0001427271-16-000005.txt : 20160208
0001427271-16-000005.hdr.sgml : 20160208
20160208134905
ACCESSION NUMBER: 0001427271-16-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160208
DATE AS OF CHANGE: 20160208
EFFECTIVENESS DATE: 20160208
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Investors Capital Advisory Services
CENTRAL INDEX KEY: 0001427271
IRS NUMBER: 043161577
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0308
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12993
FILM NUMBER: 161395121
BUSINESS ADDRESS:
STREET 1: 6 KIMBALL LANE
CITY: LYNNFIELD
STATE: MA
ZIP: 01940
BUSINESS PHONE: 800-949-1422
MAIL ADDRESS:
STREET 1: 6 KIMBALL LANE
CITY: LYNNFIELD
STATE: MA
ZIP: 01940
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001427271
XXXXXXXX
12-31-2015
12-31-2015
Investors Capital Advisory Services
6 KIMBALL LANE
LYNNFIELD
MA
01940
13F HOLDINGS REPORT
028-12993
N
Chris Ginolfi
Compliance
8009491422
Chris Ginolfi
Lynnfield
MA
02-08-2016
9
1094
514951
false
24
Tower Square Investment Managment
22
Timecapital Investor Advisory Services, Inc
19
028-14868
Wellesley Investment Advisors
14
028-06312
Abner Herrman & Brock, LLC
13
028-11180
Valueworks, LLC
12
028-03768
Sentinal Advisors Co
11
028-11952
Dividend Asset Capital, LLC
3
028-06432
Cambridge Investments LTD
1
028-11543
Advisors Capital Managment, LLC
INFORMATION TABLE
2
13F_2015_Q4_rev2.xml
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ROSETTA GENOMICS LTD SHS NEW NIS 0.6 ISIN#IL0011026494COMM821831261311000SHSOLE00011000
ROYAL BK OF SCOTLAND GROUP PLC SPONSORED ADR SER F REPSTG PFD F CPN 7.65% PERPETUAL MATY PERPETUAL CALLCOM7800978042278795SHSOLE0008795
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN-7.25% FREQ QRTLY PERP MTY CALL@25 ANY W/30 D NOTICE AFTR 12/31/12COM78009771321850SHSOLE2400850
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN-7.25% FREQ QRTLY PERP MTY CALL@25 ANY W/30 D NOTICE AFTR 12/31/12COM78009771340515704SHSOLE10015704
ROYAL BK SCOTLAND GP PLC SPON ADR REPSTG SER T PFD CPN-7.25% FREQ QRTLY PERP MTY CALL@25 ANY W/30 D NOTICE AFTR 12/31/12COM780097713652529SHSOLE0002529
RPM INTL INCCOM7496851033026875SHSOLE0006875
RYDEX ETF TR GUGGENHEIM RUSSELL TOP 50 MEGA CAP ETFCOM78355W2052892002SHSOLE0002002
RYDEX ETF TR GUGGENHEIM S&P 500 EQUAL WEIGHT ETFCOM78355W10682310750SHSOLE00010750
RYLAND GROUP INC GTD CONVERTIBLE FXD RT 0.250% 06/01/19 B/E DTD 05/20/13COM783764AS2262294000SHSOLE1900294000
SANDISK CORP SR NT CONV 0.500% 10/15/20 B/E DTD 10/29/13COM80004CAF8474458000SHSOLE1900458000
SANDRIDGE ENERGY INC COMCOM80007P307211606SHSOLE00011606
SANOFI SPONS ADR ISIN#US80105N1054COM80105N1053027083SHSOLE0007083
SCHLUMBERGER LTD COM ISIN#AN8068571086COM80685710813200SHSOLE1400200
SCHLUMBERGER LTD COM ISIN#AN8068571086COM8068571081872687SHSOLE0002687
SCHLUMBERGER LTD COM ISIN#AN8068571086COM806857108585SHSOLE240085
SCHWAB STRATEGIC TR US LARGE CAP GROWTH ETFCOM8085243002574865SHSOLE0004865
SCORPIO TANKERS INC SHS ISIN#MHY7542C1066COMY7542C10612215244SHSOLE10015244
SEABOARD CORP DELCOM81154310723481SHSOLE00081
SEACOR HLDGS INC SR NT CONV 3.000% 11/05/28 B/E DTD 11/13/13 CLB PUTCOM81170YAB5334422000SHSOLE1900422000
SEADRILL LIMTED SHS ISIN#BMG7945E1057COMG7945E1059327452SHSOLE00027452
SEAWORLD ENTMT INC COMCOM81282V10026813650SHSOLE10013650
SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY TRANSN TO 06/24/02COM81369Y40728367SHSOLE2400367
SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY TRANSN TO 06/24/02COM81369Y4073544532SHSOLE0004532
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y30813260SHSOLE100260
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y308207441080SHSOLE00041080
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y3086135SHSOLE2400135
SELECT SECTOR SPDR TR ENERGYCOM81369Y506126620991SHSOLE00020991
SELECT SECTOR SPDR TR ENERGYCOM81369Y50689914919SHSOLE240014919
SELECT SECTOR SPDR TR FINANCIALCOM81369Y605130354681SHSOLE00054681
SELECT SECTOR SPDR TR FINANCIALCOM81369Y605381602SHSOLE24001602
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209136418945SHSOLE240018945
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209295040961SHSOLE00040961
SELECT SECTOR SPDR TR INDLCOM81369Y70423450SHSOLE2400450
SELECT SECTOR SPDR TR INDLCOM81369Y70477114547SHSOLE00014547
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803167739166SHSOLE00039166
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803235655011SHSOLE240055011
SELECT SECTOR SPDR TR UTILSCOM81369Y88683519303SHSOLE00019303
SENIOR HSG PPTYS TR SH BEN INTCOM81721M1091238343SHSOLE0008343
SENIOR HSG PPTYS TR SH BEN INTCOM81721M109151038SHSOLE24001038
SENIOR HSG PPTYS TR SH BEN INTCOM81721M10943529380SHSOLE10029380
SENSATA TECHNOLOGIES HLDG BV ALMELO SHS ISIN#NL0009324904COMN7902X1062485405SHSOLE1005405
SEQUENOM INC COM NEWCOM8173374058350700SHSOLE00050700
SHERWIN WILLIAMS CO COMCOM824348106107415SHSOLE000415
SHERWIN WILLIAMS CO COMCOM82434810611674496SHSOLE11004496
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510614900SHSOLE2400900
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510642525659SHSOLE10025659
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510666139951SHSOLE00039951
SIGNAL GENETICS INC COMCOM8266401042838250SHSOLE00038250
SILVER WHEATON CORP COM ISIN#CA8283361076COM82833610735828842SHSOLE00028842
SIMON PPTY GROUP INC NEW COMCOM8288061093231666SHSOLE0001666
SIRIUS XM HLDGS INC COMCOM82968B10310124927SHSOLE00024927
SIX FLAGS ENTMT CORP NEW COMCOM83001A10204SHSOLE0004
SIX FLAGS ENTMT CORP NEW COMCOM83001A10225462SHSOLE2400462
SIX FLAGS ENTMT CORP NEW COMCOM83001A10290316450SHSOLE10016450
SKYWORKS SOLUTIONS INC COMCOM83088M1021992603SHSOLE1002603
SKYWORKS SOLUTIONS INC COMCOM83088M1023814971SHSOLE0004971
SOUTHERN CO COMCOM84258710740855SHSOLE1100855
SOUTHERN CO COMCOM84258710749410576SHSOLE00010576
SOUTHWEST AIRLS CO COMCOM84474110845910663SHSOLE00010663
SOUTHWESTERN ENERGY CO COMCOM84546710910514778SHSOLE10014778
SOUTHWESTERN ENERGY CO COMCOM84546710971083SHSOLE0001083
SOUTHWESTERN ENERGY CO DEP SHS REPSTG 1/20TH INT MANATORY CONV PFD SER BCOM84546720820010785SHSOLE10010785
SOUTHWESTERN ENERGY CO DEP SHS REPSTG 1/20TH INT MANATORY CONV PFD SER BCOM8454672088441SHSOLE2400441
SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1COM78467X1095693272SHSOLE0003272
SPDR GOLD TR GOLD SHSCOM78463V1074464402SHSOLE0004402
SPDR S&P 500 ETF TR TR UNITCOM78462F10315787741SHSOLE24007741
SPDR S&P 500 ETF TR TR UNITCOM78462F103541626569SHSOLE00026569
SPDR S&P MIDCAP 400 ETF TR UNIT SER 1 STANDARD & POORS DEP RCPTCOM78467Y10721008270SHSOLE0008270
SPDR SER TR BARCLAYS CONV SECS ETFCOM78464A3593688515SHSOLE0008515
SPDR SER TR BARCLAYS HIGH YIELD BD ETFCOM78464A41727809SHSOLE2400809
SPDR SER TR BARCLAYS HIGH YIELD BD ETFCOM78464A41777222784SHSOLE00022784
SPDR SER TR DOW JONES REIT ETFCOM78464A6072602846SHSOLE0002846
SPDR SER TR RUSSELL 3000 ETFCOM78464A8056294134SHSOLE0004134
SPDR SER TR S&P 600 SMALL CAP GROWTH ETFCOM78464A2012931701SHSOLE0001701
SPDR SER TR S&P BIOTECH ETFCOM78464A8704766793SHSOLE0006793
SPDR SER TR S&P DIVID ETFCOM78464A763120416366SHSOLE00016366
SPDR SER TR S&P DIVID ETFCOM78464A76314200SHSOLE100200
SPDR SER TR S&P HOMEBUILDERS ETFCOM78464A88856016396SHSOLE00016396
SPDR SER TR S&P INS ETFCOM78464A7892683863SHSOLE0003863
SPDR SER TR S&P PHARMACEUTICALS ETFCOM78464A72214280SHSOLE100280
SPDR SER TR S&P PHARMACEUTICALS ETFCOM78464A7224198197SHSOLE0008197
SPDR SER TR SPDR BARCLAYS SHORT TERM CORP BD ETFCOM78464A4742999853SHSOLE0009853
SPECTRA ENERGY CORP COMCOM8475601092369876SHSOLE0009876
SPECTRA ENERGY PARTNERS LP COMCOM84756N1094699850SHSOLE0009850
SPIRIT RLTY CAP INC NEW COMCOM84860W10263963826SHSOLE00063826
STARBUCKS CORP COMCOM855244109164327377SHSOLE00027377
STARBUCKS CORP COMCOM85524410936605SHSOLE300605
STARBUCKS CORP COMCOM855244109478SHSOLE10078
STATE STR CORP COMCOM8574771031342022SHSOLE1002022
STATE STR CORP COMCOM857477103581SHSOLE240081
STATE STR CORP COMCOM85747710389213454SHSOLE00013454
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001505612SHSOLE0005612
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001836860SHSOLE1006860
STRATEGIC GLOBAL INCOME FD INCCOM86271910111012565SHSOLE00012565
STRYKER CORPCOM8636671013493763SHSOLE0003763
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM8672241072168410SHSOLE11008410
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM8672241077277SHSOLE000277
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L10816660SHSOLE000660
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L108231089905SHSOLE110089905
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L108682652SHSOLE22002652
SUNPOWER CORP SR DEB CONV 0.875% 06/01/21 B/E DTD 06/11/14COM867652AJ8131151000SHSOLE1900151000
SUNTRUST BKS INC COMCOM867914103249SHSOLE00049
SUNTRUST BKS INC COMCOM8679141032586025SHSOLE1006025
SUNTRUST BKS INC COMCOM8679141039225SHSOLE1400225
SYMANTEC CORPCOM87150310835616986SHSOLE00016986
SYNCHRONOSS TECHNOLOGIES INC SR NT CONV 0.750% 08/15/19 B/E DTD 08/12/14COM87157BAA11313000SHSOLE190013000
SYSCO CORP COMCOM87182910737905SHSOLE300905
SYSCO CORP COMCOM87182910747511592SHSOLE00011592
TARGET CORP COMCOM87612E10634475SHSOLE300475
TARGET CORP COMCOM87612E1064816630SHSOLE0006630
TASEKO MINES LTDCOM876511106825600SHSOLE00025600
TEKLA HEALTHCARE OPPORTUNITIES FD SHS BEN INTCOM87910510440823500SHSOLE00023500
TEKLA WORLD HEALTHCARE FD BEN INT SHSCOM87911L10818211500SHSOLE00011500
TESLA MTRS INC COMCOM88160R10116SHSOLE1006
TESLA MTRS INC COMCOM88160R1013651522SHSOLE0001522
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T1072414801SHSOLE11004801
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T10740805SHSOLE2200805
TEVA PHARMACEUTICAL INDUSTRIES LTD ADR ISIN#US8816242098COM8816242095668634SHSOLE0008634
TEXAS PACIFIC LAND TRUST SUB SHARES CERTIFICATES OF PROP INTERESTCOM8826101082612000SHSOLE0002000
TEXTRON INC COMCOM8832031012064925SHSOLE0004925
TIER REIT INC COM NEWCOM88650V20814979SHSOLE1100979
TIER REIT INC COM NEWCOM88650V20818212357SHSOLE00012357
TIER REIT INC COM NEWCOM88650V2085395SHSOLE2400395
TIFFANY & COMPANYCOM88654710825329SHSOLE000329
TIFFANY & COMPANYCOM88654710888111559SHSOLE110011559
TIME WARNER CABLE INC COMCOM88732J2074252294SHSOLE0002294
TIME WARNER INC NEW COM NEWCOM887317303352SHSOLE240052
TIME WARNER INC NEW COM NEWCOM8873173034406809SHSOLE0006809
TJX COS INC NEW COMCOM872540109121517145SHSOLE110017145
TJX COS INC NEW COMCOM8725401092473488SHSOLE0003488
TOLL BROS FIN CORP GTD NT 0.500% 09/15/32 B/E DTD 09/11/12 CLB PUTCOM88947EAM21516000SHSOLE190016000
TOTAL S A SPONSORED ADRCOM89151E1092094666SHSOLE0004666
TRANSOCEAN LTD REG SHS ISIN#CH0048265513COMH8817H10021917738SHSOLE00017738
TRAVELERS COS INC COMCOM89417E1092031805SHSOLE0001805
TRAVELERS COS INC COMCOM89417E10922200SHSOLE1400200
TRINITY INDS INC COMCOM89652210929712399SHSOLE00012399
TRIUMPH BANCORP INC COMCOM89679E30096158287SHSOLE00058287
TTM TECHNOLOGIES INC SR NT CONV 1.750% 12/15/20 B/E DTD 12/20/13COM87305RAD1540600000SHSOLE1900600000
TWITTER INC COMCOM90184L10231413573SHSOLE00013573
TYSON FOODS INC CL ACOM90249410329559SHSOLE000559
TYSON FOODS INC CL ACOM9024941033336250SHSOLE1006250
UBS AG LONDON BRH CALLABLE EXCH SEC LKD COM STK GOOGLE ISIN#US90270KAW99 0.000% 02/15/21 B/E DTD 02/19/14 CLBCOM90270KAW9499468000SHSOLE1900468000
UBS GROUP AG SHS ISIN#CH0244767585COMH4209710744523000SHSOLE00023000
UNDER ARMOUR INC CL A COMCOM904311107235SHSOLE10035
UNDER ARMOUR INC CL A COMCOM9043111074896074SHSOLE0006074
UNILEVER NV NEW YORK SHS NEWCOM90478470980618618SHSOLE00018618
UNION PAC CORP COMCOM9078181086117816SHSOLE0007816
UNITED DEV FDG IV COMCOM9101871031219110869SHSOLE000110869
UNITED DEV FDG IV COMCOM91018710319317600SHSOLE110017600
UNITED PARCEL SVC INC CL BCOM9113121063743891SHSOLE0003891
UNITED STS OIL FD LP UNITSCOM91232N10812111009SHSOLE00011009
UNITED TECHNOLOGIES CORP COMCOM91301710916170SHSOLE1200170
UNITED TECHNOLOGIES CORP COMCOM913017109780SHSOLE140080
UNITED TECHNOLOGIES CORP COMCOM9130171097958284SHSOLE0008284
UNITED TECHNOLOGIES CORP COMCOM913017109991040SHSOLE11001040
UNITEDHEALTH GROUP INC COMCOM91324P1023613074SHSOLE0003074
UNITEDHEALTH GROUP INC COMCOM91324P10238325SHSOLE300325
UNWIRED PLANET INC NEW COM_R/S EFF 01/05/16 1 OLD/ 0.0833334 NEW CU 91531F202 UNWIRED PLANET INC PARCOM91531F1034754500SHSOLE00054500
US BANCORP DEL COMCOM9029733042074859SHSOLE0004859
USG CORP (NEW) COMMON STOCKCOM90329340517720SHSOLE000720
USG CORP (NEW) COMMON STOCKCOM9032934052098632SHSOLE1008632
V F CORP COMCOM91820410854880SHSOLE000880
V F CORP COMCOM91820410873111749SHSOLE110011749
VALE S A ADR ISIN#US91912E1055COM91912E1055918207SHSOLE00018207
VALERO ENERGY CORP NEW COMCOM91913Y10013195SHSOLE1200195
VALERO ENERGY CORP NEW COMCOM91913Y1001822585SHSOLE0002585
VALERO ENERGY CORP NEW COMCOM91913Y10019270SHSOLE2400270
VALERO ENERGY CORP NEW COMCOM91913Y1002553613SHSOLE1003613
VALERO ENERGY CORP NEW COMCOM91913Y10033470SHSOLE300470
VALSPAR CORPCOM9203551041021233SHSOLE1001233
VALSPAR CORPCOM920355104103012421SHSOLE110012421
VALSPAR CORPCOM920355104230SHSOLE00030
VANGUARD BD INDEX FD INC INTERMEDIATE TERM BD ETFCOM9219378192302771SHSOLE0002771
VANGUARD BD INDEX FD INC SHORT TERM BD ETFCOM9219378273123933SHSOLE0003933
VANGUARD BD INDEX FD INC TOTAL BD MARKET ETFCOM92193783587110796SHSOLE00010796
VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHSCOM9229085124465193SHSOLE0005193
VANGUARD INDEX FDS S&P 500 ETF SHS NEWCOM92290836312366613SHSOLE0006613
VANGUARD INDEX FDS VANGUARD GROWTH ETFCOM922908736241922743SHSOLE00022743
VANGUARD INDEX FDS VANGUARD GROWTH ETFCOM922908736336SHSOLE240036
VANGUARD INDEX FDS VANGUARD LARGE-CAP ETFCOM92290863716174SHSOLE100174
VANGUARD INDEX FDS VANGUARD LARGE-CAP ETFCOM9229086374164455SHSOLE0004455
VANGUARD INDEX FDS VANGUARD MID-CAP ETFCOM922908629120910066SHSOLE00010066
VANGUARD INDEX FDS VANGUARD MID-CAP ETFCOM922908629868SHSOLE10068
VANGUARD INDEX FDS VANGUARD REIT ETFCOM922908553192724181SHSOLE240024181
VANGUARD INDEX FDS VANGUARD REIT ETFCOM9229085535777244SHSOLE0007244
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM922908751201018168SHSOLE00018168
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM922908751443SHSOLE10043
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM9229087519908949SHSOLE24008949
VANGUARD INDEX FDS VANGUARD SMALL-CAP GROWTH ETFCOM92290859511969851SHSOLE0009851
VANGUARD INDEX FDS VANGUARD SMALL-CAP VALUE ETFCOM922908611109611105SHSOLE00011105
VANGUARD INDEX FDS VANGUARD SMALL-CAP VALUE ETFCOM92290861111121SHSOLE100121
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM922908769251424105SHSOLE00024105
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM92290876936348SHSOLE1400348
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM9229087698207864SHSOLE24007864
VANGUARD INDEX FDS VANGUARD VALUE ETFCOM922908744178021840SHSOLE00021840
VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHSCOM922042775011SHSOLE110011
VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHSCOM9220427752826518SHSOLE0006518
VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHSCOM9220427757178SHSOLE2400178
VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETFCOM9220428583108SHSOLE100108
VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETFCOM92204285881825027SHSOLE00025027
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM922042874118823835SHSOLE240023835
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM92204287418363SHSOLE100363
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM9220428742144306SHSOLE0004306
VANGUARD INTL EQUITY INDEX FDS FTSE PACIFIC ETFCOM922042866192433961SHSOLE240033961
VANGUARD INTL EQUITY INDEX FDS FTSE PACIFIC ETFCOM92204286632572SHSOLE000572
VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHSCOM922020805129626824SHSOLE240026824
VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHSCOM922020805621289SHSOLE0001289
VANGUARD NAT RES LLC COM UNIT REPSTG LTD LIABLITY CO INTSCOM92205F10611037092SHSOLE00037092
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C4095236631SHSOLE0006631
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C409687SHSOLE110087
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C409961216SHSOLE24001216
VANGUARD SPECIALIZED PORTFOLIOS DIVIDEND APPRECIATION INDEX FD ETFCOM921908844153919791SHSOLE00019791
VANGUARD TAX-MANAGED INTL FD FTSE DEVELOPED MKTS ETFCOM92194385848213147SHSOLE00013147
VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHSCOM921946406125418792SHSOLE00018792
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM921910873117216808SHSOLE240016808
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM9219108733935642SHSOLE0005642
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM9219108737109SHSOLE1100109
VANGUARD WORLD FD VANGUARD MEGA CAP GROWTH ETFCOM9219108163564299SHSOLE0004299
VANGUARD WORLD FDS VANGUARD CONSUMER DISCRETIONARY ETFCOM92204A1082902368SHSOLE0002368
VANGUARD WORLD FDS VANGUARD CONSUMER STAPLES ETFCOM92204A2072481921SHSOLE0001921
VANGUARD WORLD FDS VANGUARD HEALTH CARE ETFCOM92204A5042662002SHSOLE0002002
VANGUARD WORLD FDS VANGUARD INFORMATION TECHNOLOGY ETFCOM92204A7024724361SHSOLE0004361
VANGUARD WORLD FDS VANGUARD UTILS ETFCOM92204A8762772954SHSOLE0002954
VECTOR GROUP LTD COMCOM92240M10841917772SHSOLE00017772
VENTAS INC COMCOM92276F100247SHSOLE10047
VENTAS INC COMCOM92276F1004497962SHSOLE0007962
VEREIT INC COMCOM92339V1001421179432SHSOLE000179432
VERINT SYS INC SR NT CONV 1.500% 06/01/21 B/E DTD 06/18/14COM92343XAA8250267000SHSOLE1900267000
VERIZON COMMUNICATIONS INC COMCOM92343V1041463176SHSOLE1003176
VERIZON COMMUNICATIONS INC COMCOM92343V104326070540SHSOLE00070540
VERSAR INC COMCOM9252971033411201SHSOLE00011201
VISA INC COM CL ACOM92826C839347744848SHSOLE00044848
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W3081715310SHSOLE0005310
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W30845414085SHSOLE10014085
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W3088250SHSOLE2400250
VOYA GLOBAL EQUITY DIVID & PREM OPPORTUNITY FD COMCOM92912T10057882657SHSOLE00082657
VOYA INFRASTRUCTURE INDUSTRIALS & MATLS FD COMCOM92912X10116013129SHSOLE00013129
VOYA NAT RES EQUITY INCOME FD COMCOM92913C1065910887SHSOLE00010887
VOYA PRIME RATE TR SH BEN INTCOM92913A10012324477SHSOLE00024477
W P CAREY INC COMCOM92936U1092173683SHSOLE0003683
W P CAREY INC COMCOM92936U1095100SHSOLE100100
WAL MART STORES INC COMCOM931142103108917774SHSOLE00017774
WAL MART STORES INC COMCOM93114210328470SHSOLE300470
WAL MART STORES INC COMCOM9311421032894726SHSOLE1004726
WALGREENS BOOTS ALLIANCE INC COMCOM93142710810125SHSOLE1400125
WALGREENS BOOTS ALLIANCE INC COMCOM93142710836430SHSOLE300430
WALGREENS BOOTS ALLIANCE INC COMCOM9314271087668998SHSOLE0008998
WASTE MGMT INC DEL COMCOM94106L1093276143SHSOLE0006143
WEATHERFORD INTL PLC ORD SHS ISIN#IE00BLNN3691COMG488331001230SHSOLE000230
WEATHERFORD INTL PLC ORD SHS ISIN#IE00BLNN3691COMG4883310011013181SHSOLE10013181
WELLS FARGO & CO MEDIUM TERM NOTES CONV 0.000% 06/05/20 B/E DTD 06/06/13 CLBCOM94986RQF1407340000SHSOLE1900340000
WELLS FARGO & CO MEDIUM TERM NTS 0.000% 06/10/20 B/E DTD 06/17/13 CLBCOM94986RQH7289325000SHSOLE1900325000
WELLS FARGO & CO NEW COMCOM949746101136225070SHSOLE00025070
WELLS FARGO & CO NEW COMCOM94974610120375SHSOLE1400375
WELLS FARGO GLOBAL DIVID OPPORTUNITY FD COM ISIN#US94987C1036COM94987C10314724856SHSOLE00024856
WELLS FARGO INCOME OPPORTUNITIES FUND COM SHSCOM94987B105878117867SHSOLE000117867
WELLS FARGO MULTI SECTOR INCOME FD COM SHSCOM94987D10115113367SHSOLE00013367
WELLTOWER INC COM STKCOM95040Q10477011324SHSOLE00011324
WESTELL TECHNOLOGIES INC CL ACOM9575411054334482SHSOLE00034482
WESTERN ASSET EMERGING MKTS DEBT FD INC COMCOM95766A10124818117SHSOLE00018117
WESTERN ASSET INCOME FD II INCCOM95766J1029014355SHSOLE00014355
WESTERN ASSET MANAGED HIGH INCOME FD INCCOM95766L107492108907SHSOLE000108907
WEYERHAEUSER COCOM96216610455718610SHSOLE00018610
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