The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
3M CO | COM | 88579Y101 | 1,968 | 11,979 | SH | SOLE | 0 | 11,979 | 0 | 0 | |
ABERDEEN ASIA PACIFIC INCOM | COM | 003009107 | 64 | 11,500 | SH | SOLE | 0 | 11,500 | 0 | 0 | |
ABERDEEN LATIN AMER EQTY FD | COM | 00306K106 | 528 | 23,368 | SH | SOLE | 0 | 23,368 | 0 | 0 | |
ACE LTD | SHS | H0023R105 | 993 | 8,644 | SH | SOLE | 0 | 8,644 | 0 | 0 | |
ADOBE SYS INC | COM | 00724F101 | 569 | 7,830 | SH | SOLE | 0 | 7,830 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 1,322 | 8,301 | SH | SOLE | 0 | 7,901 | 0 | 400 | |
ANNALY CAP MGMT INC | COM | 035710409 | 2,102 | 194,453 | SH | SOLE | 0 | 188,703 | 0 | 5,750 | |
APOLLO INVT CORP | COM | 03761U106 | 286 | 38,500 | SH | SOLE | 0 | 38,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 1,756 | 15,907 | SH | SOLE | 0 | 14,507 | 0 | 1,400 | |
ARCBEST CORP | COM | 03937C105 | 645 | 13,910 | SH | SOLE | 0 | 13,910 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 3,245 | 96,620 | SH | SOLE | 0 | 94,056 | 0 | 2,564 | |
AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 524 | 6,283 | SH | SOLE | 0 | 6,283 | 0 | 0 | |
BAKER HUGHES INC | COM | 057224107 | 229 | 4,084 | SH | SOLE | 0 | 3,084 | 0 | 1,000 | |
BANK AMER CORP | COM | 060505104 | 1,150 | 64,291 | SH | SOLE | 0 | 64,191 | 0 | 100 | |
BARCLAYS BK PLC | DJUBS CMDT ETN36 | 06738C778 | 830 | 27,740 | SH | SOLE | 0 | 27,740 | 0 | 0 | |
BARNES GROUP INC | COM | 067806109 | 289 | 7,800 | SH | SOLE | 0 | 7,800 | 0 | 0 | |
BLACKROCK BUILD AMER BD TR | SHS | 09248X100 | 821 | 37,050 | SH | SOLE | 0 | 37,050 | 0 | 0 | |
BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 569 | 38,000 | SH | SOLE | 0 | 38,000 | 0 | 0 | |
BLACKSTONE MTG TR INC | COM CL A | 09257W100 | 612 | 21,000 | SH | SOLE | 0 | 19,150 | 0 | 1,850 | |
BOEING CO | COM | 097023105 | 201 | 1,548 | SH | SOLE | 0 | 1,548 | 0 | 0 | |
BP PLC | SPONSORED ADR | 055622104 | 2,133 | 55,960 | SH | SOLE | 0 | 55,460 | 0 | 500 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 225 | 3,817 | SH | SOLE | 0 | 3,817 | 0 | 0 | |
CABELAS INC | COM | 126804301 | 2,963 | 56,210 | SH | SOLE | 0 | 56,210 | 0 | 0 | |
CALAMOS CONV & HIGH INCOME F | COM SHS | 12811P108 | 274 | 19,800 | SH | SOLE | 0 | 19,200 | 0 | 600 | |
CANON INC | SPONSORED ADR | 138006309 | 462 | 14,600 | SH | SOLE | 0 | 14,600 | 0 | 0 | |
CBRE CLARION GLOBAL REAL EST | COM | 12504G100 | 698 | 77,600 | SH | SOLE | 0 | 77,600 | 0 | 0 | |
CBRE GROUP INC | CL A | 12504L109 | 1,082 | 31,600 | SH | SOLE | 0 | 31,600 | 0 | 0 | |
CENOVUS ENERGY INC | COM | 15135U109 | 287 | 13,911 | SH | SOLE | 0 | 13,911 | 0 | 0 | |
CENTRAL EUR RUSS & TURK FD I | COM | 153436100 | 608 | 30,762 | SH | SOLE | 0 | 30,762 | 0 | 0 | |
CHEVRON CORP NEW | COM | 166764100 | 6,421 | 57,238 | SH | SOLE | 0 | 57,238 | 0 | 0 | |
CIMAREX ENERGY CO | COM | 171798101 | 647 | 6,100 | SH | SOLE | 0 | 6,100 | 0 | 0 | |
CISCO SYS INC | COM | 17275R102 | 580 | 20,841 | SH | SOLE | 0 | 20,800 | 0 | 41 | |
CITIGROUP INC | COM NEW | 172967424 | 1,398 | 25,836 | SH | SOLE | 0 | 25,536 | 0 | 300 | |
CLAYMORE EXCHANGE TRD FD TR | GUGG S&P GBL WTR | 18383Q507 | 258 | 9,200 | SH | SOLE | 0 | 9,200 | 0 | 0 | |
COACH INC | COM | 189754104 | 313 | 8,326 | SH | SOLE | 0 | 8,326 | 0 | 0 | |
COCA COLA CO | COM | 191216100 | 318 | 7,536 | SH | SOLE | 0 | 6,136 | 0 | 1,400 | |
COHEN & STEERS INFRASTRUCTUR | COM | 19248A109 | 1,272 | 55,976 | SH | SOLE | 0 | 53,976 | 0 | 2,000 | |
COHEN & STEERS TOTAL RETURN | COM | 19247R103 | 139 | 10,550 | SH | SOLE | 0 | 4,068 | 0 | 6,482 | |
COMCAST CORP NEW | CL A | 20030N101 | 2,010 | 34,649 | SH | SOLE | 0 | 32,849 | 0 | 1,800 | |
COVANTA HLDG CORP | COM | 22282E102 | 455 | 20,650 | SH | SOLE | 0 | 20,650 | 0 | 0 | |
COVIDIEN PLC | SHS | G2554F113 | 536 | 5,245 | SH | SOLE | 0 | 5,245 | 0 | 0 | |
CURIS INC | COM | 231269101 | 15 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
CVS HEALTH CORP | COM | 126650100 | 922 | 9,575 | SH | SOLE | 0 | 9,575 | 0 | 0 | |
DOW CHEM CO | COM | 260543103 | 303 | 6,637 | SH | SOLE | 0 | 6,637 | 0 | 0 | |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 1,452 | 19,644 | SH | SOLE | 0 | 19,644 | 0 | 0 | |
DUKE ENERGY CORP NEW | COM NEW | 26441C204 | 333 | 3,982 | SH | SOLE | 0 | 3,982 | 0 | 0 | |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 204 | 8,400 | SH | SOLE | 0 | 8,400 | 0 | 0 | |
EATON VANCE SR INCOME TR | SH BEN INT | 27826S103 | 545 | 87,344 | SH | SOLE | 0 | 70,900 | 0 | 16,444 | |
ELLSWORTH FUND LTD | COM | 289074106 | 224 | 25,750 | SH | SOLE | 0 | 25,750 | 0 | 0 | |
EMERSON ELEC CO | COM | 291011104 | 578 | 9,358 | SH | SOLE | 0 | 9,358 | 0 | 0 | |
ENERPLUS CORP | COM | 292766102 | 349 | 36,320 | SH | SOLE | 0 | 36,320 | 0 | 0 | |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 254 | 7,030 | SH | SOLE | 0 | 7,030 | 0 | 0 | |
EQT CORP | COM | 26884L109 | 380 | 5,015 | SH | SOLE | 0 | 5,015 | 0 | 0 | |
ESSEX PPTY TR INC | COM | 297178105 | 257 | 1,245 | SH | SOLE | 0 | 1,245 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 1,728 | 18,691 | SH | SOLE | 0 | 18,691 | 0 | 0 | |
FEDEX CORP | COM | 31428X106 | 1,230 | 7,080 | SH | SOLE | 0 | 7,080 | 0 | 0 | |
FREEPORT-MCMORAN INC | CL B | 35671D857 | 785 | 33,598 | SH | SOLE | 0 | 31,730 | 0 | 1,868 | |
FRONTIER COMMUNICATIONS CORP | COM | 35906A108 | 328 | 49,192 | SH | SOLE | 0 | 48,892 | 0 | 300 | |
GANNETT INC | COM | 364730101 | 284 | 8,900 | SH | SOLE | 0 | 8,300 | 0 | 600 | |
GENERAL ELECTRIC CO | COM | 369604103 | 1,827 | 72,306 | SH | SOLE | 0 | 72,306 | 0 | 0 | |
GENUINE PARTS CO | COM | 372460105 | 1,834 | 17,210 | SH | SOLE | 0 | 17,210 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 248 | 6,800 | SH | SOLE | 0 | 6,800 | 0 | 0 | |
GOLUB CAP BDC INC | COM | 38173M102 | 550 | 30,700 | SH | SOLE | 0 | 30,100 | 0 | 600 | |
HEWLETT PACKARD CO | COM | 428236103 | 862 | 21,474 | SH | SOLE | 0 | 20,474 | 0 | 1,000 | |
HOME DEPOT INC | COM | 437076102 | 1,724 | 16,423 | SH | SOLE | 0 | 16,423 | 0 | 0 | |
HONEYWELL INTL INC | COM | 438516106 | 798 | 7,991 | SH | SOLE | 0 | 7,991 | 0 | 0 | |
HOSPITALITY PPTYS TR | COM SH BEN INT | 44106M102 | 298 | 9,600 | SH | SOLE | 0 | 9,600 | 0 | 0 | |
HSBC HLDGS PLC | SPON ADR NEW | 404280406 | 349 | 7,389 | SH | SOLE | 0 | 7,389 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 3,300 | 90,946 | SH | SOLE | 0 | 85,326 | 0 | 5,620 | |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 1,205 | 7,511 | SH | SOLE | 0 | 7,511 | 0 | 0 | |
INVESCO SR INCOME TR | COM | 46131H107 | 1,216 | 266,772 | SH | SOLE | 0 | 260,772 | 0 | 6,000 | |
ISHARES | 1-3 YR CR BD ETF | 464288646 | 1,666 | 15,840 | SH | SOLE | 0 | 15,840 | 0 | 0 | |
ISHARES | MSCI CDA ETF | 464286509 | 453 | 15,700 | SH | SOLE | 0 | 15,700 | 0 | 0 | |
ISHARES | MSCI GERMANY ETF | 464286806 | 901 | 32,889 | SH | SOLE | 0 | 32,889 | 0 | 0 | |
ISHARES | MSCI JAPAN ETF | 464286848 | 645 | 57,419 | SH | SOLE | 0 | 57,419 | 0 | 0 | |
ISHARES | MSCI TAIWAN ETF | 464286731 | 936 | 61,925 | SH | SOLE | 0 | 61,925 | 0 | 0 | |
ISHARES TR | N AMER TECH ETF | 464287549 | 979 | 9,610 | SH | SOLE | 0 | 9,385 | 0 | 225 | |
ISHARES TR | CORE S&P MCP ETF | 464287507 | 243 | 1,680 | SH | SOLE | 0 | 1,680 | 0 | 0 | |
ISHARES TR | GLOB HLTHCRE ETF | 464287325 | 735 | 7,380 | SH | SOLE | 0 | 7,380 | 0 | 0 | |
ISHARES TR | GLOB TELECOM ETF | 464287275 | 464 | 7,725 | SH | SOLE | 0 | 7,725 | 0 | 0 | |
ISHARES TR | 1-3 YR TR BD ETF | 464287457 | 503 | 5,956 | SH | SOLE | 0 | 5,956 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 3,083 | 29,487 | SH | SOLE | 0 | 29,487 | 0 | 0 | |
KIMBERLY CLARK CORP | COM | 494368103 | 319 | 2,759 | SH | SOLE | 0 | 2,759 | 0 | 0 | |
KINDER MORGAN INC DEL | COM | 49456B101 | 1,132 | 26,747 | SH | SOLE | 0 | 26,494 | 0 | 253 | |
KINDER MORGAN INC DEL | *W EXP 05/25/201 | 49456B119 | 154 | 36,160 | SH | SOLE | 0 | 35,776 | 0 | 384 | |
KONINKLIJKE PHILIPS N V | NY REG SH NEW | 500472303 | 211 | 7,289 | SH | SOLE | 0 | 7,289 | 0 | 0 | |
KRAFT FOODS GROUP INC | COM | 50076Q106 | 441 | 7,042 | SH | SOLE | 0 | 6,709 | 0 | 333 | |
L-3 COMMUNICATIONS HLDGS INC | COM | 502424104 | 562 | 4,450 | SH | SOLE | 0 | 4,450 | 0 | 0 | |
MACYS INC | COM | 55616P104 | 970 | 14,754 | SH | SOLE | 0 | 14,754 | 0 | 0 | |
MANAGED HIGH YIELD PLUS FD I | COM | 561911108 | 85 | 47,102 | SH | SOLE | 0 | 47,102 | 0 | 0 | |
MARKET VECTORS ETF TR | HG YLD MUN ETF | 57060U878 | 566 | 18,331 | SH | SOLE | 0 | 18,331 | 0 | 0 | |
MERCK & CO INC NEW | COM | 58933Y105 | 371 | 6,531 | SH | SOLE | 0 | 6,531 | 0 | 0 | |
METLIFE INC | COM | 59156R108 | 2,168 | 40,082 | SH | SOLE | 0 | 40,082 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 1,170 | 25,185 | SH | SOLE | 0 | 25,065 | 0 | 120 | |
MOLSON COORS BREWING CO | CL B | 60871R209 | 3,209 | 43,061 | SH | SOLE | 0 | 42,811 | 0 | 250 | |
MONDELEZ INTL INC | CL A | 609207105 | 354 | 9,754 | SH | SOLE | 0 | 8,754 | 0 | 1,000 | |
NEW IRELAND FUND INC | COM | 645673104 | 280 | 22,171 | SH | SOLE | 0 | 22,171 | 0 | 0 | |
NEWELL RUBBERMAID INC | COM | 651229106 | 405 | 10,644 | SH | SOLE | 0 | 9,144 | 0 | 1,500 | |
NEXTERA ENERGY INC | COM | 65339F101 | 348 | 3,274 | SH | SOLE | 0 | 2,574 | 0 | 700 | |
NORFOLK SOUTHERN CORP | COM | 655844108 | 2,947 | 26,890 | SH | SOLE | 0 | 26,890 | 0 | 0 | |
NOVO-NORDISK A S | ADR | 670100205 | 660 | 15,590 | SH | SOLE | 0 | 15,590 | 0 | 0 | |
NUVEEN PFD INCOME OPPRTNY FD | COM | 67073B106 | 733 | 76,650 | SH | SOLE | 0 | 76,650 | 0 | 0 | |
OMEGA HEALTHCARE INVS INC | COM | 681936100 | 810 | 20,739 | SH | SOLE | 0 | 20,739 | 0 | 0 | |
ORACLE CORP | COM | 68389X105 | 541 | 12,024 | SH | SOLE | 0 | 12,024 | 0 | 0 | |
PENN WEST PETE LTD NEW | COM | 707887105 | 43 | 20,850 | SH | SOLE | 0 | 20,850 | 0 | 0 | |
PEPSICO INC | COM | 713448108 | 463 | 4,895 | SH | SOLE | 0 | 4,725 | 0 | 170 | |
PFIZER INC | COM | 717081103 | 2,106 | 67,598 | SH | SOLE | 0 | 62,296 | 0 | 5,302 | |
PIMCO ETF TR | ENHAN SHRT MA AC | 72201R833 | 328 | 3,250 | SH | SOLE | 0 | 3,250 | 0 | 0 | |
PIMCO INCOME STRATEGY FUND I | COM | 72201J104 | 205 | 20,900 | SH | SOLE | 0 | 20,900 | 0 | 0 | |
PROCTER & GAMBLE CO | COM | 742718109 | 301 | 3,309 | SH | SOLE | 0 | 3,309 | 0 | 0 | |
PUTMAN HIGH INCOME SEC FUND | SHS BEN INT | 746779107 | 114 | 14,050 | SH | SOLE | 0 | 14,050 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 1,475 | 19,848 | SH | SOLE | 0 | 19,848 | 0 | 0 | |
RYDEX ETF TRUST | GUG S&P500 EQ WT | 78355W106 | 306 | 3,823 | SH | SOLE | 0 | 3,823 | 0 | 0 | |
SCHLUMBERGER LTD | COM | 806857108 | 1,199 | 14,042 | SH | SOLE | 0 | 12,662 | 0 | 1,380 | |
SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 | 1,932 | 39,765 | SH | SOLE | 0 | 39,765 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 848 | 17,950 | SH | SOLE | 0 | 17,950 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,453 | 21,252 | SH | SOLE | 0 | 21,252 | 0 | 0 | |
SOUTHERN CO | COM | 842587107 | 243 | 4,952 | SH | SOLE | 0 | 4,952 | 0 | 0 | |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 313 | 1,760 | SH | SOLE | 0 | 1,760 | 0 | 0 | |
SPDR INDEX SHS FDS | RUSS NOM SC JP | 78463X822 | 572 | 11,924 | SH | SOLE | 0 | 11,924 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,422 | 6,918 | SH | SOLE | 0 | 6,918 | 0 | 0 | |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 284 | 1,074 | SH | SOLE | 0 | 1,074 | 0 | 0 | |
SPDR SERIES TRUST | GLB DOW ETF | 78464A706 | 505 | 7,319 | SH | SOLE | 0 | 7,319 | 0 | 0 | |
STRATEGIC GLOBAL INCOME FD | COM | 862719101 | 719 | 84,798 | SH | SOLE | 0 | 75,283 | 0 | 9,515 | |
SWISS HELVETIA FD INC | COM | 870875101 | 375 | 33,681 | SH | SOLE | 0 | 32,397 | 0 | 1,284 | |
TAIWAN SEMICONDUCTOR MFG LTD | SPONSORED ADR | 874039100 | 2,739 | 122,392 | SH | SOLE | 0 | 122,392 | 0 | 0 | |
TEKLA LIFE SCIENCES INVS | SH BEN INT | 87911K100 | 323 | 12,995 | SH | SOLE | 0 | 12,995 | 0 | 0 | |
TEMPLETON GLOBAL INCOME FD | COM | 880198106 | 146 | 20,342 | SH | SOLE | 0 | 20,342 | 0 | 0 | |
TEXTAINER GROUP HOLDINGS LTD | SHS | G8766E109 | 450 | 13,100 | SH | SOLE | 0 | 13,100 | 0 | 0 | |
THE ADT CORPORATION | COM | 00101J106 | 212 | 5,858 | SH | SOLE | 0 | 5,858 | 0 | 0 | |
TIME WARNER CABLE INC | COM | 88732J207 | 683 | 4,492 | SH | SOLE | 0 | 4,492 | 0 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 1,240 | 14,522 | SH | SOLE | 0 | 14,522 | 0 | 0 | |
TRAVELERS COMPANIES INC | COM | 89417E109 | 2,070 | 19,555 | SH | SOLE | 0 | 19,555 | 0 | 0 | |
TYCO INTL PLC | SHS | G91442106 | 387 | 8,815 | SH | SOLE | 0 | 8,815 | 0 | 0 | |
UNITED STATES STL CORP NEW | COM | 912909108 | 1,147 | 42,905 | SH | SOLE | 0 | 42,905 | 0 | 0 | |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 983 | 8,545 | SH | SOLE | 0 | 7,745 | 0 | 800 | |
US BANCORP DEL | COM NEW | 902973304 | 247 | 5,506 | SH | SOLE | 0 | 5,506 | 0 | 0 | |
VANGUARD WORLD FDS | TELCOMM ETF | 92204A884 | 340 | 4,013 | SH | SOLE | 0 | 4,013 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 2,157 | 46,106 | SH | SOLE | 0 | 44,701 | 0 | 1,405 | |
VODAFONE GROUP PLC NEW | SPNSR ADR NO PAR | 92857W308 | 2,065 | 60,426 | SH | SOLE | 0 | 60,026 | 0 | 400 | |
WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 2,834 | 37,198 | SH | SOLE | 0 | 37,098 | 0 | 100 | |
WAL-MART STORES INC | COM | 931142103 | 2,101 | 24,465 | SH | SOLE | 0 | 24,065 | 0 | 400 | |
WASHINGTON REAL ESTATE INVT | SH BEN INT | 939653101 | 277 | 10,000 | SH | SOLE | 0 | 10,000 | 0 | 0 | |
WELLS FARGO & CO NEW | COM | 949746101 | 678 | 12,374 | SH | SOLE | 0 | 11,374 | 0 | 1,000 | |
WEYERHAEUSER CO | COM | 962166104 | 2,832 | 78,911 | SH | SOLE | 0 | 76,511 | 0 | 2,400 | |
WINNEBAGO INDS INC | COM | 974637100 | 1,711 | 78,642 | SH | SOLE | 0 | 78,642 | 0 | 0 | |
WYNDHAM WORLDWIDE CORP | COM | 98310W108 | 1,250 | 14,570 | SH | SOLE | 0 | 14,170 | 0 | 400 | |
XL GROUP PLC | SHS | G98290102 | 292 | 8,500 | SH | SOLE | 0 | 8,500 | 0 | 0 | |
ZIMMER HLDGS INC | COM | 98956P102 | 546 | 4,813 | SH | SOLE | 0 | 4,813 | 0 | 0 |