0000910472-13-000483.txt : 20130213 0000910472-13-000483.hdr.sgml : 20130213 20130213161501 ACCESSION NUMBER: 0000910472-13-000483 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130213 EFFECTIVENESS DATE: 20130213 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: 13603334 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 nam13f.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: December 31, 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: 206-873-0343 Signature, Place, and Date of Signing: Vali Nasr Aliso Viejo, CA 02/13/2012 [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 801-71064 Good Harbor Financial, LLC 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: 4 Form 13F Information Table Entry Total: 370 Form 13F Information Table Value Total: 240,969 (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 1 801-56946 Emerald Asset Advisors, LLC 2 801-61113 Main Management, LLC 3 801-56679 Ironwood Capital Management Corp 4 801-24133 Uniplan Real Estate Advisors, Inc. [Repeat as necessary.]

Name Of Issuer Title Of Class Cusip Market SHRS/OR SH/PRN PUT/CALL Investment Other Sole Shared None Value PRN/AMT Discretion Managers AG MTG INVT TR INC COM 001228105 1719 73204 SH SOLE 0 0 73204 ABBOTT LABS COM 002824100 309 4715 SH SOLE 0 0 4715 ABERDEEN ASIA PACIFIC INCOM COM 003009107 96 12350 SH SOLE 0 0 12350 ACME PACKET INC COM 004764106 399 18050 SH SOLE 0 0 18050 ALCOA INC COM 013817101 274 31531 SH SOLE 0 0 31531 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 493 122249 SH SOLE 0 0 122249 AMARIN CORP PLC SPONS ADR NEW 023111206 117 14450 SH SOLE 0 0 14450 AMERICAN APPAREL INC COM 023850100 10 10000 SH SOLE 0 0 10000 AMERICAN ELEC PWR INC COM 025537101 234 5492 SH SOLE 0 0 5492 AMERICAN INTL GROUP INC COM NEW 026874784 231 6541 SH SOLE 0 0 6541 AMERN STRATEGIC INCOME PTFL COM 030099105 366 41465 SH SOLE 0 0 41465 ANNALY CAP MGMT INC COM 035710409 670 47724 SH SOLE 0 0 47724 ANWORTH MORTGAGE ASSET CP COM 037347101 58 10120 SH SOLE 0 0 10120 APPLE INC COM 037833100 9844 18498 SH SOLE 0 0 18498 ARCH COAL INC COM 039380100 432 58991 SH SOLE 0 0 58991 ARMOUR RESIDENTIAL REIT INC COM 042315101 2783 430201 SH SOLE 0 0 430201 BP PLC SPONSORED ADR 055622104 450 10814 SH SOLE 0 0 10814 BAIDU INC SPON ADR REP A 056752108 400 3992 SH SOLE 0 0 3992 BANCROFT FUND LTD COM 059695106 643 39236 SH SOLE 0 0 39236 BANK OF AMERICA CORPORATION COM 060505104 681 58675 SH SOLE 0 0 58675 BANK HAWAII CORP COM 062540109 697 15813 SH SOLE 0 0 15813 BANK NEW YORK MELLON CORP COM 064058100 215 8360 SH SOLE 0 0 8360 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 509 5677 SH SOLE 0 0 5677 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 552 41810 SH SOLE 0 0 41810 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 310 42123 SH SOLE 0 0 42123 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 270 10849 SH SOLE 0 0 10849 BOEING CO COM 097023105 561 7442 SH SOLE 0 0 7442 BOSTON SCIENTIFIC CORP COM 101137107 86 14959 SH SOLE 0 0 14959 BRISTOL MYERS SQUIBB CO COM 110122108 1200 36810 SH SOLE 0 0 36810 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 301 6629 SH SOLE 0 0 6629 CVS CAREMARK CORPORATION COM 126650100 212 4383 SH SOLE 0 0 4383 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 167 17029 SH SOLE 0 0 17029 CARDIUM THERAPEUTICS INC COM 141916106 8 41384 SH SOLE 0 0 41384 CATERPILLAR INC DEL COM 149123101 1185 13224 SH SOLE 0 0 13224 CENTRAL FD CDA LTD CL A 153501101 559 26588 SH SOLE 0 0 26588 CENTURYLINK INC COM 156700106 626 16013 SH SOLE 0 0 16013 CHESAPEAKE ENERGY CORP COM 165167107 266 15980 SH SOLE 0 0 15980 CHEVRON CORP NEW COM 166764100 3781 34963 SH SOLE 0 0 34963 CHUBB CORP COM 171232101 946 12564 SH SOLE 0 0 12564 CINEDIGM DIGITAL CINEMA CORP COM 172407108 100 71599 SH SOLE 0 0 71599 CITIGROUP INC COM NEW 172967424 245 6194 SH SOLE 0 0 6194 COCA COLA CO COM 191216100 1326 36577 SH SOLE 0 0 36577 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 10238 284785 SH SOLE 0 0 284785 CONSOLIDATED EDISON INC COM 209115104 362 6517 SH SOLE 0 0 6517 CUSHING MLP TOTAL RETURN FD COM SHS 231631102 318 44296 SH SOLE 0 0 44296 DENISON MINES CORP COM 248356107 44 35500 SH SOLE 0 0 35500 DU PONT E I DE NEMOURS & CO COM 263534109 583 12965 SH SOLE 0 0 12965 DURECT CORP COM 266605104 9 10000 SH SOLE 0 0 10000 E M C CORP MASS COM 268648102 393 15550 SH SOLE 0 0 15550 EASTMAN CHEM CO COM 277432100 246 3609 SH SOLE 0 0 3609 EDISON INTL COM 281020107 259 5742 SH SOLE 0 0 5742 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 602 16295 SH SOLE 0 0 16295 ELLSWORTH FUND LTD COM 289074106 155 21767 SH SOLE 0 0 21767 EMERSON ELEC CO COM 291011104 337 6363 SH SOLE 0 0 6363 ENERPLUS CORP COM 292766102 222 17142 SH SOLE 0 0 17142 ENTERPRISE PRODS PARTNERS L COM 293792107 1518 30310 SH SOLE 0 0 30310 EXIDE TECHNOLOGIES COM NEW 302051206 86 25125 SH SOLE 0 0 25125 FX ENERGY INC COM 302695101 1780 433164 SH SOLE 0 0 433164 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 313 22098 SH SOLE 0 0 22098 FIRSTENERGY CORP COM 337932107 246 5889 SH SOLE 0 0 5889 FLOW INTL CORP COM 343468104 53 15178 SH SOLE 0 0 15178 FORD MTR CO DEL COM PAR $0.01 345370860 407 31402 SH SOLE 0 0 31402 FULL CIRCLE CAP CORP COM 359671104 156 21036 SH SOLE 0 0 21036 GENERAL ELECTRIC CO COM 369604103 1919 91413 SH SOLE 0 0 91413 GERON CORP COM 374163103 18 12800 SH SOLE 0 0 12800 GOLDCORP INC NEW COM 380956409 414 11271 SH SOLE 0 0 11271 HALLIBURTON CO COM 406216101 622 17938 SH SOLE 0 0 17938 HAWAIIAN ELEC INDUSTRIES COM 419870100 389 15481 SH SOLE 0 0 15481 HECKMANN CORP COM 422680108 136 33825 SH SOLE 0 0 33825 HECLA MNG CO COM 422704106 96 16501 SH SOLE 0 0 16501 HEINZ H J CO COM 423074103 366 6353 SH SOLE 0 0 6353 HOLLYFRONTIER CORP COM 436106108 208 4458 SH SOLE 0 0 4458 HOME DEPOT INC COM 437076102 591 9555 SH SOLE 0 0 9555 HONEYWELL INTL INC COM 438516106 530 8353 SH SOLE 0 0 8353 HUDSON CITY BANCORP COM 443683107 84 10350 SH SOLE 0 0 10350 ING RISK MANAGED NAT RES FD COM 449810100 130 12544 SH SOLE 0 0 12544 INTEL CORP COM 458140100 976 47345 SH SOLE 0 0 47345 INTERNATIONAL BUSINESS MACHS COM 459200101 591 3084 SH SOLE 0 0 3084 INTEROIL CORP COM 460951106 2209 39773 SH SOLE 0 0 39773 ISHARES GOLD TRUST ISHARES 464285105 813 49966 SH SOLE 0 0 49966 ISHARES INC MSCI CDA INDEX 464286509 263 9255 SH SOLE 0 0 9255 ISHARES TR DJ SEL DIV INX 464287168 3033 52982 SH SOLE 0 0 52982 ISHARES TR BARCLYS TIPS BD 464287176 3074 25318 SH SOLE 0 0 25318 ISHARES TR FTSE CHINA25 IDX 464287184 457 11310 SH SOLE 0 0 11310 ISHARES TR CORE TOTUSBD ETF 464287226 2382 21445 SH SOLE 0 0 21445 ISHARES TR MSCI EMERG MKT 464287234 602 13572 SH SOLE 0 0 13572 ISHARES TR IBOXX INV CPBD 464287242 2822 23324 SH SOLE 0 0 23324 ISHARES TR S&P GBL TELCM 464287275 618 10815 SH SOLE 0 0 10815 ISHARES TR S&P500 GRW 464287309 513 6776 SH SOLE 0 0 6776 ISHARES TR S&P GBL ENER 464287341 227 5926 SH SOLE 0 0 5926 ISHARES TR S&P NA NAT RES 464287374 292 7640 SH SOLE 0 0 7640 ISHARES TR S&P LTN AM 40 464287390 288 6567 SH SOLE 0 0 6567 ISHARES TR BARCLYS 20+ YR 464287432 452 3730 SH SOLE 0 0 3730 ISHARES TR BARCLYS 7-10 YR 464287440 881 8192 SH SOLE 0 0 8192 ISHARES TR BARCLYS 1-3 YR 464287457 1379 16331 SH SOLE 0 0 16331 ISHARES TR MSCI EAFE INDEX 464287465 528 9285 SH SOLE 0 0 9285 ISHARES TR RUSSELL MCP VL 464287473 476 9478 SH SOLE 0 0 9478 ISHARES TR CORE S&P MCP ETF 464287507 7906 77736 SH SOLE 0 0 77736 ISHARES TR S&P NA TECH FD 464287549 457 6780 SH SOLE 0 0 6780 ISHARES TR COHEN&ST RLTY 464287564 730 9299 SH SOLE 0 0 9299 ISHARES TR S&P MC 400 GRW 464287606 237 2073 SH SOLE 0 0 2073 ISHARES TR RUSSELL 1000 464287622 266 3355 SH SOLE 0 0 3355 ISHARES TR RUSSELL 2000 464287655 338 4004 SH SOLE 0 0 4004 ISHARES TR DJ US TECH SEC 464287721 375 5304 SH SOLE 0 0 5304 ISHARES TR DJ US REAL EST 464287739 464 7182 SH SOLE 0 0 7182 ISHARES TR DJ US ENERGY 464287796 573 14035 SH SOLE 0 0 14035 ISHARES TR CORE S&P SCP ETF 464287804 398 5096 SH SOLE 0 0 5096 ISHARES TR DJ US INDEX FD 464287846 239 3334 SH SOLE 0 0 3334 ISHARES TR S&P SMLCP GROW 464287887 1177 14000 SH SOLE 0 0 14000 ISHARES TR JPMORGAN USD 464288281 250 2032 SH SOLE 0 0 2032 ISHARES TR DJ INTL SEL DIVD 464288448 320 9508 SH SOLE 0 0 9508 ISHARES TR HIGH YLD CORP 464288513 1391 14905 SH SOLE 0 0 14905 ISHARES TR RESIDENT PLS CAP 464288562 1046 21590 SH SOLE 0 0 21590 ISHARES TR BARCLYS MBS BD 464288588 286 2649 SH SOLE 0 0 2649 ISHARES TR BARCLYS 1-3YR CR 464288646 661 6265 SH SOLE 0 0 6265 ISHARES TR BARCLYS 10-20YR 464288653 478 3541 SH SOLE 0 0 3541 ISHARES TR BARCLYS 3-7 YR 464288661 6843 55533 SH SOLE 0 0 55533 ISHARES TR US PFD STK IDX 464288687 1611 40662 SH SOLE 0 0 40662 IVANHOE ENERGY INC COM 465790103 8 11825 SH SOLE 0 0 11825 JOHNSON & JOHNSON COM 478160104 3242 46247 SH SOLE 0 0 46247 JOY GLOBAL INC COM 481165108 347 5442 SH SOLE 0 0 5442 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 568 7120 SH SOLE 0 0 7120 LILLY ELI & CO COM 532457108 1234 25025 SH SOLE 0 0 25025 LINN ENERGY LLC UNIT LTD LIAB 536020100 396 11251 SH SOLE 0 0 11251 MADISON STRTG SECTOR PREM FD COM 558268108 145 13037 SH SOLE 0 0 13037 MAGELLAN PETE CORP COM 559091301 9 10000 SH SOLE 0 0 10000 MANAGED HIGH YIELD PLUS FD I COM 561911108 73 34259 SH SOLE 0 0 34259 MCDONALDS CORP COM 580135101 960 10879 SH SOLE 0 0 10879 MICROSOFT CORP COM 594918104 1276 47791 SH SOLE 0 0 47791 MILLER ENERGY RES INC COM 600527105 495 125000 SH SOLE 0 0 125000 MOLYCORP INC DEL COM 608753109 225 23852 SH SOLE 0 0 23852 MONDELEZ INTL INC CL A 609207105 269 10576 SH SOLE 0 0 10576 NEOSTEM INC COM NEW 640650305 49 81700 SH SOLE 0 0 81700 NEW AMER HIGH INCOME FD INC COM NEW 641876800 603 57684 SH SOLE 0 0 57684 NEW YORK MTG TR INC COM PAR $.02 649604501 374 59127 SH SOLE 0 0 59127 NOKIA CORP SPONSORED ADR 654902204 91 23011 SH SOLE 0 0 23011 NOVAVAX INC COM 670002104 39 20500 SH SOLE 0 0 20500 NUVEEN MUN HIGH INCOME OPP F COM 670682103 471 33397 SH SOLE 0 0 33397 NUVASIVE INC COM 670704105 214 13825 SH SOLE 0 0 13825 OXFORD LANE CAP CORP COM 691543102 341 22148 SH SOLE 0 0 22148 PAN AMERICAN SILVER CORP COM 697900108 199 10612 SH SOLE 0 0 10612 PARKERVISION INC COM 701354102 20 10000 SH SOLE 0 0 10000 PEABODY ENERGY CORP COM 704549104 355 13350 SH SOLE 0 0 13350 PEOPLES UNITED FINANCIAL INC COM 712704105 123 10166 SH SOLE 0 0 10166 PEPSICO INC COM 713448108 519 7583 SH SOLE 0 0 7583 PETROLEUM & RES CORP COM 716549100 658 27495 SH SOLE 0 0 27495 PFIZER INC COM 717081103 1677 66875 SH SOLE 0 0 66875 PHILIP MORRIS INTL INC COM 718172109 1593 19049 SH SOLE 0 0 19049 PHILLIPS 66 COM 718546104 357 6732 SH SOLE 0 0 6732 PIMCO HIGH INCOME FD COM SHS 722014107 541 51630 SH SOLE 0 0 51630 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 383 8464 SH SOLE 0 0 8464 PLUM CREEK TIMBER CO INC COM 729251108 243 5480 SH SOLE 0 0 5480 PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 70 13990 SH SOLE 0 0 13990 PROCTER & GAMBLE CO COM 742718109 2046 30136 SH SOLE 0 0 30136 PUBLIC SVC ENTERPRISE GROUP COM 744573106 887 28988 SH SOLE 0 0 28988 PUTNAM MANAGED MUN INCOM TR COM 746823103 464 57569 SH SOLE 0 0 57569 QUALCOMM INC COM 747525103 292 4720 SH SOLE 0 0 4720 RF MICRODEVICES INC COM 749941100 114 25525 SH SOLE 0 0 25525 RENN GLOBAL ENTREPENRS COM 759720105 289 203438 SH SOLE 0 0 203438 RENREN INC SPONSORED ADR 759892102 36 10500 SH SOLE 0 0 10500 REYNOLDS AMERICAN INC COM 761713106 273 6586 SH SOLE 0 0 6586 ROYAL BK CDA MONTREAL QUE COM 780087102 349 5792 SH SOLE 0 0 5792 SAREPTA THERAPEUTICS INC COM 803607100 196 7595 SH SOLE 0 0 7595 SCHWAB CHARLES CORP NEW COM 808513105 152 10614 SH SOLE 0 0 10614 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 603 17773 SH SOLE 0 0 17773 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 766 14627 SH SOLE 0 0 14627 SEMPRA ENERGY COM 816851109 262 3691 SH SOLE 0 0 3691 SIGA TECHNOLOGIES INC COM 826917106 71 26925 SH SOLE 0 0 26925 SOUTHERN CO COM 842587107 268 6272 SH SOLE 0 0 6272 STAPLES INC COM 855030102 151 13210 SH SOLE 0 0 13210 STARBUCKS CORP COM 855244109 333 6212 SH SOLE 0 0 6212 SYMMETRICOM INC COM 871543104 66 11450 SH SOLE 0 0 11450 TIVO INC COM 888706108 345 28000 SH SOLE 0 0 28000 UNION PAC CORP COM 907818108 315 2504 SH SOLE 0 0 2504 UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 527 27867 SH SOLE 0 0 27867 UNITED STATES STL CORP NEW COM 912909108 210 8821 SH SOLE 0 0 8821 UNITED TECHNOLOGIES CORP COM 913017109 584 7119 SH SOLE 0 0 7119 VALLEY NATL BANCORP COM 919794107 106 11435 SH SOLE 0 0 11435 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 514 5820 SH SOLE 0 0 5820 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 352 7898 SH SOLE 0 0 7898 VENTRUS BIOSCIENCES INC COM 922822101 62 28800 SH SOLE 0 0 28800 VANGUARD INDEX FDS GROWTH ETF 922908736 517 7260 SH SOLE 0 0 7260 VANGUARD INDEX FDS SMALL CP ETF 922908751 686 8474 SH SOLE 0 0 8474 WAL-MART STORES INC COM 931142103 444 6512 SH SOLE 0 0 6512 WELLS FARGO & CO NEW COM 949746101 617 18065 SH SOLE 0 0 18065 WHITESTONE REIT COM 966084204 246 17483 SH SOLE 0 0 17483 WHOLE FOODS MKT INC COM 966837106 296 3252 SH SOLE 0 0 3252 YUM BRANDS INC COM 988498101 224 3369 SH SOLE 0 0 3369 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 131 10619 SH SOLE 0 0 10619 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 1089 134491 SH SOLE 0 0 134491 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 176 14969 SH SOLE 0 0 14969 ING GLOBAL EQTY DIV & PREM O COM 45684E107 921 106257 SH SOLE 0 0 106257 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 519 11285 SH SOLE 0 0 11285 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 727 18668 SH SOLE 0 0 18668 ALPS ETF TR ALERIAN MLP 00162Q866 360 22540 SH SOLE 0 0 22540 AT&T INC COM 00206R102 3489 103488 SH SOLE 0 0 103488 ALTRIA GROUP INC COM 02209S103 1249 39732 SH SOLE 0 0 39732 AMERICAN CAPITAL AGENCY CORP COM 02503X105 2171 75116 SH SOLE 0 0 75116 AMERICAN RLTY CAP TR INC COM 02917L101 737 63840 SH SOLE 0 0 63840 AMERICAN RLTY CAP PPTYS INC COM 02917T104 878 66320 SH SOLE 0 0 66320 AMERICAN STRATEGIC INCOME II COM 03009T101 209 27901 SH SOLE 0 0 27901 AURIZON MINES LTD COM 05155P106 52 15000 SH SOLE 0 0 15000 B & G FOODS INC NEW COM 05508R106 239 8428 SH SOLE 0 0 8428 BARCLAYS BK PLC IPATH S&P500 VIX 06740C188 373 11724 SH SOLE 0 0 11724 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 295 10566 SH SOLE 0 0 10566 BLACKROCK HEALTH SCIENCES TR COM 09250W107 256 9136 SH SOLE 0 0 9136 BLACKROCK ENHANCED EQT DIV T COM 09251A104 200 27807 SH SOLE 0 0 27807 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 194 10558 SH SOLE 0 0 10558 BLACKROCK SR HIGH INCOME FD COM 09255T109 82 19408 SH SOLE 0 0 19408 BLACKROCK ENH CAP & INC FD I COM 09256A109 181 14554 SH SOLE 0 0 14554 CBRE CLARION GLOBAL REAL EST COM 12504G100 794 89567 SH SOLE 0 0 89567 CME GROUP INC COM 12572Q105 329 6503 SH SOLE 0 0 6503 CAL DIVE INTL INC DEL COM 12802T101 19 10750 SH SOLE 0 0 10750 CAPSTEAD MTG CORP COM NO PAR 14067E506 212 18464 SH SOLE 0 0 18464 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 309 14540 SH SOLE 0 0 14540 CHIMERA INVT CORP COM 16934Q109 324 124129 SH SOLE 0 0 124129 CISCO SYS INC COM 17275R102 694 35327 SH SOLE 0 0 35327 CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 528 24109 SH SOLE 0 0 24109 CLAYMORE EXCHANGE TRD FD TR GUG MIDCAP CORE 18383M720 346 10240 SH SOLE 0 0 10240 CLAYMORE EXCHANGE TRD FD TR GUGGEN DEFN EQTY 18383M878 573 20060 SH SOLE 0 0 20060 COHEN & STEERS INFRASTRUCTUR COM 19248A109 788 42010 SH SOLE 0 0 42010 CONOCOPHILLIPS COM 20825C104 1207 20820 SH SOLE 0 0 20820 CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 369 61517 SH SOLE 0 0 61517 CORNERSTONE TOTAL RTRN FD IN COM NEW 21924U201 80 15000 SH SOLE 0 0 15000 CORNERSTONE PROGRESSIVE RTN COM 21925C101 183 36500 SH SOLE 0 0 36500 CORONADO BIOSCIENCES INC COM 21976U109 162 36000 SH SOLE 0 0 36000 COSTCO WHSL CORP NEW COM 22160K105 285 2887 SH SOLE 0 0 2887 DENALI FD INC COM 24823A102 675 41600 SH SOLE 0 0 41600 DENDREON CORP COM 24823Q107 85 16015 SH SOLE 0 0 16015 DEVON ENERGY CORP NEW COM 25179M103 221 4249 SH SOLE 0 0 4249 DOT HILL SYS CORP COM 25848T109 41 44100 SH SOLE 0 0 44100 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 135 32673 SH SOLE 0 0 32673 DUKE ENERGY CORP NEW COM NEW 26441C204 892 13979 SH SOLE 0 0 13979 ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 1057 11387 SH SOLE 0 0 11387 EATON VANCE TAX ADVT DIV INC COM 27828G107 446 27034 SH SOLE 0 0 27034 EATON VANCE TXMGD GL BUYWR O COM 27829C105 135 12605 SH SOLE 0 0 12605 EATON VANCE TAX MNGD GBL DV COM 27829F108 236 26776 SH SOLE 0 0 26776 EATON VANCE RISK MNGD DIV EQ COM 27829G106 911 87364 SH SOLE 0 0 87364 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 213 4682 SH SOLE 0 0 4682 EXELON CORP COM 30161N101 356 11964 SH SOLE 0 0 11964 EXXON MOBIL CORP COM 30231G102 2152 24866 SH SOLE 0 0 24866 FACEBOOK INC CL A 30303M102 1369 51417 SH SOLE 0 0 51417 FIFTH STREET FINANCE CORP COM 31678A103 568 54523 SH SOLE 0 0 54523 FIRST TR VALUE LINE DIVID IN SHS 33734H106 602 34810 SH SOLE 0 0 34810 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 295 9609 SH SOLE 0 0 9609 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 233 10302 SH SOLE 0 0 10302 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 239 7351 SH SOLE 0 0 7351 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 243 13500 SH SOLE 0 0 13500 FIRSTHAND TECH VALUE FD INC COM 33766Y100 500 28675 SH SOLE 0 0 28675 FREEPORT-MCMORAN COPPER & GO COM 35671D857 623 18204 SH SOLE 0 0 18204 FRONTIER COMMUNICATIONS CORP COM 35906A108 189 44136 SH SOLE 0 0 44136 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 578 45169 SH SOLE 0 0 45169 GOLDMAN SACHS GROUP INC COM 38141G104 272 2129 SH SOLE 0 0 2129 HCA HOLDINGS INC COM 40412C101 213 7062 SH SOLE 0 0 7062 HCP INC COM 40414L109 488 10814 SH SOLE 0 0 10814 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 210 15443 SH SOLE 0 0 15443 HEALTH CARE REIT INC COM 42217K106 1310 21381 SH SOLE 0 0 21381 HEALTHCARE TR AMER INC CL A 42225P105 165 16683 SH SOLE 0 0 16683 HELIOS TOTAL RETURN FD INC COM NEW 42327V208 217 9187 SH SOLE 0 0 9187 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 564 89206 SH SOLE 0 0 89206 HOUSTON AMERN ENERGY CORP COM 44183U100 11 51306 SH SOLE 0 0 51306 INCYTE CORP COM 45337C102 181 10926 SH SOLE 0 0 10926 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1015 51515 SH SOLE 0 0 51515 INVESCO PA VALUE MUN INCOME COM 46132K109 199 12991 SH SOLE 0 0 12991 INVESCO MUNI INCOME OPP TRST COM 46132X101 77 10571 SH SOLE 0 0 10571 ISHARES SILVER TRUST ISHARES 46428Q109 527 17932 SH SOLE 0 0 17932 ISHARES TR HGH DIV EQT FD 46429B663 667 11348 SH SOLE 0 0 11348 JPMORGAN CHASE & CO COM 46625H100 1164 26474 SH SOLE 0 0 26474 KODIAK OIL & GAS CORP COM 50015Q100 1075 121502 SH SOLE 0 0 121502 KRAFT FOODS GROUP INC COM 50076Q106 333 7318 SH SOLE 0 0 7318 L & L ENERGY INC COM 50162D100 29 15500 SH SOLE 0 0 15500 LOCAL CORP COM 53954W104 139 68000 SH SOLE 0 0 68000 MFS INTER INCOME TR SH BEN INT 55273C107 984 152803 SH SOLE 0 0 152803 MAGNUM HUNTER RES CORP DEL COM 55973B102 312 78075 SH SOLE 0 0 78075 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 379 8176 SH SOLE 0 0 8176 MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 326 6390 SH SOLE 0 0 6390 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 267 11300 SH SOLE 0 0 11300 MEDICAL PPTYS TRUST INC COM 58463J304 675 56399 SH SOLE 0 0 56399 MERCK & CO INC NEW COM 58933Y105 660 16133 SH SOLE 0 0 16133 MERITOR INC COM 59001K100 52 10925 SH SOLE 0 0 10925 MONSANTO CO NEW COM 61166W101 470 4964 SH SOLE 0 0 4964 NEURALSTEM INC COM 64127R302 64 58913 SH SOLE 0 0 58913 NEUBERGER BERMAN RE ES SEC F COM 64190A103 497 108240 SH SOLE 0 0 108240 NEXTERA ENERGY INC COM 65339F101 504 7284 SH SOLE 0 0 7284 NEXPOINT CR STRATEGIES FD COM 65340G106 81 12218 SH SOLE 0 0 12218 NORTHSTAR RLTY FIN CORP COM 66704R100 170 24178 SH SOLE 0 0 24178 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 652 53993 SH SOLE 0 0 53993 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 712 60208 SH SOLE 0 0 60208 OCULUS INNOVATIVE SCIENCES I COM 67575P108 108 176500 SH SOLE 0 0 176500 PPL CORP COM 69351T106 339 11829 SH SOLE 0 0 11829 PRGX GLOBAL INC COM NEW 69357C503 65 10100 SH SOLE 0 0 10100 PACIFIC ETHANOL INC COM NEW 69423U206 8 24937 SH SOLE 0 0 24937 PARAMOUNT GOLD & SILVER CORP COM 69924P102 36 15685 SH SOLE 0 0 15685 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 132 11606 SH SOLE 0 0 11606 PIMCO INCOME STRATEGY FUND COM 72201H108 140 11000 SH SOLE 0 0 11000 PIMCO INCOME STRATEGY FUND I COM 72201J104 1147 103771 SH SOLE 0 0 103771 PIMCO ETF TR 15+ YR US TIPS 72201R304 793 11070 SH SOLE 0 0 11070 PIMCO ETF TR TOTL RETN ETF 72201R775 908 8328 SH SOLE 0 0 8328 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 403 6180 SH SOLE 0 0 6180 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 336 5891 SH SOLE 0 0 5891 POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD 73936B408 209 7473 SH SOLE 0 0 7473 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 2485 126459 SH SOLE 0 0 126459 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 247 12845 SH SOLE 0 0 12845 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 189 12904 SH SOLE 0 0 12904 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 422 13429 SH SOLE 0 0 13429 POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 800 28893 SH SOLE 0 0 28893 POWERSHARES ETF TR II S&P SMCP HC PO 73937B886 256 7240 SH SOLE 0 0 7240 PROSHARES TR PSHS ULTSH 20YRS 74347B201 243 3825 SH SOLE 0 0 3825 PROSHARES TR PSHS ULSHT SP500 74347B300 233 4309 SH SOLE 0 0 4309 PROSHARES TR PSHS ULT S&P 500 74347R107 382 6332 SH SOLE 0 0 6332 PROSHARES TR ULTR 7-10 TREA 74347R180 3963 69839 SH SOLE 0 0 69839 PROSHARES TR PSHS SH MSCI EAF 74347R370 476 11456 SH SOLE 0 0 11456 PROSHARES TR PSHS ULT MCAP400 74347R404 3077 41555 SH SOLE 0 0 41555 PROSHARES TR PSHS SHRT S&P500 74347R503 1067 31342 SH SOLE 0 0 31342 PROSHARES TR PSHS SHTRUSS2000 74347R826 206 8468 SH SOLE 0 0 8468 PROSPECT CAPITAL CORPORATION COM 74348T102 595 54754 SH SOLE 0 0 54754 PULSE ELECTRONICS CORP COM 74586W106 4 14075 SH SOLE 0 0 14075 RECOVERY ENERGY INC COM NEW 75626X202 113 56900 SH SOLE 0 0 56900 RELIV INTL INC COM 75952R100 14 10562 SH SOLE 0 0 10562 RESOURCE CAP CORP COM 76120W302 105 18757 SH SOLE 0 0 18757 REVOLUTION LIGHTING TECHNOLO COM 76155G107 560 887815 SH SOLE 0 0 887815 RMR REAL ESTATE INCOME FUND COM 76970B101 819 45006 SH SOLE 0 0 45006 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 1989 37295 SH SOLE 0 0 37295 RYDEX ETF TRUST GUG S&P MC400 PG 78355W601 516 5650 SH SOLE 0 0 5650 RYDEX ETF TRUST GUG S&P500EQWTUT 78355W791 328 5708 SH SOLE 0 0 5708 RYDEX ETF TRUST GUG S&P SC600 PG 78355W809 540 9670 SH SOLE 0 0 9670 RYDEX ETF TRUST GUG S&P500EQWTMA 78355W825 453 6990 SH SOLE 0 0 6990 SPDR S&P 500 ETF TR TR UNIT 78462F103 751 5273 SH SOLE 0 0 5273 SPDR GOLD TRUST GOLD SHS 78463V107 2592 15997 SH SOLE 0 0 15997 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 1123 8890 SH SOLE 0 0 8890 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 897 11645 SH SOLE 0 0 11645 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 484 11898 SH SOLE 0 0 11898 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 218 3579 SH SOLE 0 0 3579 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1433 24638 SH SOLE 0 0 24638 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 909 4892 SH SOLE 0 0 4892 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 801 20077 SH SOLE 0 0 20077 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 709 20325 SH SOLE 0 0 20325 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 201 4244 SH SOLE 0 0 4244 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 980 13717 SH SOLE 0 0 13717 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 317 19371 SH SOLE 0 0 19371 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 357 12371 SH SOLE 0 0 12371 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2437 69780 SH SOLE 0 0 69780 SENIOR HSG PPTYS TR SH BEN INT 81721M109 356 15060 SH SOLE 0 0 15060 SIRIUS XM RADIO INC COM 82967N108 76 26400 SH SOLE 0 0 26400 TICC CAPITAL CORP COM 87244T109 185 18281 SH SOLE 0 0 18281 TWO HBRS INVT CORP COM 90187B101 1310 118275 SH SOLE 0 0 118275 VANGUARD WORLD FDS ENERGY ETF 92204A306 421 4120 SH SOLE 0 0 4120 VANGUARD WORLD FDS INF TECH ETF 92204A702 253 3661 SH SOLE 0 0 3661 VANGUARD WORLD FDS TELCOMM ETF 92204A884 703 10048 SH SOLE 0 0 10048 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 682 8490 SH SOLE 0 0 8490 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 682 7781 SH SOLE 0 0 7781 VENTAS INC COM 92276F100 315 4874 SH SOLE 0 0 4874 VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 147 11971 SH SOLE 0 0 11971 VERIZON COMMUNICATIONS INC COM 92343V104 2510 58018 SH SOLE 0 0 58018 VIRNETX HLDG CORP COM 92823T108 612 20900 SH SOLE 0 0 20900 VISA INC COM CL A 92826C839 470 3102 SH SOLE 0 0 3102 WALTER ENERGY INC COM 93317Q105 410 11420 SH SOLE 0 0 11420 WENDYS CO COM 95058W100 85 18017 SH SOLE 0 0 18017 WESTERN ASSET HIGH INCM OPP COM 95766K109 299 46446 SH SOLE 0 0 46446 WESTERN ASSET CLYM INFL OPP COM 95766R104 554 41945 SH SOLE 0 0 41945 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 187 10181 SH SOLE 0 0 10181 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 308 6236 SH SOLE 0 0 6236 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 349 6107 SH SOLE 0 0 6107 XCEL ENERGY INC COM 98389B100 313 11703 SH SOLE 0 0 11703 YONGYE INTL INC COM 98607B106 64 10995 SH SOLE 0 0 10995 CREDICORP LTD COM G2519Y108 338 2307 SH SOLE 0 0 2307 NORDIC AMERICAN TANKERS LIMI COM G65773106 185 21119 SH SOLE 0 0 21119 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 262 23404 SH SOLE 0 0 23404 TRANSOCEAN LTD REG SHS H8817H100 637 14256 SH SOLE 0 0 14256 GENCO SHIPPING & TRADING LTD SHS Y2685T107 43 12188 SH SOLE 0 0 12188