-----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, EeRT2RXJp38EJeNc0jLmTJQVy+yrtXxnllwynMecAmmun9p+7fl4iUptW7an+kvY emZbMclfF8SfKlLN88oAJg== 0001161722-08-000005.txt : 20081022 0001161722-08-000005.hdr.sgml : 20081022 20081022163431 ACCESSION NUMBER: 0001161722-08-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081022 DATE AS OF CHANGE: 20081022 EFFECTIVENESS DATE: 20081022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 081135538 BUSINESS ADDRESS: STREET 1: 5535 BALBOA BLVD STREET 2: SUITE 200 CITY: ENCINO STATE: CA ZIP: 91316 BUSINESS PHONE: 8183827720 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Sept 30, 2008 Check Here if Amendment [ ] This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California October 22, 2008 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 255 Form 13F Information Table Value Total: $203,088 ($1,000s) List of Other Included Managers: 0 FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMAZON.COM INC COM COM 023135106 439 6037 SH SOLE 6037 AMBAC FINANCIAL GROUP INC (FOR COM 023139108 82 35004 SH SOLE 3000 32004 AMERICAN EXPRESS CO COM COM 025816109 594 16779 SH SOLE 16779 AMERICAN INTL GROUP INC COM COM 026874107 35 10429 SH SOLE 10429 AMGEN INCCOM COM 031162100 297 5003 SH SOLE 809 4194 AMPHENOL CORP NEW CL A COM 032095101 827 20600 SH SOLE 20600 APPLE INC COM 037833100 427 3759 SH SOLE 350 3409 ARAWAK ENERGY LIMITED COM g0507h103 34 30000 SH SOLE 30000 ARCSIGHT INC COM 039666102 191 25000 SH SOLE 25000 AVT INC COM 002422103 10 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 604 115010 SH SOLE 20108 94902 Aetrium Inc Com COM 00817R103 38 12640 SH SOLE 12640 Apollo Investment Corporation COM 03761u106 179 10485 SH SOLE 8985 1500 Arena Pharmaceuticals Inc COM 040047102 94 18700 SH SOLE 7000 11700 Atwood Oceanics Inc COM 050095108 1529 42000 SH SOLE 42000 BANK OF AMERICA CORP COM 060505104 4890 139726 SH SOLE 41895 97831 Balsam Ventures Inc COM 058820101 2 240000 SH SOLE 240000 Bank 1440 Peoria Ariz Com COM 062199104 0 24407 SH SOLE 24407 Berkshire Hathaway Inc-Del Cl COM 084670207 16824 3828 SH SOLE 66 3762 Birks & Mayors Inc Class A Vot COM 090881103 34 21537 SH SOLE 21537 Bravo Brands Inc COM 105666101 0 20000 SH SOLE 20000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 536 55000 SH SOLE 55000 CHEMTRADE LOGISTICS INCOME FUN COM 16387p103 385 35500 SH SOLE 35500 CHEVRON CORPORATION COM COM 166764100 551 6682 SH SOLE 6223 459 CHINA AGRITECH INC COM 16937a101 17 15000 SH SOLE 15000 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000 CISCO SYS INC COM COM 17275R102 507 22463 SH SOLE 4325 18138 CITIGROUP INC COM COM 172967101 268 13053 SH SOLE 850 12203 COCA COLA CO COM COM 191216100 930 17580 SH SOLE 9940 7640 COSTCO WHSL CORP NEW COM COM 22160K105 243 3742 SH SOLE 2000 1742 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 3 20000 SH SOLE 20000 Cadence Design COM 91 13500 SH SOLE 13500 Cic Energy Corp COM g2136r106 94 31255 SH SOLE 31255 Clarient Inc COM 180489106 61 35100 SH SOLE 35100 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 214 15402 SH SOLE 15402 DENTSPLY INTL INC NEW COM COM 249030107 781 20797 SH SOLE 20797 DENWAY MOTORS LTD HKD0.1 COM y2032y106 3 10000 SH SOLE 10000 Delphi Corp (formerly Delphi A COM 3 41725 SH SOLE 10725 31000 Drugstore Com Inc Com COM 262241102 47 20000 SH SOLE 20000 EMC CORP MASS COM 268648102 120 10074 SH SOLE 5590 4484 EXXON MOBIL CORP COM 30231G102 1502 19338 SH SOLE 2250 17088 Easyriders Inc. COM 0 15500 SH SOLE 15500 Emta Holdings Inc COM 292465101 3 40000 SH SOLE 40000 Evergreen Energy Inc COM 30024b104 307 310500 SH SOLE 15100 295400 FIDELITY NATL INFORMATION SVCS COM 31620M106 1528 82769 SH SOLE 82769 FORD MTR CO DEL COM PAR $0.01 COM 345370860 639 122830 SH SOLE 833 121997 FREMONT GENERAL CORPORATION COM 357288109 2 19028 SH SOLE 11000 8028 Fidelity National Financial In COM 316326107 1705 115976 SH SOLE 115976 GENERAL ELEC CO COM COM 369604103 820 32175 SH SOLE 14305 17870 GENERAL MTRS CORP COM COM 370442105 490 51818 SH SOLE 12406 39412 GOLDMAN SACHS GROUP INC COM COM 38141G104 1006 7856 SH SOLE 7856 GOOGLE INC CL A COM 38259P508 325 812 SH SOLE 196 616 Geely Automobile Holdings Ltd COM g3777b103 4 50000 SH SOLE 50000 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 Herbalife Ltd Common Stock COM g4412g101 18189 460243 SH SOLE 460243 IBM CORP COM COM 459200101 2196 18772 SH SOLE 18772 INSITUFORM TECHNOLOGIES INC CL COM 457667103 1197 80000 SH SOLE 80000 INTEL CORP COM 458140100 447 23866 SH SOLE 1337 22529 ITRONICS INC COM 465743102 0 200000 SH SOLE 200000 JC PENNEY CO INC COM COM 708160106 333 10000 SH SOLE 10000 JOE'S JEANS INC COM 47777n101 12 10700 SH SOLE 10700 JOHNSON & JOHNSON COM COM 478160104 351 5060 SH SOLE 2262 2798 Javo Beverage Company Inc COM 47189r104 72 162500 SH SOLE 162500 Jds Uniphase Corp Com COM 46612j101 221 26129 SH SOLE 77 26052 KODIAK OIL & GAS CORP COM 50015q100 60 40000 SH SOLE 40000 King Pharmaceuticals Inc Com COM 495582108 144 15000 SH SOLE 15000 LENDER PROCESSING SVCS INC COM COM 52602E102 1252 41023 SH SOLE 41023 LIGHTWAVE LOGIC INC COM 532275104 11 10000 SH SOLE 10000 Largo Vista Group Ltd COM 517104105 0 100000 SH SOLE 100000 Leisure Canada Inc COM 524911104 1 10000 SH SOLE 10000 Lifepoint Hospitals Inc COM 53219l109 257 8000 SH SOLE 8000 MANULIFE FINANCIAL CORP COM 56501r106 2325 63370 SH SOLE 63370 MBIA INC COM COM 55262C100 499 41942 SH SOLE 2725 39217 MERCK & CO INC COM COM 589331107 286 9050 SH SOLE 1050 8000 METROPCS COMMUNICATIONS INC COM 591708102 176 12600 SH SOLE 12600 MICROSOFT CORP COM COM 594918104 673 25204 SH SOLE 4107 21097 Montpelier Re Holdings Ltd COM g62185106 1519 92000 SH SOLE 92000 NASDAQ OMX GROUP INC (THE) COM 631103108 759 24823 SH SOLE 24823 NORDIC AMERICAN TANKER SHIPPIN COM g65773106 469 14635 SH SOLE 14635 NORDSTROM INC WASH COM COM 655664100 270 9355 SH SOLE 9355 Ntm Inc COM 629408105 7 30000 SH SOLE 30000 OM GROUP INC COM 670872100 450 20000 SH SOLE 20000 ORACLE CORPORATION COM COM 68389X105 324 15938 SH SOLE 3325 12613 PFIZER INC COM STK USD0.05 COM 717081103 1023 55484 SH SOLE 3109 52375 PHILIP MORRIS INTL INC COM COM 718172109 5988 124485 SH SOLE 124113 372 PROCTER & GAMBLE CO COM COM 742718109 1319 18925 SH SOLE 1775 17150 Pacific Snax Corp-Cl A COM 694820101 0 33333 SH SOLE 33333 Phoenix Leisure Corporation COM 719093106 0 31000 SH SOLE 31000 Pico Holdings Inc-New COM 693366205 234 6526 SH SOLE 6526 Pinetree Capital Corp New COM 723330106 12 11700 SH SOLE 11700 Plum Creek Timber Co Inc Com COM 729251108 248 4964 SH SOLE 3964 1000 QUALCOMM INC COM 747525103 393 9154 SH SOLE 6178 2976 RAYTHEON CO COM NEW COM 755111507 1244 23248 SH SOLE 23248 REVLON INC CL A NEW COM 761525609 313 24248 SH SOLE 24248 Regis Corp. COM 758932107 1311 47663 SH SOLE 47663 Repligen Corp COM 759916109 340 72126 SH SOLE 72126 Research In Motion Ltd New COM 760975102 969 14183 SH SOLE 14183 Rite Aid Corp Com COM 767754104 190 235000 SH SOLE 235000 SALESFORCE COM INCCOM COM 79466L302 242 5000 SH SOLE 5000 SEAGATE TECHNOLOGY COM g7945j104 366 30225 SH SOLE 11600 18625 SEARS HLDGS CORPCOM COM 812350106 295 3156 SH SOLE 2000 1156 SIRIUS XM RADIO INC COM 82966U103 13 22131 SH SOLE 790 21341 SOUTHWEST CASINO CORPORATION COM 84479v107 2 10000 SH SOLE 10000 STARBUCKS CORP COM COM 855244109 253 17029 SH SOLE 1848 15181 Smartalk Teleservices Inc COM 83169a100 0 50000 SH SOLE 50000 Southern Union Co New COM 844030106 227 11000 SH SOLE 11000 Standard Pacific Corp New COM 85375c101 1473 300000 SH SOLE 300000 TRANSWORLD BENEFITS INTERNATIO COM 894073105 4 104000 SH SOLE 104000 TRAVELSTAR INC COM 89421l107 4 81000 SH SOLE 81000 Tenneco Inc COM 880349105 149 14000 SH SOLE 14000 Transition Therapeutics Inc Ne COM 893716209 703 135202 SH SOLE 135202 Trc Cos Inc Com COM 872625108 37 12000 SH SOLE 12000 UNITED PARCEL SVC INC CL B COM 911312106 13540 215300 SH SOLE 215300 UNITEDHEALTH GROUP INC COM COM 91324P102 287 11284 SH SOLE 10524 760 US BANCORP DEL COM NEW COM 902973304 4525 125635 SH SOLE 100 125535 Us Airways Group Inc COM 90341w108 81 13500 SH SOLE 13500 VALUECLICK INC COM COM 92046N102 162 15800 SH SOLE 15800 VERTEX PHARMACEUTICALS INC COM COM 92532F100 266 8000 SH SOLE 8000 VISA INC CL A COMMON STOCK COM 92826c839 764 12440 SH SOLE 5440 7000 Vasomedical Inc Com COM 922321104 1 10000 SH SOLE 10000 Vrb Power Systems Inc COM 91829g102 1 40000 SH SOLE 40000 WASHINGTON MUTUAL INC COM 939322103 5 58438 SH SOLE 38 58400 WAYTRONX INC COM 946788106 4 20000 SH SOLE 20000 WELLS FARGO & CO NEW COM COM 949746101 215 5740 SH SOLE 105 5635 ALLIANZ SE ADRREPSTG 1/10 SH ADR 018805101 418 30464 SH SOLE 30464 BHP BILLITON LTD SPONSORED ADR ADR 088606108 2988 57465 SH SOLE 57465 CHINA LIFE INSURANCE CO LTD SP ADR 16939p106 501 9000 SH SOLE 9000 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 373 24500 SH SOLE 24500 ERICSSON L M TEL CO ADR CL BSE ADR 294821608 99 10500 SH SOLE 8000 2500 Empresa Distribuidora Y Comerc ADR 29244a102 363 55885 SH SOLE 55885 Flamel Technologies Sa Sponsor ADR 338488109 198 27000 SH SOLE 27000 TAIWAN SEMICONDUCTOR MFG COLTD ADR 874039100 4329 461978 SH SOLE 461978 VISA INC CL A COMMON STOCK ADR 92826c839 215 3510 SH SOLE 3010 500 I-Path Dow Jones Aig Commodity INDEX CEF 693 13455.0000SH SOLE 13455.0000 ISHARES TR RUSSELL MIDCAP GROW INDEX CEF 464287481 583 13450.0000SH SOLE 12422.0000 1028.0000 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 3120 37973.1840SH SOLE 37463.1840 510.0000 ISHARES TRUST MID CORE INDEX F INDEX CEF 464288208 223 3285.0000SH SOLE 2185.0000 1100.0000 ISHARES TRUST MSCI EAFE INDEX INDEX CEF 464287465 391 6943.0000SH SOLE 1424.0000 5519.0000 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 2472 50922.2260SH SOLE 40583.2260 10339.0000 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 659 10316.0370SH SOLE 7039.0370 3277.0000 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 464 6556.0000SH SOLE 2729.0000 3827.0000 ISHARES TRUST RUSSELL 2000 IND INDEX CEF 464287655 321 4715.0000SH SOLE 3585.0000 1130.0000 ISHARES TRUST RUSSELL 2000 VAL INDEX CEF 464287630 205 3056.0000SH SOLE 1230.0000 1826.0000 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 680 17303.0000SH SOLE 15203.0000 2100.0000 ISHARES TRUST S&P 500 GROWTH I INDEX CEF 464287309 762 13412.0000SH SOLE 13165.0000 247.0000 ISHARES TRUST S&P 500 INDEX FU INDEX CEF 464287200 291 2487.0000SH SOLE 137.0000 2350.0000 ISHARES TRUST S&P 500 VALUE IN INDEX CEF 464287408 619 10336.0000SH SOLE 9461.0000 875.0000 ISHARES TRUST S&P MIDCAP 400 G INDEX CEF 464287606 406 5420.0000SH SOLE 2800.0000 2620.0000 ISHARES TRUST S&P MIDCAP 400 I INDEX CEF 464287507 489 6753.0000SH SOLE 6033.0000 720.0000 Ishares Inc Msci Hong Kong Ind INDEX CEF 464286871 818 61926.8130SH SOLE 61926.8130 POWERSHARES DB COMMODITY INDEX INDEX CEF 73935s105 1082 31939.6960SH SOLE 30589.6960 1350.0000 POWERSHARES DB MULTI-SECTOR CO INDEX CEF 73936b408 200 6632.0000SH SOLE 1782.0000 4850.0000 POWERSHARES EXCHANGE TRADED FD INDEX CEF 73935X229 1023 74972.7450SH SOLE 74972.7450 POWERSHARES QQQ TRUST SERIES 1 INDEX CEF 73935a104 432 11105.6603SH SOLE 2362.0003 8743.6600 SECTOR SPDR - FINANCIAL SHS BE INDEX CEF 81369y605 236 11850.0000SH SOLE 11850.0000 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y803 353 17770.0000SH SOLE 7847.0000 9923.0000 SPDR INDEX SHS FDS SPDR DJ WIL INDEX CEF 78463x863 457 11974.0000SH SOLE 10047.0000 1927.0000 SPDR KBW BANK ETF INDEX CEF 78464a797 853 25375.0000SH SOLE 22500.0000 2875.0000 STANDARD & POORS DEPOSITORY RE INDEX CEF 78462f103 1865 16078.0000SH SOLE 5937.0000 10141.0000 Standard & Poors Midcap 400 De INDEX CEF 595635103 838 6356.2930SH SOLE 6131.2930 225.0000 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908629 239 4020.0000SH SOLE 3320.0000 700.0000 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908769 500 8576.0000SH SOLE 2400.0000 6176.0000 Bayport Foxmoor Associates LP 0 100000.0000SH SOLE 100000.0000 Bayport Serenade Partners Lp 3 LP 0 40000.0000SH SOLE 40000.0000 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 262 276677.0000SH SOLE 276677.0000 PENGROWTH ENERGY TRUST UNIT NE LP 706902509 1951 130575.0000SH SOLE 130000.0000 575.0000 POPE RESOURCES DEPOSITARY RECE LP 732857107 1057 37163.0000SH SOLE 37163.0000 Alliance Calif Mun Income Fund NON-TAX CEF 018546101 1152 96740.0000SH SOLE 96740.0000 BLACKROCK CALIF MUN BD TR COM NON-TAX CEF 09249j100 1513 122901.0000SH SOLE 69001.0000 53900.0000 BLACKROCK CALIF MUNI INCOME TR NON-TAX CEF 09249s100 211 18800.0000SH SOLE 18800.0000 BLACKROCK CALIFORNIA INSURED M NON-TAX CEF 09247g108 306 20610.0000SH SOLE 5000.0000 15610.0000 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 987 95565.0000SH SOLE 95565.0000 BLACKROCK MUNIYIELD CALIF INSD NON-TAX CEF 09254n103 1430 138158.0000SH SOLE 9150.0000 129008.0000 Blackrock Muniyield Calif Fd I NON-TAX CEF 09254m105 783 75225.0000SH SOLE 75225.0000 Eaton Vance Insured California NON-TAX CEF 27828a100 116 10450.0000SH SOLE 10450.0000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67066y105 140 13000.0000SH SOLE 1300.0000 11700.0000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 626 56943.0000SH SOLE 19518.0000 37425.0000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 538 49350.0000SH SOLE 4900.0000 44450.0000 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 562 51076.0000SH SOLE 39906.0000 11170.0000 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 614 58640.0000SH SOLE 10940.0000 47700.0000 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 257 25600.0000SH SOLE 25600.0000 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 1030 92420.0000SH SOLE 14015.0000 78405.0000 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 529 49453.0000SH SOLE 5673.0000 43780.0000 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 670 47011.0000SH SOLE 47011.0000 Pimco California Municipal Inc NON-TAX CEF 72201c109 944 89540.0000SH SOLE 59307.0000 30233.0000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 251 18500.0000SH SOLE 18500.0000 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 1410 120340.0000SH SOLE 40000.0000 80340.0000 ADVENT CLAYMORE GLOBAL CONV SE TAXABLE CEF 007639107 916 111179.0000SH SOLE 21449.0000 89730.0000 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 5888 1172872.6881SH SOLE 2400.0000 1170472.6881 Alliancebernstein Income Fund TAXABLE CEF 01881e101 2055 272892.0000SH SOLE 93122.0000 179770.0000 BLACKROCK CORPORATE HIGH YIELD TAXABLE CEF 09255p107 623 77572.0000SH SOLE 7420.0000 70152.0000 BLACKROCK DEBT STRATEGIES FD I TAXABLE CEF 09255r103 236 60630.0560SH SOLE 3230.0000 57400.0560 BLACKROCK GLOBAL FLOATING RATE TAXABLE CEF 091941104 258 23062.5160SH SOLE 17650.0000 5412.5160 BLACKROCK LIMITED DURATION INC TAXABLE CEF 09249w101 206 16424.0000SH SOLE 10340.0000 6084.0000 BLACKROCK SR HIGH INCOME FD IN TAXABLE CEF 09255t109 41 12730.0000SH SOLE 8130.0000 4600.0000 Blackrock Corporate High Yield TAXABLE CEF 09255m104 447 92045.0000SH SOLE 6805.0000 85240.0000 Blackrock Enhanced Govt Fd Inc TAXABLE CEF 09255k108 214 13794.0000SH SOLE 12908.0000 886.0000 Blackrock Floating Rate Income TAXABLE CEF 09255x100 126 11450.0000SH SOLE 11450.0000 Blackrock Income Opportunity T TAXABLE CEF 092475102 106 12540.0000SH SOLE 8540.0000 4000.0000 Calamos Conv & High Income Fd TAXABLE CEF 12811p108 1577 157666.0000SH SOLE 56006.0000 101660.0000 Calamos Convertible Opportunit TAXABLE CEF 128117108 1238 115632.0000SH SOLE 51982.0000 63650.0000 Credit Suisse High Yield Bd Fd TAXABLE CEF 22544f103 45 20300.0000SH SOLE 20300.0000 DREYFUS HIGH YIELD STRATEGIES TAXABLE CEF 26200s101 67 22380.0000SH SOLE 2160.0000 20220.0000 Dws Multi Mkt Income Tr TAXABLE CEF 23338l108 187 28097.0000SH SOLE 28097.0000 EATON VANCE CREDIT OPPORTUNITI TAXABLE CEF 278271101 287 29181.0000SH SOLE 24251.0000 4930.0000 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 244 21741.0000SH SOLE 7630.0000 14111.0000 EATON VANCE LIMITED DURATION I TAXABLE CEF 27828h105 2002 181631.0000SH SOLE 100066.0000 81565.0000 EATON VANCE SENIOR FLOATING RA TAXABLE CEF 27828q105 181 16612.0000SH SOLE 16612.0000 EATON VANCE SHORT DURATION DIV TAXABLE CEF 27828v104 380 30560.0000SH SOLE 19270.0000 11290.0000 Evergreen Income Advantage Fun TAXABLE CEF 30023y105 918 123200.0000SH SOLE 66785.0000 56415.0000 Evergreen Multi Sector Income TAXABLE CEF 30024y104 1163 94202.0000SH SOLE 60459.0000 33743.0000 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 94 11185.0000SH SOLE 6725.0000 4460.0000 First Trust Aberdeen Global Op TAXABLE CEF 337319107 123 10313.0000SH SOLE 8113.0000 2200.0000 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 138 26570.0000SH SOLE 5170.0000 21400.0000 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 664 62953.0000SH SOLE 650.0000 62303.0000 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 229 23902.0000SH SOLE 21004.0000 2898.0000 HYPERION BROOKFIELD STRATEGIC TAXABLE CEF 44915c105 407 62500.0000SH SOLE 12500.0000 50000.0000 HYPERION BROOKFIELD TOTAL RETU TAXABLE CEF 449145101 294 62330.0000SH SOLE 60060.0000 2270.0000 ING PRIME RATE TR SH BEN INT TAXABLE CEF 44977w106 49 11323.0000SH SOLE 4390.0000 6933.0000 JOHN HANCOCK INCOME SECURITIES TAXABLE CEF 410123103 265 25709.0000SH SOLE 16228.0000 9481.0000 Lehman Brothers First Trust In TAXABLE CEF 525178109 195 24829.0000SH SOLE 22999.0000 1830.0000 MANAGED HIGH YIELD PLUS FUND I TAXABLE CEF 561911108 40 17780.0000SH SOLE 1830.0000 15950.0000 MFS INTERMEDIATE INCOME TRUST TAXABLE CEF 55273c107 132 22270.0000SH SOLE 3520.0000 18750.0000 MFS MULTIMARKET INCOME TRUST S TAXABLE CEF 552737108 88 17690.0000SH SOLE 2390.0000 15300.0000 MORGAN STANLEY EMERGING MARKET TAXABLE CEF 61744h105 82 11300.0000SH SOLE 2700.0000 8600.0000 MORGAN STANLEY EMERGING MARKET TAXABLE CEF 617477104 232 19449.0000SH SOLE 12785.0000 6664.0000 NUVEEN GLOBAL GOVT ENHANCED IN TAXABLE CEF 67073c104 223 15249.0000SH SOLE 15249.0000 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 153 25370.0000SH SOLE 3390.0000 21980.0000 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073d102 100 16780.0000SH SOLE 12750.0000 4030.0000 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 229 38520.0000SH SOLE 12120.0000 26400.0000 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 81 14641.0000SH SOLE 12740.0000 1901.0000 Nicholas-Applegate Conv & Inco TAXABLE CEF 65370f101 612 75744.0000SH SOLE 44077.0000 31667.0000 Nicholas-Applegate Conv Income TAXABLE CEF 65370g109 411 54854.0000SH SOLE 41104.0000 13750.0000 Nuveen Multi Currency Short Te TAXABLE CEF 67090n109 178 12865.0000SH SOLE 12865.0000 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 563 56030.0000SH SOLE 20880.0000 35150.0000 PIMCO FLOATING RATE STRATEGY F TAXABLE CEF 72201j104 978 102935.0000SH SOLE 41660.0000 61275.0000 PIMCO HIGH INCOME FUND TAXABLE CEF 722014107 105 12254.0000SH SOLE 9887.0000 2367.0000 PIMCO INCOME OPPORTUNITY FD CO TAXABLE CEF 72202b100 1436 76769.0000SH SOLE 23690.0000 53079.0000 PIONEER FLOATING RATE TRUST TAXABLE CEF 72369j102 307 30689.0000SH SOLE 30689.0000 PUTNAM MASTER INTERMEDIATE INC TAXABLE CEF 746909100 68 12600.0000SH SOLE 12600.0000 PUTNAM PREMIER INCOME TRUST SB TAXABLE CEF 746853100 182 33450.0000SH SOLE 14850.0000 18600.0000 Pcm Fd Inc Com TAXABLE CEF 69323t101 249 32987.0000SH SOLE 21987.0000 11000.0000 Pimco Corporate Opportunity Fu TAXABLE CEF 72201b101 2330 229593.0000SH SOLE 67515.0000 162078.0000 Templeton Global Income Fund TAXABLE CEF 880198106 2373 300383.8976SH SOLE 3960.0000 296423.8976 VAN KAMPEN DYNAMIC CREDIT OPPO TAXABLE CEF 921166104 119 11180.0000SH SOLE 8680.0000 2500.0000 VAN KAMPEN SENIOR INCOME TRUST TAXABLE CEF 920961109 62 15250.0000SH SOLE 5450.0000 9800.0000 WESTERN ASSET GLOBAL HIGH INCO TAXABLE CEF 95766b109 140 16755.0000SH SOLE 6810.0000 9945.0000 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 86 10615.0000SH SOLE 6115.0000 4500.0000 WESTERN ASSET HIGH INCOME FD I TAXABLE CEF 95766j102 131 18550.0000SH SOLE 2400.0000 16150.0000 Western Asset Emerging Mkts De TAXABLE CEF 95766a101 203 15879.0000SH SOLE 15879.0000 Western Asset Premier Bd Fund TAXABLE CEF 957664105 434 47181.0000SH SOLE 42671.0000 4510.0000 Western Asset/Claymore Inflati TAXABLE CEF 95766r104 10112 968547.0000SH SOLE 962290.5000 6256.5000 ZWEIG TOTAL RETURN FUND INC TAXABLE CEF 989837109 79 21580.0000SH SOLE 3530.0000 18050.0000 Alpine Global Premier Pptys Fd REIT CEF 02083a103 588 90650 SH SOLE 90650
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