0001085146-13-001838.txt : 20131107
0001085146-13-001838.hdr.sgml : 20131107
20131107144708
ACCESSION NUMBER: 0001085146-13-001838
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131107
DATE AS OF CHANGE: 20131107
EFFECTIVENESS DATE: 20131107
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Dominick & Dominick LLC
CENTRAL INDEX KEY: 0001453102
IRS NUMBER: 134023549
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1230
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13375
FILM NUMBER: 131200088
BUSINESS ADDRESS:
STREET 1: 150 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-558-8800
MAIL ADDRESS:
STREET 1: 150 EAST 52ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001453102
XXXXXXXX
09-30-2013
09-30-2013
false
Dominick & Dominick LLC
150 EAST 52ND STREET
NEW YORK
NY
10022
13F HOLDINGS REPORT
028-13375
N
Robert X. Reilly
Chief Operating Officer
212-558-8902
/s/ Robert X. Reilly
New York
NY
11-06-2013
0
172
180282
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
3M CO
COM
88579Y101
357
2986
SH
SOLE
3
0
0
ABBOTT LABS
COM
002824100
1429
43050
SH
SOLE
43
0
0
ABBVIE INC
COM
00287Y109
2067
46200
SH
SOLE
46
0
0
AFLAC INC
COM
001055102
1072
17300
SH
SOLE
17
0
0
ALCATEL-LUCENT
SPONSORED ADR
013904305
71
20000
SH
SOLE
20
0
0
ALLERGAN INC
COM
018490102
990
10950
SH
SOLE
11
0
0
ALTRIA GROUP INC
COM
02209S103
474
13807
SH
SOLE
14
0
0
AMAZON COM INC
COM
023135106
299
955
SH
SOLE
1
0
0
AMERICAN EXPRESS CO
COM
025816109
276
3650
SH
SOLE
4
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
938
19290
SH
SOLE
19
0
0
AMGEN INC
COM
031162100
336
3005
SH
SOLE
3
0
0
ANHEUSER BUSCH INBEV SA/NV
SPONSORED ADR
03524A108
952
9600
SH
SOLE
10
0
0
APPLE INC
COM
037833100
9295
19496
SH
SOLE
19
0
0
AT&T INC
COM
00206R102
2128
62925
SH
SOLE
63
0
0
AVON PRODS INC
COM
054303102
553
26828
SH
SOLE
27
0
0
B/E AEROSPACE INC
COM
073302101
834
11300
SH
SOLE
11
0
0
BANK OF AMERICA CORPORATION
COM
060505104
938
67953
SH
SOLE
68
0
0
BARRICK GOLD CORP
COM
067901108
808
43400
SH
SOLE
43
0
0
BAXTER INTL INC
COM
071813109
1163
17700
SH
SOLE
18
0
0
BED BATH & BEYOND INC
COM
075896100
549
7100
SH
SOLE
7
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
996
8775
SH
SOLE
9
0
0
BIOTA PHARMACEUTIALS INC
COM
090694100
260
62089
SH
SOLE
62
0
0
BLACKROCK MUN TARGET TERM TR
COM SHS BEN IN
09257P105
294
16216
SH
SOLE
16
0
0
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
243
9760
SH
SOLE
10
0
0
BLACKSTONE GSO STRATEGIC CR
COM SHS BEN IN
09257R101
979
55317
SH
SOLE
55
0
0
BP PLC
SPONSORED ADR
055622104
455
10821
SH
SOLE
11
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
267
5767
SH
SOLE
6
0
0
BROWN FORMAN CORP
CL B
115637209
347
5100
SH
SOLE
5
0
0
CATERPILLAR INC DEL
COM
149123101
2051
24588
SH
SOLE
25
0
0
CERNER CORP
COM
156782104
736
14000
SH
SOLE
14
0
0
CHEVRON CORP NEW
COM
166764100
3931
32352
SH
SOLE
32
0
0
CHINA MOBILE LIMITED
SPONSORED ADR
16941M109
717
12700
SH
SOLE
13
0
0
CINTAS CORP
COM
172908105
401
7833
SH
SOLE
8
0
0
CISCO SYS INC
COM
17275R102
1572
67100
SH
SOLE
67
0
0
CLEAN ENERGY FUELS CORP
COM
184499101
321
25151
SH
SOLE
25
0
0
CLEAN HARBORS INC
COM
184496107
833
14200
SH
SOLE
14
0
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
129
10000
SH
SOLE
10
0
0
COCA COLA CO
COM
191216100
2426
64057
SH
SOLE
64
0
0
COCA COLA FEMSA S A B DE C V
SPON ADR REP L
191241108
1020
8100
SH
SOLE
8
0
0
COHEN & STEERS SLT PFD INCM
COM
19248Y107
445
18575
SH
SOLE
19
0
0
CONOCOPHILLIPS
COM
20825C104
1572
22608
SH
SOLE
23
0
0
CONSOLIDATED EDISON INC
COM
209115104
1490
27025
SH
SOLE
27
0
0
CORNING INC
COM
219350105
554
38000
SH
SOLE
38
0
0
COSTCO WHSL CORP NEW
COM
22160K105
507
4400
SH
SOLE
4
0
0
CSX CORP
COM
126408103
588
22840
SH
SOLE
23
0
0
CVS CAREMARK CORPORATION
COM
126650100
1242
21892
SH
SOLE
22
0
0
CYTORI THERAPEUTICS INC
COM
23283K105
64
27350
SH
SOLE
27
0
0
DANAHER CORP DEL
COM
235851102
627
9050
SH
SOLE
9
0
0
DAVITA HEALTHCARE PARTNERS I
COM
23918K108
358
6300
SH
SOLE
6
0
0
DEERE & CO
COM
244199105
231
2835
SH
SOLE
3
0
0
DIAGEO P L C
SPON ADR NEW
25243Q205
705
5550
SH
SOLE
6
0
0
DIRECTV
COM
25490A309
556
9300
SH
SOLE
9
0
0
DISNEY WALT CO
COM DISNEY
254687106
2517
39034
SH
SOLE
39
0
0
DOMINION RES INC VA NEW
COM
25746U109
574
9180
SH
SOLE
9
0
0
DOUBLELINE INCOME SOLUTIONS
COM
258622109
803
36600
SH
SOLE
37
0
0
DOW CHEM CO
COM
260543103
1336
34800
SH
SOLE
35
0
0
DU PONT E I DE NEMOURS & CO
COM
263534109
3439
58721
SH
SOLE
59
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
853
12769
SH
SOLE
13
0
0
DYNAVAX TECHNOLOGIES CORP
COM
268158102
20
16800
SH
SOLE
17
0
0
EATON VANCE TAX MNGD GBL DV
COM
27829F108
188
20000
SH
SOLE
20
0
0
EATON VANCE TX ADV GLBL DIV
COM
27828S101
156
10000
SH
SOLE
10
0
0
ECOLAB INC
COM
278865100
1653
16740
SH
SOLE
17
0
0
EMERSON ELEC CO
COM
291011104
1142
17649
SH
SOLE
18
0
0
EMULEX CORP
COM NEW
292475209
234
30150
SH
SOLE
30
0
0
EXCO RESOURCES INC
COM
269279402
84
12500
SH
SOLE
13
0
0
EXXON MOBIL CORP
COM
30231G102
8164
94881
SH
SOLE
0
0
0
FACEBOOK INC
CL A
30303M102
925
18416
SH
SOLE
18
0
0
FEDEX CORP
COM
31428X106
799
7000
SH
SOLE
7
0
0
FLUOR CORP NEW
COM
343412102
249
3515
SH
SOLE
4
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
934
55350
SH
SOLE
55
0
0
FREEPORT-MCMORAN COPPER & GO
COM
35671D857
549
16610
SH
SOLE
17
0
0
GENERAL ELECTRIC CO
COM
369604103
4856
203259
SH
SOLE
0
0
0
GENERAL MLS INC
COM
370334104
501
10460
SH
SOLE
10
0
0
GILEAD SCIENCES INC
COM
375558103
327
5200
SH
SOLE
5
0
0
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
1229
24495
SH
SOLE
24
0
0
GOOGLE INC
CL A
38259P508
541
618
SH
SOLE
1
0
0
GREAT LAKES DREDGE & DOCK CO
COM
390607109
86
11600
SH
SOLE
12
0
0
HARRIS & HARRIS GROUP INC
COM
413833104
45
14982
SH
SOLE
15
0
0
HD SUPPLY HLDGS INC
COM
40416M105
677
30800
SH
SOLE
31
0
0
HESS CORP
COM
42809H107
391
5060
SH
SOLE
5
0
0
HOME DEPOT INC
COM
437076102
1219
16075
SH
SOLE
16
0
0
HONEYWELL INTL INC
COM
438516106
424
5100
SH
SOLE
5
0
0
INERGY MIDSTREAM LP
U LTD PARTNERS
45671U106
265
12000
SH
SOLE
12
0
0
INGERSOLL-RAND PLC
SHS
G47791101
487
7500
SH
SOLE
8
0
0
INTEL CORP
COM
458140100
1964
85706
SH
SOLE
86
0
0
INTELLICHECK MOBILISA INC
COM
45817G102
144
242900
SH
SOLE
0
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
4818
26020
SH
SOLE
26
0
0
INTUIT
COM
461202103
332
5000
SH
SOLE
5
0
0
ISHARES
MSCI JAPAN ETF
464286848
253
21198
SH
SOLE
21
0
0
ISHARES
MSCI EMG MKT ETF
464287234
228
5600
SH
SOLE
6
0
0
ISHARES
IBOXX INV CP ETF
464287242
1203
10600
SH
SOLE
11
0
0
ISHARES
CORE S&P MCP ETF
464287507
465
3747
SH
SOLE
4
0
0
ISHARES
INTL SEL DIV ETF
464288448
551
15200
SH
SOLE
15
0
0
JOHNSON & JOHNSON
COM
478160104
5620
64830
SH
SOLE
65
0
0
JPMORGAN CHASE & CO
COM
46625H100
1531
29625
SH
SOLE
30
0
0
KIMBERLY CLARK CORP
COM
494368103
1448
15371
SH
SOLE
15
0
0
KINDER MORGAN ENERGY PARTNER
UT LTD PARTNER
494550106
282
3528
SH
SOLE
4
0
0
LAS VEGAS SANDS CORP
COM
517834107
496
7464
SH
SOLE
7
0
0
LEAR CORP
COM NEW
521865204
222
3100
SH
SOLE
3
0
0
LOWES COS INC
COM
548661107
747
15700
SH
SOLE
16
0
0
MARKET VECTORS ETF TR
GOLD MINER ETF
57060U100
400
15997
SH
SOLE
16
0
0
MARKET VECTORS ETF TR
MKTVEC INTMUETF
57060U845
949
42500
SH
SOLE
43
0
0
MARRIOTT INTL INC NEW
CL A
571903202
336
8000
SH
SOLE
8
0
0
MASTERCARD INC
CL A
57636Q104
531
790
SH
SOLE
1
0
0
MCDONALDS CORP
COM
580135101
1329
13818
SH
SOLE
14
0
0
MERCK & CO INC NEW
COM
58933Y105
7121
149578
SH
SOLE
150
0
0
MICROSOFT CORP
COM
594918104
538
16176
SH
SOLE
16
0
0
MIMEDX GROUP INC
COM
602496101
80
19100
SH
SOLE
19
0
0
MONSANTO CO NEW
COM
61166W101
1015
9725
SH
SOLE
10
0
0
MORGAN STANLEY
COM NEW
617446448
495
18382
SH
SOLE
18
0
0
MYLAN INC
COM
628530107
576
15100
SH
SOLE
15
0
0
NIKE INC
CL B
654106103
1634
22500
SH
SOLE
23
0
0
NOVARTIS A G
SPONSORED ADR
66987V109
2444
31860
SH
SOLE
0
0
0
NOVO-NORDISK A S
ADR
670100205
203
1200
SH
SOLE
1
0
0
NTT DOCOMO INC
SPONS ADR
62942M201
852
52500
SH
SOLE
53
0
0
NUVEEN INTER DURATION MN TMF
COM
670671106
283
24619
SH
SOLE
25
0
0
NUVEEN NY AMT-FREE MUN INCOM
COM
670656107
130
10643
SH
SOLE
11
0
0
NUVEEN PFD & INCOME TERM FD
COM
67075A106
1027
45287
SH
SOLE
45
0
0
ORACLE CORP
COM
68389X105
557
16800
SH
SOLE
17
0
0
PEPSICO INC
COM
713448108
1242
15625
SH
SOLE
16
0
0
PERKINELMER INC
COM
714046109
360
9540
SH
SOLE
10
0
0
PFIZER INC
COM
717081103
727
25314
SH
SOLE
25
0
0
PHILIP MORRIS INTL INC
COM
718172109
976
11272
SH
SOLE
11
0
0
PIMCO DYNAMIC CR INCOME FD
COM SHS
72202D106
1420
63833
SH
SOLE
64
0
0
PIMCO ETF TR
TOTL RETN ETF
72201R775
328
3100
SH
SOLE
3
0
0
PIMCO ETF TR
INTER MUN BD ST
72201R866
1554
29800
SH
SOLE
30
0
0
POTASH CORP SASK INC
COM
73755L107
440
14060
SH
SOLE
14
0
0
PPG INDS INC
COM
693506107
222
1330
SH
SOLE
1
0
0
PPL CORP
COM
69351T106
1026
33774
SH
SOLE
34
0
0
PRICESMART INC
COM
741511109
452
4750
SH
SOLE
5
0
0
PROCTER & GAMBLE CO
COM
742718109
1834
24265
SH
SOLE
24
0
0
PROSHARES TR II
ULTRA GOLD
74347W601
1037
20380
SH
SOLE
20
0
0
PUBLIC SVC ENTERPRISE GROUP
COM
744573106
272
8270
SH
SOLE
8
0
0
QUALCOMM INC
COM
747525103
1115
16562
SH
SOLE
17
0
0
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
2012
30635
SH
SOLE
31
0
0
SANOFI
SPONSORED ADR
80105N105
830
16400
SH
SOLE
16
0
0
SCHLUMBERGER LTD
COM
806857108
2997
33915
SH
SOLE
34
0
0
SEADRILL LIMITED
SHS
G7945E105
227
5035
SH
SOLE
5
0
0
SHERWIN WILLIAMS CO
COM
824348106
847
4650
SH
SOLE
5
0
0
SIRIUS XM RADIO INC
COM
82967N108
43
11000
SH
SOLE
11
0
0
SOUTHERN CO
COM
842587107
1515
36800
SH
SOLE
37
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
993
7750
SH
SOLE
8
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2102
12512
SH
SOLE
13
0
0
STAR SCIENTIFIC INC
COM
85517P101
25
13000
SH
SOLE
13
0
0
STARZ
COM SER A
85571Q102
275
9765
SH
SOLE
10
0
0
STONE HBR EMERG MRKTS INC FD
COM
86164T107
359
18297
SH
SOLE
18
0
0
TARGET CORP
COM
87612E106
1466
22920
SH
SOLE
23
0
0
TIFFANY & CO NEW
COM
886547108
3233
42200
SH
SOLE
42
0
0
TIM HORTONS INC
COM
88706M103
493
8500
SH
SOLE
9
0
0
TIME WARNER CABLE INC
COM
88732J207
279
2501
SH
SOLE
3
0
0
TJX COS INC NEW
COM
872540109
287
5085
SH
SOLE
5
0
0
TORONTO DOMINION BK ONT
COM NEW
891160509
450
5000
SH
SOLE
5
0
0
TOTAL S A
SPONSORED ADR
89151E109
298
5150
SH
SOLE
5
0
0
UNILEVER N V
N Y SHS NEW
904784709
450
11925
SH
SOLE
12
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
1973
21595
SH
SOLE
22
0
0
UNITED TECHNOLOGIES CORP
COM
913017109
4676
43372
SH
SOLE
43
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
841
11750
SH
SOLE
12
0
0
VANGUARD BD INDEX FD INC
INTERMED TERM
921937819
1532
18350
SH
SOLE
18
0
0
VANGUARD BD INDEX FD INC
SHORT TRM BOND
921937827
1483
18450
SH
SOLE
18
0
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
250
3000
SH
SOLE
3
0
0
VARIAN MED SYS INC
COM
92220P105
392
5250
SH
SOLE
5
0
0
VECTREN CORP
COM
92240G101
200
6000
SH
SOLE
6
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
637
13651
SH
SOLE
14
0
0
VERMILLION INC
COM NEW
92407M206
88
34300
SH
SOLE
34
0
0
VISA INC
COM CL A
92826C839
384
2008
SH
SOLE
2
0
0
W P CAREY INC
COM
92936U109
997
15407
SH
SOLE
15
0
0
WALGREEN CO
COM
931422109
3131
58200
SH
SOLE
58
0
0
WAL-MART STORES INC
COM
931142103
1161
15704
SH
SOLE
16
0
0
WASTE MGMT INC DEL
COM
94106L109
355
8610
SH
SOLE
9
0
0
WELLS FARGO & CO NEW
COM
949746101
666
16115
SH
SOLE
16
0
0
XEROX CORP
COM
984121103
323
31345
SH
SOLE
31
0
0
ZYNGA INC
CL A
98986T108
90
24500
SH
SOLE
25
0
0