-----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, SHvIS1txrpBk3B/kTEr+9gq1M7YnfxJVk2gTFYolei75FR6GDcVvgJDlXkpP6wJC huG6P2f5pNhMrSB7Di9I5A== 0001161722-11-000001.txt : 20110204 0001161722-11-000001.hdr.sgml : 20110204 20110204141238 ACCESSION NUMBER: 0001161722-11-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110204 DATE AS OF CHANGE: 20110204 EFFECTIVENESS DATE: 20110204 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: 11573908 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: December 31, 2010 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 4, 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: 299 Form 13F Information Table Value Total: $307,340 ($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 1237 6872 SH SOLE 6872 AMGEN INCCOM COM 031162100 241 4397 SH SOLE 288 4109 AMPHENOL CORP NEW CL A COM 032095101 1087 20600 SH SOLE 20600 APPLE INC COM 037833100 1116 3460 SH SOLE 1600 1860 ARENA PHARMACEUTICALS COM 040047102 32 18700 SH SOLE 7000 11700 AVT INC COM 002422103 8 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 160 19502 SH SOLE 2441 17061 BALSAM VENTURES INC NEW COM 058820200 1 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 060505104 766 57395 SH SOLE 10100 47295 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 15361 191750 SH SOLE 2700 189050 Bank 1440 Peoria Ariz Com COM 062199104 49 24407 SH SOLE 24407 Bionovo Inc. COM 11 10000 SH SOLE 10000 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 481 55000 SH SOLE 55000 CATERPILLAR INC COM 281 3000 SH SOLE 3000 CHEVRON CORPORATION COM 166764100 455 4986 SH SOLE 4436 550 CHINA SHEN ZHOU MINING AND RES COM 16942h109 84 10000 SH SOLE 10000 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000 CISCO SYSTEMS INC COM 483 23873 SH SOLE 5420 18453 CITIGROUP INC COM COM 172967101 1366 288778 SH SOLE 117818 170960 CLEAN ENERGY FUELS CORP COM 184499101 148 10660 SH SOLE 10660 COCA COLA CO COM 191216100 391 5946 SH SOLE 5721 225 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 2 20000 SH SOLE 20000 Cic Energy Corp COM g2136r106 98 14255 SH SOLE 14255 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 134 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e206 48 64517 SH SOLE 64517 E M C CORP MASS COM 210 9189 SH SOLE 5590 3599 EVERGREEN ENERGY INC NEW COM 30024b203 16 24619 SH SOLE 316 24303 EXXON MOBIL CORPORATION COM 30231g102 1573 21513 SH SOLE 2900 18613 FIDELITY NATL INFORMATION SVCS COM 31620M106 1293 47212 SH SOLE 47212 FORD MOTOR COMPANY NEW COM 1337 79618 SH SOLE 47533 32085 Fidelity National Financial In COM 316326107 3471 253723 SH SOLE 253723 GEELY AUTOMOBILE HOLDINGSLIMIT COM g3777b103 22 50000 SH SOLE 50000 GENERAL ELECTRIC COMPANY COM 369604103 1415 77356 SH SOLE 26491 50865 GERON CORP COM 374163103 52 10000 SH SOLE 10000 GOOGLE INC CLASS A COM 441 742 SH SOLE 196 546 GREEN PLANET GROUP INC COM 393225107 0 40000 SH SOLE 40000 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HERBALIFE LTD COMMON STOCK COM g4412g101 5797 84791 SH SOLE 78966 5825 IDENTIVE GROUP INC COM 45170x106 35 14000 SH SOLE 14000 INSMED INC NEW COM 457669208 9 15000 SH SOLE 15000 INTEL CORP COM 458140100 525 24982 SH SOLE 2240 22742 INTL BUSINESS MACHINES COM 459200101 2611 17793 SH SOLE 17793 INTUITIVE SURGICAL NEW COM 397 1540 SH SOLE 1400 140 JOHNSON & JOHNSON COM 478160104 244 3945 SH SOLE 1620 2325 JONES LANG LASALLE INC COM COM 48020Q107 730 8700 SH SOLE 8700 Javo Beverage Company Inc COM 47189r104 3 245000 SH SOLE 245000 LAKES ENTERTAINMENT INC COM 51206p109 29 10000 SH SOLE 10000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 230 5000 SH SOLE 5000 LIGHTWAVE LOGIC INC COM 532275104 14 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 965 56178 SH SOLE 56178 MCAFEE INC COM 579064106 251 5415 SH SOLE 5415 MERCK & CO INC NEW COM 348 9650 SH SOLE 1050 8600 MICROSOFT CORP COM 594918104 1827 65474 SH SOLE 2794 62680 MOTOROLA INC COM 620076109 299 33000 SH SOLE 3000 30000 Metro-Goldwyn-Mayer Inc New COM 591610100 181 12170 SH SOLE 12170 North American Pallidum Compan COM 285 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 ORACLE CORPORATION COM 68389x105 1722 55002 SH SOLE 4450 50552 PACWEST BANCORP COM 695263103 644 30133 SH SOLE 30133 PFIZER INCORPORATED COM 717081103 178 10162 SH SOLE 1400 8762 PHILIP MORRIS INTL INC COM 718172109 7794 133159 SH SOLE 132892 267 PROCTER & GAMBLE COM 742718109 1061 16494 SH SOLE 510 15984 Pinetree Capital Corp New COM 723330106 49 11700 SH SOLE 11700 Rite Aid Corp Com COM 767754104 11 12310 SH SOLE 12310 SALESFORCE COM INCCOM COM 79466L302 528 4000 SH SOLE 4000 SEA DRAGON ENERGY INC COM 811375104 12 34000 SH SOLE 34000 SEAGATE TECHNOLOGY PLC F COM g7945m107 454 30225 SH SOLE 11765 18460 SIGNATURE GROUP HOLDINGS COM 82670c100 14 19028 SH SOLE 11000 8028 SIRIUS XM RADIO INC COM 82966U103 60 36990 SH SOLE 790 36200 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 SPECTRUM PHARMACEUTICALS INC COM 84763a108 69 10000 SH SOLE 10000 SRI/SURGICAL EXPRESS INC COM 78464w104 143 30000 SH SOLE 30000 STILLWATER MINING CO COM 86074q102 694 32500 SH SOLE 32500 TEXAS INSTRUMENTS INC COM 882508104 245 7547 SH SOLE 2215 5332 TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000 TYSON FOODS INC CL A COM 902494103 344 20000 SH SOLE 20000 Transition Therapeutics Inc Ne COM 893716209 225 118002 SH SOLE 118002 U S BANCORP DEL NEW COM 3399 126020 SH SOLE 126020 UNITED PARCEL SERVICE B CLASS COM 911312106 17180 236700 SH SOLE 50000 186700 UNITED STATES STL CORP NEW COM 912909108 240 4100 SH SOLE 4100 UNITEDHEALTH GROUP INC COM 91324p102 207 5742 SH SOLE 5302 440 VISA INC CL A COMMON STOCK COM 92826c839 1731 24600 SH SOLE 3600 21000 Volcano Corp COM 928645100 1092 40000 SH SOLE 40000 WASHINGTON MUTUAL INC COM wamuq 1 15000 SH SOLE 15000 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 358 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 35 11866 SH SOLE 11866 BHP BILLITON LTD ADR F SPONSOR ADR 088606108 5342 57486 SH SOLE 57486 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 316 24500 SH SOLE 24500 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 103 25000 SH SOLE 25000 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 5819 464047 SH SOLE 464047 BARCLAYS BANK IPATH ETN DJ UBS INDEX CEF 650 13235 SH SOLE 13235 BARCLAYS BK PLC IPATH S&P 500 INDEX CEF 06740c261 1138 30250 SH SOLE 30000 250 BLDRS EMERGING MKTS 50 ADR IND INDEX CEF 09348r300 503 10445 SH SOLE 5485 4960 ISHARES MSCI AUS IDX FD AUSTRA INDEX CEF 464286103 2423 95239 SH SOLE 90714 4525 ISHARES MSCI CDA IDX FD CANADA INDEX CEF 546 17604 SH SOLE 17604 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 690 14490 SH SOLE 9220 5270 ISHARES MSCI KOREA IDX KOREA I INDEX CEF 464286772 722 11803 SH SOLE 11803 ISHARES MSCI MALAYSIA MALAYSIA INDEX CEF 464286830 799 55552 SH SOLE 49752 5800 ISHARES MSCI SINGAPORE SINGAPO INDEX CEF 464286673 784 56621 SH SOLE 51021 5600 ISHARES MSCI THAI INDEX THAILA INDEX CEF 406 6288 SH SOLE 6288 ISHARES OIL & GAS EXPL INDEX F INDEX CEF 464288851 1264 19800 SH SOLE 14700 5100 ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 731 12912 SH SOLE 12912 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 1495 22777 SH SOLE 18860 3917 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 773 12970 SH SOLE 9230 3740 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 2456 24382 SH SOLE 18802 5580 ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 811 10205 SH SOLE 7415 2790 ISHARES TR DOW JONES SEL DIVID INDEX CEF 464287168 743 14898 SH SOLE 14304 594 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 1704 29273 SH SOLE 25746 3527 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 2849 49753 SH SOLE 39793 9960 ISHARES TR RUSSELL 2000 RUSSEL INDEX CEF 464287655 356 4553 SH SOLE 3178 1375 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 1765 23549 SH SOLE 23549 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 2196 21585 SH SOLE 21585 ISHARES TR S&P LATN AMER S&P L INDEX CEF 464287390 1683 31248 SH SOLE 28168 3080 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 525 6001 SH SOLE 3259 2742 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 2631 56064 SH SOLE 55064 1000 ISHARES TRUST S&P 500 S&P 500 INDEX CEF 464287200 3206 25396 SH SOLE 25346 50 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 465 12790 SH SOLE 12790 MARKET VECTORS ETF TRUST INDON INDEX CEF 1816 20795 SH SOLE 20795 MARKET VECTORS ETF VIETNAM INDEX CEF 488 18641 SH SOLE 18641 POWERSHS DB COMMDTY INDX INDEX CEF 73935s105 988 35855 SH SOLE 32965 2890 POWERSHS EXCH TRAD FD TR POWER INDEX CEF 73935x823 367 26340 SH SOLE 26340 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 1372 25201 SH SOLE 5587 19614 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 2286 18176 SH SOLE 12628 5548 SECTOR SPDR ENGY SELECT SHARES INDEX CEF 81369y506 2585 37870 SH SOLE 25650 12220 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 365 11590 SH SOLE 11590 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 1033 40995 SH SOLE 40995 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y704 853 24470 SH SOLE 15410 9060 SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 354 9097 SH SOLE 8092 1005 SPDR KBW INSURANCE ETF INDEX CEF 78464a789 273 6350 SH SOLE 6350 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 579 11130 SH SOLE 10310 820 SPDR S&P MIDCAP 400 ETF INDEX CEF 1736 10542 SH SOLE 10542 VANGUARD EMERGING MARKET INDEX CEF 922042858 1455 30230 SH SOLE 28905 1325 VANGUARD ENERGY INDEX CEF 92204a306 378 3790 SH SOLE 3790 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 363 5900 SH SOLE 5900 VANGUARD MID CAP GROWTH INDEX CEF 922908538 305 4890 SH SOLE 4890 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1002 15426 SH SOLE 13876 1550 WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 421 8765 SH SOLE 8765 WISDOMTREE INDIA EARNING INDEX CEF 669 25347 SH SOLE 25347 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 15262 140742 SH SOLE 137715 3027 ISHARES S&P U S PFD FUND S&P U ETF 464288687 2617 67450 SH SOLE 64850 2600 ISHARES TR BARCLAYS BOND BARCL ETF 464288646 4803 46055 SH SOLE 44155 1900 ISHARES TR BARCLAYS BOND BARCL ETF 464287457 410 4885 SH SOLE 4515 370 ISHARES TR BARCLAYS BOND BARCL ETF 464288638 389 3700 SH SOLE 3700 ISHARES TR BARCLAYS FUND BARCL ETF 464287226 2471 23363 SH SOLE 21353 2010 ISHARES TRUST ETF JP MORGAN US ETF 507 4735 SH SOLE 4735 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 2288 25340 SH SOLE 16782 8558 ISHARES TRUST ISHARES BARCLAYS ETF 464287176 1456 13543 SH SOLE 13543 POWERSHS EXCH TRAD FD TR EMERG ETF 73936t573 558 20912 SH SOLE 20912 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 1154 65531 SH SOLE 45201 20330 SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 3399 85588 SH SOLE 46875 38713 SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 514 8799 SH SOLE 7999 800 SPDR GOLD TRUST SPDR GOLD SHAR COMMODITY FUND 78463V107 2119 15277 SH SOLE 6387 8890 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 321 5150 SH SOLE 300 4850 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 3429 3115596 SH SOLE 3115596 POPE RESOURCES DEPOSITARY RECE LP 732857107 1338 37163 SH SOLE 37163 Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953 Smith Barney Aaa Energy Future LP 203 50 SH SOLE 50 AEGON N V 6.375% PERP CAPITAL PFD 007924301 420 19400 SH SOLE 19400 AEGON NV PFD n00927348 301 12600 SH SOLE 12600 ALLIANZ SE 8.375% UNDATED SUBO PFD 018805200 344 13100 SH SOLE 13100 Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059 BAC CAPITAL TRUST I 7.00% TR P PFD 055187207 358 14700 SH SOLE 1000 13700 BAC CAPITAL TRUST IV PFD ST PFD 055185201 471 22000 SH SOLE 12000 10000 BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 416 17150 SH SOLE 7000 10150 BARCLAYS BANK PLC PFD 06739h362 277 10792 SH SOLE 10792 Bank of America Dep Sh Repstg PFD 895 35100 SH SOLE 29100 6000 CAPITAL ONE CAPITAL II PFD 14041L204 205 8058 SH SOLE 8058 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 267 10740 SH SOLE 10740 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 369 15240 SH SOLE 1000 14240 CITIGROUP CAPITAL XV PFD 17310g202 244 10526 SH SOLE 10526 COBANK ACB PERP PFD SER B %144 PFD 19075Q300 438 9750 SH SOLE 9750 COBANK ACB PFD CUM PERP SER AN PFD 19075Q201 238 5000 SH SOLE 5000 DEUTSCHE BANK CONTINGENT CAP T PFD 25154a108 208 8213 SH SOLE 8213 FARM CR BK TEX PERP NON CUMULA PFD 30767e307 2263 2100 SH SOLE 2100 FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 209 9482 SH SOLE 9482 FLEET CAPITAL TRUST VIIIDEF IN PFD 33889x203 499 20201 SH SOLE 7266 12935 GEORGIA POWER CO PFD 373334119 210 2000 SH SOLE 2000 GOLDMAN SACHS GP DEP SHS PERPE PFD 210 10000 SH SOLE 10000 GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 498 23700 SH SOLE 17500 6200 GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 630 26104 SH SOLE 12604 13500 GOLDMAN SACHS GROUP INC DEP SH PFD 38144x609 250 11100 SH SOLE 6100 5000 GOLDMAN SACHS GROUP INC DEP SH PFD 38144g804 327 15200 SH SOLE 11000 4200 GOLDMAN SACHS SER D PFD DEP SH PFD 323 15000 SH SOLE 15000 ING GROEP N V 8.50% ING PERPET PFD 456837806 275 10864 SH SOLE 10864 ING GROEP N V PREF CTF 7.3750% PFD 456837707 370 15959 SH SOLE 15959 MBNA CAPITAL D 8.125% PFD DUE PFD 55266j200 453 17893 SH SOLE 14643 3250 MBNA CAPITAL SERIES E 8.10% TR PFD 55270b201 643 25260 SH SOLE 16410 8850 METLIFE INC SER B PFD 59156r603 213 8596 SH SOLE 8596 NATIONAL CITY CAP 8.0%47 CAP T PFD 390 15000 SH SOLE 15000 PPL ELECTRIC UTILITIES CORP PFD 69351u863 293 12000 SH SOLE 12000 Principal Finl Group Inc Pfd S PFD 334 3750 SH SOLE 3750 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 HARRIS PFD CAP CORPPFD EXCHANG CONV 414567206 309 12265 SH SOLE 12265 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 231 16920 SH SOLE 16920 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 782 61103 SH SOLE 55383 5720 BLACKROCK MUNI INCOME TR SH BE NON-TAX CEF 09248f109 338 26530 SH SOLE 26530 BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 228 16300 SH SOLE 15100 1200 BLACKROCK MUNIYIELD FUND NON-TAX CEF 09253w104 164 12200 SH SOLE 12200 BLKRCK MUNIHLDGS CA QLTY NON-TAX CEF 09254l107 1069 81910 SH SOLE 17810 64100 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 496 38777 SH SOLE 37950 827 BLKRCK MUNIHLDGS QLTY II NON-TAX CEF 09254c107 217 18170 SH SOLE 18170 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 2797 218661 SH SOLE 125329 93332 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 1690 127226 SH SOLE 51879 75347 CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 939 71240 SH SOLE 7900 63340 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 26202f107 100 13253 SH SOLE 11253 2000 DREYFUS STRATEGIC MUNS NON-TAX CEF 223 28600 SH SOLE 28600 INVESCO INSURED MUNI TR SBI NON-TAX CEF 46132w103 145 11200 SH SOLE 11200 INVESCO VAN KAMPEN CALIFORNIA NON-TAX CEF 46132h106 706 62556 SH SOLE 62556 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 685 52298 SH SOLE 11373 40925 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 336 27300 SH SOLE 16400 10900 NUVEEN CA INV QLTY MUN INV QUA NON-TAX CEF 67062a101 505 40120 SH SOLE 25600 14520 NUVEEN CA QLTY INCM MUN NON-TAX CEF 670985100 1054 79066 SH SOLE 20150 58916 NUVEEN CA QLTY SELCT MUN CA QU NON-TAX CEF 670975101 646 49573 SH SOLE 12673 36900 NUVEEN CAL PERFORMANCE PLUS MU NON-TAX CEF 67062q106 650 52300 SH SOLE 18400 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 316 25600 SH SOLE 25600 NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 395 33050 SH SOLE 10400 22650 NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 156 11730 SH SOLE 8300 3430 NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 132 10250 SH SOLE 6750 3500 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 163 12000 SH SOLE 12000 NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 203 15360 SH SOLE 15360 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 232 18723 SH SOLE 18723 PIMCO MUN INCOME FUND NON-TAX CEF 72200r107 233 18500 SH SOLE 18500 PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 746823103 227 32900 SH SOLE 32900 PUTNAM MUNICIPAL OPPORTUNITIES NON-TAX CEF 746922103 185 17000 SH SOLE 17000 Pimco California Municipal Inc NON-TAX CEF 72201c109 126 14000 SH SOLE 14000 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 300 300000 PRN SOLE 300000 ABERDEEN ASIA PAC INCM TAXABLE CEF 9709 1438349 SH SOLE 1438349 ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 1750 220641 SH SOLE 125458 95183 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 660 52175 SH SOLE 52175 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 789 59890 SH SOLE 32222 27668 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 3066 191055 SH SOLE 110885 80170 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 311 23788 SH SOLE 15721 8067 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 590 45218 SH SOLE 7800 37418 HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 410123103 686 45405 SH SOLE 44390 1015 HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 280 13953 SH SOLE 13953 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 401 64714 SH SOLE 14714 50000 HELIOS TOTAL RETURN FUND TAXABLE CEF 42327v109 216 38113 SH SOLE 38113 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 174 22948 SH SOLE 20072 2876 INVESCO VAN KAMPEN DYNAMIC FUN TAXABLE CEF 46132r104 156 12781 SH SOLE 12781 M S EMERGING MKTS DEBT TAXABLE CEF 1526 94464 SH SOLE 17641 76823 MFS MULTI MKT INC TRUST SH BEN TAXABLE CEF 552737108 383 55480 SH SOLE 53380 2100 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 1384 114600 SH SOLE 103630 10970 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1152 97543 SH SOLE 94143 3400 NUVEEN GOVT INCOME FUND TAXABLE CEF 67090n109 267 19395 SH SOLE 16415 2980 NUVEEN MULTI STRAT INCM TAXABLE CEF 67073b106 112 13360 SH SOLE 13360 NUVEEN MULTI STRAT INCM TAXABLE CEF 188 21414 SH SOLE 18914 2500 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 180 22839 SH SOLE 16306 6533 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 101 13610 SH SOLE 13610 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 86 11133 SH SOLE 10200 933 PCM FD INC COM TAXABLE CEF 69323t101 112 10340 SH SOLE 10340 PIMCO CORPORATE OPPTY FD TAXABLE CEF 2492 146842 SH SOLE 46375 100467 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 4106 160450 SH SOLE 54340 106110 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 2849 287790 SH SOLE 137715 150075 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 1769 153854 SH SOLE 100141 53713 PIONEER FLOATING RATE TR TAXABLE CEF 72369j102 338 26236 SH SOLE 26236 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 746909100 97 16686 SH SOLE 16686 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 553 88041 SH SOLE 77541 10500 RIVUS BOND FUND FRACTIONAL SHA TAXABLE CEF hgk667100 0 49520 SH SOLE 49520 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 445 40446 SH SOLE 30546 9900 TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 3707 346446 SH SOLE 346446 VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 301 3740 SH SOLE 2240 1500 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 523 54302 SH SOLE 29183 25119 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 1417 92481 SH SOLE 70941 21540 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 200 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 1068 75579 SH SOLE 71749 3830 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 441 35178 SH SOLE 32178 3000 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 224 17419 SH SOLE 17419 WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 142 10668 SH SOLE 10668 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 813 44393 SH SOLE 34953 9440 Western Asset Emerging Mkts In TAXABLE CEF 95766f100 134 10250 SH SOLE 6650 3600 AGIC GLOBAL EQUITY & CONV INCO CEFS 00119r108 412 26083 SH SOLE 26083 ALPINE TOTAL DYNAMIC DIVIDEND CEFS 021060108 403 68121 SH SOLE 59321 8800 BLACKROCK STRATEGIC DIVIDEND A CEFS 09249y107 710 66482 SH SOLE 62999 3483 BLKROCK CR ALLO INCOME TRUST I CEFS 092508100 455 37583 SH SOLE 37583 CALAMOS GLOBAL INCOME FD CEFS 111 13213 SH SOLE 13213 CALAMOS STRGC TOT RET FD CEFS 221 23916 SH SOLE 22651 1265 CLOUGH GLOBAL ALLOCATION FD CEFS 18913y103 202 12923 SH SOLE 12923 CLOUGH GLOBAL EQUITY FD CEFS 18914c100 193 12828 SH SOLE 12828 CLOUGH GLOBAL OPPORTUNITIES FD CEFS 18914e106 228 16960 SH SOLE 16960 EATON VANCE TAX MANAGED DIVERS CEFS 27828n102 192 17000 SH SOLE 17000 EATON VANCE TAX-MANAGED GLOBAL CEFS 27829c105 576 47016 SH SOLE 46816 200 LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 228 46216 SH SOLE 46216 NUVEEN DIVERSFD DIVID FD CEFS 228 20902 SH SOLE 16502 4400 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 13021 423996 SH SOLE 423996 POWERSHARES EXCH TRAD FD BUILD ETF 73937b407 6186 246637 SH SOLE 199362 47275 ISHARES TR S&P NATL AMTFREE ETF 464288414 3852 38841 SH SOLE 38841 PROSHARES ULTRA BASIC MATERIAL ETFS 74347r776 1773 35000 SH SOLE 35000 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1015 61324 SH SOLE 8600 52724 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 882 62517 SH SOLE 10000 52517 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 806 39300 SH SOLE 7000 32300 GABELLI EQUITY TRUST INC CEFS 362397101 1385 244350 SH SOLE 5000 239350 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 588 82930 SH SOLE 82930 ANNALY CAPITAL MGMT REIT ETF 035710409 461 25700 SH SOLE 7400 18300
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