cs 67061X102 103 7,500 7,500 0 - NUVEEN INSD CA TAX FREE cs 670651108 1,402 102,403 101,885 0 518 NUVEEN INSD TAX FREE ADV cs 670657105 50 3,500 3,500 0 - NUVEEN INVT QLTY MUN FD cs 67062E107 97 7,000 7,000 0 - NUVEEN MULTI STRAT INCM cs 67073B106 7 1,000 1,000 0 - NUVEEN MUNI ADVTG FUND cs 67062H106 114 8,000 8,000 0 - NUVEEN MUNI MKT OPPTY FD cs 67062W103 107 8,000 8,000 0 - NUVEEN QLTY INCM MUNI FD cs 670977107 98 7,032 7,032 0 - NUVEEN QUAL PFD INC FD 2 cs 67072C105 18 2,500 2,500 0 - NUVEEN REAL EST INC FD cs 67071B108 28 3,500 3,500 0 - NUVEEN SELCT QLTY MUN FD cs 670973106 71 5,000 5,000 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- NVIDIA CORP cs 67066G104 11 750 750 0 - OCCIDENTAL PETE CORP cs 674599105 47 600 600 0 - OPTIMUMCARE CORP cs 68388V100 0 5,800 5,800 0 - ORACLE CORPORATION cs 68389X105 40 1,905 1,905 0 - ORANGE COUNTY BUS BANK cs 684193105 14 2,200 2,200 0 - OXYGEN BIOTHERAP INC cs 69207P100 0 1,000 1,000 0 - P G & E CORP cs 69331C108 30 750 750 0 - PAC MERCANTILE BANCORP cs 694552100 2 700 700 0 - PACTIV CORPORATION cs 695257105 3 112 112 0 - PAYCHEX INC cs 704326107 1 50 50 0 - PEABODY ENERGY CORP cs 704549104 26 700 700 0 - PENN WEST ENERGY TRUST F cs 707885109 333 21,000 2,500 0 18,500 PENTHOUSE INTL INC cs 709640106 0 190,000 190,000 0 - PEPSI BOTTLING GROUP INC cs 713409100 0 0 0 0 - PEPSICO INCORPORATED cs 713448108 1,636 27,893 27,893 0 - PETROLEO BRASILEIRO ADRF cs 71654V408 31 675 675 0 - PFIZER INCORPORATED cs 717081103 4,464 269,747 266,247 0 3,500 PHILIP MORRIS INTL INC cs 718172109 118 2,422 2,422 0 - PIMCO CAL MUNI INC FD II cs 72200M108 84 8,565 8,565 0 - PIMCO CALIF MUN INCM FD cs 72200N106 31 2,373 2,373 0 - PIMCO CORP INCOME FUND cs 72200U100 1,896 136,030 134,130 0 1,900 PIMCO CORPORATE OPPTY FD cs 72201B101 17 1,200 1,200 0 - PIMCO HIGH INCOME FUND cs 722014107 11 1,093 1,093 0 - PINNACLE ENTERTAINMENT cs 723456109 0 8 8 0 - PINNACLE WEST CAPITAL CP cs 723484101 16 500 500 0 - PNM RESOURCES INC cs 69349H107 9 750 - 0 750 POTASH CORP SASK INC F cs 73755L107 1 10 10 0 - POWERSHRS DB GOLD DBL F cs 25154H756 261 14,500 2,500 0 12,000 POWERSHS DB MULTI SECTOR cs 73936B408 13 525 525 0 - POWERSHS DB US DOLLAR TR cs 73936D107 44 1,950 1,950 0 - POWERSHS EXCH TRAD FD TR cs 73935X302 4 500 500 0 - POWERSHS EXCH TRAD FD TR cs 73935X500 14 1,275 1,225 0 50 POWERSHS EXCH TRAD FD TR cs 73935X575 52 3,085 3,085 0 - POWERSHS EXCH TRAD FD TR cs 73935X690 2 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73935X856 67 3,900 3,900 0 - POWERSHS QQQ TRUST SER 1 cs 73935A104 54 1,267 1,267 0 - POWERWAVE TECH INC cs 739363109 0 67 67 0 - PPL CORPORATION cs 69351T106 11 375 375 0 - PREMIER LASER SYS A NXXX cs 740522107 - 500 500 0 - PRESSTEK INC cs 741113104 0 100 100 0 - PROCTER & GAMBLE cs 742718109 4,670 80,631 77,295 0 3,336 PROGRESS ENERGY INC cs 743263105 16 416 416 0 - PROSHARES ULTRASHORT QQQ cs 74347R875 9 400 400 0 - PROSHS ULTRASHORT XINHUA cs 74347R321 312 31,800 6,800 0 25,000 PROSHS ULTRASHRT S&P500 cs 74347R883 2,190 54,225 54,225 0 - PUB SVC ENT GROUP INC cs 744573106 6 200 200 0 - PULTE HOMES INC cs 745867101 1 85 85 0 - QUALCOMM INC cs 747525103 3,519 78,229 77,729 0 500 QUANTUM FUEL SYS TECH cs 74765E113 5 4,000 4,000 0 - QUESTAR CORPORATION cs 748356102 16 418 418 0 - QUIKSILVER INC cs 74838C106 1 440 40 0 400 QWEST COMMUNS INTL INC cs 749121109 0 13 13 0 - RADIENT PHARMACEUTICALS cs 750341109 7 12,100 12,100 0 - RAMBUS INC DEL cs 750917106 12 700 700 0 - RAYTHEON COMPANY NEW cs 755111507 3 61 61 0 - REDHAT INC cs 756577102 0 5 5 0 - RESEARCH IN MOTION LTD F cs 760975102 2,000 29,571 29,471 0 100 RIKEI CORP ORD F cs J64812100 5 4,000 - 0 4,000 RIO TINTO PLC SPON ADR F cs 767204100 9 50 50 0 - ROCHE HLDG LTD SPON ADRF cs 771195104 20 500 500 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- ROYAL DUTCH SHELL A ADRF cs 780259206 137 2,400 400 0 2,000 ROYCE VALUE TRUST INC cs 780910105 79 7,600 7,600 0 - RRI ENERGY INC cs 74971X107 0 36 36 0 - S & P 500 CVRD CALL FUND cs 78381P109 46 4,000 4,000 0 - S G I INTERNATIONAL NEW cs 784185209 0 100 100 0 - S P D R TRUST UNIT SR 1 cs 78462F103 700 6,625 6,625 0 - SANOFI AVENTIS ADR F cs 80105N105 28 767 767 0 - SECTOR SPDR CONSUMER FD cs 81369Y407 15 545 545 0 - SECTOR SPDR ENGY SELECT cs 81369Y506 89 1,650 1,650 0 - SECTOR SPDR FINCL SELECT cs 81369Y605 40 2,685 2,685 0 - SECTOR SPDR HEALTH FUND cs 81369Y209 370 12,900 12,800 0 100 SECTOR SPDR INDL SELECT cs 81369Y704 20 750 750 0 - SECTOR SPDR MATERIALS FD cs 81369Y100 3 100 100 0 - SECTOR SPDR TECH SELECT cs 81369Y803 10 500 500 0 - SECTOR SPDR TR CON STPLS cs 81369Y308 353 13,884 13,734 0 150 SECTOR SPDR UTIL SELECT cs 81369Y886 44 1,500 1,500 0 - SEMPRA ENERGY cs 816851109 525 10,531 10,531 0 - SHAW COMMUN INC CL B F cs 82028K200 11 600 600 0 - SHL TELEMEDICINE ORD F cs M84047105 6 700 700 0 - SIRIUS XM RADIO INC cs 82967N108 4 6,000 6,000 0 - SKYWORKS SOLUTIONS INC cs 83088M102 0 13 - 0 13 SONY CORP ADR NEW F cs 835699307 2,508 85,900 85,900 0 - SOUTHERN COPPER CORP cs 84265V105 46 1,500 1,500 0 - SOUTHWEST GAS CORP COM cs 844895102 34 1,337 1,337 0 - SOUTHWESTERN ENERGY CO cs 845467109 4 100 100 0 - SPDR GOLD TRUST cs 78463V107 6,008 60,780 59,690 0 1,090 SPDR KBW CAPITAL MARKETS cs 78464A771 13 340 340 0 - SPECTRA ENERGY CORP cs 847560109 8 425 425 0 - SPRINT NEXTEL CORP cs 852061100 0 2 2 0 - ST JUDE MEDICAL INC cs 790849103 17 425 425 0 - STARBUCKS CORP cs 855244109 43 2,070 2,070 0 - STRATEGIC RESOURCES LTD cs 862773108 0 5,500 5,500 0 - STRYKER CORP cs 863667101 39 850 850 0 - SUMITOMO MITSUI FIN ADRF cs 86562M100 5 1,400 1,400 0 - SUNOCO INC cs 86764P109 57 2,000 - 0 2,000 SUNTECH POWER HLDGS ADRF cs 86800C104 0 25 25 0 - SUPERVALU INC cs 868536103 1 85 85 0 - SYNERON MEDICAL LTD F cs M87245102 1 125 125 0 - SYNGENTA AG ADR F cs 87160A100 1 25 25 0 - SYSCO CORPORATION cs 871829107 205 8,232 232 0 8,000 T H Q INC NEW cs 872443403 0 20 20 0 - T J X COS INC cs 872540109 2 50 50 0 - TARGET CORPORATION cs 87612E110 11 245 245 0 - TASER INTERNATIONAL INC cs 87651B104 7 1,500 1,500 0 - TELEFONICA SPON ADR F cs 879382208 6 75 75 0 - TEVA PHARM INDS LTD ADRF cs 881624209 219 4,340 3,840 0 500 THE CHARLES SCHWAB CORP cs 808513105 158 8,255 3,255 0 5,000 THE SOUTHERN COMPANY cs 842587107 57 1,800 1,800 0 - TIME WARNER CABLE cs 88732J207 0 1 1 0 - TIME WARNER INC NEW cs 887317303 0 6 6 0 - TOTAL S A ADR F cs 89151E113 33 550 550 0 - TOYOTA MOTOR CP ADR NEWF cs 892331307 12 150 - 0 150 TRANSOCEAN INC NEW F cs H8817H100 1 10 10 0 - TRONOX INCORPORATED CL B cs 897051207 0 66 66 0 - TYCO ELECTRONICS LTD F cs H8912P106 1 38 8 0 30 TYCO INTL LTD NEW F cs H89128104 1 38 8 0 30 U S A BIOMASS CORP cs 90333F105 0 20,000 20,000 0 - UMPQUA HOLDINGS CORP cs 904214103 3 330 330 0 - UNILEVER N V NY SHS NEWF cs 904784709 45 1,550 1,550 0 - UNION PACIFIC CORP cs 907818108 9 150 150 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- UNISYS CORP cs 909214108 0 19 19 0 - UNITED STATES STEEL CORP cs 912909108 23 517 100 0 417 UNITED TECHNOLOGIES CORP cs 913017109 49 800 800 0 - USA URANIUM CORP cs 91154T109 1 400,000 400,000 0 - VALE SA ADR F cs 91912E109 2 100 100 0 - VALLEY NATIONAL BANCORP cs 919794107 7 561 561 0 - VAN KAMPEN ADVANTAGE II cs 92112K107 92 7,617 7,617 0 - VAN KAMPEN CA VALUE TR cs 92112B107 142 11,127 11,127 0 - VAN KAMPEN SR INCM TR cs 920961109 8 2,000 2,000 0 - VANGUARD BOND INDEX FUND cs 921937835 3,014 37,915 36,965 0 950 VANGUARD EMERGING MARKET cs 922042858 166 4,310 4,310 0 - VANGUARD TOTAL STOCK MKT cs 922908769 165 3,075 3,075 0 - VERIGY LTD F cs Y93691106 0 21 21 0 - VERISIGN INC cs 92343E106 0 8 8 0 - VERIZON COMMUNICATIONS cs 92343V104 256 8,447 3,823 0 4,624 VISA INC CL A cs 92826C839 4 60 60 0 - VODAFONE GROUP NEW ADR F cs 92857W209 143 6,358 2,793 0 3,565 WALGREEN COMPANY cs 931422109 56 1,500 1,500 0 - WAL-MART STORES INC cs 931142103 50 1,013 913 0 100 WASHINGTON MUTUAL INC cs 939322103 0 150 150 0 - WASTE MANAGEMENT INC DEL cs 94106L109 45 1,500 1,500 0 - WELLS FARGO & CO NEW cs 949746101 80 2,849 2,849 0 - WESTERN ASSET HIGH INCM cs 95766K109 2 325 325 0 - WESTERN DIGITAL CORP cs 958102105 37 1,000 1,000 0 - WEYERHAEUSER CO cs 962166104 11 300 300 0 - WHOLE FOODS MARKET INC cs 966837106 3 104 104 0 - WILLIAMS COMPANIES cs 969457100 109 6,100 100 0 6,000 WISDOMTREE INTL MDCP DIV cs 97717W778 251 5,250 - 0 5,250 WISDOMTREE TRUST cs 97717W182 686 27,050 27,050 0 - WORLDCOM INC ^XX cs 98157D106 - 10 10 0 - WYETH cs 983024100 5 100 100 0 - XCEL ENERGY INC cs 98389B100 77 4,000 - 0 4,000 ZIMMER HOLDINGS INC cs 98956P102 93 1,737 893 0 844 AMERIGAS PARTNERS LP oa 030975106 79 2,200 2,200 0 - BOARDWALK PIPELINE PTNRS oa 096627104 9 350 350 0 - BREITBURN ENERGY PTNR LP oa 106776107 23 2,000 2,000 0 - CENTURY COMMUNI 8.75XXX oa 156ESCAJ4 - 5,000 5,000 0 - DUKE REALTY CORP oa 264411505 25 2,100 2,100 0 - ENBRIDGE ENERGY PTNRS LP oa 29250R106 31 695 575 0 120 ENERGY TRANSFER PARTNERS oa 29273R109 4 100 100 0 - ENTERPRISE PRD PRTNRS LP oa 293792107 131 4,620 4,620 0 - EQUITY RESIDENTIAL oa 29476L107 38 1,250 1,250 0 - GLIMCHER REALTY TRUST oa 379302102 3 707 707 0 - KIMCO REALTY CORP oa 49446R109 13 1,000 1,000 0 - KINDER MORGAN ENERGY LP oa 494550106 238 4,398 4,398 0 - LAACO INC LTD PARTNSHIP oa 505346106 38 40 40 0 - LAZARD LTD F oa G54050102 4 100 100 0 - LINN ENERGY oa 536020100 23 1,000 1,000 0 - MID AMER APT CMNTYS INC oa 59522J103 42 938 938 0 - NATIONWIDE HEALTH PPTYS oa 638620104 93 3,000 3,000 0 - NUSTAR ENERGY LP oa 67058H102 62 1,202 1,202 0 - PUBLIC STORAGE oa 74460D109 5 70 70 0 - PUBLIC STORAGE 7.25% PFD oa 74460D299 25 1,000 1,000 0 - REALTY INCOME CORP oa 756109104 23 884 884 0 - TEPPCO PARTNERS L P oa 872384102 45 1,300 1,300 0 - UMH PROPERTIES INC oa 903002103 24 3,000 3,000 0 - VORNADO REALTY TRUST oa 929042109 26 411 411 0 - WILLIAMS COMM 10.70%XXX oa 9694559A4 - 750,000 - 0 750,000 PUT PETROLEO BRASILEIRO pt 71654V0MG 1 10 10 10 0 - PUT SPDR GOLD TRUST pt 78463V9MF 1 16 16 16 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ ----------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ ----------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- PUT STARWOOD HTLS&RESOR pt 85590A9WK 1 5 5 5 0 - PUT STARWOOD HTLS&RESOR pt 85590A8MD 1 35 35 35 0 - FRESENIUS KABI PHRM 10RT wt 35802M115 0 300 300 0 -
-----END PRIVACY-ENHANCED MESSAGE-----