0000906344-11-000125.txt : 20110504 0000906344-11-000125.hdr.sgml : 20110504 20110504142741 ACCESSION NUMBER: 0000906344-11-000125 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110504 DATE AS OF CHANGE: 20110504 EFFECTIVENESS DATE: 20110504 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: 11809683 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 sfs1q11.txt FORM 13F - FIRST QUARTER 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 03/31/11 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 May 4, 2011 ----------------------------- ------------------------ ----------------- [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: 396 Form 13F Information Table Value Total (x$1000): 299,051 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 - FIRST QUARTER 2011 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 $622 6652 SH Sole 6652 8x8 Inc. Common 282914100 $37 13000 SH Sole 13000 ABB, Ltd. Common 000375204 $24 1000 SH Sole 1000 AMR Corp Del Common 001765106 $82 12658 SH Sole 12658 AOL Time Warner Inc. Common 00184X105 $0 24 SH Sole 24 ARC Energy Trust Common 00208d408 $216 8200 SH Sole 8200 AT&T Inc. Common 00206r102 $73 2400 SH Sole 2400 ATP Oil & Gas Corp. Common 00208j108 $54 3000 SH Sole 3000 Abbot Laboratories Common 002824100 $378 7700 SH Sole 7700 Abercrombie & Fitch Co. Common 002896207 $135 2300 SH Sole 2300 ACE Ltd. Common H0023R105 $388 6000 SH Sole 6000 Activions Blizzard Inc. Common 00507V109 $99 9000 SH Sole 9000 Adobe Systems Inc Common 00724f101 $10,084 304100 SH Sole 304100 Agilent Technologies Inc Common 00846u101 $428 9559 SH Sole 9559 Agrium Inc. Common 008916108 $148 1600 SH Sole 1600 Air Prod & Chemical Inc Common 009158106 $504 5590 SH Sole 5590 Alcoa, Inc. Common 013817101 $434 24582 SH Sole 24582 Allergan Inc. Common 018490102 $57 800 SH Sole 800 Alliance Resource Partners, L.P. Common 01877R108 $24 300 SH Sole 300 Allscripts Misys Healthcare Common 01988P108 $210 10000 SH Sole 10000 Solutions Inc Altair Nanatechnologies, Inc. Common 021373204 $159 100760 SH Sole 100760 Altria Group Inc Common 02209S103 $226 8700 SH Sole 8700 Amazon.com, Inc. Common 023135106 $366 2030 SH Sole 2030 American Express Co Common 025816109 $254 5610 SH Sole 5610 American Intl Group Common 026874784 $3 75 SH Sole 75 American Tower Corp Common 029912201 $458 8830 SH Sole 8830 Amgen Inc Common 031162100 $6,055 113283 SH Sole 113283 Anadarko Petroleum Corp. Common 032511107 $1,022 12470 SH Sole 12470 Analog Devices Inc. Common 032654105 $3,348 85000 SH Sole 85000 Anderson Energy Ltf. Common 033839101 $2 1500 SH Sole 1500 Annaly Mortgage Mgmt Common 035710409 $17 1000 SH Sole 1000 Apache Corp Common 037411105 $825 6300 SH Sole 6300 Apple Computer Common 037833100 $1,640 4705 SH Sole 4705 Applied Materials Common 038222105 $62 3995 SH Sole 3995 Aqua America, Inc. Common 03836W103 $43 1900 SH Sole 1900 Ares Capital Corporation Common 04010L103 $76 4500 SH Sole 4500 Arris Group, Inc. Common 04269Q100 $472 37078 SH Sole 37078 BP Purdhoe Bay Royalty Trust UBI Common 055630107 $1,728 14420 SH Sole 14420 BYD Co. H Shares Common Y1023R104 $316 82600 SH Sole 82600 Backcock & Wilcox, Co. Common 05615F102 $4 127 SH Sole 127 Baidu.com, Inc. Spread Common 056752108 $258 1870 SH Sole 1870 Bankamerica Corp Common 060505104 $879 65956 SH Sole 65956 Baxter International Common 071813109 $276 5125 SH Sole 5125 Berkshire Hathaway B Shares Class B 084670702 $38 450 SH Sole 450 Biomarin Pharmaceutical Inc Common 09061G101 $5 200 SH Sole 200 Blackrock High Yield Trust Common 09248n102 $67 10000 SH Sole 10000 Boardwalk Pipeline Partners, L.P. Common 096627104 $10,699 327583 SH Sole 327583 Boeing Company Common 097023105 $1,553 21000 SH Sole 21000 Boston Scientific Corp. Common 101137107 $283 39417 SH Sole 39417 Bristol-Myers Squibb Common 110122108 $312 11800 SH Sole 11800 Broadcom Corp. Class A Class A 111320107 $47 1200 SH Sole 1200 Brookfield Asset Management Inc. Class A 112585104 $146 4500 SH Sole 4500 Bsquare Corp. Common 11776u300 $11 1500 SH Sole 1500 Charter One Finc'l Inc. Common 125269100 $123 900 SH Sole 900 CME Group Inc. Common 12572Q105 $196 650 SH Sole 650 CVS Caremark Corp. Common 126650100 $275 8000 SH Sole 8000 Cabot Oil & Gas Corp. Common 127097103 $7,416 140000 SH Sole 140000 Cal Water Svcs Group Common 130788102 $13 350 SH Sole 350 Cameco Corp Common 13321L108 $650 21650 SH Sole 21650 Cardinal Health Inc Common 14149y108 $259 6300 SH Sole 6300 CareFusion Corp. Common 14170T101 $1 50 SH Sole 50 Caterpillar Inc Common 149123101 $36,195 325058 SH Sole 325058 Celgene Corp. Common 151020104 $1,335 23191 SH Sole 23191 Cenovus Energy Inc. Common 15135U109 $51 1300 SH Sole 1300 Chevron Corp Common 166764100 $4,659 43348 SH Sole 43348 Cigna Corp. Common 125509109 $58 1300 SH Sole 1300 Cisco Systems Inc Common 17275r102 $1,825 106417 SH Sole 106417 Citigroup Inc Common 172967101 $679 153550 SH Sole 153550 Claymore ETF Global Solar ETF 18383M621 $9 1000 SH Sole 1000 Energy Index Clean Energy Fuel Corp. Common 184499101 $131 8000 SH Sole 8000 Clorox Common 189054109 $315 4500 SH Sole 4500 Coach Inc. Common 189754104 $99 1900 SH Sole 1900 Coca-Cola Common 191216100 $1,027 15488 SH Sole 15488 Cognizant Tech Solutions Corp. Class A 192446102 $342 4200 SH Sole 4200 Colgate Palmolive Co Common 194162103 $884 10950 SH Sole 10950 Comcast Corp. New SPL Class A Class A 20030N200 $26 1100 SH Sole 1100 Comcast Corp. New Class A Class A 20030n101 $655 26500 SH Sole 26500 Community Health Systems, Inc. Common 203668108 $252 6300 SH Sole 6300 Compass Minerals Int'l Inc. Common 20451N101 $355 3800 SH Sole 3800 Comstock Resources Inc NEW Common 205768203 $619 20000 SH Sole 20000 Comverge Inc. Common 205859101 $3 600 SH Sole 600 Con-Way Inc. Common 205944101 $39 1000 SH Sole 1000 Conceptus Common 206016107 $4,372 302142 SH Sole 302142 ConocoPhillips Common 20825c104 $2,112 26447 SH Sole 26447 Continental Resources Common 212015101 $2,859 40000 SH Sole 40000 Corning Inc Common 219350105 $870 42155 SH Sole 42155 Costco Whsl Corp Common 22160k105 $249 3400 SH Sole 3400 Cree Inc. Common 225447101 $357 7732 SH Sole 7732 Crocs, Inc Common 227046109 $5 300 SH Sole 300 Danaher Corp. Common 235851102 $1,511 29120 SH Sole 29120 Daylight Resources Trust Common 239590201 $99 8500 SH Sole 8500 Deere & Co. Common 244199105 $930 9600 SH Sole 9600 Dell Inc. Common 24702R101 $4 300 SH Sole 300 Devon Energy Corp/ Common 25179M103 $652 7100 SH Sole 7100 Digital Ally Inc. Common 25382P109 $0 300 SH Sole 300 Walt Disney Co. Common 254687106 $556 12900 SH Sole 12900 Dow Chemical Common 260543103 $492 13036 SH Sole 13036 E I Du Pont De Nemours & Co. Common 263534109 $319 5800 SH Sole 5800 EMC Corp Common 268648102 $2,054 77341 SH Sole 77341 EMS Technologies, Inc. Common 26873N108 $6 300 SH Sole 300 EOG Resources Inc. Common 26875P101 $604 5100 SH Sole 5100 Eastman Chemical Co Common 277432100 $636 6400 SH Sole 6400 Ebay Inc Common 278642103 $6 200 SH Sole 200 Electronic Arts Common 285512109 $6 300 SH Sole 300 Eli Lilly & Co. Common 532457108 $12,072 343253 SH Sole 343253 Emerson Electric Common 291011104 $2,897 49583 SH Sole 49583 Energy Focus Inc. Common 29268T102 $448 367200 SH Sole 367200 Enerplus Corporation Common 292766102 $2,429 76715 SH Sole 76715 Enterprise Products Partner Common 293792107 $1,256 29164 SH Sole 29164 Enzon Pharmaceuticals FKA Common 293904108 $218 20000 SH Sole 20000 Enzon Inc Essex Property Trust Common 297178105 $44 357 SH Sole 357 Exactech Inc. Common 30064e109 $18 1000 SH Sole 1000 Exelon Corp Common 30161n101 $789 19142 SH Sole 19142 Express Scripts Inc. Common 302182100 $384 6900 SH Sole 6900 Exxon Mobil Corp. Common 30231g102 $860 10220 SH Sole 10220 F5 Networks Inc. Common 315616102 $103 1000 SH Sole 1000 FMC Corp Common 302491303 $467 5500 SH Sole 5500 Fedex Common 31428x106 $6,764 72300 SH Sole 72300 First Majestic Silver Corp. Common 32076v103 $316 14870 SH Sole 14870 First Solar Inc. Common 336433107 $4 25 SH Sole 25 First Trust ISE Global Wind ETF 33736g106 $4 339 SH Sole 339 Energy Index First Trust Dow Jones Select ETF 33718m105 $105 4400 SH Sole 4400 Microcap ETF First Trust ETF Dow Jones ETF 33733E302 $114 3129 SH Sole 3129 Internet Index FD Ford Motor Company Common 345370860 $702 47084 SH Sole 47084 Fortune Brands Inc Common 349631101 $254 4100 SH Sole 4100 Fractional Kinder Morgan Mgmt Common eke55u103 $0 1220511 SH Sole 1220511 Shares Freeport Memoran C & G Common 35671d857 $755 13600 SH Sole 13600 Frontier Communications Corp. Class B 35906A108 $26 3129 SH Sole 3129 Fuel-Tech NV Common 359523107 $9 1000 SH Sole 1000 GMX Resources Inc. Common 38011m108 $3 500 SH Sole 500 Galleon Energy Inc. Class A 36380R104 $2 500 SH Sole 500 Gen Probe Inc Common 36866t103 $199 3000 SH Sole 3000 General Electric Common 369604103 $3,545 176821 SH Sole 176821 General Mills Common 370334104 $300 8200 SH Sole 8200 Global X ETF China Consumer ETF 37950e408 $238 13782 SH Sole 13782 Globalscape Inc Common 37940g109 $1,065 420914 SH Sole 420914 Google Inc. Common 38259p508 $2,672 4553 SH Sole 4553 Granite Construction Co Common 387328107 $4,075 145000 SH Sole 145000 Guggenheim China ETF 18383Q853 $553 18932 SH Sole 18932 H&Q Healthcare Fund Common 404052102 $57 4004 SH Sole 4004 HCP, Inc. Common 40414L109 $38 1000 SH Sole 1000 Halliburton Co Common 406216101 $406 8155 SH Sole 8155 Hansen Natural Corp. Common 411310105 $84 1400 SH Sole 1400 Harris Corp-Del Common 413875105 $42 850 SH Sole 850 Health Care Reit Inc. Common 42217K106 $86 1640 SH Sole 1640 Hewlett Packard Co Common 428236103 $720 17581 SH Sole 17581 Home Depot Inc Common 437076102 $875 23620 SH Sole 23620 Honeywell Intl Inc Common 438516106 $914 15300 SH Sole 15300 Human Genome Common 444903108 $55 2000 SH Sole 2000 Hyundai Motor Co. UK Common H001309 $224 7500 SH Sole 7500 I Shares Australia Index Common 464286103 $430 16169 SH Sole 16169 I Shares Inc. MSCI CDA INDEX FD Common 464286509 $907 26985 SH Sole 26985 I Shares Inc. MSCI Brazil Free Common 464286400 $85 1091 SH Sole 1091 Index Fd I Shares S. Korea Index Fd Common 464286772 $568 8824 SH Sole 8824 I Shares MSCI Mexico Investable Common 464286822 $99 1573 SH Sole 1573 Market Index Fd I Shares Japan Index Common 464286665 $702 14540 SH Sole 14540 I Shares Singapore Index Fund Common 464286673 $56 4094 SH Sole 4094 I Shares Swden Indesx Fund Common 464286756 $94 2870 SH Sole 2870 I Shares Dow Jones Medical Common 464288810 $456 7105 SH Sole 7105 Devices I Shares Trust Dow Jones Tech. Common 464287721 $33 500 SH Sole 500 Index Fund I Shares Trust S&P Global Common 464287325 $91 1690 SH Sole 1690 Healthcare I Shares Nasdaq BioT Common 464287556 $378 3775 SH Sole 3775 I Shares PHLX Sox Semiconductor Common 464287523 $41 700 SH Sole 700 Index FD I Shares S&P Global Clean Common 464288224 $11 593 SH Sole 593 Energy Index I Shares Silver Trust Common 46428Q109 $1,371 37281 SH Sole 37281 I Shares Tr Russell Microcap Common 464288869 $106 2000 SH Sole 2000 Index Fund I Shares Tr Russell Midcap Common 464287481 $229 3767 SH Sole 3767 Growth Index Fund I Shares Tr S&P Global Info. Common 464287291 $41 650 SH Sole 650 Technology Illinois Tool Works Inc. Common 452308109 $1,063 19784 SH Sole 19784 Immunogen Inc. Common 45253H101 $1,088 120000 SH Sole 120000 Imperial Industries, Inc. Common 452848401 $0 1000 SH Sole 1000 Informatica Corporation Common 45666q102 $104 2000 SH Sole 2000 Intel Corp Common 458140100 $1,532 75938 SH Sole 75938 Intl Bus Machines Common 459200101 $2,563 15719 SH Sole 15719 Intrepid Potash Inc. Common 46121y102 $87 2500 SH Sole 2500 Ironstone Group Inc.New Common 463228205 $0 60 SH Sole 60 I Shares GSCI Commodity Index Common 46428R107 $100 2690 SH Sole 2690 Trust I Shares Latin America Index Common 464287390 $134 2500 SH Sole 2500 Fund I Shares MSCI Malaysia Free Common 464286830 $95 6445 SH Sole 6445 Index Fund I Shares Tr Dow Jones Sel Divid Common 464287168 $41 785 SH Sole 785 Index Fund I Shares Tr S&P Global Energy Common 464287341 $33 750 SH Sole 750 Sect Fund I Shares Trust S&P US pfd stock Common 464288687 $59 1500 SH Sole 1500 Index Fd Isis Pharmaceuticals Inc, Common 464330109 $362 40000 SH Sole 40000 JP Morgan Chase Common 46625H100 $1,564 33917 SH Sole 33917 Jacobs Engineering Common 469814107 $51 1000 SH Sole 1000 Johnson/Johnson Common 478160104 $1,286 21707 SH Sole 21707 Juniper Networks, Inc. Common 48203r104 $463 11000 SH Sole 11000 Kansas City Southern Common 485170302 $82 1500 SH Sole 1500 Keryx Biopharmaceuticals, Inc. Common 492515101 $24 4700 SH Sole 4700 Kimberly Clark Common 494368103 $320 4900 SH Sole 4900 Kinder Morgan Energy Common 494550106 $807 10890 SH Sole 10890 Kinder Morgan Mgmt, LLC Common 49455U100 $370 5648 SH Sole 5648 Kohls Corp. Common 500255104 $762 14375 SH Sole 14375 Kraft Foods Inc. Class A 50075n104 $150 4795 SH Sole 4795 L-3 Communications Hldgs Corp Common 502424104 $88 1130 SH Sole 1130 LMS Medical Systems, Inc. Common 502089105 $8 502400 SH Sole 502400 LVMH Moet Hennessy Louis Vuitton Common F58485115 $190 1200 SH Sole 1200 Lam Research Corp. Common 512807108 $113 2000 SH Sole 2000 Ligland Pharmaceuticals Class B 53220K504 $3 333 SH Sole 333 Linn Energy LLC Unit Common 536020100 $39 1000 SH Sole 1000 Lockheed Martin Corp Common 539830109 $261 3250 SH Sole 3250 Loews Companies Inc Common 548661107 $446 16886 SH Sole 16886 MDU Resources Grp. Common 552690109 $642 27955 SH Sole 27955 Magellan Midstream Common 559080106 $657 10970 SH Sole 10970 Magnum Hunter Resources Common 55973b102 $9 1000 SH Sole 1000 Manulife Financial Common 56501r106 $11 600 SH Sole 600 Marathan Oil Corp. Common 565849106 $219 4100 SH Sole 4100 Marina Biotech Inc. Common 56804Q102 $67 95000 SH Sole 95000 Market Vectors Agribusiness ETF ETF 57060U605 $85 1522 SH Sole 1522 McDermott Int'l Inc. Common 580037109 $6 254 SH Sole 254 Mcdonald's Corp Common 580135101 $1,537 20200 SH Sole 20200 McKesson Corp Common 58155q103 $31 387 SH Sole 387 Medco Health Solutions Common 58405u102 $532 9476 SH Sole 9476 Medtronic, Inc. Common 585055106 $276 7021 SH Sole 7021 Mela Sciences Inc. Common 55277R100 $11 3000 SH Sole 3000 Merchants Nat'l Pptys Common 589161108 $1,718 1462 SH Sole 1462 Merck & Company Common 58933Y105 $144 4350 SH Sole 4350 Micron Technology Inc Common 595112103 $465 40500 SH Sole 40500 Microsoft Inc Common 594918104 $1,799 70872 SH Sole 70872 Market Vectors Global Global Alt ETF 57060u407 $4 180 SH Sole 180 Energy ETF Monsanto Co New Common 61166w101 $2,813 38931 SH Sole 38931 Mosaic Co. Common 61945A107 $158 2000 SH Sole 2000 Motorola Mobility Common 620097105 $5 200 SH Sole 200 Murphy Oil Corp Common 626717102 $2,937 40000 SH Sole 40000 Mylan Laboratories, Inc. Common 628530107 $57 2500 SH Sole 2500 NY Community Bancorp Common 649445103 $2,554 147950 SH Sole 147950 Nalco Holdings Common 62985q101 $216 7900 SH Sole 7900 Nat'l Fuel Gas Co. Common 636180101 $222 3000 SH Sole 3000 Nat'l Western Life Insurance Co. Class A 638522102 $325 2000 SH Sole 2000 National Grid PLC ADR 636274300 $84 1755 SH Sole 1755 National Semiconductor Common 637640103 $11 800 SH Sole 800 National-Oilwell Varco Common 637071101 $41 515 SH Sole 515 Nestle S A Spn Adr ADR 641069406 $363 6300 SH Sole 6300 New Energy Group Common 643847106 $141 28500 SH Sole 28500 Newmont Mining Corp. Common 651639106 $5 100 SH Sole 100 Nike Inc. Class B 654106103 $315 4165 SH Sole 4165 Noble Drilling Corp Common H5833N103 $55 1200 SH Sole 1200 Nokia Corp Spons Adr Finland Common 654902204 $74 8700 SH Sole 8700 Northrop Grumman Corp Common 666807102 $25 400 SH Sole 400 Nova Biosource Fuels Inc. Common 65488W103 $0 102336 SH Sole 102336 Novartis AG ADR 66987V109 $54 1000 SH Sole 1000 Nucor Corp. Common 670346105 $414 9000 SH Sole 9000 Occidental Pete Corp. Common 674599105 $554 5300 SH Sole 5300 Old Republic Int'l Common 680223104 $25 2000 SH Sole 2000 Oneok, Inc. Common 682680103 $475 7096 SH Sole 7096 Oracle Corp. Common 68389X105 $1,066 31900 SH Sole 31900 Ormat Technologies, Inc. Common 686688102 $10 400 SH Sole 400 Owens & Minor Inc. Common 690732102 $195 6000 SH Sole 6000 Owens Illinois Common 690768403 $211 7000 SH Sole 7000 PG&E Corp Common 69331c108 $51 1150 SH Sole 1150 PP&L Resources Common 69351T106 $23 900 SH Sole 900 Peabody Energy Corp, Common 704549104 $331 4600 SH Sole 4600 Peets Coffee & Tea Inc. Common 705560100 $108 2255 SH Sole 2255 Pembina Pipeline Inc. Common 706327103 $95 4000 SH Sole 4000 Pengrowth Energy Trust Common 70706p104 $304 22000 SH Sole 22000 Penn West Energy Trust Common 707887105 $1,270 45853 SH Sole 45853 Peoples Utd Finc'l Inc. Common 712704105 $252 20000 SH Sole 20000 Pepsico Inc Common 713448108 $2,250 34936 SH Sole 34936 Petrolio Brasileiro Sa ADR 71654V408 $243 6000 SH Sole 6000 Petroquest Energy, Inc. Common 716748108 $374 40000 SH Sole 40000 Pfizer Inc Common 717081103 $2,412 118779 SH Sole 118779 Philip Morris Int'l Common 718172109 $295 4500 SH Sole 4500 Plum Creek Tmbr Ltd. Common 729251108 $28 650 SH Sole 650 Potash Corp./Saskatch Common 73755L107 $4,296 72900 SH Sole 72900 Power One Inc. Common 73930r102 $44 5000 SH Sole 5000 Powershares DB Commodity ETF ETF 73936b408 $48 1395 SH Sole 1395 Agriculture Powershares DR Commodity Base ETF 73936b705 $45 1825 SH Sole 1825 Metals Powershares ETF Trust Dynamic Common 73935X773 $59 2175 SH Sole 2175 Software Powershares ETF Wilder Hill Common 73935X500 $11 1000 SH Sole 1000 Clean Energy Powershares ETF Global Water Common 73936T623 $123 6000 SH Sole 6000 Portfolio Powershares Global Water Common 73935X575 $86 4250 SH Sole 4250 Portfolio ETF Trust Precision Drilling Corp. Common 74022D308 $1,238 91428 SH Sole 91428 Procter & Gamble Common 742718109 $1,753 28452 SH Sole 28452 Progress Software Corp. Common 743312100 $1,745 60000 SH Sole 60000 Proshares Tr II Ultrashort Euro ETF 74347W882 $11 600 SH Sole 600 Proshares Ultrashort Lehman ETF 74347R297 $22 600 SH Sole 600 20+ yr Treasury Puda Coal Inc. Common 744674300 $202 16500 SH Sole 16500 Qualcomm Inc Common 747525103 $2,701 49257 SH Sole 49257 Quicksilver, Inc Common 74838C106 $10 2232 SH Sole 2232 RR Donnelley & Sons Common 257867101 $38 2000 SH Sole 2000 Ram Energy Resources Common 75130P109 $149 71500 SH Sole 71500 Range Resources Corp. Common 75281A109 $2,923 50000 SH Sole 50000 Raytheon Co Common 755111507 $398 7823 SH Sole 7823 Realty Income Corp. Common 756109104 $48 1374 SH Sole 1374 Redwood Trust Inc Common 758075402 $628 40355 SH Sole 40355 Research Frontiers Common 760911107 $83 12200 SH Sole 12200 Research in Motion Common 760975102 $57 1000 SH Sole 1000 Riverbed Technology Inc. Common 768573107 $38 1000 SH Sole 1000 Roche Holdings Ltd. Sponsored ADR 771195104 $276 7700 SH Sole 7700 ADR Rogers Corp. Common 775133101 $68 1500 SH Sole 1500 Roper Industries Inc. New Common 776696106 $216 2500 SH Sole 2500 Royal Dutch Shell PLC ADR 780259206 $73 1000 SH Sole 1000 Russell 100 Growth Index Fd Common 464287614 $23 380 SH Sole 380 SPDR Barclays Capital High ETF 78464A417 $27 656 SH Sole 656 Yield Bd Safeway Inc. Com New Common 786514208 $118 5000 SH Sole 5000 San Juan Bastin Royalty Tr Ubi Common 798241105 $28 1000 SH Sole 1000 Schlumberger Common 806857108 $2,111 22631 SH Sole 22631 Seagate Technology Common G7945M107 $7 500 SH Sole 500 Select Sector Spdr Fund Common 81369Y100 $377 9415 SH Sole 9415 Shaw Group Inc. Common 820280105 $18 500 SH Sole 500 Simon Ppty Group Inc Sbi SBI 828806109 $121 1132 SH Sole 1132 Smith & Wesson Holding, Corp. Common 831756101 $234 65972 SH Sole 65972 Smith Micro Software Common 832154108 $28 3000 SH Sole 3000 Somaxon Pharmaceuticals Common 834453102 $9 3300 SH Sole 3300 Sonde Resources Corp. Common 835426107 $144 40000 SH Sole 40000 Southern Company Common 842587107 $57 1500 SH Sole 1500 Southern Copper Corp. Common 84265V105 $2,074 51510 SH Sole 51510 Southwestern Energy Co. Common 845467109 $301 7000 SH Sole 7000 Spdr Gold Tr Gold Shs Common 78463V107 $7,254 51866 SH Sole 51866 St. Jude Medical Inc Common 790849103 $28 550 SH Sole 550 Staples Inc. Common 855030102 $25 1300 SH Sole 1300 Starbucks Common 855244109 $67 1800 SH Sole 1800 Symantec Corp. Common 871503108 $330 17800 SH Sole 17800 Target Corp Common 87612e106 $357 7146 SH Sole 7146 Telanetix Inc. Common 879180107 $0 1500 SH Sole 1500 Tellabs Inc Common 879664100 $5,195 991500 SH Sole 991500 Tesco Corp. Common 88157K101 $6,590 300490 SH Sole 300490 Teva Pharmaceuticals ADR 881624209 $1,253 24971 SH Sole 24971 The China Fund Common 169373107 $5 155 SH Sole 155 Thermo Fisher Scientific Common 883556102 $605 10900 SH Sole 10900 Tiffany & Co. Common 886547108 $6 100 SH Sole 100 Time Warner Cable Inc. Common 88732J207 $5 66 SH Sole 66 Time Warner Inc Common 887317303 $9 266 SH Sole 266 Transocean Inc Common H8817H100 $1,572 20170 SH Sole 20170 Triangle Petroleum Corp Common 89600B102 $166 20000 SH Sole 20000 Trinity Industries, Inc. Common 896522109 $4 115 SH Sole 115 UGI Corp Common 902681105 $56 1700 SH Sole 1700 Ultra Petroleum Corp Common 903914109 $8,865 180000 SH Sole 180000 Umpqua Hldgs Corp. Common 904214103 $19 1669 SH Sole 1669 Union Pacific Common 907818108 $324 3300 SH Sole 3300 United Parcel Service, Inc. Class B 911312106 $148 1995 SH Sole 1995 United States Natural Gas Fund ETF 912318110 $17 1500 SH Sole 1500 United Technologies Common 913017109 $2,025 23928 SH Sole 23928 Unitedhealth Group Inc. Common 91324p102 $29 650 SH Sole 650 Universal Display Corp. Common 91347p105 $44 800 SH Sole 800 Universal Health Services Class B 913903100 $445 9000 SH Sole 9000 Vaalco Energy Inc New Common 91851c201 $287 37000 SH Sole 37000 Valcent Products, Inc. Common 918881202 $2 11110 SH Sole 11110 Vanguard Intl Equity Index Fd ETF 922042858 $248 5058 SH Sole 5058 Vanguard Natural Resources ETF 92205f106 $102 3200 SH Sole 3200 Varian Medical Systems Common 92220P105 $7 100 SH Sole 100 Verigy Ltd Common Y93691106 $7 500 SH Sole 500 Verizon Communications Common 92343v104 $434 11255 SH Sole 11255 Visa Inc. Class A Class A 92826C839 $736 10000 SH Sole 10000 Viterra, Inc. Common 92849t108 $73 6000 SH Sole 6000 Vodafone Group Plc Spon ADR 92857w209 $88 3056 SH Sole 3056 WP Carey & Co, LLC Common 92930y107 $36 1000 SH Sole 1000 Wal-Mart Stores Inc Common 931142103 $565 10850 SH Sole 10850 Walgreen Co Common 931422109 $1,060 26400 SH Sole 26400 Waters Corp Common 941848103 $539 6200 SH Sole 6200 Weatherford Intl Inc Common H27013103 $54 2400 SH Sole 2400 Wellpoint Health Inc. Common 94973V107 $419 6000 SH Sole 6000 Wells Fargo & Co Common 949746101 $1,953 61605 SH Sole 61605 Western Digital Common 958102105 $280 7500 SH Sole 7500 Whole Foods Market Common 966837106 $6 96 SH Sole 96 Williams Companies Common 969457100 $483 15500 SH Sole 15500 Williams Sonoma Common 969904101 $4 100 SH Sole 100 Wisdomtree Trust Diefa fd ETF ETF 97717w703 $80 1613 SH Sole 1613 Wisdomtree Emerging Mkts High ETF 97717W315 $648 10600 SH Sole 10600 Yield Fd Wisdometree India Earnings ETF 97717W422 $312 12600 SH Sole 12600 Fund ETF Wisdomtree Tr Diefa High Yield ETF 97717W802 $22 500 SH Sole 500 Equity Fd Wisdomtree Tr Div top 100 FD ETF ETF 97717W406 $140 2800 SH Sole 2800 YM Biosciences Inc Common 984238105 $317 120000 SH Sole 120000 Yum Brands, Inc. Common 988498101 $372 7245 SH Sole 7245 Zimmer Holdings, Inc Common 98956P102 $19 320 SH Sole 320 iShares China 25 Index Fund ETF 464287184 $20 439 SH Sole 439 iShares Emerging Markets Index Common 464287234 $240 4923 SH Sole 4923 Fund iShares European Mon Union Index Common 464286608 $123 3177 SH Sole 3177 Fund iShares Lehman TIPS Bond Fund Common 464287176 $86 784 SH Sole 784 iShares Russell 2000 Growth Common 464287648 $436 4571 SH Sole 4571 iShares Russell Midcap Value Common 464287473 $166 3450 SH Sole 3450 iShares S&P 500 Common 464287200 $634 4768 SH Sole 4768 iShares S&P Goldman Sachs Common 464287549 $426 6771 SH Sole 6771 Technology Index iShares Tr GS Multimedia ETF 464287531 $108 3040 SH Sole 3040 Networking Index Fd iShares iBoxx High Yield Corp. ETF 464288513 $74 800 SH Sole 800 Bond Fund iShares 20+ year Treasury Bond Common 464287432 $3,972 43112 SH Sole 43112 Blackrock Muni NY Interduration Common 09255F109 $44 3500 SH Sole 3500 Fund Blackrock Muni Holdings NY Insd Common 09255C106 $63 4900 SH Sole 4900 Blackrock Muniyield NY Insd Common 09255E102 $73 6000 SH Sole 6000 Blackrock NY Muni Bond Tr Common 09249P106 $77 5500 SH Sole 5500 China Fund, Inc. Common 169373107 $9 289 SH Sole 289 Dreyfus Strategic Municipals Inc. Common 261932107 $133 16500 SH Sole 16500 Eaton Vance Ins NY Muni Bond Common 27828T109 $60 5000 SH Sole 5000 Fund II Nuveen California Muni Value Common 67062C107 $146 17200 SH Sole 17200 Fund Inc. Nuveen Ins NY Premium Income Common 67101R107 $69 5000 SH Sole 5000 Nuveen Insured Quality Muni Fund Common 67062N103 $13 1000 SH Sole 1000 Nuveen NY Div Adv Muni 2 Common 67070A101 $38 3000 SH Sole 3000 Pimco Corp. Income Fund Common 72200U100 $1,337 80600 SH Sole 80600 Pimco Corp. Opportunity Fund Common 72201B101 $1,053 50700 SH Sole 50700 Aberdeen Asia Pac Income Fund Common 003009107 $1,467 211624 SH Sole 211624 Blackrock CA Muni Income Trust Common 09248E102 $130 10367 SH Sole 10367 Eaton Vance Short Duration Common 27828V104 $41 2400 SH Sole 2400 Div. Inc. Managed High Yield Plus Fund Common 561911108 $159 70321 SH Sole 70321 Nuveen Multi Strategy Common 67073D102 $26 2865 SH Sole 2865 Income/Growth Fund 2 Pimco High Income Fund Common 722014107 $152 10837 SH Sole 10837 iBoxx Inv. Gr Corp. Bond Fund Common 464287242 $206 1906 SH Sole 1906