0000910472-11-002304.txt : 20111117 0000910472-11-002304.hdr.sgml : 20111117 20111117094335 ACCESSION NUMBER: 0000910472-11-002304 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111117 DATE AS OF CHANGE: 20111117 EFFECTIVENESS DATE: 20111117 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: 111211924 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 nam13fq32011.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, 2011 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 4[th] Avenue, Suite 3750 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 11/15/2011 [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 801-34611 Federated 801-24133 Forward Asset Management 801-71064 Good Harbor 801-61113 Main Management 801-27828 Pacific Income Advisors 801-68580 SFE Investments 801-57131 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: 31 Form 13F Information Table Entry Total: 360 Form 13F Information Table Value Total: 159,277 (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 18 801-14172 Advisory Research, Inc. 19 801-65018 Ascentia Wealth Management 20 801-68620 Emerald Asset Advisors 21 801-34611 Federated 22 801-24133 Forward Asset Management 23 801-71064 Good Harbor 24 801-61113 Main Management 25 801-27828 Pacific Income Advisors 26 801-68580 SFE Investments 27 801-57131 Sound Asset Management 28 801-42549 Tom Johnson Investment Management, Inc. 29 801-65208 Tradewinds Global Investors, LLC 30 801-46131 Wentworth, Hauser & Violich, Inc. 31 801-46248 Wood Asset Management, Inc. [Repeat as necessary.]

Name Of Issuer Title Of Cusip Market SHRS SH PUT Investment Other Sole Shared None Class Value OR PRN PRN CALL Discretion Managers AMT APPLE INC COM 037833100 6286 16486 SH SOLE 0 0 16486 COMPANIA DE MINAS SPONSORED 204448104 5557 147246 SH SOLE 0 0 147246 BUENAVENTU ADR PROSHARES TR PSHS ULSHT 74347R883 3375 132393 SH SOLE 0 0 132393 SP500 ISHARES TR BARCLYS 464287176 2994 26193 SH SOLE 0 0 26193 TIPS BD JOHNSON & JOHNSON COM 478160104 2742 43057 SH SOLE 0 0 43057 AT&T INC COM 00206R102 2669 93588 SH SOLE 0 0 93588 ISHARES TR BARCLYS 1- 464287457 2231 26385 SH SOLE 0 0 26385 3 YR CHEVRON CORP NEW COM 166764100 2167 23402 SH SOLE 0 0 23402 VERIZON COM 92343V104 2166 58855 SH SOLE 0 0 58855 COMMUNICATIONS INC SPDR GOLD TRUST GOLD SHS 78463V107 1804 11415 SH SOLE 0 0 11415 ISHARES TR BARCLYS 3- 464288661 1796 14782 SH SOLE 801-71064 0 0 14782 7 YR INTEROIL CORP COM 460951106 1789 36680 SH SOLE 0 0 36680 ISHARES TR BARCLYS 1- 464287457 1772 20953 SH SOLE 801-71064 0 0 20953 3 YR GENERAL ELECTRIC CO COM 369604103 1733 113879 SH SOLE 0 0 113879 PROSHARES TR ULTR 7-10 74347R180 1715 16381 SH SOLE 801-71064 0 0 16381 TREA FX ENERGY INC COM 302695101 1610 389718 SH SOLE 0 0 389718 ISHARES TR US PFD STK 464288687 1532 43023 SH SOLE 0 0 43023 IDX PROCTER & GAMBLE CO COM 742718109 1476 23363 SH SOLE 0 0 23363 COCA COLA CO COM 191216100 1449 21449 SH SOLE 0 0 21449 ENTERPRISE PRODS COM 293792107 1393 34703 SH SOLE 0 0 34703 PARTNERS L EATON VANCE TAX COM 27829F108 1353 169080 SH SOLE 0 0 169080 MNGD GBL DV EXXON MOBIL CORP COM 30231G102 1352 18609 SH SOLE 0 0 18609 MCDONALDS CORP COM 580135101 1260 14348 SH SOLE 0 0 14348 SPDR SERIES TRUST S&P DIVID 78464A763 1247 25675 SH SOLE 0 0 25675 ETF NEXXUS LIGHTING INC COM 65338E105 1169 859400 SH SOLE 0 0 859400 ALTRIA GROUP INC COM 02209S103 1148 42826 SH SOLE 0 0 42826 MICROSOFT CORP COM 594918104 1138 45724 SH SOLE 0 0 45724 PHILIP MORRIS INTL COM 718172109 1098 17594 SH SOLE 0 0 17594 INC ARMOUR RESIDENTIAL COM 042315101 1070 157402 SH SOLE 0 0 157402 REIT INC BRISTOL MYERS COM 110122108 1044 33256 SH SOLE 0 0 33256 SQUIBB CO SELECT SECTOR SPDR SBI INT- 81369Y886 1025 30482 SH SOLE 0 0 30482 TR UTILS PUBLIC SVC COM 744573106 1022 30625 SH SOLE 0 0 30625 ENTERPRISE GROUP PROSHARES TR PSHS ULTSH 74347R297 997 51261 SH SOLE 0 0 51261 20YRS ISHARES TR IBOXX INV 464287242 970 8640 SH SOLE 0 0 8640 CPBD JPMORGAN CHASE & CO COM 46625H100 958 31795 SH SOLE 0 0 31795 PROSHARES TR ULTR 7-10 74347R180 957 9140 SH SOLE 0 0 9140 TREA NUVEEN BUILD AMER COM 67074C103 945 47360 SH SOLE 0 0 47360 BD FD INTEL CORP COM 458140100 939 43991 SH SOLE 0 0 43991 BANK HAWAII CORP COM 062540109 900 24725 SH SOLE 0 0 24725 KINDER MORGAN UT LTD 494550106 889 13007 SH SOLE 0 0 13007 ENERGY PARTNER PARTNER LILLY ELI & CO COM 532457108 886 23976 SH SOLE 0 0 23976 PFIZER INC COM 717081103 854 48306 SH SOLE 0 0 48306 PEPSICO INC COM 713448108 850 13725 SH SOLE 0 0 13725 CISCO SYS INC COM 17275R102 847 54661 SH SOLE 0 0 54661 ISHARES GOLD TRUST ISHARES 464285105 844 53331 SH SOLE 0 0 53331 ISHARES TR S&P SMLCP 464287887 839 13022 SH SOLE 0 0 13022 GROW ANNALY CAP MGMT INC COM 035710409 821 49383 SH SOLE 0 0 49383 AG MTG INVT TR INC COM 001228105 804 43010 SH SOLE 0 0 43010 CONOCOPHILLIPS COM 20825C104 781 12332 SH SOLE 0 0 12332 ALLIANCEBERNSTEIN COM 01881E101 776 97428 SH SOLE 0 0 97428 INCOME FUN ISHARES TR BARCLYS 3- 464288661 746 6140 SH SOLE 0 0 6140 7 YR ISHARES TR BARCLY 464287226 746 6774 SH SOLE 0 0 6774 USAGG B CATERPILLAR INC DEL COM 149123101 729 9874 SH SOLE 0 0 9874 FIFTH STREET COM 31678A103 725 77829 SH SOLE 0 0 77829 FINANCE CORP HEALTH CARE REIT COM 42217K106 719 15372 SH SOLE 0 0 15372 INC ISHARES TR HIGH YLD 464288513 718 8674 SH SOLE 0 0 8674 CORP GABELLI GLB GLD NAT COM SHS BN 36244N109 711 49714 SH SOLE 0 0 49714 RES & IN INT BOEING CO COM 097023105 695 11480 SH SOLE 0 0 11480 SPDR SERIES TRUST S&P 600 78464A201 691 7102 SH SOLE 0 0 7102 SMCP GRW ISHARES TR BARCLYS SH 464288679 652 5913 SH SOLE 0 0 5913 TREA CHUBB CORP COM 171232101 646 10762 SH SOLE 0 0 10762 AMERICAN CAPITAL COM 02503X105 626 23111 SH SOLE 0 0 23111 AGENCY CORP DU PONT E I DE COM 263534109 615 15398 SH SOLE 0 0 15398 NEMOURS & CO CENTRAL FD CDA LTD CL A 153501101 615 29739 SH SOLE 0 0 29739 CBRE CLARION GLOBAL COM 12504G100 605 90372 SH SOLE 0 0 90372 REAL EST ISHARES TR RESIDENT 464288562 603 15540 SH SOLE 0 0 15540 PLS CAP PROSHARES TR PSHS ULT 74347R107 600 15802 SH SOLE 0 0 15802 S&P 500 EL PASO PIPELINE COM UNIT 283702108 589 16595 SH SOLE 0 0 16595 PARTNERS L LPI PROSPECT CAPITAL COM 74348T102 582 69206 SH SOLE 0 0 69206 CORPORATION GOOGLE INC CL A 38259P508 569 1105 SH SOLE 0 0 1105 MFS INTER INCOME TR SH BEN INT 55273C107 567 94464 SH SOLE 0 0 94464 UNITED TECHNOLOGIES COM 913017109 533 7581 SH SOLE 0 0 7581 CORP AMAZON COM INC COM 023135106 532 2462 SH SOLE 0 0 2462 SPDR S&P 500 ETF TR TR UNIT 78462F103 522 4612 SH SOLE 0 0 4612 ISHARES TR DJ SEL DIV 464287168 513 10635 SH SOLE 0 0 10635 INX NEW AMER HIGH COM NEW 641876800 504 55780 SH SOLE 0 0 55780 INCOME FD INC HANCOCK JOHN COM SH BEN 41013T105 502 42069 SH SOLE 0 0 42069 PREMUIM DIV FD INT INTERNATIONAL COM 459200101 501 2862 SH SOLE 0 0 2862 BUSINESS MACHS DUKE ENERGY CORP COM 26441C105 500 24997 SH SOLE 0 0 24997 NEW MORGAN STANLEY SHRT EUR 617480280 492 11400 SH SOLE 0 0 11400 ETN20 PROSHARES TR PSHS 74347R867 484 23755 SH SOLE 0 0 23755 ULTASH DW30 SELECT SECTOR SPDR TECHNOLOGY 81369Y803 479 20276 SH SOLE 801-65018 0 0 20276 TR WELLS FARGO & CO PERP PFD 949746804 472 457 SH SOLE 0 0 457 NEW CNV A EXELON CORP COM 30161N101 468 10993 SH SOLE 0 0 10993 MERCK & CO INC NEW COM 58933Y105 462 14116 SH SOLE 0 0 14116 PIMCO INCOME COM 72201J104 462 52638 SH SOLE 0 0 52638 STRATEGY FUND I ISHARES TR DJ US 464287796 455 13429 SH SOLE 0 0 13429 ENERGY ISHARES TR COHEN&ST 464287564 454 7396 SH SOLE 0 0 7396 RLTY HOME DEPOT INC COM 437076102 449 13658 SH SOLE 0 0 13658 CLAYMORE EXCHANGE GUG MULTI 18383M506 445 23803 SH SOLE 0 0 23803 TRD FD TR ASSET CHIMERA INVT CORP COM 16934Q109 442 159393 SH SOLE 0 0 159393 POWERSHARES QQQ UNIT SER 1 73935A104 437 8327 SH SOLE 0 0 8327 TRUST HONEYWELL INTL INC COM 438516106 437 9957 SH SOLE 0 0 9957 ISHARES TR BARCLYS 1- 464288646 432 4159 SH SOLE 0 0 4159 3YR CR ADVENT CLAYMORE CV COM 00764C109 431 29753 SH SOLE 0 0 29753 SECS & IN VENTRUS BIOSCIENCES COM 922822101 427 47253 SH SOLE 0 0 47253 INC SELECT SECTOR SPDR SBI INT- 81369Y506 424 7255 SH SOLE 0 0 7255 TR ENERGY ISHARES SILVER ISHARES 46428Q109 424 14655 SH SOLE 0 0 14655 TRUST SPDR SERIES TRUST BRCLYS YLD 78464A417 423 11700 SH SOLE 0 0 11700 ETF CONSOLIDATED EDISON COM 209115104 422 7398 SH SOLE 0 0 7398 INC WELLS FARGO & CO COM 949746101 419 17383 SH SOLE 0 0 17383 NEW HAWAIIAN ELEC COM 419870100 413 17025 SH SOLE 0 0 17025 INDUSTRIES VANGUARD INDEX FDS GROWTH ETF 922908736 412 7370 SH SOLE 0 0 7370 RMR REAL ESTATE COM SHS 74964K609 403 14952 SH SOLE 0 0 14952 INCOME FD TIVO INC COM 888706108 403 43100 SH SOLE 0 0 43100 ISHARES TR S&P NA 464287549 399 7205 SH SOLE 0 0 7205 TECH FD VANGUARD INDEX FDS REIT ETF 922908553 392 7711 SH SOLE 0 0 7711 COHEN & STEERS COM 19248A109 391 25092 SH SOLE 0 0 25092 INFRASTRUCTUR BERKSHIRE HATHAWAY CL B NEW 084670702 390 5485 SH SOLE 0 0 5485 INC DEL SPDR SERIES TRUST S&P 600 78464A300 380 6695 SH SOLE 0 0 6695 SMCP VAL POWERSHARES GLOBAL SOVEREIGN 73936T573 378 14470 SH SOLE 0 0 14470 ETF TRUST DEBT TITANIUM METALS COM NEW 888339207 374 24950 SH SOLE 0 0 24950 CORP ISHARES TR S&P MIDCP 464287705 369 5590 SH SOLE 0 0 5590 VALU CUSHING MLP TOTAL COM SHS 231631102 367 41955 SH SOLE 0 0 41955 RETURN FD PROSHARES TR BASIC MAT 74347X617 362 12818 SH SOLE 0 0 12818 NEW ISHARES TR MSCI EMERG 464287234 360 10253 SH SOLE 0 0 10253 MKT ISHARES TR S&P MIDCAP 464287507 359 4598 SH SOLE 0 0 4598 400 VANGUARD INDEX FDS SMALL CP 922908751 358 5841 SH SOLE 0 0 5841 ETF PUTNAM MANAGED MUN COM 746823103 353 47482 SH SOLE 0 0 47482 INCOM TR WINDSTREAM CORP COM 97381W104 352 30254 SH SOLE 0 0 30254 ISHARES TR S&P GBL 464287275 351 6470 SH SOLE 0 0 6470 TELCM CITIGROUP INC COM NEW 172967424 348 13574 SH SOLE 0 0 13574 PROSHARES TR ULTSHT OIL 74347X591 345 8725 SH SOLE 0 0 8725 NEW ISHARES TR FTSE 464287184 343 11120 SH SOLE 0 0 11120 CHINA25 IDX PROSHARES TR II ULTRASHRT 74347W882 343 17796 SH SOLE 801-65018 0 0 17796 EURO ISHARES TR S&P500 GRW 464287309 342 5580 SH SOLE 0 0 5580 ISHARES TR S&P 500 464287408 342 6635 SH SOLE 0 0 6635 VALUE MARKET VECTORS ETF MV ENVIR 57060U209 341 7512 SH SOLE 0 0 7512 TR SVCS PLAINS ALL AMERN UNIT LTD 726503105 340 5779 SH SOLE 0 0 5779 PIPELINE L PARTN FIRST TR EXCHANGE NY ARCA 33733E203 340 10290 SH SOLE 0 0 10290 TRADED FD BIOTECH YONGYE INTL INC COM 98607B106 340 75645 SH SOLE 0 0 75645 LAS VEGAS SANDS COM 517834107 339 8848 SH SOLE 0 0 8848 CORP CLAYMORE EXCHANGE GUGGEN 18383M878 339 13610 SH SOLE 0 0 13610 TRD FD TR DEFN EQTY EDISON INTL COM 281020107 338 8830 SH SOLE 0 0 8830 ISHARES TR BARCLY 464287226 333 3021 SH SOLE 801-65018 0 0 3021 USAGG B ISHARES TR RUSSELL 464287473 331 8594 SH SOLE 0 0 8594 MCP VL FORD MTR CO DEL COM PAR 345370860 327 33860 SH SOLE 0 0 33860 $0.01 PROSHARES TR PSHS SHRT 74347R503 323 7010 SH SOLE 801-65018 0 0 7010 S&P500 MARKET VECTORS ETF GOLD MINER 57060U100 321 5810 SH SOLE 0 0 5810 TR ETF BUCKEYE PARTNERS L UNIT LTD 118230101 319 5102 SH SOLE 0 0 5102 P PARTN MOLYCORP INC DEL COM 608753109 318 9668 SH SOLE 0 0 9668 SALESFORCE COM INC COM 79466L302 316 2766 SH SOLE 0 0 2766 BROADCOM CORP CL A 111320107 315 9448 SH SOLE 0 0 9448 BLACKROCK GLOBAL COM 092501105 315 22330 SH SOLE 0 0 22330 OPP EQTY TR ISHARES TR JPMORGAN 464288281 314 2982 SH SOLE 801-65018 0 0 2982 USD ISHARES TR S&P SMLCP 464287879 312 5270 SH SOLE 0 0 5270 VALU FIRSTENERGY CORP COM 337932107 312 6957 SH SOLE 0 0 6957 ISHARES TR RUSSELL 464287622 311 4976 SH SOLE 0 0 4976 1000 SPDR SERIES TRUST BRCLYS CAP 78464A359 311 8739 SH SOLE 0 0 8739 CONV INVESCO MORTGAGE COM 46131B100 311 22037 SH SOLE 0 0 22037 CAPITAL INC ISHARES TR HIGH YLD 464288513 310 3746 SH SOLE 801-65018 0 0 3746 CORP RYDEX ETF TRUST S&PMC400 78355W601 310 4240 SH SOLE 0 0 4240 PURGR RYDEX ETF TRUST S&PSC600 78355W809 307 7110 SH SOLE 0 0 7110 PURGR ISHARES TR BARCLYS 464288588 306 2828 SH SOLE 0 0 2828 MBS BD E M C CORP MASS COM 268648102 306 14598 SH SOLE 0 0 14598 ARM HLDGS PLC SPONSORED 042068106 304 11914 SH SOLE 801-30582 72 0 11842 ADR VODAFONE GROUP PLC SPONS ADR 92857W209 303 11806 SH SOLE 0 0 11806 NEW NEW PERMIAN BASIN RTY UNIT BEN 714236106 303 14799 SH SOLE 0 0 14799 TR INT PROSHARES TR ULTSHT 74347X567 300 6605 SH SOLE 0 0 6605 CHINA 25 TRANSOCEAN LTD REG SHS H8817H100 299 6263 SH SOLE 0 0 6263 WASTE MGMT INC DEL COM 94106L109 299 9182 SH SOLE 0 0 9182 DIREXION SHS ETF TR DLY FIN 25459W144 298 4511 SH SOLE 0 0 4511 BEAR NEW CVS CAREMARK COM 126650100 298 8857 SH SOLE 0 0 8857 CORPORATION CENTURYLINK INC COM 156700106 298 9008 SH SOLE 0 0 9008 BP PLC SPONSORED 055622104 297 8246 SH SOLE 0 0 8246 ADR NUVASIVE INC COM 670704105 297 17400 SH SOLE 0 0 17400 FIRST TR VALUE LINE SHS 33734H106 296 20500 SH SOLE 0 0 20500 DIVID IN NUVEEN MUN HIGH COM 670682103 296 25614 SH SOLE 0 0 25614 INCOME OPP F BANK OF AMERICA COM 060505104 293 47824 SH SOLE 0 0 47824 CORPORATION ISHARES TR NYSE COMP 464287143 290 4583 SH SOLE 0 0 4583 INDX GMX RES INC COM 38011M108 290 127620 SH SOLE 0 0 127620 CHESAPEAKE ENERGY COM 165167107 288 11264 SH SOLE 0 0 11264 CORP GOLDMAN SACHS GROUP COM 38141G104 286 3026 SH SOLE 0 0 3026 INC PROSHARES TR PSHS 74347X237 286 5261 SH SOLE 0 0 5261 ULTSHRT QQQ PIMCO HIGH INCOME COM SHS 722014107 286 25134 SH SOLE 0 0 25134 FD FREEPORT-MCMORAN COM 35671D857 284 9312 SH SOLE 0 0 9312 COPPER & GO TELEFONICA S A SPONSORED 879382208 284 14840 SH SOLE 0 0 14840 ADR NIPPON TELEG & TEL SPONSORED 654624105 281 11735 SH SOLE 801-24896 0 0 11735 CORP ADR MARKET VECTORS ETF GOLD MINER 57060U100 280 5071 SH SOLE 801-65018 0 0 5071 TR ETF UNITED STATES NATL UNIT NEW 912318110 277 30741 SH SOLE 0 0 30741 GAS FUND W P CAREY & CO LLC COM 92930Y107 273 7500 SH SOLE 0 0 7500 UNITEDHEALTH GROUP COM 91324P102 272 5903 SH SOLE 0 0 5903 INC ISHARES TR DJ US REAL 464287739 269 5319 SH SOLE 0 0 5319 EST ENI S P A SPONSORED 26874R108 269 7660 SH SOLE 801-24896 0 0 7660 ADR VISA INC COM CL A 92826C839 266 3102 SH SOLE 0 0 3102 ISHARES TR S&P NA NAT 464287374 266 7943 SH SOLE 0 0 7943 RES MEDICAL PPTYS TRUST COM 58463J304 266 29711 SH SOLE 0 0 29711 INC REYNOLDS AMERICAN COM 761713106 264 7043 SH SOLE 0 0 7043 INC WEATHERFORD REG SHS H27013103 263 21543 SH SOLE 0 0 21543 INTERNATIONAL LT NUVEEN EQTY PRM COM 6706EM102 263 24208 SH SOLE 0 0 24208 OPPORTUNITYF HELIOS TOTAL RETURN COM 42327V109 262 42323 SH SOLE 0 0 42323 FD INC ISHARES TR S&P MC 400 464287606 261 2902 SH SOLE 0 0 2902 GRW RYDEX ETF TRUST MATERIALS 78355W825 261 5320 SH SOLE 0 0 5320 ETF SENIOR HSG PPTYS TR SH BEN INT 81721M109 261 12130 SH SOLE 0 0 12130 ISHARES TR S&P LTN AM 464287390 260 6677 SH SOLE 0 0 6677 40 SELECT SECTOR SPDR SBI CONS 81369Y308 260 8759 SH SOLE 0 0 8759 TR STPLS POWERSHARES GLOBAL AGG PFD 73936T565 259 19104 SH SOLE 0 0 19104 ETF TRUST PORT DOLLAR TREE INC COM 256746108 256 3409 SH SOLE 0 0 3409 TOTAL S A SPONSORED 89151E109 255 5802 SH SOLE 0 0 5802 ADR PENN VA RESOURCES COM 707884102 255 10917 SH SOLE 0 0 10917 PARTNERS L XCEL ENERGY INC COM 98389B100 254 10288 SH SOLE 0 0 10288 CREE INC COM 225447101 253 9741 SH SOLE 0 0 9741 UNILEVER N V N Y SHS 904784709 251 7982 SH SOLE 801-24896 0 0 7982 NEW BP PRUDHOE BAY RTY UNIT BEN 055630107 249 2366 SH SOLE 0 0 2366 TR INT BAIDU INC SPON ADR 056752108 247 2072 SH SOLE 0 0 2072 REP A DEVON ENERGY CORP COM 25179M103 244 4396 SH SOLE 0 0 4396 NEW QUALCOMM INC COM 747525103 244 5026 SH SOLE 0 0 5026 MICROSOFT CORP COM 594918104 244 9822 SH SOLE 801-24896 0 0 9822 CAMECO CORP COM 13321L108 244 13311 SH SOLE 0 0 13311 POWERSHARES ETF WATER 73935X575 244 16208 SH SOLE 0 0 16208 TRUST RESOURCE TELECOM ITALIA S P SPON ADR 87927Y102 244 22611 SH SOLE 801-24896 0 0 22611 A NEW ORD TOTAL S A SPONSORED 89151E109 243 5531 SH SOLE 801-24896 0 0 5531 ADR COSTCO WHSL CORP COM 22160K105 241 2936 SH SOLE 0 0 2936 NEW SANOFI SPONSORED 80105N105 241 7355 SH SOLE 801-24896 0 0 7355 ADR BOARDWALK PIPELINE UT LTD 096627104 241 9388 SH SOLE 0 0 9388 PARTNERS PARTNER MONSANTO CO NEW COM 61166W101 239 3983 SH SOLE 0 0 3983 TWO HBRS INVT CORP COM 90187B101 237 26855 SH SOLE 0 0 26855 WESTERN ASSET CLYM COM 95766R104 236 18669 SH SOLE 0 0 18669 INFL OPP AMERICAN TOWER CORP CL A 029912201 235 4363 SH SOLE 0 0 4363 POLYPORE INTL INC COM 73179V103 234 4138 SH SOLE 801-30582 0 0 4138 PROVIDENT ENERGY COM 74386V100 234 28715 SH SOLE 0 0 28715 LTD NEW CLEAN HARBORS INC COM 184496107 233 4542 SH SOLE 801-30582 0 0 4542 PRICELINE COM INC COM NEW 741503403 229 489 SH SOLE 0 0 489 ISHARES TR RUSSELL 464287655 229 3559 SH SOLE 0 0 3559 2000 FIRST CASH FINL COM 31942D107 228 5432 SH SOLE 801-30582 0 0 5432 SVCS INC ARM HLDGS PLC SPONSORED 042068106 225 8842 SH SOLE 0 0 8842 ADR BLACKROCK COM 09253N104 225 14000 SH SOLE 0 0 14000 MUNIHOLDINGS FD IN DIAMOND FOODS INC COM 252603105 224 2806 SH SOLE 801-30582 0 0 2806 GLAXOSMITHKLINE PLC SPONSORED 37733W105 223 5390 SH SOLE 801-24896 0 0 5390 ADR FRANCE TELECOM SPONSORED 35177Q105 223 13599 SH SOLE 801-24896 0 0 13599 ADR HEINZ H J CO COM 423074103 220 4356 SH SOLE 0 0 4356 KRAFT FOODS INC CL A 50075N104 220 6540 SH SOLE 0 0 6540 CHIPOTLE MEXICAN COM 169656105 219 722 SH SOLE 0 0 722 GRILL INC HECLA MNG CO COM 422704106 219 40798 SH SOLE 0 0 40798 UNION PAC CORP COM 907818108 217 2655 SH SOLE 0 0 2655 ALEXION COM 015351109 217 3388 SH SOLE 0 0 3388 PHARMACEUTICALS INC CELGENE CORP COM 151020104 217 3510 SH SOLE 0 0 3510 TIM HORTONS INC COM 88706M103 217 4682 SH SOLE 801-30582 0 0 4682 HALLIBURTON CO COM 406216101 217 7099 SH SOLE 0 0 7099 RENN GLOBAL COM 759720105 215 132713 SH SOLE 0 0 132713 ENTREPENRS EMERSON ELEC CO COM 291011104 213 5151 SH SOLE 0 0 5151 POWERSHS DB US DOLL INDX 73936D107 212 9500 SH SOLE 0 0 9500 DOLLAR INDEX BULL NATIONAL RETAIL COM 637417106 211 7866 SH SOLE 0 0 7866 PROPERTIES I SPDR DOW JONES INDL UT SER 1 78467X109 210 1929 SH SOLE 0 0 1929 AVRG ETF SILVER WHEATON CORP COM 828336107 210 7115 SH SOLE 0 0 7115 FIRST TR EXCHANGE DJ INTERNT 33733E302 209 7120 SH SOLE 0 0 7120 TRADED FD IDX YUM BRANDS INC COM 988498101 208 4211 SH SOLE 0 0 4211 WHOLE FOODS MKT INC COM 966837106 206 3149 SH SOLE 0 0 3149 UNITED STATES OIL UNITS 91232N108 206 6765 SH SOLE 0 0 6765 FUND LP MARKET VECTORS ETF EM LC CURR 57060U522 206 8359 SH SOLE 0 0 8359 TR DBT AMERICA MOVIL SAB SPON ADR L 02364W105 204 9251 SH SOLE 0 0 9251 DE CV SHS SPDR SERIES TRUST DB INT GVT 78464A490 203 3542 SH SOLE 0 0 3542 ETF ISHARES TR S&P GBL 464287325 203 3901 SH SOLE 0 0 3901 HLTHCR ISHARES TR MSCI EAFE 464287465 203 4245 SH SOLE 0 0 4245 INDEX KENNAMETAL INC COM 489170100 201 6145 SH SOLE 0 0 6145 ROYAL DUTCH SHELL SPON ADR B 780259107 200 3220 SH SOLE 0 0 3220 PLC LINN ENERGY LLC UNIT LTD 536020100 200 5596 SH SOLE 0 0 5596 LIAB WHITESTONE REIT CL B SBI 966084204 200 17957 SH SOLE 0 0 17957 NUVEEN MULTI STRAT COM 67073B106 200 26633 SH SOLE 0 0 26633 INC & GR B & G FOODS INC NEW COM 05508R106 191 11440 SH SOLE 0 0 11440 PFIZER INC COM 717081103 187 10601 SH SOLE 801-24896 0 0 10601 STRATASYS INC COM 862685104 185 10000 SH SOLE 0 0 10000 BANCROFT FUND LTD COM 059695106 177 11967 SH SOLE 0 0 11967 FRONTIER COM 35906A108 173 28259 SH SOLE 0 0 28259 COMMUNICATIONS CORP PENGROWTH ENERGY COM 70706P104 171 19014 SH SOLE 0 0 19014 CORP DEAN FOODS CO NEW COM 242370104 171 19300 SH SOLE 0 0 19300 POWERSHARES ETF FINL PFD 73935X229 169 10485 SH SOLE 0 0 10485 TRUST PTFL INVESCO QUALITY COM 46133G107 165 12874 SH SOLE 0 0 12874 MUNI INC TRS HANCOCK JOHN PFD COM 41021P103 164 10150 SH SOLE 0 0 10150 INCOME FD I GOLD FIELDS LTD NEW SPONSORED 38059T106 163 10650 SH SOLE 0 0 10650 ADR MORGAN STANLEY EM COM 617477104 160 11063 SH SOLE 0 0 11063 MKTS DM DE ISHARES INC MSCI HONG 464286871 160 11179 SH SOLE 0 0 11179 KONG ALASKA COM 01167P101 155 23610 SH SOLE 0 0 23610 COMMUNICATIONS SYS GR INCYTE CORP COM 45337C102 153 10926 SH SOLE 0 0 10926 GRAFTECH INTL LTD COM 384313102 153 12056 SH SOLE 0 0 12056 OVERSEAS COM 690368105 151 11000 SH SOLE 0 0 11000 SHIPHOLDING GROUP I TICC CAPITAL CORP COM 87244T109 150 18359 SH SOLE 801-30582 0 0 18359 ZST DIGITAL COM NEW 98878T208 144 90574 SH SOLE 0 0 90574 NETWORKS INC NEW YORK MTG TR INC COM PAR 649604501 143 20500 SH SOLE 0 0 20500 $.02 NUMEREX CORP PA CL A 67053A102 137 24709 SH SOLE 0 0 24709 CLAYMORE EXCHANGE GUGG SOLAR 18383M621 137 42289 SH SOLE 0 0 42289 TRD FD TR ETF BLACKROCK EQUITY COM 09250N107 136 15650 SH SOLE 0 0 15650 DIV TRUST MADISON CLAYMORE COM 556582104 136 19101 SH SOLE 0 0 19101 CALL &EQTY ALLIANCEBERNSTEIN COM 01879R106 135 10348 SH SOLE 0 0 10348 GBL HGH IN TWO HBRS INVT CORP COM 90187B101 133 15066 SH SOLE 801-30582 0 0 15066 SIGA TECHNOLOGIES COM 826917106 128 39125 SH SOLE 0 0 39125 INC ZAGG INC COM 98884U108 126 12741 SH SOLE 801-30582 0 0 12741 ERICSSON L M TEL CO ADR B SEK 294821608 123 12890 SH SOLE 801-24896 0 0 12890 10 MITSUBISHI UFJ FINL SPONSORED 606822104 123 27580 SH SOLE 801-24896 0 0 27580 GROUP IN ADR NUVEEN EQUITY PREM COM 6706EW100 122 10605 SH SOLE 0 0 10605 & GROWTH PIMCO STRATEGIC GBL COM 72200X104 119 11106 SH SOLE 0 0 11106 GOV FD I SCHWAB CHARLES CORP COM 808513105 118 10498 SH SOLE 0 0 10498 NEW FIRST TR EXCHANGE NAS CLNEDG 33733E500 117 11440 SH SOLE 0 0 11440 TRADED FD GREEN STMICROELECTRONICS NY 861012102 116 17800 SH SOLE 801-24896 0 0 17800 N V REGISTRY AMARIN CORP PLC SPONS ADR 023111206 115 12500 SH SOLE 0 0 12500 NEW ALCOA INC COM 013817101 109 11375 SH SOLE 0 0 11375 CAPITAL SR LIVING COM 140475104 107 17271 SH SOLE 801-30582 0 0 17271 CORP SUMITOMO MITSUI SPONSORED 86562M209 106 19440 SH SOLE 801-24896 0 0 19440 FINL GROUP I ADR QIAO XING UNVL SHS G7303A109 105 142367 SH SOLE 0 0 142367 RESOURCES INC ZWEIG TOTAL RETURN COM 989837109 103 34011 SH SOLE 0 0 34011 FD INC CLEARWIRE CORP NEW CL A 18538Q105 103 44100 SH SOLE 0 0 44100 ATMEL CORP COM 049513104 102 12606 SH SOLE 801-30582 0 0 12606 ALPINE TOTAL COM SBI 021060108 101 22450 SH SOLE 0 0 22450 DYNAMIC DIVID F TETRA TECHNOLOGIES COM 88162F105 99 12850 SH SOLE 0 0 12850 INC DEL FORD MTR CO DEL *W EXP 345370134 97 44000 SH SOLE 0 0 44000 01/01/201 LIBERTY ALL-STAR COM 529900102 95 26513 SH SOLE 0 0 26513 GROWTH FD I MIZUHO FINL GROUP SPONSORED 60687Y109 95 33445 SH SOLE 801-24896 0 0 33445 INC ADR OFFICEMAX INC DEL COM 67622P101 92 19000 SH SOLE 0 0 19000 CONCORD MED SVCS SPONSORED 206277105 91 28837 SH SOLE 0 0 28837 HLDGS LTD ADR PRGX GLOBAL INC COM NEW 69357C503 89 18926 SH SOLE 0 0 18926 PARK BANCORP INC COM 700164106 89 34353 SH SOLE 0 0 34353 WENDYS CO COM 95058W100 87 19004 SH SOLE 0 0 19004 PORTUGAL TELECOM SPONSORED 737273102 85 11691 SH SOLE 801-24896 0 0 11691 SGPS S A ADR BANK OF AMERICA COM 060505104 84 13741 SH SOLE 801-24896 0 0 13741 CORPORATION BOSTON SCIENTIFIC COM 101137107 84 14180 SH SOLE 801-24896 0 0 14180 CORP AEGON N V NY 007924103 83 20611 SH SOLE 801-24896 0 0 20611 REGISTRY SH ANWORTH MORTGAGE COM 037347101 82 12020 SH SOLE 0 0 12020 ASSET CP NEOSTEM INC COM NEW 640650305 81 125200 SH SOLE 0 0 125200 XEROX CORP COM 984121103 78 11250 SH SOLE 801-24896 0 0 11250 HIGHLAND CR COM 43005Q107 78 12533 SH SOLE 0 0 12533 STRATEGIES FD WINNER MEDICAL GRP COM NEW 97476P204 75 23775 SH SOLE 0 0 23775 INC AUTHENTEC INC COM 052660107 72 22000 SH SOLE 0 0 22000 SIRIUS XM RADIO INC COM 82967N108 72 47775 SH SOLE 0 0 47775 BLACKROCK SR HIGH COM 09255T109 70 19160 SH SOLE 0 0 19160 INCOME FD AK STL HLDG CORP COM 001547108 69 10500 SH SOLE 0 0 10500 BLACKROCK HIGH SH BEN INT 09248N102 69 11017 SH SOLE 0 0 11017 YIELD TR GABELLI CONV & CONV SECS 36240B109 66 12927 SH SOLE 0 0 12927 INCOME SECS F FD RESOURCE CAP CORP COM 76120W302 64 12755 SH SOLE 0 0 12755 NOKIA CORP SPONSORED 654902204 63 11068 SH SOLE 801-24896 0 0 11068 ADR SAVIENT COM 80517Q100 61 14900 SH SOLE 0 0 14900 PHARMACEUTICALS INC PARAMOUNT GOLD & COM 69924P102 61 25890 SH SOLE 0 0 25890 SILVER CORP SINOCOKING COAL & COM 829357102 59 18965 SH SOLE 0 0 18965 COKE CH IN MANAGED HIGH YIELD COM 561911108 57 29760 SH SOLE 0 0 29760 PLUS FD I OCULUS INNOVATIVE COM 67575P108 56 37200 SH SOLE 0 0 37200 SCIENCES I NOVAVAX INC COM 670002104 55 34681 SH SOLE 0 0 34681 URANIUM RES INC COM PAR 916901507 49 72300 SH SOLE 0 0 72300 $0.001 STANDARD PAC CORP COM 85375C101 44 18000 SH SOLE 0 0 18000 NEW DRYSHIPS INC SHS Y2109Q101 40 17029 SH SOLE 0 0 17029 LOCAL COM CORP COM 53954R105 36 15000 SH SOLE 0 0 15000 CEMEX SAB DE CV SPON ADR 151290889 34 10744 SH SOLE 0 0 10744 NEW NAVIOS MARITIME COM Y62196103 33 10400 SH SOLE 0 0 10400 HOLDINGS INC PURECYCLE CORP COM NEW 746228303 28 11500 SH SOLE 0 0 11500 NEURALSTEM INC COM 64127R302 28 21468 SH SOLE 0 0 21468 NEWTEK BUSINESS COM 652526104 27 19500 SH SOLE 0 0 19500 SVCS INC DENISON MINES CORP COM 248356107 27 25000 SH SOLE 0 0 25000 MOTRICITY INC COM 620107102 26 15368 SH SOLE 0 0 15368 DURECT CORP COM 266605104 21 12766 SH SOLE 0 0 12766 TRIDENT COM 895919108 21 40000 SH SOLE 0 0 40000 MICROSYSTEMS INC RELIV INTL INC COM 75952R100 16 10562 SH SOLE 0 0 10562 EASTMAN KODAK CO COM 277461109 14 17500 SH SOLE 0 0 17500 CARDIUM COM 141916106 12 76384 SH SOLE 0 0 76384 THERAPEUTICS INC GOODRICH PETE CORP NOTE 382410AC2 9 10000 PRN SOLE 0 0 10000 5.000%10/0 JOES JEANS INC COM 47777N101 9 15000 SH SOLE 0 0 15000 EMPIRE RESORTS INC COM 292052107 8 10500 SH SOLE 0 0 10500 NEOSTEM INC COM NEW 640650305 7 10000 SH SOLE 801-60453 10000 0 0 CHINA SHENGDA COM 16950V107 7 10550 SH SOLE 0 0 10550 PACKAGING GROU BIONOVO INC COM NEW 090643206 6 10000 SH SOLE 801-60453 10000 0 0 PACIFIC ETHANOL INC COM NEW 69423U206 5 15637 SH SOLE 0 0 15637 OILSANDS QUEST INC COM 678046103 4 17000 SH SOLE 0 0 17000 YRC WORLDWIDE INC COM NEW 984249300 2 41046 SH SOLE 0 0 41046