-----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, KbmXlVnUtpbT+aa4D2Mro70MYoDWz8KM0zsB3faIqduKHGTcOmuKqHHkVjNatm+1 26ge6tHrRsjtLAMw2eFmnw== 0000906344-10-000357.txt : 20101112 0000906344-10-000357.hdr.sgml : 20101111 20101112144116 ACCESSION NUMBER: 0000906344-10-000357 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101185673 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 sfs3q10.txt FORM 13F - THIRD QUARTER 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/10 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 10, 2010 - ----------------------------- ------------------------ ----------------- [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: 375 Form 13F Information Table Value Total (x$1000): 256,881 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 2010 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 $ 507 5852 SH Sole 5852 ABB, Ltd. Common 000375204 $ 21 1000 SH Sole 1000 AMR Corp Del Common 001765106 $ 79 12658 SH Sole 12658 AOL Time Warner Inc. Common 00184X105 $ 1 48 SH Sole 48 ARC Energy Trust Common 001986108 $ 178 8900 SH Sole 8900 AT&T Inc. Common 00206r102 $ 590 20625 SH Sole 20625 ATP Oil & Gas Corp. Common 00208j108 $ 41 3000 SH Sole 3000 Abbot Laboratories Common 002824100 $ 402 7700 SH Sole 7700 Abercrombie & Fitch Co. Common 002896207 $ 51 1300 SH Sole 1300 ACE Ltd. Common H0023R105 $ 350 6000 SH Sole 6000 Activions Blizzard Inc. Common 00507V109 $ 108 10000 SH Sole 10000 Adobe Systems Inc Common 00724f101 $ 7,364 281600 SH Sole 281600 Advanced Battery Technologies Common 00752H102 $ 104 29000 SH Sole 29000 Agilent Technologies Inc Common 00846u101 $ 291 8709 SH Sole 8709 Air Prod & Chemical Inc Common 009158106 $ 463 5590 SH Sole 5590 Alcoa, Inc. Common 013817101 $ 298 24582 SH Sole 24582 Alliance Resource Partners, L.P. Common 01877R108 $ 18 300 SH Sole 300 Alliance Bernstein Common 01881g106 $ 13 500 SH Sole 500 Allied Irish Banks Common 019228402 $ 14 10000 SH Sole 10000 Allscripts Misys Healthcare Common 01988P108 $ 185 10000 SH Sole 10000 Solutions Inc Altair Nanatechnologies, Inc. Common 021373105 $ 250 403041 SH Sole 403041 Altria Group Inc Common 02209S103 $ 154 6425 SH Sole 6425 Amazon.com, Inc. Common 023135106 $ 275 1750 SH Sole 1750 American Capital Ltd. Common 02503Y103 $ 2 318 SH Sole 318 American Express Co Common 025816109 $ 47 1110 SH Sole 1110 American Intl Group Common 026874784 $ 6 159 SH Sole 159 American Tower Corp Common 029912201 $ 69 1350 SH Sole 1350 Amgen Inc Common 031162100 $ 6,595 119673 SH Sole 119673 Amylin Pharmaceuticals Common 032346108 $ 42 2000 SH Sole 2000 Anadarko Petroleum Corp. Common 032511107 $ 717 12570 SH Sole 12570 Analog Devices Inc. Common 032654105 $ 2,510 80000 SH Sole 80000 Apache Corp Common 037411105 $ 621 6350 SH Sole 6350 Apple Computer Common 037833100 $ 1,094 3855 SH Sole 3855 Applied Materials Common 038222105 $ 52 4475 SH Sole 4475 Aqua America, Inc. Common 03836W103 $ 39 1900 SH Sole 1900 Ares Capital Corporation Common 04010L103 $ 64 4100 SH Sole 4100 Arris Group, Inc. Common 04269Q100 $ 362 37078 SH Sole 37078 BP Purdhoe Bay Royalty Trust UBI Common 055630107 $ 1,501 14520 SH Sole 14520 BYD Co. H Shares Common Y1023R104 $ 137 17000 SH Sole 17000 Backcock & Wilcox, Co. Common 05615F102 $ 3 127 SH Sole 127 Bankamerica Corp Common 060505104 $ 772 58934 SH Sole 58934 Baxter International Common 071813109 $ 256 5375 SH Sole 5375 Beckman Coulter Inc Common 075811109 $ 56 1140 SH Sole 1140 Berkshire Hathaway B Shares Class B 084670702 $ 37 450 SH Sole 450 Best Buy Company Common 086516101 $ 102 2500 SH Sole 2500 Biomarin Pharmaceutical Inc Common 09061G101 $ 4 200 SH Sole 200 Boardwalk Pipeline Partners, L.P. Common 096627104 $ 10,696 327583 SH Sole 327583 Boeing Company Common 097023105 $ 1,284 19300 SH Sole 19300 Boston Scientific Corp. Common 101137107 $ 242 39417 SH Sole 39417 Bristol-Myers Squibb Common 110122108 $ 624 23017 SH Sole 23017 Broadcom Corp. Class A Class A 111320107 $ 21 600 SH Sole 600 Brookfield Asset Management Inc. Class A 112585104 $ 128 4500 SH Sole 4500 CME Group Inc. Common 12572Q105 $ 169 650 SH Sole 650 CVS Caremark Corp. Common 126650100 $ 252 8000 SH Sole 8000 Cabot Oil & Gas Corp. Common 127097103 $ 4,215 140000 SH Sole 140000 Cal Water Svcs Group Common 130788102 $ 13 350 SH Sole 350 Cameco Corp Common 13321L108 $ 634 22850 SH Sole 22850 Cardinal Health Inc Common 14149y108 $ 208 6300 SH Sole 6300 CareFusion Corp. Common 14170T101 $ 1 50 SH Sole 50 Caterpillar Inc Common 149123101 $ 25,605 325438 SH Sole 325438 Celgene Corp. Common 151020104 $ 1,702 29541 SH Sole 29541 Cenovus Energy Inc. Common 15135U109 $ 37 1300 SH Sole 1300 Chevron Corp Common 166764100 $ 3,675 45343 SH Sole 45343 China Med Technologies Inc. ADR 169483104 $ 45 3500 SH Sole 3500 Cisco Systems Inc Common 17275r102 $ 2,241 102322 SH Sole 102322 Citigroup Inc Common 172967101 $ 526 134600 SH Sole 134600 Claymore ETF China ETF 18383Q853 $ 322 10661 SH Sole 10661 Claymore ETF Global Solar Energy ETF 18383M621 $ 9 1000 SH Sole 1000 Index Clorox Common 189054109 $ 200 3000 SH Sole 3000 Coca-Cola Common 191216100 $ 675 11538 SH Sole 11538 Cognizant Tech Solutions Corp. Class A 192446102 $ 722 11200 SH Sole 11200 Colgate Palmolive Co Common 194162103 $ 742 9650 SH Sole 9650 Comcast Corp. New Class A 20030N101 $ 479 26500 SH Sole 26500 Community Health Systems, Inc. Common 203668108 $ 195 6300 SH Sole 6300 Compass Minerals Int'l Inc. Common 20451N101 $ 368 4800 SH Sole 4800 Comstock Resources Inc NEW Common 205768203 $ 450 20000 SH Sole 20000 Comverge Inc. Common 205859101 $ 5 600 SH Sole 600 Con-Way Inc. Common 205944101 $ 31 1000 SH Sole 1000 Conceptus Common 206016107 $ 4,154 302142 SH Sole 302142 ConocoPhillips Common 20825c104 $ 1,701 29617 SH Sole 29617 Continental Resources Common 212015101 $ 1,854 40000 SH Sole 40000 Corning Inc Common 219350105 $ 631 34505 SH Sole 34505 Costco Whsl Corp Common 22160k105 $ 219 3400 SH Sole 3400 Cree Inc. Common 225447101 $ 54 1000 SH Sole 1000 Crocs, Inc Common 227046109 $ 4 300 SH Sole 300 Danaher Corp. Common 235851102 $ 1,140 28070 SH Sole 28070 Daylight Resources Trust Common 239590201 $ 96 10000 SH Sole 10000 Deere & Co. Common 244199105 $ 488 7000 SH Sole 7000 Dell Inc. Common 24702R101 $ 4 300 SH Sole 300 Devon Energy Corp/ Common 25179M103 $ 388 6000 SH Sole 6000 Digital Ally Inc. Common 25382P109 $ 1 300 SH Sole 300 Dow Chemical Common 260543103 $ 183 6670 SH Sole 6670 Duke Energy Corp. Common 26441C105 $ 172 9700 SH Sole 9700 EMC Corp Common 268648102 $ 1,882 92641 SH Sole 92641 EMS Technologies, Inc. Common 26873N108 $ 6 300 SH Sole 300 EOG Resources Inc. Common 26875P101 $ 167 1800 SH Sole 1800 Eastman Chemical Co Common 277432100 $ 570 7700 SH Sole 7700 Ebay Inc Common 278642103 $ 200 8200 SH Sole 8200 Electronic Arts Common 285512109 $ 5 300 SH Sole 300 Eli Lilly & Co. Common 532457108 $ 12,586 344540 SH Sole 344540 Emdeon Inc. Class A 29084T104 $ 55 4500 SH Sole 4500 Emerson Electric Common 291011104 $ 2,600 49368 SH Sole 49368 Enbridge Energy Partners Common 29250R106 $ 6 100 SH Sole 100 Energy Focus Inc. Common 29268T102 $ 370 245000 SH Sole 245000 Enerplus Resources Common 29274d604 $ 2,007 77949 SH Sole 77949 Enterprise Products Partner Common 293792107 $ 1,018 25664 SH Sole 25664 Enzon Pharmaceuticals FKA Enzon Inc Common 293904108 $ 225 20000 SH Sole 20000 Essex Property Trust Common 297178105 $ 39 357 SH Sole 357 Exactech Inc. Common 30064e109 $ 16 1000 SH Sole 1000 Exelon Corp Common 30161n101 $ 982 23068 SH Sole 23068 Express Scripts Inc. Common 302182100 $ 336 6900 SH Sole 6900 Exxon Mobil Corp. Common 30231g102 $ 621 10052 SH Sole 10052 F5 Networks Inc. Common 315616102 $ 104 1000 SH Sole 1000 FMC Corp Common 302491303 $ 287 4200 SH Sole 4200 Fedex Common 31428x106 $ 6,156 72000 SH Sole 72000 First Trust ETF Dow Jones Internet ETF 33733E302 $ 94 3129 SH Sole 3129 Index FD Flotek Industries Common 343389102 $ 1 1000 SH Sole 1000 Ford Motor Company Common 345370860 $ 384 31384 SH Sole 31384 Fortune Brands Inc Common 349631101 $ 202 4100 SH Sole 4100 Fractional Kinder Morgan Mgmt Common eke55u103 $ 0 794090 SH Sole 794090 Shares Freeport Memoran C & G Common 35671d857 $ 581 6800 SH Sole 6800 Frontier Communications Corp. Class B 35906A108 $ 29 3501 SH Sole 3501 Fuel-Tech NV Common 359523107 $ 6 1000 SH Sole 1000 Gabelli Utility Common 36240A101 $ 5 800 SH Sole 800 Gen Probe Inc Common 36866t103 $ 145 3000 SH Sole 3000 General Electric Common 369604103 $ 2,342 144121 SH Sole 144121 General Mills Common 370334104 $ 146 4000 SH Sole 4000 Gilead Sciences Common 375558103 $ 142 4000 SH Sole 4000 Globalscape Inc Common 37940g109 $ 1,409 537944 SH Sole 537944 Globe Specialty Metals Inc. Common 37954N206 $ 435 31000 SH Sole 31000 Google Inc. Common 38259p508 $ 2,275 4327 SH Sole 4327 Granite Construction Co Common 387328107 $ 3,343 147000 SH Sole 147000 H&Q Healthcare Fund Common 404052102 $ 48 4004 SH Sole 4004 HCP, Inc. Common 40414L109 $ 36 1000 SH Sole 1000 Halliburton Co Common 406216101 $ 238 7205 SH Sole 7205 Hansen Natural Corp. Common 411310105 $ 65 1400 SH Sole 1400 Harris Corp-Del Common 413875105 $ 38 850 SH Sole 850 Health Care Reit Inc. Common 42217K106 $ 78 1640 SH Sole 1640 Hewlett Packard Co Common 428236103 $ 1,608 38231 SH Sole 38231 Home Depot Inc Common 437076102 $ 767 24220 SH Sole 24220 Honeywell Intl Inc Common 438516106 $ 628 14300 SH Sole 14300 Human Genome Common 444903108 $ 60 2000 SH Sole 2000 I Shares Australia Index Common 464286103 $ 384 16169 SH Sole 16169 I Shares Inc. MSCI CDA INDEX FD Common 464286509 $ 753 26865 SH Sole 26865 I Shares Inc. MSCI Brazil Free Common 464286400 $ 84 1091 SH Sole 1091 Index Fd I Shares S. Korea Index Fd Common 464286772 $ 591 11050 SH Sole 11050 I Shares MSCI Mexico Investable Common 464286822 $ 83 1573 SH Sole 1573 Market Index Fd I Shares Japan Index Common 464286665 $ 675 15240 SH Sole 15240 I Shares Singapore Index Fund Common 464286673 $ 71 5388 SH Sole 5388 I Shares Swden Indesx Fund Common 464286756 $ 83 2870 SH Sole 2870 I Shares Dow Jones Medical Devices Common 464288810 $ 332 6155 SH Sole 6155 I Shares Trust Dow Jones Tech. Common 464287721 $ 29 500 SH Sole 500 Index Fund I Shares Nasdaq BioT Common 464287556 $ 238 2755 SH Sole 2755 I Shares S&P Global Clean Energy Common 464288224 $ 10 593 SH Sole 593 Index I Shares Silver Trust Common 46428Q109 $ 746 34999 SH Sole 34999 I Shares Tr Russell Midcap Growth Common 464287481 $ 88 1767 SH Sole 1767 Index Fund I Shares Tr S&P Global Info. Common 464287291 $ 36 650 SH Sole 650 Technology Illinois Tool Works Inc. Common 452308109 $ 522 11100 SH Sole 11100 Immunogen Inc. Common 45253H101 $ 752 120000 SH Sole 120000 Imperial Industries, Inc. Common 452848401 $ 1 3000 SH Sole 3000 Intel Corp Common 458140100 $ 1,408 73328 SH Sole 73328 Intl Bus Machines Common 459200101 $ 1,626 12119 SH Sole 12119 Iris International Inc Common 46270W105 $ 29 3000 SH Sole 3000 Ironstone Group Inc.New Common 463228205 $ 0 60 SH Sole 60 I Shares GSCI Commodity Index Common 46428R107 $ 72 2415 SH Sole 2415 Trust I Shares Latin America Index Fund Common 464287390 $ 126 2500 SH Sole 2500 I Shares MSCI Malaysia Free Index Common 464286830 $ 89 6445 SH Sole 6445 Fund I Shares Tr Dow Jones Sel Divid Common 464287168 $ 37 785 SH Sole 785 Index Fund I Shares Tr S&P Global Energy Sect Common 464287341 $ 25 750 SH Sole 750 Fund I Shares Trust S & P US pfd stock Common 464288687 $ 20 500 SH Sole 500 Index Fd Isis Pharmaceuticals Inc, Common 464330109 $ 336 40000 SH Sole 40000 JP Morgan Chase Common 46625H100 $ 867 22787 SH Sole 22787 Jacobs Engineering Common 469814107 $ 39 1000 SH Sole 1000 Johnson/Johnson Common 478160104 $ 2,434 39277 SH Sole 39277 Kansas City Southern Common 485170302 $ 56 1500 SH Sole 1500 Kimberly Clark Common 494368103 $ 280 4300 SH Sole 4300 Kinder Morgan Energy Common 494550106 $ 747 10900 SH Sole 10900 Kinder Morgan Mgmt, LLC Common 49455U100 $ 329 5458 SH Sole 5458 Kirkland's Inc. Common 497498105 $ 42 3000 SH Sole 3000 Kohls Corp. Common 500255104 $ 794 15065 SH Sole 15065 Kraft Foods Inc. Class A 50075n104 $ 71 2295 SH Sole 2295 L-3 Communications Hldgs Corp Common 502424104 $ 497 6880 SH Sole 6880 LMS Medical Systems, Inc. Common 502089105 $ 20 504900 SH Sole 504900 Legg Mason Inc. Common 524901105 $ 61 2000 SH Sole 2000 Ligland Pharmaceuticals Class B 53220K207 $ 3 2000 SH Sole 2000 Linn Energy LLC Unit Common 536020100 $ 32 1000 SH Sole 1000 Lockheed Martin Corp Common 539830109 $ 273 3825 SH Sole 3825 Lorillard Inc. Common 544147101 $ 80 1000 SH Sole 1000 Loews Companies Inc Common 548661107 $ 414 18572 SH Sole 18572 MDU Resources Grp. Common 552690109 $ 590 29585 SH Sole 29585 MEMC Electronics Common 552715104 $ 24 2000 SH Sole 2000 Magellan Midstream Common 559080106 $ 446 8670 SH Sole 8670 Manulife Financial Common 56501r106 $ 8 600 SH Sole 600 Marina Biotech Inc. Common 56804Q102 $ 228 95500 SH Sole 95500 Market Vectors Agribusiness ETF ETF 57060U605 $ 70 1522 SH Sole 1522 Market Vectors ETF Trust Gold Miners ETF 57060U100 $ 336 6000 SH Sole 6000 Martek Biosciences Corp. Common 572901106 $ 453 20000 SH Sole 20000 McDermott Int'l Inc. Common 580037109 $ 4 254 SH Sole 254 Mcdonald's Corp Common 580135101 $ 1,432 19225 SH Sole 19225 McKesson Corp Common 58155q103 $ 24 387 SH Sole 387 Medco Health Solutions Common 58405u102 $ 346 6638 SH Sole 6638 Medtronic, Inc. Common 585055106 $ 415 12371 SH Sole 12371 Mela Sciences Inc. Common 55277R100 $ 137 21000 SH Sole 21000 Merchants Nat'l Pptys Common 589161108 $ 1,213 1462 SH Sole 1462 Merck & Company Common 58933Y105 $ 370 10050 SH Sole 10050 Micron Technology Inc Common 595112103 $ 292 40500 SH Sole 40500 Microsoft Inc Common 594918104 $ 1,904 77764 SH Sole 77764 Midway Energy Ltd. Common 598147106 $ 18 5000 SH Sole 5000 Monsanto Co New Common 61166w101 $ 1,919 40031 SH Sole 40031 Morgan Stanley Common 617446448 $ 2 90 SH Sole 90 Murphy Oil Corp Common 626717102 $ 4,954 80000 SH Sole 80000 NY Community Bancorp Common 649445103 $ 2,404 147950 SH Sole 147950 Nat'l Fuel Gas Co. Common 636180101 $ 155 3000 SH Sole 3000 Nat'l Western Life Insurance Co. Class A 638522102 $ 281 2000 SH Sole 2000 National Grid PLC ADR 636274300 $ 75 1755 SH Sole 1755 National Semiconductor Common 637640103 $ 10 800 SH Sole 800 National-Oilwell Varco Common 637071101 $ 54 1220 SH Sole 1220 Nestle S A Spn Adr ADR 641069406 $ 241 4500 SH Sole 4500 New Energy Group Common 643847106 $ 108 18000 SH Sole 18000 Nike Inc. Class B 654106103 $ 136 1700 SH Sole 1700 Noble Drilling Corp Common H5833N103 $ 41 1200 SH Sole 1200 Nokia Corp Spons Adr Finland Common 654902204 $ 127 12700 SH Sole 12700 Northrop Grumman Corp Common 666807102 $ 24 400 SH Sole 400 Nova Biosource Fuels Inc. Common 65488W103 $ 0 102336 SH Sole 102336 Novartis AG ADR 66987V109 $ 17 300 SH Sole 300 Nucor Corp. Common 670346105 $ 344 9000 SH Sole 9000 Occidental Pete Corp. Common 674599105 $ 415 5300 SH Sole 5300 Old Republic Int'l Common 680223104 $ 28 2000 SH Sole 2000 Oneok, Inc. Common 682680103 $ 396 8796 SH Sole 8796 Oracle Corp. Common 68389X105 $ 846 31500 SH Sole 31500 Ormat Technologies, Inc. Common 686688102 $ 12 400 SH Sole 400 Owens & Minor Inc. Common 690732102 $ 285 10000 SH Sole 10000 PG&E Corp Common 69331c108 $ 52 1150 SH Sole 1150 PP&L Resources Common 69351T106 $ 25 900 SH Sole 900 Peabody Energy Corp. Common 704549104 $ 441 9000 SH Sole 9000 Peets Coffee & Tea Inc. Common 705560100 $ 90 2635 SH Sole 2635 Pembina Pipeline Inc. Common 706327103 $ 40 2000 SH Sole 2000 Pengrowth Energy Trust Common 706902509 $ 243 22000 SH Sole 22000 Penn West Energy Trust Common 707885109 $ 907 45206 SH Sole 45206 Peoples Utd Finc'l Inc. Common 712704105 $ 371 28350 SH Sole 28350 Pepsico Inc Common 713448108 $ 2,415 36342 SH Sole 36342 Petrolio Brasileiro Sa Common 71654V408 $ 451 12440 SH Sole 12440 Petroquest Energy, Inc. Common 716748108 $ 244 40000 SH Sole 40000 Pfizer Inc Common 717081103 $ 1,779 103607 SH Sole 103607 Philip Morris Int'l Common 718172109 $ 181 3225 SH Sole 3225 Plum Creek Tmbr Ltd. Common 729251108 $ 23 650 SH Sole 650 Potash Corp./Saskatch Common 73755L107 $ 4,300 29850 SH Sole 29850 Powershares ETF Trust Dynamic Common 73935X773 $ 49 2175 SH Sole 2175 Software Powershares ETF Wilder Hill Clean Common 73935X500 $ 10 1000 SH Sole 1000 Energy Powershares ETF Global Water Common 73936T623 $ 108 6000 SH Sole 6000 Portfolio Powershares Global Water Portfolio Common 73935X575 $ 85 5150 SH Sole 5150 ETF Trust Precision Drilling Corp. Common 74022D308 $ 626 91428 SH Sole 91428 Procter & Gamble Common 742718109 $ 1,535 25602 SH Sole 25602 Progress Software Corp. Common 743312100 $ 1,324 40000 SH Sole 40000 Proshares Tr II Ultrashort Euro ETF 74347W882 $ 12 600 SH Sole 600 Proshares Ultrashort Lehman 20+ yr ETF 74347R297 $ 6 200 SH Sole 200 Treasury Puda Coal Inc. Common 744674300 $ 125 16300 SH Sole 16300 Powershares ETF Intl Div Achievers ETF 73935X716 $ 20 1383 SH Sole 1383 Portfolio Qualcomm Inc Common 747525103 $ 2,237 49557 SH Sole 49557 Quanta Services Inc Common 74762e102 $ 114 6000 SH Sole 6000 Quicksilver, Inc Common 74838C106 $ 9 2232 SH Sole 2232 Ram Energy Resources Common 75130P109 $ 63 40500 SH Sole 40500 Range Resources Corp. Common 75281A109 $ 1,907 50000 SH Sole 50000 Raytheon Co Common 755111507 $ 377 8245 SH Sole 8245 Realty Income Corp. Common 756109104 $ 46 1374 SH Sole 1374 Redwood Trust Inc Common 758075402 $ 573 39655 SH Sole 39655 Research In Motion Common 760975102 $ 19 400 SH Sole 400 Roche Holdings Ltd. Sponsored ADR Common 771195104 $ 41 1200 SH Sole 1200 Rogers Corp. Common 775133101 $ 47 1500 SH Sole 1500 Roper Industries Inc. New Common 776696106 $ 163 2500 SH Sole 2500 Royal Dutch Shell PLC ADR 780259206 $ 60 1000 SH Sole 1000 Russell 100 Growth Index Fd Common 464287614 $ 20 380 SH Sole 380 SPDR Barclays Capital High Yield Bd ETF 78464A417 $ 26 656 SH Sole 656 Safeway Inc. Com New Common 786514208 $ 4,338 205000 SH Sole 205000 San Juan Bastin Royalty Tr Ubi Common 798241105 $ 15 600 SH Sole 600 Sara Lee Corporation Common 803111103 $ 125 9300 SH Sole 9300 Schlumberger Common 806857108 $ 1,656 26881 SH Sole 26881 Seagate Technology Common G7945M107 $ 6 500 SH Sole 500 Select Sector Spdr Fund Common 81369Y100 $ 170 5200 SH Sole 5200 Shaw Group Inc. Common 820280105 $ 17 500 SH Sole 500 Simon Ppty Group Inc Sbi SBI 828806109 $ 173 1863 SH Sole 1863 Smith & Wesson Holding, Corp. Common 831756101 $ 235 65972 SH Sole 65972 Sonde Resources Corp. Common 835426107 $ 121 40000 SH Sole 40000 Southern Company Common 842587107 $ 26 700 SH Sole 700 Southern Copper Corp. Common 84265V105 $ 1,809 51510 SH Sole 51510 Southwest Airlines Common 844741108 $ 39 3000 SH Sole 3000 Southwestern Energy Co. Common 845467109 $ 234 7000 SH Sole 7000 Spdr Gold Tr Gold Shs Common 78463V107 $ 4,843 37866 SH Sole 37866 St. Jude Medical Inc Common 790849103 $ 354 9000 SH Sole 9000 Starbucks Common 855244109 $ 46 1800 SH Sole 1800 Suntech Pwr Hldgs ADR ADR 86800c104 $ 87 9000 SH Sole 9000 Symantec Corp. Common 871503108 $ 182 12000 SH Sole 12000 Sysco Corp. Common 871829107 $ 114 4000 SH Sole 4000 Target Corp Common 87612e106 $ 422 7890 SH Sole 7890 Telanetix Inc. Common 879180107 $ 0 1500 SH Sole 1500 Tellabs Inc Common 879664100 $ 7,387 991500 SH Sole 991500 Tesco Corp. Common 88157K101 $ 3,615 300490 SH Sole 300490 Teva Pharmaceuticals ADR 881624209 $ 962 18240 SH Sole 18240 Thermo Fisher Scientific Common 883556102 $ 498 10400 SH Sole 10400 Tiffany & Co. Common 886547108 $ 5 100 SH Sole 100 Time Warner Cable Inc. Common 88732J207 $ 7 132 SH Sole 132 Time Warner Inc Common 887317303 $ 16 532 SH Sole 532 Transocean Inc Common H8817H100 $ 1,326 20632 SH Sole 20632 Triangle Petroleum Corp Common 89600B102 $ 107 200000 SH Sole 200000 UGI Corp Common 902681105 $ 49 1700 SH Sole 1700 Ultra Petroleum Corp Common 903914109 $ 7,556 180000 SH Sole 180000 Umpqua Hldgs Corp. Common 904214103 $ 19 1669 SH Sole 1669 Union Pacific Common 907818108 $ 8 100 SH Sole 100 United Parcel Service, Inc. Class B 911312106 $ 100 1500 SH Sole 1500 United States Natural Gas Fund ETF 912318102 $ 19 3000 SH Sole 3000 United Technologies Common 913017109 $ 1,719 24135 SH Sole 24135 Universal Health Services Class B 913903100 $ 505 13000 SH Sole 13000 Vaalco Energy Inc New Common 91851c201 $ 284 49500 SH Sole 49500 Valcent Products, Inc. Common 918881202 $ 1 11110 SH Sole 11110 Vanguard Intl Equity Index Fd ETF 922042858 $ 257 5658 SH Sole 5658 Vanguard Sector IndexFds REIT ETF 922908553 $ 10 200 SH Sole 200 Varian Medical Systems Common 92220P105 $ 6 100 SH Sole 100 Verigy Ltd Common Y93691106 $ 4 500 SH Sole 500 Verizon Communications Common 92343v104 $ 576 17681 SH Sole 17681 Visa Inc. Class A Class A 92826C839 $ 646 8700 SH Sole 8700 Vivus Inc. Common 928551100 $ 13 2000 SH Sole 2000 Vodafone Group Plc Spon ADR 92857w209 $ 76 3056 SH Sole 3056 Vulcan Materials Co. Common 929160109 $ 295 8000 SH Sole 8000 Wal-Mart Stores Inc Common 931142103 $ 613 11450 SH Sole 11450 Walgreen Co Common 931422109 $ 911 27200 SH Sole 27200 Waters Corp Common 941848103 $ 467 6600 SH Sole 6600 Weatherford Intl Inc Common H27013103 $ 41 2400 SH Sole 2400 Wellpoint Health Inc. Common 94973V107 $ 340 6000 SH Sole 6000 Wells Fargo & Co Common 949746101 $ 1,412 56239 SH Sole 56239 Whole Foods Market Common 966837106 $ 4 96 SH Sole 96 Williams Companies Common 969457100 $ 296 15500 SH Sole 15500 Williams Sonoma Common 969904101 $ 3 100 SH Sole 100 Wisdomtree Trust Diefa fd ETF ETF 97717w703 $ 86 1913 SH Sole 1913 Wisdomtree Emerging Mkts High ETF 97717W315 $ 599 10750 SH Sole 10750 Yield Fd Wisdometree India Earnings Fund ETF ETF 97717W422 $ 289 10975 SH Sole 10975 Wisdomtree Tr Diefa High Yield ETF 97717W802 $ 41 1000 SH Sole 1000 Equity Fd Wisdomtree Tr Div top 100 FD ETF ETF 97717W406 $ 80 1800 SH Sole 1800 Xerox Corp. Common 984121103 $ 207 20000 SH Sole 20000 YM Biosciences Inc Common 984238105 $ 204 120000 SH Sole 120000 Yum Brands, Inc. Common 988498101 $ 207 4500 SH Sole 4500 Zimmer Holdings, Inc Common 98956P102 $ 10 200 SH Sole 200 iShares China 25 Index Fund ETF 464287184 $ 6 135 SH Sole 135 iShares Emerging Markets Index Common 464287234 $ 220 4923 SH Sole 4923 Fund iShares European Mon Union Index Common 464286608 $ 110 3177 SH Sole 3177 Fund iShares Goldman Sachs ETF 464287523 $ 33 700 SH Sole 700 Semiconductor Index Fund iShares Lehman TIPS Bond Fund Common 464287176 $ 86 784 SH Sole 784 iShares Russell 2000 Growth Common 464287648 $ 178 2381 SH Sole 2381 iShares Russell Midcap Value Common 464287473 $ 139 3450 SH Sole 3450 iShares S&P 500 Common 464287200 $ 550 4804 SH Sole 4804 iShares S&P Goldman Sachs Common 464287549 $ 212 3876 SH Sole 3876 Technology Index iShares Tr GS Multimedia ETF 464287531 $ 13 450 SH Sole 450 Networking Index Fd iShares iBoxx High Yield Corp. ETF 464288513 $ 72 800 SH Sole 800 Bond Fund iShares 20+ year Treasury Bond Common 464287432 $ 4,549 43112 SH Sole 43112 Blackrock Muni NY Interduration Common 09255F109 $ 49 3500 SH Sole 3500 Find Blackrock Muni Holdings NY Insd Common 09255C106 $ 154 10000 SH Sole 10000 Blackrock Muniyield NY Insd Common 09255E102 $ 167 12000 SH Sole 12000 Blackrock NY Muni Bond Tr Common 09249P106 $ 180 11200 SH Sole 11200 Dreyfus Strategic Municipals Inc. Common 261932107 $ 257 28500 SH Sole 28500 Eaton Vance Ins NY Muni Bond Common 27828T109 $ 70 5000 SH Sole 5000 Fund II iShares Trust SP California Common 464288356 $ 26 240 SH Sole 240 AMTFR MN iShares Trust S&P Nat'l Muni Bond Common 464288414 $ 21 200 SH Sole 200 Fund Neuberger Berman New York Common 64124K102 $ 61 4000 SH Sole 4000 Intermediate Muni Nuveen California Muni Value Fund Common 67062C107 $ 163 17200 SH Sole 17200 Inc. Nuveen Ins NY Premium Income Common 67101R107 $ 76 5000 SH Sole 5000 Nuveen Insured Quality Muni Fund Common 67062N103 $ 15 1000 SH Sole 1000 Nuveen NY Div Adv Muni 2 Common 67070A101 $ 43 3000 SH Sole 3000 Pimco Corp. Income Fund Common 72200U100 $ 671 41400 SH Sole 41400 Pimco Corp. Opportunity Fund Common 72201B101 $ 890 50700 SH Sole 50700 Aberdeen Asia Pac Income Fund Common 003009107 $ 1,456 209210 SH Sole 209210 Blackrock CA Muni Income Trust Common 09248E102 $ 154 10367 SH Sole 10367 Eaton Vance Short Duration Div. Common 27828V104 $ 42 2400 SH Sole 2400 Inc. Managed High Yield Plus Fund Common 561911108 $ 158 70321 SH Sole 70321 Nuveen Multi Strategy Common 67073D102 $ 25 2865 SH Sole 2865 Income/Growth Fund 2 Pimco High Income Fund Common 722014107 $ 123 9449 SH Sole 9449 iBoxx Inv. Gr Corp. Bond Fund Common 464287242 $ 598 5292 SH Sole 5292
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