-----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, BJbmlEDB3I+8Yt+W7Ik/V1kHs22B5KkZD1Aub/dQVnM3ksiP2eHJsbF5QEd+ZHxj 1qEXZxvtVV1dqvZNM0o/KA== 0001161722-10-000004.txt : 20100805 0001161722-10-000004.hdr.sgml : 20100805 20100805123829 ACCESSION NUMBER: 0001161722-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100805 DATE AS OF CHANGE: 20100805 EFFECTIVENESS DATE: 20100805 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 10993525 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/A 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: Jun 30, 2010 Check Here if Amendment [ ] This Amendment (Check only one.): [X] 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 August 5, 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: 286 Form 13F Information Table Value Total: $275,012 ($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 730 6682 SH SOLE 6682 AMERICAN EXPRESS CO COM COM 025816109 240 6040 SH SOLE 6040 AMGEN INCCOM COM 031162100 260 4943 SH SOLE 834 4109 AMPHENOL CORP NEW CL A COM 032095101 809 20600 SH SOLE 20600 APPLE INC COM 966 3840 SH SOLE 580 3260 ARCSIGHT INC COM 039666102 280 12500 SH SOLE 12500 ARENA PHARMACEUTICALS COM 040047102 57 18700 SH SOLE 7000 11700 AVT INC COM 002422103 10 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 151 20647 SH SOLE 3586 17061 BALSAM VENTURES INC NEW COM 058820200 1 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 764 53138 SH SOLE 5484 47654 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 15281 191750 SH SOLE 2700 189050 Bank 1440 Peoria Ariz Com COM 062199104 63 24407 SH SOLE 24407 Bionovo Inc. COM 10 25000 SH SOLE 25000 Brocade Communications Sys Inc COM 111621108 52 10001 SH SOLE 10001 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 501 55000 SH SOLE 55000 CHEVRON CORPORATION COM 166764100 343 5061 SH SOLE 4511 550 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000 CISCO SYSTEMS INC COM 511 23998 SH SOLE 5545 18453 CITIGROUP INC COM COM 172967101 1048 278734 SH SOLE 107818 170916 COCA COLA CO COM 191216100 298 5946 SH SOLE 5721 225 COSTCO WHSL CORP NEW COM 22160k105 277 5053 SH SOLE 3600 1453 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 2 20000 SH SOLE 20000 Cic Energy Corp COM g2136r106 40 31255 SH SOLE 31255 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 146 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e107 30 64517 SH SOLE 64517 DENWAY MOTORS LTD HKD0.1 COM y2032y106 5 10000 SH SOLE 10000 EXXON MOBIL CORPORATION COM 30231g102 1245 21812 SH SOLE 2950 18862 Evergreen Energy Inc COM 30024b104 32 302950 SH SOLE 11325 291625 FIDELITY NATL INFORMATION SVCS COM 31620M106 2539 94651 SH SOLE 94651 FORD MOTOR COMPANY NEW COM 683 67741 SH SOLE 34533 33208 Fidelity National Financial In COM 316326107 3102 238826 SH SOLE 238826 GEELY AUTOMOBILE HOLDINGSLIMIT COM g3777b103 15 50000 SH SOLE 50000 GENERAL ELECTRIC COMPANY COM 1127 78180 SH SOLE 26735 51445 GOOGLE INC CLASS A COM 325 731 SH SOLE 201 530 GREEN PLANET GROUP INC COM 393225107 1 40000 SH SOLE 40000 Gsi Commerce Inc Com COM 36238G102 236 8200 SH SOLE 8200 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HERBALIFE LTD COMMON STOCK COM g4412g101 3905 84791 SH SOLE 78966 5825 INSMED INC NEW COM 457669208 10 15000 SH SOLE 15000 INTEL CORP COM 458140100 484 24890 SH SOLE 2333 22557 INTL BUSINESS MACHINES COM 459200101 2155 17451 SH SOLE 20 17431 INTUITIVE SURGICAL NEW COM 581 1840 SH SOLE 1400 440 ISHARES MSCI THAI INDEX THAILA COM 287 6237 SH SOLE 6237 JOHNSON & JOHNSON COM 478160104 265 4489 SH SOLE 1670 2819 JONES LANG LASALLE INC COM COM 48020Q107 571 8700 SH SOLE 8700 Javo Beverage Company Inc COM 47189r104 22 245000 SH SOLE 245000 LAKES ENTERTAINMENT INC COM 51206p109 15 10000 SH SOLE 10000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 250 11300 SH SOLE 11300 LIGHTWAVE LOGIC INC COM 532275104 14 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 1 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 819 56178 SH SOLE 56178 MARKET VECTORS ETF TRUST INDON COM 1478 20600 SH SOLE 20600 MARKET VECTORS ETF VIETNAM COM 459 18400 SH SOLE 18400 MERCK & CO INC NEW COM 316 9050 SH SOLE 1050 8000 MERRIMAN CURHAN FORD GROUP INC COM 590418109 6 10000 SH SOLE 10000 MICROSOFT CORP COM 594918104 1526 66326 SH SOLE 2838 63488 MOTOROLA INC COM 620076109 150 23000 SH SOLE 3000 20000 Metro-Goldwyn-Mayer Inc New COM 591610100 117 12170 SH SOLE 12170 North American Pallidum Compan COM 128 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 ORACLE CORPORATION COM 68389x105 1185 55197 SH SOLE 4450 50747 PACWEST BANCORP COM 695263103 552 30133 SH SOLE 30133 PFIZER INCORPORATED COM 717081103 147 10290 SH SOLE 1550 8740 PHILIP MORRIS INTL INC COM 718172109 6104 133159 SH SOLE 132892 267 PROCTER & GAMBLE COM 742718109 1029 17160 SH SOLE 560 16600 Pacific Snax Corp-Cl A COM 694820101 0 33333 SH SOLE 33333 Pinetree Capital Corp New COM 723330106 13 11700 SH SOLE 11700 Rite Aid Corp Com COM 767754104 15 15000 SH SOLE 15000 SALESFORCE COM INCCOM COM 79466L302 343 4000 SH SOLE 4000 SEAGATE TECHNOLOGY PLC F COM g7945m107 394 30225 SH SOLE 11765 18460 SIGNATURE GROUP HOLDINGS COM 82670c100 14 19028 SH SOLE 11000 8028 SIRIUS XM RADIO INC COM 82966U103 35 36990 SH SOLE 790 36200 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 SPECTRUM PHARMACEUTICALS INC COM 84763a108 39 10000 SH SOLE 10000 SRI/SURGICAL EXPRESS INC COM 78464w104 120 30000 SH SOLE 30000 STILLWATER MINING CO COM 86074q102 378 32500 SH SOLE 32500 Scm Microsystems Inc COM 22 14000 SH SOLE 14000 Smartalk Teleservices Inc COM 83169a100 0 50000 SH SOLE 50000 Standard Pacific Corp New COM 85375c101 57 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 328 20000 SH SOLE 20000 Tenneco Inc COM 880349105 311 14750 SH SOLE 14750 Transition Therapeutics Inc Ne COM 893716209 373 118002 SH SOLE 118002 U S BANCORP DEL NEW COM 2819 126120 SH SOLE 100 126020 UNITED PARCEL SERVICE B CLASS COM 911312106 13466 236700 SH SOLE 236700 UNITED STATES STL CORP NEW COM 912909108 312 8100 SH SOLE 8100 VISA INC CL A COMMON STOCK COM 92826c839 1740 24600 SH SOLE 3600 21000 Volcano Corp COM 928645100 875 40100 SH SOLE 40100 WAL-MART STORES INC COM 931142103 901 18735 SH SOLE 13600 5135 WASHINGTON MUTUAL INC COM wamuq 2 15000 SH SOLE 15000 WISDOMTREE INDIA EARNING COM 573 25200 SH SOLE 25200 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 300 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 30 11866 SH SOLE 11866 BHP BILLITON LTD ADR F SPONSOR ADR 088606108 3564 57490 SH SOLE 25 57465 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 292 24500 SH SOLE 24500 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 63 20000 SH SOLE 20000 PETROLEO BRASILEIRO SA PETROBR ADR 71654v408 233 6780 SH SOLE 6580 200 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 4529 464047 SH SOLE 464047 BARCLAYS BANK IPATH ETN DJ UBS INDEX CEF 498 13235 SH SOLE 13235 BLDRS EMERGING MKTS 50 ADR IND INDEX CEF 09348r300 408 10445 SH SOLE 5485 4960 ISHARES MSCI AUS IDX FD AUSTRA INDEX CEF 464286103 1793 94449 SH SOLE 88524 5925 ISHARES MSCI CDA IDX FD CANADA INDEX CEF 433 17424 SH SOLE 17424 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 366 9820 SH SOLE 7950 1870 ISHARES MSCI KOREA IDX KOREA I INDEX CEF 464286772 526 11770 SH SOLE 11770 ISHARES MSCI MALAYSIA MALAYSIA INDEX CEF 464286830 607 53052 SH SOLE 48952 4100 ISHARES MSCI SINGAPORE SINGAPO INDEX CEF 464286673 604 53712 SH SOLE 49912 3800 ISHARES OIL & GAS EXPL INDEX F INDEX CEF 464288851 948 19800 SH SOLE 14700 5100 ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 564 12912 SH SOLE 12912 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 1200 22674 SH SOLE 18757 3917 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 540 10876 SH SOLE 7136 3740 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 1734 22554 SH SOLE 16914 5640 ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 613 9565 SH SOLE 6775 2790 ISHARES TR DOW JONES SEL DIVID INDEX CEF 464287168 379 8944 SH SOLE 8350 594 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 1123 24141 SH SOLE 20914 3227 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 2083 45445 SH SOLE 36255 9190 ISHARES TR RUSSELL 2000 RUSSEL INDEX CEF 464287655 370 6055 SH SOLE 3150 2905 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 331 5415 SH SOLE 5415 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 1471 18289 SH SOLE 18289 ISHARES TR S&P LATN AMER S&P L INDEX CEF 464287390 1295 31277 SH SOLE 28197 3080 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 419 6301 SH SOLE 3259 3042 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 1530 40909 SH SOLE 39909 1000 ISHARES TRUST S&P 500 S&P 500 INDEX CEF 464287200 1839 17779 SH SOLE 17729 50 POWERSHS DB COMMDTY INDX INDEX CEF 73935s105 773 35855 SH SOLE 32965 2890 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 430 10071 SH SOLE 3662 6409 REGIONAL BK HOLDRS TR DEPOSITA INDEX CEF 75902e100 1098 15000 SH SOLE 15000 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 2687 26031 SH SOLE 21081 4950 SECTOR SPDR - FINANCIAL SHS BE INDEX CEF 81369y605 863 62515 SH SOLE 60550 1965 SECTOR SPDR INDUSTRIAL INDEX CEF 81369y704 746 27190 SH SOLE 18130 9060 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 836 41002 SH SOLE 40902 100 SELECT SECTOR SPDR TRUST SHS B INDEX CEF 81369y506 1009 20300 SH SOLE 20000 300 SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 287 9196 SH SOLE 8191 1005 SPDR KBW INSURANCE ETF INDEX CEF 78464a789 224 6350 SH SOLE 6350 SPDR S&P MIDCAP 400 ETF INDEX CEF 1359 10521 SH SOLE 10521 VANGUARD MID CAP GROWTH INDEX CEF 922908538 243 5170 SH SOLE 5170 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 802 15250 SH SOLE 13700 1550 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 29422 271269 SH SOLE 267642 3627 ISHARES S&P U S PFD FUND S&P U ETF 464288687 2179 58795 SH SOLE 56195 2600 ISHARES TR BARCLAYS BOND BARCL ETF 464288646 269 2590 SH SOLE 2240 350 ISHARES TR BARCLAYS BOND BARCL ETF 464287457 411 4885 SH SOLE 4515 370 ISHARES TR BARCLAYS BOND BARCL ETF 464288638 388 3700 SH SOLE 3700 ISHARES TR BARCLAYS FUND BARCL ETF 464287226 1605 14962 SH SOLE 11863 3099 ISHARES TRUST ETF JP MORGAN US ETF 480 4620 SH SOLE 4620 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 2401 28280 SH SOLE 14285 13995 ISHARES TRUST ISHARES BARCLAYS ETF 464287176 522 4883 SH SOLE 4883 POWERSHARES GLOBAL EXCHANGE TR ETF 73936t474 645 26950 SH SOLE 26950 POWERSHS EXCH TRAD FD TR EMERG ETF 73936t573 533 20396 SH SOLE 20396 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 1770 109521 SH SOLE 89191 20330 SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 3520 93046 SH SOLE 59610 33436 SPDR SER TR BARCLAYS MUN BD ET ETF 78464a458 500 21800 SH SOLE 21800 SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 611 11364 SH SOLE 8344 3020 SPDR GOLD TRUST SPDR GOLD SHAR CEFS 78463V107 1925 15820 SH SOLE 6090 9730 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 254 4850 SH SOLE 4850 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 3437 3018182 SH SOLE 3018182 POPE RESOURCES DEPOSITARY RECE LP 732857107 956 37163 SH SOLE 37163 Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953 Smith Barney Aaa Energy Future LP 214 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 264 13150 SH SOLE 10650 2500 BAC CAPITAL TRUST I 7.00% TR P PFD 055187207 307 13700 SH SOLE 13700 BAC CAPITAL TRUST IV PFD ST PFD 055185201 634 32000 SH SOLE 12000 20000 BAC CAPITAL TRUST V 6% TRUST P PFD 055184204 262 13150 SH SOLE 10650 2500 BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 513 23250 SH SOLE 7000 16250 Bank of America Dep Sh Repstg PFD 905 36275 SH SOLE 29100 7175 CITIGROUP CAPITAL IX 6.00% TRU PFD 173066200 931 48250 SH SOLE 38000 10250 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 1197 53335 SH SOLE 18510 34825 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 1264 57920 SH SOLE 19450 38470 Citigroup Cap X 6.1% Tr Pfd Se PFD 173064205 354 18449 SH SOLE 9800 8649 FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 306 15672 SH SOLE 3190 12482 FLEET CAPITAL TRUST VIIIDEF IN PFD 33889x203 994 43481 SH SOLE 29766 13715 GABELLI GLOBAL DEAL FUND(THE) PFD 36245g202 2463 46259 SH SOLE 37359 8900 GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 605 33700 SH SOLE 27500 6200 GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 610 26104 SH SOLE 12604 13500 GOLDMAN SACHS GROUP INC DEP SH PFD 38144x609 228 11100 SH SOLE 6100 5000 GOLDMAN SACHS GROUP INC DEP SH PFD 38144g804 563 31200 SH SOLE 27000 4200 KEYCORP CAPITAL X 8 % ENHANCED PFD 49327r103 263 10800 SH SOLE 10800 MBNA CAPITAL D 8.125% PFD DUE PFD 55266j200 371 15075 SH SOLE 10625 4450 MBNA CAPITAL SERIES E 8.10% TR PFD 55270b201 611 24450 SH SOLE 15600 8850 NATIONAL CITY CAP 8.0%47 CAP T PFD 379 15000 SH SOLE 15000 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 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 175 12020 SH SOLE 12020 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 457 32783 SH SOLE 27063 5720 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 1035 75910 SH SOLE 11810 64100 BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 246 16300 SH SOLE 15100 1200 BLACKROCK MUNIYIELD CALIF FD I NON-TAX CEF 09254m105 1137 83637 SH SOLE 8290 75347 BLKRCK MUNIHLDGS INSD FD NON-TAX CEF 09254p108 542 39190 SH SOLE 37950 1240 BLKRCK MUNIHLDGS INSD II NON-TAX CEF 09254c107 272 20250 SH SOLE 20250 BLKRCK MUNIYIELD CA INSD NON-TAX CEF 09254n103 1762 131460 SH SOLE 38350 93110 CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 991 71240 SH SOLE 7900 63340 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 109 13253 SH SOLE 11253 2000 DREYFUS STRATEGIC MUNS NON-TAX CEF 172 20100 SH SOLE 20100 INVESCO INSURED MUNI TR SBI NON-TAX CEF 46132w103 155 11200 SH SOLE 11200 INVESCO VAN KAMPEN CALIFORNIA NON-TAX CEF 46132h106 798 62556 SH SOLE 62556 NUV CAL MNY M OPP FD INC NON-TAX CEF 67062u107 299 21600 SH SOLE 1900 19700 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 288 21300 SH SOLE 10400 10900 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 674 47298 SH SOLE 6373 40925 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 368 27550 SH SOLE 4900 22650 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 477 34820 SH SOLE 20300 14520 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 628 46300 SH SOLE 12400 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 340 25600 SH SOLE 25600 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 1105 75980 SH SOLE 15850 60130 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 698 47873 SH SOLE 7673 40200 NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 191 12920 SH SOLE 8300 4620 NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 145 10250 SH SOLE 6750 3500 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 176 12000 SH SOLE 12000 PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 746823103 174 23900 SH SOLE 23900 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 174 12723 SH SOLE 12723 Pimco California Municipal Inc NON-TAX CEF 72201c109 142 14000 SH SOLE 14000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 259 18500 SH SOLE 18500 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 298 300000 PRN SOLE 300000 METLIFE CAP TR IV EXCH 144A7.8 CONV 591560AA5 1440 1500000 PRN SOLE 1500000 ABERDEEN ASIA PAC INCM TAXABLE CEF 8644 1428699 SH SOLE 12400 1416299 ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 1948 239359 SH SOLE 123491 115868 AMERN STRATEGIC INCM III TAXABLE CEF 93 10226 SH SOLE 10226 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 1510 125827 SH SOLE 52351 73476 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 717 59890 SH SOLE 32222 27668 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 3009 188070 SH SOLE 102804 85266 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 290 23692 SH SOLE 15721 7971 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 516 43218 SH SOLE 6800 36418 HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 410123103 642 44163 SH SOLE 43148 1015 HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 294 13668 SH SOLE 13668 HARTFORD INCOME SHS FUND TAXABLE CEF 416537108 121 20627 SH SOLE 20627 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 390 63952 SH SOLE 13952 50000 HELIOS TOTAL RETURN FUND TAXABLE CEF 214 37542 SH SOLE 37542 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 164 22948 SH SOLE 20072 2876 INVESCO VAN KAMPEN DYNAMIC FUN TAXABLE CEF 46132r104 145 12693 SH SOLE 12693 M S EMERGING MKTS DEBT TAXABLE CEF 1432 97764 SH SOLE 23356 74408 MFS MULTI MKT INC TRUST SH BEN TAXABLE CEF 552737108 388 59220 SH SOLE 57120 2100 NICHOLAS-APPLEGATE CONV & INCO TAXABLE CEF 65370f101 219 23848 SH SOLE 6600 17248 NICHOLAS-APPLEGATE CONVERTIBLE TAXABLE CEF 65370g109 195 22852 SH SOLE 12352 10500 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 1302 114600 SH SOLE 103630 10970 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1052 97361 SH SOLE 93961 3400 NUVEEN GOVT INCOME FUND TAXABLE CEF 67090n109 371 27520 SH SOLE 24623 2897 NUVEEN MULTI STRAT INCM TAXABLE CEF 67073b106 98 13360 SH SOLE 13360 NUVEEN MULTI STRAT INCM TAXABLE CEF 165 21209 SH SOLE 18709 2500 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 181 24158 SH SOLE 16058 8100 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 94 13105 SH SOLE 13105 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 95 13100 SH SOLE 11700 1400 PIMCO CORPORATE OPPTY FD TAXABLE CEF 2736 158645 SH SOLE 41178 117467 PIMCO INCOME OPPTY FUND TAXABLE CEF 4356 175794 SH SOLE 49947 125847 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 3322 335507 SH SOLE 140619 194888 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 1951 181295 SH SOLE 103258 78037 PIONEER FLOATING RATE TR TAXABLE CEF 72369j102 330 27063 SH SOLE 27063 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 103 16665 SH SOLE 16665 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 568 87613 SH SOLE 83113 4500 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 430 40323 SH SOLE 30423 9900 TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 3262 338342 SH SOLE 1070 337272 VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 206 2540 SH SOLE 2240 300 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 529 55761 SH SOLE 29033 26728 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 1428 97308 SH SOLE 70655 26653 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 191 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 1178 84577 SH SOLE 74747 9830 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 474 38485 SH SOLE 31579 6906 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 195 17263 SH SOLE 17263 WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 133 10601 SH SOLE 10601 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 721 41632 SH SOLE 34442 7190 Western Asset Emerging Mkts In TAXABLE CEF 95766f100 152 12450 SH SOLE 6650 5800 ALPINE TOTAL DYNAMIC DIVIDEND CEFS 021060108 294 59323 SH SOLE 59323 BLACKROCK CREDIT ALLOCATION IN CEFS 092508100 449 37545 SH SOLE 37545 BLACKROCK ENHANCED DIVID ACHIE CEFS 09251a104 84 10785 SH SOLE 10610 175 BLACKROCK STRATEGIC DIVIDEND A CEFS 09249y107 578 66365 SH SOLE 62999 3366 CALAMOS GLOBAL INCOME FD CEFS 88 13065 SH SOLE 13065 CALAMOS STRGC TOT RET FD CEFS 181 23536 SH SOLE 22271 1265 CLOUGH GLOBAL ALLOCATION FD CEFS 18913y103 171 12562 SH SOLE 12562 CLOUGH GLOBAL EQUITY FD CEFS 18914c100 153 12497 SH SOLE 12497 CLOUGH GLOBAL OPPORTUNITIES FD CEFS 18914e106 189 16536 SH SOLE 16536 EATON VANCE TAX MANAGED DIVERS CEFS 27828n102 184 17000 SH SOLE 17000 EATON VANCE TAX-MANAGED GLOBAL CEFS 27829c105 527 47020 SH SOLE 46720 300 LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 184 46115 SH SOLE 46115 MADISON CLAYMORE COVERED CALL CEFS 556582104 80 10280 SH SOLE 10280 NICHOLAS-APPLEGATE GLOBAL EQUI CEFS 65370l108 625 44845 SH SOLE 1400 43445 NUVEEN DIVERSFD DIVID FD CEFS 205 20759 SH SOLE 16359 4400 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 10014 407073 SH SOLE 407073 POWERSHARES EXCH TRAD FD BUILD ETF 73937b407 6197 237446 SH SOLE 194116 43330 PROSHARES ULTRA BASIC MATERIAL ETFS 74347r776 864 35000 SH SOLE 35000 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1157 83709 SH SOLE 31442 52267 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 1304 109265 SH SOLE 24182 85083 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 712 41000 SH SOLE 7000 34000 GABELLI EQUITY TRUST INC CEFS 362397101 1490 331750 SH SOLE 26800 304950 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 474 87748 SH SOLE 87748
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