-----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, B9iAtBcjB/N1t//y6agfMdXeQXPAR48E5lY2waQQRQxHmlGKo9jWPjxMauGJUJyh lxy0WX3lr77xBaJuVOtDKw== 0000906344-09-000675.txt : 20091112 0000906344-09-000675.hdr.sgml : 20091111 20091112130703 ACCESSION NUMBER: 0000906344-09-000675 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SAN FRANCISCO SENTRY INVESTMENT GROUP CENTRAL INDEX KEY: 0001068811 IRS NUMBER: 943182508 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07260 FILM NUMBER: 091175883 BUSINESS ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4152299000 MAIL ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 sfs3q09.txt FORM 13F - THIRD QUARTER 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/09 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: SAN FRANCISCO SENTRY INVESTMENT GROUP 100 Pine Street, Suite 2700 San Francisco, CA 94111 Form 13F File Number: 028-07260 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: Richard E. Dirickson, Jr. Title: Chairman and Secretary Phone: (415) 229-9000 Signature, Place and Date of Signing: /s/ Richard E. Dirickson, Jr. San Francisco, CA November 11, 2009 - ----------------------------- ------------------------ ----------------- [Signature] [City, State] [Date] Report Type (Check only one): [x] 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).) [ ] 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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 348 Form 13F Information Table Value Total (x$1000): 182,684 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. NONE FORM 13F INFORMATION TABLE - THIRD QUARTER 2009 SAN FRANCISCO SENTRY INVESTMENT GROUP
TITLE OF VALUE SHARES/ SH/ PUT/ INVSMT OTH VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRTN MGRS SOLE SHARED NONE ======================================================================================================================= 3M Company Common 88579y101 $78 1052 SH Sole 1052 ABB, Ltd. Common 000375204 $20 1000 SH Sole 1000 AMR Corp Del Common 001765106 $101 12658 SH Sole 12658 ARC Energy Trust Common 001986108 $104 5600 SH Sole 5600 AT&T Inc. Common 00206r102 $476 17625 SH Sole 17625 ATP Oil & Gas Corp. Common 00208j108 $54 3000 SH Sole 3000 ATSI Communications, Inc. Common 00209g202 $19 489434 SH Sole 489434 ACE Ltd. Common H0023R105 $107 2000 SH Sole 2000 Activions Blizzard Inc. Common 00507V109 $99 8000 SH Sole 8000 Adobe Systems Inc Common 00724f101 $9,466 286500 SH Sole 286500 Agilent Technologies Inc Common 00846u101 $242 8709 SH Sole 8709 Air Prod & Chemical Inc Common 009158106 $434 5590 SH Sole 5590 Alcoa, Inc. Common 013817101 $4 282 SH Sole 282 Alliance Bernstein Common 01881g106 $22 800 SH Sole 800 Allied Irish Banks Common 019228402 $94 10000 SH Sole 10000 Altair Nanatechnologies, Inc. Common 021373105 $463 403041 SH Sole 403041 Altria Group Inc Common 02209S103 $34 1925 SH Sole 1925 Amazon.com, Inc. Common 023135106 $317 3400 SH Sole 3400 American Capital Ltd. Common 02503Y103 $1 318 SH Sole 318 American Express Co Common 025816109 $4 110 SH Sole 110 American Intl Group Common 026874784 $10 232 SH Sole 232 American Tower Corp Common 029912201 $46 1250 SH Sole 1250 Amgen Inc Common 031162100 $890 14773 SH Sole 14773 Amylin Pharmaceuticals Common 032346108 $27 2000 SH Sole 2000 Anadarko Petroleum Corp. Common 032511107 $588 9370 SH Sole 9370 Apache Corp Common 037411105 $670 7300 SH Sole 7300 Apollo Group Inc. Class A 037604105 $103 1400 SH Sole 1400 Apple Computer Common 037833100 $719 3880 SH Sole 3880 Applied Materials Common 038222105 $254 18980 SH Sole 18980 Archer-Daniels-Midland Common 039483102 $146 5000 SH Sole 5000 Arris Group, Inc. Common 04269Q100 $482 37078 SH Sole 37078 BP Purdhoe Bay Royalty Trust UBI Common 055630107 $1,080 14465 SH Sole 14465 BYD Company H Shares Common Y1023R104 $479 58000 SH Sole 58000 Bankamerica Corp Common 060505104 $237 13984 SH Sole 13984 Baxter International Common 071813109 $425 7450 SH Sole 7450 Beckman Coulter Inc Common 075811109 $157 2280 SH Sole 2280 Berkshire Hathaway B Shares Common 084670207 $43 13 SH Sole 13 Boardwalk Pipeline Partners, L.P. Common 096627104 $7,511 302600 SH Sole 302600 Boeing Company Common 097023105 $720 13300 SH Sole 13300 Boston Scientific Corp. Common 101137107 $417 39417 SH Sole 39417 Bristol-Myers Squibb Common 110122108 $257 11417 SH Sole 11417 Burlington Northern Common 12189t104 $25 310 SH Sole 310 CME Group Inc. Common 12572Q105 $15 50 SH Sole 50 CVS Caremark Corp. Common 126650100 $203 5670 SH Sole 5670 Cabot Oil & Gas Corp. Common 127097103 $5,000 140000 SH Sole 140000 Cameco Corp Common 13321l108 $680 24450 SH Sole 24450 Canadian Oil Sands TR Common 13642L100 $16 550 SH Sole 550 Canadian Superior Energy, Inc. Common 136644101 $172 200000 SH Sole 200000 Cardinal Health Inc Common 14149y108 $24 900 SH Sole 900 CareFusion Corp. Common 14170T101 $10 450 SH Sole 450 Caterpillar Inc Common 149123101 $2,407 46899 SH Sole 46899 Cedar Fair Lp Common 150185106 $28 2700 SH Sole 2700 Celgene Common 151020104 $1,515 27100 SH Sole 27100 Chevron Corp Common 166764100 $2,953 41935 SH Sole 41935 China Life Insurance Common 16939p106 $230 3500 SH Sole 3500 China Med Technologies Inc. ADR 169483104 $57 3500 SH Sole 3500 Cisco Systems Inc Common 17275r102 $2,061 87540 SH Sole 87540 Citigroup Inc Common 172967101 $257 53145 SH Sole 53145 Claymore ETF China ETF 18383Q853 $154 6547 SH Sole 6547 Claymore ETF Global Solar Energy Index ETF 18383M621 $10 1000 SH Sole 1000 Coca-Cola Common 191216100 $277 5150 SH Sole 5150 Cognizant Tech Solutions Corp. Class A 192446102 $232 6000 SH Sole 6000 Colgate Palmolive Co Common 194162103 $648 8500 SH Sole 8500 Comcast Corp. New Class A 20030N101 $338 20000 SH Sole 20000 Compass Minerals Int'l Inc. Common 20451N101 $216 3500 SH Sole 3500 Comstock Resources Inc NEW Common 205768203 $802 20000 SH Sole 20000 Comverge Inc. Common 205859101 $7 600 SH Sole 600 Conceptus Common 206016107 $5,593 301672 SH Sole 301672 ConocoPhillips Common 20825c104 $1,567 34692 SH Sole 34692 Continental Resources Common 212015101 $783 20000 SH Sole 20000 Corning Inc Common 219350105 $400 26105 SH Sole 26105 Costco Whsl Corp Common 22160k105 $192 3400 SH Sole 3400 Crocs, Inc Common 227046109 $2 300 SH Sole 300 CSX Corp. Common 126408103 $33 800 SH Sole 800 Currency Shares British Pound ETF ETF 23129S106 $133 835 SH Sole 835 Danaher Corp Common 235851102 $690 10250 SH Sole 10250 Decode Genetics Inc Common 243586104 $59 120000 SH Sole 120000 Digital Ally Inc Common 25382P109 $1 300 SH Sole 300 Digital Globe Inc. Common 25389M877 $34 1500 SH Sole 1500 Discovery Laboratories, Inc. New Common 254668106 $136 100000 SH Sole 100000 Dominion Resources Common 25746U109 $35 1000 SH Sole 1000 Dow Chemical Common 260543103 $200 7670 SH Sole 7670 Duke Energy Corp. Common 26441C105 $153 9700 SH Sole 9700 Dupont Denemours Common 263534109 $213 6640 SH Sole 6640 EMC Corp Common 268648102 $1,560 91546 SH Sole 91546 EMS Technologies, Inc. Common 26873N108 $27 1300 SH Sole 1300 Eastman Chemical Co Common 277432100 $407 7600 SH Sole 7600 Eaton Vance Ins NY Muni Bond Fund Common 27827Y109 $42 3000 SH Sole 3000 Ebay Inc Common 278642103 $5 200 SH Sole 200 Electro Optical Sciences Common 285192100 $192 20000 SH Sole 20000 Electronic Arts Common 285512109 $6 300 SH Sole 300 Eli Lilly & Co. Common 532457108 $8,658 262113 SH Sole 262113 Emdeon Inc. Class A 29084T104 $32 2000 SH Sole 2000 Emerson Electric Common 291011104 $1,755 43793 SH Sole 43793 Enerplus Resources Common 29274d604 $1,571 68638 SH Sole 68638 Enterprise Products Partner Common 293792107 $304 10725 SH Sole 10725 Enzon Pharmaceuticals FKA Enzon Inc Common 293904108 $165 20000 SH Sole 20000 Essex Property Trust Common 297178105 $36 458 SH Sole 458 Exactech Inc. Common 30064e109 $16 1000 SH Sole 1000 Exelon Corp Common 30161n101 $1,193 24039 SH Sole 24039 Express Scripts Inc. Common 302182100 $23 300 SH Sole 300 Exxon Mobil Corp. Common 30231g102 $731 10652 SH Sole 10652 FMC Corp Common 302491303 $191 3400 SH Sole 3400 Federal Home Mtg Ln Common 313400301 $3 1424 SH Sole 1424 Fedex Common 31428x106 $5,416 72000 SH Sole 72000 First Trust ETF Dow Jones Internet ETF 33733E302 $162 7069 SH Sole 7069 Index FD Flotek Industries Common 343389102 $2 1000 SH Sole 1000 Ford Motor Company Common 345370860 $226 31384 SH Sole 31384 Fortune Brands Inc Common 349631101 $176 4100 SH Sole 4100 Fractional Kinder Morgan Mgmt Shares Common EKE55U103 $0 271539 SH Sole 271539 Freeport Memoran C & G Common 35671d857 $453 6600 SH Sole 6600 Fuel-Tech NV Common 359523107 $11 1000 SH Sole 1000 Gen Probe Inc Common 36866t103 $124 3000 SH Sole 3000 General Electric Common 369604103 $2,700 164421 SH Sole 164421 General Mills Common 370334104 $129 2000 SH Sole 2000 Genreral Growth Properties, Inc. Common 370021107 $6 1200 SH Sole 1200 Genzyme Corp. Common 372917104 $34 600 SH Sole 600 Geoeye, Inc. Common 37250W108 $94 3500 SH Sole 3500 Globalscape Inc Common 37940g109 $850 462078 SH Sole 462078 Google Inc. Common 38259p508 $1,482 2988 SH Sole 2988 Granite Construction Co Common 387328107 $4,393 142000 SH Sole 142000 H&Q Healthcare Fund Common 404052102 $45 4004 SH Sole 4004 HCP, Inc. Common 40414L109 $77 2684 SH Sole 2684 Halliburton Co Common 406216101 $114 4205 SH Sole 4205 Hansen Natural Corp. Common 411310105 $51 1400 SH Sole 1400 Harris Corp-Del Common 413875105 $28 750 SH Sole 750 Harris Stratex Networks Common 41457P106 $1 185 SH Sole 185 Health Care Reit Inc. Common 42217K106 $57 1369 SH Sole 1369 Hewlett Packard Co Common 428236103 $1,459 30900 SH Sole 30900 Home Depot Inc Common 437076102 $509 19120 SH Sole 19120 Honeywell Intl Inc Common 438516106 $308 8300 SH Sole 8300 Human Genome Common 444903108 $38 2000 SH Sole 2000 I Shares Australia Index Common 464286103 $387 17114 SH Sole 17114 I Shares Inc. MSCI CDA INDEX FD Common 464286509 $28 1100 SH Sole 1100 I Shares Inc. MSCI Brazil Free Common 464286400 $167 2463 SH Sole 2463 Index Fd I Shares S. Korea Index Fd Common 464286772 $813 17150 SH Sole 17150 I Shares MSCI Mexico Investable Common 464286822 $157 3591 SH Sole 3591 Market Index Fd I Shares Japan Index Common 464286665 $460 11340 SH Sole 11340 I Shares Singapore Index Fund Common 464286673 $28 2588 SH Sole 2588 I Shares Spain Index Fund Common 464286764 $7 130 SH Sole 130 I Shares Swden Indesx Fund Common 464286756 $154 6636 SH Sole 6636 ICO Inc New Common 449293109 $5 1000 SH Sole 1000 I Shares MSCI South Africa Common 464286780 $163 2971 SH Sole 2971 Index Fund I Shares Silver Trust Common 46428Q109 $144 8808 SH Sole 8808 I Shares Tr Russell Midcap Growth Common 464287481 $154 3622 SH Sole 3622 Index Fund Illinois Tool Works Inc. Common 452308109 $453 10600 SH Sole 10600 Imperial Industries, Inc. Common 452848401 $4 3000 SH Sole 3000 India Earnings Fund ETF Wisdomtree Common 97717w422 $125 5925 SH Sole 5925 Ingersoll Rand PLC Class A G47791101 $68 2210 SH Sole 2210 Intel Corp Common 458140100 $1,323 67628 SH Sole 67628 Intl Bus Machines Common 459200101 $1,097 9169 SH Sole 9169 Int'l Game Technology Common 459902102 $204 9500 SH Sole 9500 Ironstone Group Inc.New Common 463228205 $0 60 SH Sole 60 I Shares GSCI Commodity Index Trust Common 46428R107 $39 1320 SH Sole 1320 I Shares MSCI Malaysia Free Index Common 464286830 $152 15007 SH Sole 15007 Fund I Shares Tr Dow Jones Sel Divid Common 464287168 $45 1098 SH Sole 1098 Index Fund I Shares Trust DJ US Real Estate Common 464287739 $16 386 SH Sole 386 Index Fund I Shares Trust S&P Stock Index Fund Common 464288687 $144 3968 SH Sole 3968 JP Morgan Chase Common 46625H100 $621 14167 SH Sole 14167 Jacobs Engineering Common 469814107 $46 1000 SH Sole 1000 Johnson/Johnson Common 478160104 $2,543 41767 SH Sole 41767 Kimberly Clark Common 494368103 $218 3700 SH Sole 3700 Kinder Morgan Energy Common 494550106 $575 10650 SH Sole 10650 Kinder Morgan Mgmt, LLC Common 49455U100 $147 3109 SH Sole 3109 Kohls Corp. Common 500255104 $563 9875 SH Sole 9875 Kraft Foods Inc. Common 50075n104 $50 1898 SH Sole 1898 L-3 Communications Hldgs Corp Common 502424104 $524 6530 SH Sole 6530 LMS Medical Systems, Inc. Common 502089105 $10 504900 SH Sole 504900 Ligland Pharmaceuticals Common 53220K207 $5 2000 SH Sole 2000 Linn Energy LLC Unit Common 536020100 $117 5100 SH Sole 5100 Lockheed Martin Corp Common 539830109 $314 4025 SH Sole 4025 Lorillard Inc. Common 544147101 $74 1000 SH Sole 1000 Loews Companies Inc Common 548661107 $482 23000 SH Sole 23000 MCF Corp Common 590418109 $11 7572 SH Sole 7572 MDRNA Inc. Common 55276N100 $535 382000 SH Sole 382000 MDU Resources Grp. Common 552690109 $367 17625 SH Sole 17625 Macerich Co. Common 554382101 $16 522 SH Sole 522 Macys Inc. Common 55616P104 $2 130 SH Sole 130 Magellan Midstream Common 559080106 $264 7020 SH Sole 7020 Manulife Financial Common 56501r106 $20 970 SH Sole 970 Market Vectors ETF 57060U605 $133 3430 SH Sole 3430 McAfee, Inc. Common 579064106 $140 3200 SH Sole 3200 McDermott Int'l Inc. Common 580037109 $6 254 SH Sole 254 Mcdonald's Corp Common 580135101 $765 13400 SH Sole 13400 McKesson Corp Common 58155q103 $23 387 SH Sole 387 Medco Health Solutions Common 58405u102 $362 6538 SH Sole 6538 Medtronic, Inc. Common 585055106 $435 11808 SH Sole 11808 Merchants Nat'l Pptys Common 589161108 $1,067 1462 SH Sole 1462 Merck & Company Common 58933Y105 $47 1500 SH Sole 1500 Micron Technology Inc Common 595112103 $328 40000 SH Sole 40000 Microsoft Inc Common 594918104 $1,718 66814 SH Sole 66814 Midway Energy Ltd. Common 598147106 $8 5000 SH Sole 5000 Monsanto Co New Common 61166w101 $2,464 31831 SH Sole 31831 Morgan Stanley Common 617446448 $3 90 SH Sole 90 Murphy Oil Corp Common 626717102 $4,606 80000 SH Sole 80000 Myriad Genetics Inc. Common 62855J104 $27 1000 SH Sole 1000 NY Community Bancorp Common 649445103 $1,674 146550 SH Sole 146550 Nat'l Fuel Gas Co. Common 636180101 $192 4200 SH Sole 4200 National Semiconductor Common 637640103 $11 800 SH Sole 800 National-Oilwell Varco Common 637071101 $53 1220 SH Sole 1220 Nike Inc. Class B 654106103 $414 6400 SH Sole 6400 Noble Drilling Corp Common H5833N103 $46 1200 SH Sole 1200 Nokia Corp Spons Adr Finland Common 654902204 $272 18600 SH Sole 18600 Northrop Grumman Corp Common 666807102 $31 600 SH Sole 600 Nova Biosource Fuels Inc. Common 65488W103 $1 103336 SH Sole 103336 Nucor Corp. Common 670346105 $235 5000 SH Sole 5000 Nuveen Ins NY Tax-Free Common 670656107 $45 3300 SH Sole 3300 Nuveen NY Inv Qlty Common 67062x101 $42 3000 SH Sole 3000 NxStage Medical Inc. Common 67072V103 $3 500 SH Sole 500 Oracle Corp. Common 68389X105 $250 12000 SH Sole 12000 Ormat Technologies, Inc. Common 686688102 $16 400 SH Sole 400 Overseas Shipholding Group Inc Common 690368105 $11 300 SH Sole 300 PG&E Corp Common 69331c108 $12 300 SH Sole 300 Peets Coffee & Tea Inc. Common 705560100 $3 120 SH Sole 120 Pengrowth Energy Trust Common 706902509 $21 2000 SH Sole 2000 Penn West Energy Trust Common 707885109 $638 40306 SH Sole 40306 Penwest Pharm Common 709754105 $10 5000 SH Sole 5000 Pepco Holdings Common 713291102 $22 1500 SH Sole 1500 Pepsico Inc Common 713448108 $2,141 36492 SH Sole 36492 Petroquest Energy, Inc. Common 716748108 $260 40000 SH Sole 40000 Pfizer Inc Common 717081103 $1,725 104207 SH Sole 104207 Philip Morris Int'l Common 718172109 $157 3225 SH Sole 3225 Plum Creek Tmbr Ltd. Common 729251108 $20 650 SH Sole 650 Potash Corp./Saskatch Common 73755L107 $2,408 26650 SH Sole 26650 Powershares ETF Trust Dynamic Common 73935X773 $105 5446 SH Sole 5446 Software Powershares ETF Wilder Hill Clean Common 73935X500 $11 1000 SH Sole 1000 Energy Powershares ETF Global Water Common 73936T623 $105 6000 SH Sole 6000 Portfolio Powershares Global ETF Clean Energy Common 73936T615 $140 8412 SH Sole 8412 Powershares Global Water Portfolio Common 73935X575 $86 5150 SH Sole 5150 ETF Trust Precision Drilling Corp. Common 740215108 $758 114285 SH Sole 114285 Procter & Gamble Common 742718109 $1,331 22977 SH Sole 22977 Progress Software Corp. Common 743312100 $906 40000 SH Sole 40000 Proshares Ultrashort Lehman 20+ yr ETF 74347R297 $9 200 SH Sole 200 Treasury Powershares ETF Intl Div Achievers ETF 73935X716 $19 1383 SH Sole 1383 Portfolio Qualcomm Inc Common 747525103 $1,910 42460 SH Sole 42460 Quanta Services Inc Common 74762e102 $117 5300 SH Sole 5300 Quicksilver, Inc Common 74838C106 $6 2232 SH Sole 2232 RR Donnelley & Sons Common 257867101 $4 190 SH Sole 190 Ram Energy Resources Common 75130P109 $49 40500 SH Sole 40500 Range Resources Corp. Common 75281A109 $2,468 50000 SH Sole 50000 Raytheon Co Common 755111507 $408 8500 SH Sole 8500 Realty Income Corp. Common 756109104 $25 975 SH Sole 975 Redwood Trust Inc Common 758075402 $615 39655 SH Sole 39655 Research In Motion Common 760975102 $318 4700 SH Sole 4700 Roche Holdings Ltd. Sponsored ADR Common 771195104 $48 1200 SH Sole 1200 Roper Industries Inc. New Common 776696106 $127 2500 SH Sole 2500 Russell 100 Growth Index Fd Common 464287614 $18 380 SH Sole 380 S&P Retail ETF SPDR Ser Tr ETF 78464A714 $167 4888 SH Sole 4888 Sara Lee Corp. Common 803111103 $56 5000 SH Sole 5000 Schlumberger Common 806857108 $1,829 30686 SH Sole 30686 Seagate Technology Common g7945j104 $8 500 SH Sole 500 Shaw Group Inc. Common 820280105 $16 500 SH Sole 500 Simon Ppty Group Inc Sbi SBI 828806109 $122 1752 SH Sole 1752 Smith & Wesson Holding, Corp. Common 831756101 $335 64122 SH Sole 64122 Sonoma Valley Bancorp Common 835592106 $2 271 SH Sole 271 Southern Company Common 842587107 $54 1700 SH Sole 1700 Southern Copper Corp. Common 84265V105 $1,620 52775 SH Sole 52775 Southwest Airlines Common 844741108 $29 3000 SH Sole 3000 Spdr Gold Tr Gold Shs Common 78463V107 $1,499 15160 SH Sole 15160 St. Jude Medical Inc Common 790849103 $351 9000 SH Sole 9000 Starbucks Common 855244109 $37 1800 SH Sole 1800 Sunpower Corp CL A Common 867652109 $369 12350 SH Sole 12350 Suntech Pwr Hldgs ADR Common 86800c104 $137 9000 SH Sole 9000 Symantec Corp. Common 871503108 $198 12000 SH Sole 12000 Sysco Corp. Common 871829107 $99 4000 SH Sole 4000 Target Corp Common 87612e106 $380 8145 SH Sole 8145 Tellabs Inc Common 879664100 $7,000 1011500 SH Sole 1011500 Templeton Global Inc. Common 880198106 $93 10006 SH Sole 10006 Teppco Partners LP Int. Units Common 872384102 $64 1850 SH Sole 1850 Tesco Corp. Common 88157K101 $2,398 300490 SH Sole 300490 Teva Pharmaceuticals Common 881624209 $262 5180 SH Sole 5180 Thermo Fisher Scientific Common 883556102 $454 10400 SH Sole 10400 Time Warner Cable Inc. Common 88732J207 $6 132 SH Sole 132 Time Warner Inc Common 887317303 $15 532 SH Sole 532 Titan Machinery Common 88830R101 $25 2000 SH Sole 2000 Transocean Inc Common H8817H100 $1,143 13369 SH Sole 13369 Triangle Petroleum Corp Common 89600B102 $30 200000 SH Sole 200000 Tyco Electronics Ltd. Common H8912P106 $28 1250 SH Sole 1250 Tyco Intl Ltd. Common H89128104 $43 1250 SH Sole 1250 UGI Corp Common 902681105 $70 2800 SH Sole 2800 Ultra Petroleum Corp Common 903914109 $8,323 170000 SH Sole 170000 United States Natural Gas Fund Common 912318102 $35 3000 SH Sole 3000 United Technologies Common 913017109 $1,232 20220 SH Sole 20220 Unitedhealth Group Inc Common 91324p102 $4 145 SH Sole 145 Uwink Common 91818N100 $1 47923 SH Sole 47923 Vaalco Energy Inc New Common 91851c201 $228 49500 SH Sole 49500 Valcent Products, Inc. Common 918881202 $12 11110 SH Sole 11110 Vanguard Intl Equity Index Fd Common 922042858 $105 2730 SH Sole 2730 Vanguard Sector IndexFds REIT Common 922908553 $29 695 SH Sole 695 Verigy Ltd Common y93691106 $189 16297 SH Sole 16297 Verizon Communications Common 92343v104 $398 13140 SH Sole 13140 Visa Inc. Class A Common 92826C839 $138 2000 SH Sole 2000 Vivus Inc. Common 928551100 $21 2000 SH Sole 2000 Vodafone Group Plc Spon Common 92857w209 $37 1656 SH Sole 1656 Vulcan Materials Co. Common 929160109 $216 4000 SH Sole 4000 Wal-Mart Stores Inc Common 931142103 $1,124 22900 SH Sole 22900 Walgreen Co Common 931422109 $1,060 28300 SH Sole 28300 Wash Mutual Inc Common 939322103 $0 450 SH Sole 450 Waste Management Inc. Common 94106L109 $24 800 SH Sole 800 Waters Corp Common 941848103 $369 6600 SH Sole 6600 Weatherford Intl Inc Common H27013103 $7 340 SH Sole 340 Wells Fargo & Co Common 949746101 $1,311 46528 SH Sole 46528 Western Union Common 959802109 $28 1500 SH Sole 1500 Whole Foods Market Common 966837106 $3 96 SH Sole 96 Williams Sonoma Common 969904101 $2 100 SH Sole 100 Wisdomtree Trust Diefa fd ETF Common 97717w703 $88 1913 SH Sole 1913 Wisdomtree Emerging Mkts High ETF 97717W315 $515 10860 SH Sole 10860 Yield Fd Wisdomtree Tr Diefa High Yield ETF 97717W802 $43 1000 SH Sole 1000 Equity Fd Wisdomtree Tr Div top 100 FD ETF ETF 97717W406 $27 700 SH Sole 700 XTO Energy Common 98385X106 $34 832 SH Sole 832 YM Biosciences Inc Common 984238105 $184 120000 SH Sole 120000 Yahoo Inc Common 984332106 $14 800 SH Sole 800 iShares China 25 Index Fund ETF 464287184 $154 3763 SH Sole 3763 iShares Emerging Markets Index Fund Common 464287234 $149 3838 SH Sole 3838 iShares European Mon Union Index Common 464286608 $90 2368 SH Sole 2368 Fund iShares Goldman Sachs Semiconductor ETF 464287523 $155 3451 SH Sole 3451 Index Fund iShares Lehman TIPS Bond Fund Common 464287176 $151 1466 SH Sole 1466 iShares Russell 2000 Growth Common 464287648 $114 1743 SH Sole 1743 iShares Russell Midcap Value Common 464287473 $101 2850 SH Sole 2850 iShares S&P 500 Common 464287200 $363 3422 SH Sole 3422 iShares S&P Goldman Sachs Technology Common 464287549 $137 2785 SH Sole 2785 Index iShares iBoxx High Yield Corp. Bond ETF 464288513 $69 800 SH Sole 800 Fund Vanguard Short Term Bond ETF ETF 921937827 $66 825 SH Sole 825 iShares 20+ year Treasury Bond Common 464287432 $4,237 42941 SH Sole 42941 Blackrock Muni NY Interduration Find Common 09255F109 $44 3500 SH Sole 3500 Blackrock Muni Holdings NY Insd Common 09255C106 $136 10000 SH Sole 10000 Blackrock Muniyield NY Insd Common 09255E102 $148 12000 SH Sole 12000 Blackrock NY Muni Bond Tr Common 09249P106 $180 11200 SH Sole 11200 Dreyfus Strategic Municipals Inc. Common 261932107 $265 33564 SH Sole 33564 Eaton Vance Ins NY Muni Bond Fund II Common 27828T109 $68 5000 SH Sole 5000 iShares Trust SP California AMTFR MN Common 464288356 $26 240 SH Sole 240 iShares Trust S&P Nat'l Muni Bond Common 464288414 $48 450 SH Sole 450 Fund Japan Smaller Cap Fund Common 47109U104 $1 75 SH Sole 75 Neuberger Berman New York Common 64124K102 $52 4000 SH Sole 4000 Intermediate Muni Nuveen California Muni Value Common 67062C107 $75 7800 SH Sole 7800 Fund Inc. Nuveen Ins NY Premium Income Common 67101R107 $68 5000 SH Sole 5000 Nuveen Insured Quality Muni Fund Common 67062N103 $14 1000 SH Sole 1000 Nuveen NY Div Adv Muni 2 Common 67070A101 $40 3000 SH Sole 3000 Pimco Corp. Income Fund Common 72200U100 $166 11900 SH Sole 11900 Pimco Corp. Opportunity Fund Common 72201B101 $87 6200 SH Sole 6200 Aberdeen Asia Pac Income Fund Common 003009107 $1,295 209243 SH Sole 209243 Blackrock California Muni Income Common 09249S100 $157 11458 SH Sole 11458 Trust II Eaton Vance Short Duration Div. Inc. Common 27828V104 $55 3400 SH Sole 3400 Highland Credit Strategies Fund Common 43005Q107 $1 92 SH Sole 92 Managed High Yirld Plus Fund Common 561911108 $124 68296 SH Sole 68296 Nuveen Multi Strategy Income/Growth Common 67073D102 $21 2865 SH Sole 2865 Fund 2 Pimco High Income Fund Common 722014107 $93 8952 SH Sole 8952 iBoxx Inv. Gr Corp. Bond Fund Common 464287242 $902 8455 SH Sole 8455
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