13F-HR 1 d526635d13fhr.txt NEW ENGLAND SECURITIES COMPANY -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2013 Check here if Amendment [ ]; Amendment Number: ______ This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: NEW ENGLAND SECURITIES CORPORATION Address: 1095 Avenue of the Americas, New York, NY 10036 Form 13F File Number: 28- 15121 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Marc A. Cohn Title: Chief Compliance Officer Phone: 212-578-0594 Signature, Place, and Date of Signing: Marc Cohn New York, NY April 26, 2013 Report Type (Check only one): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 1308 Form 13F Information Table Value Total: 136820 List of Other Included Managers: N/A Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- 3D SYS CORP DEL COM NEW 88554D205 Common Stock 15 478.00 SOLE N/A NONE 3M CO COM 88579Y101 Common Stock 111 1,044.02 SOLE N/A NONE AASTROM BIOSCIENCES INC COM NEW 00253U305 Common Stock 2 3,000.00 SOLE N/A NONE ABB LTD SPONSORED ADR 000375204 Common Stock ADR 9 377.40 SOLE N/A NONE ABBOTT LABS COM 002824100 Common Stock 203 5,753.65 SOLE N/A NONE ABBVIE INC COM 00287Y109 Common Stock 70 1,716.00 SOLE N/A NONE ABERDEEN ASIA-PACIFIC INCOME FD INC COM 003009107 Common Stock 108 13,932.85 SOLE N/A NONE ABERDEEN AUSTRALIA EQUITY FD INC COM 003011103 Common Stock 1,807 159,446.01 SOLE N/A NONE ABERDEEN CHILE FD INC COM 00301W105 Common Stock 78 4,930.00 SOLE N/A NONE ABERDEEN LATIN AMER EQUITY FD INC COM 00306K106 Common Stock 14 384.59 SOLE N/A NONE ACCENTURE PLC IRELAND CLASS SHS ISIN#IE00B4BNMY34 G1151C101 Common Stock 19 255.00 SOLE N/A NONE ACE LIMITED SHS ISIN#CH0044328745 H0023R105 Common Stock 13 145.00 SOLE N/A NONE ACORN ENERGY INC COM 004848107 Common Stock 4 500.00 SOLE N/A NONE ACTAVIS INC COM 00507K103 Common Stock 403 4,375.00 SOLE N/A NONE ACUITY BRANDS INC COM 00508Y102 Common Stock 2 28.00 SOLE N/A NONE ADMINISTRADORA DE FONDOS ADR RPSTG 15 SHS COM 00709P108 Common Stock ADR 5 50.00 SOLE N/A NONE ADOBE SYS INC COM 00724F101 Common Stock 2 40.00 SOLE N/A NONE ADT CORP COM 00101J106 Common Stock 5 99.00 SOLE N/A NONE ADVISORSHARES TR RANGER EQUITY BEAR ETF 00768Y883 Common Stock 408 22,790.00 SOLE N/A NONE AEROPOSTALE COM 007865108 Common Stock 0 33.00 SOLE N/A NONE AETNA INC NEW COM 00817Y108 Common Stock 68 1,334.00 SOLE N/A NONE AFFILIATED MANAGERS GROUP INC COM 008252108 Common Stock 4 25.00 SOLE N/A NONE AFLAC INC COM 001055102 Common Stock 88 1,698.69 SOLE N/A NONE AGENUS INC COM NEW 00847G705 Common Stock 0 1.00 SOLE N/A NONE AGILENT TECHNOLOGIES INC COM 00846U101 Common Stock 8 179.00 SOLE N/A NONE AGL RES INC COM 001204106 Common Stock 7 173.72 SOLE N/A NONE AIR PRODS & CHEMS INC COM 009158106 Common Stock 14 159.00 SOLE N/A NONE AKAMAI TECHNOLOGIES INC COM 00971T101 Common Stock 7 200.00 SOLE N/A NONE AKORN INC COM 009728106 Common Stock 13 950.00 SOLE N/A NONE ALCATEL LUCENT SPON ADR ISIN#US0139043055 013904305 Common Stock ADR 3 2,588.00 SOLE N/A NONE ALCOA INC COM 013817101 Common Stock 49 5,775.71 SOLE N/A NONE ALEXCO RES CORP COM ISIN#CA01535P1062 01535P106 Common Stock 3 1,000.00 SOLE N/A NONE ALEXION PHARMACEUTICALS INC 015351109 Common Stock 15 167.00 SOLE N/A NONE ALLEGHENY TECHNOLOGIES INC COM 01741R102 Common Stock 3 100.00 SOLE N/A NONE ALLERGAN INC COM 018490102 Common Stock 25 225.00 SOLE N/A NONE ALLIANCE HLDGS GP LP COM UNITS REPSTG LTD PARTNER INT 01861G100 Common Stock 28 535.00 SOLE N/A NONE ALLIANCEBERNSTEIN HLDGS L P UNIT LTD PARTNERSHIP INT 01881G106 Common Stock 2 111.72 SOLE N/A NONE ALLIANCEBERSTEIN GLOBAL HIGH INCOME FD INC COM ISIN#US01879R1068 01879R106 Common Stock 4 250.00 SOLE N/A NONE ALLIANZGI NFJ DIVID INT & PREM STRATEGY FD COM 01883A107 Common Stock 11 650.00 SOLE N/A NONE ALLIED WORLD ASSURANCE COMPANY HOLDINGS AG SHS H01531104 Common Stock 3 30.00 SOLE N/A NONE ALLSTATE CORP COM 020002101 Common Stock 297 6,046.00 SOLE N/A NONE ALPHA NAT RES INC COM 02076X102 Common Stock 1 175.00 SOLE N/A NONE ALPHATEC HLDGS INC COM 02081G102 Common Stock 1 500.00 SOLE N/A NONE ALPINE GLOBAL PREMIER PPTYS FD COM SHS OF BEN INT 02083A103 Common Stock 281 33,844.00 SOLE N/A NONE ALPINE TOTAL DYNAMIC DIVID FD COM SHS BEN INT 021060108 Common Stock 12 3,025.00 SOLE N/A NONE ALPS ETF TR ALERIAN MLP ETF 00162Q866 Common Stock 1,131 63,801.36 SOLE N/A NONE ALTRIA GROUP INC COM 02209S103 Common Stock 358 10,409.22 SOLE N/A NONE AMARIN CORP PLC SPONS ADR NEW ISIN#US0231112063 023111206 Common Stock ADR 4 575.00 SOLE N/A NONE AMAZON COM INC 023135106 Common Stock 151 565.00 SOLE N/A NONE AMEREN CORP COM 023608102 Common Stock 86 2,466.89 SOLE N/A NONE AMERIANA BANCORP COM 023613102 Common Stock 9 1,000.00 SOLE N/A NONE AMERICA MOVIL SAB DE C V SPONSORED ADR REPSTG SER A SHS 02364W204 Common Stock ADR 47 2,220.00 SOLE N/A NONE AMERICA MOVIL SAB DE C V SPONSORED ADR REPSTG SER L SHS ISIN#US02364W1053 02364W105 Common Stock ADR 45 2,136.00 SOLE N/A NONE AMERICAN CAP AGY CORP COM 02503X105 Common Stock 189 5,768.00 SOLE N/A NONE AMERICAN CAPITAL LTD COM 02503Y103 Common Stock 97 6,657.23 SOLE N/A NONE AMERICAN ELECTRIC POWER CO 025537101 Common Stock 211 4,342.87 SOLE N/A NONE AMERICAN EXPRESS COMPANY 025816109 Common Stock 23 340.33 SOLE N/A NONE AMERICAN INCOME FD INC COM 02672T109 Common Stock 52 6,220.29 SOLE N/A NONE AMERICAN INTL GROUP INC COM NEW 026874784 Common Stock 86 2,207.00 SOLE N/A NONE AMERICAN INTL GROUP INC WT EXP 01/19/21 026874156 Warrants 1 36.00 SOLE N/A NONE AMERICAN TOWER REIT COM 03027X100 Common Stock 900 11,699.22 SOLE N/A NONE AMERIPRISE FINL INC COM 03076C106 Common Stock 0 1.00 SOLE N/A NONE AMERISOURCE BERGEN CORP COM 03073E105 Common Stock 12 225.00 SOLE N/A NONE AMETEK INC NEW COM 031100100 Common Stock 16 369.00 SOLE N/A NONE AMGEN INC COM 031162100 Common Stock 237 2,311.22 SOLE N/A NONE ANADIGICS INC COM 032515108 Common Stock 24 12,000.00 SOLE N/A NONE ANALOG DEVICES INC COM 032654105 Common Stock 162 3,491.00 SOLE N/A NONE ANHEUSER BUSCH INBEV SA NV SPONSORED ADR ISIN#US03524A1088 03524A108 Common Stock ADR 9 90.00 SOLE N/A NONE ANNALY CAP MGMT INC COM 035710409 Common Stock 499 31,407.82 SOLE N/A NONE ANWORTH MTG ASSET CORP COM 037347101 Common Stock 16 2,575.00 SOLE N/A NONE AON PLC SHS CL A ISIN#GB00B5BT0K07 G0408V102 Common Stock 64 1,047.00 SOLE N/A NONE APACHE CORP COM 037411105 Common Stock 91 1,180.00 SOLE N/A NONE APOLLO RESIDENTIAL MTG INC COM 03763V102 Common Stock 4 175.00 SOLE N/A NONE APOLLO SR FLOATING RATE FD INC COM 037636107 Common Stock 39 1,908.00 SOLE N/A NONE APPLE INC COM 037833100 Common Stock 1,729 3,905.23 SOLE N/A NONE APPLIED INDL TECHNOLOGIES INC COM 03820C105 Common Stock 1 25.00 SOLE N/A NONE APPLIED MATERIALS INC 038222105 Common Stock 36 2,636.00 SOLE N/A NONE ARCH COAL INC COM 039380100 Common Stock 11 2,000.00 SOLE N/A NONE ARCHER DANIELS MIDLAND CO SR NT CONV Corporate Bond/ 0.875% 02/15/14 B/EDTD 02/22/07 Note Convertible 039483AW2 Domestic 71 70,000.00 SOLE N/A NONE ARCHER DANIELS MIDLAND CO L COM 039483102 Common Stock 55 1,645.00 SOLE N/A NONE ARES CAP CORP COM 04010L103 Common Stock 110 6,074.02 SOLE N/A NONE ARKANSAS BEST CORP DEL 040790107 Common Stock 9 812.29 SOLE N/A NONE ARLINGTON ASSET INVT CORP CL A NEW 041356205 Common Stock 3 100.00 SOLE N/A NONE ARMOUR RESIDENTIAL REIT INC COM 042315101 Common Stock 66 10,181.00 SOLE N/A NONE ASA GOLD & PRECIOUS METALS LTD SHS ISIN#BMG3156P1032 G3156P103 Common Stock 35 1,802.45 SOLE N/A NONE ASCENT CAP GROUP INC COM SER A 043632108 Common Stock 0 2.00 SOLE N/A NONE 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SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- AXIS CAPITAL HLDGS LTD SHS ISIN#BMG0692U1099 G0692U109 Common Stock 3 77.00 SOLE N/A NONE B & G FOODS INC NEW COM 05508R106 Common Stock 107 3,502.00 SOLE N/A NONE BAIDU COM INC SPONS ADR REPSTG ORD SHS CL A 056752108 Common Stock ADR 39 447.00 SOLE N/A NONE BALL CORP COM 058498106 Common Stock 24 500.00 SOLE N/A NONE BANCO BRADESCO S A SPONSORED ADR REPSTG PFD SHS NEW 2004 059460303 Common Stock ADR 3 200.00 SOLE N/A NONE BANCO SANTANDER SA ADR ISIN#US05964H1059 05964H105 Common Stock ADR 13 1,926.00 SOLE N/A NONE BANK AMER CORP COM 060505104 Common Stock 536 44,023.52 SOLE N/A NONE BANK OF MONTREAL 063671101 Common Stock 84 1,334.85 SOLE N/A NONE BANK OF NEW YORK MELLON CORP COM 064058100 Common Stock 34 1,217.00 SOLE N/A NONE BANK OF NOVA SCOTIA HALIFAX COM SHS ISIN#CA0641491075 064149107 Common Stock 3 50.00 SOLE N/A NONE BARCLAYS BK PLC 7.1% SPON ADR REPSTG CALLABLE DOLLAR PREF SHS SER 3 CALLABLE 12/15/12@25.00 06739H776 Preferred Stock 180 7,058.86 SOLE N/A NONE BARCLAYS BK PLC 8.125% SPON ADR PREF SHS Preferred Stock SER 5 CALLABLE 6/15/13@25.00 06739H362 ADR 210 8,200.00 SOLE N/A NONE BARCLAYS BK PLC BARCLAYS USD INTELLIGENT CARRY INDEX 06739H412 Common Stock 11 235.00 SOLE N/A NONE BARCLAYS BK PLC ETN S&P 500 DYNAMIC VEQTOR ETN 06740C337 Common Stock 138 1,020.50 SOLE N/A NONE BARCLAYS BK PLC IPATH DOW JONES UBS GRAINS TOTAL RETURN SUB INDEX ETN 06739H305 Common Stock 3 50.00 SOLE N/A NONE BARCLAYS BK PLC IPATH ETNS LKD MSCI INDIA TOTAL RETURN INDEX MAT 2036 06739F291 Common Stock 10 180.00 SOLE N/A NONE BARCLAYS BK PLC IPATH INDEX LKD TO DOW JONES UBS COMMODITY INDEX TOTAL RETURN 06738C778 Common Stock 1 21.00 SOLE N/A NONE BARCLAYS BK PLC IPATH INDEX LKD TO SECS LKD TO GSCI COMMODITY CRUDE OIL RETURN INDEX 06738C786 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SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- CAREFUSION CORP COM 14170T101 Common Stock 2 70.00 SOLE N/A NONE CATERPILLAR INC COM 149123101 Common Stock 155 1,780.53 SOLE N/A NONE CBRE CLARION GLOBAL REAL ESTATE INCOME FD COM 12504G100 Common Stock 30 3,086.00 SOLE N/A NONE CBRE GROUP INC CL A 12504L109 Common Stock 5 200.00 SOLE N/A NONE CELANESE CORP DEL COM SER A 150870103 Common Stock 2 40.00 SOLE N/A NONE CELGENE CORP 151020104 Common Stock 64 553.00 SOLE N/A NONE CENTRAL FD CDA LTD CL A 153501101 Common Stock 111 5,705.00 SOLE N/A NONE CENTURYLINK INC COM 156700106 Common Stock 98 2,777.00 SOLE N/A NONE CERNER CORP 156782104 Common Stock 73 770.00 SOLE N/A NONE CHART INDS INC COM PAR 16115Q308 Common Stock 3 32.00 SOLE N/A NONE CHECK POINT SOFTWARE TECHNOLOGIES LTD SHS ISIN#IL0010824113 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1,825.00 SOLE N/A NONE HARRIS CORP DEL 413875105 Common Stock 44 958.64 SOLE N/A NONE HARRIS TEETER SUPERMARKETS INC COM ISIN#US4145851097 414585109 Common Stock 13 300.00 SOLE N/A NONE HARTFORD FINL SVCS GROUP INC COM 416515104 Common Stock 4 139.00 SOLE N/A NONE HARTFORD FINL SVCS GROUP INC PFD STK C/A EFF 4/01/13 1 OLD/.9208 NEW CU Preferred Stock 416515104 HARTFORD FINL SVCS 416515708 Convertible 127 5,350.00 SOLE N/A NONE HASBRO INC COM 418056107 Common Stock 42 959.00 SOLE N/A NONE HATTERAS FINL CORP COM 41902R103 Common Stock 27 975.00 SOLE N/A NONE HCA HLDGS INC COM 40412C101 Common Stock 402 9,903.00 SOLE N/A NONE HEALTH CARE REIT INC COM 42217K106 Common Stock 23 337.00 SOLE N/A NONE HEINZ H J COMPANY 423074103 Common Stock 77 1,061.04 SOLE N/A NONE HELIX ENERGY SOLUTIONS GROUP INC COM 42330P107 Common Stock 37 1,620.00 SOLE N/A NONE HERBALIFE LTD USD COM SHS ISIN#KYG4412G1010 G4412G101 Common Stock 4 119.59 SOLE N/A NONE HERSHEY CO COM 427866108 Common Stock 9 100.00 SOLE N/A NONE HERTZ GLOBAL HLDGS INC COM 42805T105 Common Stock 73 3,257.00 SOLE N/A NONE HESS CORP COM 42809H107 Common Stock 14 200.00 SOLE N/A NONE HEWLETT PACKARD CO COM 428236103 Common Stock 13 557.29 SOLE N/A NONE HILLSHIRE BRANDS CO COM 432589109 Common Stock 3 80.00 SOLE N/A NONE HOLOGIC INC COM 436440101 Common Stock 35 1,530.00 SOLE N/A NONE HOME DEPOT INC COM 437076102 Common Stock 373 5,346.00 SOLE N/A NONE HONEYWELL INTL INC COM ISIN#US4385161066 438516106 Common Stock 72 951.00 SOLE N/A NONE HORMEL FOODS CORP COM 440452100 Common Stock 7 168.00 SOLE N/A NONE HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 Common Stock 2 88.00 SOLE N/A NONE HOVNANIAN ENTERPRISES INC CL A COM 442487203 Common Stock 11 1,900.00 SOLE N/A NONE HSBC HLDGS PLC SPONS ADR NEW 404280406 Common Stock ADR 9 162.00 SOLE N/A NONE HUBBELL INC CL B (PREVIOUSLY HUBBELL HARVEY INC) 443510201 Common Stock 3 30.00 SOLE N/A NONE HUMANA INC COM 444859102 Common Stock 3 50.00 SOLE N/A NONE HUNTINGTON BANCSHARES INC 446150104 Common Stock 2 300.00 SOLE N/A NONE IAC INTERACTIVECORP COM PAR 44919P508 Common Stock 179 4,000.00 SOLE N/A NONE ICON PLC LTD SHS ISIN#IE0005711209 G4705A100 Common Stock 6 200.00 SOLE N/A NONE ILLINOIS TOOL WORKS INC COM 452308109 Common Stock 61 1,000.00 SOLE N/A NONE
SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- -------------- ------------- --------------- ---------- -------- --------- IMPAC MTG HLDGS INC COM NEW 45254P508 Common Stock 4 400.00 SOLE N/A NONE IMPERIAL OIL LTD COM 453038408 Common Stock 3 77.00 SOLE N/A NONE INCYTE CORP COM 45337C102 Common Stock 5 198.00 SOLE N/A NONE INDEXIQ ETF TR IQ HEDGE MULTI-STRATEGY TRACKER ETF 45409B107 Common Stock 226 8,012.00 SOLE N/A NONE ING ASIA PAC HIGH DIVID EQUITY INCOME FD COM 44983J107 Common Stock 101 6,322.00 SOLE N/A NONE ING GLOBAL EQUITY DIVID & PREM OPPTY FD COM 45684E107 Common Stock 22 2,360.00 SOLE N/A NONE ING RISK MANAGED NAT RES FD COM 449810100 Common Stock 1,549 138,896.93 SOLE N/A NONE INGERSOLL RAND PLC SHS ISIN#IE00B6330302 G47791101 Common Stock 21 380.00 SOLE N/A NONE INGLES MARKETS INC CL A 457030104 Common Stock 5 230.00 SOLE N/A NONE INTEL CORP COM 458140100 Common Stock 697 31,928.00 SOLE N/A NONE INTEL CORP JR SUB DEB CONV 2.950% Corporate 12/15/35 B/EDTD 12/16/05 CLB Bond/Note Convertible 458140AD2 Domestic 85 80,000.00 SOLE N/A NONE INTEL CORP JR SUB DEB CONV144A 3.250% Corporate 08/01/39 B/ EDTD 07/29/09 CLB Bond/Note Convertible 458140AF7 Domestic 18 15,000.00 SOLE N/A NONE INTERNATIONAL BUSINESS MACHS CORP COM 459200101 Common Stock 538 2,520.05 SOLE N/A NONE INTERNATIONAL GAME TECHNOLOGY COM 459902102 Common Stock 0 4.00 SOLE N/A NONE INTERNATIONAL PAPER CO 460146103 Common Stock 22 477.00 SOLE N/A NONE INTUITIVE SURGICAL INC COM NEW 46120E602 Common Stock 10 20.00 SOLE N/A NONE INVESCO CALIF VALUE MUN INCOME TR COM 46132H106 Common Stock 28 2,126.00 SOLE N/A NONE INVESCO DYNAMIC CR OPPORTUNITIES FD COM 46132R104 Common Stock 51 3,818.00 SOLE N/A NONE INVESCO MORTGAGE CAPITAL INC COM 46131B100 Common Stock 29 1,335.00 SOLE N/A NONE INVESCO MUN TR COM 46131J103 Common Stock 29 2,032.00 SOLE N/A NONE INVESCO SR INCOME TR COM 46131H107 Common Stock 6 1,000.00 SOLE N/A NONE INVESCO TR INVT GRAD MUNS COM 46131M106 Common Stock 1 87.00 SOLE N/A NONE ISHARES GOLD TR ISHARES 464285105 Common Stock 277 17,817.00 SOLE N/A NONE ISHARES GSCI COMMODITY INDEXED TR UNIT BEN INT 46428R107 Common Stock 239 7,275.00 SOLE N/A NONE ISHARES INC EMERGING MKTS LOCAL CURRENCY BD FD 464286517 Common Stock 4 81.00 SOLE N/A NONE ISHARES INC MCSI BRIC INDEX FD 464286657 Common Stock 12 299.00 SOLE N/A NONE ISHARES INC MCSI TURKEY INDEX FD 464286715 Common Stock 1 15.00 SOLE N/A NONE ISHARES INC MSCI ALL COUNTRY WORLD MINIMUM VOLATILITY INDEX FD 464286525 Common Stock 6 100.00 SOLE N/A NONE ISHARES INC MSCI BRAZIL CAPPED INDEX FD 464286400 Common Stock 933 17,130.15 SOLE N/A NONE ISHARES INC MSCI CDA INDEX FD 464286509 Common Stock 80 2,818.72 SOLE N/A NONE ISHARES INC MSCI CHILE CAPPED INVESTABLE MKT INDEX FD 464286640 Common Stock 13 200.00 SOLE N/A NONE ISHARES INC MSCI EMERGING MKTS MINIMUM VOLATILITY INDEX FD 464286533 Common Stock 28 459.00 SOLE N/A NONE ISHARES INC MSCI EMU INDEX FD 464286608 Common Stock 5 163.00 SOLE N/A NONE ISHARES INC MSCI ITALY CAPPED INDEX FD 464286855 Common Stock 2 200.00 SOLE N/A NONE ISHARES INC MSCI JAPAN INDEX FD 464286848 Common Stock 15 1,355.00 SOLE N/A NONE ISHARES INC MSCI PACIFIC EX-JAPAN INDEX FD 464286665 Common Stock 99 2,001.73 SOLE N/A NONE ISHARES INC MSCI SOUTH AFRICA INDEX FD 464286780 Common Stock 1 15.00 SOLE N/A NONE ISHARES INC MSCI SOUTH KOREA CAPPED INDEX FD 464286772 Common Stock 29 480.00 SOLE N/A NONE ISHARES INC MSCI UNITED KINGDOM INDEX FD 464286699 Common Stock 1 38.00 SOLE N/A NONE ISHARES SILVER TR ISHARES 46428Q109 Common Stock 127 4,644.00 SOLE N/A NONE ISHARES TR 10+ YR CR BD FD 464289511 Common Stock 17 275.00 SOLE N/A NONE ISHARES TR 2013 S&P AMT FREE MUN SER 464289388 Common Stock 3 59.00 SOLE N/A NONE ISHARES TR 2014 S&P AMT-FREE MUN SER 464289362 Common Stock 2 30.00 SOLE N/A NONE ISHARES TR 2015 S&P AMT-FREE MUN SER FD 464289339 Common Stock 1 20.00 SOLE N/A NONE ISHARES TR 2016 S&P AMT FREE MUNICIPAL SER 464289313 Common Stock 1 10.00 SOLE N/A NONE ISHARES TR BARCLAYS 10-20 YR TREAS BD FD 464288653 Common Stock 3 22.00 SOLE N/A NONE ISHARES TR BARCLAYS 1-3 YR CR BD FD 464288646 Common Stock 410 3,887.30 SOLE N/A NONE ISHARES TR BARCLAYS 1-3 YR TREAS BD FD 464287457 Common Stock 280 3,318.84 SOLE N/A NONE ISHARES TR BARCLAYS 20+ TREAS BD FD 464287432 Common Stock 429 3,640.98 SOLE N/A NONE ISHARES TR BARCLAYS 3-7 YR TREAS BD FD 464288661 Common Stock 46 373.00 SOLE N/A NONE ISHARES TR BARCLAYS 7-10 YR TREAS BD FD 464287440 Common Stock 23 218.00 SOLE N/A NONE ISHARES TR BARCLAYS CR BD FD 464288620 Common Stock 5 45.00 SOLE N/A NONE ISHARES TR BARCLAYS INTER CR BD FD 464288638 Common Stock 0 2.00 SOLE N/A NONE ISHARES TR BARCLAYS MBS BD FD 464288588 Common Stock 327 3,034.00 SOLE N/A NONE ISHARES TR BARCLAYS SHORT TREAS BD FD 464288679 Common Stock 47 430.00 SOLE N/A NONE ISHARES TR BARCLAYS TIPS BD FD 464287176 Common Stock 1,679 13,848.52 SOLE N/A NONE ISHARES TR COHEN & STEERS REALTY MAJORS INDEX FD 464287564 Common Stock 749 9,082.72 SOLE N/A NONE ISHARES TR CORE S&P 500 ETF 464287200 Common Stock 113 716.15 SOLE N/A NONE ISHARES TR CORE S&P MID-CAP ETF 464287507 Common Stock 869 7,550.28 SOLE N/A NONE ISHARES TR CORE S&P SMALL-CAP ETF 464287804 Common Stock 110 1,261.00 SOLE N/A NONE ISHARES TR CORE TOTAL U S BD MKT ETF 464287226 Common Stock 629 5,678.34 SOLE N/A NONE ISHARES TR DOW JONES INTL SELECT DIVIDEND INDEX FD 464288448 Common Stock 113 3,318.86 SOLE N/A NONE ISHARES TR DOW JONES SELECT DIVID INDEX FD 464287168 Common Stock 1,365 21,536.11 SOLE N/A NONE ISHARES TR DOW JONES TRANSN AVERAGE INDEX FD 464287192 Common Stock 106 951.59 SOLE N/A NONE ISHARES TR DOW JONES U S 464287713 Common Stock 5 200.00 SOLE N/A NONE ISHARES TR DOW JONES U S BASIC MATERIALS SECTOR 464287838 Common Stock 15 216.08 SOLE N/A NONE ISHARES TR DOW JONES U S CONSUMER GOODS SECTOR 464287812 Common Stock 444 5,227.02 SOLE N/A NONE ISHARES TR DOW JONES U S CONSUMER SVCS SECTOR 464287580 Common Stock 348 3,563.44 SOLE N/A NONE ISHARES TR DOW JONES U S ENERGY SECTOR INDEX FD 464287796 Common Stock 10 230.00 SOLE N/A NONE ISHARES TR DOW JONES U S FINL SECTOR INDEX FD 464287788 Common Stock 7 104.00 SOLE N/A NONE ISHARES TR DOW JONES U S HEALTHCARE SECTOR 464287762 Common Stock 5 51.00 SOLE N/A NONE ISHARES TR DOW JONES U S INDL SECTOR INDEX FD 464287754 Common Stock 7 86.00 SOLE N/A NONE ISHARES TR DOW JONES U S REAL ESTATE INDEX FD 464287739 Common Stock 127 1,825.00 SOLE N/A NONE ISHARES TR DOW JONES U S TECHNOLOGY SECTOR 464287721 Common Stock 33 450.00 SOLE N/A NONE ISHARES TR DOW JONES U S TOTAL MKT INDEX FD 464287846 Common Stock 71 900.00 SOLE N/A NONE ISHARES TR DOW JONES U S UTILS SECTOR INDEX FD 464287697 Common Stock 89 916.98 SOLE N/A NONE ISHARES TR DOW JONES US HEALTH CARE PROVIDERS 464288828 Common Stock 207 2,695.00 SOLE N/A NONE ISHARES TR DOW JONES US HOME CONSTN INDEX FD 464288752 Common Stock 5 229.00 SOLE N/A NONE ISHARES TR DOW JONES US INS INDEX FD 464288786 Common Stock 11 286.00 SOLE N/A NONE ISHARES TR DOW JONES US OIL & GAS EXPL & ISIN#464288851 464288851 Common Stock 12 164.00 SOLE N/A NONE ISHARES TR DOW JONES US OIL EQUIP & SVCS INDEX FD 464288844 Common Stock 34 589.85 SOLE N/A NONE ISHARES TR DOW JONES US PHARMACEUTICALS INDEX FD 464288836 Common Stock 260 2,711.00 SOLE N/A NONE ISHARES TR FLTG RATE NT FD 46429B655 Common Stock 58 1,135.00 SOLE N/A NONE ISHARES TR FTSE CHINA 25 INDEX FD 464287184 Common Stock 82 2,215.80 SOLE N/A NONE ISHARES TR FTSE DEVELOPED SMALL CAP EX- NORTH 464288497 Common Stock 2 63.00 SOLE N/A NONE ISHARES TR FTSE NAREIT MTG REITS INDEX FD 464288539 Common Stock 6 400.00 SOLE N/A NONE ISHARES TR FTSE NAREIT REAL ESTATE 50 INDEX FD 464288521 Common Stock 2 36.00 SOLE N/A NONE ISHARES TR FTSE NAREIT RESIDENTIAL INDEX FD 464288562 Common Stock 8 156.00 SOLE N/A NONE ISHARES TR FTSE NAREIT RETAIL INDEX FD 464288547 Common Stock 34 905.00 SOLE N/A NONE ISHARES TR HIGH DIVID EQUITY FD 46429B663 Common Stock 236 3,616.89 SOLE N/A NONE ISHARES TR IBOXX $ HIGH YIELD CORP BD FD 464288513 Common Stock 665 7,045.39 SOLE N/A NONE ISHARES TR IBOXX USD INVT GRADE CORP BD FD 464287242 Common Stock 965 8,051.93 SOLE N/A NONE ISHARES TR JPMORGAN USD EMERGING MKTS BD FD 464288281 Common Stock 30 254.00 SOLE N/A NONE ISHARES TR KLD SELECT SOCIAL INDEX FD 464288802 Common Stock 10 143.00 SOLE N/A NONE ISHARES TR LARGE GROWTH INDEX FD 464287119 Common Stock 228 2,784.82 SOLE N/A NONE ISHARES TR MORNINGSTAR SMALL CORE INDEX FD 464288505 Common Stock 12 112.00 SOLE N/A NONE ISHARES TR MORNINGSTAR SMALL VALUE INDEX FD 464288703 Common Stock 85 821.00 SOLE N/A NONE ISHARES TR MSCI ACWI INDEX FD 464288257 Common Stock 5 93.00 SOLE N/A NONE ISHARES TR MSCI ALL PERU CAPPED INDEX FD 464289842 Common Stock 1 20.00 SOLE N/A NONE ISHARES TR MSCI EAFE GROWTH INDEX FD 464288885 Common Stock 6 101.00 SOLE N/A NONE ISHARES TR MSCI EAFE INDEX FD 464287465 Common Stock 627 10,638.56 SOLE N/A NONE
SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- ISHARES TR MSCI EAFE MINIMUM VOLATILITY INDEX FD 46429B689 Common Stock 39 650.00 SOLE N/A NONE ISHARES TR MSCI EAFE SMALL CAP INDEX FD 464288273 Common Stock 55 1,258.00 SOLE N/A NONE ISHARES TR MSCI EAFE VALUE INDEX FD 464288877 Common Stock 92 1,856.00 SOLE N/A NONE ISHARES TR MSCI EMERGING MKTS INDEX FD 464287234 Common Stock 360 8,417.56 SOLE N/A NONE ISHARES TR MSCI USA MINIMUM VOLATILITY INDEX FD 46429B697 Common Stock 147 4,500.00 SOLE N/A NONE ISHARES TR NASDAQ BIOTECHNOLOGY INDEX FD 464287556 Common Stock 255 1,591.46 SOLE N/A NONE ISHARES TR PHLX SOX SEMICONDUCTOR SECTOR INDEX FD 464287523 Common Stock 4 72.08 SOLE N/A NONE ISHARES TR RUSSELL 1000 GROWTH INDEX FD 464287614 Common Stock 668 9,356.00 SOLE N/A NONE ISHARES TR RUSSELL 1000 INDEX FD 464287622 Common Stock 67 767.00 SOLE N/A NONE ISHARES TR RUSSELL 1000 VALUE INDEX FD 464287598 Common Stock 199 2,457.00 SOLE N/A NONE ISHARES TR RUSSELL 2000 GROWTH INDEX FD 464287648 Common Stock 257 2,383.02 SOLE N/A NONE ISHARES TR RUSSELL 2000 INDEX FD 464287655 Common Stock 459 4,861.45 SOLE N/A NONE ISHARES TR RUSSELL 2000 VALUE INDEX FD 464287630 Common Stock 125 1,492.67 SOLE N/A NONE ISHARES TR RUSSELL 3000 VALUE INDEX FD 464287663 Common Stock 4 34.00 SOLE N/A NONE ISHARES TR RUSSELL MICROCAP INDEX FD 464288869 Common Stock 1 25.00 SOLE N/A NONE ISHARES TR RUSSELL MIDCAP GROWTH INDEX FD 464287481 Common Stock 39 559.00 SOLE N/A NONE ISHARES TR RUSSELL MIDCAP INDEX FD 464287499 Common Stock 240 1,884.00 SOLE N/A NONE ISHARES TR RUSSELL MIDCAP VALUE INDEX FD 464287473 Common Stock 36 633.00 SOLE N/A NONE ISHARES TR S&P 100 INDEX FD 464287101 Common Stock 37 529.00 SOLE N/A NONE ISHARES TR S&P 500 GROWTH INDEX FD 464287309 Common Stock 557 6,766.00 SOLE N/A NONE ISHARES TR S&P 500 VALUE INDEX FD 464287408 Common Stock 475 6,436.00 SOLE N/A NONE ISHARES TR S&P CALIF MUN BD FD 464288356 Common Stock 3 24.00 SOLE N/A NONE ISHARES TR S&P EMERGING MKTS 464288216 Common Stock 5 127.00 SOLE N/A NONE ISHARES TR S&P GLOBAL 100 INDEX FD 464287572 Common Stock 193 2,845.00 SOLE N/A NONE ISHARES TR S&P GLOBAL CONSUMER STAPLES INDEX 464288737 Common Stock 25 300.00 SOLE N/A NONE ISHARES TR S&P GLOBAL ENERGY SECTOR INDEX FD 464287341 Common Stock 22 550.00 SOLE N/A NONE ISHARES TR S&P GLOBAL INFO TECHNOLOGY SECTOR 464287291 Common Stock 10 150.00 SOLE N/A NONE ISHARES TR S&P GLOBAL INFRASTRUCTURE INDEX FD 464288372 Common Stock 6 150.00 SOLE N/A NONE ISHARES TR S&P GLOBAL TIMBER & FORESTRY INDEX FD 464288174 Common Stock 4 80.00 SOLE N/A NONE ISHARES TR S&P GSSI NAT RES INDEX FD 464287374 Common Stock 293 7,222.00 SOLE N/A NONE ISHARES TR S&P GSSI SOFTWARE INDEX FD 464287515 Common Stock 32 454.00 SOLE N/A NONE ISHARES TR S&P GSSI TECHNOLOGY INDEX FD 464287549 Common Stock 10 138.00 SOLE N/A NONE ISHARES TR S&P LATIN AMER 40 INDEX FD 464287390 Common Stock 7 164.23 SOLE N/A NONE ISHARES TR S&P MIDCAP 400 GROWTH INDEX FD 464287606 Common Stock 258 2,015.00 SOLE N/A NONE ISHARES TR S&P MIDCAP 400 VALUE INDEX FD 464287705 Common Stock 67 664.00 SOLE N/A NONE ISHARES TR S&P MODERATE ALLOCATION FD 464289875 Common Stock 16 500.00 SOLE N/A NONE ISHARES TR S&P NATL MUN BD FD 464288414 Common Stock 329 2,989.58 SOLE N/A NONE ISHARES TR S&P SHORT TERM NATL MUNICIPAL BD FD 464288158 Common Stock 8 71.71 SOLE N/A NONE ISHARES TR S&P SMALLCAP 600 GROWTH INDEX FD 464287887 Common Stock 2,052 21,852.26 SOLE N/A NONE ISHARES TR S&P SMALLCAP 600 VALUE INDEX FD 464287879 Common Stock 2,021 22,475.00 SOLE N/A NONE ISHARES TR S&P U S PFD STK INDEX FD 464288687 Common Stock 1,118 27,584.54 SOLE N/A NONE ISHARES TR S&P/ CITIGROUP 1-3 YR INTL TREASURY 464288125 Common Stock 27 289.00 SOLE N/A NONE ISHARES TR S&P/ CITIGROUP INTL TREASURY BD 464288117 Common Stock 5 50.00 SOLE N/A NONE ITAU UNIBANCO HLDG SA NS SPONSORED ADR Preferred Stock REPSTG 500 PFD ISIN#US4655621062 465562106 ADR 7 375.00 SOLE N/A NONE JANUS CAP GROUP INC SR NT 3.250% Corporate Bond/ 07/15/14 B/EDTD 07/21/09 Note Convertible 47102XAG0 Domestic 4 4,000.00 SOLE N/A NONE JAZZ PHARMACEUTICALS PLC SHS USD ISIN#IE00B4Q5ZN47 G50871105 Common Stock 2 40.00 SOLE N/A NONE JOHN HANCOCK HEDGED EQUITY & INCOME FD COM 47804L102 Common Stock 37 2,200.00 SOLE N/A NONE JOHNSON & JOHNSON COM 478160104 Common Stock 1,018 12,488.56 SOLE N/A NONE JOHNSON CTLS INC COM 478366107 Common Stock 7 205.00 SOLE N/A NONE JP MORGAN CHASE & CO COM ISIN#US46625H1005 46625H100 Common Stock 145 3,050.11 SOLE N/A NONE JPMORGAN CHASE & CO ALERIAN MLP INDEX ETN BASED ON WAP (LEVEL OF INDEX) 46625H365 Common Stock 463 10,170.25 SOLE N/A NONE KAISER ALUM CORP COM PAR 483007704 Common Stock 407 6,288.00 SOLE N/A NONE KAMAN CORP COM 483548103 Common Stock 4 100.00 SOLE N/A NONE KANSAS CITY SOUTHN COM NEW 485170302 Common Stock 4 39.00 SOLE N/A NONE KAYNE ANDERSON ENERGY TOTAL RETURN FD INC COM 48660P104 Common Stock 10 325.00 SOLE N/A NONE KAYNE ANDERSON MLP INVT CO COM 486606106 Common Stock 27 778.00 SOLE N/A NONE KB HOME COM 48666K109 Common Stock 3 150.00 SOLE N/A NONE KELLOGG CO 487836108 Common Stock 139 2,161.00 SOLE N/A NONE KELLY SVCS INC CL A 488152208 Common Stock 15 800.00 SOLE N/A NONE KEYCORP NEW COM 493267108 Common Stock 1 140.00 SOLE N/A NONE KIMBERLY CLARK CORP 494368103 Common Stock 45 455.00 SOLE N/A NONE KINDER MORGAN ENERGY PARTNERS L P UNIT LTD PARTNERSHIP INT 494550106 Common Stock 161 1,789.71 SOLE N/A NONE KINDER MORGAN INC DEL COM 49456B101 Common Stock 37 959.38 SOLE N/A NONE KINDER MORGAN MGMT LLC SHS 49455U100 Common Stock 29 335.00 SOLE N/A NONE KIRBY CORP COM 497266106 Common Stock 5 60.00 SOLE N/A NONE KLA-TENCOR CORP COM 482480100 Common Stock 9 166.24 SOLE N/A NONE KOHLS CORP COM 500255104 Common Stock 20 437.52 SOLE N/A NONE KONINKLIJKE PHILIPS ELECTRS N V SPONSORED ADR NEW 2000 ISIN#US5004723038 500472303 Common Stock ADR 1 47.00 SOLE N/A NONE KRAFT FOODS GROUP INC COM 50076Q106 Common Stock 52 1,014.30 SOLE N/A NONE KRISPY KREME DOUGHNUTS INC COM 501014104 Common Stock 16 1,100.00 SOLE N/A NONE KROGER CO COM 501044101 Common Stock 9 268.00 SOLE N/A NONE LAKES ENTMT INC COM 51206P109 Common Stock 1 500.00 SOLE N/A NONE LAM RESH CORP SR NT CONV 0.500% 05/15/16 Corporate Bond/ B/EDTD 05/11/11 SOLICITED ORDER YLD Note Convertible 1.650 TO MAT 512807AJ7 Domestic 20 20,000.00 SOLE N/A NONE LAS VEGAS SANDS CORP COM 517834107 Common Stock 38 674.00 SOLE N/A NONE LATIN AMERICAN DISCOVERY FUND INC 51828C106 Common Stock 5 323.73 SOLE N/A NONE LEAR CORP COM NEW 521865204 Common Stock 5 100.00 SOLE N/A NONE LEGG MASON INC 524901105 Common Stock 3 100.00 SOLE N/A NONE LEGGETT & PLATT INC 524660107 Common Stock 10 295.00 SOLE N/A NONE LEUCADIA NATL CORP COM 527288104 Common Stock 5 195.00 SOLE N/A NONE LIBBEY INC COM 529898108 Common Stock 2 100.00 SOLE N/A NONE LIBERTY ALL STAR GROWTH FD INC COM 529900102 Common Stock 8 1,704.00 SOLE N/A NONE LIBERTY GLOBAL INC COM SER A 530555101 Common Stock 2 24.00 SOLE N/A NONE LIBERTY GLOBAL INC COM SER C 530555309 Common Stock 2 24.00 SOLE N/A NONE LIBERTY INTERACTIVE CORP INTERACTIVE COM SER A 53071M104 Common Stock 3 120.00 SOLE N/A NONE LIBERTY INTERACTIVE CORP LIBERTY VENTURE COM SER A 53071M880 Common Stock 1 8.00 SOLE N/A NONE LIBERTY MEDIA CORP DELAWARE CL A 531229102 Common Stock 3 31.00 SOLE N/A NONE LINEAR TECHNOLOGY CORP 535678106 Common Stock 5 135.00 SOLE N/A NONE LINKEDIN CORP CL A 53578A108 Common Stock 15 86.00 SOLE N/A NONE LINN ENERGY LLC UNIT REPSTG LTD LIABILITY CO INTS 536020100 Common Stock 100 2,635.00 SOLE N/A NONE LKQ CORP COM 501889208 Common Stock 6 280.00 SOLE N/A NONE LMP REAL ESTATE INCOME FD INC 50208C108 Common Stock 26 2,000.00 SOLE N/A NONE LOCKHEED MARTIN CORP COM 539830109 Common Stock 97 1,007.00 SOLE N/A NONE LORILLARD INC COM 544147101 Common Stock 12 290.00 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SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- POWERSHARES DB G10 CURRENCY HARVEST FD COM UNIT BEN INT 73935Y102 Common Stock 31 1,148.00 SOLE N/A NONE POWERSHARES DB MULTI SECTOR COMMODITY TR POWER SHARES DB AGRIC FD COM UNIT 73936B408 Common Stock 46 1,793.00 SOLE N/A NONE POWERSHARES DB MULTI SECTOR COMMODITY TR POWER SHARES DB PRECIOUS METAL FD COM UNIT 73936B200 Common Stock 10 181.00 SOLE N/A NONE POWERSHARES DB MULTI-SECTOR COMMODITY TR POWER SHARES DB GOLD FD 73936B606 Common Stock 38 695.00 SOLE N/A NONE POWERSHARES DB U S DLR INDEX TR POWERSHARES DV US$ INDEX BULLISH FD COM UNIT 73936D107 Common Stock 114 5,054.00 SOLE N/A NONE POWERSHARES EXCH TRADED FD TR DWA TECHNICAL LEADERS PORTFOLIO 73935X153 Common Stock 64 2,058.00 SOLE N/A NONE POWERSHARES EXCH TRD FD TR NASDAQ INTERNET PORTFOLIO 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SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- SALESFORCE.COM INC COM STOCK 79466L302 Common Stock 14 81.00 SOLE N/A NONE SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 Common Stock 25 1,673.80 SOLE N/A NONE SANDRIDGE ENERGY INC COM 80007P307 Common Stock 11 2,000.00 SOLE N/A NONE SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007T101 Common Stock 3 215.00 SOLE N/A NONE SANDRIDGE MISSISSIPPIAN TR II SHS BEN INT 80007V106 Common Stock 157 12,850.00 SOLE N/A NONE SANDRIDGE PERMIAN TR COM UNIT REPSTG BENEFICIAL INTS IN SANDRIDGE TR 80007A102 Common Stock 15 1,000.00 SOLE N/A NONE SANOFI CONTINGENT VALUE RT RTS EXP 12/31/2020 80105N113 Rights 1 667.00 SOLE N/A NONE SANOFI SPONS ADR ISIN#US80105N1054 80105N105 Common Stock ADR 34 664.00 SOLE N/A NONE SCANA CORP NEW COM 80589M102 Common Stock 6 120.00 SOLE N/A NONE SCBT FINL CORP COM 78401V102 Common Stock 29 567.39 SOLE N/A NONE SCHLUMBERGER LTD COM ISIN#AN8068571086 806857108 Common Stock 89 1,190.00 SOLE N/A NONE SCHWAB CHARLES CORP NEW COM 808513105 Common Stock 35 1,975.00 SOLE N/A NONE SEADRILL LIMTED SHS ISIN#BMG7945E1057 G7945E105 Common Stock 151 4,068.55 SOLE N/A NONE SEAGATE TECHNOLOGY PLC SHS ISIN#IE00B58JVZ52 G7945M107 Common Stock 12 326.87 SOLE N/A NONE SEARS HLDGS CORP COM 812350106 Common Stock 2 50.00 SOLE N/A NONE SELECT SECTOR SPDR TR CONSUMER DISCRETIONARY TRANSN TO 06/24/02 81369Y407 Common Stock 16 300.00 SOLE N/A NONE SELECT SECTOR SPDR TR CONSUMER STAPLES 81369Y308 Common Stock 308 7,735.00 SOLE N/A NONE SELECT SECTOR SPDR TR ENERGY 81369Y506 Common Stock 1,195 15,072.34 SOLE N/A NONE SELECT SECTOR SPDR TR FINANCIAL 81369Y605 Common Stock 75 4,130.00 SOLE N/A NONE SELECT SECTOR SPDR TR HEALTH CARE 81369Y209 Common Stock 70 1,527.30 SOLE N/A NONE SELECT SECTOR SPDR TR INDL 81369Y704 Common Stock 10 250.00 SOLE N/A 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GOLD SHS 78463V107 Common Stock 1,737 11,247.00 SOLE N/A NONE SPDR INDEX SHS FDS DOW JONES GLOBAL REAL ESTATE ETF 78463X749 Common Stock 168 3,785.76 SOLE N/A NONE SPDR INDEX SHS FDS DOW JONES INTL REAL ESTATE ETF 78463X863 Common Stock 6 129.00 SOLE N/A NONE SPDR INDEX SHS FDS EURO STOXX 50 ETF 78463X202 Common Stock 13 400.00 SOLE N/A NONE SPDR INDEX SHS FDS S&P EMERGING ASIA PAC ETF 78463X301 Common Stock 10 135.09 SOLE N/A NONE SPDR INDEX SHS FDS S&P EMERGING LATIN AMER ETF 78463X707 Common Stock 8 112.00 SOLE N/A NONE SPDR INDEX SHS FDS S&P EMERGING MIDDLE EAT & AFRICA 78463X806 Common Stock 3 50.00 SOLE N/A NONE SPDR INDEX SHS FDS S&P EMERGING MKTS ETF 78463X509 Common Stock 2 30.00 SOLE N/A NONE SPDR INDEX SHS FDS S&P INTL DIVIDEND ETF 78463X772 Common Stock 139 2,853.58 SOLE N/A NONE SPDR INDEX SHS FDS S&P RUSSIA ETF 78463X558 Common Stock 4 131.00 SOLE N/A NONE SPDR INDEX SHS FDS SPDR S&P INTL ENERGY SECTOR ETF 78463X715 Common Stock 4 185.00 SOLE N/A NONE SPDR INDEX SHS FDS SPDR S&P INTL MATERIALS SECTOR 78463X665 Common Stock 4 170.00 SOLE N/A NONE SPDR S&P 500 ETF TR TR UNIT 78462F103 Common Stock 2,328 14,859.66 SOLE N/A NONE SPDR S&P MIDCAP 400 ETF TR UNIT SER 1 STANDARD & POORS DEP RCPT 78467Y107 Common Stock 166 790.00 SOLE N/A NONE SPDR SER TR BARCLAYS 1-3 T BILL ETF 78464A680 Common Stock 104 2,260.00 SOLE N/A NONE SPDR SER TR BARCLAYS AGGREGATE BD ETF 78464A649 Common Stock 4 75.00 SOLE N/A NONE SPDR SER TR BARCLAYS CONV SECS ETF 78464A359 Common Stock 345 8,132.60 SOLE N/A NONE SPDR SER TR BARCLAYS HIGH YIELD BD ETF 78464A417 Common Stock 727 17,689.32 SOLE N/A NONE SPDR SER TR BARCLAYS INTL TREAS BD ETF 78464A516 Common Stock 56 950.00 SOLE N/A NONE SPDR SER TR BARCLAYS SHORT TERM INTL TREAS BD ETF 78464A334 Common Stock 32 900.00 SOLE N/A NONE SPDR SER TR BARCLAYS TIIPS ETF 78464A656 Common Stock 15 253.00 SOLE N/A NONE SPDR SER TR DB INTL GOVT INFLATION- PROTECTED 78464A490 Common Stock 46 733.00 SOLE N/A NONE SPDR SER TR DOW JONES REIT ETF 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78464A698 Common Stock 60 1,900.00 SOLE N/A NONE SPDR SER TR WELLS FARGO PFD STOCK ETF 78464A292 Common Stock 146 3,201.00 SOLE N/A NONE SPECTRA ENERGY CORP COM 847560109 Common Stock 203 6,603.33 SOLE N/A NONE SPECTRA ENERGY PARTNERS LP COM 84756N109 Common Stock 22 565.00 SOLE N/A NONE SPRINT NEXTEL CORP FON SHS 852061100 Common Stock 3 558.00 SOLE N/A NONE SPROTT PHYSICAL GOLD TR UNIT ISIN#CA85207H1047 85207H104 Common Stock 454 33,562.00 SOLE N/A NONE SPROTT PHYSICAL SILVER TR TR UNIT ISIN#CA85207K1075 85207K107 Common Stock 72 6,445.00 SOLE N/A NONE ST JUDE MED INC COM 790849103 Common Stock 12 300.00 SOLE N/A NONE STAMPS.COM INC COM NEW 852857200 Common Stock 1 50.00 SOLE N/A NONE STANDARD PACIFIC CORP 85375C101 Common Stock 70 8,100.00 SOLE N/A NONE STAPLES INC 855030102 Common Stock 39 2,919.00 SOLE N/A NONE STARBUCKS CORP COM 855244109 Common Stock 172 3,028.00 SOLE N/A NONE STARZ LIBERTY CAP COM SER A 85571Q102 Common Stock 1 31.00 SOLE N/A NONE STERICYCLE INC COM 858912108 Common Stock 216 2,032.00 SOLE N/A NONE STRATUS PPTYS INC COM NEW 863167201 Common Stock 0 10.00 SOLE N/A NONE STRYKER CORP 863667101 Common Stock 64 983.90 SOLE N/A NONE STURM RUGER & CO INC 864159108 Common Stock 30 600.00 SOLE N/A NONE SUBURBAN PROPANE PARTNERS L P UNIT LTD PARTNERSHIP 864482104 Common Stock 28 630.00 SOLE N/A NONE SUMITOMO MITSUI FINL GROUP INC SPONS ADR ISIN#US86562M2098 86562M209 Common Stock ADR 2 286.00 SOLE N/A NONE SUNCOR ENERGY INC NEW COM ISIN#CA8672241079 867224107 Common Stock 18 605.00 SOLE N/A NONE
SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- SUNOCO LOGISTICS PARTNERS LP COM UNITS 86764L108 Common Stock 73 1,115.00 SOLE N/A NONE SUNTRUST BKS INC COM 867914103 Common Stock 2 75.00 SOLE N/A NONE SUPERIOR ENERGY SVCS INC COM 868157108 Common Stock 6 220.00 SOLE N/A NONE SWEDISH EXPT CR CORP ELEMENTS LKD TO ROGERS INTL COMMODITY INDEX TOTAL RETURN 870297801 Common Stock 124 14,438.00 SOLE N/A NONE SWIFT TRANSN CO CL A 87074U101 Common Stock 135 9,500.00 SOLE N/A NONE SYMANTEC CORP 871503108 Common Stock 350 14,191.00 SOLE N/A NONE SYSCO CORP 871829107 Common Stock 155 4,398.87 SOLE N/A NONE TAIWAN SEMICONDUCTOR MFG CO SPONSORED ADR ISIN#US8740391003 874039100 Common Stock ADR 2 100.00 SOLE N/A NONE TALISMAN ENERGY INC COM 87425E103 Common Stock 4 335.00 SOLE N/A NONE TARGET CORP COM 87612E106 Common Stock 9 130.00 SOLE N/A NONE TC PIPELINES LP UNIT COM LTD PARTNERSHIP INT 87233Q108 Common Stock 15 300.00 SOLE N/A NONE TD AMERITRADE HLDG CORP COM 87236Y108 Common Stock 0 3.00 SOLE N/A NONE TE CONNECTIVITY LTD REG SHS ISIN#CH0102993182 H84989104 Common Stock 19 458.50 SOLE N/A NONE TECK RES LTD CL B SUB VTG ISIN#CA8787422044 878742204 Common Stock 17 610.00 SOLE N/A NONE TECO ENERGY INC COM 872375100 Common Stock 73 4,100.00 SOLE N/A NONE TEEKAY LNG PARTNERS L P PARTNERSHIP UNIT ISIN#MHY8564M1057 Y8564M105 Common Stock 22 530.00 SOLE N/A NONE TEEKAY TANKERS LTD CL A ISIN#MHY8565N1022 Y8565N102 Common Stock 2 700.00 SOLE N/A NONE TELEDYNE TECHNOLOGIES INC COM 879360105 Common Stock 2 28.00 SOLE N/A NONE TEMPLETON DRAGON FUND INC 88018T101 Common Stock 119 4,275.36 SOLE N/A NONE TEMPLETON EMERGING MKTS INCOME FD INC 880192109 Common Stock 244 14,916.37 SOLE N/A NONE TEMPLETON GLOBAL INCOME FUND INC 880198106 Common Stock 69 7,361.84 SOLE N/A NONE TENET HEALTHCARE CORP COM NEW 88033G407 Common Stock 2 50.00 SOLE N/A NONE TERADATA CORP DEL COM 88076W103 Common Stock 16 268.00 SOLE N/A NONE TEREX CORP NEW .01 PV 880779103 Common Stock 7 200.00 SOLE N/A NONE TERRA NITROGEN COMPANY L.P. DEPOSITARY RECEIPTS EVIDENCING COMMON UNITS REPRESENTING LIMITED PARTNER INTS 881005201 Common Stock 21 96.00 SOLE N/A NONE TESLA MTRS INC COM 88160R101 Common Stock 1 30.00 SOLE N/A NONE TESSCO TECHNOLOGIES INC COM 872386107 Common Stock 11 528.00 SOLE N/A NONE TEUCRIUM COMMODITY TR CORN FD SHS 88166A102 Common Stock 3 62.00 SOLE N/A NONE TEVA PHARMACEUTICAL INDUSTRIES LTD ADR ISIN#US8816242098 881624209 Common Stock ADR 62 1,557.00 SOLE N/A NONE TEXAS INSTRUMENTS INC 882508104 Common Stock 24 680.07 SOLE N/A NONE TEXTAINER GROUP HOLDINGS LTD SHS G8766E109 Common Stock 30 750.00 SOLE N/A NONE THE SAINT JOE CO COM 790148100 Common Stock 30 1,400.00 SOLE N/A NONE THERMO FISHER SCIENTIFIC INC 883556102 Common Stock 11 145.00 SOLE N/A NONE THOMPSON CREEK METALS CO INC COM ISIN#CA8847681027 884768102 Common Stock 1 478.00 SOLE N/A NONE THORATEC CORP COM NEW 885175307 Common Stock 5 130.00 SOLE N/A NONE TIME WARNER CABLE INC COM 88732J207 Common Stock 11 114.00 SOLE N/A NONE TIME WARNER INC NEW COM NEW 887317303 Common Stock 0 2.00 SOLE N/A NONE TIMKEN CO COM 887389104 Common Stock 28 500.00 SOLE N/A NONE TITAN MACHY INC COM 88830R101 Common Stock 11 400.00 SOLE N/A NONE TJX COMPANIES INC (NEW) 872540109 Common Stock 2 52.00 SOLE N/A NONE TORONTO DOMINION BK ONT COM NEW ISIN#CA8911605092 891160509 Common Stock 12 146.00 SOLE N/A NONE TORTOISE ENERGY CAP CORP COM 89147U100 Common Stock 11 325.00 SOLE N/A NONE TORTOISE ENERGY INFRASTRUCTURE CORP COM 89147L100 Common Stock 189 3,829.00 SOLE N/A NONE TORTOISE NORTH AMERN ENERGY CORP COM 89147T103 Common Stock 11 370.00 SOLE N/A NONE TORTOISE PWR & ENERGY INFRASTRUCTURE FUND INC COM COM 89147X104 Common Stock 10 380.00 SOLE N/A NONE TOTAL S A SPONSORED ADR 89151E109 Common Stock ADR 50 1,036.00 SOLE N/A NONE TOYOTA MTR CO SPON ADR 892331307 Common Stock ADR 5 50.00 SOLE N/A NONE TRACTOR SUPPLY CO 892356106 Common Stock 37 360.00 SOLE N/A NONE TRANSAMERICA INCOME SHS INC 893506105 Common Stock 0 11.00 SOLE N/A NONE TRANSMONTAIGNE PARTNERS L P COM UNIT REPSTG LTD PARTNERSHIP INT 89376V100 Common Stock 5 100.00 SOLE N/A NONE TRANSOCEAN LTD ZUG NAMEN AKT ISIN#CH0048265513 H8817H100 Common Stock 19 366.00 SOLE N/A NONE TRAVELERS COS INC COM 89417E109 Common Stock 7 86.00 SOLE N/A NONE TREEHOUSE FOODS INC COM 89469A104 Common Stock 19 294.00 SOLE N/A NONE TRIANGLE CAP CORP COM 895848109 Common Stock 28 1,000.00 SOLE N/A NONE TRINITY INDS INC COM 896522109 Common Stock 5 100.00 SOLE N/A NONE TRIPADVISOR INC COM 896945201 Common Stock 4 82.00 SOLE N/A NONE TRIUMPH GROUP INC NEW COM 896818101 Common Stock 7 89.00 SOLE N/A NONE TWO HBRS INVT CORP COM 90187B101 Common Stock 94 7,434.00 SOLE N/A NONE TYCO INTL LTD SHS ISIN#CH0100383485 H89128104 Common Stock 8 238.00 SOLE N/A NONE TYLER TECHNOLOGIES INC COM 902252105 Common Stock 3 50.00 SOLE N/A NONE UBS AG JERSEY BRH E TRACS LKD ALERIAN NATIONAL GAS INDEX LKD INTL INDEX BASKET ISIN#US9026416209 902641620 Common Stock 5 150.00 SOLE N/A NONE UBS AG JERSEY BRH E TRACS LKD TO ALERIAN MLP INFRASTRUCTURE UNDEX ISIN#US9026416464 902641646 Common Stock 18 481.00 SOLE N/A NONE UBS AG LONDON BRANCH E TRACS LKD ALERIAN MLP INFRASTRUCTURE INDEX 902664200 Common Stock 25 480.00 SOLE N/A NONE UIL HLDG CORP COM 902748102 Common Stock 26 666.00 SOLE N/A NONE ULTRA PETE CORP COM ISIN#CA9039141093 903914109 Common Stock 22 1,099.00 SOLE N/A NONE UMPQUA HLDGS CORP COM 904214103 Common Stock 0 30.00 SOLE N/A NONE UNDER ARMOUR INC CL A COM 904311107 Common Stock 13 251.00 SOLE N/A NONE UNILEVER NV NEW YORK SHS NEW 904784709 Common Stock 6 150.00 SOLE N/A NONE UNILEVER PLC SPON ADR NEW ISIN#US9047677045 904767704 Common Stock ADR 6 145.00 SOLE N/A NONE UNION PACIFIC CORP COM 907818108 Common Stock 208 1,460.00 SOLE N/A NONE UNITED CMNTY BK BLAIRSVILLE GA COM 90984P303 Common Stock 9 787.00 SOLE N/A NONE UNITED PARCEL SVC INC CL B 911312106 Common Stock 4 48.00 SOLE N/A NONE UNITED RENTALS INC COM 911363109 Common Stock 9 155.00 SOLE N/A NONE UNITED STS COMMODITY INDEX FD COMMODITY INDEX FD 911717106 Common Stock 32 556.00 SOLE N/A NONE UNITED STS GASOLINE FD LP UNITS 91201T102 Common Stock 2 25.00 SOLE N/A NONE UNITED STS NAT GAS FD LP UNIT PAR $0 001 912318201 Common Stock 125 5,722.00 SOLE N/A NONE UNITED STS STL CORP NEW COM 912909108 Common Stock 0 20.00 SOLE N/A NONE UNITED TECHNOLOGIES CORP COM 913017109 Common Stock 105 1,120.60 SOLE N/A NONE UNITEDHEALTH GROUP INC COM 91324P102 Common Stock 18 310.00 SOLE N/A NONE UNS ENERGY CORP COM 903119105 Common Stock 37 750.00 SOLE N/A NONE US BANCORP DEL COM 902973304 Common Stock 43 1,262.04 SOLE N/A NONE USEC INC COM 90333E108 Common Stock 0 1,000.00 SOLE N/A NONE USG CORP (NEW) COMMON STOCK 903293405 Common Stock 11 400.00 SOLE N/A NONE V F CORP 918204108 Common Stock 22 131.00 SOLE N/A NONE VALE SA ADR ISIN#US91912E1055 91912E105 Common Stock ADR 10 581.87 SOLE N/A NONE VALEANT PHARMACEUTICALS INTL INC CDA COM ISIN#CA91911K1021 91911K102 Common Stock 4 50.00 SOLE N/A NONE VALERO ENERGY CORP NEW COM 91913Y100 Common Stock 36 800.00 SOLE N/A NONE VALSPAR CORP 920355104 Common Stock 9 150.00 SOLE N/A NONE VANGUARD BD INDEX FD INC INTERMEDIATE TERM BD ETF 921937819 Common Stock 138 1,568.00 SOLE N/A NONE VANGUARD BD INDEX FD INC LONG TERM BD ETF 921937793 Common Stock 55 600.00 SOLE N/A NONE VANGUARD BD INDEX FD INC SHORT TERM BD ETF 921937827 Common Stock 475 5,864.00 SOLE N/A NONE VANGUARD BD INDEX FD INC TOTAL BD MARKET ETF 921937835 Common Stock 108 1,290.00 SOLE N/A NONE VANGUARD INDEX FDS MID-CAP GROWTH INDEX VIPER SHS 922908538 Common Stock 78 1,016.00 SOLE N/A NONE VANGUARD INDEX FDS MID-CAP VALUE INDEX VIPER SHS 922908512 Common Stock 68 1,009.00 SOLE N/A NONE VANGUARD INDEX FDS S&P 500 ETF SHS 922908413 Common Stock 243 3,392.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD GROWTH ETF 922908736 Common Stock 1,127 14,534.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD LARGE-CAP ETF 922908637 Common Stock 92 1,289.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD MID-CAP ETF 922908629 Common Stock 215 2,311.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD REIT ETF 922908553 Common Stock 87 1,233.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD SMALL-CAP ETF 922908751 Common Stock 336 3,689.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD SMALL-CAP GROWTH ETF 922908595 Common Stock 123 1,231.00 SOLE N/A NONE
SHRS OR PRN AMT INVESTMENT OTHER VOTING NAME OF ISSUER CUSIP TITLE OF CLASS VALUE (X1000) SH/PRN PUT/CALL DISCRETION MANAGERS AUTHORITY -------------- --------- ---------------- ------------- --------------- ---------- -------- --------- VANGUARD INDEX FDS VANGUARD SMALL-CAP VALUE ETF 922908611 Common Stock 117 1,424.02 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD TOTAL STK MKT ETF 922908769 Common Stock 85 1,044.00 SOLE N/A NONE VANGUARD INDEX FDS VANGUARD VALUE ETF 922908744 Common Stock 339 5,171.00 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FD INC FTSE ALL WORLD EX US INDEX FD ETFS SHS 922042775 Common Stock 407 8,769.00 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FDS FTSE ALL WORLD EX USA SMALL CAP INDEX FD ETF SHS 922042718 Common Stock 40 422.00 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FDS FTSE EMERGING MKTS ETF 922042858 Common Stock 707 16,487.16 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FDS FTSI EUROPE ETF 922042874 Common Stock 47 962.00 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FDS MSCI PAC ETF 922042866 Common Stock 41 711.00 SOLE N/A NONE VANGUARD INTL EQUITY INDEX FDS TOTAL WORLD STK INDEX FD ETF SHS 922042742 Common Stock 2 45.00 SOLE N/A NONE VANGUARD NAT RES LLC COM UNIT REPSTG LTD LIABLITY CO INTS 92205F106 Common Stock 126 4,419.15 SOLE N/A NONE VANGUARD SCOTTSDALE FDS VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX ETF SHS 92206C870 Common Stock 86 981.00 SOLE N/A NONE VANGUARD SCOTTSDALE FDS VANGUARD SHORT-TERM CORPORATE BD INDEX FD 92206C409 Common Stock 105 1,303.00 SOLE N/A NONE VANGUARD SPECIALIZED PORTFOLIOS DIVIDEND APPRECIATION INDEX FD ETF 921908844 Common Stock 2,319 35,291.15 SOLE N/A NONE VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 Common Stock 51 1,411.00 SOLE N/A NONE VANGUARD WHITEHALL FDS HIGH DIVIDEND YIELD ETF SHS 921946406 Common Stock 89 1,619.00 SOLE N/A NONE VANGUARD WORLD FD MEGA CAP 300 GROWTH INDEX ETF 921910816 Common Stock 2 41.00 SOLE N/A NONE VANGUARD WORLD FD MEGA CAP 300 VALUE INDEX ETF 921910840 Common Stock 3 53.00 SOLE N/A NONE VANGUARD WORLD FDS VANGUARD HEALTH CARE ETF 92204A504 Common Stock 75 910.00 SOLE N/A NONE VANGUARD WORLD FDS VANGUARD INDLS ETF 92204A603 Common Stock 24 300.00 SOLE N/A NONE VANGUARD WORLD FDS VANGUARD INFORMATION TECHNOLOGY ETF 92204A702 Common Stock 149 2,039.20 SOLE N/A NONE VANGUARD WORLD FDS VANGUARD UTILS ETF 92204A876 Common Stock 53 625.00 SOLE N/A NONE VANGUARD WORLDS FDS VANGUARD TELECOMMUNCATION SVCS ETF 92204A884 Common Stock 15 208.00 SOLE N/A NONE VEECO INSTRS INC DEL COM 922417100 Common Stock 4 100.00 SOLE N/A NONE VENTAS INC COM 92276F100 Common Stock 19 260.00 SOLE N/A NONE VERIFONE SYSTEMS INC COM 92342Y109 Common Stock 8 404.00 SOLE N/A NONE VERIZON COMMUNICATIONS INC COM 92343V104 Common Stock 1,711 34,819.34 SOLE N/A NONE VERTEX PHARMACEUTICALS INC COM 92532F100 Common Stock 49 900.00 SOLE N/A NONE VIACOM INC NEW CL A 92553P102 Common Stock 2 28.00 SOLE N/A NONE VIACOM INC NEW CL B 92553P201 Common Stock 5 85.00 SOLE N/A NONE VIRGIN MEDIA INC COM 92769L101 Common Stock 15 297.00 SOLE N/A NONE VIRTUS INVT PARTNERS INC COM 92828Q109 Common Stock 4 20.00 SOLE N/A NONE VISA INC COM CL A 92826C839 Common Stock 25 147.30 SOLE N/A NONE VMWARE INC CL A COM 928563402 Common Stock 14 180.00 SOLE N/A NONE VOC ENERGY TR TR UNIT 91829B103 Common Stock 2 200.00 SOLE N/A NONE VODAFONE GROUP PLC SPON ADR NEW ISIN#US92857W2098 92857W209 Common Stock ADR 157 5,511.53 SOLE N/A NONE WAL MART STORES INC COM 931142103 Common Stock 141 1,881.00 SOLE N/A NONE WALGREEN CO 931422109 Common Stock 6 117.17 SOLE N/A NONE WALTER ENERGY INC COM 93317Q105 Common Stock 4 140.00 SOLE N/A NONE WALTER INVT MGMT CORP COM 93317W102 Common Stock 4 120.00 SOLE N/A NONE WASHINGTON REAL ESTATE INVESTMENT TRUST SBI 939653101 Common Stock 2 58.00 SOLE N/A NONE WASTE MGMT INC DEL COM 94106L109 Common Stock 28 713.91 SOLE N/A NONE WATERS CORP COM 941848103 Common Stock 16 170.00 SOLE N/A NONE WD 40 CO COM 929236107 Common Stock 18 325.00 SOLE N/A NONE WEATHERFORD INTL LTD REG ISIN#CH0038838394 H27013103 Common Stock 5 400.00 SOLE N/A NONE WEIGHT WATCHERS INTL INC NEW 948626106 Common Stock 4 100.00 SOLE N/A NONE WEINGARTEN REALTY INVESTORS SHARES OF BENEFICIAL INTEREST 948741103 Common Stock 6 180.39 SOLE N/A NONE WELLPOINT INC COM 94973V107 Common Stock 3 50.00 SOLE N/A NONE WELLS FARGO & CO NEW COM 949746101 Common Stock 136 3,675.00 SOLE N/A NONE WELLS FARGO & CO NEW PERP PFD CONV CL A Preferred Stock 7.5% PFD SHS 949746804 Convertible 19 15.00 SOLE N/A NONE WELLS FARGO ADV INCOME OPP FD COM SHS 94987B105 Common Stock 5 515.00 SOLE N/A NONE WELLS FARGO ADV UTILS & HIGH INCOME FD COM 94987E109 Common Stock 6 478.35 SOLE N/A NONE WESCO INTL INC COM 95082P105 Common Stock 423 5,821.00 SOLE N/A NONE WESTAR ENERGY INC COM 95709T100 Common Stock 63 1,908.00 SOLE N/A NONE WESTERN ALLIANCE BANCORPORATION COM 957638109 Common Stock 3 200.00 SOLE N/A NONE WESTERN ASSET GLOBAL CORP DEFINED OPPTNTY FD INC COM 95790C107 Common Stock 5 260.00 SOLE N/A NONE WESTERN ASSET GLOBAL HIGH INCOME FD INC 95766B109 Common Stock 28 1,997.00 SOLE N/A NONE WESTERN ASSET HIGH YIELD DEFINED OPPORTUNITY FD INC COM 95768B107 Common Stock 21 1,094.00 SOLE N/A NONE WESTERN ASSET INCOME FD II INC 95766J102 Common Stock 14 1,408.00 SOLE N/A NONE WESTERN ASSET MANAGED HIGH INCOME FD INC 95766L107 Common Stock 486 78,562.22 SOLE N/A NONE WESTERN ASSET VARIABLE RT STRATEGIC FD INC 957667108 Common Stock 28 1,500.00 SOLE N/A NONE WESTERN DIGITAL CORP COM 958102105 Common Stock 3 50.00 SOLE N/A NONE WESTERN UN CO COM 959802109 Common Stock 4 273.00 SOLE N/A NONE WESTPORT INNOVATIONS INC COM NEW ISIN#CA9609083097 960908309 Common Stock 6 200.00 SOLE N/A NONE WEYERHAEUSER CO 962166104 Common Stock 4 140.00 SOLE N/A NONE WGL HLDGS INC COM 92924F106 Common Stock 33 743.55 SOLE N/A NONE WHITESTONE REIT CL B SHS BEN INT ISIN#US9660842041 966084204 Common Stock 2 150.00 SOLE N/A NONE WHITING USA TR I TR UNIT 966389108 Common Stock 1 120.00 SOLE N/A NONE WHOLE FOODS MKT INC COM 966837106 Common Stock 37 429.67 SOLE N/A NONE WILLIAMS PARTNERS L P COM UNIT LTD PARTNERSHIP INT 96950F104 Common Stock 35 668.00 SOLE N/A NONE WINDSTREAM CORP COM 97381W104 Common Stock 393 49,526.51 SOLE N/A NONE WISCONSIN ENERGY CORP COM 976657106 Common Stock 3 75.00 SOLE N/A NONE WISDOMTREE TR DEFA EQUITY INCOME FD 97717W802 Common Stock 477 11,461.00 SOLE N/A NONE WISDOMTREE TR DEFA FD 97717W703 Common Stock 26 551.00 SOLE N/A NONE WISDOMTREE TR DIVID EX-FINANCIALS FD 97717W406 Common Stock 7 120.00 SOLE N/A NONE WISDOMTREE TR EARNINGS 500 FD 97717W588 Common Stock 230 4,225.00 SOLE N/A NONE WISDOMTREE TR EMERGING MKTS EQUITY INCOME FD EQUITY 97717W315 Common Stock 359 6,522.75 SOLE N/A NONE WISDOMTREE TR EMERGING MKTS LOC DEBT FD 97717X867 Common Stock 24 449.00 SOLE N/A NONE WISDOMTREE TR EMERGING MKTS SMALL CAP 97717W281 Common Stock 5 93.00 SOLE N/A NONE WISDOMTREE TR GLOBAL EX US GROWTH FD 97717W844 Common Stock 109 2,107.00 SOLE N/A NONE WISDOMTREE TR GLOBAL NATURAL RES FD 97717W711 Common Stock 61 2,700.00 SOLE N/A NONE WISDOMTREE TR INDIA EARNINGS FD 97717W422 Common Stock 3 155.00 SOLE N/A NONE WISDOMTREE TR INTL MIDCAP DIVID FD 97717W778 Common Stock 1 20.00 SOLE N/A NONE WISDOMTREE TR INTL SMALLCAP DIVID FD 97717W760 Common Stock 1 25.00 SOLE N/A NONE WISDOMTREE TR LARGECAP DIVID FD 97717W307 Common Stock 1,148 19,484.72 SOLE N/A NONE WISDOMTREE TR MIDCAP DIVID FD 97717W505 Common Stock 369 5,665.00 SOLE N/A NONE WISDOMTREE TR MIDCAP EARNINGS FD 97717W570 Common Stock 7 100.00 SOLE N/A NONE WISDOMTREE TR SMALLCAP EARNINGS FD 97717W562 Common Stock 115 1,814.00 SOLE N/A NONE WORLD WRESTLING ENTMT INC CL A 98156Q108 Common Stock 8 900.00 SOLE N/A NONE WYNN RESORTS LTD COM 983134107 Common Stock 21 165.00 SOLE N/A NONE XCEL ENERGY INC COM 98389B100 Common Stock 9 300.00 SOLE N/A NONE XILINX INC COM 983919101 Common Stock 4 115.00 SOLE N/A NONE YAHOO INC COM 984332106 Common Stock 7 280.00 SOLE N/A NONE YINGLI GREEN HLDG CO LTD ADR 98584B103 Common Stock ADR 4 2,000.00 SOLE N/A NONE YUM BRANDS INC COM 988498101 Common Stock 70 971.15 SOLE N/A NONE ZAZA ENERGY CORP COM 98919T100 Common Stock 0 100.00 SOLE N/A NONE ZWEIG TOTAL RETURN FD INC COM NEW 989837208 Common Stock 251 19,299.54 SOLE N/A NONE ZYNGA INC CL A 98986T108 Common Stock 1 400.00 SOLE N/A NONE