President & CCO

0000910472-14-004620.txt : 20141021 0000910472-14-004620.hdr.sgml : 20141021 20141021094318 ACCESSION NUMBER: 0000910472-14-004620 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141021 DATE AS OF CHANGE: 20141021 EFFECTIVENESS DATE: 20141021 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tortoise Investment Management, LLC CENTRAL INDEX KEY: 0001599511 IRS NUMBER: 201723529 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15827 FILM NUMBER: 141165041 BUSINESS ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 BUSINESS PHONE: 914-686-0024 MAIL ADDRESS: STREET 1: 239 CENTRAL AVENUE STREET 2: 2ND FLOOR CITY: WHITE PLAINS STATE: NY ZIP: 10606 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599511 XXXXXXXX 09-30-2014 09-30-2014 Tortoise Investment Management, LLC

239 CENTRAL AVENUE 2ND FLOOR WHITE PLAINS NY 10606

13F HOLDINGS REPORT 028-15827 N Ian Yankwitt President & CCO 914-686-0024 /s/ Ian Yankwitt White Plains NY 10-16-2014 0 420 238423 false INFORMATION TABLE 2 aci_13f.xml SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 4276 25141 SH SOLE 0 0 0 25141 ISHARES MSCI JAPAN ETF 464286848 12 1000 SH SOLE 0 0 0 1000 ISHARES TR U.S. UTILITS ETF 464287697 8 77 SH SOLE 0 0 0 77 ISHARES TR CORE S&P MCP ETF 464287507 315 2301 SH SOLE 0 0 0 2301 ISHARES TR S&P MC 400VL ETF 464287705 36 300 SH SOLE 0 0 0 300 ISHARES TR S&P MC 400GR ETF 464287606 19 124 SH SOLE 0 0 0 124 ISHARES TR CORE S&P SCP ETF 464287804 3683 35308 SH SOLE 0 0 0 35308 ISHARES TR SP SMCP600VL ETF 464287879 2804 26138 SH SOLE 0 0 0 26138 ISHARES TR S&P 500 VAL ETF 464287408 2 25 SH SOLE 0 0 0 25 ISHARES TR CORE S&P500 ETF 464287200 33783 170397 SH SOLE 0 0 0 170397 ISHARES TR S&P 500 GRWT ETF 464287309 13 120 SH SOLE 0 0 0 120 ISHARES TR RUS 1000 ETF 464287622 6794 61841 SH SOLE 0 0 0 61841 ISHARES TR RUS 1000 VAL ETF 464287598 808 8069 SH SOLE 0 0 0 8069 ISHARES TR RUS 1000 GRW ETF 464287614 46 500 SH SOLE 0 0 0 500 ISHARES TR RUSSELL 2000 ETF 464287655 918 8398 SH SOLE 0 0 0 8398 ISHARES TR RUSSELL 3000 ETF 464287689 93 800 SH SOLE 0 0 0 800 ISHARES TR U.S. REAL ES ETF 464287739 216 3115 SH SOLE 0 0 0 3115 ISHARES TR DOW JONES US ETF 464287846 51 516 SH SOLE 0 0 0 516 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 34 137 SH SOLE 0 0 0 137 SPDR S&P 500 ETF TR TR UNIT 78462F103 9905 50274 SH SOLE 0 0 0 50274 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 210 5000 SH SOLE 0 0 0 5000 AMERICAN INTL GROUP INC COM NEW 026874784 6 105 SH SOLE 0 0 0 105 AMAZON COM INC COM 023135106 7 21 SH SOLE 0 0 0 21 BRISTOL MYERS SQUIBB CO COM 110122108 132 2572 SH SOLE 0 0 0 2572 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2779 20118 SH SOLE 0 0 0 20118 BOEING CO COM 097023105 687 5396 SH SOLE 0 0 0 5396 NUVEEN CALIF MUN VALUE FD COM 67062C107 62 6000 SH SOLE 0 0 0 6000 NORTHEAST UTILS COM 664397106 70 1574 SH SOLE 0 0 0 1574 UQM TECHNOLOGIES INC COM 903213106 0 200 SH SOLE 0 0 0 200 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 148 1499 SH SOLE 0 0 0 1499 AMGEN INC COM 031162100 155 1100 SH SOLE 0 0 0 1100 ABBOTT LABS COM 002824100 59 1426 SH SOLE 0 0 0 1426 ANADARKO PETE CORP COM 032511107 71 700 SH SOLE 0 0 0 700 BP PLC SPONSORED ADR 055622104 0 2 SH SOLE 0 0 0 2 ALTRIA GROUP INC COM 02209S103 69 1500 SH SOLE 0 0 0 1500 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 8 182 SH SOLE 0 0 0 182 INTEL CORP COM 458140100 8 224 SH SOLE 0 0 0 224 ILLINOIS TOOL WKS INC COM 452308109 93 1100 SH SOLE 0 0 0 1100 DU PONT E I DE NEMOURS & CO COM 263534109 47 657 SH SOLE 0 0 0 657 QUALCOMM INC COM 747525103 13 175 SH SOLE 0 0 0 175 DISNEY WALT CO COM DISNEY 254687106 142 1595 SH SOLE 0 0 0 1595 HONEYWELL INTL INC COM 438516106 99 1067 SH SOLE 0 0 0 1067 US BANCORP DEL COM NEW 902973304 121 2900 SH SOLE 0 0 0 2900 JOHNSON & JOHNSON COM 478160104 567 5320 SH SOLE 0 0 0 5320 MEDTRONIC INC COM 585055106 31 500 SH SOLE 0 0 0 500 PFIZER INC COM 717081103 82 2768 SH SOLE 0 0 0 2768 LOWES COS INC COM 548661107 3 50 SH SOLE 0 0 0 50 ISHARES TR MSCI EAFE ETF 464287465 4363 68038 SH SOLE 0 0 0 68038 AMERISOURCEBERGEN CORP COM 03073E105 46 600 SH SOLE 0 0 0 600 CHEVRON CORP NEW COM 166764100 285 2391 SH SOLE 0 0 0 2391 MICROSOFT CORP COM 594918104 146 3142 SH SOLE 0 0 0 3142 UNITED PARCEL SERVICE INC CL B 911312106 3 26 SH SOLE 0 0 0 26 AT&T INC COM 00206R102 86 2433 SH SOLE 0 0 0 2433 PRUDENTIAL FINL INC COM 744320102 5 53 SH SOLE 0 0 0 53 BB&T CORP COM 054937107 74 2000 SH SOLE 0 0 0 2000 NCR CORP NEW COM 62886E108 1 22 SH SOLE 0 0 0 22 CITIGROUP INC COM NEW 172967424 54 1045 SH SOLE 0 0 0 1045 CA INC COM 12673P105 15 528 SH SOLE 0 0 0 528 CISCO SYS INC COM 17275R102 1 40 SH SOLE 0 0 0 40 DNP SELECT INCOME FD COM 23325P104 10 1000 SH SOLE 0 0 0 1000 INTERNATIONAL BUSINESS MACHS COM 459200101 1276 6720 SH SOLE 0 0 0 6720 COCA COLA CO COM 191216100 175 4100 SH SOLE 0 0 0 4100 PEPSICO INC COM 713448108 602 6464 SH SOLE 0 0 0 6464 TYCO INTERNATIONAL LTD SHS H89128104 111 2491 SH SOLE 0 0 0 2491 VERIZON COMMUNICATIONS INC COM 92343V104 40 797 SH SOLE 0 0 0 797 ISHARES TR RUS MID-CAP ETF 464287499 135 850 SH SOLE 0 0 0 850 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 15 166 SH SOLE 0 0 0 166 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 23 510 SH SOLE 0 0 0 510 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 10 150 SH SOLE 0 0 0 150 TIME WARNER INC COM NEW 887317303 4 50 SH SOLE 0 0 0 50 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 237 3086 SH SOLE 0 0 0 3086 WALGREEN CO COM 931422109 142 2400 SH SOLE 0 0 0 2400 DEERE & CO COM 244199105 8 95 SH SOLE 0 0 0 95 BANK AMER CORP COM 060505104 63 3700 SH SOLE 0 0 0 3700 STARBUCKS CORP COM 855244109 39 516 SH SOLE 0 0 0 516 EXXON MOBIL CORP COM 30231G102 931 9894 SH SOLE 0 0 0 9894 ALCATEL-LUCENT SPONSORED ADR 013904305 0 141 SH SOLE 0 0 0 141 WAL-MART STORES INC COM 931142103 498 6516 SH SOLE 0 0 0 6516 UNION PAC CORP COM 907818108 479 4416 SH SOLE 0 0 0 4416 CARDINAL HEALTH INC COM 14149Y108 61 818 SH SOLE 0 0 0 818 TOTAL S A SPONSORED ADR 89151E109 32 500 SH SOLE 0 0 0 500 COLGATE PALMOLIVE CO COM 194162103 116 1779 SH SOLE 0 0 0 1779 COMCAST CORP NEW CL A SPL 20030N200 102 1909 SH SOLE 0 0 0 1909 COSTCO WHSL CORP NEW COM 22160K105 67 535 SH SOLE 0 0 0 535 LILLY ELI & CO COM 532457108 38 590 SH SOLE 0 0 0 590 CVS HEALTH CORP COM 126650100 48 600 SH SOLE 0 0 0 600 STATE STR CORP COM 857477103 7 90 SH SOLE 0 0 0 90 DANAHER CORP DEL COM 235851102 76 1000 SH SOLE 0 0 0 1000 MERCK & CO INC NEW COM 58933Y105 573 9665 SH SOLE 0 0 0 9665 NABORS INDUSTRIES LTD SHS G6359F103 1 28 SH SOLE 0 0 0 28 RAYTHEON CO COM NEW 755111507 10 100 SH SOLE 0 0 0 100 PROCTER & GAMBLE CO COM 742718109 462 5515 SH SOLE 0 0 0 5515 GENERAL ELECTRIC CO COM 369604103 279 10890 SH SOLE 0 0 0 10890 KIMBERLY CLARK CORP COM 494368103 29 265 SH SOLE 0 0 0 265 GILEAD SCIENCES INC COM 375558103 300 2815 SH SOLE 0 0 0 2815 HOME DEPOT INC COM 437076102 134 1465 SH SOLE 0 0 0 1465 MCDONALDS CORP COM 580135101 30 316 SH SOLE 0 0 0 316 JPMORGAN CHASE & CO COM 46625H100 42 700 SH SOLE 0 0 0 700 LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 0 4 SH SOLE 0 0 0 4 MONDELEZ INTL INC CL A 609207105 43 1241 SH SOLE 0 0 0 1241 ABERDEEN ASIA PACIFIC INCOM COM 003009107 7840 1328788 SH SOLE 0 0 0 1328788 WILLIAMS COS INC DEL COM 969457100 12 220 SH SOLE 0 0 0 220 WELLS FARGO & CO NEW COM 949746101 10 200 SH SOLE 0 0 0 200 ISHARES TR 7-10 Y TR BD ETF 464287440 238 2296 SH SOLE 0 0 0 2296 ISHARES TR IBOXX INV CP ETF 464287242 112 950 SH SOLE 0 0 0 950 MONSANTO CO NEW COM 61166W101 56 498 SH SOLE 0 0 0 498 PRAXAIR INC COM 74005P104 103 800 SH SOLE 0 0 0 800 FORD MTR CO DEL COM PAR $0.01 345370860 24 1605 SH SOLE 0 0 0 1605 UNITEDHEALTH GROUP INC COM 91324P102 549 6365 SH SOLE 0 0 0 6365 ZIMMER HLDGS INC COM 98956P102 38 376 SH SOLE 0 0 0 376 WEATHERFORD INTL PLC ORD SHS G48833100 10 500 SH SOLE 0 0 0 500 UNITED TECHNOLOGIES CORP COM 913017109 154 1454 SH SOLE 0 0 0 1454 3M CO COM 88579Y101 130 915 SH SOLE 0 0 0 915 COMCAST CORP NEW CL A 20030N101 21 393 SH SOLE 0 0 0 393 VANGUARD INDEX FDS TOTAL STK MKT 922908769 190 1876 SH SOLE 0 0 0 1876 PENNEY J C INC COM 708160106 4 375 SH SOLE 0 0 0 375 NORFOLK SOUTHERN CORP COM 655844108 100 900 SH SOLE 0 0 0 900 NEXTERA ENERGY INC COM 65339F101 19 200 SH SOLE 0 0 0 200 CONOCOPHILLIPS COM 20825C104 77 1000 SH SOLE 0 0 0 1000 BOB EVANS FARMS INC COM 096761101 22 475 SH SOLE 0 0 0 475 APPLE INC COM 037833100 1008 10009 SH SOLE 0 0 0 10009 AMERICAN AIRLS GROUP INC COM 02376R102 1 30 SH SOLE 0 0 0 30 CAMPBELL SOUP CO COM 134429109 9 200 SH SOLE 0 0 0 200 UNITED STATES STL CORP NEW COM 912909108 0 7 SH SOLE 0 0 0 7 LIGHTBRIDGE CORP COM 53224K104 10 4234 SH SOLE 0 0 0 4234 CATERPILLAR INC DEL COM 149123101 13 130 SH SOLE 0 0 0 130 DUKE REALTY CORP COM NEW 264411505 21 1200 SH SOLE 0 0 0 1200 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 165 1400 SH SOLE 0 0 0 1400 KINDER MORGAN INC DEL COM 49456B101 1 14 SH SOLE 0 0 0 14 APACHE CORP COM 037411105 2 22 SH SOLE 0 0 0 22 ISHARES TR MSCI EMG MKT ETF 464287234 3551 85445 SH SOLE 0 0 0 85445 HEALTHSOUTH CORP COM NEW 421924309 1 25 SH SOLE 0 0 0 25 PPL CORP COM 69351T106 10 298 SH SOLE 0 0 0 298 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 74 885 SH SOLE 0 0 0 885 COACH INC COM 189754104 20 560 SH SOLE 0 0 0 560 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 129 1700 SH SOLE 0 0 0 1700 CELGENE CORP COM 151020104 85 900 SH SOLE 0 0 0 900 L BRANDS INC COM 501797104 918 13700 SH SOLE 0 0 0 13700 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 82 3250 SH SOLE 0 0 0 3250 ROSS STORES INC COM 778296103 83 1096 SH SOLE 0 0 0 1096 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 97 3600 SH SOLE 0 0 0 3600 AES CORP COM 00130H105 31 2200 SH SOLE 0 0 0 2200 AMERICAN EXPRESS CO COM 025816109 15 167 SH SOLE 0 0 0 167 CHUBB CORP COM 171232101 72 790 SH SOLE 0 0 0 790 ARCHER DANIELS MIDLAND CO COM 039483102 0 2 SH SOLE 0 0 0 2 CEMEX SAB DE CV SPON ADR NEW 151290889 0 6 SH SOLE 0 0 0 6 EDWARDS LIFESCIENCES CORP COM 28176E108 0 2 SH SOLE 0 0 0 2 KELLOGG CO COM 487836108 2 39 SH SOLE 0 0 0 39 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 56 600 SH SOLE 0 0 0 600 EXPRESS SCRIPTS HLDG CO COM 30219G108 89 1258 SH SOLE 0 0 0 1258 DOW CHEM CO COM 260543103 45 859 SH SOLE 0 0 0 859 EASTMAN CHEM CO COM 277432100 8 98 SH SOLE 0 0 0 98 LIONS GATE ENTMNT CORP COM NEW 535919203 3 100 SH SOLE 0 0 0 100 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1101 26388 SH SOLE 0 0 0 26388 BERKSHIRE HATHAWAY INC DEL CL A 084670108 621 3 SH SOLE 0 0 0 3 WESTERN DIGITAL CORP COM 958102105 136 1400 SH SOLE 0 0 0 1400 VALERO ENERGY CORP NEW COM 91913Y100 23 500 SH SOLE 0 0 0 500 ROCKWELL COLLINS INC COM 774341101 8 100 SH SOLE 0 0 0 100 PLUM CREEK TIMBER CO INC COM 729251108 1350 34605 SH SOLE 0 0 0 34605 PALL CORP COM 696429307 100 1200 SH SOLE 0 0 0 1200 PNM RES INC COM 69349H107 73 2934 SH SOLE 0 0 0 2934 NETFLIX INC COM 64110L106 2 4 SH SOLE 0 0 0 4 ENSCO PLC SHS CLASS A G3157S106 1 27 SH SOLE 0 0 0 27 FOREST OIL CORP COM PAR $0.01 346091705 0 31 SH SOLE 0 0 0 31 ISHARES TR CORE US AGGBD ET 464287226 300 2753 SH SOLE 0 0 0 2753 FRONTIER COMMUNICATIONS CORP COM 35906A108 3 400 SH SOLE 0 0 0 400 CARNIVAL CORP PAIRED CTF 143658300 4 100 SH SOLE 0 0 0 100 CLOROX CO DEL COM 189054109 86 900 SH SOLE 0 0 0 900 SCHEIN HENRY INC COM 806407102 108 931 SH SOLE 0 0 0 931 AIR PRODS & CHEMS INC COM 009158106 13 100 SH SOLE 0 0 0 100 LENNAR CORP CL A 526057104 51 1309 SH SOLE 0 0 0 1309 CONSOLIDATED EDISON INC COM 209115104 140 2463 SH SOLE 0 0 0 2463 REDWOOD TR INC COM 758075402 3 200 SH SOLE 0 0 0 200 SYNGENTA AG SPONSORED ADR 87160A100 32 500 SH SOLE 0 0 0 500 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 371 29050 SH SOLE 0 0 0 29050 TIFFANY & CO NEW COM 886547108 9 95 SH SOLE 0 0 0 95 FREEPORT-MCMORAN INC CL B 35671D857 7 200 SH SOLE 0 0 0 200 TRAVELERS COMPANIES INC COM 89417E109 3 33 SH SOLE 0 0 0 33 WEYERHAEUSER CO COM 962166104 162 5100 SH SOLE 0 0 0 5100 MASCO CORP COM 574599106 8 344 SH SOLE 0 0 0 344 NEW YORK CMNTY BANCORP INC COM 649445103 5 300 SH SOLE 0 0 0 300 LEUCADIA NATL CORP COM 527288104 14 600 SH SOLE 0 0 0 600 RAYONIER INC COM 754907103 6 201 SH SOLE 0 0 0 201 PRICE T ROWE GROUP INC COM 74144T108 314 4000 SH SOLE 0 0 0 4000 WEINGARTEN RLTY INVS SH BEN INT 948741103 7 225 SH SOLE 0 0 0 225 STANLEY BLACK & DECKER INC COM 854502101 130 1468 SH SOLE 0 0 0 1468 SNAP ON INC COM 833034101 113 936 SH SOLE 0 0 0 936 REYNOLDS AMERICAN INC COM 761713106 30 500 SH SOLE 0 0 0 500 HARSCO CORP COM 415864107 66 3100 SH SOLE 0 0 0 3100 CHURCH & DWIGHT INC COM 171340102 81 1153 SH SOLE 0 0 0 1153 SANOFI SPONSORED ADR 80105N105 28 500 SH SOLE 0 0 0 500 ALLERGAN INC COM 018490102 14 80 SH SOLE 0 0 0 80 BECTON DICKINSON & CO COM 075887109 159 1400 SH SOLE 0 0 0 1400 ENTERPRISE PRODS PARTNERS L COM 293792107 44 1100 SH SOLE 0 0 0 1100 METLIFE INC COM 59156R108 7 123 SH SOLE 0 0 0 123 COOPER COS INC COM NEW 216648402 11 68 SH SOLE 0 0 0 68 YUM BRANDS INC COM 988498101 109 1509 SH SOLE 0 0 0 1509 AMPHENOL CORP NEW CL A 032095101 116 1158 SH SOLE 0 0 0 1158 TRANSCANADA CORP COM 89353D107 215 4167 SH SOLE 0 0 0 4167 CHICAGO BRIDGE & IRON CO N V COM 167250109 48 825 SH SOLE 0 0 0 825 CONSOL ENERGY INC COM 20854P109 9 250 SH SOLE 0 0 0 250 GOOGLE INC CL A 38259P508 16 27 SH SOLE 0 0 0 27 STONE ENERGY CORP COM 861642106 1 30 SH SOLE 0 0 0 30 DIRECTV COM 25490A309 107 1234 SH SOLE 0 0 0 1234 DENTSPLY INTL INC NEW COM 249030107 68 1500 SH SOLE 0 0 0 1500 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 33 559 SH SOLE 0 0 0 559 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 5193 55157 SH SOLE 0 0 0 55157 VANGUARD INDEX FDS VALUE ETF 922908744 22 265 SH SOLE 0 0 0 265 VANGUARD INDEX FDS SM CP VAL ETF 922908611 129 1293 SH SOLE 0 0 0 1293 VANGUARD INDEX FDS REIT ETF 922908553 415 5780 SH SOLE 0 0 0 5780 CHENIERE ENERGY INC COM NEW 16411R208 4 52 SH SOLE 0 0 0 52 NATIONAL FUEL GAS CO N J COM 636180101 35 500 SH SOLE 0 0 0 500 NEWFIELD EXPL CO COM 651290108 4 100 SH SOLE 0 0 0 100 VANGUARD INDEX FDS SMALL CP ETF 922908751 89 808 SH SOLE 0 0 0 808 GIGAMEDIA LTD ORD Y2711Y104 0 200 SH SOLE 0 0 0 200 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 608 44110 SH SOLE 0 0 0 44110 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 35 600 SH SOLE 0 0 0 600 ACI WORLDWIDE INC COM 004498101 74 3918 SH SOLE 0 0 0 3918 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 15 180 SH SOLE 0 0 0 180 NUVEEN GA DIV ADV MUN FD 2 COM 67072B107 38 3000 SH SOLE 0 0 0 3000 ISHARES MICRO-CAP ETF 464288869 130 1872 SH SOLE 0 0 0 1872 WALTER ENERGY INC COM 93317Q105 0 39 SH SOLE 0 0 0 39 VIACOM INC NEW CL B 92553P201 1 11 SH SOLE 0 0 0 11 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 0 12 SH SOLE 0 0 0 12 VANGUARD WORLD FDS UTILITIES ETF 92204A876 91 1000 SH SOLE 0 0 0 1000 CRANE CO COM 224399105 63 1000 SH SOLE 0 0 0 1000 POTLATCH CORP NEW COM 737630103 203 5050 SH SOLE 0 0 0 5050 CBS CORP NEW CL B 124857202 1 11 SH SOLE 0 0 0 11 SPDR SERIES TRUST S&P DIVID ETF 78464A763 37 498 SH SOLE 0 0 0 498 MANITOWOC INC COM 563571108 1 45 SH SOLE 0 0 0 45 TEREX CORP NEW COM 880779103 10 300 SH SOLE 0 0 0 300 MAGELLAN PETE CORP COM 559091301 0 100 SH SOLE 0 0 0 100 BLACKROCK ENHANCED EQT DIV T COM 09251A104 0 14 SH SOLE 0 0 0 14 TEXAS ROADHOUSE INC COM 882681109 6 200 SH SOLE 0 0 0 200 COMPASS MINERALS INTL INC COM 20451N101 27 325 SH SOLE 0 0 0 325 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 300 22700 SH SOLE 0 0 0 22700 WESTERN ASSET INTM MUNI FD I COM 958435109 993 102283 SH SOLE 0 0 0 102283 FLOWSERVE CORP COM 34354P105 96 1364 SH SOLE 0 0 0 1364 NUVEEN NY DIVID ADVNTG MUN F COM 67066X107 5874 440675 SH SOLE 0 0 0 440675 NUVEEN DIV ADVANTAGE MUN FD COM 67070F100 1527 109650 SH SOLE 0 0 0 109650 NUVEEN MASS PREM INCOME MUN COM 67061E104 406 30603 SH SOLE 0 0 0 30603 HESS CORP COM 42809H107 75 800 SH SOLE 0 0 0 800 NUVEEN NJ INVT QUALITY MUN F COM 670971100 67 5000 SH SOLE 0 0 0 5000 NUVEEN NJ PREM INCOME MUN FD COM 67101N106 102 7500 SH SOLE 0 0 0 7500 EQUINIX INC COM NEW 29444U502 11 50 SH SOLE 0 0 0 50 WYNDHAM WORLDWIDE CORP COM 98310W108 115 1412 SH SOLE 0 0 0 1412 WISDOMTREE TR INTL SMCAP DIV 97717W760 1291 21809 SH SOLE 0 0 0 21809 BLACKROCK N J MUN INCOME TR SH BEN INT 09248J101 44 3000 SH SOLE 0 0 0 3000 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 27 430 SH SOLE 0 0 0 430 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 2 18 SH SOLE 0 0 0 18 WISDOMTREE TR DEFA FD 97717W703 157 3000 SH SOLE 0 0 0 3000 ISHARES TR CORE S&P TTL STK 464287150 43 479 SH SOLE 0 0 0 479 NUVEEN DIVID ADV MUN FD 3 COM SH BEN INT 67070X101 655 47888 SH SOLE 0 0 0 47888 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 1685 121548 SH SOLE 0 0 0 121548 VANGUARD INDEX FDS LARGE CAP ETF 922908637 399 4408 SH SOLE 0 0 0 4408 HEICO CORP NEW CL A 422806208 13 312 SH SOLE 0 0 0 312 GARTNER INC COM 366651107 120 1639 SH SOLE 0 0 0 1639 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 9 709 SH SOLE 0 0 0 709 ROCKWOOD HLDGS INC COM 774415103 11 150 SH SOLE 0 0 0 150 NUVEEN MD PREM INCOME MUN FD COM 67061Q107 3004 240150 SH SOLE 0 0 0 240150 NUVEEN NY PERFORM PLUS MUN F COM 67062R104 162 11600 SH SOLE 0 0 0 11600 NUVEEN NY SELECT TAX FREE PR SH BEN INT 67063V104 418 31135 SH SOLE 0 0 0 31135 PROSHARES TR PSHS ULSHT SP500 74347B300 7 300 SH SOLE 0 0 0 300 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 29 700 SH SOLE 0 0 0 700 NUVEEN CAL AMT-FREE MUN INC COM 670651108 463 33214 SH SOLE 0 0 0 33214 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 987 20049 SH SOLE 0 0 0 20049 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 9 103 SH SOLE 0 0 0 103 ISHARES IBOXX HI YD ETF 464288513 250 2717 SH SOLE 0 0 0 2717 ISHARES 1-3 YR CR BD ETF 464288646 155 1475 SH SOLE 0 0 0 1475 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 9 150 SH SOLE 0 0 0 150 SPDR SERIES TRUST SM CAP COMPLETE 78464A847 74 900 SH SOLE 0 0 0 900 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 26 321 SH SOLE 0 0 0 321 TRINA SOLAR LIMITED SPON ADR 89628E104 2 200 SH SOLE 0 0 0 200 SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 16 500 SH SOLE 0 0 0 500 ISHARES INTL SEL DIV ETF 464288448 196 5488 SH SOLE 0 0 0 5488 WISDOMTREE TR EMERG MKTS ETF 97717W315 244 5102 SH SOLE 0 0 0 5102 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 7 169 SH SOLE 0 0 0 169 ISHARES NAT AMT FREE BD 464288414 1643 14985 SH SOLE 0 0 0 14985 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 2759 114950 SH SOLE 0 0 0 114950 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 2481 24292 SH SOLE 0 0 0 24292 FIRST TR ISE WATER INDEX FD COM 33733B100 6 198 SH SOLE 0 0 0 198 CLAYMORE EXCHANGE TRD FD TR GUGG TIMBER ETF 18383Q879 293 12445 SH SOLE 0 0 0 12445 NUVEEN NJ DIV ADVANTAGE MUN COM 67069Y102 392 29162 SH SOLE 0 0 0 29162 WISDOMTREE TR EMG MKTS SMCAP 97717W281 836 18082 SH SOLE 0 0 0 18082 ISHARES JP MOR EM MK ETF 464288281 3 25 SH SOLE 0 0 0 25 ISHARES INTL DEV RE ETF 464288489 164 5455 SH SOLE 0 0 0 5455 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 3277 130434 SH SOLE 0 0 0 130434 ISHARES INTERM CR BD ETF 464288638 328 3000 SH SOLE 0 0 0 3000 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 188 4680 SH SOLE 0 0 0 4680 CHIMERA INVT CORP COM 16934Q109 2 500 SH SOLE 0 0 0 500 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 15 468 SH SOLE 0 0 0 468 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 15 394 SH SOLE 0 0 0 394 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 7 306 SH SOLE 0 0 0 306 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 19 342 SH SOLE 0 0 0 342 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 7 246 SH SOLE 0 0 0 246 FIRST TR S&P REIT INDEX FD COM 33734G108 11 581 SH SOLE 0 0 0 581 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 6 248 SH SOLE 0 0 0 248 ISHARES EAFE SML CP ETF 464288273 4432 91381 SH SOLE 0 0 0 91381 PHILIP MORRIS INTL INC COM 718172109 42 500 SH SOLE 0 0 0 500 BAXANO SURGICAL INC COM 071773105 0 2000 SH SOLE 0 0 0 2000 ISHARES MSCI ACWI US ETF 464288240 507 11151 SH SOLE 0 0 0 11151 FIRST TR FTSE EPRA/NAREIT DE COM 33736N101 5 124 SH SOLE 0 0 0 124 ISHARES CALI AMT-FRE ETF 464288356 18 150 SH SOLE 0 0 0 150 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 14 300 SH SOLE 0 0 0 300 SPDR SERIES TRUST NUVN BR NY MUNI 78464A433 207 8900 SH SOLE 0 0 0 8900 NUVEEN NY DIV ADVANTG MUN FD COM 67070A101 10393 789160 SH SOLE 0 0 0 789160 ISHARES NY AMTFRE MU ETF 464288323 333 3000 SH SOLE 0 0 0 3000 POWERSHARES GLOBAL ETF TRUST NY MUNI BD ETF 73936T458 2563 105983 SH SOLE 0 0 0 105983 FIRST TR EXCHANGE TRADED FD NASDAQ 100 EX 33733E401 7 190 SH SOLE 0 0 0 190 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 13 285 SH SOLE 0 0 0 285 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1065 22195 SH SOLE 0 0 0 22195 ATHENAHEALTH INC COM 04685W103 53 400 SH SOLE 0 0 0 400 SPAR GROUP INC COM 784933103 2 1200 SH SOLE 0 0 0 1200 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 4 1000 SH SOLE 0 0 0 1000 PDF SOLUTIONS INC COM 693282105 3 250 SH SOLE 0 0 0 250 PROVECTUS BIOPHARMACEUTICALS COM 74373P108 2 2000 SH SOLE 0 0 0 2000 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 33 1020 SH SOLE 0 0 0 1020 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 18 250 SH SOLE 0 0 0 250 HUNTINGTON BANCSHARES INC PFD CONV SER A 446150401 7 5 SH SOLE 0 0 0 5 ISHARES MSCI ACWI ETF 464288257 62 1055 SH SOLE 0 0 0 1055 ISHARES GL TIMB FORE ETF 464288174 4349 88210 SH SOLE 0 0 0 88210 WISDOMTREE TR AUST NEW ZEAL DB 97717W216 321 16425 SH SOLE 0 0 0 16425 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 62 1030 SH SOLE 0 0 0 1030 MARKET VECTORS ETF TR INDONESIA ETF 57060U753 30 1200 SH SOLE 0 0 0 1200 HSN INC COM 404303109 93 1514 SH SOLE 0 0 0 1514 TRIPADVISOR INC COM 896945201 27 300 SH SOLE 0 0 0 300 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 61 1800 SH SOLE 0 0 0 1800 WALTER INVT MGMT CORP COM 93317W102 0 14 SH SOLE 0 0 0 14 NUVEEN NEW YORK MUN VALUE FD COM 670706100 185 12800 SH SOLE 0 0 0 12800 NUVEEN CALIF MUNICPAL VALU F COM 6706EB106 1301 80180 SH SOLE 0 0 0 80180 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 338 3935 SH SOLE 0 0 0 3935 WISDOMTREE TR EMERG CUR STR FD 97717W133 59 3000 SH SOLE 0 0 0 3000 PIMCO ETF TR 7-15 YR US TRS 72201R700 326 3910 SH SOLE 0 0 0 3910 CLEANTECH SOLUTIONS INTL INC COM NEW 18451N204 4 1000 SH SOLE 0 0 0 1000 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 85 1783 SH SOLE 0 0 0 1783 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 194 6266 SH SOLE 0 0 0 6266 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1419 30190 SH SOLE 0 0 0 30190 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2673 33461 SH SOLE 0 0 0 33461 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 193 3754 SH SOLE 0 0 0 3754 PIMCO ETF TR INTER MUN BD ST 72201R866 160 3000 SH SOLE 0 0 0 3000 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 291 9276 SH SOLE 0 0 0 9276 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 788 31041 SH SOLE 0 0 0 31041 SPDR SERIES TRUST BARC SHT TR CP 78464A474 1111 36208 SH SOLE 0 0 0 36208 MARKET VECTORS ETF TR EGYPT INDX ETF 57061R569 7 100 SH SOLE 0 0 0 100 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 7023 236879 SH SOLE 0 0 0 236879 FINANCIAL ENGINES INC COM 317485100 3 101 SH SOLE 0 0 0 101 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 62 575 SH SOLE 0 0 0 575 NUVEEN BUILD AMER BD FD COM 67074C103 14044 688752 SH SOLE 0 0 0 688752 SPDR SERIES TRUST BRC BLD AMER BD 78464A276 3509 57388 SH SOLE 0 0 0 57388 ACCESS MIDSTREAM PARTNERS L UNIT 00434L109 16 250 SH SOLE 0 0 0 250 WISDOMTREE TR EM LCL DEBT FD 97717X867 97 2185 SH SOLE 0 0 0 2185 ALPS ETF TR ALERIAN MLP 00162Q866 102 5300 SH SOLE 0 0 0 5300 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8 44 SH SOLE 0 0 0 44 GUGGENHEIM BLD AMR BDS MANG COM 401664107 48 2250 SH SOLE 0 0 0 2250 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 233 4272 SH SOLE 0 0 0 4272 NUVEEN BUILD AMER BD OPPTNY COM 67074Q102 10921 515164 SH SOLE 0 0 0 515164 SCHWAB STRATEGIC TR US REIT ETF 808524847 3 89 SH SOLE 0 0 0 89 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 0 2 SH SOLE 0 0 0 2 VANGUARD STAR FD VG TL INTL STK F 921909768 51 1000 SH SOLE 0 0 0 1000 NUVEEN ENERGY MLP TOTL RTRNF COM 67074U103 1512 68403 SH SOLE 0 0 0 68403 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 413 17000 SH SOLE 0 0 0 17000 TESORO LOGISTICS LP COM UNIT LP 88160T107 45 640 SH SOLE 0 0 0 640 POINTS INTL LTD COM NEW 730843208 23 1300 SH SOLE 0 0 0 1300 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 167 3223 SH SOLE 0 0 0 3223 DUNKIN BRANDS GROUP INC COM 265504100 5 104 SH SOLE 0 0 0 104 ISHARES EM MKT SM-CP ETF 464286475 140 2840 SH SOLE 0 0 0 2840 WPX ENERGY INC COM 98212B103 1 26 SH SOLE 0 0 0 26 ISHARES MSCI FRNTR100ETF 464286145 316 8363 SH SOLE 0 0 0 8363 PHILLIPS 66 COM 718546104 42 511 SH SOLE 0 0 0 511 ISHARES TR MSCI EMK LAT ETF 46429B382 51 1200 SH SOLE 0 0 0 1200 ORGANOVO HLDGS INC COM 68620A104 2 360 SH SOLE 0 0 0 360 SPDR SER TR SHT TRM HGH YLD 78468R408 432 14425 SH SOLE 0 0 0 14425 WISDOMTREE TR WSDM EMKTBD FD 97717X784 8 100 SH SOLE 0 0 0 100 FACEBOOK INC CL A 30303M102 156 1977 SH SOLE 0 0 0 1977 GLOBAL X FDS GLBL X MLP ETF 37950E473 80 4600 SH SOLE 0 0 0 4600 KRAFT FOODS GROUP INC COM 50076Q106 25 436 SH SOLE 0 0 0 436 SEADRILL PARTNERS LLC COMUNIT REP LB Y7545W109 31 1000 SH SOLE 0 0 0 1000 ISHARES INC CORE MSCI EMKT 46434G103 8615 172168 SH SOLE 0 0 0 172168 ISHARES TR CORE MSCITOTAL 46432F834 1051 18685 SH SOLE 0 0 0 18685 ISHARES TR CORE MSCI EAFE 46432F842 4700 80703 SH SOLE 0 0 0 80703 ABBVIE INC COM 00287Y109 56 961 SH SOLE 0 0 0 961 VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 45 1000 SH SOLE 0 0 0 1000 TAYLOR MORRISON HOME CORP CL A 87724P106 2 100 SH SOLE 0 0 0 100 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 1465 29805 SH SOLE 0 0 0 29805 DOUBLELINE INCOME SOLUTIONS COM 258622109 426 19685 SH SOLE 0 0 0 19685 MURPHY USA INC COM 626755102 0 7 SH SOLE 0 0 0 7 FOUNDATION MEDICINE INC COM 350465100 33 1750 SH SOLE 0 0 0 1750 EMPIRE ST RLTY OP L P UNIT LTD PRTNSP 292102100 32 2150 SH SOLE 0 0 0 2150 TWITTER INC COM 90184L102 9 165 SH SOLE 0 0 0 165 WAL-MART STORES INC COM 931142103 0 1700 SH Put SOLE 0 0 0 1700 MARKET VECTORS ETF TR SHT HG MUN ETF 57061R486 3500 138137 SH SOLE 0 0 0 138137 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 98 1728 SH SOLE 0 0 0 1728 FIDELITY MSCI MATLS INDEX 316092881 83 2962 SH SOLE 0 0 0 2962 WALGREEN CO COM 931422109 1 1500 SH Put SOLE 0 0 0 1500 PROSHARES TR PSHS ULSHT SP500 74347B300 2 1000 SH Call SOLE 0 0 0 1000 GOOGLE INC CL C 38259P706 13 22 SH SOLE 0 0 0 22 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 5000 SH Put SOLE 0 0 0 5000 SPDR SER TR BRCLY HGH YIEL 78468R846 2 79 SH SOLE 0 0 0 79 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 8500 SH Put SOLE 0 0 0 8500 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1500 SH Put SOLE 0 0 0 1500 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 1000 SH Put SOLE 0 0 0 1000 CLOROX CO DEL COM 189054109 0 900 SH Put SOLE 0 0 0 900 COCA COLA CO COM 191216100 0 2500 SH Put SOLE 0 0 0 2500 TIME INC NEW COM 887228104 0 6 SH SOLE 0 0 0 6 NOW INC COM 67011P100 6 200 SH SOLE 0 0 0 200 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 2500 SH Call SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 19000 SH Put SOLE 0 0 0 19000 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 8400 SH Call SOLE 0 0 0 8400 SPDR S&P 500 ETF TR TR UNIT 78462F103 5 10000 SH Call SOLE 0 0 0 10000 ISHARES TR CORE MSCI EURO 46434V738 23 500 SH SOLE 0 0 0 500 RAYONIER ADVANCED MATLS INC COM 75508B104 2 67 SH SOLE 0 0 0 67 J P MORGAN EXCHANGE TRADED F DIV RTN GLB EQ 46641Q100 401 8150 SH SOLE 0 0 0 8150 SPDR S&P 500 ETF TR TR UNIT 78462F103 4 2500 SH Put SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 18 5300 SH Call SOLE 0 0 0 5300 SPDR S&P 500 ETF TR TR UNIT 78462F103 4 2500 SH Put SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 3 2500 SH Put SOLE 0 0 0 2500 SPDR S&P 500 ETF TR TR UNIT 78462F103 11 5500 SH Call SOLE 0 0 0 5500 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 1000 SH Call SOLE 0 0 0 1000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 14 160 SH SOLE 0 0 0 160 SPDR S&P 500 ETF TR TR UNIT 78462F103 8 2500 SH Put SOLE 0 0 0 2500