-----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, RRYKMSVU5ZJ+D4Tkx4deadox+HvATNQAl1pA6fnCDItnQNqtqfsj7luQTLK4ucbR 1m7mVtBSLpzUeIGzCE/owg== 0001161722-10-000001.txt : 20100216 0001161722-10-000001.hdr.sgml : 20100215 20100216111703 ACCESSION NUMBER: 0001161722-10-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 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: 10603483 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: Dec 31, 2009 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 February 16, 2010 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: 261 Form 13F Information Table Value Total: $234,326 ($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 788 5857 SH SOLE 5857 AMBAC FINANCIAL GROUP INC (FOR COM 023139108 33 40000 SH SOLE 3000 37000 AMERICAN APPAREL INC COM 023850100 31 10000 SH SOLE 10000 AMERICAN EXPRESS CO COM COM 025816109 275 6779 SH SOLE 6779 AMGEN INCCOM COM 031162100 294 5203 SH SOLE 759 4444 AMPHENOL CORP NEW CL A COM 032095101 951 20600 SH SOLE 20600 APPLE INC COM 615 2920 SH SOLE 380 2540 ARCSIGHT INC COM 039666102 371 14500 SH SOLE 14500 AVT INC COM 002422103 14 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 213 22021 SH SOLE 8166 13855 Arena Pharmaceuticals Inc COM 040047102 66 18700 SH SOLE 7000 11700 BALSAM VENTURES INC NEW COM 058820200 1 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 770 51117 SH SOLE 4984 46133 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 12569 3825 SH SOLE 54 3771 Bank 1440 Peoria Ariz Com COM 062199104 73 24407 SH SOLE 24407 Bionovo Inc. COM 12 25000 SH SOLE 25000 Bravo Brands Inc COM 105666101 0 20000 SH SOLE 20000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 468 55000 SH SOLE 55000 CHEVRON CORPORATION COM 396 5149 SH SOLE 4423 726 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 6 20000 SH SOLE 20000 CISCO SYSTEMS INC COM 551 22998 SH SOLE 5245 17753 CITIGROUP INC COM COM 172967101 422 127564 SH SOLE 55918 71646 CLEAN ENERGY FUELS CORP COM 184499101 191 12400 SH SOLE 12400 COCA COLA CO COM 191216100 738 12946 SH SOLE 5721 7225 COSTCO WHSL CORP NEW COM 300 5068 SH SOLE 3600 1468 CYBERDEFENDER CORPORATION COM 23248l107 114 24196 SH SOLE 24196 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 3 20000 SH SOLE 20000 Cic Energy Corp COM g2136r106 46 31255 SH SOLE 31255 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 133 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e107 32 64517 SH SOLE 64517 DENWAY MOTORS LTD HKD0.1 COM y2032y106 6 10000 SH SOLE 10000 Drugstore Com Inc Com COM 262241102 62 20000 SH SOLE 20000 EXXON MOBIL CORPORATION COM 1325 19432 SH SOLE 2950 16482 Easyriders Inc. COM 0 15500 SH SOLE 15500 Evergreen Energy Inc COM 30024b104 102 302950 SH SOLE 11325 291625 FIDELITY NATL INFORMATION SVCS COM 31620M106 2219 94651 SH SOLE 94651 FORD MOTOR COMPANY NEW COM 623 62341 SH SOLE 34633 27708 FREMONT GENERAL CORPORATION COM 357288109 12 19028 SH SOLE 11000 8028 Fidelity National Financial In COM 316326107 3215 238826 SH SOLE 238826 GEELY AUTOMOBILE HOLDINGS LTD COM g3777b103 28 50000 SH SOLE 50000 GENERAL ELECTRIC COMPANY COM 1176 77724 SH SOLE 31320 46404 GOLDMAN SACHS GROUP INC COM 38141g104 1006 5959 SH SOLE 5959 GOOGLE INC CLASS A COM 469 756 SH SOLE 201 555 GREEN PLANET GROUP INC COM 393225107 3 40000 SH SOLE 40000 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HERBALIFE LTD COMMON STOCK COM g4412g101 3455 85168 SH SOLE 78966 6202 INTEL CORP COM 458140100 512 25096 SH SOLE 1327 23769 INTL BUSINESS MACHINES COM 2260 17263 SH SOLE 20 17243 INTUITIVE SURGICAL NEW COM 558 1840 SH SOLE 1400 440 JOHNSON & JOHNSON COM 349 5421 SH SOLE 2608 2813 JONES LANG LASALLE INC COM COM 48020Q107 525 8700 SH SOLE 8700 Javo Beverage Company Inc COM 47189r104 32 245000 SH SOLE 245000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 166 11100 SH SOLE 100 11000 LIGHTWAVE LOGIC INC COM 532275104 14 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 3 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 1030 56178 SH SOLE 56178 MCAFEE INC COM 579064106 220 5415 SH SOLE 5415 MERCK & CO INC NEW COM 358 9806 SH SOLE 1806 8000 MERRIMAN CURHAN FORD GROUP INC COM 590418109 9 10000 SH SOLE 10000 MICROSOFT CORP COM 1992 65369 SH SOLE 4048 61321 MOTOROLA INC COM 620076109 178 23000 SH SOLE 3000 20000 Metro-Goldwyn-Mayer Inc New COM 591610100 112 12270 SH SOLE 100 12170 NASDAQ OMX GROUP INC (THE) COM 631103108 492 24823 SH SOLE 24823 North American Pallidum Compan COM 144 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 ORACLE CORP COM 68389x105 1452 59156 SH SOLE 3250 55906 PACWEST BANCORP COM 695263103 598 29680 SH SOLE 29680 PFIZER INCORPORATED COM 268 14750 SH SOLE 5593 9157 PHILIP MORRIS INTL INC COM 6300 130731 SH SOLE 130464 267 PROCTER & GAMBLE COM 1040 17160 SH SOLE 560 16600 Pacific Snax Corp-Cl A COM 694820101 0 33333 SH SOLE 33333 Pinetree Capital Corp New COM 723330106 24 11700 SH SOLE 11700 Rite Aid Corp Com COM 767754104 53 35000 SH SOLE 35000 SALESFORCE COM INCCOM COM 79466L302 295 4000 SH SOLE 4000 SEAGATE TECHNOLOGY F COM 550 30225 SH SOLE 11765 18460 SIRIUS XM RADIO INC COM 82966U103 22 37131 SH SOLE 790 36341 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 SRI/SURGICAL EXPRESS INC COM 78464w104 41 20000 SH SOLE 20000 STARBUCKS CORP COM 325 14103 SH SOLE 818 13285 STILLWATER MINING CO COM 86074q102 308 32500 SH SOLE 32500 Scm Microsystems Inc COM 784018103 33 14000 SH SOLE 14000 Smartalk Teleservices Inc COM 83169a100 0 50000 SH SOLE 50000 Standard Pacific Corp New COM 85375c101 64 17000 SH SOLE 17000 TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000 TRAVELSTAR INC COM 89421l107 0 81000 SH SOLE 81000 TYSON FOODS INC CL A COM 902494103 245 20000 SH SOLE 20000 Tenneco Inc COM 880349105 262 14750 SH SOLE 14750 Transition Therapeutics Inc Ne COM 893716209 425 118002 SH SOLE 118002 U S BANCORP DEL NEW COM 2839 126120 SH SOLE 100 126020 UNITED PARCEL SERVICE B CLASS COM 911312106 13585 236802 SH SOLE 302 236500 UNITED STATES STL CORP NEW COM 912909108 287 5200 SH SOLE 5200 VISA INC CL A COMMON STOCK COM 92826c839 2195 25100 SH SOLE 3600 21500 Volcano Corp COM 928645100 700 40300 SH SOLE 40300 WAL-MART STORES INC COM 1016 19008 SH SOLE 13876 5132 WASHINGTON MUTUAL INC COM wamuq 2 15000 SH SOLE 15000 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 377 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 39 11866 SH SOLE 11866 BHP BILLITON LTD ADR F SPONSOR ADR 4403 57490 SH SOLE 25 57465 CHINA MED TECHNOLOGIES INC SPO ADR 169483104 402 28600 SH SOLE 28600 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 363 24700 SH SOLE 24700 PETROLEO BRASILEIRO SA PETROBR ADR 71654v408 323 6780 SH SOLE 6580 200 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 5309 464047 SH SOLE 464047 BARCLAYS BANK IPATH ETN DJ UBS INDEX CEF 559 13235 SH SOLE 13235 BLDRS EMERGING MKTS INDEX CEF 09348r300 433 9820 SH SOLE 4535 5285 ISHARES INC MSCI BRAZIL INDEX INDEX CEF 464286400 216 2890 SH SOLE 2890 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 222 5340 SH SOLE 3470 1870 ISHARES MSCI HK IDX FD HONG KO INDEX CEF 464286871 1057 67508 SH SOLE 64908 2600 ISHARES OIL & GAS EXPL INDEX F INDEX CEF 464288851 1069 19800 SH SOLE 14700 5100 ISHARES RUSSELL 1000 VAL RUSSE INDEX CEF 464287598 532 9265 SH SOLE 7590 1675 ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 585 12912 SH SOLE 12912 ISHARES RUSSELL MIDCAP INDEX F INDEX CEF 464287499 1937 23480 SH SOLE 23480 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 1309 22579 SH SOLE 18662 3917 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 525 9896 SH SOLE 6156 3740 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 1195 15380 SH SOLE 10010 5370 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 457 8266 SH SOLE 4799 3467 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 2826 56692 SH SOLE 47992 8700 ISHARES TR S&P LATIN AMER 40 I INDEX CEF 464287390 239 5010 SH SOLE 1750 3260 ISHARES TR S&P MIDCAP S&P MIDC INDEX CEF 464287507 406 5613 SH SOLE 4893 720 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 429 6301 SH SOLE 3259 3042 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 656 16203 SH SOLE 15203 1000 ISHARES TRUST RUSSELL 3000 IND INDEX CEF 464287689 353 5415 SH SOLE 375 5040 ISHARES TRUST S&P MIDCAP 400 V INDEX CEF 464287705 470 7125 SH SOLE 4225 2900 POWERSHS DB COMMDTY INDX INDEX CEF 883 35855 SH SOLE 32965 2890 POWERSHS QQQ TRUST SER 1 INDEX CEF 802 17521 SH SOLE 7912 9609 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 3390 30418 SH SOLE 23628 6790 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y704 756 27190 SH SOLE 18130 9060 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y803 718 31332 SH SOLE 21409 9923 SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 321 9196 SH SOLE 8191 1005 SPDR S&P MIDCAP 400 ETF INDEX CEF 1592 12081 SH SOLE 12081 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 258 4575 SH SOLE 2400 2175 ISHARES IBOXX $ HIGH YIELD COR ETF 464288513 690 7860 SH SOLE 6490 1370 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 27320 262313 SH SOLE 256176 6137 ISHARES S&P U S PFD FUND S&P U ETF 464288687 2582 70360 SH SOLE 68960 1400 ISHARES TR BARCLAYS 1-3 YR CRE ETF 464288646 3950 38000 SH SOLE 38000 ISHARES TR BARCLAYS BOND BARCL ETF 464287457 497 5985 SH SOLE 5615 370 ISHARES TR BARCLAYS BOND BARCL ETF 261 2545 SH SOLE 2545 ISHARES TR BARCLAYS FUND BARCL ETF 464287226 1422 13777 SH SOLE 7764 6013 POWERSHARES GLOBAL EXCHANGE TR ETF 73936t474 689 29050 SH SOLE 29050 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 1898 116326 SH SOLE 115096 1230 SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 2715 69951 SH SOLE 42610 27341 SPDR SER TR BARCLAYS MUN BD ET ETF 78464a458 454 20000 SH SOLE 20000 SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 703 12374 SH SOLE 8554 3820 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 260 4850 SH SOLE 4850 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 2287 2352465 SH SOLE 2352465 POPE RESOURCES DEPOSITARY RECE LP 732857107 914 37163 SH SOLE 37163 Smith Barney Aaa Energy Future LP 219 50 SH SOLE 50 Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059 BAC CAP TR VIII 6.00% TR PFD S PFD 05518t209 251 13150 SH SOLE 10650 2500 BAC CAPITAL TRUST IV 5.875% TR PFD 055185201 609 32000 SH SOLE 12000 20000 BAC CAPITAL TRUST V 6% TRUST P PFD 055184204 257 13150 SH SOLE 10650 2500 BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 505 23250 SH SOLE 7000 16250 BLACKROCK MUNIHOLDINGS FD INC PFD 09253n302 400 16 SH SOLE 3 13 Bank of America Dep Sh Repstg PFD 883 36550 SH SOLE 29100 7450 CITIGROUP CAPITAL IX 6.00% TRU PFD 173066200 882 48250 SH SOLE 38000 10250 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 1202 57525 SH SOLE 22400 35125 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 1287 62010 SH SOLE 23540 38470 Citigroup Cap X 6.1% Tr Pfd Se PFD 173064205 338 18449 SH SOLE 9800 8649 FLEET CAP T VIII 7.2% PFD PFD 33889X203 954 43048 SH SOLE 29550 13498 FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 305 16017 SH SOLE 3190 12827 GABELLI GLOBAL DEAL FUND(THE) PFD 36245g202 2638 49485 SH SOLE 40285 9200 KEYCORP CAPITAL X 8 % ENHANCED PFD 49327r103 240 10800 SH SOLE 10800 MBNA CAPITAL D 8.125% PFD DUE PFD 55266j200 375 15350 SH SOLE 10625 4725 MBNA CAPITAL SERIES E 8.10% TR PFD 55270b201 603 24450 SH SOLE 14990 9460 MORGAN STANLEY DEAN WITTER MUN PFD 61745p395 900 9 SH SOLE 6 3 NATIONAL CITY CAP 8.0%47 CAP T PFD 375 15000 SH SOLE 15000 NUVEEN CALIF MUN ADV FD MUNI F PFD 67066y501 1307 129900 SH SOLE 89300 40600 NUVEEN INSURED QUALITY MUN FUN PFD 67062n400 525 21 SH SOLE 5 16 PIMCO CALIF MUN INCOME FD AUCT PFD 72200n304 250 10 SH SOLE 10 Security Etch Intl Sr-B Red/Cv PFD 0 20000 SH SOLE 20000 TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000 VAN KAMPEN TR INVT GRADE MUNS PFD 920929601 525 21 SH SOLE 21 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 163 12020 SH SOLE 12020 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 268 20320 SH SOLE 14600 5720 BLACKROCK CA MUNI BD XXX STOCK NON-TAX CEF 09249s100 145 11080 SH SOLE 11080 BLACKROCK CALIF MUN BD TR COM NON-TAX CEF 09249j100 377 27639 SH SOLE 27639 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 975 77410 SH SOLE 13310 64100 BLACKROCK MUNIVEST FD II NON-TAX CEF 228 16300 SH SOLE 15100 1200 BLACKROCK MUNIYIELD CALIF FD I NON-TAX CEF 09254m105 1077 83637 SH SOLE 8290 75347 BLKRCK MUNIHLDGS INSD FD NON-TAX CEF 499 38440 SH SOLE 37200 1240 BLKRCK MUNIHLDGS INSD II NON-TAX CEF 315 24220 SH SOLE 24220 BLKRCK MUNIYIELD CA INSD NON-TAX CEF 1650 131244 SH SOLE 38350 92894 CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 912 71240 SH SOLE 7900 63340 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 122 15853 SH SOLE 13853 2000 DREYFUS STRATEGIC MUNS NON-TAX CEF 162 20100 SH SOLE 20100 MS INSURED MUNI TRUST SBI NON-TAX CEF 150 11200 SH SOLE 11200 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 264 21300 SH SOLE 10400 10900 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 708 52598 SH SOLE 11673 40925 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 447 36050 SH SOLE 4900 31150 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 516 40190 SH SOLE 25670 14520 NUVEEN CALIFORNIA MUNICIPAL MA NON-TAX CEF 67062u107 284 21600 SH SOLE 1900 19700 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 643 51740 SH SOLE 17840 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 311 25600 SH SOLE 25600 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 1096 81100 SH SOLE 20970 60130 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 669 50203 SH SOLE 7673 42530 NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 211 14650 SH SOLE 10030 4620 NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 137 10250 SH SOLE 6750 3500 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 169 12000 SH SOLE 12000 PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 159 23900 SH SOLE 23900 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 158 12723 SH SOLE 12723 Pimco California Municipal Inc NON-TAX CEF 72201c109 127 14000 SH SOLE 14000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 229 18500 SH SOLE 18500 VAN KAMPEN CALIFORNIA VALUE MU NON-TAX CEF 92112b107 747 62556 SH SOLE 62556 Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 Convertible Promissory Note #2 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 MEDTRONIC INC SR NT CONV CONV 585055al0 305 300000 PRN SOLE 300000 METLIFE CAP TR IV EXCH 144A7.8 CONV 591560AA5 1493 1500000 PRN SOLE 1500000 ABERDEEN ASIA PAC INCM TAXABLE CEF 8612 1385286 SH SOLE 12400 1372886 ADVENT CLAYMORE GLOBAL TAXABLE CEF 94 11511 SH SOLE 9861 1650 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 2233 270667 SH SOLE 122049 148618 BLACKROCK FLOATING RATE INCOME TAXABLE CEF 09255x100 174 12237 SH SOLE 12237 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 1249 108200 SH SOLE 32859 75341 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 793 64325 SH SOLE 34657 29668 DWS MULTI MKT INCOME TR TAXABLE CEF 23338l108 205 23824 SH SOLE 23824 EATON VANCE CREDIT OPPORTUNITI TAXABLE CEF 278271101 259 27748 SH SOLE 27748 EATON VANCE FLOATING RATE INCO TAXABLE CEF 278279104 156 11015 SH SOLE 7265 3750 EATON VANCE LTD DURATION INCOM TAXABLE CEF 2632 176636 SH SOLE 85281 91355 EVERGREEN INCM ADVANTGE TAXABLE CEF 553 58180 SH SOLE 31953 26227 EVERGREEN MULTI SECT FD MULTI TAXABLE CEF 1374 96909 SH SOLE 68984 27925 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 235 19597 SH SOLE 14871 4726 Franklin Universal Trust-Sbi TAXABLE CEF 355145103 86 14800 SH SOLE 14800 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 777 63915 SH SOLE 63915 HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 578 42951 SH SOLE 41017 1934 HANCOCK JOHN INVESTRS TR TAXABLE CEF 244 13360 SH SOLE 13044 316 HARTFORD INCOME SHS FUND TAXABLE CEF 416537108 117 20627 SH SOLE 20627 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 377 63225 SH SOLE 13225 50000 HELIOS TOTAL RETURN FUND TAXABLE CEF 229 44322 SH SOLE 44322 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 145 22948 SH SOLE 20072 2876 ING PRIME RATE TR SH BEN INT TAXABLE CEF 44977w106 64 12333 SH SOLE 12333 M S EMERGING MKTS DEBT TAXABLE CEF 1189 86917 SH SOLE 12439 74478 M S EMERGING MKTS DEBT TAXABLE CEF 61744h105 105 10400 SH SOLE 3400 7000 NICHOLAS-APPLEGATE CONV & INCO TAXABLE CEF 65370f101 251 27079 SH SOLE 6600 20479 NICHOLAS-APPLEGATE CONVERTIBLE TAXABLE CEF 65370g109 258 30452 SH SOLE 17952 12500 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 1321 122800 SH SOLE 105230 17570 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1015 98100 SH SOLE 92220 5880 NUVEEN GOVT INCOME FUND TAXABLE CEF 448 29101 SH SOLE 26284 2817 NUVEEN MULTI STRAT INCM TAXABLE CEF 216 28059 SH SOLE 23544 4515 NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 115 15375 SH SOLE 13360 2015 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 173 23903 SH SOLE 15803 8100 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 83 12573 SH SOLE 12573 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 91 13100 SH SOLE 11700 1400 PIMCO CORPORATE OPPTY FD TAXABLE CEF 4518 313784 SH SOLE 123744 190040 PIMCO FLOATING RATE STRA TAXABLE CEF 72201j104 388 39275 SH SOLE 39275 PIMCO INCOME OPPTY FUND TAXABLE CEF 3658 163502 SH SOLE 39451 124051 PIONEER FLOATING RATE TR TAXABLE CEF 177 15328 SH SOLE 15328 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 439 72852 SH SOLE 70318 2534 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 520 84811 SH SOLE 77803 7008 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 441 40153 SH SOLE 30253 9900 TEMPLETON EMERGING MARKETS INC TAXABLE CEF 880192109 163 11300 SH SOLE 6050 5250 Templeton Global Income Fund TAXABLE CEF 880198106 3130 329458 SH SOLE 1070 328388 VAN KAMPEN DYNAMIC FUND TAXABLE CEF 178 15051 SH SOLE 12551 2500 VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 287 3610 SH SOLE 2940 670 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 194 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 1494 111826 SH SOLE 77910 33916 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 456 37871 SH SOLE 30965 6906 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 181 16366 SH SOLE 16366 WESTRN ASSET WRLDWD INCM TAXABLE CEF 133 10454 SH SOLE 10454 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 629 36261 SH SOLE 32101 4160 Western Asset Emerging Mkts In TAXABLE CEF 95766f100 159 12900 SH SOLE 9450 3450 ALPINE GLOBAL PREMIER PPTYS FD REIT CEF 02083a103 542 87077 SH SOLE 87077
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