Chief Compliance Officer

0001085146-14-001063.txt : 20140513 0001085146-14-001063.hdr.sgml : 20140513 20140512191223 ACCESSION NUMBER: 0001085146-14-001063 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140513 DATE AS OF CHANGE: 20140512 EFFECTIVENESS DATE: 20140513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Concert Wealth Management Inc. CENTRAL INDEX KEY: 0001456534 IRS NUMBER: 371532751 STATE OF INCORPORATION: CA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13474 FILM NUMBER: 14834980 BUSINESS ADDRESS: STREET 1: 1900 THE ALAMEDA STREET 2: SUITE 300 CITY: SAN JOSE STATE: CA ZIP: 95126 BUSINESS PHONE: 408-856-6310 MAIL ADDRESS: STREET 1: 1900 THE ALAMEDA STREET 2: SUITE 300 CITY: SAN JOSE STATE: CA ZIP: 95126 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001456534 XXXXXXXX 03-31-2014 03-31-2014 false Concert Wealth Management Inc.

1900 THE ALAMEDA SUITE 300 SAN JOSE CA 95126

13F HOLDINGS REPORT 028-13474 Y Proxy voting authority for managers 1-22 reflects only their proxy voting and not CONCERT Wealth Management Inc. CONCERT Wealth Management does not vote proxies for its client. James Thorn Chief Compliance Officer 408-856-6224 /s/ James Thorn San Jose CA 05-09-2014 22 688 800841 01 Adhesion Wealth Advisors 02 Advisors Asset Management 03 Allianz Global Investors 04 Blackrock Investment Management 05 Columbia 06 David Advisors 07 Envestnet 08 Invesco Advisors 09 Lazard Asset 10 Legg Mason Private 11 Lord Abbet 12 Loring Ward 13 NBE International 14 NBE Select 15 NWQ Investment 16 PIMCO 17 Robeco 18 Sitrin Capital Management 19 Thornburg 20 Todd Veredus Asset Management 21 Wells Fargo 22 Winslow Capital INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 544 4069 SH SOLE 0 0 4069 ABBOTT LABS COM 002824100 11 274 SH DFND 1 274 0 0 ABBOTT LABS COM 002824100 8 199 SH DFND 4 199 0 0 ABBOTT LABS COM 002824100 52 1344 SH DFND 7 1344 0 0 ABBOTT LABS COM 002824100 851 22177 SH SOLE 0 0 22177 ABBOTT LABS COM 002824100 0 200 SH Call SOLE 0 0 200 ABBVIE INC COM 00287Y109 1356 26648 SH SOLE 0 0 26648 ABBVIE INC COM 00287Y109 11 214 SH DFND 1 214 0 0 ABBVIE INC COM 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2719 ISHARES EM MK MINVOL ETF 464286533 390 6840 SH SOLE 0 0 6840 ISHARES EMU ETF 464286608 413 9934 SH SOLE 0 0 9934 ISHARES EUROPE ETF 464287861 571 11889 SH SOLE 0 0 11889 ISHARES GL MET&MINPR ETF 464286368 324 16570 SH SOLE 0 0 16570 ISHARES GLOBAL 100 ETF 464287572 212 2745 SH SOLE 0 0 2745 ISHARES IBOXX HI YD ETF 464288513 1074 11419 SH SOLE 0 0 11419 ISHARES IBOXX INV CP ETF 464287242 1340 11459 SH SOLE 0 0 11459 ISHARES IBOXX INV CP ETF 464287242 61 520 SH DFND 7 520 0 0 ISHARES INTERM CR BD ETF 464288638 326 2984 SH SOLE 0 0 2984 ISHARES JP MOR EM MK ETF 464288281 577 5162 SH SOLE 0 0 5162 ISHARES MBS ETF 464288588 1822 17176 SH SOLE 0 0 17176 ISHARES MRNING SM CP ETF 464288703 203 1675 SH SOLE 0 0 1675 ISHARES MSCI EAFE ETF 464287465 2667 39961 SH SOLE 0 0 39961 ISHARES MSCI EMG MKT ETF 464287234 1061 26302 SH SOLE 0 0 26302 ISHARES MSCI JAPAN ETF 464286848 587 51853 SH SOLE 0 0 51853 ISHARES MSCI KLD400 SOC 464288570 215 3074 SH SOLE 0 0 3074 ISHARES MSCI SPAN CP ETF 464286764 432 10800 SH SOLE 0 0 10800 ISHARES MSCI UK ETF 464286699 393 19064 SH SOLE 0 0 19064 ISHARES NA TEC-SFTWR ETF 464287515 577 7002 SH SOLE 0 0 7002 ISHARES NASDQ BIOTEC ETF 464287556 1621 7063 SH SOLE 0 0 7063 ISHARES PHLX SEMICND ETF 464287523 230 2888 SH SOLE 0 0 2888 ISHARES RUS 1000 ETF 464287622 1399 13432 SH SOLE 0 0 13432 ISHARES RUS 1000 GRW ETF 464287614 1558 18125 SH SOLE 0 0 18125 ISHARES RUS 1000 VAL ETF 464287598 1167 12194 SH SOLE 0 0 12194 ISHARES RUS 2000 GRW ETF 464287648 465 3482 SH SOLE 0 0 3482 ISHARES RUS MID-CAP ETF 464287499 216 1428 SH SOLE 0 0 1428 ISHARES RUSSELL 2000 ETF 464287655 4122 36126 SH SOLE 0 0 36126 ISHARES RUSSELL 2000 ETF 464287655 0 800 SH Call SOLE 0 0 800 ISHARES RUSSELL 2000 ETF 464287655 0 900 SH Put SOLE 0 0 900 ISHARES S&P 100 ETF 464287101 206 2506 SH SOLE 0 0 2506 ISHARES S&P 500 GRWT ETF 464287309 445 4480 SH SOLE 0 0 4480 ISHARES S&P 500 VAL ETF 464287408 609 7051 SH SOLE 0 0 7051 ISHARES S&P MC 400GR ETF 464287606 286 1895 SH SOLE 0 0 1895 ISHARES SELECT DIVID ETF 464287168 1598 21948 SH SOLE 0 0 21948 ISHARES SHT NTLAMTFR ETF 464288158 242 2277 SH SOLE 0 0 2277 ISHARES SP SMCP600GR ETF 464287887 636 5449 SH SOLE 0 0 5449 ISHARES TIPS BD ETF 464287176 794 7091 SH SOLE 0 0 7091 ISHARES U.S. CNSM GD ETF 464287812 332 3514 SH SOLE 0 0 3514 ISHARES U.S. CNSM SV ETF 464287580 462 3857 SH SOLE 0 0 3857 ISHARES U.S. ENERGY ETF 464287796 612 12075 SH SOLE 0 0 12075 ISHARES U.S. INDS ETF 464287754 332 3362 SH SOLE 0 0 3362 ISHARES U.S. PFD STK ETF 464288687 1544 39529 SH SOLE 0 0 39529 ISHARES U.S. PHARMA ETF 464288836 299 2387 SH SOLE 0 0 2387 ISHARES U.S. REAL ES ETF 464287739 211 3155 SH SOLE 0 0 3155 ISHARES U.S. TECH ETF 464287721 719 7931 SH SOLE 0 0 7931 ISHARES US HLTHCARE ETF 464287762 1287 10541 SH SOLE 0 0 10541 ISHARES US HLTHCR PR ETF 464288828 426 4299 SH SOLE 0 0 4299 ISHARES US HOME CONS ETF 464288752 350 14486 SH SOLE 0 0 14486 ISHARES GOLD TRUST ISHARES 464285105 388 30870 SH SOLE 0 0 30870 ISHARES SILVER TRUST ISHARES 46428Q109 1440 75439 SH SOLE 0 0 75439 ISHARES TR EAFE MIN VOL ETF 46429B689 730 11628 SH SOLE 0 0 11628 ISHARES TR FLTG RATE BD ETF 46429B655 627 12384 SH SOLE 0 0 12384 ISHARES TR HIGH DIVIDND ETF 46429B663 1565 22101 SH SOLE 0 0 22101 ISHARES TR USA MIN VOL ETF 46429B697 201 5778 SH SOLE 0 0 5778 JOHNSON & JOHNSON COM 478160104 2479 25481 SH SOLE 0 0 25481 JOHNSON CTLS INC COM 478366107 1252 26879 SH SOLE 0 0 26879 JOY GLOBAL INC COM 481165108 714 12175 SH SOLE 0 0 12175 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 382 8261 SH SOLE 0 0 8261 JPMORGAN CHASE & CO COM 46625H100 1643 27226 SH SOLE 0 0 27226 KELLOGG CO COM 487836108 259 4199 SH SOLE 0 0 4199 KEYCORP NEW COM 493267108 440 31180 SH SOLE 0 0 31180 KIMBERLY CLARK CORP COM 494368103 520 4737 SH SOLE 0 0 4737 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1001 13564 SH SOLE 0 0 13564 KKR & CO L P DEL COM UNITS 48248M102 1093 48448 SH SOLE 0 0 48448 KODIAK OIL & GAS CORP COM 50015Q100 2398 198590 SH SOLE 0 0 198590 KRAFT FOODS GROUP INC COM 50076Q106 269 4849 SH SOLE 0 0 4849 LAM RESEARCH CORP COM 512807108 443 8211 SH SOLE 0 0 8211 LAS VEGAS SANDS CORP COM 517834107 808 10294 SH SOLE 0 0 10294 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 445 75745 SH SOLE 0 0 75745 LIBERTY ALL-STAR GROWTH FD I COM 529900102 71 12353 SH SOLE 0 0 12353 LIFELOCK INC COM 53224V100 209 12150 SH SOLE 0 0 12150 LILLY ELI & CO COM 532457108 398 6788 SH SOLE 0 0 6788 LINN ENERGY LLC UNIT LTD LIAB 536020100 228 7905 SH SOLE 0 0 7905 LOCKHEED MARTIN CORP COM 539830109 213 1333 SH SOLE 0 0 1333 LORILLARD INC COM 544147101 306 5738 SH SOLE 0 0 5738 LOWES COS INC COM 548661107 480 9773 SH SOLE 0 0 9773 LTC PPTYS INC COM 502175102 272 7200 SH SOLE 0 0 7200 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 291 12542 SH SOLE 0 0 12542 MACYS INC COM 55616P104 355 6010 SH SOLE 0 0 6010 MADISON SQUARE GARDEN CO CL A 55826P100 285 5092 SH SOLE 0 0 5092 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 200 2884 SH SOLE 0 0 2884 MAGNA INTL INC COM 559222401 203 2103 SH SOLE 0 0 2103 MAGNUM HUNTER RES CORP DEL COM 55973B102 399 48250 SH SOLE 0 0 48250 MANAGED HIGH YIELD PLUS FD I COM 561911108 32 15805 SH SOLE 0 0 15805 MANITOWOC INC COM 563571108 461 14895 SH SOLE 0 0 14895 MARATHON OIL CORP COM 565849106 396 11212 SH SOLE 0 0 11212 MARATHON PETE CORP COM 56585A102 713 8106 SH SOLE 0 0 8106 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 262 4879 SH SOLE 0 0 4879 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 671 27894 SH SOLE 0 0 27894 MASCO CORP COM 574599106 221 10224 SH SOLE 0 0 10224 MASTERCARD INC CL A 57636Q104 288 3963 SH SOLE 0 0 3963 MCDERMOTT INTL INC COM 580037109 356 45429 SH SOLE 0 0 45429 MCDONALDS CORP COM 580135101 554 5696 SH SOLE 0 0 5696 MCKESSON CORP COM 58155Q103 506 2876 SH SOLE 0 0 2876 MEDTRONIC INC COM 585055106 455 7557 SH SOLE 0 0 7557 MERCK & CO INC NEW COM 58933Y105 851 15152 SH SOLE 0 0 15152 METLIFE INC COM 59156R108 1146 21823 SH SOLE 0 0 21823 MFS INTER INCOME TR SH BEN INT 55273C107 136 26097 SH SOLE 0 0 26097 MICROSOFT CORP COM 594918104 19 470 SH DFND 10 470 0 0 MICROSOFT CORP COM 594918104 1 14 SH DFND 11 14 0 0 MICROSOFT CORP COM 594918104 5 116 SH DFND 15 116 0 0 MICROSOFT CORP COM 594918104 5 125 SH DFND 3 125 0 0 MICROSOFT CORP COM 594918104 8 205 SH DFND 4 205 0 0 MICROSOFT CORP COM 594918104 2 60 SH DFND 6 60 0 0 MICROSOFT CORP COM 594918104 41 1013 SH DFND 7 1013 0 0 MICROSOFT CORP COM 594918104 3740 93123 SH SOLE 0 0 93123 MOBILE MINI INC COM 60740F105 224 5285 SH SOLE 0 0 5285 MONDELEZ INTL INC CL A 609207105 847 24691 SH SOLE 0 0 24691 MONSANTO CO NEW COM 61166W101 268 2384 SH SOLE 0 0 2384 MORGAN STANLEY COM NEW 617446448 526 17106 SH SOLE 0 0 17106 MYLAN INC COM 628530107 333 6818 SH SOLE 0 0 6818 NATIONAL OILWELL VARCO INC COM 637071101 980 12521 SH SOLE 0 0 12521 NETSUITE INC COM 64118Q107 1032 11173 SH SOLE 0 0 11173 NIKE INC CL B 654106103 1206 16413 SH SOLE 0 0 16413 NORDSTROM INC COM 655664100 680 11003 SH SOLE 0 0 11003 NORTHSTAR RLTY FIN CORP COM 66704R100 336 21171 SH SOLE 0 0 21171 NORTHWEST BANCSHARES INC MD COM 667340103 1239 86484 SH SOLE 0 0 86484 NORTHWEST BIOTHERAPEUTICS IN COM PAR $0.001 66737P600 215 29853 SH SOLE 0 0 29853 NOVARTIS A G SPONSORED ADR 66987V109 676 8347 SH SOLE 0 0 8347 NOVO-NORDISK A S ADR 670100205 452 9995 SH SOLE 0 0 9995 NUVEEN AMT-FREE MUN INCOME F COM 670657105 232 17875 SH SOLE 0 0 17875 NUVEEN CA SELECT QUALITY MUN COM 670975101 162 11300 SH SOLE 0 0 11300 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 302 31912 SH SOLE 0 0 31912 NUVEEN MUN VALUE FD INC COM 670928100 139 14637 SH SOLE 0 0 14637 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 511 38239 SH SOLE 0 0 38239 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 144 10580 SH SOLE 0 0 10580 OAKTREE CAP GROUP LLC UNIT CL A 674001201 872 15029 SH SOLE 0 0 15029 OCCIDENTAL PETE CORP DEL COM 674599105 941 9819 SH SOLE 0 0 9819 OCWEN FINL CORP COM NEW 675746309 851 21842 SH SOLE 0 0 21842 OMNICOM GROUP INC COM 681919106 396 5483 SH SOLE 0 0 5483 OMNICOM GROUP INC COM 681919106 8 104 SH DFND 4 104 0 0 OMNICOM GROUP INC COM 681919106 2 57 SH DFND 1 57 0 0 ORACLE CORP COM 68389X105 1212 30547 SH SOLE 0 0 30547 ORASURE TECHNOLOGIES INC COM 68554V108 197 25200 SH SOLE 0 0 25200 PACCAR INC COM 693718108 234 3529 SH SOLE 0 0 3529 PAPA JOHNS INTL INC COM 698813102 315 6094 SH SOLE 0 0 6094 PARKER HANNIFIN CORP COM 701094104 7 60 SH DFND 1 60 0 0 PARKER HANNIFIN CORP COM 701094104 8 66 SH DFND 4 66 0 0 PARKER HANNIFIN CORP COM 701094104 1 8 SH DFND 6 8 0 0 PARKER HANNIFIN CORP COM 701094104 324 2711 SH SOLE 0 0 2711 PENNEY J C INC COM 708160106 277 31150 SH SOLE 0 0 31150 PEPCO HOLDINGS INC COM 713291102 366 18201 SH SOLE 0 0 18201 PEPSICO INC COM 713448108 1267 15337 SH SOLE 0 0 15337 PETROLEUM & RES CORP COM 716549100 496 17747 SH SOLE 0 0 17747 PFIZER INC COM 717081103 2577 80907 SH SOLE 0 0 80907 PFIZER INC COM 717081103 12 385 SH DFND 10 385 0 0 PFIZER INC COM 717081103 3 98 SH DFND 11 98 0 0 PFIZER INC COM 717081103 4 134 SH DFND 15 134 0 0 PFIZER INC COM 717081103 151 4722 SH DFND 18 4722 0 0 PFIZER INC COM 717081103 5 159 SH DFND 3 159 0 0 PFIZER INC COM 717081103 10 324 SH DFND 4 324 0 0 PFIZER INC COM 717081103 39 1217 SH DFND 7 1217 0 0 PHILIP MORRIS INTL INC COM 718172109 1102 13634 SH SOLE 0 0 13634 PHILLIPS 66 COM 718546104 318 4118 SH SOLE 0 0 4118 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 852 8020 SH SOLE 0 0 8020 PIMCO ETF TR CDA BD IDX FD 72201R759 396 4335 SH SOLE 0 0 4335 PIMCO ETF TR TOTL RETN ETF 72201R775 903 8471 SH SOLE 0 0 8471 PIMCO HIGH INCOME FD COM SHS 722014107 369 28770 SH SOLE 0 0 28770 PINNACLE WEST CAP CORP COM 723484101 275 5082 SH SOLE 0 0 5082 PIONEER HIGH INCOME TR COM 72369H106 294 16379 SH SOLE 0 0 16379 PIONEER NAT RES CO COM 723787107 489 2595 SH SOLE 0 0 2595 PNC FINL SVCS GROUP INC COM 693475105 276 3194 SH SOLE 0 0 3194 POTASH CORP SASK INC COM 73755L107 1283 36068 SH SOLE 0 0 36068 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 722 27484 SH SOLE 0 0 27484 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 677 20262 SH SOLE 0 0 20262 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 800 40158 SH SOLE 0 0 40158 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 1846 50354 SH SOLE 0 0 50354 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 789 19607 SH SOLE 0 0 19607 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 3202 57651 SH SOLE 0 0 57651 POWERSHARES ETF TRUST DYNAMIC MKT PT 73935X104 2020 28748 SH SOLE 0 0 28748 POWERSHARES ETF TRUST DYNAMIC OTC PT 73935X203 1651 24379 SH SOLE 0 0 24379 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 1202 46459 SH SOLE 0 0 46459 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 360 12426 SH SOLE 0 0 12426 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 817 46019 SH SOLE 0 0 46019 POWERSHARES ETF TRUST FND PR MIDGRT PT 73935X807 2028 67986 SH SOLE 0 0 67986 POWERSHARES ETF TRUST FND PUR MDVAL PT 73935X880 285 11213 SH SOLE 0 0 11213 POWERSHARES ETF TRUST FND PUR SMGRT PT 73935X872 615 25445 SH SOLE 0 0 25445 POWERSHARES ETF TRUST FND PUR SMVAL PT 73935X864 275 11090 SH SOLE 0 0 11090 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 1862 22224 SH SOLE 0 0 22224 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 483 4932 SH SOLE 0 0 4932 POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 372 30930 SH SOLE 0 0 30930 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 785 65454 SH SOLE 0 0 65454 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 689 37827 SH SOLE 0 0 37827 POWERSHARES ETF TRUST S&P 500 HGH QLTY 73935X682 647 31619 SH SOLE 0 0 31619 POWERSHARES ETF TRUST ZACKS MC PRTFL 73935X740 439 25955 SH SOLE 0 0 25955 POWERSHARES ETF TRUST II DWA DEVMKTMOM PT 73936Q108 904 33607 SH SOLE 0 0 33607 POWERSHARES ETF TRUST II DWA EMKT MOM PTF 73936Q207 208 11710 SH SOLE 0 0 11710 POWERSHARES ETF TRUST II DWA SC MOMNT PTF 73936Q744 256 6656 SH SOLE 0 0 6656 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 462 32885 SH SOLE 0 0 32885 POWERSHARES GLOBAL ETF TRUST GBL WTR PORT 73936T623 201 8407 SH SOLE 0 0 8407 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 310 12889 SH SOLE 0 0 12889 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5949 68313 SH SOLE 0 0 68313 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 0 2200 SH Call SOLE 0 0 2200 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 0 1300 SH Put SOLE 0 0 1300 PPL CORP COM 69351T106 338 10219 SH SOLE 0 0 10219 PRAXAIR INC COM 74005P104 264 2037 SH SOLE 0 0 2037 PRICE T ROWE GROUP INC COM 74144T108 553 6767 SH SOLE 0 0 6767 PRICELINE COM INC COM NEW 741503403 314 262 SH SOLE 0 0 262 PROCTER & GAMBLE CO COM 742718109 17 210 SH DFND 10 210 0 0 PROCTER & GAMBLE CO COM 742718109 1 12 SH DFND 11 12 0 0 PROCTER & GAMBLE CO COM 742718109 163 2062 SH DFND 18 2062 0 0 PROCTER & GAMBLE CO COM 742718109 8 99 SH DFND 4 99 0 0 PROCTER & GAMBLE CO COM 742718109 53 658 SH DFND 7 658 0 0 PROCTER & GAMBLE CO COM 742718109 2362 29657 SH SOLE 0 0 29657 PROSHARES TR PSHS LC COR PLUS 74347R248 1867 20892 SH SOLE 0 0 20892 PROSHARES TR PSHS ULT HLTHCRE 74347R735 322 3681 SH SOLE 0 0 3681 PROSHARES TR PSHS ULT MCAP400 74347R404 313 4860 SH SOLE 0 0 4860 PROSHARES TR PSHS ULT S&P 500 74347R107 369 3575 SH SOLE 0 0 3575 PROSHARES TR PSHS ULTRA QQQ 74347R206 658 6697 SH SOLE 0 0 6697 PROSHARES TR S&P 500 ARISTO 74348A467 940 21465 SH SOLE 0 0 21465 PRUDENTIAL FINL INC COM 744320102 1119 13392 SH SOLE 0 0 13392 PUBLIC STORAGE COM 74460D109 470 2798 SH SOLE 0 0 2798 PULTE GROUP INC COM 745867101 249 12865 SH SOLE 0 0 12865 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 59 11500 SH SOLE 0 0 11500 QUALCOMM INC COM 747525103 3 39 SH DFND 22 39 0 0 QUALCOMM INC COM 747525103 1 16 SH DFND 6 16 0 0 QUALCOMM INC COM 747525103 36 451 SH DFND 1 451 0 0 QUALCOMM INC COM 747525103 4327 54413 SH SOLE 0 0 54413 QUALCOMM INC COM 747525103 217 2721 SH DFND 18 2721 0 0 RADIAN GROUP INC COM 750236101 448 30755 SH SOLE 0 0 30755 RAYTHEON CO COM NEW 755111507 587 5952 SH SOLE 0 0 5952 REALTY INCOME CORP COM 756109104 416 10173 SH SOLE 0 0 10173 RED HAT INC COM 756577102 382 7361 SH SOLE 0 0 7361 REVENUESHARES ETF TR ADR FD 761396605 200 4896 SH SOLE 0 0 4896 REVENUESHARES ETF TR LARGECAP FD 761396100 249 6617 SH SOLE 0 0 6617 REVENUESHARES ETF TR MID CAP FD 761396209 293 6580 SH SOLE 0 0 6580 REVENUESHARES ETF TR SMALL CAP FD 761396308 1756 32825 SH SOLE 0 0 32825 ROSS STORES INC COM 778296103 230 3197 SH SOLE 0 0 3197 ROYAL BK CDA MONTREAL QUE COM 780087102 869 13237 SH SOLE 0 0 13237 ROYCE FOCUS TR COM 78080N108 211 26938 SH SOLE 0 0 26938 ROYCE MICRO-CAP TR INC COM 780915104 358 29361 SH SOLE 0 0 29361 RYDEX ETF TRUST GUG RUSS TOP 50 78355W205 808 6294 SH SOLE 0 0 6294 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 919 7582 SH SOLE 0 0 7582 RYDEX ETF TRUST GUG S&P SC500 EQ 78355W882 376 4819 SH SOLE 0 0 4819 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 2161 29942 SH SOLE 0 0 29942 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W833 296 3642 SH SOLE 0 0 3642 RYDEX ETF TRUST GUG S&P500 PU VA 78355W304 735 14485 SH SOLE 0 0 14485 RYDEX ETF TRUST GUG S&P500EQWTFI 78355W858 683 17029 SH SOLE 0 0 17029 RYDEX ETF TRUST GUG S&P500EQWTHC 78355W841 633 5497 SH SOLE 0 0 5497 RYDEX ETF TRUST GUG S&P500EQWTTE 78355W817 451 5671 SH SOLE 0 0 5671 SANDRIDGE ENERGY INC COM 80007P307 1417 226040 SH SOLE 0 0 226040 SANOFI SPONSORED ADR 80105N105 220 4227 SH SOLE 0 0 4227 SAP AG SPON ADR 803054204 294 3654 SH SOLE 0 0 3654 SCHLUMBERGER LTD COM 806857108 1933 19695 SH SOLE 0 0 19695 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 499 13612 SH SOLE 0 0 13612 SEATTLE GENETICS INC COM 812578102 255 5762 SH SOLE 0 0 5762 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 987 15843 SH SOLE 0 0 15843 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2041 47930 SH SOLE 0 0 47930 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1620 27947 SH SOLE 0 0 27947 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1446 16153 SH SOLE 0 0 16153 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2332 105423 SH SOLE 0 0 105423 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1030 19966 SH SOLE 0 0 19966 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1156 28091 SH SOLE 0 0 28091 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 919 19502 SH SOLE 0 0 19502 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2987 82704 SH SOLE 0 0 82704 SEMPRA ENERGY COM 816851109 1010 10551 SH SOLE 0 0 10551 SOUTHERN CO COM 842587107 245 5645 SH SOLE 0 0 5645 SOUTHWESTERN ENERGY CO COM 845467109 639 13925 SH SOLE 0 0 13925 SOVRAN SELF STORAGE INC COM 84610H108 765 10525 SH SOLE 0 0 10525 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 2460 15100 SH SOLE 0 0 15100 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 0 1000 SH Call SOLE 0 0 1000 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 0 800 SH Put SOLE 0 0 800 SPDR S&P 500 ETF TR TR UNIT 78462F103 12549 67626 SH SOLE 0 0 67626 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 500 SH Put SOLE 0 0 500 SPDR SER TR SHT TRM HGH YLD 78468R408 506 16296 SH SOLE 0 0 16296 SPDR SERIES TRUST BARC SHT TR CP 78464A474 844 27582 SH SOLE 0 0 27582 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 1590 33161 SH SOLE 0 0 33161 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 566 13855 SH SOLE 0 0 13855 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 907 15871 SH SOLE 0 0 15871 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 393 4324 SH SOLE 0 0 4324 SPDR SERIES TRUST S&P BIOTECH 78464A870 692 5009 SH SOLE 0 0 5009 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2958 40658 SH SOLE 0 0 40658 SPDR SERIES TRUST S&P PHARMAC 78464A722 229 2504 SH SOLE 0 0 2504 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 384 4575 SH SOLE 0 0 4575 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 325 30161 SH SOLE 0 0 30161 STANDARD PAC CORP NEW COM 85375C101 172 21140 SH SOLE 0 0 21140 STANLEY BLACK & DECKER INC COM 854502101 205 2555 SH SOLE 0 0 2555 STARBUCKS CORP COM 855244109 4542 61752 SH SOLE 0 0 61752 STARBUCKS CORP COM 855244109 4 53 SH DFND 21 53 0 0 STARBUCKS CORP COM 855244109 30 409 SH DFND 1 409 0 0 STARBUCKS CORP COM 855244109 6 78 SH DFND 22 78 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 342 4281 SH SOLE 0 0 4281 STRYKER CORP COM 863667101 219 2737 SH SOLE 0 0 2737 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 210 5120 SH SOLE 0 0 5120 SUNTRUST BKS INC COM 867914103 285 7310 SH SOLE 0 0 7310 SYNAPTICS INC COM 87157D109 1757 30210 SH SOLE 0 0 30210 TABLEAU SOFTWARE INC CL A 87336U105 271 3565 SH SOLE 0 0 3565 TARGET CORP COM 87612E106 402 6711 SH SOLE 0 0 6711 TCW STRATEGIC INCOME FUND IN COM 872340104 1336 246392 SH SOLE 0 0 246392 TEMPLETON GLOBAL INCOME FD COM 880198106 166 20633 SH SOLE 0 0 20633 TESLA MTRS INC COM 88160R101 353 1662 SH SOLE 0 0 1662 TEXAS INSTRS INC COM 882508104 325 6911 SH SOLE 0 0 6911 THE ADT CORPORATION COM 00101J106 211 7105 SH SOLE 0 0 7105 THERAVANCE INC COM 88338T104 245 8120 SH SOLE 0 0 8120 THERMO FISHER SCIENTIFIC INC COM 883556102 290 2422 SH SOLE 0 0 2422 TIMKEN CO COM 887389104 310 5275 SH SOLE 0 0 5275 TJX COS INC NEW COM 872540109 664 11130 SH SOLE 0 0 11130 TORONTO DOMINION BK ONT COM NEW 891160509 213 4582 SH SOLE 0 0 4582 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 442 9600 SH SOLE 0 0 9600 TOTAL S A SPONSORED ADR 89151E109 450 6825 SH SOLE 0 0 6825 TRAVELERS COMPANIES INC COM 89417E109 635 7581 SH SOLE 0 0 7581 TRIANGLE PETE CORP COM NEW 89600B201 87 10550 SH SOLE 0 0 10550 TRIQUINT SEMICONDUCTOR INC COM 89674K103 216 16578 SH SOLE 0 0 16578 TRIQUINT SEMICONDUCTOR INC COM 89674K103 3 200 SH DFND 17 200 0 0 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 300 3751 SH SOLE 0 0 3751 TWENTY FIRST CENTY FOX INC CL A 90130A101 639 20268 SH SOLE 0 0 20268 TYSON FOODS INC CL A 902494103 203 4679 SH SOLE 0 0 4679 UBIQUITI NETWORKS INC COM 90347A100 209 4700 SH SOLE 0 0 4700 UBS AG JERSEY BRH ALERIAN INFRST 902641646 334 8425 SH SOLE 0 0 8425 UNILEVER PLC SPON ADR NEW 904767704 237 5558 SH SOLE 0 0 5558 UNILIFE CORP NEW COM 90478E103 262 65715 SH SOLE 0 0 65715 UNION PAC CORP COM 907818108 745 4027 SH SOLE 0 0 4027 UNITED PARCEL SERVICE INC CL B 911312106 20278 208348 SH SOLE 0 0 208348 UNITED PARCEL SERVICE INC CL B 911312106 26 261 SH DFND 7 261 0 0 UNITED PARCEL SERVICE INC CL B 911312106 16 167 SH DFND 10 167 0 0 UNITED PARCEL SERVICE INC CL B 911312106 153 1572 SH DFND 18 1572 0 0 UNITED RENTALS INC COM 911363109 1247 13539 SH SOLE 0 0 13539 UNITED TECHNOLOGIES CORP COM 913017109 1393 12151 SH SOLE 0 0 12151 UNITEDHEALTH GROUP INC COM 91324P102 410 5016 SH SOLE 0 0 5016 US BANCORP DEL COM NEW 902973304 493 11794 SH SOLE 0 0 11794 V F CORP COM 918204108 210 3419 SH SOLE 0 0 3419 VALE S A ADR 91912E105 416 30481 SH SOLE 0 0 30481 VALERO ENERGY CORP NEW COM 91913Y100 635 12026 SH SOLE 0 0 12026 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 528 6340 SH SOLE 0 0 6340 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1155 14414 SH SOLE 0 0 14414 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 726 8977 SH SOLE 0 0 8977 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1094 13096 SH SOLE 0 0 13096 VANGUARD INDEX FDS GROWTH ETF 922908736 582 6277 SH SOLE 0 0 6277 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1359 14900 SH SOLE 0 0 14900 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 455 5571 SH SOLE 0 0 5571 VANGUARD INDEX FDS MID CAP ETF 922908629 763 6805 SH SOLE 0 0 6805 VANGUARD INDEX FDS REIT ETF 922908553 955 13617 SH SOLE 0 0 13617 VANGUARD INDEX FDS SM CP VAL ETF 922908611 425 4332 SH SOLE 0 0 4332 VANGUARD INDEX FDS SMALL CP ETF 922908751 1083 9733 SH SOLE 0 0 9733 VANGUARD INDEX FDS SML CP GRW ETF 922908595 2039 16740 SH SOLE 0 0 16740 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1083 11217 SH SOLE 0 0 11217 VANGUARD INDEX FDS VALUE ETF 922908744 346 4470 SH SOLE 0 0 4470 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 368 7392 SH SOLE 0 0 7392 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 391 9725 SH SOLE 0 0 9725 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 1149 19515 SH SOLE 0 0 19515 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 358 6750 SH SOLE 0 0 6750 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 497 10080 SH SOLE 0 0 10080 VANGUARD NAT RES LLC COM UNIT 92205F106 409 13825 SH SOLE 0 0 13825 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 222 2783 SH DFND 7 2783 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 92206C623 317 3276 SH SOLE 0 0 3276 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1466 19762 SH SOLE 0 0 19762 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 281 6884 SH SOLE 0 0 6884 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1174 18592 SH SOLE 0 0 18592 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 557 5280 SH SOLE 0 0 5280 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 1960 17798 SH SOLE 0 0 17798 VANGUARD WORLD FDS ENERGY ETF 92204A306 814 6341 SH SOLE 0 0 6341 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 563 12496 SH SOLE 0 0 12496 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 2020 19163 SH SOLE 0 0 19163 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1074 10808 SH SOLE 0 0 10808 VANGUARD WORLD FDS INF TECH ETF 92204A702 1265 13958 SH SOLE 0 0 13958 VANGUARD WORLD FDS MATERIALS ETF 92204A801 850 8130 SH SOLE 0 0 8130 VANGUARD WORLD FDS UTILITIES ETF 92204A876 415 4646 SH SOLE 0 0 4646 VANTAGE DRILLING COMPANY ORD SHS G93205113 19 11360 SH SOLE 0 0 11360 VERIZON COMMUNICATIONS INC COM 92343V104 3569 75570 SH SOLE 0 0 75570 VERTEX PHARMACEUTICALS INC COM 92532F100 630 9213 SH SOLE 0 0 9213 VIACOM INC NEW CL B 92553P201 868 10378 SH SOLE 0 0 10378 VISA INC COM CL A 92826C839 1227 5832 SH SOLE 0 0 5832 WABCO HLDGS INC COM 92927K102 469 4509 SH SOLE 0 0 4509 WAL-MART STORES INC COM 931142103 717 9339 SH SOLE 0 0 9339 WELLPOINT INC COM 94973V107 389 3909 SH SOLE 0 0 3909 WELLS FARGO & CO NEW COM 949746101 8 168 SH DFND 4 168 0 0 WELLS FARGO & CO NEW COM 949746101 21 457 SH DFND 1 457 0 0 WELLS FARGO & CO NEW COM 949746101 1972 40004 SH SOLE 0 0 40004 WELLS FARGO & CO NEW COM 949746101 0 400 SH Call SOLE 0 0 400 WELLS FARGO & CO NEW COM 949746101 46 926 SH DFND 7 926 0 0 WELLS FARGO & CO NEW COM 949746101 10 198 SH DFND 6 198 0 0 WELLS FARGO & CO NEW COM 949746101 172 3478 SH DFND 18 3478 0 0 WELLS FARGO & CO NEW COM 949746101 4 78 SH DFND 15 78 0 0 WELLS FARGO & CO NEW COM 949746101 10 193 SH DFND 10 193 0 0 WELLS FARGO & CO NEW COM 949746101 3 55 SH DFND 11 55 0 0 WELLS FARGO & CO NEW COM 949746101 11 233 SH DFND 3 233 0 0 WESTERN DIGITAL CORP COM 958102105 11 98 SH DFND 1 98 0 0 WESTERN DIGITAL CORP COM 958102105 774 8647 SH SOLE 0 0 8647 WEYERHAEUSER CO COM 962166104 693 23478 SH SOLE 0 0 23478 WHIRLPOOL CORP COM 963320106 274 1857 SH SOLE 0 0 1857 WHITEWAVE FOODS CO COM CL A 966244105 211 7547 SH SOLE 0 0 7547 WHOLE FOODS MKT INC COM 966837106 411 8000 SH SOLE 0 0 8000 WILLIAMS SONOMA INC COM 969904101 246 3684 SH SOLE 0 0 3684 WISDOMTREE TR DEFA FD 97717W703 401 7355 SH SOLE 0 0 7355 WISDOMTREE TR DIV EX-FINL FD 97717W406 1216 17493 SH SOLE 0 0 17493 WISDOMTREE TR EARNING 500 FD 97717W588 238 3665 SH SOLE 0 0 3665 WISDOMTREE TR EM LCL DEBT FD 97717X867 235 5069 SH SOLE 0 0 5069 WISDOMTREE TR EMERG MKTS ETF 97717W315 1326 27347 SH SOLE 0 0 27347 WISDOMTREE TR EMG MKTS SMCAP 97717W281 443 9606 SH SOLE 0 0 9606 WISDOMTREE TR EQTY INC ETF 97717W208 805 14305 SH SOLE 0 0 14305 WISDOMTREE TR EUROPE SMCP DV 97717W869 340 5511 SH SOLE 0 0 5511 WISDOMTREE TR GLB EQTY INC FD 97717W877 379 8045 SH SOLE 0 0 8045 WISDOMTREE TR INTL DIV EX FINL 97717W786 378 7746 SH SOLE 0 0 7746 WISDOMTREE TR INTL MIDCAP DV 97717W778 352 5855 SH SOLE 0 0 5855 WISDOMTREE TR JAPN HEDGE EQT 97717W851 1277 27131 SH SOLE 0 0 27131 WISDOMTREE TR LARGECAP DIVID 97717W307 365 5457 SH SOLE 0 0 5457 WISDOMTREE TR MDCP EARN FUND 97717W570 1200 13799 SH SOLE 0 0 13799 WISDOMTREE TR MIDCAP DIVI FD 97717W505 907 11900 SH SOLE 0 0 11900 WISDOMTREE TR SMALLCAP DIVID 97717W604 572 8483 SH SOLE 0 0 8483 WISDOMTREE TR SMLCAP EARN FD 97717W562 480 6009 SH SOLE 0 0 6009 WISDOMTREE TR TOTAL DIVID FD 97717W109 1516 22484 SH SOLE 0 0 22484 WISDOMTREE TR TTL EARNING FD 97717W596 261 3883 SH SOLE 0 0 3883 WOODWARD INC COM 980745103 502 12352 SH SOLE 0 0 12352 WYNN RESORTS LTD COM 983134107 500 2274 SH SOLE 0 0 2274 XILINX INC COM 983919101 986 18302 SH SOLE 0 0 18302 YAHOO INC COM 984332106 2 58 SH DFND 11 58 0 0 YAHOO INC COM 984332106 1493 41510 SH SOLE 0 0 41510 YUM BRANDS INC COM 988498101 556 7559 SH SOLE 0 0 7559