0001427271-16-000006.txt : 20160509
0001427271-16-000006.hdr.sgml : 20160509
20160509094725
ACCESSION NUMBER: 0001427271-16-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160509
DATE AS OF CHANGE: 20160509
EFFECTIVENESS DATE: 20160509
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: 161630157
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
true
true
0001427271
XXXXXXXX
03-31-2016
03-31-2016
Investors Capital Advisory Services
6 KIMBALL LANE
LYNNFIELD
MA
01940
13F HOLDINGS REPORT
028-12993
N
Christian Ginolfi
Advisory Compliance
800-949-1422
Christian Ginolfi
Lynnfield
MA
05-09-2016
9
1054
503107
false
1
028-11543
ADVISORS CAPITAL MANAGEMENT, LLC
3
028-06432
CAMBRIDGE INVESTMENTS LTD
11
028-11952
DIVIDEND ASSET CAPITAL, LLC
12
028-03768
SENTINEL ADVISORS CO
13
028-11180
VALUEWORKS LLC
14
028-06312
ABNER HERRMAN & BROCK, LLC
19
028-14868
WELLESLEY INVESTMENT ADVISORS
22
TIMECAPITAL INVESTOR ADVISORY SERVICES, INC.
24
TOWER SQUARE INVESTMENT MANAGEMENT
INFORMATION TABLE
2
13F_2016_Q1.xml
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RITE AID CORPCOM76775410416320030SHSOLE00020030
RITE AID CORPCOM767754104293641SHSOLE12003641
ROCKWELL AUTOMATION INC COM FORMERLY ROCKWELL INTL CORPCOM7739031092322044SHSOLE0002044
ROPER TECHNOLOGIES INC COMCOM77669610612807006SHSOLE11007006
ROPER TECHNOLOGIES INC COMCOM77669610663347SHSOLE000347
ROSETTA GENOMICS LTD SHS NEW NIS 0.6 ISIN#IL0011026494COMM821831261211800SHSOLE00011800
ROYAL BK OF SCOTLAND GROUP PLC SPONSORED ADR SER F REPSTG PFD F CPN 7.65% PERPETUAL MATY PERPETUAL CALLCOM7800978042258795SHSOLE0008795
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 12/31/12COM78009771329011431SHSOLE10011431
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 12/31/12COM780097713642546SHSOLE0002546
ROYAL GOLD INCCOM7802871082264419SHSOLE0004419
RPM INTL INCCOM7496851033116575SHSOLE0006575
RWT HLDGS INC GTD EXCHANGABLE SR NT 5.625% 11/15/19 B/E DTD 11/24/14COM749772AB51820000SHSOLE00020000
RYDEX ETF TR GUGGENHEIM S&P 500 EQUAL WEIGHT ETFCOM78355W1064165301SHSOLE0005301
RYLAND GROUP INC GTD CONVERTIBLE FXD RT 0.250% 06/01/19 B/E DTD 05/20/13COM783764AS21619000SHSOLE00019000
RYLAND GROUP INC GTD CONVERTIBLE FXD RT 0.250% 06/01/19 B/E DTD 05/20/13COM783764AS2218247000SHSOLE1900247000
SANDISK CORP SR NT CONV 0.500% 10/15/20 B/E DTD 10/29/13COM80004CAF8401387000SHSOLE1900387000
SANOFI SPONS ADR ISIN#US80105N1054COM80105N1052776902SHSOLE0006902
SCHLUMBERGER LTD COM ISIN#AN8068571086COM80685710814200SHSOLE1400200
SCHLUMBERGER LTD COM ISIN#AN8068571086COM80685710820277SHSOLE2400277
SCHLUMBERGER LTD COM ISIN#AN8068571086COM8068571082503395SHSOLE0003395
SCHWAB STRATEGIC TR US LARGE CAP GROWTH ETFCOM8085243003015754SHSOLE0005754
SCORPIO TANKERS INC SHS ISIN#MHY7542C1066COMY7542C1068815244SHSOLE10015244
SEABOARD CORP DELCOM81154310724381SHSOLE00081
SEACOR HLDGS INC SR NT CONV 3.000% 11/05/28 B/E DTD 11/13/13 CLB PUTCOM81170YAB52027000SHSOLE00027000
SEACOR HLDGS INC SR NT CONV 3.000% 11/05/28 B/E DTD 11/13/13 CLB PUTCOM81170YAB5281365000SHSOLE1900365000
SEADRILL LIMTED SHS ISIN#BMG7945E1057COMG7945E1054513815SHSOLE00013815
SEAWORLD ENTMT INC COMCOM81282V10025412069SHSOLE10012069
SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY TRANSN TO 06/24/02COM81369Y4073544477SHSOLE0004477
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y308225142431SHSOLE00042431
SELECT SECTOR SPDR TR CONSUMER STAPLESCOM81369Y3087135SHSOLE2400135
SELECT SECTOR SPDR TR ENERGYCOM81369Y506132821470SHSOLE00021470
SELECT SECTOR SPDR TR ENERGYCOM81369Y506361SHSOLE240061
SELECT SECTOR SPDR TR FINANCIALCOM81369Y605119853275SHSOLE00053275
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209115SHSOLE110015
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209167624739SHSOLE240024739
SELECT SECTOR SPDR TR HEALTH CARECOM81369Y209321747468SHSOLE00047468
SELECT SECTOR SPDR TR INDLCOM81369Y70478914231SHSOLE00014231
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803131SHSOLE110031
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803150934029SHSOLE00034029
SELECT SECTOR SPDR TR TECHNOLOGYCOM81369Y803310469980SHSOLE240069980
SELECT SECTOR SPDR TR UTILSCOM81369Y88696319422SHSOLE00019422
SENIOR HSG PPTYS TR SH BEN INTCOM81721M1091508401SHSOLE0008401
SENIOR HSG PPTYS TR SH BEN INTCOM81721M10941423161SHSOLE10023161
SEQUENOM INC COM NEWCOM8173374054531950SHSOLE00031950
SHERWIN WILLIAMS CO COMCOM824348106253889SHSOLE000889
SHERWIN WILLIAMS CO COMCOM8243481069513341SHSOLE11003341
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510627319663SHSOLE10019663
SHIP FINANCE INTL LTD SHS ISIN#BMG810751062COMG8107510657741581SHSOLE00041581
SIGNAL GENETICS INC COMCOM8266401042039250SHSOLE00039250
SILVER WHEATON CORP COM ISIN#CA8283361076COM82833610747828884SHSOLE00028884
SIMON PPTY GROUP INC NEW COMCOM8288061093041467SHSOLE0001467
SIRIUS XM HLDGS INC COMCOM82968B1038822387SHSOLE00022387
SIX FLAGS ENTMT CORP NEW COMCOM83001A10204SHSOLE0004
SIX FLAGS ENTMT CORP NEW COMCOM83001A1024578244SHSOLE1008244
SKYWORKS SOLUTIONS INC COMCOM83088M1021762267SHSOLE1002267
SKYWORKS SOLUTIONS INC COMCOM83088M10243555SHSOLE000555
SMUCKER J M CO COM NEWCOM8326964052672058SHSOLE0002058
SOUTHERN CO COMCOM842587107494SHSOLE240094
SOUTHERN CO COMCOM84258710744855SHSOLE1100855
SOUTHERN CO COMCOM84258710763612298SHSOLE00012298
SOUTHWEST AIRLS CO COMCOM8447411083748363SHSOLE0008363
SPDR DOW JONES INDL AVERAGE ETF TR UNIT SER 1COM78467X1095963379SHSOLE0003379
SPDR GOLD TR GOLD SHSCOM78463V1075354553SHSOLE0004553
SPDR S&P 500 ETF TR TR UNITCOM78462F103471522945SHSOLE00022945
SPDR S&P MIDCAP 400 ETF TR UNIT SER 1 STANDARD & POORS DEP RCPTCOM78467Y10721308108SHSOLE0008108
SPDR SER TR BARCLAYS HIGH YIELD BD ETFCOM78464A417631856SHSOLE24001856
SPDR SER TR BARCLAYS HIGH YIELD BD ETFCOM78464A41788725918SHSOLE00025918
SPDR SER TR DOW JONES REIT ETFCOM78464A6072702846SHSOLE0002846
SPDR SER TR RUSSELL 3000 ETFCOM78464A8056314134SHSOLE0004134
SPDR SER TR S&P 600 SMALL CAP GROWTH ETFCOM78464A2012901679SHSOLE0001679
SPDR SER TR S&P DIVID ETFCOM78464A763133116658SHSOLE00016658
SPDR SER TR S&P INS ETFCOM78464A7892934241SHSOLE0004241
SPDR SER TR S&P PHARMACEUTICALS ETFCOM78464A7223298197SHSOLE0008197
SPDR SER TR SPDR BARCLAYS SHORT TERM CORP BD ETFCOM78464A4742718868SHSOLE0008868
SPECTRA ENERGY CORP COMCOM84756010931210227SHSOLE00010227
SPECTRA ENERGY PARTNERS LP COMCOM84756N1094739850SHSOLE0009850
SPIRIT AIRLS INC COMCOM8485771022084340SHSOLE0004340
SPIRIT RLTY CAP INC NEW COMCOM84860W10268961326SHSOLE00061326
STARBUCKS CORP COMCOM855244109174529244SHSOLE00029244
STARBUCKS CORP COMCOM85524410936605SHSOLE300605
STATE STR CORP COMCOM8574771031182022SHSOLE1002022
STATE STR CORP COMCOM85747710318313SHSOLE2400313
STATE STR CORP COMCOM85747710383314249SHSOLE00014249
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001365612SHSOLE0005612
STONEMOR PARTNERS L P COM UNITSCOM86183Q1001656790SHSOLE1006790
STRYKER CORPCOM8636671014013745SHSOLE0003745
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM8672241071314737SHSOLE0004737
SUNCOR ENERGY INC NEW COM ISIN#CA8672241079COM8672241072207930SHSOLE11007930
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L10814560SHSOLE000560
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L108218287075SHSOLE110087075
SUNOCO LOGISTICS PARTNERS LP COM UNITSCOM86764L108662652SHSOLE22002652
SUNPOWER CORP SR DEB CONV 0.875% 06/01/21 B/E DTD 06/11/14COM867652AJ8117151000SHSOLE1900151000
SYMANTEC CORPCOM87150310832817882SHSOLE00017882
SYNCHRONOSS TECHNOLOGIES INC SR NT CONV 0.750% 08/15/19 B/E DTD 08/12/14COM87157BAA12021000SHSOLE00021000
SYNCHRONOSS TECHNOLOGIES INC SR NT CONV 0.750% 08/15/19 B/E DTD 08/12/14COM87157BAA12021000SHSOLE190021000
SYSCO CORP COMCOM87182910742905SHSOLE300905
SYSCO CORP COMCOM87182910759312695SHSOLE00012695
TARGET CORP COMCOM87612E10639475SHSOLE300475
TARGET CORP COMCOM87612E1065716947SHSOLE0006947
TASEKO MINES LTDCOM8765111061425600SHSOLE00025600
TEKLA HEALTHCARE OPPORTUNITIES FD SHS BEN INTCOM87910510433421000SHSOLE00021000
TESLA MTRS INC COMCOM88160R1012571119SHSOLE0001119
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T1072124657SHSOLE11004657
TESORO LOGISTICS LP COM UNIT LTD PARTNERSHIP INTCOM88160T10736805SHSOLE2200805
TEVA PHARMACEUTICAL INDUSTRIES LTD ADR ISIN#US8816242098COM8816242094829011SHSOLE0009011
TEXAS PACIFIC LAND TRUST SUB SHARES CERTIFICATES OF PROP INTERESTCOM8826101082912000SHSOLE0002000
TICC CAP CORP SR FXD RT NT CONV 7.500% 11/01/17 B/E DTD 09/26/12COM87244TAB5241248000SHSOLE1900248000
TIER REIT INC COM NEWCOM88650V2081259371SHSOLE0009371
TIER REIT INC COM NEWCOM88650V20813979SHSOLE1100979
TIFFANY & COMPANYCOM88654710816218SHSOLE000218
TIFFANY & COMPANYCOM8865471087279911SHSOLE11009911
TIME WARNER CABLE INC COMCOM88732J2074712305SHSOLE0002305
TIME WARNER INC NEW COM NEWCOM8873173034996884SHSOLE0006884
TJX COS INC NEW COMCOM872540109149419072SHSOLE110019072
TJX COS INC NEW COMCOM8725401092853641SHSOLE0003641
TOLL BROS FIN CORP GTD NT 0.500% 09/15/32 B/E DTD 09/11/12 CLB PUTCOM88947EAM21516000SHSOLE00016000
TOLL BROS FIN CORP GTD NT 0.500% 09/15/32 B/E DTD 09/11/12 CLB PUTCOM88947EAM21819000SHSOLE190019000
TOTAL S A SPONSORED ADRCOM89151E1092655854SHSOLE0005854
TRAVELERS COS INC COMCOM89417E1092151848SHSOLE0001848
TRAVELERS COS INC COMCOM89417E10923200SHSOLE1400200
TRINITY INDS INC COMCOM89652210924013134SHSOLE00013134
TRIUMPH BANCORP INC COMCOM89679E30084953662SHSOLE00053662
TTM TECHNOLOGIES INC SR NT CONV 1.750% 12/15/20 B/E DTD 12/20/13COM87305RAD12023000SHSOLE00023000
TTM TECHNOLOGIES INC SR NT CONV 1.750% 12/15/20 B/E DTD 12/20/13COM87305RAD1445500000SHSOLE1900500000
TWITTER INC COMCOM90184L10225415373SHSOLE00015373
UBS AG LONDON BRH CALLABLE EXCH SEC LKD COM STK GOOGLE ISIN#US90270KAW99 0.000% 02/15/21 B/E DTD 02/19/14 CLBCOM90270KAW9455427000SHSOLE1900427000
UBS GROUP AG SHS ISIN#CH0244767585COMH4209710738724201SHSOLE00024201
UNDER ARMOUR INC CL A COMCOM9043111074024740SHSOLE0004740
UNILEVER NV NEW YORK SHS NEWCOM90478470982118378SHSOLE00018378
UNION PAC CORP COMCOM9078181085957483SHSOLE0007483
UNITED DEV FDG IV COMCOM9101871030106573SHSOLE000106573
UNITED DEV FDG IV COMCOM910187103017600SHSOLE110017600
UNITED PARCEL SVC INC CL BCOM9113121064944689SHSOLE0004689
UNITED STS OIL FD LP UNITSCOM91232N10817518043SHSOLE00018043
UNITED TECHNOLOGIES CORP COMCOM91301710917170SHSOLE1200170
UNITED TECHNOLOGIES CORP COMCOM9130171093523521SHSOLE11003521
UNITED TECHNOLOGIES CORP COMCOM913017109880SHSOLE140080
UNITED TECHNOLOGIES CORP COMCOM9130171099239227SHSOLE0009227
UNITEDHEALTH GROUP INC COMCOM91324P1023462689SHSOLE0002689
UNITEDHEALTH GROUP INC COMCOM91324P10238295SHSOLE300295
UNWIRED PLANET INC NEW COM NEWCOM91531F20214715202SHSOLE00015202
US BANCORP DEL COMCOM9029733042235504SHSOLE0005504
USG CORP (NEW) COMMON STOCKCOM90329340517720SHSOLE000720
USG CORP (NEW) COMMON STOCKCOM9032934052058268SHSOLE1008268
V F CORP COMCOM9182041082403717SHSOLE0003717
V F CORP COMCOM91820410895914815SHSOLE110014815
VALE S A ADR ISIN#US91912E1055COM91912E1057417657SHSOLE00017657
VALERO ENERGY CORP NEW COMCOM91913Y10012195SHSOLE1200195
VALERO ENERGY CORP NEW COMCOM91913Y1001822845SHSOLE0002845
VALERO ENERGY CORP NEW COMCOM91913Y10019303SHSOLE2400303
VALERO ENERGY CORP NEW COMCOM91913Y10030470SHSOLE300470
VALSPAR CORPCOM920355104330SHSOLE00030
VALSPAR CORPCOM92035510464607SHSOLE100607
VALSPAR CORPCOM9203551049959302SHSOLE11009302
VANGUARD BD INDEX FD INC INTERMEDIATE TERM BD ETFCOM9219378192302674SHSOLE0002674
VANGUARD BD INDEX FD INC SHORT TERM BD ETFCOM9219378273374189SHSOLE0004189
VANGUARD BD INDEX FD INC TOTAL BD MARKET ETFCOM92193783593311275SHSOLE00011275
VANGUARD CHARLOTTE FDS TOTAL INTL BD INDEX FD ETF CLCOM92203J4071262327SHSOLE0002327
VANGUARD CHARLOTTE FDS TOTAL INTL BD INDEX FD ETF CLCOM92203J407751379SHSOLE24001379
VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHSCOM9229085122062373SHSOLE0002373
VANGUARD INDEX FDS S&P 500 ETF SHS NEWCOM92290836311005837SHSOLE0005837
VANGUARD INDEX FDS VANGUARD GROWTH ETFCOM922908736197018509SHSOLE00018509
VANGUARD INDEX FDS VANGUARD MID-CAP ETFCOM9229086296495355SHSOLE0005355
VANGUARD INDEX FDS VANGUARD REIT ETFCOM922908553112SHSOLE110012
VANGUARD INDEX FDS VANGUARD REIT ETFCOM922908553253830297SHSOLE240030297
VANGUARD INDEX FDS VANGUARD REIT ETFCOM9229085536357579SHSOLE0007579
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM9229087511261132SHSOLE24001132
VANGUARD INDEX FDS VANGUARD SMALL-CAP ETFCOM922908751181916319SHSOLE00016319
VANGUARD INDEX FDS VANGUARD SMALL-CAP GROWTH ETFCOM922908595120010084SHSOLE00010084
VANGUARD INDEX FDS VANGUARD SMALL-CAP VALUE ETFCOM9229086118948780SHSOLE0008780
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM9229087691491425SHSOLE24001425
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM922908769237122626SHSOLE00022626
VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETFCOM92290876936348SHSOLE1400348
VANGUARD INDEX FDS VANGUARD VALUE ETFCOM922908744183722301SHSOLE00022301
VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETFCOM92204285884324404SHSOLE00024404
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM922042874122SHSOLE110022
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM922042874164733964SHSOLE240033964
VANGUARD INTL EQUITY INDEX FDS FTSE EUROPE ETFCOM9220428742184507SHSOLE0004507
VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHSCOM922020805104621303SHSOLE240021303
VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHSCOM922020805371SHSOLE110071
VANGUARD MALVERN FDS SHORT-TERM INFLATION PROTECTED SECS INDEX FD ETF SHSCOM922020805821687SHSOLE0001687
VANGUARD NAT RES LLC COM UNIT REPSTG LTD LIABLITY CO INTSCOM92205F1067249438SHSOLE00049438
VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX ETF SHSCOM92206C8701661912SHSOLE0001912
VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX ETF SHSCOM92206C87071820SHSOLE100820
VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM GOVERNMENT BOND ETF SHSCOM92206C7065748663SHSOLE0008663
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C409459SHSOLE240059
VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FDCOM92206C4095026273SHSOLE0006273
VANGUARD SPECIALIZED PORTFOLIOS DIVIDEND APPRECIATION INDEX FD ETFCOM921908844168220710SHSOLE00020710
VANGUARD TAX-MANAGED INTL FD FTSE DEVELOPED MKTS ETFCOM92194385848013401SHSOLE00013401
VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHSCOM921946406109615876SHSOLE00015876
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM921910873011SHSOLE110011
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM92191087322318SHSOLE2400318
VANGUARD WORLD FD VANGUARD MEGA CAP ETFCOM9219108733885538SHSOLE0005538
VANGUARD WORLD FD VANGUARD MEGA CAP GROWTH ETFCOM9219108163854638SHSOLE0004638
VANGUARD WORLD FDS VANGUARD CONSUMER STAPLES ETFCOM92204A2072571903SHSOLE0001903
VANGUARD WORLD FDS VANGUARD HEALTH CARE ETFCOM92204A5042341898SHSOLE0001898
VANGUARD WORLD FDS VANGUARD INFORMATION TECHNOLOGY ETFCOM92204A7025024585SHSOLE0004585
VANGUARD WORLD FDS VANGUARD UTILS ETFCOM92204A8763843575SHSOLE0003575
VECTOR GROUP LTD COMCOM92240M10841117997SHSOLE00017997
VENTAS INC COMCOM92276F1004927827SHSOLE0007827
VEREIT INC COMCOM92339V1001505169693SHSOLE000169693
VERINT SYS INC SR NT CONV 1.500% 06/01/21 B/E DTD 06/18/14COM92343XAA8221251000SHSOLE1900251000
VERIZON COMMUNICATIONS INC COMCOM92343V1041492773SHSOLE1002773
VERIZON COMMUNICATIONS INC COMCOM92343V104490SHSOLE240090
VERIZON COMMUNICATIONS INC COMCOM92343V104420977838SHSOLE00077838
VISA INC COM CL ACOM92826C839336443989SHSOLE00043989
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W3081474611SHSOLE0004611
VODAFONE GROUP PLC NEW SPONSORED ADR NO PARCOM92857W30832410138SHSOLE10010138
VOYA GLOBAL EQUITY DIVID & PREM OPPORTUNITY FD COMCOM92912T10057481011SHSOLE00081011
VOYA PRIME RATE TR SH BEN INTCOM92913A10012324514SHSOLE00024514
W P CAREY INC COMCOM92936U1092634233SHSOLE0004233
WAL MART STORES INC COMCOM931142103117117101SHSOLE00017101
WAL MART STORES INC COMCOM9311421032874202SHSOLE1004202
WALGREENS BOOTS ALLIANCE INC COMCOM93142710810125SHSOLE1400125
WALGREENS BOOTS ALLIANCE INC COMCOM9314271081922290SHSOLE1002290
WALGREENS BOOTS ALLIANCE INC COMCOM93142710833400SHSOLE300400
WALGREENS BOOTS ALLIANCE INC COMCOM9314271087729167SHSOLE0009167
WASTE MGMT INC DEL COMCOM94106L1093505940SHSOLE0005940
WEC ENERGY GROUP INC COMCOM92939U1063876450SHSOLE0006450
WELLS FARGO & CO MEDIUM TERM NOTES CONV 0.000% 06/05/20 B/E DTD 06/06/13 CLBCOM94986RQF1329288000SHSOLE1900288000
WELLS FARGO & CO MEDIUM TERM NTS 0.000% 06/10/20 B/E DTD 06/17/13 CLBCOM94986RQH7248269000SHSOLE1900269000
WELLS FARGO & CO NEW COMCOM949746101120124843SHSOLE00024843
WELLS FARGO & CO NEW COMCOM94974610118375SHSOLE1400375
WELLS FARGO & CO NEW COMCOM949746101494SHSOLE240094
WELLS FARGO GLOBAL DIVID OPPORTUNITY FD COM ISIN#US94987C1036COM94987C1038915043SHSOLE00015043
WELLS FARGO INCOME OPPORTUNITIES FUND COM SHSCOM94987B105847112017SHSOLE000112017
WELLS FARGO MULTI SECTOR INCOME FD COM SHSCOM94987D10116313367SHSOLE00013367
WELLTOWER INC COMCOM95040Q10485012272SHSOLE00012272
WESTELL TECHNOLOGIES INC CL ACOM9575411054034482SHSOLE00034482
WESTERN ASSET EMERGING MKTS DEBT FD INC COMCOM95766A10128219431SHSOLE00019431
WESTERN ASSET MANAGED HIGH INCOME FD INCCOM95766L107445100657SHSOLE000100657
WESTERN ASSET MTG CAP CORP COMCOM95790D10511010994SHSOLE00010994
WEYERHAEUSER COCOM96216610472423385SHSOLE00023385
WHOLE FOODS MKT INC COMCOM9668371062217116SHSOLE0007116
WILLIAMS COS INC COMCOM96945710022614085SHSOLE00014085
WILLIAMS PARTNERS LP NEW COM UNIT LTD PARTNERSHIP INTCOM96949L10511583SHSOLE1300583
WILLIAMS PARTNERS LP NEW COM UNIT LTD PARTNERSHIP INTCOM96949L1051195836SHSOLE11005836
WILLIAMS PARTNERS LP NEW COM UNIT LTD PARTNERSHIP INTCOM96949L10521110327SHSOLE00010327
WISDOMTREE TR INTL EQUITY FDCOM97717W703117525681SHSOLE00025681
WISDOMTREE TR JAPAN HEDGED EQUITY FDCOM97717W851123SHSOLE110023
WISDOMTREE TR JAPAN HEDGED EQUITY FDCOM97717W851133230484SHSOLE240030484
WISDOMTREE TR JAPAN HEDGED EQUITY FDCOM97717W851681561SHSOLE0001561
WISDOMTREE TR SMALLCAP DIVID FDCOM97717W60492813506SHSOLE00013506
WISDOMTREE TR TOTAL DIVID FDCOM97717W109235331709SHSOLE00031709
YAHOO INC SR NT 0.000% 12/01/18 B/E DTD 11/26/13COM984332AF378000SHSOLE0008000
YAHOO INC SR NT 0.000% 12/01/18 B/E DTD 11/26/13COM984332AF378000SHSOLE19008000
YAMANA GOLD INC COM ISIN#CA98462Y1007COM98462Y1003712493SHSOLE00012493
YUM BRANDS INC COMCOM9884981012422966SHSOLE0002966