<SEC-DOCUMENT>0001483964-11-000003.txt : 20110511 <SEC-HEADER>0001483964-11-000003.hdr.sgml : 20110511 <ACCEPTANCE-DATETIME>20110510181852 ACCESSION NUMBER: 0001483964-11-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110511 DATE AS OF CHANGE: 20110510 EFFECTIVENESS DATE: 20110511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ladenburg Thalmann Asset Management CENTRAL INDEX KEY: 0001483964 IRS NUMBER: 133286023 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13809 FILM NUMBER: 11829641 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124092021 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 </SEC-HEADER> <DOCUMENT> <TYPE>13F-HR <SEQUENCE>1 <FILENAME>ltam13f.txt <DESCRIPTION>LADENBURG THALMANN ASSET MANAGEMENT INC. 13F 1ST QTR. 2011 <TEXT> <PAGE> UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03-31-11 ------------ 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: Ladenburg Thalmann Asset Management -------------------------------------- -------------------------------------- Address: 520 Madison Ave, FL 9 -------------------------------------- New York, NY -------------------------------------- Form 13F File Number: 28- 13809 ------------------- 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. Person Signing this Report on Behalf of Reporting Manager: Name: Philip Blancato ----------------------------- Title: President ----------------------------- Phone: 2124092682 ----------------------------- Signature, Place, and Date of Signing: /S/ Philip Blancato NEw York, NY 5-10-11 - ------------------ ---------------- --------- [Signature] [City, State] [Date] <PAGE> 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 File Number Name 28- None ------------------ -------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------- Form 13F Information Table Entry : 437 ------------------- Form 13F Information Table Value : $183,344 (x1000) ------------------- List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NO. FORM 13F FILE NUMBER NAME NAME 1 28- None ---- ------------------------- --------------------------- <PAGE> <TABLE> <C> <c> 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 None Sole Shared 1 800 FLOWERS.COM INC CL A 68243Q106 2 725 SH Sole 01 725 ABB LTD ADR EACH REPR 1 CHF2.50(SPON) 000375204 21 850 SH Sole 01 850 ABBOTT LABORATORIES 002824100 38 780 SH Sole 01 780 ABERDEEN ASIA PACIFIC INCOME FD 003009107 49 7000 SH Sole 01 7000 ACADIA REALTY TRUST 004239109 1 52 SH Sole 01 52 ADVANCED MICRO DEVICES INC 007903107 6 750 SH Sole 01 750 AEROPOSTALE 007865108 1 60 SH Sole 01 60 AFFILIATED MANAGERS GROUP 008252108 11 105 SH Sole 01 105 AGRIUM INC COM NPV ISIN #CA0089161081 008916108 6 65 SH Sole 01 65 AIR PRODUCTS & CHEM 009158106 32 350 SH Sole 01 350 AIR TRANS SVCS GROUP INC COM 00922R105 3 400 SH Sole 01 400 ALASKA AIR GROUP INC 011659109 6 100 SH Sole 01 100 ALCOA INC ISIN #US0138171014 013817101 14 800 SH Sole 01 800 ALLIANCEBERNSTEIN INCOME FD INC 01881E101 22 2824 SH Sole 01 2824 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME 01879R106 49 3322 SH Sole 01 3322 ALTRIA GROUP INC 02209S103 13 500 SH Sole 01 500 AMDOCS LTD ORD GBP0.01 G02602103 20 680 SH Sole 01 680 AMERICAN INDEPENDENCE CORP 026760405 5 356 SH Sole 01 356 AMERICAN APPAREL INC COM 023850100 2 1750 SH Sole 01 1750 AMERICAN CAP AGY CORP COM 02503X105 2 67 SH Sole 01 67 AMERICAN EXPRESS CO 025816109 39 857 SH Sole 01 857 AMERICAN INTL GROUP INC COM NEW 026874784 1 25 SH Sole 01 25 AMERICAS CAR MART INC 03062T105 2 70 SH Sole 01 70 AMERN SUPERCONDUCTOR CORP 030111108 1 53 SH Sole 01 53 ANADARKO PETE CORP 032511107 70 850 SH Sole 01 850 ANNALY CAPITAL MANAGEMENT INC COM 035710409 220 12617 SH Sole 01 12617 ANWORTH MORTGAGE ASSET CP COM 037347101 157 22214 SH Sole 01 22214 AOL INC COM USD0.01 00184X105 7 354 SH Sole 01 354 AON CORP 037389103 24 461 SH Sole 01 461 APOLLO INVT CORP COM SH BEN INT 03761U106 466 38610 SH Sole 01 38610 APPLE INC 037833100 136 390 SH Sole 01 390 ARCH COAL INC 039380100 2 50 SH Sole 01 50 ARCHER DANIELS MIDLAND 039483102 2 50 SH Sole 01 50 ARES CAPITAL CORP COM STK USD0.001 04010L103 64 3764 SH Sole 01 3764 ARMOUR RESIDENTIAL REIT INC 042315101 300 39632 SH Sole 01 39632 ARMOUR RESIDENTIAL REIT INC WT EXP 042315119 11 15000 SH Sole 01 15000 ASSURED GUARANTY LTD COM USD0.01 G0585R106 1 100 SH Sole 01 100 AT&T INC COM 00206R102 63 2052 SH Sole 01 2052 AUTOMATIC DATA PROCESSING INC 053015103 17 331 SH Sole 01 331 AWARE INC MASS 05453N100 3 850 SH Sole 01 850 BAKER HUGHES INC 057224107 62 850 SH Sole 01 850 BANCO BILBAO VIZCAYA ARGENTARIA SA ADS 05946K101 15 1219 SH Sole 01 1219 BANCO SANTANDER SA ADR EACH 1 REPR 1 05964H105 0 29 SH Sole 01 29 BANK NEW YORK MELLON CORP 064058100 33 1100 SH Sole 01 1100 BANK OF AMERICA CORP 060505104 27 2053 SH Sole 01 2053 BANKATLANTIC BANCORP INC CL A NEW 065908600 0 400 SH Sole 01 400 BARNES AND NOBLE INC 067774109 0 50 SH Sole 01 50 BAXTER INTL INC 071813109 55 1019 SH Sole 01 1019 BERKSHIRE HATHAWAY INC DEL CL A 084670108 125 1 SH Sole 01 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 42 500 SH Sole 01 500 BIG LOTS INC (OHIO) 089302103 2 39 SH Sole 01 39 BIOMARIN PHARMACEUTICAL INC 09061G101 13 500 SH Sole 01 500 BIOSANTE PHARMACEUTICALS INC 09065V203 0 127 SH Sole 01 127 BLACKROCK KELSO CAP COORPORATION 092533108 1 100 SH Sole 01 100 BLACKROCK MUNIYIELD CALIF FD INC COM 09254M105 1 100 SH Sole 01 100 BLACKROCK PFD INCOME STRATEGIES FD INC 09255H105 10 1000 SH Sole 01 1000 BLDRS DEVELOPED MKTS 100 ADR INDEX FD 09348R201 2 100 SH Sole 01 100 BMC SOFTWARE INC 055921100 2 39 SH Sole 01 39 BOARDWALK PIPELINE PARTNERS LP COM UNIT 096627104 26 800 SH Sole 01 800 BOEING CO 097023105 15 200 SH Sole 01 200 BORDERS GROUP MICHIGAN INC 099709107 0 400 SH Sole 01 400 BOSTON PPTYS INC 101121101 38 400 SH Sole 01 400 BP PLC ADR (CNV INTO 6 ORD USD0.25 SHS) 055622104 2 50 SH Sole 01 50 BRIDGFORD FOODS CORP 108763103 1 100 SH Sole 01 100 BRINKS CO 109696104 23 700 SH Sole 01 700 BRISTOL MYERS SQUIBB 110122108 31 1170 SH Sole 01 1170 BRT RLTY TR SH BEN INT NEW 055645303 40 6204 SH Sole 01 6204 BUILDERS FIRSTSOURCE INC COM 12008R107 2 700 SH Sole 01 700 BUNGE LIMITED COM STK USD0.01 G16962105 5 75 SH Sole 01 75 CABELAS INC 126804301 3 101 SH Sole 01 101 CABLEVISION SYS CORP NY GROUP CL A COM 12686C109 22 650 SH Sole 01 650 CABOT OIL & GAS CP COM 127097103 11 200 SH Sole 01 200 CALLAWAY GOLF CO DELAWARE 131193104 0 14 SH Sole 01 14 CAMDEN NATL CORP 133034108 3 100 SH Sole 01 100 CANADIAN NATURAL RESOURCES LTD COM 136385101 30 600 SH Sole 01 600 CANON INC ADR EACH REP 1 ORD NPV(MGT) 138006309 1 25 SH Sole 01 25 CAPITAL SENIOR LIVING CORP 140475104 3 250 SH Sole 01 250 CARMIKE CINEMAS INC 143436400 1 100 SH Sole 01 100 CATERPILLAR INC 149123101 41 370 SH Sole 01 370 CBS CORP NEW CL B 124857202 29 1175 SH Sole 01 1175 CEMEX S.A.B. DE C.V. SPON ADR REP 10 CPO 151290889 9 1036 SH Sole 01 1036 CENTURY CASINOS INC 156492100 1 400 SH Sole 01 400 CEPHALON INC 156708109 8 100 SH Sole 01 100 CHEVRON CORP NEW 166764100 75 700 SH Sole 01 700 CHINA FIRE & SEC GROUP INC 16938R103 1 150 SH Sole 01 150 CHINA GREEN AGRICULTURE INC COM 16943W105 1 115 SH Sole 01 115 CHINA UNICOM (HONG KONG) LIMITED ADR 16945R104 8 500 SH Sole 01 500 CHURCH & DWIGHT INC 171340102 48 600 SH Sole 01 600 CINEDIGM DIGITAL CINEMA CORP COM 172407108 1 800 SH Sole 01 800 CISCO SYS INC 17275R102 43 2500 SH Sole 01 2500 CITIGROUP INC 172967101 14 3316 SH Sole 01 3316 CITIZENS REPUBLIC BANCORP INC 174420109 0 200 SH Sole 01 200 CITRIX SYSTEMS INC 177376100 86 1173 SH Sole 01 1173 CLAYMORE EXCHANGE TRADED FD TR BNY 18383M100 7 156 SH Sole 01 156 CLAYMORE EXCHANGE TRADED FD TR 2 18383Q606 302 13219 SH Sole 01 13219 COCA COLA BOTTLING CO CONS 191098102 5 75 SH Sole 01 75 COCA COLA CO 191216100 30 450 SH Sole 01 450 COLLECTIVE BRANDS INC 19421W100 4 200 SH Sole 01 200 COMCAST CORP NEW CL A 20030N101 32 1313 SH Sole 01 1313 CONAGRA FOODS INC 205887102 12 500 SH Sole 01 500 CONOCOPHILLIPS 20825C104 76 955 SH Sole 01 955 CONSOLIDATED EDISON HLDG CO INC 209115104 19 375 SH Sole 01 375 CORNING INC 219350105 2 100 SH Sole 01 100 COSTCO WHOLESALE CORP 22160K105 7 100 SH Sole 01 100 COVANCE INC 222816100 3 50 SH Sole 01 50 CREDIT ACCEP CORP MICH 225310101 2 27 SH Sole 01 27 CREE INC 225447101 2 33 SH Sole 01 33 CUSHING MLP TOTAL RETURN FD COM SHS 231631102 482 44426 SH Sole 01 44426 CVS CAREMARK CORP 126650100 33 950 SH Sole 01 950 CYTRX CORP 232828301 18 20000 SH Sole 01 20000 DEAN FOODS CO 242370104 4 400 SH Sole 01 400 DEERE & COMPANY 244199105 19 200 SH Sole 01 200 DELTA AIR LINES INC DEL COM NEW 247361702 4 384 SH Sole 01 384 DEVON ENERGY CORP NEW 25179M103 48 525 SH Sole 01 525 DIAGEO ADR EACH REPR 4 ORD GBX28.935185 25243Q205 28 370 SH Sole 01 370 DIAMOND OFFSHORE DRILLING INC 25271C102 5 68 SH Sole 01 68 DIME COMMUNITY BANCSHARES 253922108 10 703 SH Sole 01 703 DIRECTV COM CL A 25490A101 14 300 SH Sole 01 300 DISH NETWORK CORP CL A 25470M109 6 250 SH Sole 01 250 DISNEY WALT CO DEL (HOLDING COMPANY) 254687106 50 1152 SH Sole 01 1152 DOLBY LABORATORIES INC CL A 25659T107 1 26 SH Sole 01 26 DONNELLEY R R & SONS 257867101 6 300 SH Sole 01 300 DORAL FINANCIAL CORP COM STK USD0.01 25811P886 0 63 SH Sole 01 63 DOW CHEMICAL CO 260543103 18 475 SH Sole 01 475 DREYFUS HIGH YIELD STRATEGIES FD 26200S101 15 3145 SH Sole 01 3145 DTE ENERGY HOLDING CO 233331107 25 518 SH Sole 01 518 DU PONT E I DE NEMOURS & CO 263534109 22 400 SH Sole 01 400 DUKE ENERGY CORP NEW COM 26441C105 20 1100 SH Sole 01 1100 E M C CORP MASS 268648102 24 920 SH Sole 01 920 EBIX INC NEW 278715206 2 93 SH Sole 01 93 ECHOSTAR CORP CL A 278768106 1 30 SH Sole 01 30 EDWARDS LIFESCIENCES CORP 28176E108 9 100 SH Sole 01 100 EMERGENCY MED SVCS CRP CL A 29100P102 3 40 SH Sole 01 40 ENERGY INCOME & GROWTH FD COM 292697109 272 9362 SH Sole 01 9362 ENERSIS S.A SPONS ADR-REPR 50 COM NPV 29274F104 1 43 SH Sole 01 43 ENTERPRISE PRODUCTS PPTNS LP 293792107 24 562 SH Sole 01 562 EQUINIX INC NEW 29444U502 2 17 SH Sole 01 17 EXELON CORP 30161N101 18 435 SH Sole 01 435 EXPEDITORS INTL WASH INC 302130109 75 1500 SH Sole 01 1500 EXPRESS SCRIPTS INC COM FORMERLY CL A 302182100 17 300 SH Sole 01 300 EXXON MOBIL CORP 30231G102 412 4892 SH Sole 01 4892 FBR CAP MKTS CORP 30247C301 1 250 SH Sole 01 250 FEDEX CORP 31428X106 14 150 SH Sole 01 150 FIBRIA CELULOSE S A SPONSORED ADR REPSTG 31573A109 11 673 SH Sole 01 673 FIRST TR ISE REVERE NAT GAS 33734J102 4 190 SH Sole 01 190 FISERV INC 337738108 8 120 SH Sole 01 120 FIVE STAR QUALITY CARE INC 33832D106 2 300 SH Sole 01 300 FLEXTRONICS INTERNATIONAL ORD Y2573F102 3 406 SH Sole 01 406 FOREST OIL CORP COM PAR $0.01 346091705 28 750 SH Sole 01 750 FRANCE TELECOM ADR EACH REPR 1 EUR4 35177Q105 6 250 SH Sole 01 250 FREDS INC CL A 356108100 7 550 SH Sole 01 550 FREIGHTCAR AMER INC 357023100 5 150 SH Sole 01 150 FUEL SYS SOLUTIONS INC COM 35952W103 1 28 SH Sole 01 28 FUELCELL ENERGY INC CHG #US35952H1068 35952H106 4 2000 SH Sole 01 2000 GAMESTOP CORP NEW CL A 36467W109 1 50 SH Sole 01 50 GENERAL ELECTRIC CO 369604103 130 6481 SH Sole 01 6481 GENZYME CORP COM FORMERLY COM-GEN 372917104 2 25 SH Sole 01 25 GLAXOSMITHKLINE ADR EACH CNV INTO 2 ORD 37733W105 19 500 SH Sole 01 500 GLOBAL INDS LTD 379336100 2 200 SH Sole 01 200 GLOBAL SHIP LEASE INC USD0.01 CLASS A Y27183105 714 101425 SH Sole 01 101425 GOLDMAN SACHS GROUP INC 38141G104 14 90 SH Sole 01 90 GREEN MTN COFFEE ROASTERS INC 393122106 2 32 SH Sole 01 32 GSI COMMERCE INC 36238G102 3 100 SH Sole 01 100 GUGGENHM S&P GLOBAL WATER INDEX 18383Q507 49 2319 SH Sole 01 2319 HALLIBURTON CO HOLDING CO FRMLY 406216101 110 2200 SH Sole 01 2200 HARRIS & HARRIS GROUP INC 413833104 3 650 SH Sole 01 650 HARRIS CORP DEL 413875105 15 300 SH Sole 01 300 HARSCO CORP 415864107 4 100 SH Sole 01 100 HAUPPAGUE DIGITAL 419131107 3 1400 SH Sole 01 1400 HECLA MINING CO 422704106 254 28000 SH Sole 01 28000 HEINZ H J CO 423074103 28 580 SH Sole 01 580 HEWLETT-PACKARD CO DE 428236103 0 10 SH Sole 01 10 HITACHI ADR-EACH CNV INTO 10 ORD NPV 433578507 8 150 SH Sole 01 150 HMS HOLDINGS CORP 40425J101 3 33 SH Sole 01 33 HOLLY CORP PAR $0.01 435758305 9 150 SH Sole 01 150 HOME DEPOT INC 437076102 96 2579 SH Sole 01 2579 HONEYWELL INTL INC 438516106 30 500 SH Sole 01 500 HOSPITALITY PROPERTIES TRUST 44106M102 12 500 SH Sole 01 500 HUB GROUP INC CL A 443320106 7 200 SH Sole 01 200 HUDSON CITY BANCORP INC 443683107 14 1400 SH Sole 01 1400 HUGHES COMMUNICATION INC COM 444398101 7 125 SH Sole 01 125 ILLINOIS TOOL WORKS 452308109 71 1327 SH Sole 01 1327 IMAX CORP COM STK NPV 45245E109 5 150 SH Sole 01 150 IMPAX LABORATORIES INC 45256B101 3 107 SH Sole 01 107 INFOSPACE INC COM PAR $.0001 45678T300 2 198 SH Sole 01 198 INTEGRATED DEVICE TECH INC 458118106 2 300 SH Sole 01 300 INTEGRYS ENERGY GROUP INC 45822P105 5 100 SH Sole 01 100 INTEL CORP 458140100 25 1245 SH Sole 01 1245 INTERNET CAP GROUP INC 46059C205 0 32 SH Sole 01 32 INTERPUBLIC GROUP COS INC DEL 460690100 2 155 SH Sole 01 155 INTL BUSINESS MACH 459200101 67 409 SH Sole 01 409 IRSA INVERSIONES Y REPRESENTACIONES 450047204 2 150 SH Sole 01 150 ISHARES BARCLAYS TREAS INFLATION 464287176 202 1852 SH Sole 01 1852 ISHARES BARCLAYS U S AGGREGATE BD FD 464287226 49 463 SH Sole 01 463 ISHARES BARCLAYS 7-10 YEAR TREASURY 464287440 6486 69735 SH Sole 01 69735 ISHARES BARCLAYS MBS BOND FD 464288588 209 1988 SH Sole 01 1988 ISHARES BARCLAYS INTERMEDIATE CR BD 464288638 23041 218834 SH Sole 01 218834 ISHARES BARCLAYS 10-20 YR TREAS BD FD 464288653 3424 30624 SH Sole 01 30624 ISHARES BARCLAYS SHORT TREAS BD FD 464288679 252 2285 SH Sole 01 2285 ISHARES BARCLAYS 1-3 YR CD BD FD 464288646 5943 56899 SH Sole 01 56899 ISHARES GOLD TRUST ISHARES 464285105 123 8808 SH Sole 01 8808 ISHARES IBOXX $ INVESTOP INVESTMENT 464287242 310 2861 SH Sole 01 2861 ISHARES INC MCSI BRIC INDEX FD 464286657 68 1353 SH Sole 01 1353 ISHARES INC MSCI BRAZIL INDEX 464286400 6 83 SH Sole 01 83 ISHARES INC MSCI EMERGING MKTS 464286566 8 219 SH Sole 01 219 ISHARES INC MSCI UNITED KINGDOM INDEX 464286699 1 50 SH Sole 01 50 ISHARES INC MSCI GERMANY INDEX FD 464286806 1 50 SH Sole 01 50 ISHARES INC MSCI JAPAN INDEX FD 464286848 90 8683 SH Sole 01 8683 ISHARES INC MSCI HONG KONG INDEX FD 464286871 3 150 SH Sole 01 150 ISHARES NASDAQ BIOTECHNOLOGY INDEX 464287556 73 727 SH Sole 01 727 ISHARES S&P NORTH AMERICAN NATURAL 464287374 10286 219545 SH Sole 01 219545 ISHARES SILVER TR ISHARES 46428Q109 7 185 SH Sole 01 185 ISHARES TR MSCI EMERGING MKTS 464287234 16 336 SH Sole 01 336 ISHARES TR MSCI EAFE INDEX FD 464287465 346 5765 SH Sole 01 5765 ISHARES TR RUSSELL 2000 VALUE 464287630 2645 35094 SH Sole 01 35094 ISHARES TR DOW JONES SELECT DIVID INDEX 464287168 26 500 SH Sole 01 500 ISHARES TR DOW JONES EPAC SELECT 464288448 103 2884 SH Sole 01 2884 ISHARES TR DOW JONES US REGIONAL BKS 464288778 77 3154 SH Sole 01 3154 ISHARES TR FTSE XINHUA HK CHINA 25 464287184 7 147 SH Sole 01 147 ISHARES TR IBOXX $ HIGH YIELD CORP 464288513 6 61 SH Sole 01 61 ISHARES TR JPMORGAN USD EMERGING MKTS BD 464288281 113 1064 SH Sole 01 1064 ISHARES TR RUSSELL MIDCAP VALUE INDEX 464287473 13606 282526 SH Sole 01 282526 ISHARES TR RUSSELL MIDCAP GROWTH INDEX 464287481 11655 191341 SH Sole 01 191341 ISHARES TR RUSSELL MIDCAP INDEX FD 464287499 520 4767 SH Sole 01 4767 ISHARES TR RUSSELL 1000 VALUE INDEX FD 464287598 16496 240228 SH Sole 01 240228 ISHARES TR RUSSELL 1000 GROWTH INDEX FD 464287614 15999 264569 SH Sole 01 264569 ISHARES TR RUSSELL 2000 GROWTH INDEX FD 464287648 2905 30472 SH Sole 01 30472 ISHARES TR RUSSELL 2000 INDEX FD 464287655 13 157 SH Sole 01 157 ISHARES TR S&P MIDCAP 400 INDEX FD 464287507 896 9075 SH Sole 01 9075 ISHARES TR S&P MIDCAP 400/GROWTH 464287606 24 219 SH Sole 01 219 ISHARES TR S&P MIDCAP 400/ 464287705 12 145 SH Sole 01 145 ISHARES TR S&P GLOBAL UTILITIES 464288711 102 2238 SH Sole 01 2238 ISHARES TR S&P 100 INDEX FUND 464287101 85 1427 SH Sole 01 1427 ISHARES TR S&P 500 INDEX FD 464287200 7 50 SH Sole 01 50 ISHARES TR S&P U S PFD STK INDEX FD 464288687 540 13616 SH Sole 01 13616 ISLE OF CAPRIS CASINOS INC 464592104 4 450 SH Sole 01 450 JETBLUE AWYS CORP 477143101 3 550 SH Sole 01 550 JOY GLOBAL INC 481165108 10 100 SH Sole 01 100 JPMORGAN CHASE & CO 46625H100 59 1272 SH Sole 01 1272 JPMORGAN CHASE & CO ALERIAN MLP INDEX 46625H365 571 15040 SH Sole 01 15040 JUNIPER NETWORKS INC 48203R104 9 225 SH Sole 01 225 KAYNE ANDERSON ENRGY TTL RT COM 48660P104 335 10602 SH Sole 01 10602 KBW INC COM 482423100 3 100 SH Sole 01 100 KEY ENERGY SERVICES INC 492914106 4 250 SH Sole 01 250 KOHLS CORP 500255104 3 50 SH Sole 01 50 KRISPY KREME DOUGHNUTS INC 501014104 4 600 SH Sole 01 600 LADENBURG THALMANN FINL SVCS INC 50575Q102 85 73650 SH Sole 01 73650 LANCASTER COLONY CORP 513847103 2 37 SH Sole 01 37 LAZARD LTD COM CLASS A USD0.01 G54050102 2 50 SH Sole 01 50 LENDER PROCESSING SVCS INC COM 52602E102 1 35 SH Sole 01 35 LIBERTY GLOBAL INC COM SER A 530555101 2 50 SH Sole 01 50 LIBERTY MEDIA HLDG CORP INTERACTIVE COM 53071M104 9 562 SH Sole 01 562 LOEWS CORP 540424108 32 750 SH Sole 01 750 LONGTOP FINANCIAL TECHNOLOGIES LTD 54318P108 1 32 SH Sole 01 32 LSI CORP 502161102 0 10 SH Sole 01 10 MACK CALI REALTY CORP 554489104 14 400 SH Sole 01 400 MADISON SQUARE GARDEN INC CL A 55826P100 4 162 SH Sole 01 162 MARKET VECTORS ETF TR RVE HARD ASSETS 57060U795 30 714 SH Sole 01 714 MARKET VECTORS ETF TR COAL ETF 57060U837 31 605 SH Sole 01 605 MARRIOTT INTL INC CL A 571903202 2 50 SH Sole 01 50 MASSMUTUAL CORP INVS 576292106 65 4000 SH Sole 01 4000 MATTEL INC 577081102 5 200 SH Sole 01 200 MCDONALDS CORP 580135101 49 640 SH Sole 01 640 MEDCO HEALTH SOLUTIONS INC 58405U102 3 48 SH Sole 01 48 MEDICIS PHARMACEUTICAL CORP 584690309 2 76 SH Sole 01 76 MEDIFAST INC 58470H101 4 200 SH Sole 01 200 MERCK & CO INC NEW COM 58933Y105 30 900 SH Sole 01 900 METLIFE INC COM 59156R108 48 1071 SH Sole 01 1071 MGM MIRAGE 552953101 3 200 SH Sole 01 200 MICROSOFT CORP 594918104 10482 412832 SH Sole 01 412832 MICROSTRATEGY INC CL A NEW 594972408 2 12 SH Sole 01 12 MONSANTO CO NEW 61166W101 7 102 SH Sole 01 102 MORGAN STANLEY 617446448 14 525 SH Sole 01 525 MULTI FINELINE ELECTRONIX INC 62541B101 1 39 SH Sole 01 39 MVC CAP INC 553829102 1 100 SH Sole 01 100 NATIONAL PRESTO INDS INC 637215104 2 17 SH Sole 01 17 NATUS MED INC DEL 639050103 3 200 SH Sole 01 200 NAVISTAR INTL CORP 63934E108 2 25 SH Sole 01 25 NETEASE.COM INC ADR EACH REPR 25 COM STK 64110W102 3 60 SH Sole 01 60 NETFLIX COM INC COM 64110L106 8 32 SH Sole 01 32 NEUTRAL TANDEM INC COM 64128B108 1 53 SH Sole 01 53 NEWS CORP CL A 65248E104 0 8 SH Sole 01 8 NEWTEK BUSINESS SERVICES INC 652526104 140 85500 SH Sole 01 85500 NII HLDGS INC NEW 62913F201 4 100 SH Sole 01 100 NOKIA OYJ ADR EACH REPR 1 ORD NPV 654902204 0 50 SH Sole 01 50 NORFOLK SOUTHERN CRP 655844108 21 300 SH Sole 01 300 NORTHRIM BANCORP INC 666762109 2 105 SH Sole 01 105 NUVEEN INSD TAX FREE ADVANTAGE MUN FD 670657105 26 2000 SH Sole 01 2000 NUVEEN MORTGAGE OPPORTUNITY TRM FD2 67074R100 159 6500 SH Sole 01 6500 NUVEEN MTG OPPORTUNITY TERM FD 670735109 43 1710 SH Sole 01 1710 NUVEEN MUN VALUE FD 670928100 18 2000 SH Sole 01 2000 O CHARLEYS INC 670823103 1 200 SH Sole 01 200 OCCIDENTAL PETROLEUM CORP 674599105 42 400 SH Sole 01 400 OCEANEERING INTL INC 675232102 9 100 SH Sole 01 100 ON SEMICONDUCTOR CRP 682189105 49 5000 SH Sole 01 5000 ONE LIBERTY PPTYS INC FRMLY ONE 682406103 180 11968 SH Sole 01 11968 ORACLE CORPORATION 68389X105 65 1950 SH Sole 01 1950 ORCKIT COMMUNICATIONS NPV M7531S206 2 500 SH Sole 01 500 ORIENT EXPRESS HOTELS LTD CLASS A G67743107 1 75 SH Sole 01 75 ORMAT TECHNOLOGIES INC 686688102 3 100 SH Sole 01 100 PACIFIC ETHANOL INC 69423U107 1 850 SH Sole 01 850 PARKER HANNIFIN CORP 701094104 83 879 SH Sole 01 879 PARTNERRE COM STK USD1 G6852T105 2 19 SH Sole 01 19 PEGASYSTEMS INC 705573103 2 56 SH Sole 01 56 PENNANTPARK INVT CORP 708062104 431 36169 SH Sole 01 36169 PENNEY J C CO INC 708160106 15 430 SH Sole 01 430 PEP BOYS MANNY MOE & JACK 713278109 3 250 SH Sole 01 250 PEPSICO INC 713448108 15 236 SH Sole 01 236 PETROLEO BRASILEIRO SA PETROBRAS ADS 71654V408 37 906 SH Sole 01 906 PFIZER INC 717081103 176 8664 SH Sole 01 8664 PHH CORP COM NEW 693320202 2 95 SH Sole 01 95 PHILIP MORRIS INTL INC COM 718172109 39 600 SH Sole 01 600 PMC COML TR SH BEN INT 693434102 6 740 SH Sole 01 740 POWERSHARES ETF TR II EMERGING MKTS 73937B209 28 524 SH Sole 01 524 POWERSHARES EXCHANGE TRADED FD TR DYNAMIC 73935X278 15 500 SH Sole 01 500 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936G308 185 8750 SH Sole 01 8750 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T524 93 3387 SH Sole 01 3387 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T565 485 33800 SH Sole 01 33800 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T573 4028 152454 SH Sole 01 152454 POWERSHARES INDIA EXCHANGE TRADED FD 73935L100 6 269 SH Sole 01 269 POWERSHARES QQQ TR UNIT SER 1 73935A104 318 5543 SH Sole 01 5543 PRICELINE COM INC COM NEW 741503403 5 9 SH Sole 01 9 PRIVATE MEDIA GROUP INC COM NEW 74266R302 1 816 SH Sole 01 816 PROCTER & GAMBLE CO 742718109 291 4717 SH Sole 01 4717 PROSHARES SHORT DOW 30 PROSHARES 74347R701 4 100 SH Sole 01 100 PROSHARES TR PROSHARES ULTRASHORT 74347R883 3 125 SH Sole 01 125 PROSHARES ULTRA UTILITIES 74347R685 0 1 SH Sole 01 1 PROSHARES ULTRA DOW 30 PROSHARES 74347R305 6 100 SH Sole 01 100 PROSHARES ULTRA SHORT 30 FD 74347R867 2 125 SH Sole 01 125 PROVIDENT NEW YORK BANCORP COM 744028101 1 100 SH Sole 01 100 PUBLIC STORAGE COM 74460D109 14 127 SH Sole 01 127 PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 15 2554 SH Sole 01 2554 PUTNAM PREMIER INC TR SH BEN INT 746853100 32 5011 SH Sole 01 5011 QUALCOMM INC 747525103 66 1200 SH Sole 01 1200 QWEST COMM INTL INC 749121109 1 150 SH Sole 01 150 RADIOSHACK CORP 750438103 8 500 SH Sole 01 500 RAYONIER INC 754907103 44 700 SH Sole 01 700 RAYTHEON CO COM NEW ISIN #US7551115071 755111507 25 500 SH Sole 01 500 REALNETWORKS INC 75605L104 3 900 SH Sole 01 900 RENAISSANCERE HOLDINGS LTD COM STK G7496G103 2 34 SH Sole 01 34 RESEARCH IN MOTION COM NPV 760975102 6 100 SH Sole 01 100 RIO TINTO SPRD ADR-CNV INTO 4 767204100 4 50 SH Sole 01 50 RITE AID CORP 767754104 1 600 SH Sole 01 600 RUBICON MINERALS CORP COM NPV 780911103 12 2350 SH Sole 01 2350 RXI PHARMACEUTICALS CORP COM 74978T109 5 3298 SH Sole 01 3298 RYDER SYSTEM INC 783549108 5 100 SH Sole 01 100 S1 CORP 78463B101 1 200 SH Sole 01 200 SAFEGUARD SCIENTIFICS INC COM 786449207 4 200 SH Sole 01 200 SANDISK CORP 80004C101 7 150 SH Sole 01 150 SARA LEE CORP 803111103 1 50 SH Sole 01 50 SCHLUMBERGER LIMITED COM STK USD0.01 806857108 247 2645 SH Sole 01 2645 SECTOR SPDR TR SHS BEN INT ENERGY 81369Y506 40 500 SH Sole 01 500 SECTOR SPDR TR SHS BEN INT FINANCIAL 81369Y605 9 550 SH Sole 01 550 SELECT SECTOR SPDR TR HEALTH CARE 81369Y209 330 9979 SH Sole 01 9979 SEMPRA ENERGY 816851109 27 500 SH Sole 01 500 SIGNATURE BK NEW YORK N Y 82669G104 8 150 SH Sole 01 150 SIRIUS XM RADIO INC COM 82967N108 3 1550 SH Sole 01 1550 SMART MODULAR TECHNOLOGIES WWH INC G82245104 2 250 SH Sole 01 250 SMITH & WESSON HLDG CORP 831756101 1 188 SH Sole 01 188 SOLAR CAP LTD COM 83413U100 1421 59488 SH Sole 01 59488 SONUS NETWORKS INC 835916107 3 800 SH Sole 01 800 SOURCEFIRE INC 83616T108 3 99 SH Sole 01 99 SOUTHWEST AIRLNS CO 844741108 2 150 SH Sole 01 150 SPDR INDEX SHS FDS DJ EURO STOXX 50 78463X202 2 50 SH Sole 01 50 SPDR INDEX SHS FDS S&P EMERGING LATIN 78463X707 7 76 SH Sole 01 76 SPDR INDEX SHS FDS SPDR S&P INTL 78463X731 7 239 SH Sole 01 239 SPDR S&P 500 ETF TRUST UNIT SER 1 S&P 78462F103 69 523 SH Sole 01 523 SPDR SER TR S&P DIVID ETF 78464A763 0 1 SH Sole 01 1 SPDR SER TR BARCLAYS CAP HIGH YIELD BD 78464A417 119 2940 SH Sole 01 2940 SPDR SER TR LEHMAN SHORT TERM INTL 78464A334 34 871 SH Sole 01 871 SPDR SER TR LEHMAN INTL TREAS BD ETF 78464A516 7340 122673 SH Sole 01 122673 SPECTRA ENERGY CORP COM 847560109 14 500 SH Sole 01 500 SPRINT NEXTEL CORP FON SHS 852061100 0 1 SH Sole 01 1 STARWOOD HOTELS & RESORTS WORLDWIDE 85590A401 1 25 SH Sole 01 25 STATE BANCORP INC NY 855716106 3 250 SH Sole 01 250 STEC INC 784774101 1 57 SH Sole 01 57 STURM RUGER & CO INC 864159108 2 90 SH Sole 01 90 SWIFT ENERGY CO 870738101 2 50 SH Sole 01 50 SXC HEALTH SOLUTIONS CORP COM NPV 78505P100 2 39 SH Sole 01 39 SYSTEMAX INC 871851101 2 150 SH Sole 01 150 TAKE-TWO INTERACTIVE SOFTWRE 874054109 0 8 SH Sole 01 8 TARGET CORP 87612E106 22 445 SH Sole 01 445 TECH DATA CORP 878237106 2 35 SH Sole 01 35 TESSERA TECHNOLOGIES INC COM 88164L100 1 65 SH Sole 01 65 TEVA PHARMACEUTICAL INDUSTRIES ADR-EACH 881624209 23 463 SH Sole 01 463 TEXAS INSTRUMENTS INC 882508104 2 50 SH Sole 01 50 TEXTRON INC 883203101 29 1065 SH Sole 01 1065 THERMO FISHER SCIENTIFIC INC 883556102 32 580 SH Sole 01 580 THOMSON-REUTERS CO COM NPV 884903105 3 66 SH Sole 01 66 TIME WARNER CABLE INC COM 88732J207 69 974 SH Sole 01 974 TIME WARNER INC NEW COM NEW 887317303 162 4536 SH Sole 01 4536 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 454 11299 SH Sole 01 11299 TRANSDIGM GROUP INC COM 893641100 2 23 SH Sole 01 23 TRANSOCEAN LIMITED COM CHF15 H8817H100 8 102 SH Sole 01 102 TWO HBRS INVT CORP WT EXP 11/07/2013 90187B119 2 6068 SH Sole 01 6068 TYCO INTERNATIONAL LTD(SWITZERLAND) COM H89128104 18 400 SH Sole 01 400 TYLER TECHNOLOGIES INC 902252105 2 75 SH Sole 01 75 UNILEVER NV EUR0.16(NEW YORK 904784709 28 900 SH Sole 01 900 UNION PACIFIC CORP 907818108 7 70 SH Sole 01 70 UNITED PARCEL SVC INC CL B 911312106 9 120 SH Sole 01 120 UNITED STATES STEEL CORP 912909108 11 200 SH Sole 01 200 UNITED TECHNOLOGIES CORP 913017109 13 150 SH Sole 01 150 UNITEDHEALTH GROUP 91324P102 22 480 SH Sole 01 480 VAALCO ENERGY INC COM NEW 91851C201 7 900 SH Sole 01 900 VAIL RESORTS INC 91879Q109 16 325 SH Sole 01 325 VALLEY NATL BANCORP 919794107 0 5 SH Sole 01 5 VANGUARD EMERGING MKTS VIPERS 922042858 203 4139 SH Sole 01 4139 VANGUARD INDEX FDS VANGUARD REIT ETF 922908553 2 35 SH Sole 01 35 VANGUARD INDEX FDS VANGUARD LARGE CAP 922908637 2060 33905 SH Sole 01 33905 VANGUARD INDEX FDS VANGUARD SMALL CAP 922908751 8 105 SH Sole 01 105 VANGUARD INDEX FDS VANGUARD TOTAL STK 922908769 12 175 SH Sole 01 175 VANGUARD INTL EQUITY INDEX FD INC 922042866 332 5951 SH Sole 01 5951 VANGUARD SECTOR INDEX FDS VANGUARD 92204A504 35 583 SH Sole 01 583 VANGUARD SPECIALIZED PORTFOLIOS DIV 921908844 236 4244 SH Sole 01 4244 VERIZON COMMUNICATIONS 92343V104 124 3220 SH Sole 01 3220 VERSAR INC 925297103 2 500 SH Sole 01 500 VIACOM INC NEW CL B 92553P201 49 1050 SH Sole 01 1050 VICON INDS INC 925811101 2 400 SH Sole 01 400 VISTAPRINT N V SHS N93540107 2 34 SH Sole 01 34 VODAFONE GROUP SPON ADR REP 10 ORD 92857W209 14 480 SH Sole 01 480 WAL-MART STORES INC 931142103 8 149 SH Sole 01 149 WATSCO INC COMMON CL A RECLASSIFIED AS 942622200 4 60 SH Sole 01 60 WEBMD HEALTH CORP CL A 94770V102 2 44 SH Sole 01 44 WELLS FARGO & CO NEW 949746101 38 1200 SH Sole 01 1200 WENDYS ARBYS GROUP INC COM 950587105 8 1551 SH Sole 01 1551 WEST MARINE INC 954235107 9 900 SH Sole 01 900 WESTERN INTER MUNI FD INC COM 958435109 9 925 SH Sole 01 925 WILLIAMS COS INC 969457100 2 50 SH Sole 01 50 WISDOMTREE EMERG MKTS EQUITY INCOME 97717W315 11859 194060 SH Sole 01 194060 WISDOMTREE TR EMERGING MKTS 97717W281 54 1011 SH Sole 01 1011 WISDOMTREE TR DEFA FD 97717W703 14597 293636 SH Sole 01 293636 WISDOMTREE TR INTL SMALLCAP DIVID FD 97717W760 50 935 SH Sole 01 935 WRIGHT EXPRESS CORP 98233Q105 3 66 SH Sole 01 66 WYNDHAM WORLDWIDE CORP COM 98310W108 12 380 SH Sole 01 380 YAHOO INC 984332106 8 450 SH Sole 01 450 YOUKU COM INC SPONSORED ADR 98742U100 6 128 SH Sole 01 128 ZWEIG TOTAL RETURN FD INC 989837109 0 2 SH Sole 01 2 </Table> </TEXT> </DOCUMENT> </SEC-DOCUMENT>