-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RJ/vHXdp9CH2iIgrMZDO6EEECLZSqxWuhDoTe1aNNjinnqoNFsO6aylglMcp7hf3 v11ffWlLYJQC9aGqvXrY9w== 0001144204-06-045600.txt : 20061107 0001144204-06-045600.hdr.sgml : 20061107 20061107111547 ACCESSION NUMBER: 0001144204-06-045600 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061107 DATE AS OF CHANGE: 20061107 EFFECTIVENESS DATE: 20061107 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FCA CORP /TX CENTRAL INDEX KEY: 0001166402 IRS NUMBER: 760076528 STATE OF INCORPORATION: TX FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10019 FILM NUMBER: 061192599 BUSINESS ADDRESS: STREET 1: 5847 SAN FELIPE # 850 CITY: HOUSTON STATE: TX ZIP: 77057 BUSINESS PHONE: 7137817195 MAIL ADDRESS: STREET 1: 5847 SAN FELIPE CITY: HOUSTON STATE: TX ZIP: 77057 13F-HR 1 v056693_13f.txt ---------------------- OMB APPROVAL ---------------------- OMB Number: Expires: Estimated average burden hours per response... UNITED STATES SEUCRITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or quarter Ended September 30, 2006 If amended report check here: [ ] Amendment Number:___ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding [ ] entries FCA Corp - -------------------------------------------------------------------------------- Name of Insitutional Investment Manager 5847 San Felipe, Suite 850 Houston Texas 77057 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip Code) 13F File Number: 028-10019 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, and tables are considered integral parts of this form. Person signing this Report on behalf of Reporting Manager: Katheryn E. Surface Burks Chief Compliance Officer 713-260-1440 - ------------------------------------------------------------------------------- Name Title Telephone /s/ Katheryn E. Surface Burks -------------------------------- Manual Signature of Person Duly Authorized to submit this Report Houston, TX 11-7-2006 -------------------------------- Place and Date of Signing Report Type: [ X ] 13F Holdings Report [ ] 13F Notice [ ] 13F Combination Report Report Summary: Number of other included managers: 0 Form 13F information table entry total: 273 Form 13F table value total: $180,752 List of other included Managers: None FCA Corp Form 13(f) For the Quarter Ending September 30, 2006
INVESTMENT DISCRETION VOTING AUTHORITY TITLE FAIR MKT SHARES OR --------------------- ----------------- OF ID CUSIP VALUE PRINCIPAL SH/ PUT/ SOLE SHARED OTHER OTHER SOLE SHARED OTHER NAME OF ISSUER CLASS NUMBER (X1,000) AMOUNT PRN CALL (A) (B) (C) MANAGERS (A) (B) (C) - ------------------------------------------------------------------------------------------------------------------------------------ 1ST CENTURY BANK N.A. COMMON STOCK 319425104 537 61,950 SH 61,950 61,950 3M CO COMMON STOCK 88579Y101 774 10,400 SH 10,400 10,400 AAMES INVESTMENT CORP REIT 00253G108 42 12,000 SH 12,000 12,000 ABN AMRO HOLDING NV-SP ADR ADR 000937102 313 10,706 SH 10,706 10,706 ADAMS EXPRESS COMPANY CLOSED-END FUND 006212104 163 12,073 SH 12,073 12,073 AEW REAL ESTATE INCOME FUND CLOSED-END FUND 00104H107 456 21,600 SH 5,600 16,000 16,000 5,600 AGCO CORP COMMON STOCK 001084102 507 20,000 SH 20,000 20,000 AIM SELECT REAL ESTATE INC CLOSED-END FUND 00888R107 538 28,800 SH 12,800 16,000 16,000 12,800 ALAMO GROUP INC COMMON STOCK 011311107 1,494 65,700 SH 65,700 65,700 ALTO PALERMO S.A.-ADR ADR 02151P107 170 17,000 SH 17,000 17,000 AMDOCS LTD COMMON STOCK G02602103 396 10,000 SH 10,000 10,000 AMERICAN BUSINESS BANK COMMON STOCK 02475L105 1,172 44,651 SH 44,651 44,651 AMERICAN EXPRESS CO COMMON STOCK 025816109 1,210 21,585 SH 21,585 21,585 AMERICAN FINANCIAL REALTY TR REIT 02607P305 134 12,000 SH 12,000 12,000 AMERICAN INTERNATIONAL GROUP COMMON STOCK 026874107 2,388 36,046 SH 36,046 36,046 AMERICAN LAND LEASE INC REIT 027118108 352 14,800 SH 9,200 5,600 5,600 9,200 AMERICAN NATIONAL INSURANCE COMMON STOCK 028591105 347 2,998 SH 2,998 2,998 AMERICAN STATES WATER CO COMMON STOCK 029899101 945 24,700 SH 24,700 24,700 AMGEN INC COMMON STOCK 031162100 1,874 26,192 SH 26,192 26,192 ANGLO AMERICAN PLC-UNSP ADR ADR 03485P102 274 13,000 SH 13,000 13,000 AQUA AMERICA INC COMMON STOCK 03836W103 623 28,384 SH 28,384 28,384 AQUENTIUM INC COMMON STOCK 03840C101 2 12,500 SH 12,500 12,500 AQUILA INC PUBLIC 03840P300 221 8,800 SH 8,800 8,800 ARKEMA-SPONSORED ADR ADR 041232109 288 6,130 SH 6,130 6,130 AT&T INC COMMON STOCK 00206R102 854 26,233 SH 26,233 26,233 ATI TECHNOLOGIES INC COMMON STOCK 001941103 322 15,000 SH 15,000 15,000 ATMOS ENERGY CORP COMMON STOCK 049560105 428 15,000 SH 15,000 15,000 AUTOMATIC DATA PROCESSING COMMON STOCK 053015103 270 5,700 SH 5,700 5,700 BANCO SANTANDER CEN-SPON ADR ADR 05964H105 268 17,000 SH 17,000 17,000 BANK OF AMERICA CORP COMMON STOCK 060505104 1,615 30,151 SH 30,151 30,151 BANK OF NEW YORK CO INC COMMON STOCK 064057102 324 9,200 SH 9,200 9,200 BAXTER INTERNATIONAL INC COMMON STOCK 071813109 809 17,800 SH 17,800 17,800 BELLSOUTH CORP COMMON STOCK 079860102 293 6,850 SH 6,850 6,850 BLACKROCK LTD DURATION INC CLOSED-END FUND 09249W101 187 10,000 SH 10,000 10,000 BNP PARIBAS-ADR ADR 05565A202 324 6,000 SH 6,000 6,000 BP PLC-SPONS ADR ADR 055622104 327 4,980 SH 4,980 4,980 BRE PROPERTIES -CL A REIT 05564E106 211 3,540 SH 3,540 3,540 BRITISH AIRWAYS -SPONS ADR ADR 110419306 304 3,800 SH 3,800 3,800 BUNGE LIMITED COMMON STOCK G16962105 377 6,500 SH 6,500 6,500 BURLINGTON NORTHERN SANTA FE COMMON STOCK 12189T104 1,507 20,518 SH 20,518 20,518 CALIFORNIA WATER SERVICE GRP COMMON STOCK 130788102 833 22,550 SH 22,550 22,550 CAMDEN PROPERTY TRUST REIT 133131102 296 3,900 SH 3,900 3,900 CATERPILLAR INC COMMON STOCK 149123101 263 4,000 SH 4,000 4,000 CEMEX SAB-SPONS ADR PART CER ADR 151290889 347 11,538 SH 11,538 11,538 CENTRAL SECURITIES CORP CLOSED-END FUND 155123102 791 30,547 SH 30,547 30,547 CIA SANEAMENTO BASICO DE-ADR ADR 20441A102 301 10,000 SH 10,000 10,000 CIA VALE DO RIO DOCE-ADR ADR 204412209 259 12,000 SH 12,000 12,000 CISCO SYSTEMS INC COMMON STOCK 17275R102 733 31,890 SH 31,890 31,890 COCA-COLA CO/THE COMMON STOCK 191216100 350 7,836 SH 7,836 7,836 COHEN & STEERS REIT UTI & IN CLOSED-END FUND 19247Y108 242 11,700 SH 11,700 11,700 COHEN & STEERS SEL UTILITY CLOSED-END FUND 19248A109 256 11,450 SH 11,450 11,450 COMMUNITY SOUTHERN BANK-CW08 WARRANT 20405A114 1 2,000 SH 2,000 2,000 COMPASS BANCSHARES INC COMMON STOCK 20449H109 350 6,150 SH 6,150 6,150 CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 888 15,000 SH 15,000 15,000 CONTINENTAL AIRLINES-CLASS B COMMON STOCK 210795308 283 10,000 SH 10,000 10,000 COOPER TIRE & RUBBER COMMON STOCK 216831107 390 38,750 SH 38,750 38,750 CREDIT SUISSE ASSET MGMT INC CLOSED-END FUND 224916106 189 44,800 SH 44,800 44,800 CRH PLC-SPONSORED ADR ADR 12626K203 319 9,200 SH 9,200 9,200 CVS CORP COMMON STOCK 126650100 2,013 62,678 SH 62,678 62,678 DELTA FINANCIAL CORP COMMON STOCK 247918105 156 17,000 SH 17,000 17,000 DENTSPLY INTERNATIONAL INC COMMON STOCK 249030107 202 6,700 SH 6,700 6,700 DESARROLLADORA HOMEX-ADR ADR 25030W100 340 9,000 SH 9,000 9,000 DEUTSCHE BANK AG-REGISTERED COMMON STOCK D18190898 362 3,000 SH 3,000 3,000 DIAMONDROCK HOSPITALITY CO REIT 252784301 199 12,000 SH 12,000 12,000 DIME BANCORP-WT WARRANT 25429Q110 0 260 SH 260 260 DOW CHEMICAL COMMON STOCK 260543103 883 22,665 SH 22,665 22,665 DRS TECHNOLOGIES INC COMMON STOCK 23330X100 962 22,020 SH 22,020 22,020 DST SYSTEMS INC COMMON STOCK 233326107 455 7,385 SH 7,385 7,385 DUKE REALTY CORP REIT 264411505 898 24,050 SH 24,050 24,050 DWS RREEF REAL ESTATE FD II CLOSED-END FUND 23338X102 237 12,800 SH 12,800 12,800 DWS RREEF REAL ESTATE FD INC CLOSED-END FUND 233384106 221 9,000 SH 9,000 9,000 E.ON AG -SPONSORED ADR ADR 268780103 317 8,000 SH 8,000 8,000 EATON VANCE LTD DURATION FND CLOSED-END FUND 27828H105 184 10,400 SH 10,400 10,400 ELECTRONIC ARTS INC COMMON STOCK 285512109 558 10,000 SH 10,000 10,000 ENERGY SELECT SECTOR SPDR ETF 81369Y506 1,954 36,550 SH 36,550 36,550 EQUITY INCOME FUND (AT&T) CLOSED-END FUND 294700703 638 6,359 SH 6,359 6,359 EQUITY INNS INC REIT 294703103 175 11,000 SH 11,000 11,000 EQUITY OFFICE PROPERTIES TR REIT 294741103 1,855 46,650 SH 42,550 4,100 4,100 42,550 EQUITY ONE INC REIT 294752100 462 19,263 SH 19,263 19,263 EVEREST RE CAPITAL TRUST PUBLIC 299807206 232 9,000 SH 9,000 9,000 EVEREST RE GROUP LTD COMMON STOCK G3223R108 322 3,300 SH 3,300 3,300 EVERGREEN MGD INCOME FUND CLOSED-END FUND 30024Y104 188 11,200 SH 11,200 11,200 EXTRA SPACE STORAGE INC REIT 30225T102 228 13,200 SH 13,200 13,200 EXXON MOBIL CORP COMMON STOCK 30231G102 1,694 25,247 SH 25,247 25,247 FANNIE MAE COMMON STOCK 313586109 263 4,700 SH 2,900 1,800 1,800 2,900 FANNIE MAE PUBLIC 313586794 301 7,000 SH 7,000 7,000 FIRST SEISMIC CORP COMMON STOCK 336397104 20 396,601 SH 396,601 396,601 FIRST SEISMIC CORP SERIES B PUBLIC 124996133 0 10,000 SH 10,000 10,000 FIRST TRUST VALUE LINE 100 CLOSED-END FUND 33735D104 982 66,103 SH 66,103 66,103 FIRST TRUST VALUE LINE DVD CLOSED-END FUND 33735A100 2,135 126,314 SH 126,314 126,314 FIRST TRUST/FOUR CRNS SR F 2 CLOSED-END FUND 33733U108 198 11,070 SH 11,070 11,070 FISERV INC COMMON STOCK 337738108 234 4,960 SH 4,960 4,960 FLAGSTAR BANCORP INC COMMON STOCK 337930101 1,015 69,750 SH 69,750 69,750 FORD CAPITAL TRUST II PUBLIC 345395206 475 14,150 SH 14,150 14,150 FPL GROUP INC COMMON STOCK 302571104 1,701 37,800 SH 37,800 37,800 FRANCE TELECOM SA-SPONS ADR ADR 35177Q105 233 10,000 SH 10,000 10,000 FREDDIE MAC COMMON STOCK 313400301 557 8,400 SH 8,400 8,400 GENERAL ELECTRIC CO COMMON STOCK 369604103 811 22,983 SH 22,983 22,983 GENERAL GROWTH PROPERTIES REIT 370021107 214 4,500 SH 4,500 4,500 GENESEE & WYOMING INC-CL A COMMON STOCK 371559105 2,996 129,047 SH 129,047 129,047 GLAXOSMITHKLINE PLC-ADR ADR 37733W105 738 13,872 SH 5,872 8,000 8,000 5,872 GMH COMMUNITIES TRUST REIT 36188G102 196 15,500 SH 15,500 15,500 GRUPO TELEVISA SA-SPONS ADR ADR 40049J206 319 15,000 SH 15,000 15,000 HANG LUNG PROPERTIES-SP ADR ADR 41043M104 194 18,000 SH 18,000 18,000 HCA INC COMMON STOCK 404119109 1,100 22,040 SH 22,040 22,040 HEADWATERS INC COMMON STOCK 42210P102 234 10,000 SH 10,000 10,000 HERSHA HOSPITALITY TRUST REIT 427825104 115 12,000 SH 12,000 12,000 HIGHLAND HOSPITALITY CORP REIT 430141101 248 17,300 SH 17,300 17,300 HOME DEPOT INC COMMON STOCK 437076102 818 22,566 SH 19,266 3,300 3,300 19,266 HOST HOTELS & RESORTS INC REIT 44107P104 271 11,819 SH 183 11,636 11,636 183 HRPT PROPERTIES TRUST REIT 40426W101 121 10,100 SH 10,100 10,100 HSBC USA INC SERIES F PUBLIC 40428h805 205 8,000 SH 8,000 8,000 ICICI BANK LTD-SPON ADR ADR 45104G104 307 10,000 SH 10,000 10,000 ING GROEP N.V.-SPONSORED ADR ADR 456837103 477 10,842 SH 10,842 10,842 INGLES MARKETS INC -CL A COMMON STOCK 457030104 2,697 102,253 SH 102,253 102,253 INTEL CORP COMMON STOCK 458140100 732 35,562 SH 35,562 35,562 INTERCONTINENTAL HOTELS-ADR ADR 45857P202 399 22,642 SH 22,642 22,642 INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 1,061 12,953 SH 12,953 12,953 INTL RECTIFIER CORP COMMON STOCK 460254105 348 10,000 SH 10,000 10,000 INTL SPEEDWAY CORP-CL A COMMON STOCK 460335201 394 7,900 SH 7,900 7,900 IRSA -SP GDR GDR 450047204 127 10,000 SH 10,000 10,000 ISHARES COHEN & STEERS RLTY ETF 464287564 2,015 21,945 SH 18,945 3,000 3,000 18,945 ISHARES DJ SELECT DIVIDEND ETF 464287168 1,149 17,295 SH 17,295 17,295 ISHARES DJ US REAL ESTATE ETF 464287739 513 6,650 SH 3,450 3,200 3,200 3,450 ISHARES DJ US TECHNOLOGY SEC ETF 464287721 231 4,500 SH 4,500 4,500 ISHARES GOLDMAN SACHS NETWOR ETF 464287531 345 11,200 SH 11,200 11,200 ISHARES GOLDMAN SACHS TECH I ETF 464287549 207 4,300 SH 4,300 4,300 ISHARES LEHMAN 1-3YR TRS BD ETF 464287457 402 5,000 SH 5,000 5,000 ISHARES MSCI EAFE INDEX FUND ETF 464287465 4,650 68,635 SH 68,635 68,635 ISHARES MSCI EMERGING MKT IN ETF 464287234 1,391 14,375 SH 14,375 14,375 ISHARES MSCI EMU ETF 464286608 2,132 22,636 SH 20,636 2,000 2,000 20,636 ISHARES MSCI JAPAN INDEX FD ETF 464286848 1,549 114,365 SH 89,365 25,000 25,000 89,365 ISHARES MSCI UNITED KINGDOM ETF 464286699 451 20,600 SH 20,600 20,600 ISHARES NASDAQ BIOTECH INDX ETF 464287556 376 5,100 SH 5,100 5,100 ISHARES RUSSELL 2000 ETF 464287655 425 5,900 SH 5,900 5,900 ISHARES RUSSELL 2000 VALUE ETF 464287630 299 4,050 SH 4,050 4,050 ISHARES RUSSELL 3000 GROWTH ETF 464287671 304 7,180 SH 7,180 7,180 ISHARES RUSSELL 3000 INDEX ETF 464287689 2,165 28,160 SH 28,160 28,160 ISHARES RUSSELL 3000 VALUE ETF 464287663 519 5,160 SH 5,160 5,160 ISHARES RUSSELL MIDCAP VALUE ETF 464287473 272 2,000 SH 2,000 2,000 ISHARES S&P 500 GROWTH INDEX ETF 464287309 585 9,483 SH 9,483 9,483 ISHARES S&P 500 INDEX FUND ETF 464287200 458 3,425 SH 3,425 3,425 ISHARES S&P 500 VALUE INDEX ETF 464287408 451 6,275 SH 6,275 6,275 ISHARES S&P EUROPE 350 ETF 464287861 3,089 31,982 SH 30,482 1,500 1,500 30,482 ISHARES S&P GLBL HEALTHCARE ETF 464287325 2,942 51,500 SH 51,500 51,500 ISHARES S&P GLOBAL 100 ETF 464287572 1,529 21,743 SH 21,743 21,743 ISHARES S&P LATIN AMERICA 40 ETF 464287390 431 3,034 SH 1,534 1,500 1,500 1,534 ISHARES S&P MIDCAP 400 ETF 464287507 2,374 31,464 SH 31,464 31,464 ISHARES S&P MIDCAP 400/VALUE ETF 464287705 481 6,505 SH 6,505 6,505 ISHARES S&P SMALLCAP 600 ETF 464287804 1,335 21,780 SH 21,780 21,780 ISHARES S&P SMALLCAP 600/VAL ETF 464287879 2,915 41,790 SH 41,790 41,790 ISHARES S&P/TOPIX 150 INDEX ETF 464287382 572 4,800 SH 300 4,500 4,500 300 JAMES HARDIE INDS-SPONS ADR ADR 47030M106 337 12,100 SH 12,100 12,100 JANUARY 07 CALLS ON FXI US CALL 464287904 0 20 SH CALL 20 20 JANUARY 07 CALLS ON IWB US CALL 464287902 0 20 SH CALL 20 20 JANUARY 08 CALLS ON IWB US CALL 464287902 0 30 SH CALL 30 30 JANUARY 08 CALLS ON QQQQ US CALL 631100904 0 25 SH CALL 25 25 JANUARY 09 CALLS ON EWJ US CALL 464286908 0 50 SH CALL 50 50 JANUARY 09 CALLS ON SNE US CALL 835699907 0 20 SH CALL 20 20 JANUS CAPITAL GROUP INC COMMON STOCK 47102X105 1,237 62,725 SH 62,725 62,725 JOHN HAN BK & THRIFT OPP FD CLOSED-END FUND 409735107 1,485 152,751 SH 152,751 152,751 JOHN HANCOCK PFD INCOME II CLOSED-END FUND 41013X106 216 8,800 SH 8,800 8,800 JOHNSON & JOHNSON COMMON STOCK 478160104 756 11,637 SH 11,637 11,637 JPMORGAN CHASE & CO COMMON STOCK 46625H100 667 14,210 SH 14,210 14,210 KINGFISHER PLC-SPONS ADR ADR 495724403 112 12,000 SH 12,000 12,000 KITE REALTY GROUP TRUST REIT 49803T102 170 10,000 SH 10,000 10,000 KMG CHEMICALS INC COMMON STOCK 482564101 658 80,678 SH 80,678 80,678 KT CORP-SP ADR ADR 48268K101 204 9,500 SH 9,500 9,500 KVH INDUSTRIES INC COMMON STOCK 482738101 204 16,000 SH 16,000 16,000 LACLEDE GROUP INC/THE COMMON STOCK 505597104 642 20,000 SH 20,000 20,000 LASALLE HOTEL PROPERTIES PUBLIC 517942207 541 21,100 SH 21,100 21,100 LEXMARK INTERNATIONAL INC-A COMMON STOCK 529771107 248 4,300 SH 4,300 4,300 LIFEPOINT HOSPITALS INC COMMON STOCK 53219L109 530 15,000 SH 15,000 15,000 LLOYDS TSB GROUP PLC -SP ADR ADR 539439109 279 6,900 SH 6,900 6,900 LMP REAL ESTATE INCOME FUND CLOSED-END FUND 50208C108 335 16,000 SH 16,000 16,000 LOWE'S COS INC COMMON STOCK 548661107 2,220 79,128 SH 73,128 6,000 6,000 73,128 LUBRIZOL CORP COMMON STOCK 549271104 231 5,055 SH 5,055 5,055 LUCENT TECHNOLOGIES-CW07 WARRANT 549463131 0 138 SH 138 138 LUFKIN INDUSTRIES INC COMMON STOCK 549764108 397 7,500 SH 7,500 7,500 LYONDELL CHEMICAL COMPANY COMMON STOCK 552078107 254 10,000 SH 10,000 10,000 MANULIFE FINANCIAL CORP COMMON STOCK 56501R106 250 7,762 SH 7,762 7,762 MBIA CAP/CLAYMORE MGD DUR IN CLOSED-END FUND 55266X100 216 17,009 SH 17,009 17,009 MEDALLION FINANCIAL CORP COMMON STOCK 583928106 293 26,600 SH 26,600 26,600 MFS GOVT MARKETS INC TRUST CLOSED-END FUND 552939100 296 45,600 SH 45,600 45,600 MICHAELS STORES INC COMMON STOCK 594087108 222 5,100 SH 5,100 5,100 MICROFINANCIAL INC COMMON STOCK 595072109 2,300 705,420 SH 705,420 705,420 MICROSOFT CORP COMMON STOCK 594918104 1,272 46,508 SH 46,508 46,508 MIDCAP SPDR TRUST SERIES 1 ETF 595635103 1,327 9,636 SH 9,636 9,636 MITSUBISHI UFJ FINL GRP-ADR ADR 606822104 128 10,000 SH 10,000 10,000 MORGAN STANLEY ASIA PACIFIC CLOSED-END FUND 61744U106 353 21,000 SH 21,000 21,000 MORGAN STANLEY GOVT INC TRST CLOSED-END FUND 61745P106 177 19,900 SH 19,900 19,900 NATIONAL OILWELL VARCO INC COMMON STOCK 637071101 213 3,633 SH 3,633 3,633 NESTLE SA-SPONS ADR FOR REG ADR 641069406 272 3,100 SH 3,100 3,100 NETFLIX INC COMMON STOCK 64110L106 1,800 79,013 SH 79,013 79,013 NEW YORK COMMUNITY BANCORP COMMON STOCK 649445103 180 11,000 SH 11,000 11,000 NEWELL RUBBERMAID INC COMMON STOCK 651229106 207 7,300 SH 7,300 7,300 NIS GROUP CO LTD - ADR ADR 654655109 72 11,520 SH 11,520 11,520 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 396 9,000 SH 9,000 9,000 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 368 5,400 SH 5,400 5,400 OIL SERVICE HOLDRS TRUST ETF 678002106 1,311 10,100 SH 10,100 10,100 OPTEUM INC RESTRICTED COMMON STOCK 68384A308 81 10,000 SH 10,000 10,000 PARKER DRILLING CO COMMON STOCK 701081101 559 79,000 SH 79,000 79,000 PENTAIR INC COMMON STOCK 709631105 334 12,760 SH 12,760 12,760 PEOPLES ENERGY CORP COMMON STOCK 711030106 610 15,000 SH 15,000 15,000 PETROQUEST ENERGY INC COMMON STOCK 716748108 104 10,000 SH 10,000 10,000 PFIZER INC COMMON STOCK 717081103 519 18,285 SH 18,285 18,285 PHELPS DODGE CORP COMMON STOCK 717265102 864 10,200 SH 10,200 10,200 PIMCO CORPORATE INCOME FUND CLOSED-END FUND 72200U100 214 13,600 SH 13,600 13,600 PORTUGAL TELECOM SGPS-SP ADR ADR 737273102 253 20,300 SH 20,300 20,300 PRAXAIR INC COMMON STOCK 74005P104 1,189 20,100 SH 20,100 20,100 PROGRESS ENERGY INC COMMON STOCK 743263105 1,646 36,274 SH 36,274 36,274 PROSPECT STREET INCOME SHRS CLOSED-END FUND 743590101 182 30,800 SH 30,800 30,800 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 267 3,500 SH 500 3,000 3,000 500 PS BUSINESS PARKS INC/CA REIT 69360J107 211 3,500 SH 3,500 3,500 PUBLIC STORAGE INC REIT 74460D109 638 7,415 SH 4,915 2,500 2,500 4,915 PUTNAM MANAGED HIGH YIELD TR CLOSED-END FUND 746819101 219 24,400 SH 24,400 24,400 RED ALERT GROUP INC COMMON STOCK 75629Q105 0 25,067 SH 25,067 25,067 REGAL BELOIT COMMON STOCK 758750103 822 18,900 SH 18,900 18,900 REPUBLIC PROPERTY TRUST REIT 760737106 132 12,000 SH 12,000 12,000 RGC RESOURCES INC COMMON STOCK 74955L103 421 16,250 SH 16,250 16,250 RINKER GROUP LTD-ADR ADR 76687M101 309 6,000 SH 6,000 6,000 ROYCE MICRO-CAP TRUST CLOSED-END FUND 780915104 839 57,404 SH 57,404 57,404 ROYCE VALUE TRUST CLOSED-END FUND 780910105 4,128 201,970 SH 201,970 201,970 RYDEX S&P EQUAL WEIGHT ETF ETF 78355W106 2,916 65,637 SH 65,637 65,637 SANDISK CORP COMMON STOCK 80004C101 268 5,000 SH 5,000 5,000 SAP AG-SPONSORED ADR ADR 803054204 248 5,000 SH 5,000 5,000 SCANA CORP COMMON STOCK 80589M102 245 6,075 SH 6,075 6,075 SEMCO ENERGY INC COMMON STOCK 78412D109 56 10,000 SH 10,000 10,000 SENIOR HOUSING PROP TRUST REIT 81721M109 220 10,300 SH 3,500 6,800 6,800 3,500 SIEMENS AG-SPONS ADR ADR 826197501 261 3,000 SH 3,000 3,000 SIMON PROPERTY GROUP INC PUBLIC 828806604 200 8,000 SH 8,000 8,000 SOUTHERN PAC FDG CORP LIQUID COMMON STOCK 843578204 0 464,001 SH 464,001 464,001 SOUTHWALL TECHNOLOGIES INC COMMON STOCK 844909101 7 14,000 SH 14,000 14,000 SOUTHWEST WATER CO COMMON STOCK 845331107 460 37,653 SH 37,653 37,653 SPDR TRUST SERIES 1 ETF 78462F103 281 2,100 SH 2,100 2,100 STONEMOR PARTNERS LP UNIT 86183Q100 553 25,600 SH 25,600 25,600 STRATEGIC HOTELS & RESORTS I REIT 86272T106 199 10,000 SH 10,000 10,000 SUBURBAN PROPANE PARTNERS LP UNIT 864482104 1,049 31,075 SH 31,075 31,075 TARGET CORP COMMON STOCK 87612E106 268 4,850 SH 4,850 4,850 TATE & LYLE PLC-SPONS ADR ADR 876570607 215 4,000 SH 4,000 4,000 TCW STRATEGIC INCOME FUND IN CLOSED-END FUND 872340104 183 37,200 SH 37,200 37,200 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 495 14,900 SH 14,900 14,900 TOTAL SA-SPON ADR ADR 89151E109 343 5,200 SH 5,200 5,200 TS&W/CLAYMORE T/A BALANCED CLOSED-END FUND 87280R108 216 15,082 SH 15,082 15,082 TXU CORP COMMON STOCK 873168108 3,385 54,140 SH 54,140 54,140 UNILEVER N V -NY SHARES NY REG SHRS 904784709 243 9,900 SH 900 9,000 9,000 900 UNITED DOMINION REALTY TRUST REIT 910197102 621 20,557 SH 20,557 20,557 UNITED FIRE & CASUALTY CO COMMON STOCK 910331107 1,766 56,416 SH 56,416 56,416 UNITED TECHNOLOGIES CORP COMMON STOCK 913017109 2,594 40,955 SH 40,955 40,955 USG CORP COMMON STOCK 903293405 235 5,000 SH 5,000 5,000 VAN KAMPEN BOND FUND CLOSED-END FUND 920955101 200 11,600 SH 11,600 11,600 VAN KAMPEN SENIOR INCOME TRS CLOSED-END FUND 920961109 425 50,100 SH 50,100 50,100 VARIAN SEMICONDUCTOR EQUIP COMMON STOCK 922207105 387 10,546 SH 546 10,000 10,000 546 VITRAN CORP INC COMMON STOCK 92850E107 296 16,000 SH 16,000 16,000 VODAFONE GROUP PLC-SP ADR ADR 92857W209 200 8,750 SH 875 7,875 7,875 875 WA/CLAY US TREAS INFL PROT CLOSED-END FUND 95766Q106 3,177 274,848 SH 274,848 274,848 WACHOVIA CORP COMMON STOCK 929903102 205 3,668 SH 3,668 3,668 WASTE MANAGEMENT INC COMMON STOCK 94106L109 847 23,100 SH 23,100 23,100 WELLS FARGO & COMPANY COMMON STOCK 949746101 557 15,400 SH 15,400 15,400 WESTERN ASSET HIGH INCOME OP CLOSED-END FUND 95766K109 192 30,200 SH 30,200 30,200 WESTERN ASSET MANAGED HIGH Y CLOSED-END FUND 95766L107 192 30,800 SH 30,800 30,800 WGL HOLDINGS INC COMMON STOCK 92924F106 1,909 60,921 SH 60,921 60,921 WILLIAMS COS INC COMMON STOCK 969457100 5,991 251,002 SH 251,002 251,002 WILLIAMS-SONOMA INC COMMON STOCK 969904101 1,598 49,350 SH 49,350 49,350 WINSTON HOTELS INC REIT 97563A102 147 11,900 SH 11,900 11,900 WISCONSIN ENERGY CORP COMMON STOCK 976657106 1,035 24,000 SH 24,000 24,000 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604101 0 34,000 SH 34,000 34,000 WORLDWIDE WEB NETWORX CORP COMMON STOCK 981604911 0 33,000 SH 33,000 33,000 RESTRICTED WPS RESOURCES CORP COMMON STOCK 92931B106 496 10,000 SH 10,000 10,000 WT07 05DENT-A-MED INC USD WARRANT 24872E112 0 2 SH 2 2 WTS DISCOVERY ZONE INC WARRANT 25468B131 0 11 SH 11 11 XCEL ENERGY INC COMMON STOCK 98389B100 983 47,608 SH 47,608 47,608 XTO ENERGY INC COMMON STOCK 98385X106 211 5,000 SH 5,000 5,000
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