-----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, MB7AbwuBxmTBXzVPoFcytecTss49a3F1alHXf/ZuPlEAhvsPZUQ+sSg2JwAaQNbj sUppieT/MxOBGcTI/m4kBA== 0000910472-10-001266.txt : 20101207 0000910472-10-001266.hdr.sgml : 20101207 20101207140818 ACCESSION NUMBER: 0000910472-10-001266 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101207 DATE AS OF CHANGE: 20101207 EFFECTIVENESS DATE: 20101207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Asset Management, Inc. CENTRAL INDEX KEY: 0001464811 IRS NUMBER: 911648671 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13634 FILM NUMBER: 101236624 BUSINESS ADDRESS: STREET 1: 1001 4TH AVENUE STREET 2: SUITE 2200 CITY: SEATTLE STATE: WA ZIP: 98154 BUSINESS PHONE: 206-343-8092 MAIL ADDRESS: STREET 1: 1001 4TH AVENUE STREET 2: SUITE 2200 CITY: SEATTLE STATE: WA ZIP: 98154 13F-HR 1 form13f.txt NATIONAL ASSET MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 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: National Asset Management, Inc. Address: 1001 4th Avenue, Suite 2200 Seattle, WA 98154 Form 13F File Number: 28-13634 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: Alicia Guagliardo Title: Chief Compliance Officer Phone: 206-343-8092 Signature, Place, and Date of Signing: Alicia Guagliardo Seattle, WA 12/6/2010 [Signature] City, State] [Date] Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 801-60673 Atlanta Capital LLC 801-24896 Brandes Investment Partners, LP 801-60927 C.S. McKee, LP 801-26539 Cambridge Financial Group 801-23386 Congress Asset Management Company 801-9168 Contravisory Investment Management 801-54255 Dreman Value Management, LLC 801-62452 Estabrook Capital Management, LLC 801-06709 Fred Alger Management 801-60453 Hays Advisory 801-67624 Institute for WealthManagement 801-57934 Invesco AIM Private Asset Management 801-61701 Lazard Asset Management, LLC 801-43315 Mastrapasqua Asset Management 801-30582 Navellier & Associates 801-57432 Riverbridge Partners, LLC 801-55521 Roxbury Capital Management 801-14172 Advisory Research, Inc. 801-65018 Ascentia Wealth Management 801-68620 Emerald Asset Advisors 801-62452 Estabrook Capital Management, LLC 801-34611 Federated 801-24133 Forward Asset Management 801-71064 Good Harbor 801-61113 Main Management 801-27828 Pacific Income Advisors 801-68580 SFE Investments 801-29130 SIGMA Asset Management, LLC 801-57131 Sound Asset Management 801-42549 Tom Johnson Investment Management, Inc. 801-65208 Tradewinds Global Investors, LLC 801-46131 Wentworth, Hauser & Violich, Inc. 801-46248 Wood Asset Management, Inc. [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 18 Form 13F Information Table Entry Total: 377 Form 13F Information Table Value Total: 181,244 (thousands) List of Other Included Managers: 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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File NumberName 1 801-60673 Atlanta Capital LLC 2 801-24896 Brandes Investment Partners, LP 3 801-60927 C.S. McKee, LP 4 801-26539 Cambridge Financial Group 5 801-23386 Congress Asset Management Company 6 801-9168 Contravisory Investment Management 7 801-54255 Dreman Value Management, LLC 8 801-62452 Estabrook Capital Management, LLC 9 801-06709 Fred Alger Management 10 801-60453 Hays Advisory 11 801-67624 Institute for WealthManagement 12 801-57934 Invesco AIM Private Asset Management 13 801-61701 Lazard Asset Management, LLC 14 801-43315 Mastrapasqua Asset Management 15 801-30582 Navellier & Associates 16 801-57432 Riverbridge Partners, LLC 17 801-55521 Roxbury Capital Management 18 801-57131 Sound Asset Management 19 801-14172 Advisory Research, Inc. 20 801-65018 Ascentia Wealth Management 21 801-68620 Emerald Asset Advisors 22 801-62452 Estabrook Capital Management, LLC 23 801-34611 Federated 24 801-24133 Forward Asset Management 25 801-71064 Good Harbor 26 801-61113 Main Management 27 801-27828 Pacific Income Advisors 28 801-68580 SFE Investments 29 801-29130 SIGMA Asset Management, LLC 30 801-57131 Sound Asset Management 31 801-42549 Tom Johnson Investment Management, Inc. 32 801-65208 Tradewinds Global Investors, LLC 33 801-46131 Wentworth, Hauser & Violich, Inc. 34 801-46248 Wood Asset Management, Inc. [Repeat as necessary.]
Name Of Issuer Title Of Cusip Market Value SHRS OR SH PRN PUT Investment Discretion Other Managers Sole Shared None Class PRN AMT CALL ISHARES TR S&P SMLCP 464287887 6152 98474 SH SOLE 0 0 98474 GROW ISHARES TR S&P MC 400 464287606 6137 69696 SH SOLE 0 0 69696 GRW ISHARES TR S&P500 GRW 464287309 6136 103354 SH SOLE 0 0 103354 APPLE INC COM 037833100 3266 11511 SH SOLE 0 0 11511 ISHARES TR IBOXX INV 464287242 2758 24389 SH SOLE 0 0 24389 CPBD AT&T INC COM 00206R102 2711 94799 SH SOLE 0 0 94799 EXXON MOBIL CORP COM 30231G102 2700 43691 SH SOLE 0 0 43691 ISHARES TR US PFD STK 464288687 2676 67276 SH SOLE 0 0 67276 IDX ISHARES TR S&P MIDCP 464287705 2602 36593 SH SOLE 0 0 36593 VALU ISHARES TR S&P 500 464287408 2515 46352 SH SOLE 0 0 46352 VALUE ISHARES TR S&P SMLCP 464287879 2496 40151 SH SOLE 0 0 40151 VALU JOHNSON & JOHNSON COM 478160104 2266 36565 SH SOLE 0 0 36565 GENERAL ELECTRIC CO COM 369604103 2265 139413 SH SOLE 0 0 139413 CHEVRON CORP NEW COM 166764100 2078 25638 SH SOLE 0 0 25638 ISHARES TR BARCLYS 1- 464287457 2076 24607 SH SOLE 0 0 24607 3 YR ISHARES TR BARCLYS 464287176 2056 18855 SH SOLE 0 0 18855 TIPS BD MICROSOFT CORP COM 594918104 1993 81400 SH SOLE 0 0 81400 SPDR SERIES TRUST S&P DIVID 78464A763 1926 38375 SH SOLE 0 0 38375 ETF VERIZON COM 92343V104 1837 56353 SH SOLE 0 0 56353 COMMUNICATIONS INC BANK HAWAII CORP COM 062540109 1764 39277 SH SOLE 0 0 39277 EATON VANCE TAX MNG COM 27829F108 1645 150409 SH SOLE 0 0 150409 GBL DV E FX ENERGY INC COM 302695101 1598 385965 SH SOLE 0 0 385965 PROCTER & GAMBLE CO COM 742718109 1510 25172 SH SOLE 0 0 25172 SPDR GOLD TRUST GOLD SHS 78463V107 1497 11705 SH SOLE 0 0 11705 E M C CORP MASS COM 268648102 1486 73190 SH SOLE 0 0 73190 PFIZER INC COM 717081103 1420 82687 SH SOLE 0 0 82687 INTEROIL CORP COM 460951106 1407 20561 SH SOLE 0 0 20561 COCA COLA CO COM 191216100 1404 23988 SH SOLE 0 0 23988 PROSHARES TR PSHS ULTSH 74347R297 1343 42961 SH SOLE 0 0 42961 20YRS PHILIP MORRIS INTL COM 718172109 1280 22842 SH SOLE 0 0 22842 INC BANK OF AMERICA COM 060505104 1280 97664 SH SOLE 0 0 97664 CORPORATION CISCO SYS INC COM 17275R102 1271 58047 SH SOLE 0 0 58047 JPMORGAN CHASE & CO COM 46625H100 1216 31950 SH SOLE 0 0 31950 TIVO INC COM 888706108 1200 132400 SH SOLE 0 0 132400 ENTERPRISE PRODS COM 293792107 1183 29824 SH SOLE 0 0 29824 PARTNERS L ALTRIA GROUP INC COM 02209S103 1143 47580 SH SOLE 0 0 47580 NEXXUS LIGHTING INC COM 65338E105 1136 528577 SH SOLE 0 0 528577 PROSHARES TR PSHS ULSHT 74347R883 1124 37997 SH SOLE 0 0 37997 SP500 INTEL CORP COM 458140100 1104 57507 SH SOLE 0 0 57507 CITIGROUP INC COM 172967101 1070 273574 SH SOLE 0 0 273574 AMERICAN TOWER CORP CL A 029912201 1061 20698 SH SOLE 0 0 20698 ISHARES TR BARCLYS SH 464288679 1050 9529 SH SOLE 0 0 9529 TREA ISHARES TR BARCLY 464287226 1032 9497 SH SOLE 0 0 9497 USAGG B PEPSICO INC COM 713448108 941 14163 SH SOLE 0 0 14163 MEDTRONIC INC COM 585055106 912 27146 SH SOLE 0 0 27146 BRISTOL MYERS SQUIBB COM 110122108 876 32304 SH SOLE 0 0 32304 CO SELECT SECTOR SPDR TR SBI INT- 81369Y886 863 27497 SH SOLE 0 0 27497 UTILS GOOGLE INC CL A 38259P508 839 1596 SH SOLE 0 0 1596 AGIC CONV & INCOME FD COM 001191105 835 90464 SH SOLE 0 0 90464 II SELECT SECTOR SPDR TR SBI CONS 81369Y407 828 24796 SH SOLE 0 0 24796 DISCR HAWAIIAN ELEC COM 419870100 811 35966 SH SOLE 0 0 35966 INDUSTRIES GOLDMAN SACHS GROUP COM 38141G104 797 5510 SH SOLE 0 0 5510 INC HEWLETT PACKARD CO COM 428236103 795 18890 SH SOLE 0 0 18890 ISHARES TR BARCLYS 1- 464288646 785 7475 SH SOLE 0 0 7475 3YR CR CATERPILLAR INC DEL COM 149123101 781 9925 SH SOLE 0 0 9925 MERCK & CO INC NEW COM 58933Y105 774 21018 SH SOLE 0 0 21018 CONCEPTUS INC COM 206016107 749 54450 SH SOLE 0 0 54450 MARKET VECTORS ETF TR GOLD MINER 57060U100 748 13380 SH SOLE 0 0 13380 ETF SPDR SERIES TRUST BRCLYS YLD 78464A417 733 18324 SH SOLE 0 0 18324 ETF CUSHING MLP TOTAL COM SHS 231631102 729 86720 SH SOLE 0 0 86720 RETURN FD ALLIANCEBERNSTEIN COM 01881E101 726 86634 SH SOLE 0 0 86634 INCOME FUN BERKSHIRE HATHAWAY CL B NEW 084670702 716 8658 SH SOLE 0 0 8658 INC DEL CHIMERA INVT CORP COM 16934Q109 707 179095 SH SOLE 0 0 179095 MFS INTER INCOME TR SH BEN INT 55273C107 686 99630 SH SOLE 0 0 99630 ING CLARION GLB RE COM 44982G104 680 90072 SH SOLE 0 0 90072 EST INCM UNITED TECHNOLOGIES COM 913017109 679 9531 SH SOLE 0 0 9531 CORP LINN ENERGY LLC UNIT LTD 536020100 654 20475 SH SOLE 0 0 20475 LIAB ISHARES INC MSCI 464286400 643 8352 SH SOLE 0 0 8352 BRAZIL MCDONALDS CORP COM 580135101 643 8634 SH SOLE 0 0 8634 DU PONT E I DE COM 263534109 633 14176 SH SOLE 0 0 14176 NEMOURS & CO SPDR SERIES TRUST DJ SML 78464A201 604 6462 SH SOLE 0 0 6462 GRWTH ETF CONOCOPHILLIPS COM 20825C104 604 10518 SH SOLE 0 0 10518 BLACKROCK GLOBAL OPP COM 092501105 600 32553 SH SOLE 0 0 32553 EQTY TR SPDR S&P 500 ETF TR TR UNIT 78462F103 592 5185 SH SOLE 0 0 5185 BOEING CO COM 097023105 591 8878 SH SOLE 0 0 8878 ISHARES SILVER TRUST ISHARES 46428Q109 572 26830 SH SOLE 0 0 26830 WELLS FARGO & CO NEW COM 949746101 571 22733 SH SOLE 0 0 22733 FORD MTR CO DEL COM PAR 345370860 568 46430 SH SOLE 0 0 46430 $0.01 NEWMONT MINING CORP COM 651639106 557 8865 SH SOLE 0 0 8865 ISHARES TR FTSE XNHUA 464287184 553 12925 SH SOLE 0 0 12925 IDX VISA INC COM CL A 92826C839 550 7410 SH SOLE 0 0 7410 ZST DIGITAL NETWORKS COM NEW 98878T208 537 85972 SH SOLE 0 0 85972 INC WESTERN ASSET CLYM COM SH BEN 95766Q106 536 41501 SH SOLE 0 0 41501 INFL SEC INT FREEPORT-MCMORAN COM 35671D857 522 6110 SH SOLE 0 0 6110 COPPER & GO PUTNAM PREMIER INCOME SH BEN INT 746853100 515 75919 SH SOLE 0 0 75919 TR CENTRAL GOLDTRUST TR UNIT 153546106 493 9779 SH SOLE 0 0 9779 HONEYWELL INTL INC COM 438516106 490 11152 SH SOLE 0 0 11152 ISHARES TR RUSSELL 464287622 489 7740 SH SOLE 0 0 7740 1000 ARCH COAL INC COM 039380100 485 18145 SH SOLE 0 0 18145 EDISON INTL COM 281020107 480 13970 SH SOLE 0 0 13970 PROGRESS ENERGY INC COM 743263105 472 10623 SH SOLE 0 0 10623 HOME DEPOT INC COM 437076102 472 14896 SH SOLE 0 0 14896 EXELON CORP COM 30161N101 469 11026 SH SOLE 0 0 11026 ISHARES TR S&P NA 464287549 466 8515 SH SOLE 0 0 8515 TECH FD NEW AMER HIGH INCOME COM NEW 641876800 455 44958 SH SOLE 0 0 44958 FD INC POWERSHARES GLOBAL INSUR NATL 73936T474 446 18149 SH SOLE 0 0 18149 ETF TRUST MUN ISHARES TR HIGH YLD 464288513 444 4951 SH SOLE 0 0 4951 CORP ISHARES TR DJ US 464287796 443 13685 SH SOLE 0 0 13685 ENERGY 3M CO COM 88579Y101 440 5072 SH SOLE 0 0 5072 CVS CAREMARK COM 126650100 440 13969 SH SOLE 0 0 13969 CORPORATION ISHARES TR RUSSELL 464287473 436 10788 SH SOLE 0 0 10788 MCP VL KINDER MORGAN ENERGY UT LTD 494550106 435 6351 SH SOLE 0 0 6351 PARTNER PARTNER HELIOS TOTAL RETURN COM 42327V109 434 74826 SH SOLE 0 0 74826 FD INC ISHARES INC MSCI S 464286772 431 8053 SH SOLE 0 0 8053 KOREA DISNEY WALT CO COM DISNEY 254687106 431 13024 SH SOLE 0 0 13024 WALTER INVT MGMT CORP COM 93317W102 427 24440 SH SOLE 0 0 24440 ISHARES TR BARCLYS 7- 464287440 415 4187 SH SOLE 0 0 4187 10 YR ING GLOBAL EQTY DIV & COM 45684E107 410 35388 SH SOLE 0 0 35388 PREM O ISHARES TR BARCLYS 3- 464288661 404 3421 SH SOLE 801-71064 0 0 3421 7 YR ISHARES TR BARCLYS 1- 464287457 402 4759 SH SOLE 801-71064 0 0 4759 3 YR MARKET VECTORS ETF TR MKTVEC 57060U803 398 22461 SH SOLE 0 0 22461 SMUNETF PROVIDENT ENERGY TR TR UNIT 74386K104 398 56372 SH SOLE 0 0 56372 DANVERS BANCORP INC COM 236442109 395 25775 SH SOLE 0 0 25775 SCHLUMBERGER LTD COM 806857108 388 6294 SH SOLE 0 0 6294 MARKET VECTORS ETF TR CALL 57060U837 387 24000 SH CALL SOLE 0 0 24000 ISHARES TR NYSE COMP 464287143 386 5789 SH SOLE 0 0 5789 INDX PROSHARES TR PSHS ULT 74347R107 385 9789 SH SOLE 0 0 9789 S&P 500 INTERNATIONAL COM 459200101 383 2856 SH SOLE 0 0 2856 BUSINESS MACHS VALERO ENERGY CORP COM 91913Y100 383 21885 SH SOLE 0 0 21885 NEW KAYNE ANDERSON ENRGY COM 48660P104 381 14704 SH SOLE 0 0 14704 TTL RT BP PLC SPONSORED 055622104 372 9038 SH SOLE 0 0 9038 ADR RESEARCH IN MOTION COM 760975102 370 7596 SH SOLE 0 0 7596 LTD VANGUARD INDEX FDS GROWTH ETF 922908736 368 6691 SH SOLE 0 0 6691 ITT EDUCATIONAL COM 45068B109 364 5177 SH SOLE 0 0 5177 SERVICES INC ORACLE CORP COM 68389X105 363 13523 SH SOLE 0 0 13523 ISHARES TR DJ US REAL 464287739 362 6841 SH SOLE 0 0 6841 EST POWERSHARES QQQ TRUST UNIT SER 1 73935A104 362 7374 SH SOLE 0 0 7374 SPDR SERIES TRUST NUVN BRCLY 78464A458 362 15376 SH SOLE 0 0 15376 MUNI WELLS FARGO & CO NEW PERP PFD 949746804 361 359 SH SOLE 0 0 359 CNV A NETFLIX INC COM 64110L106 361 2228 SH SOLE 801-30582 0 0 2228 GOLD FIELDS LTD NEW SPONSORED 38059T106 360 23550 SH SOLE 0 0 23550 ADR PROSPECT CAPITAL COM 74348T102 356 36661 SH SOLE 0 0 36661 CORPORATION ISHARES INC MSCI HONG 464286871 353 19440 SH SOLE 0 0 19440 KONG INCYTE CORP COM 45337C102 353 22051 SH SOLE 0 0 22051 PIMCO HIGH INCOME FD COM SHS 722014107 352 27073 SH SOLE 0 0 27073 ALEXANDER & BALDWIN COM 014482103 351 10076 SH SOLE 0 0 10076 INC ISHARES TR MSCI EMERG 464287234 350 7825 SH SOLE 0 0 7825 MKT MORGAN STANLEY SHRT EUR 617480280 350 7900 SH SOLE 0 0 7900 ETN20 ALPINE TOTAL DYNAMIC COM SBI 021060108 350 64332 SH SOLE 0 0 64332 DIVID F WINDSTREAM CORP COM 97381W104 347 28216 SH SOLE 0 0 28216 VANGUARD INDEX FDS REIT ETF 922908553 341 6538 SH SOLE 0 0 6538 PIMCO INCOME STRATEGY COM 72201J104 337 33423 SH SOLE 0 0 33423 FUND I YONGYE INTL INC COM 98607B106 337 47785 SH SOLE 0 0 47785 ISHARES TR BARCLYS 464288588 336 3079 SH SOLE 0 0 3079 MBS BD VANGUARD INDEX FDS SMALL CP 922908751 333 5253 SH SOLE 0 0 5253 ETF CONSOLIDATED EDISON COM 209115104 333 6910 SH SOLE 0 0 6910 INC WAL MART STORES INC COM 931142103 331 6192 SH SOLE 0 0 6192 LILLY ELI & CO COM 532457108 329 8995 SH SOLE 0 0 8995 PROSHARES TR PSHS 74347R875 328 22373 SH SOLE 0 0 22373 ULTSHRT QQQ ENERPLUS RES FD UNIT TR G 29274D604 327 12690 SH SOLE 0 0 12690 NEW CENTRAL FD CDA LTD CL A 153501101 322 19375 SH SOLE 0 0 19375 DEVON ENERGY CORP NEW COM 25179M103 320 4949 SH SOLE 0 0 4949 V F CORP COM 918204108 316 3894 SH SOLE 0 0 3894 PENGROWTH ENERGY TR TR UNIT 706902509 316 28616 SH SOLE 0 0 28616 NEW EL PASO PIPELINE COM UNIT 283702108 314 9780 SH SOLE 0 0 9780 PARTNERS L LPI SELECT SECTOR SPDR TR SBI INT- 81369Y506 312 5564 SH SOLE 0 0 5564 ENERGY MEDICAL PPTYS TRUST COM 58463J304 310 30534 SH SOLE 0 0 30534 INC MARKWEST ENERGY UNIT LTD 570759100 301 8372 SH SOLE 0 0 8372 PARTNERS L P PARTN FRANCE TELECOM SPONSORED 35177Q105 293 13594 SH SOLE 801-24896 0 0 13594 ADR NAVIOS MARITIME UNIT LPI Y62267102 292 15742 SH SOLE 0 0 15742 PARTNERS L P PROSHARES TR ULTSHT OIL 74347X591 291 5150 SH SOLE 0 0 5150 NEW ISHARES TR JPMORGAN 464288281 290 2606 SH SOLE 0 0 2606 USD PFIZER INC COM 717081103 289 16821 SH SOLE 801-24896 0 0 16821 WEATHERFORD REG H27013103 288 16840 SH SOLE 0 0 16840 INTERNATIONAL LT SPDR S&P MIDCAP 400 UTSER1 78467Y107 287 1974 SH SOLE 0 0 1974 ETF TR S&PDCRP CHINA YUCHAI INTL LTD COM G21082105 287 15000 SH SOLE 0 0 15000 TELECOM ITALIA S P A SPON ADR 87927Y102 287 20621 SH SOLE 801-24896 0 0 20621 NEW ORD CENTURYLINK INC COM 156700106 285 7212 SH SOLE 0 0 7212 SPDR SERIES TRUST DJ SML 78464A300 282 4615 SH SOLE 0 0 4615 VALUE ETF SANOFI AVENTIS SPONSORED 80105N105 280 8410 SH SOLE 801-24896 0 0 8410 ADR OCCIDENTAL PETE CORP COM 674599105 279 3565 SH SOLE 0 0 3565 DEL CAMECO CORP COM 13321L108 277 10002 SH SOLE 0 0 10002 TEXAS INSTRS INC COM 882508104 277 10198 SH SOLE 0 0 10198 AMERICAN ELEC PWR INC COM 025537101 276 7622 SH SOLE 0 0 7622 BP PRUDHOE BAY RTY TR UNIT BEN 055630107 271 2619 SH SOLE 0 0 2619 INT KRAFT FOODS INC CL A 50075N104 271 8794 SH SOLE 0 0 8794 NIPPON TELEG & TEL SPONSORED 654624105 271 12350 SH SOLE 801-24896 0 0 12350 CORP ADR GMX RES INC COM 38011M108 271 55805 SH SOLE 0 0 55805 AIR PRODS & CHEMS INC COM 009158106 269 3245 SH SOLE 0 0 3245 BARRICK GOLD CORP COM 067901108 268 5799 SH SOLE 0 0 5799 GREENHAVEN CONT CMDTY UNIT BEN 395258106 267 9485 SH SOLE 0 0 9485 INDEX INT ISHARES TR NASDQ BIO 464287556 265 3072 SH SOLE 0 0 3072 INDX AMERICAN EXPRESS CO COM 025816109 262 6226 SH SOLE 0 0 6226 SELECT SECTOR SPDR TR SBI INT- 81369Y605 262 18261 SH SOLE 0 0 18261 FINL NUVEEN EQTY PRM COM 6706EM102 262 19832 SH SOLE 0 0 19832 OPPORTUNITYF UNITED STATES NATL UNIT 912318102 262 42428 SH SOLE 0 0 42428 GAS FUND QUALCOMM INC COM 747525103 261 5784 SH SOLE 0 0 5784 HCP INC COM 40414L109 259 7210 SH SOLE 0 0 7210 DUKE ENERGY CORP NEW COM 26441C105 259 14618 SH SOLE 0 0 14618 NATIONAL RETAIL COM 637417106 257 10223 SH SOLE 0 0 10223 PROPERTIES I POWERSHARES ETF TRUST WATER 73935X575 256 15498 SH SOLE 0 0 15498 RESOURCE PANERA BREAD CO CL A 69840W108 255 2876 SH SOLE 0 0 2876 ISHARES INC MSCI PAC J 464286665 255 5754 SH SOLE 0 0 5754 IDX ALCOA INC COM 013817101 255 21042 SH SOLE 0 0 21042 GLAXOSMITHKLINE PLC SPONSORED 37733W105 252 6380 SH SOLE 801-24896 0 0 6380 ADR IVANHOE MINES LTD COM 46579N103 251 10713 SH SOLE 0 0 10713 NUMEREX CORP PA CL A 67053A102 249 42237 SH SOLE 0 0 42237 CELGENE CORP COM 151020104 248 4311 SH SOLE 0 0 4311 ISHARES TR S&P GL 464288711 247 5467 SH SOLE 0 0 5467 UTILITI ISHARES TR S&P NA NAT 464287374 246 7090 SH SOLE 0 0 7090 RES TOTAL S A SPONSORED 89151E109 244 4731 SH SOLE 801-24896 0 0 4731 ADR ENI S P A SPONSORED 26874R108 244 5655 SH SOLE 801-24896 0 0 5655 ADR FOSTER WHEELER AG COM H27178104 242 9900 SH SOLE 0 0 9900 ISHARES TR DJ US TECH 464287721 241 4170 SH SOLE 0 0 4170 SEC GREEN MTN COFFEE COM 393122106 240 7700 SH SOLE 0 0 7700 ROASTERS IN PETROLEO BRASILEIRO SPONSORED 71654V408 238 6562 SH SOLE 0 0 6562 SA PETRO ADR NUVASIVE INC COM 670704105 238 6775 SH SOLE 0 0 6775 DCP MIDSTREAM COM UT LTD 23311P100 235 7016 SH SOLE 0 0 7016 PARTNERS LP PTN PENN WEST ENERGY TR TR UNIT 707885109 235 11699 SH SOLE 0 0 11699 COHEN & STEERS COM 19248A109 235 14777 SH SOLE 0 0 14777 INFRASTRUCTUR SUNOCO INC COM 86764P109 234 6416 SH SOLE 0 0 6416 PLAINS ALL AMERN UNIT LTD 726503105 233 3705 SH SOLE 0 0 3705 PIPELINE L PARTN AMERICA MOVIL SAB DE SPON ADR L 02364W105 233 4364 SH SOLE 0 0 4364 CV SHS WELLS FARGO ADVANTAGE COM SHS 94987D101 232 14455 SH SOLE 0 0 14455 MULTI XCEL ENERGY INC COM 98389B100 227 9871 SH SOLE 0 0 9871 FIRST TR NASDAQ100 SHS 337345102 226 10000 SH SOLE 0 0 10000 TECH INDE PRICELINE COM INC COM NEW 741503403 224 644 SH SOLE 801-30582 0 0 644 APACHE CORP COM 037411105 224 2287 SH SOLE 0 0 2287 TEVA PHARMACEUTICAL ADR 881624209 223 4224 SH SOLE 0 0 4224 INDS LTD ASTRAZENECA PLC SPONSORED 046353108 223 4390 SH SOLE 801-24896 0 0 4390 ADR DENDREON CORP COM 24823Q107 223 5415 SH SOLE 0 0 5415 ARMOUR RESIDENTIAL COM 042315101 223 31750 SH SOLE 0 0 31750 REIT INC WISDOMTREE TRUST INTL 97717W711 222 9253 SH SOLE 0 0 9253 ENERGY DUFF & PHELPS UTIL COM 26432K108 222 17344 SH SOLE 0 0 17344 CORP BD T RESOURCE CAP CORP COM 76120W302 222 35004 SH SOLE 0 0 35004 WISDOMTREE TRUST INTL 97717W778 221 4505 SH SOLE 0 0 4505 MIDCAP DV POWERSHARES GLOBAL SOVEREIGN 73936T573 221 7937 SH SOLE 0 0 7937 ETF TRUST DEBT DNP SELECT INCOME FD COM 23325P104 220 22380 SH SOLE 0 0 22380 BLACKROCK DIVID COM 09250N107 220 22700 SH SOLE 0 0 22700 ACHIEVRS TM WISDOMTREE TR MID EAST 97717X305 219 13758 SH SOLE 0 0 13758 DIVD WESTERN ASSET CLYM COM 95766R104 219 17339 SH SOLE 0 0 17339 INFL OPP BOARDWALK PIPELINE UT LTD 096627104 216 6624 SH SOLE 0 0 6624 PARTNERS PARTNER NUVEEN PERFORMANCE COM 67062P108 216 14078 SH SOLE 0 0 14078 PLUS MUN ISHARES INC MSCI 464286830 216 15713 SH SOLE 0 0 15713 MALAYSIA VANGUARD WORLD FDS INF TECH 92204A702 215 3858 SH SOLE 0 0 3858 ETF GOLDCORP INC NEW COM 380956409 214 4916 SH SOLE 0 0 4916 BUCKEYE PARTNERS L P UNIT LTD 118230101 213 3357 SH SOLE 0 0 3357 PARTN ISHARES INC MSCI 464286673 212 16029 SH SOLE 0 0 16029 SINGAPORE EMERSON ELEC CO COM 291011104 211 4007 SH SOLE 0 0 4007 ISHARES TR S&P GBL 464287325 210 4156 SH SOLE 0 0 4156 HLTHCR HEINZ H J CO COM 423074103 210 4442 SH SOLE 0 0 4442 CHESAPEAKE ENERGY COM 165167107 210 9293 SH SOLE 0 0 9293 CORP HEALTH CARE REIT INC COM 42217K106 209 4410 SH SOLE 0 0 4410 ISHARES TR RESIDENT 464288562 209 5590 SH SOLE 0 0 5590 PLS CAP GABELLI GLB GLD NAT COM SHS BN 36244N109 209 11961 SH SOLE 0 0 11961 RES & IN INT FIFTH STREET FINANCE COM 31678A103 208 18655 SH SOLE 0 0 18655 CORP MESABI TR CTF BEN 590672101 207 5711 SH SOLE 801-30582 0 0 5711 INT WISDOMTREE TRUST INDIA 97717W422 207 7850 SH SOLE 0 0 7850 ERNGS FD CANON INC ADR 138006309 202 4324 SH SOLE 801-24896 0 0 4324 DOW CHEM CO COM 260543103 202 7358 SH SOLE 0 0 7358 COMMONWEALTH REIT COM SH BEN 203233101 202 7907 SH SOLE 0 0 7907 INT SELECT SECTOR SPDR TR SBI INT- 81369Y704 201 6434 SH SOLE 801-65018 0 0 6434 INDS AMERICAN WTR WKS CO COM 030420103 201 8650 SH SOLE 0 0 8650 INC NEW CALUMET SPECIALTY UT LTD 131476103 201 10203 SH SOLE 0 0 10203 PRODS PTNR PARTNER ISHARES TR RUSSELL 464287655 200 2965 SH SOLE 0 0 2965 2000 AP PHARMA INC COM NEW 00202J203 200 333930 SH SOLE 0 0 333930 PROSHARES TR PSHS 74347R628 199 10022 SH SOLE 0 0 10022 ULTSHT FINL ARM HLDGS PLC SPONSORED 042068106 198 10547 SH SOLE 801-30582 74 0 10474 ADR BANCROFT FUND LTD COM 059695106 197 12121 SH SOLE 0 0 12121 TICC CAPITAL CORP COM 87244T109 193 18656 SH SOLE 801-30582 0 0 18656 ERICSSON L M TEL CO ADR B SEK 294821608 192 17475 SH SOLE 801-24896 0 0 17475 10 ARES CAP CORP COM 04010L103 190 12165 SH SOLE 0 0 12165 ZIOPHARM ONCOLOGY INC COM 98973P101 189 50300 SH SOLE 0 0 50300 EATON VANCE LTD DUR COM 27828H105 186 11301 SH SOLE 0 0 11301 INCOME F PUTNAM MANAGED MUN COM 746823103 185 23754 SH SOLE 0 0 23754 INCOM TR ANWORTH MORTGAGE COM 037347101 183 25625 SH SOLE 0 0 25625 ASSET CP SPRINT NEXTEL CORP COM SER 1 852061100 181 39000 SH SOLE 0 0 39000 HIGHLAND CR COM 43005Q107 178 24282 SH SOLE 0 0 24282 STRATEGIES FD HANCOCK JOHN PFD COM 41021P103 177 10150 SH SOLE 0 0 10150 INCOME FD I BLACKROCK MUNIYIELD COM 09254F100 177 11604 SH SOLE 0 0 11604 QUALITY FIRST TR EXCHANGE NAS CLNEDG 33733E500 175 11490 SH SOLE 0 0 11490 TRADED FD GREEN BLACKROCK INSD MUN COM 092479104 174 11845 SH SOLE 0 0 11845 INCOME TR WHITESTONE REIT CL B SBI 966084204 174 14549 SH SOLE 0 0 14549 INTEGRATED SILICON COM 45812P107 173 20131 SH SOLE 801-30582 0 0 20131 SOLUTION PURECYCLE CORP COM NEW 746228303 173 61790 SH SOLE 0 0 61790 PEOPLES UNITED COM 712704105 170 13008 SH SOLE 0 0 13008 FINANCIAL INC ZWEIG TOTAL RETURN FD COM 989837109 170 44568 SH SOLE 0 0 44568 INC POWERSHARES GLOBAL AGG PFD 73936T565 165 11433 SH SOLE 0 0 11433 ETF TRUST PORT PORTUGAL TELECOM SGPS SPONSORED 737273102 164 12366 SH SOLE 801-24896 0 0 12366 S A ADR B & G FOODS INC NEW COM 05508R106 164 15040 SH SOLE 0 0 15040 DELL INC COM 24702R101 160 12365 SH SOLE 801-24896 0 0 12365 RAILAMERICA INC COM 750753402 159 16552 SH SOLE 0 0 16552 NUVEEN MULTI STRAT COM 67073B106 159 19000 SH SOLE 0 0 19000 INC & GR DIREXION SHS ETF TR DLY FIN 25459W490 157 11726 SH SOLE 0 0 11726 BEAR NEW ABERDEEN ASIA PACIFIC COM 003009107 156 22425 SH SOLE 0 0 22425 INCOM WESTERN ASST MNG MUN COM 95766M105 155 11860 SH SOLE 0 0 11860 FD INC AGIC CONV & INCOME FD COM 001190107 155 15737 SH SOLE 0 0 15737 MFS CHARTER 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801-24896 0 0 16455 V REGISTRY MITSUBISHI UFJ FINL SPONSORED 606822104 126 27280 SH SOLE 801-24896 0 0 27280 GROUP IN ADR CLAYMORE EXCHANGE MAC GLOB 18383M621 125 14564 SH SOLE 0 0 14564 TRADED FD SOLAR SANDRIDGE ENERGY INC COM 80007P307 125 22011 SH SOLE 0 0 22011 ISHARES INC MSCI JAPAN 464286848 124 12517 SH SOLE 0 0 12517 MOTOROLA INC COM 620076109 124 14485 SH SOLE 801-24896 0 0 14485 CITIGROUP INC COM 172967101 124 31738 SH SOLE 801-24896 0 0 31738 ALCATEL-LUCENT SPONSORED 013904305 124 36667 SH SOLE 801-24896 0 0 36667 ADR AEGON N V NY 007924103 122 20356 SH SOLE 801-24896 0 0 20356 REGISTRY SH FULL CIRCLE CAP CORP COM 359671104 121 14000 SH SOLE 0 0 14000 AMERICA FIRST TAX EX BEN UNIT 02364V107 115 21250 SH SOLE 0 0 21250 IVS L P CTF XEROX CORP COM 984121103 112 10780 SH SOLE 801-24896 0 0 10780 MICRON TECHNOLOGY INC COM 595112103 112 15479 SH SOLE 0 0 15479 MANAGED HIGH YIELD COM 561911108 112 49633 SH SOLE 0 0 49633 PLUS FD I FORD MTR CO DEL *W EXP 345370134 109 25500 SH SOLE 0 0 25500 01/01/201 NOKIA CORP SPONSORED 654902204 108 10783 SH SOLE 801-24896 0 0 10783 ADR NEURALSTEM INC COM 64127R302 108 42701 SH SOLE 0 0 42701 STAAR SURGICAL CO COM PAR 852312305 106 19572 SH SOLE 0 0 19572 $0.01 BLUE CHIP VALUE FD COM 095333100 106 32246 SH SOLE 0 0 32246 INC ALASKA COMMUNICATIONS COM 01167P101 103 10150 SH SOLE 0 0 10150 SYS GR BLACKROCK HIGH INCOME SHS BEN 09250E107 102 47952 SH SOLE 0 0 47952 SHS INT BLACKROCK ENHANCED COM 09251A104 97 11593 SH SOLE 0 0 11593 DIV ACHV MIZUHO FINL GROUP INC SPONSORED 60687Y109 93 32325 SH SOLE 801-24896 0 0 32325 ADR GENERAL MOLY INC COM 370373102 92 25000 SH SOLE 0 0 25000 MOTOROLA INC COM 620076109 91 10620 SH SOLE 0 0 10620 BLACKROCK HIGH YIELD SH BEN INT 09248N102 90 13420 SH SOLE 0 0 13420 TR HESKA CORP COM 42805E207 89 198000 SH SOLE 0 0 198000 RESTRICTED BOSTON SCIENTIFIC COM 101137107 87 14180 SH SOLE 801-24896 0 0 14180 CORP SEQUENOM INC COM NEW 817337405 86 12200 SH SOLE 0 0 12200 ION GEOPHYSICAL CORP COM 462044108 85 16613 SH SOLE 0 0 16613 DRYSHIPS INC SHS Y2109Q101 83 17345 SH SOLE 0 0 17345 ING PRIME RATE TR SH BEN INT 44977W106 82 14291 SH SOLE 0 0 14291 MOLECULAR INSIGHT COM 60852M104 82 100250 SH SOLE 0 0 100250 PHARM INC EASTMAN KODAK CO COM 277461109 78 18500 SH SOLE 0 0 18500 HERSHA HOSPITALITY TR SH BEN INT 427825104 75 14550 SH SOLE 0 0 14550 A NOVAVAX INC COM 670002104 75 34287 SH SOLE 0 0 34287 STANDARD PAC CORP NEW COM 85375C101 73 18475 SH SOLE 0 0 18475 YUHE INTERNATIONAL COM 988432100 72 10347 SH SOLE 801-30582 0 0 10347 INC ATHERSYS INC COM 04744L106 72 23500 SH SOLE 0 0 23500 KINGSWAY FINL SVCS COM 496904103 72 45000 SH SOLE 0 0 45000 INC JACKSON HEWITT TAX COM 468202106 71 76744 SH SOLE 0 0 76744 SVCS INC RENN GLOBAL COM 759720105 69 36668 SH SOLE 0 0 36668 ENTREPENRS BIGBAND NETWORKS INC COM 089750509 67 23500 SH SOLE 0 0 23500 SIRIUS XM RADIO INC COM 82967N108 65 53850 SH SOLE 0 0 53850 FORTRESS INVESTMENT CL A 34958B106 64 17700 SH SOLE 0 0 17700 GROUP LL GABELLI CONV & INCOME CONV SECS 36240B109 61 10494 SH SOLE 0 0 10494 SECS F FD GENERAL STEEL COM 370853103 61 22377 SH SOLE 0 0 22377 HOLDINGS INC ZWEIG FD COM 989834106 55 17057 SH SOLE 0 0 17057 ORASURE TECHNOLOGIES COM 68554V108 52 12800 SH SOLE 0 0 12800 INC URANIUM RES INC COM PAR 916901507 47 37918 SH SOLE 0 0 37918 $0.001 METALICO INC COM 591176102 46 12037 SH SOLE 0 0 12037 MIZUHO FINL GROUP INC SPONSORED 60687Y109 46 16200 SH SOLE 0 0 16200 ADR CRYSTALLEX INTL CORP COM 22942F101 44 115000 SH SOLE 0 0 115000 CREDIT SUISSE HIGH SH BEN INT 22544F103 42 14500 SH SOLE 0 0 14500 YLD BND F JOES JEANS INC COM 47777N101 42 20000 SH SOLE 0 0 20000 LIME ENERGY CO COM NEW 53261U205 40 11113 SH SOLE 0 0 11113 AUTHENTEC INC COM 052660107 37 22200 SH SOLE 0 0 22200 CARDIUM THERAPEUTICS COM 141916106 36 63834 SH SOLE 0 0 63834 INC LEVEL 3 COM 52729N100 33 35491 SH SOLE 0 0 35491 COMMUNICATIONS INC DURECT CORP COM 266605104 30 11629 SH SOLE 0 0 11629 OCULUS INNOVATIVE COM 67575P108 30 19374 SH SOLE 0 0 19374 SCIENCES I TRIDENT MICROSYSTEMS COM 895919108 26 15000 SH SOLE 0 0 15000 INC GRUBB & ELLIS CO COM PAR 400095204 25 21000 SH SOLE 0 0 21000 $0.01 SULPHCO INC COM 865378103 25 70000 SH SOLE 0 0 70000 RELIV INTL INC COM 75952R100 22 10452 SH SOLE 0 0 10452 NIVS INTELLIMEDIA COM 62914U108 21 10000 SH SOLE 0 0 10000 TECH GP IN CATALYST PHARM COM 14888U101 19 17000 SH SOLE 0 0 17000 PARTNERS INC ON TRACK INNOVATION SHS M8791A109 17 10000 SH SOLE 0 0 10000 LTD SOUTH FINL GROUP INC COM 837841105 14 50000 SH SOLE 0 0 50000 YRC WORLDWIDE INC COM 984249102 13 52513 SH SOLE 0 0 52513 PARKERVISION INC COM 701354102 11 15000 SH SOLE 0 0 15000 TRANSOCEAN INC NOTE 893830AV1 10 10000 PRN SOLE 0 0 10000 1.500%12/1 GOODRICH PETE CORP NOTE 382410AC2 9 10000 PRN SOLE 0 0 10000 5.000%10/0 OILSANDS QUEST INC COM 678046103 9 17000 SH SOLE 0 0 17000 CONVERTED ORGANICS COM 21254S107 6 15000 SH SOLE 0 0 15000 INC
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