0000910472-12-003394.txt : 20121113 0000910472-12-003394.hdr.sgml : 20121112 20121113093216 ACCESSION NUMBER: 0000910472-12-003394 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 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: 121196295 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 f13fhr.txt 13F-HR 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, 2012 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: Vali Nasr Title: Chief Compliance Officer Phone: 949-873-0343 Signature, Place, and Date of Signing: Vali Nasr Aliso Viejo, CA 11/9/2012 [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 801-24896 Brandes Investment Partners, LP 801-60927 C.S. McKee, LP 801-28445 Clark Capital Management Group 801-23386 Congress Asset Management Company 801-9168 Contravisory Investment Management 801-54255 Dreman Value Management, LLC 801-34611 Federated Investment Counseling 801-60453 Hays Advisory 801-63047 Horizon Investment Services, LLC 801-67624 Institute for Wealth Management 801-30582 Navellier & Associates 801-68580 SFE Investment Counsel [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 432 Form 13F Information Table Value Total: 278,219 (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 1 801-71064 Good Harbor Financial, LLC [Repeat as necessary.]

Name Of Issuer Title Of Class Cusip Value SHRS OR SH/ PUT/ Investment Other (x$1000) PRN AMT PRN CALL Discretion Managers AGIC CONV & INCOME FD II COM 001191105 339 39175 SH SOLE AG MTG INVT TR INC COM 001228105 1175 48689 SH SOLE ABBOTT LABS COM 002824100 329 4802 SH SOLE ABERDEEN ASIA PACIFIC INCOM COM 003009107 100 12800 SH SOLE ACME PACKET INC COM 004764106 310 18100 SH SOLE ALCOA INC COM 013817101 259 29227 SH SOLE ALEXION PHARMACEUTICALS INC COM 015351109 406 3545 SH SOLE ALLERGAN INC COM 018490102 316 3452 SH SOLE ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 510 115173 SH SOLE AMARIN CORP PLC SPONS ADR NEW 023111206 138 10950 SH SOLE AMAZON COM INC COM 023135106 230 905 SH SOLE AMERICAN APPAREL INC COM 023850100 15 10000 SH SOLE AMERICAN ELEC PWR INC COM 025537101 296 6746 SH SOLE AMERICAN INTL GROUP INC COM NEW 026874784 217 6614 SH SOLE AMERN STRATEGIC INCOME PTFL COM 030099105 268 29775 SH SOLE AMERICAN WTR WKS CO INC NEW COM 030420103 202 5456 SH SOLE ANNALY CAP MGMT INC COM 035710409 925 54904 SH SOLE APPLE INC COM 037833100 10633 15939 SH SOLE ARCH COAL INC COM 039380100 505 79713 SH SOLE ARMOUR RESIDENTIAL REIT INC COM 042315101 5646 737033 SH SOLE ASTRAZENECA PLC SPONSORED ADR 046353108 203 4242 SH SOLE AUTOZONE INC COM 053332102 230 622 SH SOLE BP PLC SPONSORED ADR 055622104 547 12924 SH SOLE BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 222 2364 SH SOLE BAIDU INC SPON ADR REP A 056752108 316 2707 SH SOLE BANCROFT FUND LTD COM 059695106 352 20939 SH SOLE BANK OF AMERICA CORPORATION COM 060505104 515 58312 SH SOLE BANK HAWAII CORP COM 062540109 721 15813 SH SOLE BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 558 6329 SH SOLE BLACKROCK GLOBAL OPP EQTY TR COM 092501105 552 40467 SH SOLE BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 416 57070 SH SOLE BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 291 10419 SH SOLE BOEING CO COM 097023105 598 8588 SH SOLE BRISTOL MYERS SQUIBB CO COM 110122108 1570 46515 SH SOLE BROADCOM CORP CL A 111320107 372 10759 SH SOLE BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 294 6121 SH SOLE CF INDS HLDGS INC COM 125269100 281 1263 SH SOLE CSX CORP COM 126408103 255 12296 SH SOLE CVS CAREMARK CORPORATION COM 126650100 362 7480 SH SOLE CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 173 17029 SH SOLE CAMAC ENERGY INC COM 131745101 15 32000 SH SOLE CARDIUM THERAPEUTICS INC COM 141916106 9 41384 SH SOLE CATERPILLAR INC DEL COM 149123101 1247 14488 SH SOLE CELGENE CORP COM 151020104 420 5492 SH SOLE CENTRAL FD CDA LTD CL A 153501101 573 24074 SH SOLE CENTURYLINK INC COM 156700106 393 9733 SH SOLE CHESAPEAKE ENERGY CORP COM 165167107 543 28788 SH SOLE CHEVRON CORP NEW COM 166764100 4316 37028 SH SOLE CHUBB CORP COM 171232101 876 11484 SH SOLE CINEDIGM DIGITAL CINEMA CORP COM 172407108 97 71599 SH SOLE CITIGROUP INC COM NEW 172967424 297 9082 SH SOLE COCA COLA CO COM 191216100 1799 47422 SH SOLE COLGATE PALMOLIVE CO COM 194162103 217 2027 SH SOLE COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 11095 284785 SH SOLE CONSOLIDATED EDISON INC COM 209115104 637 10638 SH SOLE CORNING INC COM 219350105 138 10476 SH SOLE CUSHING MLP TOTAL RETURN FD COM SHS 231631102 382 43623 SH SOLE DEERE & CO COM 244199105 335 4066 SH SOLE DENISON MINES CORP COM 248356107 34 23000 SH SOLE DOLLAR GEN CORP NEW COM 256677105 444 8618 SH SOLE DOLLAR TREE INC COM 256746108 251 5198 SH SOLE DU PONT E I DE NEMOURS & CO COM 263534109 714 14198 SH SOLE DURECT CORP COM 266605104 24 16660 SH SOLE E M C CORP MASS COM 268648102 467 17110 SH SOLE EASTMAN CHEM CO COM 277432100 214 3760 SH SOLE ECOPETROL S A SPONSORED ADS 279158109 247 4194 SH SOLE EDISON INTL COM 281020107 262 5742 SH SOLE EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 509 13674 SH SOLE EMERSON ELEC CO COM 291011104 388 8034 SH SOLE ENERPLUS CORP COM 292766102 376 22620 SH SOLE ENTERPRISE PRODS PARTNERS L COM 293792107 1543 28790 SH SOLE EXIDE TECHNOLOGIES COM NEW 302051206 77 24950 SH SOLE FX ENERGY INC COM 302695101 2807 376804 SH SOLE FASTENAL CO COM 311900104 256 5958 SH SOLE FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 212 14846 SH SOLE FIRSTENERGY CORP COM 337932107 299 6782 SH SOLE FLOW INTL CORP COM 343468104 55 14828 SH SOLE FORD MTR CO DEL *W EXP 01/01/201 345370134 20 19500 SH SOLE FORD MTR CO DEL COM PAR $0.01 345370860 379 38432 SH SOLE GENERAL ELECTRIC CO COM 369604103 2157 94975 SH SOLE GERON CORP COM 374163103 22 12800 SH SOLE GREEN MTN COFFEE ROASTERS IN COM 393122106 227 9572 SH SOLE HALLIBURTON CO COM 406216101 603 17899 SH SOLE HAWAIIAN ELEC INDUSTRIES COM 419870100 344 13058 SH SOLE HECLA MNG CO COM 422704106 138 21051 SH SOLE HEINZ H J CO COM 423074103 259 4621 SH SOLE HOME DEPOT INC COM 437076102 623 10312 SH SOLE HONEYWELL INTL INC COM 438516106 854 14285 SH SOLE HUDSON CITY BANCORP COM 443683107 82 10334 SH SOLE ING RISK MANAGED NAT RES FD COM 449810100 152 12544 SH SOLE INTEL CORP COM 458140100 925 40844 SH SOLE INTERNATIONAL BUSINESS MACHS COM 459200101 753 3630 SH SOLE INTEROIL CORP COM 460951106 2725 35269 SH SOLE ISHARES GOLD TRUST ISHARES 464285105 941 54476 SH SOLE ISHARES INC MSCI CDA INDEX 464286509 424 14870 SH SOLE ISHARES INC MSCI HONG KONG 464286871 191 10509 SH SOLE ISHARES TR DJ SEL DIV INX 464287168 2015 34929 SH SOLE ISHARES TR BARCLYS TIPS BD 464287176 3440 28249 SH SOLE ISHARES TR FTSE CHINA25 IDX 464287184 388 11219 SH SOLE ISHARES TR S&P 500 INDEX 464287200 1089 7540 SH SOLE ISHARES TR BARCLY USAGG B 464287226 2578 22928 SH SOLE ISHARES TR MSCI EMERG MKT 464287234 469 11338 SH SOLE ISHARES TR IBOXX INV CPBD 464287242 3492 28674 SH SOLE ISHARES TR S&P GBL TELCM 464287275 601 9880 SH SOLE ISHARES TR S&P500 GRW 464287309 632 8121 SH SOLE ISHARES TR S&P GBL ENER 464287341 218 5551 SH SOLE ISHARES TR S&P NA NAT RES 464287374 299 7579 SH SOLE ISHARES TR S&P LTN AM 40 464287390 286 6707 SH SOLE ISHARES TR BARCLYS 20+ YR 464287432 310 2499 SH SOLE ISHARES TR BARCLYS 7-10 YR 464287440 475 4379 SH SOLE ISHARES TR BARCLYS 1-3 YR 464287457 1551 18352 SH SOLE ISHARES TR MSCI EAFE INDEX 464287465 764 14411 SH SOLE ISHARES TR RUSSELL MCP VL 464287473 436 8944 SH SOLE ISHARES TR S&P MIDCAP 400 464287507 2290 23205 SH SHARED-OTHER 801-71064 ISHARES TR S&P MIDCAP 400 464287507 8084 81917 SH SOLE ISHARES TR S&P NA TECH FD 464287549 470 6780 SH SOLE ISHARES TR COHEN&ST RLTY 464287564 635 8162 SH SOLE ISHARES TR S&P MC 400 GRW 464287606 248 2218 SH SOLE ISHARES TR RUSSELL 1000 464287622 285 3582 SH SOLE ISHARES TR RUSSELL 2000 464287655 2322 27826 SH SHARED-OTHER 801-71064 ISHARES TR RUSSELL 2000 464287655 7512 90023 SH SOLE ISHARES TR DJ US TECH SEC 464287721 360 4750 SH SOLE ISHARES TR DJ US REAL EST 464287739 592 9199 SH SOLE ISHARES TR DJ US ENERGY 464287796 596 14129 SH SOLE ISHARES TR S&P SMLCAP 600 464287804 424 5503 SH SOLE ISHARES TR DJ US INDEX FD 464287846 203 2813 SH SOLE ISHARES TR S&P SMLCP GROW 464287887 1095 13102 SH SOLE ISHARES TR JPMORGAN USD 464288281 237 1957 SH SOLE ISHARES TR DJ INTL SEL DIVD 464288448 362 11454 SH SOLE ISHARES TR HIGH YLD CORP 464288513 1281 13884 SH SOLE ISHARES TR RESIDENT PLS CAP 464288562 855 18170 SH SOLE ISHARES TR BARCLYS MBS BD 464288588 221 2028 SH SOLE ISHARES TR BARCLYS 1-3YR CR 464288646 631 5971 SH SOLE ISHARES TR BARCLYS 10-20YR 464288653 418 3053 SH SOLE ISHARES TR BARCLYS 3-7 YR 464288661 823 6652 SH SOLE ISHARES TR BARCLYS SH TREA 464288679 200 1818 SH SOLE ISHARES TR US PFD STK IDX 464288687 1728 43348 SH SOLE IVANHOE ENERGY INC COM 465790103 6 11825 SH SOLE JOHNSON & JOHNSON COM 478160104 3537 51326 SH SOLE JOY GLOBAL INC COM 481165108 255 4552 SH SOLE KIMBERLY CLARK CORP COM 494368103 296 3455 SH SOLE KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 957 11600 SH SOLE LILLY ELI & CO COM 532457108 1249 26348 SH SOLE LIMITED BRANDS INC COM 532716107 268 5442 SH SOLE LINN ENERGY LLC UNIT LTD LIAB 536020100 440 10668 SH SOLE MAGELLAN PETE CORP COM 559091301 14 13000 SH SOLE MANAGED HIGH YIELD PLUS FD I COM 561911108 60 27228 SH SOLE MARATHON OIL CORP COM 565849106 389 13142 SH SOLE MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 378 6940 SH SOLE MCDONALDS CORP COM 580135101 1494 16282 SH SOLE MICROSOFT CORP COM 594918104 1545 51914 SH SOLE MILLER ENERGY RES INC COM 600527105 629 125000 SH SOLE MOLYCORP INC DEL COM 608753109 316 27487 SH SOLE MORGAN STANLEY EM MKTS DM DE COM 617477104 204 12369 SH SOLE NATIONAL RETAIL PPTYS INC COM 637417106 213 6987 SH SOLE NEOSTEM INC COM NEW 640650305 54 78700 SH SOLE NEW AMER HIGH INCOME FD INC COM NEW 641876800 626 56941 SH SOLE NEW YORK MTG TR INC COM PAR $.02 649604501 280 39660 SH SOLE NEWMONT MINING CORP COM 651639106 288 5133 SH SOLE NEWTEK BUSINESS SVCS INC COM 652526104 23 12500 SH SOLE NOKIA CORP SPONSORED ADR 654902204 48 18685 SH SOLE NOVAVAX INC COM 670002104 68 31258 SH SOLE NOVO-NORDISK A S ADR 670100205 292 1852 SH SOLE NUVEEN MUN HIGH INCOME OPP F COM 670682103 478 33464 SH SOLE NUVASIVE INC COM 670704105 329 14350 SH SOLE OXFORD LANE CAP CORP COM 691543102 298 19508 SH SOLE PEABODY ENERGY CORP COM 704549104 353 15820 SH SOLE PEOPLES UNITED FINANCIAL INC COM 712704105 129 10651 SH SOLE PEPSICO INC COM 713448108 893 12620 SH SOLE PERRIGO CO COM 714290103 232 1999 SH SOLE PETROLEUM & RES CORP COM 716549100 409 15590 SH SOLE PFIZER INC COM 717081103 1659 66755 SH SOLE PHILIP MORRIS INTL INC COM 718172109 1764 19619 SH SOLE PHILLIPS 66 COM 718546104 311 6698 SH SOLE PIMCO HIGH INCOME FD COM SHS 722014107 382 27311 SH SOLE PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 345 3914 SH SOLE PLUM CREEK TIMBER CO INC COM 729251108 237 5401 SH SOLE PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 67 13500 SH SOLE PRICELINE COM INC COM NEW 741503403 249 402 SH SOLE PROCTER & GAMBLE CO COM 742718109 2116 30514 SH SOLE PUBLIC SVC ENTERPRISE GROUP COM 744573106 939 29194 SH SOLE PUTNAM MANAGED MUN INCOM TR COM 746823103 486 57553 SH SOLE QUALCOMM INC COM 747525103 600 9605 SH SOLE RF MICRODEVICES INC COM 749941100 87 22025 SH SOLE RENN GLOBAL ENTREPENRS COM 759720105 209 131616 SH SOLE RENREN INC SPONSORED ADR 759892102 46 11500 SH SOLE RESEARCH IN MOTION LTD COM 760975102 78 10350 SH SOLE REYNOLDS AMERICAN INC COM 761713106 402 9278 SH SOLE ROSS STORES INC COM 778296103 319 4931 SH SOLE ROYAL BK CDA MONTREAL QUE COM 780087102 333 5792 SH SOLE SCHWAB CHARLES CORP NEW COM 808513105 140 10953 SH SOLE SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 581 17005 SH SOLE SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 587 16930 SH SOLE SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 583 21594 SH SOLE SCHWAB STRATEGIC TR US SML CAP ETF 808524607 562 15018 SH SOLE SCHWAB STRATEGIC TR US AGGREGATE B 808524839 774 14656 SH SOLE SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 491 9025 SH SOLE SEMPRA ENERGY COM 816851109 206 3191 SH SOLE SIGA TECHNOLOGIES INC COM 826917106 104 32425 SH SOLE SOUTHERN CO COM 842587107 330 7170 SH SOLE STAPLES INC COM 855030102 183 15900 SH SOLE STARBUCKS CORP COM 855244109 516 10167 SH SOLE SUPERMEDIA INC COM 868447103 40 15000 SH SOLE SYMMETRICOM INC COM 871543104 80 11450 SH SOLE TJX COS INC NEW COM 872540109 225 5018 SH SOLE TIVO INC COM 888706108 292 28000 SH SOLE TORM A/S SPONSORED ADR 891072100 5 10000 SH SOLE UNION PAC CORP COM 907818108 409 3444 SH SOLE UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 354 16587 SH SOLE UNITED STATES STL CORP NEW COM 912909108 208 10919 SH SOLE UNITED TECHNOLOGIES CORP COM 913017109 585 7474 SH SOLE URANIUM RES INC COM PAR $0.001 916901507 29 57300 SH SOLE V F CORP COM 918204108 285 1789 SH SOLE VALLEY NATL BANCORP COM 919794107 115 11435 SH SOLE VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 256 4289 SH SOLE VANGUARD BD INDEX FD INC INTERMED TERM 921937819 571 6323 SH SOLE VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 310 7423 SH SOLE VENTRUS BIOSCIENCES INC COM 922822101 108 30300 SH SOLE VANGUARD INDEX FDS REIT ETF 922908553 656 10098 SH SOLE VANGUARD INDEX FDS GROWTH ETF 922908736 517 7140 SH SOLE VANGUARD INDEX FDS SMALL CP ETF 922908751 488 6090 SH SOLE WAL-MART STORES INC COM 931142103 450 6100 SH SOLE WELLS FARGO & CO NEW COM 949746101 641 18573 SH SOLE WELLS FARGO & CO NEW PERP PFD CNV A 949746804 483 390 SH SOLE WHITESTONE REIT COM 966084204 232 17611 SH SOLE WHOLE FOODS MKT INC COM 966837106 472 4848 SH SOLE ZWEIG TOTAL RETURN FD INC COM NEW 989837208 137 10845 SH SOLE ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 1165 134874 SH SOLE NEXXUS LIGHTING INC COM 65338E105 712 924453 SH SOLE CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 119 10157 SH SOLE ING GLOBAL EQTY DIV & PREM O COM 45684E107 869 93927 SH SOLE DR PEPPER SNAPPLE GROUP INC COM 26138E109 299 6706 SH SOLE FIRST TR HIGH INCOME L/S FD COM 33738E109 191 10214 SH SOLE FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 533 11485 SH SOLE FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 503 13258 SH SOLE ALPS ETF TR ALERIAN MLP 00162Q866 372 22430 SH SOLE AT&T INC COM 00206R102 3928 104185 SH SOLE ALTRIA GROUP INC COM 02209S103 1529 45784 SH SOLE AMERICA FIRST TAX EX IVS L P BEN UNIT CTF 02364V107 144 24000 SH SOLE AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 256 10052 SH SOLE AMERICAN CAPITAL AGENCY CORP COM 02503X105 2815 81357 SH SOLE AMERICAN RLTY CAP TR INC COM 02917L101 2597 221172 SH SOLE AMERICAN RLTY CAP PPTYS INC COM 02917T104 826 66042 SH SOLE AMERICAN STRATEGIC INCOME II COM 03009T101 217 29002 SH SOLE AMERICAN TOWER CORP NEW COM 03027X100 343 4804 SH SOLE ARRAY BIOPHARMA INC COM 04269X105 68 11600 SH SOLE B & G FOODS INC NEW COM 05508R106 255 8416 SH SOLE BACTERIN INTL HLDGS INC COM 05644R101 16 10000 SH SOLE BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 433 12797 SH SOLE BLACKROCK INC COM 09247X101 259 1455 SH SOLE BLACKROCK HEALTH SCIENCES TR COM 09250W107 224 7867 SH SOLE BLACKROCK ENHANCED EQT DIV T COM 09251A104 240 31787 SH SOLE BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 204 10500 SH SOLE BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 202 12407 SH SOLE BLACKROCK SR HIGH INCOME FD COM 09255T109 91 20638 SH SOLE BLACKROCK ENH CAP & INC FD I COM 09256A109 190 14535 SH SOLE CBRE CLARION GLOBAL REAL EST COM 12504G100 810 91363 SH SOLE CME GROUP INC COM 12572Q105 371 6470 SH SOLE CAL DIVE INTL INC DEL COM 12802T101 21 13750 SH SOLE CAPSTEAD MTG CORP COM NO PAR 14067E506 225 16678 SH SOLE CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 319 13950 SH SOLE CHIMERA INVT CORP COM 16934Q109 400 147640 SH SOLE CISCO SYS INC COM 17275R102 705 36942 SH SOLE CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 516 23102 SH SOLE CLAYMORE EXCHANGE TRD FD TR GUG MIDCAP CORE 18383M720 335 10040 SH SOLE CLAYMORE EXCHANGE TRD FD TR GUGGEN DEFN EQTY 18383M878 571 19280 SH SOLE COHEN & STEERS INFRASTRUCTUR COM 19248A109 688 37756 SH SOLE COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 222 5801 SH SOLE CONOCOPHILLIPS COM 20825C104 1037 18143 SH SOLE CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 459 60500 SH SOLE CORNERSTONE TOTAL RTRN FD IN COM NEW 21924U201 101 15000 SH SOLE CORNERSTONE PROGRESSIVE RTN COM 21925C101 230 40500 SH SOLE CORONADO BIOSCIENCES INC COM 21976U109 174 33500 SH SOLE COSTCO WHSL CORP NEW COM 22160K105 420 4193 SH SOLE CREDIT SUISSE NASSAU BRH VIX SHT TRM FT 22542D761 288 189649 SH SOLE DENALI FD INC COM 24823A102 383 23669 SH SOLE DENDREON CORP COM 24823Q107 77 16015 SH SOLE DEVON ENERGY CORP NEW COM 25179M103 260 4291 SH SOLE DISCOVERY COMMUNICATNS NEW COM SER A 25470F104 227 3811 SH SOLE DOMINION RES INC VA NEW COM 25746U109 219 4141 SH SOLE DOT HILL SYS CORP COM 25848T109 47 44100 SH SOLE DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 164 37685 SH SOLE DUKE ENERGY CORP NEW COM NEW 26441C204 818 12625 SH SOLE ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 1073 10690 SH SOLE EATON VANCE TAX ADVT DIV INC COM 27828G107 302 17641 SH SOLE EATON VANCE TAX MNGD GBL DV COM 27829F108 306 34750 SH SOLE EATON VANCE RISK MNGD DIV EQ COM 27829G106 620 58832 SH SOLE EQUINIX INC COM NEW 29444U502 264 1279 SH SOLE EXELON CORP COM 30161N101 501 14093 SH SOLE EXPRESS SCRIPTS HLDG CO COM 30219G108 380 6060 SH SOLE EXXON MOBIL CORP COM 30231G102 1972 21561 SH SOLE FACEBOOK INC CL A 30303M102 548 25310 SH SOLE FIFTH STREET FINANCE CORP COM 31678A103 751 68353 SH SOLE FIRST TR VALUE LINE DIVID IN SHS 33734H106 514 29600 SH SOLE FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 200 6099 SH SOLE FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 238 12500 SH SOLE FIRSTHAND TECH VALUE FD INC COM 33766Y100 612 35075 SH SOLE FREEPORT-MCMORAN COPPER & GO COM 35671D857 762 19264 SH SOLE FRONTIER COMMUNICATIONS CORP COM 35906A108 221 45054 SH SOLE GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 595 41299 SH SOLE GMX RES INC COM 38011M108 85 106320 SH SOLE GOLDMAN SACHS GROUP INC COM 38141G104 295 2592 SH SOLE GOOGLE INC CL A 38259P508 848 1124 SH SOLE HCP INC COM 40414L109 265 5964 SH SOLE HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 303 21317 SH SOLE HEALTH CARE REIT INC COM 42217K106 1473 25509 SH SOLE HEALTHCARE TR AMER INC CL A 42225P105 159 16302 SH SOLE HELIOS TOTAL RETURN FD INC COM NEW 42327V208 225 9117 SH SOLE HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 305 47907 SH SOLE HOUSTON AMERN ENERGY CORP COM 44183U100 32 35806 SH SOLE INCYTE CORP COM 45337C102 197 10926 SH SOLE INTUITIVE SURGICAL INC COM NEW 46120E602 279 562 SH SOLE INVESCO MORTGAGE CAPITAL INC COM 46131B100 378 18800 SH SOLE ISHARES SILVER TRUST ISHARES 46428Q109 512 15285 SH SOLE ISHARES TR HGH DIV EQT FD 46429B663 1231 20197 SH SOLE JPMORGAN CHASE & CO COM 46625H100 1286 31767 SH SOLE KODIAK OIL & GAS CORP COM 50015Q100 936 100000 SH SOLE L & L ENERGY INC COM 50162D100 27 15500 SH SOLE MFS INTER INCOME TR SH BEN INT 55273C107 882 137316 SH SOLE MAGNUM HUNTER RES CORP DEL COM 55973B102 528 119000 SH SOLE MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 506 9421 SH SOLE MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 348 7041 SH SOLE MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 248 4788 SH SOLE MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 268 11300 SH SOLE MEDICAL PPTYS TRUST INC COM 58463J304 884 84639 SH SOLE MERCK & CO INC NEW COM 58933Y105 695 15403 SH SOLE MONSANTO CO NEW COM 61166W101 462 5079 SH SOLE MOSAIC CO NEW COM 61945C103 389 6755 SH SOLE NEURALSTEM INC COM 64127R302 61 48679 SH SOLE NEUBERGER BERMAN RE ES SEC F COM 64190A103 352 74601 SH SOLE NEXTERA ENERGY INC COM 65339F101 500 7106 SH SOLE NEXPOINT CR STRATEGIES FD COM 65340G106 86 12418 SH SOLE NORTHSTAR RLTY FIN CORP COM 66704R100 154 24178 SH SOLE NUVEEN ARIZ PREM INCOME MUN COM 67061W104 25 1600 SH SOLE NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 644 51044 SH SOLE NUVEEN EQUITY PREM INCOME FD COM 6706ER101 664 52798 SH SOLE O REILLY AUTOMOTIVE INC NEW COM 67103H107 250 2988 SH SOLE OCULUS INNOVATIVE SCIENCES I COM 67575P108 109 115500 SH SOLE OFFICEMAX INC DEL COM 67622P101 129 16500 SH SOLE PPL CORP COM 69351T106 355 12212 SH SOLE PRGX GLOBAL INC COM NEW 69357C503 104 12200 SH SOLE PACIFIC ETHANOL INC COM NEW 69423U206 9 22137 SH SOLE PARAMOUNT GOLD & SILVER CORP COM 69924P102 58 21685 SH SOLE PENGROWTH ENERGY CORP COM 70706P104 68 10067 SH SOLE PIMCO STRATEGIC GBL GOV FD I COM 72200X104 143 11606 SH SOLE PIMCO INCOME STRATEGY FUND COM 72201H108 146 11000 SH SOLE PIMCO INCOME STRATEGY FUND I COM 72201J104 1133 99188 SH SOLE PIMCO ETF TR 1-5 US TIP IDX 72201R205 301 5575 SH SOLE PIMCO ETF TR 15+ YR US TIPS 72201R304 844 11859 SH SOLE POWERSHARES QQQ TRUST UNIT SER 1 73935A104 575 8382 SH SOLE POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 568 19822 SH SOLE POWERSHARES ETF TRUST WATER RESOURCE 73935X575 199 10209 SH SOLE POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 443 7178 SH SOLE POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD 73936B408 203 6899 SH SOLE POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 2488 119512 SH SOLE POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 245 12845 SH SOLE POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 211 14254 SH SOLE POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 365 11902 SH SOLE POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 780 27672 SH SOLE PROSHARES TR PSHS ULT S&P 500 74347R107 560 9145 SH SOLE PROSHARES TR PSHS SH MSCI EAF 74347R370 591 13009 SH SOLE PROSHARES TR PSHS ULT MCAP400 74347R404 1006 14454 SH SHARED-OTHER 801-71064 PROSHARES TR PSHS ULT MCAP400 74347R404 2895 41610 SH SOLE PROSHARES TR PSHS SHRT S&P500 74347R503 813 23865 SH SOLE PROSHARES TR PSHS SHTRUSS2000 74347R826 215 8613 SH SOLE PROSHARES TR PSHS ULTRUSS2000 74347R842 1028 23323 SH SHARED-OTHER 801-71064 PROSHARES TR PSHS ULTRUSS2000 74347R842 2963 67200 SH SOLE PROSHARES TR II VIX SHTTRM FUT 74347W692 1612 83871 SH SOLE PROSPECT CAPITAL CORPORATION COM 74348T102 641 55658 SH SOLE PUBLIC STORAGE COM 74460D109 455 3271 SH SOLE PULSE ELECTRONICS CORP COM 74586W106 12 14075 SH SOLE RELIV INTL INC COM 75952R100 14 10562 SH SOLE RESOURCE CAP CORP COM 76120W302 97 16534 SH SOLE RMR REAL ESTATE INCOME FUND COM 76970B101 601 33924 SH SOLE RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 716 13715 SH SOLE RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 439 4890 SH SOLE RYDEX ETF TRUST GUG S&P500EQWTUT 78355W791 289 4787 SH SOLE RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 505 9000 SH SOLE RYDEX ETF TRUST GUG S&P500EQWTMA 78355W825 394 6420 SH SOLE SPDR S&P 500 ETF TR TR UNIT 78462F103 650 4513 SH SOLE SPDR GOLD TRUST GOLD SHS 78463V107 3064 17827 SH SOLE SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 950 7535 SH SOLE SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 776 10215 SH SOLE SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 531 13424 SH SOLE SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 918 22840 SH SOLE SPDR SERIES TRUST DB INT GVT ETF 78464A490 303 4885 SH SOLE SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 222 3607 SH SOLE SPDR SERIES TRUST S&P DIVID ETF 78464A763 1651 28414 SH SOLE SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 239 1330 SH SOLE SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 637 15888 SH SOLE SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 950 26511 SH SOLE SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 820 11173 SH SOLE SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 274 17557 SH SOLE SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 427 13861 SH SOLE SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1601 43988 SH SOLE SENIOR HSG PPTYS TR SH BEN INT 81721M109 370 17010 SH SOLE SIRIUS XM RADIO INC COM 82967N108 72 27900 SH SOLE SPECTRUM PHARMACEUTICALS INC COM 84763A108 276 23576 SH SOLE STANDARD PAC CORP NEW COM 85375C101 84 12357 SH SOLE TICC CAPITAL CORP COM 87244T109 260 24995 SH SOLE TERADATA CORP DEL COM 88076W103 330 4375 SH SOLE TWO HBRS INVT CORP COM 90187B101 836 71175 SH SOLE VANGUARD WORLD FDS ENERGY ETF 92204A306 534 4988 SH SOLE VANGUARD WORLD FDS INF TECH ETF 92204A702 265 3613 SH SOLE VANGUARD WORLD FDS TELCOMM ETF 92204A884 409 5446 SH SOLE VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 610 7595 SH SOLE VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 613 6996 SH SOLE VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 131 12119 SH SOLE VERIZON COMMUNICATIONS INC COM 92343V104 2516 55215 SH SOLE VERISK ANALYTICS INC CL A 92345Y106 253 5312 SH SOLE VIRNETX HLDG CORP COM 92823T108 320 12600 SH SOLE VISA INC COM CL A 92826C839 432 3220 SH SOLE VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 262 9180 SH SOLE W P CAREY & CO LLC COM 92930Y107 456 9300 SH SOLE WALTER ENERGY INC COM 93317Q105 402 12370 SH SOLE WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 108 10125 SH SOLE WENDYS CO COM 95058W100 72 16000 SH SOLE WESTERN ASSET CLYM INFL OPP COM 95766R104 407 30230 SH SOLE WESTERN ASSET HGH YLD DFNDFD COM 95768B107 1284 64906 SH SOLE WESTERN ASSET MTG CAP CORP COM 95790D105 203 9125 SH SOLE WINDSTREAM CORP COM 97381W104 296 29297 SH SOLE WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 265 5789 SH SOLE WISDOMTREE TRUST EMERG MKTS ETF 97717W315 355 6607 SH SOLE XCEL ENERGY INC COM 98389B100 324 11695 SH SOLE YONGYE INTL INC COM 98607B106 153 33325 SH SOLE CREDICORP LTD COM G2519Y108 283 2261 SH SOLE HERBALIFE LTD COM USD SHS G4412G101 274 5776 SH SOLE NORDIC AMERICAN TANKERS LIMI COM G65773106 247 24547 SH SOLE SEADRILL LIMITED SHS G7945E105 210 5353 SH SOLE WEATHERFORD INTERNATIONAL LT REG SHS H27013103 291 22943 SH SOLE TRANSOCEAN LTD REG SHS H8817H100 647 14419 SH SOLE GENCO SHIPPING & TRADING LTD SHS Y2685T107 73 19929 SH SOLE