Director, Advisory Compliance

0001085146-14-000503.txt : 20140212 0001085146-14-000503.hdr.sgml : 20140212 20140211194856 ACCESSION NUMBER: 0001085146-14-000503 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140211 EFFECTIVENESS DATE: 20140212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cetera Advisor Networks LLC CENTRAL INDEX KEY: 0001534468 IRS NUMBER: 953845382 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14619 FILM NUMBER: 14596077 BUSINESS ADDRESS: STREET 1: 200 N SEPULVEDA BLVD., SUITE 1300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 310-326-3100 MAIL ADDRESS: STREET 1: 200 N SEPULVEDA BLVD., SUITE 1300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 FORMER COMPANY: FORMER CONFORMED NAME: Financial Network DATE OF NAME CHANGE: 20111108 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001534468 XXXXXXXX 12-31-2013 12-31-2013 Cetera Advisor Networks LLC

200 N SEPULVEDA BLVD., SUITE 1300 EL SEGUNDO CA 90245

13F HOLDINGS REPORT 028-14619 Y CETERA ADVISOR NETWORKS LLC FORMERLY FILED UNDER THE NAME OF FINANCIAL NETWORK INVESTMENT CORPORATION. Jose Rodriguez Director, Advisory Compliance (310) 326-3100 /s/ Jose Rodriguez El Segunda CA 02-11-2014 0 762 1309256 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3-D SYS CORP DELCOM NEW88554d2054775109SHSOLE 0051093M COCOM88579Y101757454019SHSOLE 0054019ABBOTT LABSCOM002824100231159947SHSOLE 0059947ABBVIE INCCOM00287Y109278552720SHSOLE 0052720ABERDEEN ASIA PACIFIC INCOMCOM003009107871151753SHSOLE 00151753ABERDEEN ISRAEL FUND INCCOM00301L10963037343SHSOLE 0037343ABERDEEN LATIN AMER EQTY FDCOM00306K106129046085SHSOLE 0046085ACCENTURE PLC IRELANDSHS CLASS Ag1151C1014956033SHSOLE 006033ACE LTDSHSH0023R1052972862SHSOLE 002862ACELRX PHARMACEUTICALS INCCOM00444T10021418975SHSOLE 0018975ACNB CORPCOM00086810928115571SHSOLE 0015571ACTAVIS PLCSHSG0083B1087304322SHSOLE 004322ADAMS EXPRESS COCOM0062121042506191408SHSOLE 00191408ADVISORSHARES TRBNY GRWTH ADR00768Y206230961780SHSOLE 0061780AFLAC INCCOM00105510272810899SHSOLE 0010899AGL RES 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OPP FDCOM46132R10418214024SHSOLE 0014024INVESCO MUNI INCOME OPP TRSTCOM46132X10148378111SHSOLE 0078111ISHARES1-3 YR CR BD ETF4642886467156780SHSOLE 006780ISHARES1-3 YR TR BD ETF464287457127315119SHSOLE 0015119ISHARES3-7 YR TR BD ETF4642886614003322SHSOLE 003322ISHARES7-10 Y TR BD ETF4642874404744775SHSOLE 004775ISHARESAGGRES ALLOC ETF46428985975917024SHSOLE 0017024ISHARESCALI AMT-FRE ETF4642883562332145SHSOLE 002145ISHARESCOHEN&STEER REIT464287564190225433SHSOLE 0025433ISHARESCORE S&P MCP ETF464287507506237837SHSOLE 0037837ISHARESCORE S&P SCP ETF464287804244322368SHSOLE 0022368ISHARESCORE S&P500 ETF4642872001124360584SHSOLE 0060584ISHARESCORE TOTUSBD ETF464287226254623916SHSOLE 0023916ISHARESCREDIT BD ETF4642886202132008SHSOLE 002008ISHARESDOW JONES US ETF4642878462913102SHSOLE 003102ISHARESEAFE GRWTH ETF4642888855647881SHSOLE 007881ISHARESEAFE SML CP ETF464288273257450520SHSOLE 0050520ISHARESEAFE VALUE ETF4642888773546176SHSOLE 006176ISHARESEM MK MINVOL ETF46428653385014595SHSOLE 0014595ISHARESFLTG RATE BD ETF46429B65553810681SHSOLE 0010681ISHARESGLOBAL 100 ETF464287572259733603SHSOLE 0033603ISHARESGLOBAL ENERG ETF46428734195622142SHSOLE 0022142ISHARESGRWT ALLOCAT ETF464289867198151449SHSOLE 0051449ISHARESHIGH DIVIDND ETF46429B6634316142SHSOLE 006142ISHARESIBOXX HI YD ETF4642885138839535SHSOLE 009535ISHARESIBOXX INV CP ETF464287242140712330SHSOLE 0012330ISHARESINTL SEL DIV ETF464288448289876393SHSOLE 0076393ISHARESMBS ETF464288588158115152SHSOLE 0015152ISHARESMRG RL ES CP ETF46428853998685781SHSOLE 0085781ISHARESMRGSTR SM CP ETF4642885053572748SHSOLE 002748ISHARESMRNGSTR LG-CP ET4642871275364971SHSOLE 004971ISHARESMRNGSTR LG-CP GR464287119178617930SHSOLE 0017930ISHARESMRNGSTR LG-CP VL464288109134216701SHSOLE 0016701ISHARESMSCI AC ASIA ETF4642881823956500SHSOLE 006500ISHARESMSCI CDA ETF464286509146450139SHSOLE 0050139ISHARESMSCI EAFE ETF46428746516175241170SHSOLE 00241170ISHARESMSCI EMG MKT ETF464287234331679229SHSOLE 0079229ISHARESMSCI KLD400 SOC4642885704156025SHSOLE 006025ISHARESMSCI PAC JP ETF4642866653657800SHSOLE 007800ISHARESNA NAT RES46428737488920542SHSOLE 0020542ISHARESNASDQ BIOTEC ETF464287556280912367SHSOLE 0012367ISHARESNAT AMT FREE BD4642884143623497SHSOLE 003497ISHARESRUS 1000 ETF464287622218821212SHSOLE 0021212ISHARESRUS 1000 GRW ETF4642876149534110961SHSOLE 00110961ISHARESRUS 1000 VAL ETF464287598812586308SHSOLE 0086308ISHARESRUS 2000 GRW ETF464287648246518181SHSOLE 0018181ISHARESRUS 2000 VAL ETF4642876309429489SHSOLE 009489ISHARESRUS 3000 GRW ETF4642876712032880SHSOLE 002880ISHARESRUS 3000 VAL ETF4642876633202590SHSOLE 002590ISHARESRUS MD CP GR ETF464287481623773928SHSOLE 0073928ISHARESRUS MDCP VAL ETF46428747311167169994SHSOLE 00169994ISHARESRUS MID-CAP ETF464287499876458553SHSOLE 0058553ISHARESRUSSELL 2000 ETF464287655653556635SHSOLE 0056635ISHARESRUSSELL 3000 ETF464287689879379502SHSOLE 0079502ISHARESS&P 100 ETF4642871012963587SHSOLE 003587ISHARESS&P 500 GRWT ETF464287309137513955SHSOLE 0013955ISHARESS&P 500 VAL ETF464287408102311952SHSOLE 0011952ISHARESS&P MC 400GR ETF464287606675344931SHSOLE 0044931ISHARESS&P MC 400VL ETF4642877056275385SHSOLE 005385ISHARESSELECT DIVID ETF464287168408657296SHSOLE 0057296ISHARESSP SMCP600GR ETF464287887150312661SHSOLE 0012661ISHARESSP SMCP600VL ETF464287879212419094SHSOLE 0019094ISHARESTIPS BD ETF464287176416237941SHSOLE 0037941ISHARESU.S. BAS MTL ETF4642878383324083SHSOLE 004083ISHARESU.S. ENERGY ETF46428779659611834SHSOLE 0011834ISHARESU.S. INDS ETF4642877542012001SHSOLE 002001ISHARESU.S. PFD STK ETF464288687205255794SHSOLE 0055794ISHARESU.S. PHARMA ETF4642888367116001SHSOLE 006001ISHARESU.S. REAL ES ETF464287739301747794SHSOLE 0047794ISHARESU.S. TECH ETF464287721115713048SHSOLE 0013048ISHARESUS HOME CONS ETF4642887522369575SHSOLE 009575ISHARESUS REGNL BKS ETF4642887782407228SHSOLE 007228ISHARESUSA MIN VOL ETF46429B69725887727933SHSOLE 00727933ISHARES GOLD TRUSTISHARES46428510573162466SHSOLE 0062466ISHARES S&P GSCI COMMODITY IUNIT BEN INT46428R1073089503SHSOLE 009503ISHARES SILVER TRUSTISHARES46428Q1093019160814SHSOLE 00160814ISHARES TRMSCI USAMOMFCT46432F3967043117375SHSOLE 00117375ITC HLDGS CORPCOM4656851052752869SHSOLE 002869ITT CORP NEWCOM NEW45091120183919200SHSOLE 0019200JOHNSON & JOHNSONCOM47816010421618236578SHSOLE 00236578JOHNSON CTLS INCCOM478366107124524322SHSOLE 0024322JPMORGAN CHASE & COALERIAN ML ETN46625H36512126261478SHSOLE 00261478JPMORGAN CHASE & COCOM46625h1007828133304SHSOLE 00133304JUST ENERGY GROUP INCCOM48213W10122431100SHSOLE 0031100KAYNE ANDERSON MLP INVT COCOM4866061062005012SHSOLE 005012KELLOGG COCOM4878361085438965SHSOLE 008965KIMBERLY CLARK CORPCOM494368103315630308SHSOLE 0030308KINDER MORGAN ENERGY PARTNERUT LTD PARTNER494550106337842052SHSOLE 0042052KINDER MORGAN INC DELCOM49456B10147313148SHSOLE 0013148KKR FINL HLDGS LLCCOM48248A30618415013SHSOLE 0015013KRAFT FOODS GROUP INCCOM50076Q106174032282SHSOLE 0032282LAZARD WORLD DIVID & INCOMECOM5210761091580108885SHSOLE 00108885LIBERTY ALL STAR EQUITY FDSH BEN INT5301581041612270647SHSOLE 00270647LILLY ELI & COCOM53245710894118515SHSOLE 0018515LINCOLN NATL CORP INDCOM5341871094428538SHSOLE 008538LOCKHEED MARTIN CORPCOM53983010911767904SHSOLE 007904LOEWS CORPCOM5404241084499339SHSOLE 009339LORILLARD INCCOM5441471012585099SHSOLE 005099LOWES COS INCCOM548661107338968166SHSOLE 0068166MACQUARIE GLBL INFRA TOTL RECOM55608D10161727824SHSOLE 0027824MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106156524702SHSOLE 0024702MAGNA INTL INCCOM5592224012623212SHSOLE 003212MAIN STREET CAPITAL CORPCOM56035L104158148288SHSOLE 0048288MARATHON OIL CORPCOM5658491062587270SHSOLE 007270MARATHON PETE CORPCOM56585A1022622853SHSOLE 002853MARKET VECTORS ETF TRAGRIBUS ETF57060U605290353816SHSOLE 0053816MARKET VECTORS ETF TRBIOTECH ETF57060U1833233629SHSOLE 003629MARKET VECTORS ETF TRGOLD MINER ETF57060u10039218360SHSOLE 0018360MARKET VECTORS ETF TRMKT VECTR WIDE57060U13438413369SHSOLE 0013369MASIMO CORPCOM57479510080927651SHSOLE 0027651MAST THERAPEUTICS INCCOM576314108510000SHSOLE 0010000MASTERCARD INCCL A57636Q104702847SHSOLE 00847MCCORMICK & CO INCCOM NON VTG579780206131919133SHSOLE 0019133MCDONALDS CORPCOM580135101763578754SHSOLE 0078754MCGRAW HILL FINL INCCOM5806451092012559SHSOLE 002559MCKESSON CORPCOM58155q1034452757SHSOLE 002757MDU RES GROUP INCCOM55269010942213839SHSOLE 0013839MEAD JOHNSON NUTRITION COCOM5828391063674391SHSOLE 004391MEDTRONIC INCCOM585055106214237382SHSOLE 0037382MELA SCIENCES INCCOM55277R100914000SHSOLE 0014000MERCK & CO INC NEWCOM58933Y105389977577SHSOLE 0077577MFA FINL INCCOM55272x1027510560SHSOLE 0010560MFS CHARTER INCOME TRSH BEN INT55272710926329191SHSOLE 0029191MFS INTER INCOME TRSH BEN INT55273c10714528021SHSOLE 0028021MFS INTERMARKET INCOME TRUSTSH BEN INT59318R10310212652SHSOLE 0012652MICROSOFT CORPCOM59491810417520469718SHSOLE 00469718MID-AMER APT CMNTYS INCCOM59522j103227637658SHSOLE 0037658MOLSON COORS BREWING COCL B60871r2092233975SHSOLE 003975MOLYCORP INC DELNOTE 3.250% 6/1608753AA7710000PRNSOLE 0010000MONDELEZ INTL INCCL A609207105261373623SHSOLE 0073623MONSANTO CO NEWCOM61166w101193416531SHSOLE 0016531MONTGOMERY STR INCOME SECS ICOM6141151032014129134SHSOLE 00129134MORGAN STANLEY ASIA PAC FD ICOM61744U10635321250SHSOLE 0021250MORGAN STANLEY EMER MKTS DEBCOM61744h1051342139950SHSOLE 00139950MYLAN INCCOM6285301072275179SHSOLE 005179NATIONAL OILWELL VARCO INCCOM6370711015016252SHSOLE 006252NATIONAL RETAIL PPTYS INCCOM63741710644814869SHSOLE 0014869NEW YORK MTG TR INCCOM PAR $.0264960450112618333SHSOLE 0018333NEWMONT MINING CORPCOM65163910671831022SHSOLE 0031022NEXPOINT CR STRATEGIES FDCOM65340G10611512271SHSOLE 0012271NEXTERA ENERGY INCCOM65339F1017899207SHSOLE 009207NIKE INCCL B6541061036918789SHSOLE 008789NISOURCE INCCOM65473p1052387266SHSOLE 007266NORDSTROM INCCOM6556641002514076SHSOLE 004076NORFOLK SOUTHERN CORPCOM655844108151016276SHSOLE 0016276NORTHROP GRUMMAN CORPCOM6668071028357289SHSOLE 007289NORTHSTAR RLTY FIN CORPCOM66704R10013610115SHSOLE 0010115NORTHWEST NAT GAS COCOM6676551043798700SHSOLE 008700NOVARTIS A GSPONSORED ADR66987v109115414420SHSOLE 0014420NOVO-NORDISK A SADR6701002058734736SHSOLE 004736NPS PHARMACEUTICALS INCCOM62936p1032267400SHSOLE 007400NUCOR CORPCOM670346105183034285SHSOLE 0034285NUVEEN CA SELECT QUALITY MUNCOM67097510119814375SHSOLE 0014375NUVEEN CAL AMT-FREE MUN INCCOM67065110814411868SHSOLE 0011868NUVEEN CALIF MUN VALUE FDCOM67062c10717418975SHSOLE 0018975NUVEEN CALIF QUALITY INCM MUCOM67098510023416240SHSOLE 0016240NUVEEN CR STRATEGIES INCM FDCOM SHS67073d10214815218SHSOLE 0015218NUVEEN EQTY PRM OPPORTUNITYFCOM6706em10278461404SHSOLE 0061404NUVEEN MTG OPPORTUNITY TERMCOM67073510987838076SHSOLE 0038076NUVEEN MUN HIGH INCOME OPP FCOM67068210337431100SHSOLE 0031100NUVEEN MUN OPPORTUNITY FD INCOM67098410331523700SHSOLE 0023700NUVEEN MUN VALUE FD INCCOM67092810049254401SHSOLE 0054401NUVEEN NY AMT-FREE MUN INCOMCOM67065610720616762SHSOLE 0016762NUVEEN PFD INCOME OPPRTNY FDCOM67073b1061786202248SHSOLE 00202248NUVEEN QUALITY PFD INCOME FDCOM67072c10519123400SHSOLE 0023400NUVEEN SR INCOME FDCOM67067y10438754315SHSOLE 0054315NXP SEMICONDUCTORS N VCOMN6596X1092154675SHSOLE 004675OCCIDENTAL PETE CORP DELCOM674599105126113243SHSOLE 0013243OCEANEERING INTL INCCOM6752321022813571SHSOLE 003571OGE ENERGY CORPCOM670837103129638126SHSOLE 0038126OLD DOMINION FGHT LINES INCCOM67958010053910192SHSOLE 0010192ONEOK INC NEWCOM6826801034737639SHSOLE 007639ONEOK PARTNERS LPUNIT LTD PARTN68268N1034418369SHSOLE 008369ORACLE CORPCOM68389X105251465694SHSOLE 0065694OSHKOSH CORPCOM6882392014048000SHSOLE 008000PACCAR INCCOM69371810874012454SHSOLE 0012454PARKER HANNIFIN CORPCOM7010941045284105SHSOLE 004105PAYCHEX INCCOM70432610787619286SHSOLE 0019286PDL BIOPHARMA INCCOM69329y10415318290SHSOLE 0018290PEMBINA PIPELINE CORPCOM70632710382123299SHSOLE 0023299PENGROWTH ENERGY CORPCOM70706P1046610981SHSOLE 0010981PENN WEST PETE LTD NEWCOM70788710536143166SHSOLE 0043166PENTAIR LTDSHSH6169Q10880110285SHSOLE 0010285PEOPLES BANCORP N C INCCOM71057710774452500SHSOLE 0052500PEPSICO INCCOM713448108708685435SHSOLE 0085435PERMIAN BASIN RTY TRUNIT BEN INT71423610613310348SHSOLE 0010348PETROLEUM & RES CORPCOM716549100267097479SHSOLE 0097479PFIZER INCCOM71708110310778351847SHSOLE 00351847PG&E CORPCOM69331c10874018390SHSOLE 0018390PHARMACYCLICS INCCOM7169331064544290SHSOLE 004290PHILIP MORRIS INTL INCCOM718172109648274371SHSOLE 0074371PHILLIPS 66COM718546104160520704SHSOLE 0020704PIEDMONT NAT GAS INCCOM720186105116135020SHSOLE 0035020PIEDMONT OFFICE REALTY TR INCOM CL A72019020642025508SHSOLE 0025508PIMCO CORPORATE & INCOME OPPCOM72201b10162135934SHSOLE 0035934PIMCO DYNAMIC CR INCOME FDCOM SHS72202D10646820800SHSOLE 0020800PIMCO ETF TR0-5 HIGH YIELD72201R783138512988SHSOLE 0012988PIMCO ETF TRENHAN SHRT MAT72201R8334444395SHSOLE 004395PIMCO ETF TRINTER MUN BD ST72201R86684916400SHSOLE 0016400PIMCO ETF TRTOTL RETN ETF72201R775405538841SHSOLE 0038841PIMCO HIGH INCOME FDCOM SHS7220141072429208793SHSOLE 00208793PIMCO INCOME STRATEGY FUNDCOM72201h10812110659SHSOLE 0010659PIMCO INCOME STRATEGY FUND ICOM72201J10412312440SHSOLE 0012440PIONEER HIGH INCOME TRCOM72369h10643425455SHSOLE 0025455PIONEER MUN HIGH INCOME TRCOM SHS72376310824017622SHSOLE 0017622PITNEY BOWES INCCOM72447910054723423SHSOLE 0023423PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310563412247SHSOLE 0012247PLUM CREEK TIMBER CO INCCOM72925110876316353SHSOLE 0016353PNC FINL SVCS GROUP INCCOM6934751055577146SHSOLE 007146POLARIS INDS INCCOM7310681029926824SHSOLE 006824POLYMET MINING CORPCOM7319161021111250SHSOLE 0011250PORTLAND GEN ELEC COCOM NEW73650884745015000SHSOLE 0015000POTASH CORP SASK INCCOM73755l10764119470SHSOLE 0019470POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S105184572226SHSOLE 0072226POWERSHARES ETF TR IIBUILD AMER ETF73937B40734412645SHSOLE 0012645POWERSHARES ETF TR IIS&P500 LOW VOL73937B779233970498SHSOLE 0070498POWERSHARES ETF TRUSTDIV ACHV PRTF73935x732131465779SHSOLE 0065779POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X1532577016SHSOLE 007016POWERSHARES ETF TRUSTDYN BIOT & GEN73935X8562015477SHSOLE 005477POWERSHARES ETF TRUSTDYN PHRMA PORT73935X79954610225SHSOLE 0010225POWERSHARES ETF TRUSTDYNA BUYBK ACH73935X286110025446SHSOLE 0025446POWERSHARES ETF TRUSTDYNM LRG CP GR73935X6092389169SHSOLE 009169POWERSHARES ETF TRUSTDYNM LRG CP VL73935x708103136225SHSOLE 0036225POWERSHARES ETF TRUSTFINL PFD PTFL73935X22968340460SHSOLE 0040460POWERSHARES ETF TRUSTFND PUR MIDCR PT73935X44346613118SHSOLE 0013118POWERSHARES ETF TRUSTFTSE RAFI 100073935X58317586211908SHSOLE 00211908POWERSHARES ETF TRUSTFTSE US1500 SM73935X567461347178SHSOLE 0047178POWERSHARES ETF TRUSTHI YLD EQ DVDN73935X30298282968SHSOLE 0082968POWERSHARES ETF TRUSTINTL DIV ACHV73935X716135173505SHSOLE 0073505POWERSHARES ETF TRUSTWATER RESOURCE73935X57532212247SHSOLE 0012247POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q1082208261SHSOLE 008261POWERSHARES ETF TRUST IIGLBL ST HI YLD73936Q7102058200SHSOLE 008200POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76927911232SHSOLE 0011232POWERSHARES GLOBAL ETF FDS&P 500 BUYWRT73936G30823311229SHSOLE 0011229POWERSHARES GLOBAL ETF TRUSTAGG PFD PORT73936T56535026349SHSOLE 0026349POWERSHARES GLOBAL ETF TRUSTDEV MKTS EX-US73936T789380586463SHSOLE 0086463POWERSHARES GLOBAL ETF TRUSTEMER MRKT PORT73936T76322110810SHSOLE 0010810POWERSHARES GLOBAL ETF TRUSTFDM HG YLD RAFI73936T55723612255SHSOLE 0012255POWERSHARES GLOBAL ETF TRUSTSOVEREIGN DEBT73936T57336413529SHSOLE 0013529POWERSHARES QQQ TRUSTUNIT SER 173935A10411357128891SHSOLE 00128891PPG INDS INCCOM69350610711866255SHSOLE 006255PRAXAIR INCCOM74005p1042331774SHSOLE 001774PRICE T ROWE GROUP INCCOM74144T108156218686SHSOLE 0018686PROCTER & GAMBLE COCOM74271810925388312471SHSOLE 00312471PROGRESSIVE CORP OHIOCOM7433151032569400SHSOLE 009400PROSHARES TRPSHS ULT MCAP40074347R4043592820SHSOLE 002820PROSHARES TRPSHS ULTSH 20YRS74347B2013644601SHSOLE 004601PROSHARES TRS&P 500 ARISTO74348A46798722355SHSOLE 0022355PROSHARES TRSHRT 20+YR TRE74347X8492577845SHSOLE 007845PROSHARES TR IIVIX STRMFUT ETF74347W361108738154SHSOLE 0038154PROSPECT CAPITAL CORPORATIONCOM74348T10298888420SHSOLE 0088420PRUDENTIAL FINL INCCOM7443201022452668SHSOLE 002668PUBLIC STORAGECOM74460d1099316188SHSOLE 006188PUBLIC SVC ENTERPRISE GROUPCOM74457310632510133SHSOLE 0010133PUTMAN HIGH INCOME SEC FUNDSHS BEN INT7467791078710540SHSOLE 0010540PUTNAM MASTER INTER INCOME TSH BEN INT7469091005511005SHSOLE 0011005PUTNAM PREMIER INCOME TRSH BEN INT7468531007313396SHSOLE 0013396QEP RES INCCOM74733V1002437924SHSOLE 007924QUALCOMM INCCOM747525103689992992SHSOLE 0092992QUESTCOR PHARMACEUTICALS INCCOM74835y10167112343SHSOLE 0012343RANGE RES CORPCOM75281a109176820993SHSOLE 0020993RAYMOND JAMES FINANCIAL INCCOM7547301092354500SHSOLE 004500RAYTHEON COCOM NEW7551115072242485SHSOLE 002485REALTY INCOME CORPCOM75610910414658392709SHSOLE 00392709REGIONS FINL CORP NEWCOM7591ep10016116322SHSOLE 0016322RETAIL OPPORTUNITY INVTS CORCOM76131N10118512500SHSOLE 0012500REVENUESHARES ETF TRLARGECAP FD7613961004181114800SHSOLE 00114800REYNOLDS AMERICAN INCCOM7617131064008006SHSOLE 008006RIO TINTO PLCSPONSORED ADR767204100163128919SHSOLE 0028919RITE AID CORPCOM7677541046913649SHSOLE 0013649ROCKWELL AUTOMATION INCCOM7739031098497185SHSOLE 007185ROCKWELL COLLINS INCCOM7743411015056833SHSOLE 006833ROCKWELL MED INCCOM77437410243942275SHSOLE 0042275ROPER INDS INC NEWCOM7766961062171568SHSOLE 001568ROSS STORES INCCOM7782961034626220SHSOLE 006220ROYAL BK CDA MONTREAL QUECOM780087102103115341SHSOLE 0015341ROYAL DUTCH SHELL PLCSPON ADR B7802591072783694SHSOLE 003694ROYAL DUTCH SHELL PLCSPONS ADR A780259206125817660SHSOLE 0017660ROYCE GLOBAL VALUE TR INCCOM78081T10421924826SHSOLE 0024826ROYCE VALUE TR INCCOM7809101052857178555SHSOLE 00178555RPM INTL INCCOM74968510345310887SHSOLE 0010887RYDEX ETF TRUSTGUG RUSS TOP 5078355w2054353351SHSOLE 003351RYDEX ETF TRUSTGUG S&P500 EQ WT78355w106492069091SHSOLE 0069091RYDEX ETF TRUSTGUG S&P500 PU GR78355W4032623714SHSOLE 003714RYDEX ETF TRUSTGUG S&P500EQWTTE78355W8173784894SHSOLE 004894SANDISK CORPCOM80004c1016949752SHSOLE 009752SANDRIDGE PERMIAN TRCOM UNIT BEN INT80007A10228924508SHSOLE 0024508SANOFISPONSORED ADR80105n1053957361SHSOLE 007361SAREPTA THERAPEUTICS INCCOM80360710022211025SHSOLE 0011025SCANA CORP NEWCOM80589m10250710792SHSOLE 0010792SCHLUMBERGER LTDCOM806857108147616398SHSOLE 0016398SCHWAB CHARLES CORP NEWCOM80851310573428148SHSOLE 0028148SCHWAB STRATEGIC TRUS LCAP VA ETF808524409112827739SHSOLE 0027739SEADRILL LIMITEDSHSG7945E1053628842SHSOLE 008842SEAGATE TECHNOLOGY PLCSHSg7945m1074618208SHSOLE 008208SELECT SECTOR SPDR TRSBI CONS DISCR81369y4076589831SHSOLE 009831SELECT SECTOR SPDR TRSBI CONS STPLS81369y308340079023SHSOLE 0079023SELECT SECTOR SPDR TRSBI HEALTHCARE81369y209101618201SHSOLE 0018201SELECT SECTOR SPDR TRSBI INT-ENERGY81369y506193321833SHSOLE 0021833SELECT SECTOR SPDR TRSBI INT-FINL81369y605125757388SHSOLE 0057388SELECT SECTOR SPDR TRSBI INT-INDS81369y704164631556SHSOLE 0031556SELECT SECTOR SPDR TRSBI INT-UTILS81369y8863058119SHSOLE 008119SELECT SECTOR SPDR TRSBI MATERIALS81369y1006100131997SHSOLE 00131997SELECT SECTOR SPDR TRTECHNOLOGY81369y803236766092SHSOLE 0066092SEMPRA ENERGYCOM816851109160617901SHSOLE 0017901SHERWIN WILLIAMS COCOM8243481063591960SHSOLE 001960SIRIUS XM HLDGS INCCOM82968B1037521969SHSOLE 0021969SKYWORKS SOLUTIONS INCCOM83088m1022518780SHSOLE 008780SMITH A OCOM8318652092725034SHSOLE 005034SMUCKER J M COCOM NEW8326964052222145SHSOLE 002145SONOCO PRODS COCOM835495102109526254SHSOLE 0026254SOURCE CAP INCCOM836144105143921488SHSOLE 0021488SOUTHERN COCOM842587107290870936SHSOLE 0070936SOUTHWEST AIRLS COCOM84474110821111092SHSOLE 0011092SOUTHWESTERN ENERGY COCOM84546710981220652SHSOLE 0020652SPDR DOW JONES INDL AVRG ETFUT SER 178467x109598436096SHSOLE 0036096SPDR GOLD TRUSTGOLD SHS78463V107790868073SHSOLE 0068073SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X74959914490SHSOLE 0014490SPDR INDEX SHS FDSEMERG MKTS ETF78463X5092483825SHSOLE 003825SPDR INDEX SHS FDSEURO STOXX 5078463X202237556338SHSOLE 0056338SPDR INDEX SHS FDSINTL FINL ETF78463X69930513057SHSOLE 0013057SPDR INDEX SHS FDSINTL HLTH ETF78463X6813056830SHSOLE 006830SPDR INDEX SHS FDSS&P INTL CONS78463X7313157803SHSOLE 007803SPDR INDEX SHS FDSS&P INTL ETF78463X77247810118SHSOLE 0010118SPDR S&P 500 ETF TRTR UNIT78462f1031839899661SHSOLE 0099661SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107396316250SHSOLE 0016250SPDR SERIES TRUSTBRC HGH YLD BD78464A41762415417SHSOLE 0015417SPDR SERIES TRUSTBRCLYS INTL ETF78464A51686014917SHSOLE 0014917SPDR SERIES TRUSTDJ REIT ETF78464A60786112067SHSOLE 0012067SPDR SERIES TRUSTNUVN BR SHT MUNI78464A42557323575SHSOLE 0023575SPDR SERIES TRUSTRUSSELL 3000 ETF78464A8052301651SHSOLE 001651SPDR SERIES TRUSTS&P BK ETF78464A79733610098SHSOLE 0010098SPDR SERIES TRUSTS&P DIVID ETF78464A7639387129316SHSOLE 00129316SPDR SERIES TRUSTS&P HOMEBUILD78464A8882096363SHSOLE 006363SPDR SERIES TRUSTS&P REGL BKG78464A69851912864SHSOLE 0012864SPECTRA ENERGY CORPCOM8475601097356206419SHSOLE 00206419SPROTT PHYSICAL GOLD TRUSTUNIT85207H1042127213986SHSOLE 00213986SPROTT PHYSICAL SILVER TRTR UNIT85207K1071314173700SHSOLE 00173700ST JUDE MED INCCOM7908491034567443SHSOLE 007443STARBUCKS CORPCOM855244109369847092SHSOLE 0047092STATE STR CORPCOM8574771034556192SHSOLE 006192STONEMOR PARTNERS L PCOM UNITS86183Q1002037790SHSOLE 007790STRATEGIC GLOBAL INCOME FDCOM86271910110311494SHSOLE 0011494STRYKER CORPCOM8636671014806333SHSOLE 006333STURM RUGER & CO INCCOM8641591082393271SHSOLE 003271SUNCOR ENERGY INC NEWCOM8672241072055801SHSOLE 005801SUNOCO LOGISTICS PRTNRS L PCOM UNITS86764l108113014977SHSOLE 0014977SUNTRUST BKS INCCOM8679141033479408SHSOLE 009408SUPERIOR INDS INTL INCCOM86816810558128300SHSOLE 0028300SUPERVALU INCCOM86853610321829824SHSOLE 0029824SUSQUEHANNA BANCSHARES INC PCOM86909910125219607SHSOLE 0019607SWIFT ENERGY COCOM87073810145933800SHSOLE 0033800SWISS HELVETIA FD INCCOM87087510118613256SHSOLE 0013256SYNAPTICS INCCOM87157d1093777210SHSOLE 007210SYSCO CORPCOM871829107306585147SHSOLE 0085147TAIWAN SEMICONDUCTOR MFG LTDSPONSORED ADR87403910044925747SHSOLE 0025747TALISMAN ENERGY INCCOM87425E10344138160SHSOLE 0038160TARGET CORPCOM87612E10694514914SHSOLE 0014914TCW STRATEGIC INCOME FUND INCOM87234010420438318SHSOLE 0038318TEMPLETON DRAGON FD INCCOM88018t101129249829SHSOLE 0049829TEMPLETON EMERG MKTS INCOMECOM88019210947134336SHSOLE 0034336TEMPLETON GLOBAL INCOME FDCOM88019810630237884SHSOLE 0037884TEVA PHARMACEUTICAL INDS LTDADR88162420942010479SHSOLE 0010479TEXAS INSTRS INCCOM8825081043056900SHSOLE 006900THERMO FISHER SCIENTIFIC INCCOM8835561029298336SHSOLE 008336THL CR INCCOM87243810616610065SHSOLE 0010065TIME WARNER INCCOM NEW8873173033314766SHSOLE 004766TJX COS INC NEWCOM8725401093345248SHSOLE 005248TORTOISE NORTH AMRN ENRGY COCOM89147T10332211619SHSOLE 0011619TOTAL S ASPONSORED ADR89151E1094537446SHSOLE 007446TOYOTA MOTOR CORPSP ADR REP2COM8923313072251855SHSOLE 001855TRACTOR SUPPLY COCOM8923561062883705SHSOLE 003705TRAVELERS COMPANIES INCCOM89417E1095225815SHSOLE 005815TRI CONTL CORPCOM89543610395847927SHSOLE 0047927TRIQUINT SEMICONDUCTOR INCCOM89674k1039211020SHSOLE 0011020TRW AUTOMOTIVE HLDGS CORPCOM87264s1062853841SHSOLE 003841TUPPERWARE BRANDS CORPCOM8998961043013183SHSOLE 003183TWO HBRS INVT CORPCOM90187B10121022770SHSOLE 0022770UBS AG JERSEY BRHALERIAN INFRST902641646253964158SHSOLE 0064158UBS AG LONDON BRH2X LEV LNG LKD90267B7652277600SHSOLE 007600UNILEVER PLCSPON ADR NEW90476770441910230SHSOLE 0010230UNION FIRST MKT BANKSH CPCOM90662P10484434011SHSOLE 0034011UNION PAC CORPCOM907818108251014923SHSOLE 0014923UNITED PARCEL SERVICE INCCL B911312106185917639SHSOLE 0017639UNITED STATES NATL GAS FUNDUNIT PAR $0.00191231820139418962SHSOLE 0018962UNITED TECHNOLOGIES CORPCOM913017109334229369SHSOLE 0029369UNITED THERAPEUTICS CORP DELCOM91307C1026235504SHSOLE 005504UNITEDHEALTH GROUP INCCOM91324p1023384500SHSOLE 004500US BANCORP DELCOM NEW902973304102225371SHSOLE 0025371V F CORPCOM918204108122019618SHSOLE 0019618VALERO ENERGY CORP NEWCOM91913y1003276492SHSOLE 006492VALLEY NATL BANCORPCOM91979410754653937SHSOLE 0053937VALMONT INDS INCCOM9202531015043386SHSOLE 003386VANGUARD ADMIRAL FDS INCMIDCP 400 GRTH921932869133114420SHSOLE 0014420VANGUARD ADMIRAL FDS INCMIDCP 400 IDX9219328853513873SHSOLE 003873VANGUARD ADMIRAL FDS INCMIDCP 400 VAL921932844131715039SHSOLE 0015039VANGUARD BD INDEX FD INCINTERMED TERM9219378192983664SHSOLE 003664VANGUARD BD INDEX FD INCSHORT TRM BOND921937827114514303SHSOLE 0014303VANGUARD BD INDEX FD INCTOTAL BND MRKT921937835113514161SHSOLE 0014161VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J40755911264SHSOLE 0011264VANGUARD INDEX FDSEXTEND MKT ETF92290865297811803SHSOLE 0011803VANGUARD INDEX FDSGROWTH ETF922908736364639154SHSOLE 0039154VANGUARD INDEX FDSLARGE CAP ETF922908637309236465SHSOLE 0036465VANGUARD INDEX FDSMCAP GR IDXVIP9229085382763052SHSOLE 003052VANGUARD INDEX FDSMCAP VL IDXVIP9229085125667073SHSOLE 007073VANGUARD INDEX FDSMID CAP ETF9229086296565953SHSOLE 005953VANGUARD INDEX FDSREIT ETF922908553129019930SHSOLE 0019930VANGUARD INDEX FDSS&P 500 ETF SHS92290836310145992SHSOLE 005992VANGUARD INDEX FDSSM CP VAL ETF922908611288929683SHSOLE 0029683VANGUARD INDEX FDSSMALL CP ETF922908751145413230SHSOLE 0013230VANGUARD INDEX FDSSML CP GRW ETF922908595125810292SHSOLE 0010292VANGUARD INDEX FDSTOTAL STK MKT922908769419443741SHSOLE 0043741VANGUARD INDEX FDSVALUE ETF922908744583276372SHSOLE 0076372VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775480694814SHSOLE 0094814VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858160138919SHSOLE 0038919VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF92204274295716110SHSOLE 0016110VANGUARD MALVERN FDSSTRM INFPROIDX922020805134927369SHSOLE 0027369VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C4096938700SHSOLE 008700VANGUARD SCOTTSDALE FDSVNG RUS1000GRW92206C680105511978SHSOLE 0011978VANGUARD SCOTTSDALE FDSVNG RUS2000GRW92206C623133213556SHSOLE 0013556VANGUARD SCOTTSDALE FDSVNG RUS2000IDX92206C6644635004SHSOLE 005004VANGUARD SCOTTSDALE FDSVNG RUS2000VAL92206C64992210660SHSOLE 0010660VANGUARD SCOTTSDALE FDSVNG RUS3000IDX92206C5992352728SHSOLE 002728VANGUARD SPECIALIZED PORTFOLDIV APP ETF92190884440264534854SHSOLE 00534854VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF921943858260562682SHSOLE 0062682VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464067709123621SHSOLE 00123621VANGUARD WORLD FDMEGA CAP INDEX921910873123519532SHSOLE 0019532VANGUARD WORLD FDMEGA CAP VAL ETF9219108403025472SHSOLE 005472VANGUARD WORLD FDSCONSUM DIS ETF92204A1082392208SHSOLE 002208VANGUARD WORLD FDSCONSUM STP ETF92204a2075124653SHSOLE 004653VANGUARD WORLD FDSENERGY ETF92204a3063132456SHSOLE 002456VANGUARD WORLD FDSHEALTH CAR ETF92204a5046606537SHSOLE 006537VANGUARD WORLD FDSINF TECH ETF92204A702187020809SHSOLE 0020809VANGUARD WORLD FDSUTILITIES ETF92204A8762753307SHSOLE 003307VARIAN MED SYS INCCOM92220p1052723489SHSOLE 003489VECTOR GROUP LTDCOM92240m10820812833SHSOLE 0012833VERIZON COMMUNICATIONS INCCOM92343v10410438211967SHSOLE 00211967VIACOM INC NEWCL B92553P2012092385SHSOLE 002385VISA INCCOM CL A92826C839257111533SHSOLE 0011533VODAFONE GROUP PLC NEWSPONS ADR NEW92857w209124831622SHSOLE 0031622W P CAREY INCCOM92936U10962010130SHSOLE 0010130WABTEC CORPCOM9297401084405942SHSOLE 005942WALGREEN COCOM93142210975713208SHSOLE 0013208WAL-MART STORES INCCOM931142103280835582SHSOLE 0035582WASHINGTON REAL ESTATE INVTSH BEN INT93965310161526230SHSOLE 0026230WASTE MGMT INC DELCOM94106L10945010139SHSOLE 0010139WEINGARTEN RLTY INVSSH BEN INT94874110329010655SHSOLE 0010655WELLPOINT INCCOM94973v1072672904SHSOLE 002904WELLS FARGO & CO NEWCOM9497461017219158943SHSOLE 00158943WELLS FARGO ADV GLB DIV OPPCOM94987C1031308181004SHSOLE 00181004WESTAMERICA BANCORPORATIONCOM9570901033025347SHSOLE 005347WESTAR ENERGY INCCOM95709t1003149785SHSOLE 009785WESTERN ASSET HGH YLD DFNDFDCOM95768B107100656885SHSOLE 0056885WESTERN ASSET HIGH INCM FD ICOM95766J10213014204SHSOLE 0014204WESTERN ASSET INVT GRADE DEFCOM95790A10172736295SHSOLE 0036295WESTERN ASSET MUN DEF OPP TRCOM95768A10927512943SHSOLE 0012943WESTMORELAND COAL COCOM96087810623111955SHSOLE 0011955WGL HLDGS INCCOM92924f10667316830SHSOLE 0016830WHOLE FOODS MKT INCCOM9668371063005177SHSOLE 005177WILLIAMS COS INC DELCOM96945710093424152SHSOLE 0024152WINDSTREAM HLDGS INCCOM97382A10161376525SHSOLE 0076525WISCONSIN ENERGY CORPCOM97665710698423794SHSOLE 0023794WISDOMTREE TRAUSTRALIA DIV FD97717W8102243866SHSOLE 003866WISDOMTREE TRDEFA EQT INC ETF97717W8022014245SHSOLE 004245WISDOMTREE TRDIV EX-FINL FD97717W406162823687SHSOLE 0023687WISDOMTREE TREMERG MKTS ETF97717W3155188101629SHSOLE 00101629WISDOMTREE TREMG MKTS SMCAP97717W2812595609SHSOLE 005609WISDOMTREE TREQTY INC ETF97717W2087605137851SHSOLE 00137851WISDOMTREE TRFUTRE STRAT FD97717W1252235427SHSOLE 005427WISDOMTREE TRGLB EX UD DVD GR97717W8442414750SHSOLE 004750WISDOMTREE TRINTL LRGCAP DV97717W79475114444SHSOLE 0014444WISDOMTREE TRINTL SMCAP DIV97717W760108217163SHSOLE 0017163WISDOMTREE TRJAPN HEDGE EQT97717W8512204321SHSOLE 004321WISDOMTREE TRLARGECAP DIVID97717W307246737057SHSOLE 0037057WISDOMTREE TRMIDCAP DIVI FD97717W505112114973SHSOLE 0014973WISDOMTREE TRSMALLCAP DIVID97717W6043324877SHSOLE 004877XCEL ENERGY INCCOM98389b10062322317SHSOLE 0022317XEROX CORPCOM98412110312710612SHSOLE 0010612YAHOO INCCOM984332106268866530SHSOLE 0066530YUM BRANDS INCCOM988498101157520799SHSOLE 0020799ZIMMER HLDGS INCCOM98956p1023383631SHSOLE 003631