-----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, MbjkVngXR4whbAiNvYu3QppKYnra/EoulAe7Us4oTYrdyjkHOoz1fW1+1AjA/67Z +3kroI5Wmal71PDBMl/D1g== 0001161722-06-000001.txt : 20060208 0001161722-06-000001.hdr.sgml : 20060208 20060208140505 ACCESSION NUMBER: 0001161722-06-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051231 FILED AS OF DATE: 20060208 DATE AS OF CHANGE: 20060208 EFFECTIVENESS DATE: 20060208 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: 06588411 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 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 25, 2005 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: 273 Form 13F Information Table Value Total: $191,475 ($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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALLIANCE GAMING CORP COM NEW COM 01859P609 119 11000 SH SOLE 11000 ALLTEL CORP COM COM 020039103 1387 21300 SH SOLE 21300 ALTRIA GROUP INC COM 02209s103 1448 19643 SH SOLE 1500 18143 APACHE CORP COM 037411105 3932 52278 SH SOLE 52278 AUTOMATIC DATA PROCESSING INC COM 053015103 410 9520 SH SOLE 9520 AZTAR CORP COM COM 054802103 271 8800 SH SOLE 8800 Aetrium Inc Com COM 00817R103 81 26195 SH SOLE 26195 American Express Company COM 025816109 640 11140 SH SOLE 11140 Amgen Inc Com COM 031162100 1314 16492 SH SOLE 5375 11117 Arawak Energy Corp COM 038743100 66 50000 SH SOLE 50000 Armor Hldgs Inc Com COM 042260109 324 7528 SH SOLE 6628 900 Atlantis Internet Group Corp COM 04914u100 0 10000 SH SOLE 10000 BALSAM VENTURES INC COM 058820101 21 240000 SH SOLE 240000 BANK OF AMERICA CORP COM 060505104 1510 35865 SH SOLE 862 35003 BEA SYS INC COM COM 073325102 245 27275 SH SOLE 27275 BEAR STEARNS COS INC COM COM 073902108 516 4700 SH SOLE 4700 BELO CORP COM SER A COM 080555105 265 11600 SH SOLE 11600 BIOMET INC COM 090613100 419 12083 SH SOLE 6407 5676 BOYD GAMING CORP COM COM 103304101 470 10900 SH SOLE 10900 BURLINGTON RESOURCES INC COM 122014103 407 5000 SH SOLE 5000 Berkshire Hathaway Inc-Del Cl COM 084670207 10484 3839 SH SOLE 66 3773 Biomira Inc COM 09161r106 23 16900 SH SOLE 16900 CAPITAL CITY BK GROUP INC COM COM 139674105 223 5906 SH SOLE 5906 CB RICHARD ELLIS GROUP INC COM 12497t101 332 6750 SH SOLE 6750 CENDANT CORP COM 151313103 256 12404 SH SOLE 12404 CHESAPEAKE ENERGY CORP COM 165167107 4081 106700 SH SOLE 106700 CHEVRON CORPORATION COM 166764100 2256 34858 SH SOLE 1348 33510 COMPUTER ASSOC INTL INC COM COM 204912109 1382 49700 SH SOLE 49700 COSTCO WHOLESALE CORP-NEW COM 22160k105 609 14125 SH SOLE 2000 12125 COVAD COMMUNICATIONS GROUP INC COM 222814204 0 21088 SH SOLE 21088 Ceradyne Inc Com COM 156710105 202 5511 SH SOLE 5511 Chase Resource Corp New COM 161908108 0 26000 SH SOLE 26000 Chicago Mercantile Exchange Ho COM 167760107 2361 7000 SH SOLE 7000 Cisco Systems Inc COM 17275r102 785 43787 SH SOLE 4650 39137 Claire S Stores Inc Com COM 179584107 283 11714 SH SOLE 11714 Coca Cola Co COM 191216100 578 13390 SH SOLE 853 12537 Cognizant Technology Solutions COM 192446102 583 12506 SH SOLE 5706 6800 Commercewest Bank Na COM 20084t103 170 11124 SH SOLE 11124 Cost-U-Less Inc Com COM 221492101 1027 166965 SH SOLE 20000 146965 Covansys Corp COM 22281w103 160 10000 SH SOLE 10000 Cvb Financial Corp COM 126600105 208 11202 SH SOLE 11202 D R HORTON INC COM 23331a109 634 17500 SH SOLE 17500 DELPHI CORP (FORMERLY DELPHI A COM 247126105 28 10250 SH SOLE 10250 Davita Inc Com COM 23918K108 283 6153 SH SOLE 6153 Dell Inc Com COM 24702R101 258 7548 SH SOLE 800 6748 Drugstore Com Inc Com COM 262241102 74 20000 SH SOLE 20000 EASTMAN KODAK CO COM COM 277461109 378 15542 SH SOLE 15542 EXXON MOBIL CORP COM 30231g102 1011 15919 SH SOLE 1326 14593 Ebay Inc Com COM 278642103 552 13398 SH SOLE 5314 8084 Emc Corp-Mass COM 268648102 154 11916 SH SOLE 2880 9036 FBL FINL GROUP INC CL A COM 30239F106 210 7000 SH SOLE 7000 FEDERATED DEPT STORES INC DE C COM 31410H101 780 11668 SH SOLE 11668 FIRST COMMUNITY BANCORP CALIF COM 31983b101 1006 21040 SH SOLE 21040 FLORIDA ROCK INDUSTRIES INC COM 341140101 1937 30217 SH SOLE 6517 23700 Fidelity National Financial In COM 316326107 5288 118789 SH SOLE 118789 GANNETT INC COM COM 364730101 730 10600 SH SOLE 10600 GENERAL GROWTH PROPERTIES 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465743102 3 47750 SH SOLE 47750 Icu Med Inc Com COM 44930G107 667 23175 SH SOLE 23175 Intel Corp COM 458140100 797 32336 SH SOLE 2650 29686 JOHNSON & JOHNSON COM 478160104 381 6013 SH SOLE 1100 4913 Jds Uniphase Corp Com COM 46612j101 751 338429 SH SOLE 702 337727 Joy Global Inc COM 481165108 476 9443 SH SOLE 9443 Joystar Inc COM 48122a109 23 81000 SH SOLE 81000 K Mart Corp COM 482584109 0 276250 SH SOLE 65000 211250 KNIGHT RIDDER INC COM COM 499040103 364 6200 SH SOLE 6200 King Pharmaceuticals Inc COM 495582108 231 15000 SH SOLE 15000 Kroger Co Com COM 501044101 3881 188486 SH SOLE 1000 187486 L-3 Communications Holdings In COM 502424104 300 3793 SH SOLE 3793 LA QUINTA CORP PAIRED CTF 1 CO COM 50419U202 209 24000 SH SOLE 24000 LEE ENTERPRISES INC COM COM 523768109 314 7400 SH SOLE 300 7100 LIBERTY MEDIA CORP COM SER A COM 530718105 171 21201 SH SOLE 21201 LOWES COMPANIES INC COM 548661107 408 6336 SH SOLE 325 6011 Largo Vista Group Ltd COM 517104105 7 100000 SH SOLE 100000 Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000 Liveperson Inc COM 538146101 38 10000 SH SOLE 10000 Lucent Technologies Inc COM 549463107 60 18533 SH SOLE 2625 15908 MANULIFE FINANCIAL CORP COM 56501r106 1689 31685 SH SOLE 31685 MCCLATCHY CO CL A COM 579489105 365 5600 SH SOLE 5600 MERCANTILE BANKSHARES CORP COM COM 587405101 242 4500 SH SOLE 4500 METASOLV INC COM COM 59139P104 55 16900 SH SOLE 16900 MGM MIRAGEINC COM COM 552953101 471 10756 SH SOLE 10756 Mediterranean Minerals Corp COM 58501p106 0 10000 SH SOLE 10000 Merck & Co Inc COM 589331107 332 12205 SH SOLE 1100 11105 Microsoft Corp COM 594918104 1125 43738 SH SOLE 3586 40152 Morgan Stanley Eastn Com COM 616988101 332 9000 SH SOLE 9000 NEW YORK TIMES CO CL A COM 650111107 256 8600 SH SOLE 8600 Nortel Networks Corp COM 656568102 65 19896 SH SOLE 5655 14241 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 Odyssey Resources Limted COM P73515101 1 20000 SH SOLE 20000 Oracle Corp COM 68389x105 292 23533 SH SOLE 2450 21083 Oshkosh Truck Corp. COM 216 5000 SH SOLE 5000 PEPSICO INC COM 713448108 266 4690 SH SOLE 873 3817 PSI TEC HOLDINGS INC COM 69365v105 22 10500 SH SOLE 10500 Penn National Gaming Inc COM 707569109 1089 35000 SH SOLE 35000 Pfizer Inc COM 717081103 1006 40283 SH SOLE 3175 37108 Phoenix Leisure Corporation COM 719093106 0 31000 SH SOLE 31000 Placer Dome Inc COM 725906101 858 50000 SH SOLE 50000 Plum Creek Timber Co Inc Com COM 729251108 438 11551 SH SOLE 2720 8831 Pmc-Sierra Inc COM 69344f106 97 11000 SH SOLE 11000 QUALCOMM INC COM COM 747525103 837 18705 SH SOLE 9066 9639 QUANTUM CORP DSSG COM COM 747906204 98 31700 SH SOLE 31700 Qlogic Corp COM 747277101 444 12975 SH SOLE 12975 RAYMOND JAMES FINANCIAL INC CO COM 754730109 344 10700 SH SOLE 10700 RIM SEMICONDUCTOR COMPANY COM 766714109 1 34734 SH SOLE 34734 Rambus Inc Del Com COM 750917106 373 30814 SH SOLE 30814 Regis Corp. COM 758932107 1978 52313 SH SOLE 52313 Rf Microdevices Inc Com COM 749941100 565 100000 SH SOLE 100000 Rite Aid Corp Com COM 767754104 143 36903 SH SOLE 36903 SCIENTIFIC ATLANTA INC COM COM 808655104 341 9100 SH SOLE 9100 SEAGATE TECHNOLOGY COM g7945j104 187 11810 SH SOLE 11600 210 SMITH INTERNATIONAL INC COM 832110100 277 8312 SH SOLE 8312 SOLPOWER CORP COM 833981103 3 22000 SH SOLE 22000 STATION CASINOS INC COM 857689103 2718 40954 SH SOLE 5346 35608 SYMANTEC CORP COM COM 871503108 1319 58217 SH SOLE 23970 34247 Shuffle Master Inc Com COM 825549108 282 10655 SH SOLE 10655 Sirius Satellite Radio Inc COM 82966u103 255 38972 SH SOLE 38972 Smarttalk Teleservices Com COM 83169a100 0 50000 SH SOLE 50000 Ss&c Technologies Inc COM 85227q100 366 10000 SH SOLE 10000 Starbucks Corp Com COM 855244109 438 8748 SH SOLE 8748 Sun Microsystems Inc COM 866810104 124 31760 SH SOLE 2360 29400 TD BANKNORTH INC COM COM 87235A101 405 13426 SH SOLE 13426 TIME WARNER INC NEW COM COM 887317105 612 33767 SH SOLE 3987 29780 Tenneco Automotive Inc COM 880349105 245 14000 SH SOLE 14000 Tlc Vision Corporation COM 872549100 75 11000 SH SOLE 11000 Trc Cos Inc Com COM 872625108 187 12000 SH SOLE 12000 Triangle Multi-Media Ltd Inc C COM 895891109 1 1500000 SH SOLE 1500000 UNIVERSAL HEALTH SVCS INC CL B COM 913903100 234 4915 SH SOLE 215 4700 United Parcel Svc Inc Cl B COM 911312106 3277 47406 SH SOLE 100 47306 Urban Outfitters Inc Com COM 917047102 338 11486 SH SOLE 8886 2600 Us Bancorp Del Com New COM 902973304 3510 125000 SH SOLE 125000 VOLKSWAGEN AG-ORD NO PAR VALUE COM d94523145 495 8000 SH SOLE 8000 Vasomedical Inc Com COM 922321104 6 10000 SH SOLE 10000 Vertical Computer Systems Inc COM 92532r203 0 50000 SH SOLE 50000 Veteran Resources Inc COM 92549v106 13 10000 SH SOLE 10000 Vrb Power Systems Inc COM 91829g102 31 40000 SH SOLE 40000 WASHINGTON MUTUAL INC COM 939322103 228 5825 SH SOLE 1500 4325 WHOLE FOODS MARKET INC COM 966837106 301 2240 SH SOLE 2240 WILEY JOHN + SON CLASS A COM 968223206 392 9400 SH SOLE 9400 West Corp Com COM 952355105 299 7995 SH SOLE 7995 Western Digital Corp Com COM 958102105 866 66961 SH SOLE 6750 60211 Yahoo Inc Com COM 984332106 557 16448 SH SOLE 8349 8099 ALLIANZ AKTIENGESELLSCHAFT SPO ADR 018805101 405 30000 SH SOLE 30000 BHP BILLITON LTD SPONSORED ADR ADR 088606108 2194 64200 SH SOLE 64200 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 447 24500 SH SOLE 24500 HUANENG POWER INTL INC SPONSOR ADR 443304100 921 31000 SH SOLE 31000 NESTLE SA-SPONSORED ADR REPSTG ADR 641069406 544 7400 SH SOLE 7400 NOVARTIS AG-SPONSORED ADR ADR 66987v109 510 10000 SH SOLE 10000 PETROCHINA CO ADS EACH REPR 10 ADR 71646e100 750 9000 SH SOLE 9000 TOYOTA MOTOR CORP-ADR NEW REPS ADR 892331307 245 2647 SH SOLE 147 2500 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 1025 11840.000SH SOLE 11840.000 ISHARES TRUST DOW JONES US FIN INDEX CEF 464287770 294 2775.000 SH SOLE 2775.000 ISHARES TRUST DOW JONES US TEL INDEX CEF 464287713 814 34400.000SH SOLE 9400.000 25000.000 ISHARES TRUST RUSSELL 1000 GRO INDEX CEF 464287614 499 10015.000SH SOLE 4301.000 5714.000 ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 418 6077.000 SH SOLE 6077.000 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 356 5171.000 SH SOLE 685.000 4486.000 ISHARES TRUST RUSSELL 2000 VAL INDEX CEF 464287630 338 5129.000 SH SOLE 150.000 4979.000 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 1581 39128.000SH SOLE 39128.000 ISHARES TRUST S&P 500 INDEX FU INDEX CEF 464287200 215 1750.000 SH SOLE 1750.000 ISHARES TRUST S&P 500/BARRA GR INDEX CEF 464287309 836 14270.000SH SOLE 14270.000 ISHARES TRUST S&P 500/BARRA VA INDEX CEF 464287408 1031 16080.000SH SOLE 14980.000 1100.000 Ishares Inc Msci Japan Index F INDEX CEF 464286848 1368 112242.000SH SOLE 111800.000 442.000 Nasdaq 100 Shares Unit Ser 1 INDEX CEF 631100104 592 15009.000SH SOLE 1300.000 13709.000 REGIONAL BK HOLDRS TR DEPOSITA INDEX CEF 75902e100 522 4000.000 SH SOLE 1000.000 3000.000 SECTOR SPDR TR TECHNOLOGY INDEX CEF 81369Y803 205 9823.000 SH SOLE 9823.000 STANDARD & POORS DEPOSITARY RE INDEX CEF 78462f103 1774 14419.000SH SOLE 3846.000 10573.000 Enbridge Energy Partners L P LP 29250r106 378 6800.000 SH SOLE 6800.000 POPE RESOURCES-A DELAWARE LP D LP 732857107 736 23500.000SH SOLE 23500.000 Alliance Calif Mun Income Fund NON-TAX CEF 018546101 271 17600.000SH SOLE 17600.000 Blackrock Ca Muni Income Tr Sh NON-TAX CEF 09248e102 4360 287003.000SH SOLE 9204.000 277799.000 Blackrock Calif Mun Bd Tr Com NON-TAX CEF 09249j100 362 22982.000SH SOLE 9001.000 13981.000 Blackrock California Insured M NON-TAX CEF 09247g108 325 20610.000SH SOLE 20610.000 EATON VANCE TAX ADVANTAGED DIV NON-TAX CEF 27828g107 4098 189362.000SH SOLE 69700.000 119662.000 EATON VANCE TAX ADVANTAGED GLO NON-TAX CEF 27828s101 5459 272688.000SH SOLE 58800.000 213888.000 JOHN HANCOCK TAX-ADVANTAGED DI NON-TAX CEF 41013v100 369 20800.000SH SOLE 15400.000 5400.000 MORGAN STANLEY CALIF QUALITY M NON-TAX CEF 61745p635 380 26199.000SH SOLE 9700.000 16499.000 MUNIYIELD CALIFORNIA FUND INC NON-TAX CEF 626296107 2399 176030.000SH SOLE 24600.000 151430.000 MUNIYIELD QUALITY FUND II INC NON-TAX CEF 62630t104 226 17000.000SH SOLE 17000.000 Muniholdings California Insure NON-TAX CEF 625933106 1104 71525.000SH SOLE 1500.000 70025.000 Munivest Fund Ii Inc NON-TAX CEF 62629p105 630 39796.000SH SOLE 39796.000 Muniyield California Insured F NON-TAX CEF 62629l104 1023 70238.000SH SOLE 1750.000 68488.000 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67066y105 232 14800.000SH SOLE 3100.000 11700.000 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 622 42700.000SH SOLE 15600.000 27100.000 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 209 15100.000SH SOLE 8000.000 7100.000 Nuveen California Dividend Adv NON-TAX CEF 67070y109 450 32130.000SH SOLE 2100.000 30030.000 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 182 12002.000SH SOLE 12002.000 Pimco California Muni Income F NON-TAX CEF 72200m108 352 23000.000SH SOLE 5000.000 18000.000 Pimco California Municipal Inc NON-TAX CEF 72201c109 2036 134761.000SH SOLE 79100.000 55661.000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 280 18500.000SH SOLE 18500.000 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 2368 157232.000SH SOLE 34595.000 122637.000 ABERDEEN AUSTRALIA EQUITY FUND TAXABLE CEF 003011103 1033 76900.000SH SOLE 76900.000 ACM GOVERNMENT OPPORTUNITY FUN TAXABLE CEF 000918102 117 15100.000SH SOLE 15100.000 ACM INCOME FD INC FORMERLY ACM TAXABLE CEF 000912105 1658 198801.000SH SOLE 70140.000 128661.000 ALLIANCE WORLD DOLLAR GOVERNME TAXABLE CEF 01879r106 169 13400.000SH SOLE 13400.000 Aberdeen Asia Pacific Income F TAXABLE CEF 003009107 318 50958.000SH SOLE 50958.000 BLACKROCK GLOBAL FLOATING RATE TAXABLE CEF 091941104 735 41820.000SH SOLE 20000.000 21820.000 BLACKROCK LIMITED DURATION INC TAXABLE CEF 09249w101 314 17245.000SH SOLE 1616.000 15629.000 BLACKROCK PREFERRED OPPORTUNIT TAXABLE CEF 09249v103 206 8400.000 SH SOLE 8400.000 Blackrock Strategic Dividend A TAXABLE CEF 09249y107 164 11900.000SH SOLE 11900.000 CALAMOS STRATEGIC TOTAL RETURN TAXABLE CEF 128125101 158 11300.000SH SOLE 11300.000 CORPORATE HIGH YIELD FD V INC TAXABLE CEF 219931102 203 14060.000SH SOLE 2360.000 11700.000 CORPORATE HIGH YIELD FUND INC TAXABLE CEF 219914108 219 25300.000SH SOLE 13800.000 11500.000 CREDIT SUISSE ASSET MGMT INCOM TAXABLE CEF 224916106 53 13000.000SH SOLE 13000.000 DIVERSIFIED INCOME STRATEGIES TAXABLE CEF 255251100 634 37010.000SH SOLE 13300.000 23710.000 DREYFUS HIGH YIELD STRATEGIES TAXABLE CEF 26200s101 147 34600.000SH SOLE 18600.000 16000.000 Debt Strategies Fd Inc New TAXABLE CEF 24276q109 287 42900.000SH SOLE 42900.000 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 688 38930.000SH SOLE 8500.000 30430.000 EATON VANCE LIMITED DURATION I TAXABLE CEF 27828h105 2203 128211.000SH SOLE 47196.000 81015.000 EATON VANCE SENIOR FLOATING RA TAXABLE CEF 27828q105 267 15200.000SH SOLE 5100.000 10100.000 EATON VANCE SHORT DURATION DIV TAXABLE CEF 27828v104 365 21700.000SH SOLE 1900.000 19800.000 EATON VANCE SR INCOME TR-SBI TAXABLE CEF 27826s103 114 14400.000SH SOLE 14400.000 EVERGREEN INCOME ADVANTAGE FUN TAXABLE CEF 30023y105 1864 125970.000SH SOLE 72217.000 53753.000 Evergreen Managed Income Fund TAXABLE CEF 30024y104 3493 207933.000SH SOLE 67650.000 140283.000 FIRST TR / FOUR CORNERS SR FLO TAXABLE CEF 33733u108 185 10600.000SH SOLE 10600.000 FIRST TRUST/FOUR CORNERS SENIO TAXABLE CEF 33733q107 302 17300.000SH SOLE 17300.000 FLOATING RATE INCOME STRATEGIE TAXABLE CEF 339736100 407 23200.000SH SOLE 23200.000 FLOATING RATE INCOME STRATEGIE TAXABLE CEF 339735102 643 36710.000SH SOLE 22400.000 14310.000 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 278 21082.000SH SOLE 2177.000 18905.000 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 221 35540.000SH SOLE 13590.000 21950.000 GABELLI EQUITY TR INC COM TAXABLE CEF 362397101 122 14595.000SH SOLE 14595.000 JOHN HANCOCK PREFERRED INCOME TAXABLE CEF 41021p103 420 19630.000SH SOLE 1700.000 17930.000 John Hancock Preferred Income TAXABLE CEF 41013w108 374 16439.000SH SOLE 16439.000 LIBERTY ALL-STAR EQUITY FUND S TAXABLE CEF 530158104 175 19608.000SH SOLE 19608.000 MORGAN STANLEY ASIA PACIFIC FU TAXABLE CEF 61744u106 2391 162400.000SH SOLE 162400.000 Mfs Intermediate Income Trust TAXABLE CEF 55273c107 90 13902.000SH SOLE 13902.000 Morgan Stanley High Yield Fund TAXABLE CEF 61744m104 139 21720.000SH SOLE 9120.000 12600.000 NUVEEN FLOATING RATE INCOME FD TAXABLE CEF 67072t108 496 38020.000SH SOLE 25300.000 12720.000 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 834 64230.000SH SOLE 15600.000 48630.000 NUVEEN PREFERRED AND CONVERTIB TAXABLE CEF 67073b106 162 12797.000SH SOLE 12797.000 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 531 38952.000SH SOLE 3000.000 35952.000 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 216 16531.000SH SOLE 16531.000 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 144 10400.000SH SOLE 1500.000 8900.000 Nicholas-Applegate Conv & Inco TAXABLE CEF 65370f101 863 54700.000SH SOLE 29367.000 25333.000 PIMCO FLOATING RATE INCOME FUN TAXABLE CEF 72201h108 857 46300.000SH SOLE 28300.000 18000.000 PIMCO FLOATING RATE STRATEGY F TAXABLE CEF 72201j104 216 12110.000SH SOLE 12110.000 PIONEER TAX ADVANTAGED BALANCE TAXABLE CEF 72388r101 138 10800.000SH SOLE 10800.000 PUTNAM PREMIER INCOME TRUST SB TAXABLE CEF 746853100 193 31000.000SH SOLE 31000.000 Pimco Coml Mtg Secs Tr Com TAXABLE CEF 693388100 200 14300.000SH SOLE 1500.000 12800.000 Pimco Corporate Opp Fd Com TAXABLE CEF 72201b101 5307 309454.000SH SOLE 28409.000 281045.000 Pimco High Income Fund TAXABLE CEF 722014107 1523 102217.000SH SOLE 23800.000 78417.000 Pioneer High Income Tr TAXABLE CEF 72369h106 348 21110.000SH SOLE 5700.000 15410.000 Royce Micro-Cap Trust Inc TAXABLE CEF 780915104 273 19100.000SH SOLE 3000.000 16100.000 SALOMON BROS EMERGING MKTS DEB TAXABLE CEF 79550e107 247 13300.000SH SOLE 13300.000 SALOMON BROTHERS 2008 WORLD- W TAXABLE CEF 79548r103 134 12400.000SH SOLE 12400.000 SALOMON BROTHERS EMERGING MARK TAXABLE CEF 794910109 239 17600.000SH SOLE 3100.000 14500.000 SALOMON BROTHERS GLOBAL HIGH I TAXABLE CEF 79550g102 174 13000.000SH SOLE 13000.000 SALOMON BROTHERS INFLATION MAN TAXABLE CEF 79550v109 319 18000.000SH SOLE 10100.000 7900.000 SALOMON BROTHERS WORLDWIDE INC TAXABLE CEF 79548t109 162 10400.000SH SOLE 10400.000 SCUDDER HIGH INCOME TR SHS TAXABLE CEF 811153105 100 13450.000SH SOLE 13450.000 TEMPLETON EMERGING MARKETS FUN TAXABLE CEF 880191101 1409 71100.000SH SOLE 71100.000 Templeton Dragon Fund Inc New TAXABLE CEF 88018t101 2782 142300.000SH SOLE 142300.000 VAN KAMPEN SENIOR INCOME TRUST TAXABLE CEF 920961109 195 24500.000SH SOLE 24500.000 WESTERN ASSET/CLAYMORE U S TRE TAXABLE CEF 95766q106 311 25000.000SH SOLE 14300.000 10700.000 WESTERN ASSET/CLAYMORE U S TRE TAXABLE CEF 95766r104 1312 107122.000SH SOLE 51573.000 55549.000 ZWEIG FUND INC TAXABLE CEF 989834106 319 60002.000SH SOLE 60002.000 CORPORATE HIGH YIELD FUND III HEDGE 219925104 167 20380.00 SH SOLE 9080.00 11300.00 RTS THE GABELLI EQUITY TRUST I RIGHT 362397143 2 14595 SH SOLE 14595 NEUBERGER BERMAN REAL ESTATE C REIT CEF 64190A103 222 15000 SH SOLE 10000 5000
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