Chief Compliance Officer

0001085146-14-001463.txt : 20140731 0001085146-14-001463.hdr.sgml : 20140731 20140730192323 ACCESSION NUMBER: 0001085146-14-001463 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140630 FILED AS OF DATE: 20140731 DATE AS OF CHANGE: 20140730 EFFECTIVENESS DATE: 20140731 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: 141004144 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 06-30-2014 06-30-2014 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 1-7 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 07-30-2014 7 637 815784 1 Columbia 2 Envestnet 3 Invesco Advisors 4 NBE International 5 NBE Select 6 NWQ Investment 7 Sitrin Capital Management INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 655 4765 SH SOLE 0 0 4765 ABBOTT LABS COM 002824100 53 1344 SH DFND 2 1344 0 0 ABBOTT LABS COM 002824100 898 22532 SH SOLE 0 0 22532 ABBOTT LABS COM 002824100 0 200 SH Call SOLE 0 0 200 ABBVIE INC COM 00287Y109 5 100 SH DFND 2 100 0 0 ABBVIE INC COM 00287Y109 1486 27051 SH SOLE 0 0 27051 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 334 37730 SH SOLE 0 0 37730 ACUITY BRANDS INC COM 00508Y102 466 3388 SH SOLE 0 0 3388 ADOBE SYS INC COM 00724F101 1358 19311 SH SOLE 0 0 19311 ADVISORSHARES TR PERITUS HG YLD 00768Y503 2944 55502 SH SOLE 0 0 55502 AETNA INC NEW COM 00817Y108 282 3660 SH SOLE 0 0 3660 AFLAC INC COM 001055102 3 73 SH DFND 2 73 0 0 AFLAC INC COM 001055102 1488 24002 SH SOLE 0 0 24002 AKAMAI TECHNOLOGIES INC 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241 2280 SH SOLE 0 0 2280 ISHARES SP SMCP600GR ETF 464287887 308 2606 SH SOLE 0 0 2606 ISHARES TIPS BD ETF 464287176 792 7173 SH SOLE 0 0 7173 ISHARES U.S. CNSM GD ETF 464287812 293 3022 SH SOLE 0 0 3022 ISHARES U.S. ENERGY ETF 464287796 439 8015 SH SOLE 0 0 8015 ISHARES U.S. INDS ETF 464287754 658 6576 SH SOLE 0 0 6576 ISHARES U.S. PFD STK ETF 464288687 1427 38788 SH SOLE 0 0 38788 ISHARES U.S. PHARMA ETF 464288836 296 2271 SH SOLE 0 0 2271 ISHARES U.S. REAL ES ETF 464287739 346 4998 SH SOLE 0 0 4998 ISHARES U.S. TECH ETF 464287721 509 5497 SH SOLE 0 0 5497 ISHARES U.S. UTILITS ETF 464287697 439 4100 SH SOLE 0 0 4100 ISHARES US HLTHCARE ETF 464287762 520 4209 SH SOLE 0 0 4209 ISHARES US HLTHCR PR ETF 464288828 402 4039 SH SOLE 0 0 4039 ISHARES US HOME CONS ETF 464288752 310 13486 PRN SOLE 0 0 13486 ISHARES GOLD TRUST ISHARES 464285105 836 69409 SH SOLE 0 0 69409 ISHARES SILVER TRUST ISHARES 46428Q109 401 20494 SH SOLE 0 0 20494 ISHARES TR 0-5 YR TIPS ETF 46429B747 203 2040 SH SOLE 0 0 2040 ISHARES TR EAFE MIN VOL ETF 46429B689 698 10928 SH SOLE 0 0 10928 ISHARES TR FLTG RATE BD ETF 46429B655 597 12163 SH SOLE 0 0 12163 ISHARES TR HIGH DIVIDND ETF 46429B663 1641 22238 SH SOLE 0 0 22238 ISHARES TR USA MIN VOL ETF 46429B697 203 5777 SH SOLE 0 0 5777 JOHNSON & JOHNSON COM 478160104 259 2637 SH DFND 7 2637 0 0 JOHNSON & JOHNSON COM 478160104 2538 25265 SH SOLE 0 0 25265 JOHNSON CTLS INC COM 478366107 1328 28213 SH SOLE 0 0 28213 JOY GLOBAL INC COM 481165108 713 11979 SH SOLE 0 0 11979 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 468 9166 SH SOLE 0 0 9166 JPMORGAN CHASE & CO COM 46625H100 1498 27477 SH SOLE 0 0 27477 KELLOGG CO COM 487836108 266 4281 SH SOLE 0 0 4281 KEYCORP NEW COM 493267108 417 30585 SH SOLE 0 0 30585 KEYCORP NEW COM 493267108 14 10700 SH Call SOLE 0 0 10700 KIMBERLY CLARK CORP COM 494368103 547 5067 SH SOLE 0 0 5067 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1087 13537 SH SOLE 0 0 13537 KKR & CO L P DEL COM UNITS 48248M102 1075 44744 SH SOLE 0 0 44744 KODIAK OIL & GAS CORP COM 50015Q100 2822 195790 SH SOLE 0 0 195790 KRAFT FOODS GROUP INC COM 50076Q106 239 4598 SH SOLE 0 0 4598 LAM RESEARCH CORP COM 512807108 528 8166 SH SOLE 0 0 8166 LAS VEGAS SANDS CORP COM 517834107 773 10642 SH SOLE 0 0 10642 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 427 74267 SH SOLE 0 0 74267 LIBERTY ALL-STAR GROWTH FD I COM 529900102 62 12353 SH SOLE 0 0 12353 LILLY ELI & CO COM 532457108 398 6675 SH SOLE 0 0 6675 LINN ENERGY LLC UNIT LTD LIAB 536020100 212 7017 SH SOLE 0 0 7017 LOCKHEED MARTIN CORP COM 539830109 291 1909 SH SOLE 0 0 1909 LORILLARD INC COM 544147101 354 6034 SH SOLE 0 0 6034 LOWES COS INC COM 548661107 436 9474 SH SOLE 0 0 9474 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 312 12553 SH SOLE 0 0 12553 MACYS INC COM 55616P104 337 6220 SH SOLE 0 0 6220 MADISON SQUARE GARDEN CO CL A 55826P100 284 4838 SH SOLE 0 0 4838 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 240 2883 SH SOLE 0 0 2883 MAGNA INTL INC COM 559222401 232 2332 SH SOLE 0 0 2332 MAGNUM HUNTER RES CORP DEL COM 55973B102 143 17850 SH SOLE 0 0 17850 MANAGED HIGH YIELD PLUS FD I COM 561911108 31 15805 SH SOLE 0 0 15805 MANITOWOC INC COM 563571108 479 14895 SH SOLE 0 0 14895 MARATHON OIL CORP COM 565849106 482 13064 SH SOLE 0 0 13064 MARATHON PETE CORP COM 56585A102 589 7957 SH SOLE 0 0 7957 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 262 4878 SH SOLE 0 0 4878 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 593 23808 SH SOLE 0 0 23808 MASTERCARD INC CL A 57636Q104 299 4190 SH SOLE 0 0 4190 MCDERMOTT INTL INC COM 580037109 341 44613 SH SOLE 0 0 44613 MCDONALDS CORP COM 580135101 552 5655 SH SOLE 0 0 5655 MCKESSON CORP COM 58155Q103 461 2578 SH SOLE 0 0 2578 MEDTRONIC INC COM 585055106 459 7460 SH SOLE 0 0 7460 MERCK & CO INC NEW COM 58933Y105 881 16031 SH SOLE 0 0 16031 METLIFE INC COM 59156R108 299 5682 SH DFND 7 5682 0 0 METLIFE INC COM 59156R108 1092 20624 SH SOLE 0 0 20624 MEXICO FD INC COM 592835102 204 7834 SH SOLE 0 0 7834 MFS INTER INCOME TR SH BEN INT 55273C107 107 20720 SH SOLE 0 0 20720 MICROSOFT CORP COM 594918104 4 116 SH DFND 6 116 0 0 MICROSOFT CORP COM 594918104 3852 94630 SH SOLE 0 0 94630 MICROSOFT CORP COM 594918104 39 994 SH DFND 2 994 0 0 MOBILE MINI INC COM 60740F105 251 5345 SH SOLE 0 0 5345 MONDELEZ INTL INC CL A 609207105 853 24220 SH SOLE 0 0 24220 MONSANTO CO NEW COM 61166W101 323 2689 SH SOLE 0 0 2689 MORGAN STANLEY COM NEW 617446448 523 16917 SH SOLE 0 0 16917 MYLAN INC COM 628530107 358 7028 SH SOLE 0 0 7028 NATIONAL OILWELL VARCO INC COM 637071101 975 12530 SH SOLE 0 0 12530 NETSUITE INC COM 64118Q107 969 11173 SH SOLE 0 0 11173 NETSUITE INC COM 64118Q107 0 500 SH Call SOLE 0 0 500 NEUBERGER BERMAN RE ES SEC F COM 64190A103 93 18881 SH SOLE 0 0 18881 NIKE INC CL B 654106103 1243 16823 SH SOLE 0 0 16823 NORDSTROM INC COM 655664100 725 10893 SH SOLE 0 0 10893 NORTHWEST BANCSHARES INC MD COM 667340103 1269 98597 SH SOLE 0 0 98597 NORTHWEST BIOTHERAPEUTICS IN COM PAR $0.001 66737P600 83 13353 SH SOLE 0 0 13353 NOVARTIS A G SPONSORED ADR 66987V109 809 9338 SH SOLE 0 0 9338 NOVO-NORDISK A S ADR 670100205 468 10480 SH SOLE 0 0 10480 NUVEEN AMT-FREE MUN INCOME F COM 670657105 240 17875 SH SOLE 0 0 17875 NUVEEN CA DIVIDEND ADV MUN F COM 67066Y105 150 10783 SH SOLE 0 0 10783 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 281 31928 SH SOLE 0 0 31928 NUVEEN MUN VALUE FD INC COM 670928100 138 14637 SH SOLE 0 0 14637 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 470 34267 SH SOLE 0 0 34267 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 147 10580 SH SOLE 0 0 10580 OAKTREE CAP GROUP LLC UNIT CL A 674001201 697 14935 SH SOLE 0 0 14935 OCCIDENTAL PETE CORP DEL COM 674599105 984 10065 SH SOLE 0 0 10065 OCWEN FINL CORP COM NEW 675746309 1009 28372 SH SOLE 0 0 28372 OMNICOM GROUP INC COM 681919106 395 5645 SH SOLE 0 0 5645 ORACLE CORP COM 68389X105 215 5893 SH DFND 7 5893 0 0 ORACLE CORP COM 68389X105 1134 29485 SH SOLE 0 0 29485 ORASURE TECHNOLOGIES INC COM 68554V108 195 23200 SH SOLE 0 0 23200 PACCAR INC COM 693718108 295 4911 SH SOLE 0 0 4911 PAPA JOHNS INTL INC COM 698813102 250 6094 SH SOLE 0 0 6094 PARKER HANNIFIN CORP COM 701094104 322 2649 SH SOLE 0 0 2649 PENNEY J C INC COM 708160106 255 29700 SH SOLE 0 0 29700 PEPCO HOLDINGS INC COM 713291102 462 17108 SH SOLE 0 0 17108 PEPSICO INC COM 713448108 1304 15355 SH SOLE 0 0 15355 PETROLEUM & RES CORP COM 716549100 535 17723 SH SOLE 0 0 17723 PFIZER INC COM 717081103 209 7494 SH DFND 7 7494 0 0 PFIZER INC COM 717081103 2252 80649 SH SOLE 0 0 80649 PHILIP MORRIS INTL INC COM 718172109 1123 13965 SH SOLE 0 0 13965 PHILLIPS 66 COM 718546104 314 4271 SH SOLE 0 0 4271 PIMCO CALIF MUN INCOME FD II COM 72201C109 395 38100 SH SOLE 0 0 38100 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 795 7716 SH SOLE 0 0 7716 PIMCO ETF TR CDA BD IDX FD 72201R759 382 4058 SH SOLE 0 0 4058 PIMCO ETF TR TOTL RETN ETF 72201R775 886 8245 SH SOLE 0 0 8245 PIMCO HIGH INCOME FD COM SHS 722014107 414 31644 SH SOLE 0 0 31644 PINNACLE WEST CAP CORP COM 723484101 299 5332 SH SOLE 0 0 5332 PIONEER HIGH INCOME TR COM 72369H106 360 19943 SH SOLE 0 0 19943 PIONEER NAT RES CO COM 723787107 548 2510 SH SOLE 0 0 2510 PNC FINL SVCS GROUP INC COM 693475105 271 3269 SH SOLE 0 0 3269 POTASH CORP SASK INC COM 73755L107 1322 36273 SH SOLE 0 0 36273 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 746 30692 SH SOLE 0 0 30692 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 1076 31487 SH SOLE 0 0 31487 POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 824 40109 SH SOLE 0 0 40109 POWERSHARES ETF TRUST DWA MOMENTUM PTF 73935X153 1881 49521 SH SOLE 0 0 49521 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 804 18969 PRN SOLE 0 0 18969 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 3348 56308 SH SOLE 0 0 56308 POWERSHARES ETF TRUST DYNAMIC MKT PT 73935X104 2051 28699 SH SOLE 0 0 28699 POWERSHARES ETF TRUST DYNAMIC OTC PT 73935X203 1597 23740 SH SOLE 0 0 23740 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 1239 46459 SH SOLE 0 0 46459 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 368 12426 SH SOLE 0 0 12426 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 818 45707 SH SOLE 0 0 45707 POWERSHARES ETF TRUST FND PR MIDGRT PT 73935X807 2058 67986 SH SOLE 0 0 67986 POWERSHARES ETF TRUST FND PUR MDVAL PT 73935X880 296 11214 SH SOLE 0 0 11214 POWERSHARES ETF TRUST FND PUR SMGRT PT 73935X872 618 25410 SH SOLE 0 0 25410 POWERSHARES ETF TRUST FND PUR SMVAL PT 73935X864 275 11090 SH SOLE 0 0 11090 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 2152 24639 SH SOLE 0 0 24639 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 491 4932 SH SOLE 0 0 4932 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 821 66956 PRN SOLE 0 0 66956 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 716 38534 SH SOLE 0 0 38534 POWERSHARES ETF TRUST S&P 500 HGH QLTY 73935X682 672 32176 SH SOLE 0 0 32176 POWERSHARES ETF TRUST ZACKS MC PRTFL 73935X740 420 25855 SH SOLE 0 0 25855 POWERSHARES ETF TRUST II DWA DEVMKTMOM PT 73936Q108 762 30295 SH SOLE 0 0 30295 POWERSHARES ETF TRUST II DWA EMKT MOM PTF 73936Q207 201 11709 SH SOLE 0 0 11709 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 441 31482 SH SOLE 0 0 31482 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 316 12929 SH SOLE 0 0 12929 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5143 56031 SH SOLE 0 0 56031 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 352 10274 SH SOLE 0 0 10274 PRAXAIR INC COM 74005P104 266 2037 SH SOLE 0 0 2037 PRICE T ROWE GROUP INC COM 74144T108 271 3414 SH DFND 7 3414 0 0 PRICE T ROWE GROUP INC COM 74144T108 430 5554 SH SOLE 0 0 5554 PRICELINE GRP INC COM NEW 741503403 320 270 SH SOLE 0 0 270 PROCTER & GAMBLE CO COM 742718109 49 658 SH DFND 2 658 0 0 PROCTER & GAMBLE CO COM 742718109 259 3520 SH DFND 7 3520 0 0 PROCTER & GAMBLE CO COM 742718109 2156 29260 SH SOLE 0 0 29260 PROSHARES TR PSHS LC COR PLUS 74347R248 2065 22192 SH SOLE 0 0 22192 PROSHARES TR PSHS ULT HLTHCRE 74347R735 212 2171 SH SOLE 0 0 2171 PROSHARES TR PSHS ULT MCAP400 74347R404 491 7032 SH SOLE 0 0 7032 PROSHARES TR PSHS ULT S&P 500 74347R107 418 3743 SH SOLE 0 0 3743 PROSHARES TR PSHS ULTRA QQQ 74347R206 738 6697 PRN SOLE 0 0 6697 PROSHARES TR PSHS ULTRUSS2000 74347R842 352 4033 SH SOLE 0 0 4033 PROSHARES TR S&P 500 ARISTO 74348A467 998 22214 SH SOLE 0 0 22214 PROTECTIVE LIFE CORP COM 743674103 247 3640 SH SOLE 0 0 3640 PRUDENTIAL FINL INC COM 744320102 1138 13632 SH SOLE 0 0 13632 PUBLIC STORAGE COM 74460D109 494 2961 SH SOLE 0 0 2961 PULTE GROUP INC COM 745867101 234 11823 SH SOLE 0 0 11823 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 57 11500 SH SOLE 0 0 11500 QUALCOMM INC COM 747525103 256 3503 SH DFND 7 3503 0 0 QUALCOMM INC COM 747525103 3875 51456 SH SOLE 0 0 51456 RADIAN GROUP INC COM 750236101 435 30755 SH SOLE 0 0 30755 RAYTHEON CO COM NEW 755111507 589 6618 SH SOLE 0 0 6618 REALTY INCOME CORP COM 756109104 629 14442 SH SOLE 0 0 14442 RED HAT INC COM 756577102 393 7341 SH SOLE 0 0 7341 REVENUESHARES ETF TR MID CAP FD 761396209 249 6532 SH SOLE 0 0 6532 REVENUESHARES ETF TR SMALL CAP FD 761396308 1786 32772 SH SOLE 0 0 32772 RITE AID CORP COM 767754104 106 15875 SH SOLE 0 0 15875 ROSS STORES INC COM 778296103 278 4471 SH SOLE 0 0 4471 ROYAL BK CDA MONTREAL QUE COM 780087102 941 13236 SH SOLE 0 0 13236 ROYCE FOCUS TR COM 78080N108 223 26946 SH SOLE 0 0 26946 ROYCE MICRO-CAP TR INC COM 780915104 359 29419 SH SOLE 0 0 29419 RYDEX ETF TRUST GUG RUSS TOP 50 78355W205 827 6294 SH SOLE 0 0 6294 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 809 6585 SH SOLE 0 0 6585 RYDEX ETF TRUST GUG S&P SC500 EQ 78355W882 370 4685 SH SOLE 0 0 4685 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 2309 30862 SH SOLE 0 0 30862 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W833 313 3694 SH SOLE 0 0 3694 RYDEX ETF TRUST GUG S&P500 PU VA 78355W304 946 17891 SH SOLE 0 0 17891 RYDEX ETF TRUST GUG S&P500EQWTFI 78355W858 709 17296 SH SOLE 0 0 17296 RYDEX ETF TRUST GUG S&P500EQWTHC 78355W841 518 4287 SH SOLE 0 0 4287 RYDEX ETF TRUST GUG S&P500EQWTTE 78355W817 540 6572 SH SOLE 0 0 6572 SANDRIDGE ENERGY INC COM 80007P307 1594 226240 SH SOLE 0 0 226240 SANOFI SPONSORED ADR 80105N105 211 4127 SH SOLE 0 0 4127 SAP AG SPON ADR 803054204 244 3489 SH SOLE 0 0 3489 SCHLUMBERGER LTD COM 806857108 297 2673 SH DFND 7 2673 0 0 SCHLUMBERGER LTD COM 806857108 2216 19483 SH SOLE 0 0 19483 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 225 7426 SH SOLE 0 0 7426 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 354 10610 SH SOLE 0 0 10610 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 765 15086 SH SOLE 0 0 15086 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 2461 52154 SH SOLE 0 0 52154 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 588 15837 SH SOLE 0 0 15837 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 472 12262 SH SOLE 0 0 12262 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 404 7490 SH SOLE 0 0 7490 SEATTLE GENETICS INC COM 812578102 220 5812 SH SOLE 0 0 5812 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 842 13706 SH SOLE 0 0 13706 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2111 49411 SH SOLE 0 0 49411 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1405 23841 SH SOLE 0 0 23841 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1434 14626 SH SOLE 0 0 14626 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1891 86882 SH SOLE 0 0 86882 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1014 19397 SH SOLE 0 0 19397 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1247 29322 SH SOLE 0 0 29322 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 687 15056 SH SOLE 0 0 15056 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 2902 78532 SH SOLE 0 0 78532 SEMPRA ENERGY COM 816851109 16 167 SH DFND 2 167 0 0 SEMPRA ENERGY COM 816851109 1085 10581 SH SOLE 0 0 10581 SOUTHERN CO COM 842587107 250 5797 SH SOLE 0 0 5797 SOUTHWESTERN ENERGY CO COM 845467109 611 14010 SH SOLE 0 0 14010 SOVRAN SELF STORAGE INC COM 84610H108 808 10525 PRN SOLE 0 0 10525 SPANSION INC COM CL A NEW 84649R200 529 25500 SH SOLE 0 0 25500 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1612 9751 SH SOLE 0 0 9751 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 INDEX SHS FDS DJ GLB RL ES ETF 78463X749 538 12513 SH SOLE 0 0 12513 SPDR S&P 500 ETF TR TR UNIT 78462F103 16936 87584 SH SOLE 0 0 87584 SPDR S&P 500 ETF TR TR UNIT 78462F103 0 1200 SH Put SOLE 0 0 1200 SPDR SER TR SHT TRM HGH YLD 78468R408 486 16046 SH SOLE 0 0 16046 SPDR SERIES TRUST BARC SHT TR CP 78464A474 836 28294 SH SOLE 0 0 28294 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 1217 24606 SH SOLE 0 0 24606 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 529 13288 SH SOLE 0 0 13288 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 922 15974 SH SOLE 0 0 15974 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 365 6545 SH SOLE 0 0 6545 SPDR SERIES TRUST DB INT GVT ETF 78464A490 206 3392 SH SOLE 0 0 3392 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 392 4224 SH SOLE 0 0 4224 SPDR SERIES TRUST S&P BIOTECH 78464A870 417 2776 SH SOLE 0 0 2776 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2514 33672 SH SOLE 0 0 33672 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 305 3575 SH SOLE 0 0 3575 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 310 29985 SH SOLE 0 0 29985 STANDARD PAC CORP NEW COM 85375C101 170 21140 SH SOLE 0 0 21140 STANLEY BLACK & DECKER INC COM 854502101 226 2787 SH SOLE 0 0 2787 STARBUCKS CORP COM 855244109 4696 61826 SH SOLE 0 0 61826 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 331 4197 SH SOLE 0 0 4197 STRYKER CORP COM 863667101 234 2848 SH SOLE 0 0 2848 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 216 4970 SH SOLE 0 0 4970 SUNTRUST BKS INC COM 867914103 309 8091 SH SOLE 0 0 8091 SYNAPTICS INC COM 87157D109 3363 37210 SH SOLE 0 0 37210 TABLEAU SOFTWARE INC CL A 87336U105 246 3539 SH SOLE 0 0 3539 TARGET CORP COM 87612E106 384 6951 SH SOLE 0 0 6951 TCW STRATEGIC INCOME FUND IN COM 872340104 1335 246330 SH SOLE 0 0 246330 TEMPLETON GLOBAL INCOME FD COM 880198106 163 20695 SH SOLE 0 0 20695 TESLA MTRS INC COM 88160R101 370 1568 SH SOLE 0 0 1568 TEXAS INSTRS INC COM 882508104 294 6482 SH SOLE 0 0 6482 TEXTRON INC COM 883203101 201 5576 SH SOLE 0 0 5576 THERAVANCE INC COM 88338T104 291 10935 SH SOLE 0 0 10935 THERMO FISHER SCIENTIFIC INC COM 883556102 290 2576 SH SOLE 0 0 2576 TIMKEN CO COM 887389104 335 5222 SH SOLE 0 0 5222 TJX COS INC NEW COM 872540109 233 4669 SH DFND 7 4669 0 0 TJX COS INC NEW COM 872540109 419 8703 SH SOLE 0 0 8703 TORONTO DOMINION BK ONT COM NEW 891160509 228 4582 SH SOLE 0 0 4582 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 445 9048 SH SOLE 0 0 9048 TOTAL S A SPONSORED ADR 89151E109 498 7216 SH SOLE 0 0 7216 TRANSCANADA CORP COM 89353D107 208 4400 SH SOLE 0 0 4400 TRAVELERS COMPANIES INC COM 89417E109 731 8063 SH SOLE 0 0 8063 TRIQUINT SEMICONDUCTOR INC COM 89674K103 259 16776 SH SOLE 0 0 16776 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 304 3686 SH SOLE 0 0 3686 TWENTY FIRST CENTY FOX INC CL A 90130A101 682 20499 SH SOLE 0 0 20499 UBIQUITI NETWORKS INC COM 90347A100 271 6000 SH SOLE 0 0 6000 UBS AG JERSEY BRH ALERIAN INFRST 902641646 355 8175 SH SOLE 0 0 8175 UNILIFE CORP NEW COM 90478E103 193 67035 SH SOLE 0 0 67035 UNION PAC CORP COM 907818108 851 9345 SH SOLE 0 0 9345 UNITED PARCEL SERVICE INC CL B 911312106 0 23500 SH Put SOLE 0 0 23500 UNITED PARCEL SERVICE INC CL B 911312106 20264 256064 SH SOLE 0 0 256064 UNITED PARCEL SERVICE INC CL B 911312106 31 310 SH DFND 2 310 0 0 UNITED PARCEL SERVICE INC CL B 911312106 257 2671 SH DFND 7 2671 0 0 UNITED RENTALS INC COM 911363109 6 65 SH DFND 5 65 0 0 UNITED RENTALS INC COM 911363109 1428 13995 SH SOLE 0 0 13995 UNITED TECHNOLOGIES CORP COM 913017109 278 2558 SH DFND 7 2558 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1339 12156 SH SOLE 0 0 12156 UNITEDHEALTH GROUP INC COM 91324P102 371 4738 SH SOLE 0 0 4738 US BANCORP DEL COM NEW 902973304 478 11694 SH SOLE 0 0 11694 V F CORP COM 918204108 220 3548 SH SOLE 0 0 3548 VALE S A ADR 91912E105 337 27957 SH SOLE 0 0 27957 VALERO ENERGY CORP NEW COM 91913Y100 562 11614 SH SOLE 0 0 11614 VALMONT INDS INC COM 920253101 247 1688 SH SOLE 0 0 1688 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 493 5934 SH SOLE 0 0 5934 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 515 5920 SH SOLE 0 0 5920 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1111 14004 SH SOLE 0 0 14004 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 606 7592 SH SOLE 0 0 7592 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 799 9320 SH SOLE 0 0 9320 VANGUARD INDEX FDS GROWTH ETF 922908736 425 4407 SH SOLE 0 0 4407 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 489 5196 SH SOLE 0 0 5196 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 619 7248 SH SOLE 0 0 7248 VANGUARD INDEX FDS MID CAP ETF 922908629 741 6530 SH SOLE 0 0 6530 VANGUARD INDEX FDS REIT ETF 922908553 1032 14285 SH SOLE 0 0 14285 VANGUARD INDEX FDS SM CP VAL ETF 922908611 451 4547 SH SOLE 0 0 4547 VANGUARD INDEX FDS SMALL CP ETF 922908751 994 8765 SH SOLE 0 0 8765 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1758 14244 SH SOLE 0 0 14244 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1346 13545 SH SOLE 0 0 13545 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 391 7883 SH SOLE 0 0 7883 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 374 9335 SH SOLE 0 0 9335 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 997 17555 SH SOLE 0 0 17555 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 370 6821 SH SOLE 0 0 6821 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 490 10005 SH SOLE 0 0 10005 VANGUARD NAT RES LLC COM UNIT 92205F106 435 13833 SH SOLE 0 0 13833 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 223 2783 SH DFND 2 2783 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1522 20295 SH SOLE 0 0 20295 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 261 6339 SH SOLE 0 0 6339 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1140 17806 SH SOLE 0 0 17806 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 268 2527 SH SOLE 0 0 2527 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 2007 17839 SH SOLE 0 0 17839 VANGUARD WORLD FDS ENERGY ETF 92204A306 995 7177 SH SOLE 0 0 7177 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 566 12649 SH SOLE 0 0 12649 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1365 12498 SH SOLE 0 0 12498 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 1332 13106 SH SOLE 0 0 13106 VANGUARD WORLD FDS INF TECH ETF 92204A702 1152 12192 SH SOLE 0 0 12192 VANGUARD WORLD FDS MATERIALS ETF 92204A801 771 7141 SH SOLE 0 0 7141 VANGUARD WORLD FDS UTILITIES ETF 92204A876 584 6149 SH SOLE 0 0 6149 VANTAGE DRILLING COMPANY ORD SHS G93205113 21 11360 SH SOLE 0 0 11360 VERIZON COMMUNICATIONS INC COM 92343V104 3537 76316 SH SOLE 0 0 76316 VERTEX PHARMACEUTICALS INC COM 92532F100 831 9086 SH SOLE 0 0 9086 VIACOM INC NEW CL B 92553P201 842 10167 SH SOLE 0 0 10167 VISA INC COM CL A 92826C839 256 1296 SH DFND 7 1296 0 0 VISA INC COM CL A 92826C839 1148 5738 SH SOLE 0 0 5738 WABCO HLDGS INC COM 92927K102 404 3887 SH SOLE 0 0 3887 WAL-MART STORES INC COM 931142103 740 10257 SH SOLE 0 0 10257 WELLPOINT INC COM 94973V107 399 3859 SH SOLE 0 0 3859 WELLS FARGO & CO NEW COM 949746101 50 990 SH DFND 2 990 0 0 WELLS FARGO & CO NEW COM 949746101 4 78 SH DFND 6 78 0 0 WELLS FARGO & CO NEW COM 949746101 294 5998 SH DFND 7 5998 0 0 WELLS FARGO & CO NEW COM 949746101 1978 39001 SH SOLE 0 0 39001 WELLS FARGO & CO NEW COM 949746101 0 400 SH Call SOLE 0 0 400 WESTERN DIGITAL CORP COM 958102105 760 8513 SH SOLE 0 0 8513 WEYERHAEUSER CO COM 962166104 712 23056 SH SOLE 0 0 23056 WHIRLPOOL CORP COM 963320106 256 1984 SH SOLE 0 0 1984 WHITEWAVE FOODS CO COM CL A 966244105 243 7847 SH SOLE 0 0 7847 WHOLE FOODS MKT INC COM 966837106 252 6951 SH DFND 7 6951 0 0 WHOLE FOODS MKT INC COM 966837106 471 13631 SH SOLE 0 0 13631 WILLIAMS SONOMA INC COM 969904101 250 3580 SH SOLE 0 0 3580 WISDOMTREE TR DEFA FD 97717W703 393 7361 SH SOLE 0 0 7361 WISDOMTREE TR DIV EX-FINL FD 97717W406 1255 17469 SH SOLE 0 0 17469 WISDOMTREE TR EARNING 500 FD 97717W588 244 3665 PRN SOLE 0 0 3665 WISDOMTREE TR EMERG MKTS ETF 97717W315 1161 23291 SH SOLE 0 0 23291 WISDOMTREE TR EMG MKTS SMCAP 97717W281 355 7732 SH SOLE 0 0 7732 WISDOMTREE TR EQTY INC FD 97717W208 801 14380 SH SOLE 0 0 14380 WISDOMTREE TR EUROPE SMCP DV 97717W869 312 5370 SH SOLE 0 0 5370 WISDOMTREE TR GLB EQTY INC FD 97717W877 382 8266 SH SOLE 0 0 8266 WISDOMTREE TR INTL DIV EX FINL 97717W786 351 7263 SH SOLE 0 0 7263 WISDOMTREE TR INTL MIDCAP DV 97717W778 347 5844 SH SOLE 0 0 5844 WISDOMTREE TR JAPN HEDGE EQT 97717W851 886 19238 SH SOLE 0 0 19238 WISDOMTREE TR LARGECAP DIVID 97717W307 369 5456 SH SOLE 0 0 5456 WISDOMTREE TR MDCP EARN FUND 97717W570 1213 13529 SH SOLE 0 0 13529 WISDOMTREE TR MIDCAP DIVI FD 97717W505 923 11694 SH SOLE 0 0 11694 WISDOMTREE TR SMALLCAP DIVID 97717W604 555 8083 SH SOLE 0 0 8083 WISDOMTREE TR SMLCAP EARN FD 97717W562 466 5869 SH SOLE 0 0 5869 WISDOMTREE TR TOTAL DIVID FD 97717W109 1568 22505 SH SOLE 0 0 22505 WISDOMTREE TR TTL EARNING FD 97717W596 266 3883 SH SOLE 0 0 3883 WOODWARD INC COM 980745103 619 12352 SH SOLE 0 0 12352 WYNN RESORTS LTD COM 983134107 472 2356 SH SOLE 0 0 2356 XILINX INC COM 983919101 864 19131 SH SOLE 0 0 19131 YAHOO INC COM 984332106 1422 41619 SH SOLE 0 0 41619 YUM BRANDS INC COM 988498101 593 7559 SH SOLE 0 0 7559