-----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, AgXXMdQT7Ok3MALzkQTw9CGaxoXtXfD/25wTPSVmXGyGdO1d1vW0wJGSfQzMv10J ky2VmHA9WKM5MRXKcAZ6nw== 0001085146-10-001035.txt : 20101217 0001085146-10-001035.hdr.sgml : 20101217 20101217163559 ACCESSION NUMBER: 0001085146-10-001035 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101217 DATE AS OF CHANGE: 20101217 EFFECTIVENESS DATE: 20101217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HighTower Advisors, LLC CENTRAL INDEX KEY: 0001462245 IRS NUMBER: 364500709 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13510 FILM NUMBER: 101260298 BUSINESS ADDRESS: STREET 1: 525 WEST MONROE STREET STREET 2: SUITE 2300 CITY: CHICAGO STATE: IL ZIP: 60661 BUSINESS PHONE: 312-962-3831 MAIL ADDRESS: STREET 1: 525 WEST MONROE STREET STREET 2: SUITE 2300 CITY: CHICAGO STATE: IL ZIP: 60661 13F-HR/A 1 higha1_3q10.txt HIGHTOWER ADVISORS, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 Check here if Amendment [ X ]; Amendment Number: 1 This Amendment (Check only one.): [ X ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: HighTower Advisors, LLC Address: 525 West Monroe Street, Suite 2300 Chicago, IL 60661 13F File Number: 028-13510 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: Matthew M. Reynolds Title: Chief Compliance Officer Phone: 312-962-3800 Signature, Place, and Date of Signing: /s/ Matthew M. Reynolds Chicago, IL December 17, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 421 Form 13F Information Table Value Total: $651,383 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1ST UNITED BANCORP INC FLA COM 33740N105 146 22718 SH SOLE 22718 0 0 3M CO COM 88579Y101 5103 58851 SH SOLE 58851 0 0 ABBOTT LABS COM 002824100 2132 40810 SH SOLE 40810 0 0 ABERDEEN GLOBAL INCOME FD IN COM 003013109 265 21264 SH SOLE 21264 0 0 ADVANCED MICRO DEVICES INC COM 007903107 106 14900 SH SOLE 14900 0 0 AIR PRODS & CHEMS INC COM 009158106 2672 32255 SH SOLE 32255 0 0 ALCOA INC NOTE 5.250% 3/1 013817AT8 60 30000 PRN SOLE 30000 0 0 ALEXZA PHARMACEUTICALS INC COM 015384100 36 11200 SH SOLE 11200 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.250% 6/0 01741RAD4 45 33000 PRN SOLE 33000 0 0 ALLERGAN INC NOTE 1.500% 4/0 018490AL6 75 66000 PRN SOLE 66000 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 87 84000 PRN SOLE 84000 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 323 21803 SH SOLE 21803 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 2363 152949 SH SOLE 152949 0 0 ALTRIA GROUP INC COM 02209S103 562 23375 SH SOLE 23375 0 0 AMAZON COM INC COM 023135106 202 1284 SH SOLE 1284 0 0 AMERICAN EXPRESS CO COM 025816109 688 16375 SH SOLE 16375 0 0 AMGEN INC COM 031162100 2215 40197 SH SOLE 40197 0 0 AMGEN INC NOTE 0.125% 2/0 031162AN0 10 10000 PRN SOLE 10000 0 0 AMGEN INC NOTE 0.375% 2/0 031162AQ3 50 50000 PRN SOLE 50000 0 0 ANADARKO PETE CORP COM 032511107 3036 53222 SH SOLE 53222 0 0 ANNALY CAP MGMT INC COM 035710409 210 11950 SH SOLE 11950 0 0 APPLE INC COM 037833100 4081 14381 SH SOLE 14381 0 0 APPLIED MATLS INC COM 038222105 127 10852 SH SOLE 10852 0 0 ASPENBIO PHARMA INC COM 045346103 6 12000 SH SOLE 12000 0 0 AT&T INC COM 00206R102 8698 304168 SH SOLE 304168 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 1249 29710 SH SOLE 29710 0 0 AVON PRODS INC COM 054303102 922 28700 SH SOLE 28700 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 314 5900 SH SOLE 5900 0 0 BANK OF AMERICA CORPORATION COM 060505104 1034 78956 SH SOLE 78956 0 0 BANK OF AMERICA CORPORATION *W EXP 10/28/201 060505153 202 84835 SH SOLE 84835 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 741 753 SH SOLE 753 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 412 15780 SH SOLE 15780 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 795 18796 SH SOLE 18796 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 6452 74437 SH SOLE 74437 0 0 BARCLAYS BK PLC IPATH S&P ST ETN 06740C527 4904 283638 SH SOLE 283638 0 0 BECKMAN COULTER INC NOTE 2.500%12/1 075811AD1 32 31000 PRN SOLE 31000 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1370 11 SH SOLE 11 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1716 20762 SH SOLE 20762 0 0 BEST BUY INC SDCV 2.250% 1/1 086516AF8 37 34000 PRN SOLE 34000 0 0 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 113 10000 SH SOLE 10000 0 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 142 13600 SH SOLE 13600 0 0 BLACKROCK INSD MUN TERM TR I COM 092474105 292 29008 SH SOLE 29008 0 0 BLACKROCK MUNIHLDGS INS INV COM 09254P108 252 17216 SH SOLE 17216 0 0 BLACKROCK MUNIVEST FD INC COM 09253R105 115 11245 SH SOLE 11245 0 0 BLACKROCK MUNIYIELD N Y INSD COM 09255E102 242 17381 SH SOLE 17381 0 0 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 315 24850 SH SOLE 24850 0 0 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 11299 346034 SH SOLE 346034 0 0 BOEING CO COM 097023105 1199 18022 SH SOLE 18022 0 0 BORGWARNER INC NOTE 3.500% 4/1 099724AF3 110 66000 PRN SOLE 66000 0 0 BOSTON PPTYS LTD PARTNERSHIP NOTE 3.750% 5/1 10112RAG9 36 33000 PRN SOLE 33000 0 0 BOSTON PROPERTIES INC COM 101121101 364 4376 SH SOLE 4376 0 0 BP PLC SPONSORED ADR 055622104 2295 55729 SH SOLE 55729 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 3195 117872 SH SOLE 117872 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 207 2773 SH SOLE 2773 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 781 27530 SH SOLE 27530 0 0 BROWN FORMAN CORP CL A 115637100 338 5493 SH SOLE 5493 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 413 6506 SH SOLE 6506 0 0 CAMBIUM LEARNING GRP INC COM 13201A107 352 110000 SH SOLE 110000 0 0 CAMERON INTERNATIONAL CORP NOTE 2.500% 6/1 13342BAB1 43 33000 PRN SOLE 33000 0 0 CANON INC ADR 138006309 244 5213 SH SOLE 5213 0 0 CARDINAL HEALTH INC COM 14149Y108 2907 87979 SH SOLE 87979 0 0 CARLISLE COS INC COM 142339100 201 6708 SH SOLE 6708 0 0 CARNIVAL CORP DBCV 2.000% 4/1 143658AN2 51 50000 PRN SOLE 50000 0 0 CATERPILLAR INC DEL COM 149123101 646 8210 SH SOLE 8210 0 0 CELGENE CORP COM 151020104 1176 20404 SH SOLE 20404 0 0 CENTERPOINT ENERGY INC COM 15189T107 9048 575560 SH SOLE 575560 0 0 CENTRAL EUROPEAN DIST CORP NOTE 3.000% 3/1 153435AA0 61 67000 PRN SOLE 67000 0 0 CFS BANCORP INC COM 12525D102 117 25584 SH SOLE 25584 0 0 CHESAPEAKE ENERGY CORP COM 165167107 295 13043 SH SOLE 13043 0 0 CHESAPEAKE ENERGY CORP NOTE 2.500% 5/1 165167BZ9 15 17000 PRN SOLE 17000 0 0 CHEVRON CORP NEW COM 166764100 7639 94968 SH SOLE 94968 0 0 CHUBB CORP COM 171232101 319 5582 SH SOLE 5582 0 0 CISCO SYS INC COM 17275R102 1716 78327 SH SOLE 78327 0 0 CITIGROUP INC COM 172967101 696 178039 SH SOLE 178039 0 0 CLOROX CO DEL COM 189054109 447 6705 SH SOLE 6705 0 0 CMS ENERGY CORP COM 125896100 6495 360420 SH SOLE 360420 0 0 COACH INC COM 189754104 208 4837 SH SOLE 4837 0 0 COCA COLA CO COM 191216100 4066 69484 SH SOLE 69484 0 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 514 32336 SH SOLE 32336 0 0 COHEN & STEERS QUALITY RLTY COM 19247L106 82 10470 SH SOLE 10470 0 0 COLGATE PALMOLIVE CO COM 194162103 10328 134358 SH SOLE 134358 0 0 COMCAST CORP NEW CL A SPL 20030N200 171 10070 SH SOLE 10070 0 0 COMMAND SEC CORP COM 20050L100 26 12446 SH SOLE 12446 0 0 CONOCOPHILLIPS COM 20825C104 1219 21237 SH SOLE 21237 0 0 CONSOLIDATED EDISON INC COM 209115104 1493 30952 SH SOLE 30952 0 0 CORNING INC COM 219350105 6598 360929 SH SOLE 360929 0 0 COSTCO WHSL CORP NEW COM 22160K105 526 8149 SH SOLE 8149 0 0 COVIDIEN PLC SHS G2554F105 204 5074 SH SOLE 5074 0 0 CSX CORP COM 126408103 234 4225 SH SOLE 4225 0 0 CVS CAREMARK CORPORATION COM 126650100 719 22837 SH SOLE 22837 0 0 DANAHER CORP DEL NOTE 1/2 235851AF9 59 50000 PRN SOLE 50000 0 0 DEERE & CO COM 244199105 969 13891 SH SOLE 13891 0 0 DELCATH SYS INC COM 24661P104 1271 176527 SH SOLE 176527 0 0 DEVON ENERGY CORP NEW COM 25179M103 2155 33291 SH SOLE 33291 0 0 DIAGEO P L C SPON ADR NEW 25243Q205 827 11990 SH SOLE 11990 0 0 DIRECTV COM CL A 25490A101 3006 72218 SH SOLE 72218 0 0 DISNEY WALT CO COM DISNEY 254687106 2117 63945 SH SOLE 63945 0 0 DREYFUS STRATEGIC MUN BD FD COM 26202F107 884 101401 SH SOLE 101401 0 0 DREYFUS STRATEGIC MUNS INC COM 261932107 788 87303 SH SOLE 87303 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 459 10279 SH SOLE 10279 0 0 E M C CORP MASS COM 268648102 2395 117911 SH SOLE 117911 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AK8 22 17000 PRN SOLE 17000 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AM4 23 17000 PRN SOLE 17000 0 0 EASTMAN KODAK CO COM 277461109 89 21225 SH SOLE 21225 0 0 EATON CORP COM 278058102 440 5334 SH SOLE 5334 0 0 EATON VANCE LTD DUR INCOME F COM 27828H105 522 31781 SH SOLE 31781 0 0 EATON VANCE SH TM DR DIVR IN COM 27828V104 2800 160103 SH SOLE 160103 0 0 EL PASO CORP COM 28336L109 410 33155 SH SOLE 33155 0 0 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 3887 121215 SH SOLE 121215 0 0 ELAN PLC ADR 284131208 68 11866 SH SOLE 11866 0 0 EMERSON ELEC CO COM 291011104 1072 20345 SH SOLE 20345 0 0 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 1715 30675 SH SOLE 30675 0 0 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 796 16501 SH SOLE 16501 0 0 ENERPLUS RES FD UNIT TR G NEW 29274D604 207 8020 SH SOLE 8020 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 5980 150734 SH SOLE 150734 0 0 EOG RES INC COM 26875P101 5906 63524 SH SOLE 63524 0 0 EXXON MOBIL CORP COM 30231G102 15468 250334 SH SOLE 250334 0 0 FEDERATED PREM INTR MUN INC COM 31423M105 999 69991 SH SOLE 69991 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 1323 48781 SH SOLE 48781 0 0 FIRST TR ACTIVE DIVID INCOME COM 33731L100 107 10000 SH SOLE 10000 0 0 FISHER SCIENTIFIC INTL INC NOTE 3.250% 3/0 338032AX3 21 17000 PRN SOLE 17000 0 0 FLEXTRONICS INTL LTD ORD Y2573F102 101 16795 SH SOLE 16795 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 521 42514 SH SOLE 42514 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3548 41558 SH SOLE 41558 0 0 GENERAL ELECTRIC CO COM 369604103 4684 288279 SH SOLE 288279 0 0 GENERAL MLS INC COM 370334104 1898 51929 SH SOLE 51929 0 0 GENUINE PARTS CO COM 372460105 1660 37241 SH SOLE 37241 0 0 GILEAD SCIENCES INC NOTE 0.625% 5/0 375558AH6 51 46000 PRN SOLE 46000 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 435 11018 SH SOLE 11018 0 0 GOLDCORP INC NEW COM 380956409 6365 146241 SH SOLE 146241 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 476 3295 SH SOLE 3295 0 0 GOOGLE INC CL A 38259P508 402 765 SH SOLE 765 0 0 HATTERAS FINL CORP COM 41902R103 251 8800 SH SOLE 8800 0 0 HAWK CORP CL A 420089104 433 10000 SH SOLE 10000 0 0 HEINZ H J CO COM 423074103 788 16652 SH SOLE 16652 0 0 HERSHEY CO COM 427866108 464 9749 SH SOLE 9749 0 0 HESS CORP COM 42809H107 465 7854 SH SOLE 7854 0 0 HEWLETT PACKARD CO COM 428236103 1914 45518 SH SOLE 45518 0 0 HIGHLAND CR STRATEGIES FD COM 43005Q107 177 24126 SH SOLE 24126 0 0 HOME DEPOT INC COM 437076102 1491 48239 SH SOLE 48239 0 0 HONEYWELL INTL INC COM 438516106 747 17007 SH SOLE 17007 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 214 4235 SH SOLE 4235 0 0 ICONIX BRAND GROUP INC NOTE 1.875% 6/3 451055AB3 32 33000 PRN SOLE 33000 0 0 INDEXIQ ETF TR HEDGE MLTI ETF 45409B107 733 26409 SH SOLE 26409 0 0 INERGY HLDGS L P COM 45661Q107 471 15590 SH SOLE 15590 0 0 INERGY L P UNIT LTD PTNR 456615103 263 6624 SH SOLE 6624 0 0 ING GROEP N V SPONSORED ADR 456837103 210 20455 SH SOLE 20455 0 0 INGERSOLL-RAND GLOBAL HLDG C NOTE 4.500% 4/1 45687AAD4 31 15000 PRN SOLE 15000 0 0 INTEL CORP COM 458140100 1640 85394 SH SOLE 85394 0 0 INTEL CORP SDCV 2.950%12/1 458140AD2 17 17000 PRN SOLE 17000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 8497 63340 SH SOLE 63340 0 0 INTERNATIONAL GAME TECHNOLOG NOTE 3.250% 5/0 459902AQ5 36 33000 PRN SOLE 33000 0 0 INVESCO VAN KAMPEN MUNI TRST COM 46131J103 333 23104 SH SOLE 23104 0 0 INVITROGEN CORP NOTE 3.250% 6/1 46185RAM2 63 57000 PRN SOLE 57000 0 0 ISHARES COMEX GOLD TR ISHARES 464285105 1612 125900 SH SOLE 125900 0 0 ISHARES DIVERSIFIED ALTR TR SH BEN INT 464294107 465 9189 SH SOLE 9189 0 0 ISHARES INC MSCI CDA INDEX 464286509 1702 60703 SH SOLE 60703 0 0 ISHARES INC MSCI GERMAN 464286806 1768 80382 SH SOLE 80382 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 206 6876 SH SOLE 6876 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 838 39343 SH SOLE 39343 0 0 ISHARES TR S&P 1500 INDEX 464287150 554 10706 SH SOLE 10706 0 0 ISHARES TR DJ SEL DIV INX 464287168 1649 35197 SH SOLE 35197 0 0 ISHARES TR BARCLYS TIPS BD 464287176 2645 24254 SH SOLE 24254 0 0 ISHARES TR FTSE XNHUA IDX 464287184 8899 207819 SH SOLE 207819 0 0 ISHARES TR TRANSP AVE IDX 464287192 1060 12991 SH SOLE 12991 0 0 ISHARES TR S&P 500 INDEX 464287200 2143 18722 SH SOLE 18722 0 0 ISHARES TR BARCLY USAGG B 464287226 1946 17912 SH SOLE 17912 0 0 ISHARES TR MSCI EMERG MKT 464287234 1532 34212 SH SOLE 34212 0 0 ISHARES TR IBOXX INV CPBD 464287242 3564 31515 SH SOLE 31515 0 0 ISHARES TR S&P GBL INF 464287291 1889 34004 SH SOLE 34004 0 0 ISHARES TR S&P GBL FIN 464287333 1689 38345 SH SOLE 38345 0 0 ISHARES TR S&P GBL ENER 464287341 495 14603 SH SOLE 14603 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 6296 63590 SH SOLE 63590 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 3768 44663 SH SOLE 44663 0 0 ISHARES TR MSCI EAFE IDX 464287465 2084 37941 SH SOLE 37941 0 0 ISHARES TR RUSSELL MCP VL 464287473 547 13538 SH SOLE 13538 0 0 ISHARES TR RUSSELL MCP GR 464287481 671 13460 SH SOLE 13460 0 0 ISHARES TR RUSSELL MIDCAP 464287499 5568 61620 SH SOLE 61620 0 0 ISHARES TR RUSSELL1000VAL 464287598 2350 39833 SH SOLE 39833 0 0 ISHARES TR RUSSELL1000GRW 464287614 2508 48826 SH SOLE 48826 0 0 ISHARES TR RUSSELL 1000 464287622 4005 63423 SH SOLE 63423 0 0 ISHARES TR RUSSELL 2000 464287655 5543 82125 SH SOLE 82125 0 0 ISHARES TR RUSSELL 3000 464287689 1597 23678 SH SOLE 23678 0 0 ISHARES TR DJ US TECH SEC 464287721 711 12285 SH SOLE 12285 0 0 ISHARES TR DJ US ENERGY 464287796 1185 36614 SH SOLE 36614 0 0 ISHARES TR S&P SMLCAP 600 464287804 1199 20283 SH SOLE 20283 0 0 ISHARES TR DJ US INDEX FD 464287846 871 15230 SH SOLE 15230 0 0 ISHARES TR S&P SH NTL AMTFR 464288158 370 3490 SH SOLE 3490 0 0 ISHARES TR JPMORGAN USD 464288281 394 3537 SH SOLE 3537 0 0 ISHARES TR S&P NTL AMTFREE 464288414 1619 15163 SH SOLE 15163 0 0 ISHARES TR S&P DEV EX-US 464288422 286 8604 SH SOLE 8604 0 0 ISHARES TR DJ INTL SEL DIVD 464288448 202 6369 SH SOLE 6369 0 0 ISHARES TR HIGH YLD CORP 464288513 3293 36717 SH SOLE 36717 0 0 ISHARES TR BARCLYS INTER CR 464288638 1707 15745 SH SOLE 15745 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 2855 27176 SH SOLE 27176 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 705 5962 SH SOLE 5962 0 0 ISHARES TR BARCLYS SH TREA 464288679 307 2786 SH SOLE 2786 0 0 ISHARES TR US PFD STK IDX 464288687 269 6759 SH SOLE 6759 0 0 ISHARES TR MSCI GRW IDX 464288885 319 5612 SH SOLE 5612 0 0 J2 GLOBAL COMMUNICATIONS INC COM NEW 46626E205 311 13089 SH SOLE 13089 0 0 JEFFERIES GROUP INC NEW DBCV 3.875%11/0 472319AG7 50 50000 PRN SOLE 50000 0 0 JOHNSON & JOHNSON COM 478160104 14299 230777 SH SOLE 230777 0 0 JPMORGAN CHASE & CO COM 46625H100 5714 150399 SH SOLE 150399 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2589 76750 SH SOLE 76750 0 0 KIMBERLY CLARK CORP COM 494368103 3186 48963 SH SOLE 48963 0 0 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1018 14862 SH SOLE 14862 0 0 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 242 4026 SH SOLE 4026 0 0 KRAFT FOODS INC CL A 50075N104 762 24684 SH SOLE 24684 0 0 KROGER CO COM 501044101 206 9527 SH SOLE 9527 0 0 LEVEL 3 COMMUNICATIONS INC COM 52729N100 10 11200 SH SOLE 11200 0 0 LIBERTY GLOBAL INC COM SER A 530555101 242 7866 SH SOLE 7866 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 490 35779 SH SOLE 35779 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 496 9535 SH SOLE 9535 0 0 LIBERTY MEDIA CORP NEW LIB STAR COM A 53071M708 208 3197 SH SOLE 3197 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 948 20303 SH SOLE 20303 0 0 LILLY ELI & CO COM 532457108 228 6244 SH SOLE 6244 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 118 25698 SH SOLE 25698 0 0 LOCKHEED MARTIN CORP COM 539830109 632 8866 SH SOLE 8866 0 0 LOEWS CORP COM 540424108 203 5346 SH SOLE 5346 0 0 LOWES COS INC COM 548661107 338 15147 SH SOLE 15147 0 0 M & T BK CORP COM 55261F104 2638 32251 SH SOLE 32251 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 7964 154795 SH SOLE 154795 0 0 MARATHON OIL CORP COM 565849106 1519 45875 SH SOLE 45875 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 5135 91815 SH SOLE 91815 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 15 10000 SH CALL SOLE 0 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 3028 90667 SH SOLE 90667 0 0 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 379 8270 SH SOLE 8270 0 0 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 405 11276 SH SOLE 11276 0 0 MARSH & MCLENNAN COS INC COM 571748102 285 11821 SH SOLE 11821 0 0 MCCORMICK & CO INC COM NON VTG 579780206 780 18564 SH SOLE 18564 0 0 MCDONALDS CORP COM 580135101 2934 39375 SH SOLE 39375 0 0 MCGRAW HILL COS INC COM 580645109 353 10675 SH SOLE 10675 0 0 MCKESSON CORP COM 58155Q103 2225 36017 SH SOLE 36017 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 1942 34129 SH SOLE 34129 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 310 5954 SH SOLE 5954 0 0 MEDTRONIC INC COM 585055106 1164 34639 SH SOLE 34639 0 0 MEDTRONIC INC NOTE 1.625% 4/1 585055AM8 17 17000 PRN SOLE 17000 0 0 MERCK & CO INC NEW COM 58933Y105 2920 79341 SH SOLE 79341 0 0 METLIFE INC COM 59156R108 1165 30311 SH SOLE 30311 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 138 20000 SH SOLE 20000 0 0 MICRON TECHNOLOGY INC COM 595112103 85 11725 SH SOLE 11725 0 0 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 28 32000 PRN SOLE 32000 0 0 MICROSOFT CORP COM 594918104 11502 469671 SH SOLE 469671 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 61 13241 SH SOLE 13241 0 0 MOLSON COORS BREWING CO NOTE 2.500% 7/3 60871RAA8 73 65000 PRN SOLE 65000 0 0 MONSANTO CO NEW COM 61166W101 3465 72295 SH SOLE 72295 0 0 MORGAN STANLEY NOTE 2.000%12/3 617446JQ3 25 25000 PRN SOLE 25000 0 0 MORGAN STANLEY INDIA INVS FD COM 61745C105 427 15682 SH SOLE 15682 0 0 NATIONAL FUEL GAS CO N J COM 636180101 228 4400 SH SOLE 4400 0 0 NATIONAL OILWELL VARCO INC COM 637071101 296 6651 SH SOLE 6651 0 0 NEUBERGER BERMAN INTER MUNI COM 64124P101 1001 66310 SH SOLE 66310 0 0 NEUROGESX INC COM 641252101 104 15000 SH SOLE 15000 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 248 15266 SH SOLE 15266 0 0 NEWMONT MINING CORP COM 651639106 3057 48678 SH SOLE 48678 0 0 NEWMONT MINING CORP NOTE 3.000% 2/1 651639AK2 48 34000 PRN SOLE 34000 0 0 NEWS CORP CL A 65248E104 308 23626 SH SOLE 23626 0 0 NEXTERA ENERGY INC COM 65339F101 868 15966 SH SOLE 15966 0 0 NOBLE ENERGY INC COM 655044105 420 5600 SH SOLE 5600 0 0 NOKIA CORP SPONSORED ADR 654902204 126 12560 SH SOLE 12560 0 0 NORTH EUROPEAN OIL RTY TR SH BEN INT 659310106 339 12674 SH SOLE 12674 0 0 NOVARTIS A G SPONSORED ADR 66987V109 5066 87844 SH SOLE 87844 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 3641 58977 SH SOLE 58977 0 0 NUVEEN MUN VALUE FD INC COM 670928100 165 16360 SH SOLE 16360 0 0 NYSE EURONEXT COM 629491101 275 9612 SH SOLE 9612 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 508 6487 SH SOLE 6487 0 0 ON SEMICONDUCTOR CORP NOTE 2.625%12/1 682189AG0 33 33000 PRN SOLE 33000 0 0 ONEOK INC NEW COM 682680103 2666 59186 SH SOLE 59186 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 2876 38385 SH SOLE 38385 0 0 ORACLE CORP COM 68389X105 1275 47505 SH SOLE 47505 0 0 PACIFIC CAP BANCORP NEW COM 69404P101 81 100000 SH SOLE 100000 0 0 PACIFIC ETHANOL INC COM 69423U107 14 16000 SH SOLE 16000 0 0 PAN AMERICAN SILVER CORP COM 697900108 15 10000 SH CALL SOLE 0 0 0 PENN VA CORP NOTE 4.500%11/1 707882AA4 10 10000 PRN SOLE 10000 0 0 PENN WEST ENERGY TR TR UNIT 707885109 283 14100 SH SOLE 14100 0 0 PEPSICO INC COM 713448108 11694 176010 SH SOLE 176010 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 651 17928 SH SOLE 17928 0 0 PFIZER INC COM 717081103 5849 340689 SH SOLE 340689 0 0 PHILIP MORRIS INTL INC COM 718172109 2721 48529 SH SOLE 48529 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 1733 33127 SH SOLE 33127 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 7435 118179 SH SOLE 118179 0 0 PLUM CREEK TIMBER CO INC COM 729251108 256 7231 SH SOLE 7231 0 0 POTASH CORP SASK INC COM 73755L107 516 3579 SH SOLE 3579 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 808 33513 SH SOLE 33513 0 0 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 4169 155543 SH SOLE 155543 0 0 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 266 26897 SH SOLE 26897 0 0 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 896 16159 SH SOLE 16159 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 1734 34447 SH SOLE 34447 0 0 POWERSHARES ETF TRUST II GRW & INC PORT 73936Q504 171 13813 SH SOLE 13813 0 0 POWERSHARES GLOBAL ETF FD S&P 500 BUYWRT 73936G308 203 4820 SH SOLE 4820 0 0 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 216 11798 SH SOLE 11798 0 0 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 480 17207 SH SOLE 17207 0 0 POWERSHARES GLOBAL ETF TRUST EMER MRKT PORT 73936T763 731 30531 SH SOLE 30531 0 0 POWERSHARES GLOBAL ETF TRUST EX US SML PORT 73936T771 626 28152 SH SOLE 28152 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 239 6357 SH SOLE 6357 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 507 10334 SH SOLE 10334 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 1441 52440 SH SOLE 52440 0 0 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 244 11162 SH SOLE 11162 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 596 26094 SH SOLE 26094 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BEAR 73936D206 4871 180000 SH SOLE 180000 0 0 PPG INDS INC COM 693506107 202 2776 SH SOLE 2776 0 0 PPL CORP COM 69351T106 203 7450 SH SOLE 7450 0 0 PRAXAIR INC COM 74005P104 8032 88991 SH SOLE 88991 0 0 PROCTER & GAMBLE CO COM 742718109 10575 176335 SH SOLE 176335 0 0 PROLOGIS NOTE 2.625% 5/1 743410AS1 16 17000 PRN SOLE 17000 0 0 PROSHARES TR PSHS SHT OIL&GAS 74347R222 6211 125430 SH SOLE 125430 0 0 PROSHARES TR PSHS SHTFINL ETF 74347R230 5929 144046 SH SOLE 144046 0 0 PROSHARES TR PSHS CS 130/30 74347R248 477 9194 SH SOLE 9194 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 990 31668 SH SOLE 31668 0 0 PROSHARES TR PSHS SH MSCI EAF 74347R370 5201 95806 SH SOLE 95806 0 0 PROSHARES TR PSHS SH MSCI EMR 74347R396 6700 200654 SH SOLE 200654 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 10956 224056 SH SOLE 224056 0 0 PROSHARES TR PSHS SHORT QQQ 74347R602 9985 257028 SH SOLE 257028 0 0 PROSHARES TR PSHS ULTSHRT QQQ 74347R875 154 10500 SH SOLE 10500 0 0 PROSHARES TR PSHS ULSHT SP500 74347R883 598 19344 SH SOLE 19344 0 0 PROSHARES TR SHRT RL EST FD 74347X641 4822 111515 SH SOLE 111515 0 0 PROVIDENT ENERGY TR TR UNIT 74386K104 162 22890 SH SOLE 22890 0 0 QEP RES INC COM 74733V100 1502 49826 SH SOLE 49826 0 0 QUALCOMM INC COM 747525103 404 8950 SH SOLE 8950 0 0 QUEST DIAGNOSTICS INC COM 74834L100 488 9675 SH SOLE 9675 0 0 RAYTHEON CO COM NEW 755111507 1046 22889 SH SOLE 22889 0 0 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 236 9655 SH SOLE 9655 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 84 10000 SH SOLE 10000 0 0 RITE AID CORP COM 767754104 32 34402 SH SOLE 34402 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 482 8003 SH SOLE 8003 0 0 SALIX PHARMACEUTICALS INC NOTE 2.750% 5/1 795435AC0 38 33000 PRN SOLE 33000 0 0 SANDRIDGE ENERGY INC COM 80007P307 57 10100 SH SOLE 10100 0 0 SANOFI AVENTIS SPONSORED ADR 80105N105 266 8013 SH SOLE 8013 0 0 SBA COMMUNICATIONS CORP NOTE 1.875% 5/0 78388JAN6 54 48000 PRN SOLE 48000 0 0 SCHLUMBERGER LTD COM 806857108 2749 44610 SH SOLE 44610 0 0 SEACOR HOLDINGS INC COM 811904101 2272 26681 SH SOLE 26681 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 395 7056 SH SOLE 7056 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1602 51067 SH SOLE 51067 0 0 SILVER STD RES INC COM 82823L106 15 20000 SH CALL SOLE 0 0 0 SILVERCORP METALS INC COM 82835P103 110 13325 SH SOLE 13325 0 0 SMUCKER J M CO COM NEW 832696405 312 5139 SH SOLE 5139 0 0 SOUTHERN CO COM 842587107 302 8085 SH SOLE 8085 0 0 SOUTHWEST AIRLS CO COM 844741108 215 16465 SH SOLE 16465 0 0 SOUTHWESTERN ENERGY CO COM 845467109 425 12699 SH SOLE 12699 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 12024 94201 SH SOLE 94201 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3486 30538 SH SOLE 30538 0 0 SPDR SERIES TRUST DJ SML VALUE ETF 78464A300 723 11815 SH SOLE 11815 0 0 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 303 7785 SH SOLE 7785 0 0 SPDR SERIES TRUST BARCLY CAP ETF 78464A367 304 7895 SH SOLE 7895 0 0 SPDR SERIES TRUST DJ LRG GRWTH ETF 78464A409 353 6898 SH SOLE 6898 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 878 21949 SH SOLE 21949 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 346 14223 SH SOLE 14223 0 0 SPDR SERIES TRUST DJ LRG VALUE ETF 78464A508 229 3868 SH SOLE 3868 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 306 5340 SH SOLE 5340 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 5503 120011 SH SOLE 120011 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 245 4889 SH SOLE 4889 0 0 STANLEY WKS FRNT 5/1 854616AM1 19 17000 PRN SOLE 17000 0 0 STARBUCKS CORP COM 855244109 232 9073 SH SOLE 9073 0 0 STRYKER CORP COM 863667101 2079 41525 SH SOLE 41525 0 0 SYSCO CORP COM 871829107 283 11937 SH SOLE 11937 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 167 16501 SH SOLE 16501 0 0 TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 444 15980 SH SOLE 15980 0 0 TARGET CORP COM 87612E106 342 6409 SH SOLE 6409 0 0 TASEKO MINES LTD COM 876511106 104 20000 SH SOLE 20000 0 0 TECH DATA CORP DBCV 2.750%12/1 878237AE6 50 49000 PRN SOLE 49000 0 0 TEVA PHARMACEUTICAL FIN CO B NOTE 1.750% 2/0 88165FAA0 20 17000 PRN SOLE 17000 0 0 TEVA PHARMACEUTICAL FIN LLC DBCV 0.250% 2/0 88163VAE9 39 32000 PRN SOLE 32000 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 697 13224 SH SOLE 13224 0 0 TEXAS INSTRS INC COM 882508104 234 8611 SH SOLE 8611 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1945 40614 SH SOLE 40614 0 0 TIME WARNER CABLE INC COM 88732J207 509 9429 SH SOLE 9429 0 0 TIME WARNER INC COM NEW 887317303 1367 44590 SH SOLE 44590 0 0 TOTAL S A SPONSORED ADR 89151E109 1032 19992 SH SOLE 19992 0 0 TOWNEBANK PORTSMOUTH VA COM 89214P109 218 14601 SH SOLE 14601 0 0 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 33 34000 PRN SOLE 34000 0 0 TRIMBLE NAVIGATION LTD COM 896239100 215 6139 SH SOLE 6139 0 0 UAL CORP NOTE 4.500% 6/3 902549AH7 33 33000 PRN SOLE 33000 0 0 UBS AG SHS NEW H89231338 495 29047 SH SOLE 29047 0 0 UGI CORP NEW COM 902681105 1477 51620 SH SOLE 51620 0 0 UNILEVER N V N Y SHS NEW 904784709 2132 71360 SH SOLE 71360 0 0 UNILEVER PLC SPON ADR NEW 904767704 319 10947 SH SOLE 10947 0 0 UNION PAC CORP COM 907818108 366 4476 SH SOLE 4476 0 0 UNITED MICROELECTRONICS CORP SPON ADR NEW 910873405 33 11850 SH SOLE 11850 0 0 UNITED PARCEL SERVICE INC CL B 911312106 453 6789 SH SOLE 6789 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 224 6420 SH SOLE 6420 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 23 15000 PRN SOLE 15000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 2580 36217 SH SOLE 36217 0 0 UNITEDHEALTH GROUP INC COM 91324P102 892 25410 SH SOLE 25410 0 0 UNIVERSAL HLTH SVCS INC CL B 913903100 937 24125 SH SOLE 24125 0 0 VALERO ENERGY CORP NEW COM 91913Y100 285 16298 SH SOLE 16298 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1065 13028 SH SOLE 13028 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1589 19218 SH SOLE 19218 0 0 VANGUARD INDEX FDS REIT ETF 922908553 651 12505 SH SOLE 12505 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 353 7426 SH SOLE 7426 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 425 7737 SH SOLE 7737 0 0 VANGUARD INDEX FDS STK MRK ETF 922908769 2080 35635 SH SOLE 35635 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2724 59987 SH SOLE 59987 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 3010 66216 SH SOLE 66216 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 235 4803 SH SOLE 4803 0 0 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 519 15038 SH SOLE 15038 0 0 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 988 18383 SH SOLE 18383 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 307 4347 SH SOLE 4347 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 0 10774 SH SOLE 10774 0 0 VARIAN MED SYS INC COM 92220P105 431 7136 SH SOLE 7136 0 0 VECTOR GROUP LTD COM 92240M108 1150 61536 SH SOLE 61536 0 0 VENTAS INC COM 92276F100 278 5386 SH SOLE 5386 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3580 109840 SH SOLE 109840 0 0 VIRGIN MEDIA INC COM 92769L101 219 9500 SH SOLE 9500 0 0 VISA INC COM CL A 92826C839 3182 42850 SH SOLE 42850 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 6564 264567 SH SOLE 264567 0 0 VORNADO RLTY L P DEB 3.875% 4/1 929043AC1 54 47000 PRN SOLE 47000 0 0 VULCAN MATLS CO COM 929160109 1185 32090 SH SOLE 32090 0 0 WABASH NATL CORP COM 929566107 202 25000 SH SOLE 25000 0 0 WAL MART STORES INC COM 931142103 8365 156282 SH SOLE 156282 0 0 WALGREEN CO COM 931422109 317 9469 SH SOLE 9469 0 0 WELLS FARGO & CO NEW COM 949746101 717 28519 SH SOLE 28519 0 0 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 924 34095 SH SOLE 34095 0 0 WHOLE FOODS MKT INC COM 966837106 216 5835 SH SOLE 5835 0 0 WILEY JOHN & SONS INC CL A 968223206 2369 57982 SH SOLE 57982 0 0 WILLIAMS COS INC DEL COM 969457100 3031 158610 SH SOLE 158610 0 0 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 697 16453 SH SOLE 16453 0 0 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 896 41392 SH SOLE 41392 0 0 WPP PLC ADR 92933H101 234 4210 SH SOLE 4210 0 0 YM BIOSCIENCES INC COM 984238105 54 31500 SH SOLE 31500 0 0 YUM BRANDS INC COM 988498101 456 9898 SH SOLE 9898 0 0 ZIMMER HLDGS INC COM 98956P102 539 10290 SH SOLE 10290 0 0 ZIX CORP COM 98974P100 101 35550 SH SOLE 35550 0 0
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