0001512647-12-000005.txt : 20121119
0001512647-12-000005.hdr.sgml : 20121119
20121119114207
ACCESSION NUMBER: 0001512647-12-000005
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121119
DATE AS OF CHANGE: 20121119
EFFECTIVENESS DATE: 20121119
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: First Allied Advisory Services, Inc.
CENTRAL INDEX KEY: 0001512647
IRS NUMBER: 204187012
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14139
FILM NUMBER: 121213643
BUSINESS ADDRESS:
STREET 1: 15455 CONWAY ROAD
CITY: CHESTERFIELD
STATE: MO
ZIP: 63017-6032
BUSINESS PHONE: 619-881-5148
MAIL ADDRESS:
STREET 1: 15455 CONWAY ROAD
CITY: CHESTERFIELD
STATE: MO
ZIP: 63017-6032
13F-HR/A
1
faas3q12a.txt
FAAS SEPTERMBER 2012 13F UPDATED FILING
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, 2012
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: First Allied Advisory Services, Inc.
Address: 15455 Conway Road
Chesterfield, MO 63017-6032
13F File Number: 028-14139
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: Luanne Borowski
Title: Chief Compliance Officer
Phone: 619-881-5148
Signature, Place, and Date of Signing:
/s/Luanne Borowski San Diego, CA November 19, 2012
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: 795
Form 13F Information Table Value Total: $1,011,398 (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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3M CO COM 88579Y101 2722 29570 SH SOLE 29570
ABB LTD SPONSORED ADR 000375204 307 16596 SH SOLE 16596
ABBOTT LABS COM 002824100 3940 57480 SH SOLE 57480
ABERDEEN ASIA PACIFIC INCOM COM 003009107 433 55348 SH SOLE 55348
ABERDEEN AUSTRALIA EQTY FD I COM 003011103 298 28892 SH SOLE 28892
ABERDEEN CHILE FD INC COM 00301W105 249 16127 SH SOLE 16127
ACCENTURE PLC IRELAND SHS CLASS A G1151C101 693 9904 SH SOLE 9904
ACE LTD SHS H0023R105 894 11778 SH SOLE 11778
ACTIVE POWER INC COM 00504W100 96 120000 SH SOLE 120000
ACTIVISION BLIZZARD INC COM 00507V109 721 63826 SH SOLE 63826
ADOBE SYS INC COM 00724F101 315 9922 SH SOLE 9922
AEROPOSTALE COM 007865108 778 57443 SH SOLE 57443
AETNA INC NEW COM 00817Y108 652 16539 SH SOLE 16539
AFLAC INC COM 001055102 3188 67905 SH SOLE 67905
AGIC CONV & INCOME FD COM 001190107 112 11835 SH SOLE 11835
AGIC CONV & INCOME FD II COM 001191105 461 53110 SH SOLE 53110
AGL RES INC COM 001204106 1286 32033 SH SOLE 32033
ALCATEL-LUCENT SPONSORED ADR 013904305 12 11536 SH SOLE 11536
ALCOA INC COM 013817101 225 24970 SH SOLE 24970
ALLIANCE DATA SYSTEMS CORP COM 018581108 958 6767 SH SOLE 6767
ALLIANCE NEW YORK MUN INC FD COM 018714105 174 10882 SH SOLE 10882
ALLIANCE RES PARTNER L P UT LTD PART 01877R108 412 6890 SH SOLE 6890
ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 334 21014 SH SOLE 21014
ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 1127 130602 SH SOLE 130602
ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 446 26945 SH SOLE 26945
ALPHA NATURAL RESOURCES INC COM 02076X102 719 109204 SH SOLE 109204
ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 108 18326 SH SOLE 18326
ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1093 247292 SH SOLE 247292
ALPS ETF TR ALERIAN MLP 00162Q866 868 52437 SH SOLE 52437
ALTRIA GROUP INC COM 02209S103 3869 115739 SH SOLE 115739
AMAZON COM INC COM 023135106 812 3175 SH SOLE 3175
AMEREN CORP COM 023608102 420 12809 SH SOLE 12809
AMERICA FIRST TAX EX IVS L P BEN UNIT CTF 02364V107 71 11995 SH SOLE 11995
AMERICAN CAP LTD COM 02503Y103 239 21172 SH SOLE 21172
AMERICAN CAPITAL AGENCY CORP COM 02503X105 3640 105343 SH SOLE 105343
AMERICAN ELEC PWR INC COM 025537101 304 6969 SH SOLE 6969
AMERICAN EXPRESS CO COM 025816109 330 5767 SH SOLE 5767
AMERIGAS PARTNERS L P UNIT L P INT 030975106 318 7322 SH SOLE 7322
AMGEN INC COM 031162100 1009 12053 SH SOLE 12053
AMR CORP COM 001765106 14 39875 SH SOLE 39875
ANADARKO PETE CORP COM 032511107 230 3290 SH SOLE 3290
ANNALY CAP MGMT INC COM 035710409 5476 325607 SH SOLE 325607
ANWORTH MORTGAGE ASSET CP COM 037347101 444 64740 SH SOLE 64740
APACHE CORP COM 037411105 1411 16333 SH SOLE 16333
APOLLO INVT CORP COM 03761U106 296 37575 SH SOLE 37575
APPLE INC COM 037833100 21929 32884 SH SOLE 32884
APPLIED MATLS INC COM 038222105 262 23664 SH SOLE 23664
ARCHER DANIELS MIDLAND CO COM 039483102 1527 55891 SH SOLE 55891
ARES CAP CORP COM 04010L103 1416 82717 SH SOLE 82717
ARMOUR RESIDENTIAL REIT INC COM 042315101 717 94031 SH SOLE 94031
ARUBA NETWORKS INC COM 043176106 250 11174 SH SOLE 11174
ASHFORD HOSPITALITY TR INC COM SHS 044103109 1212 144265 SH SOLE 144265
ASSURED GUARANTY LTD COM G0585R106 495 36480 SH SOLE 36480
ASTRAZENECA PLC SPONSORED ADR 046353108 596 12351 SH SOLE 12351
AT&T INC COM 00206R102 14328 377559 SH SOLE 377559
ATMEL CORP COM 049513104 157 30206 SH SOLE 30206
ATP OIL & GAS CORP COM 00208J108 13 117025 SH SOLE 117025
ATWOOD OCEANICS INC COM 050095108 400 8794 SH SOLE 8794
AUTOMATIC DATA PROCESSING IN COM 053015103 838 14326 SH SOLE 14326
B & G FOODS INC NEW COM 05508R106 202 6672 SH SOLE 6672
BAIDU INC SPON ADR REP A 056752108 585 5009 SH SOLE 5009
BAKER HUGHES INC COM 057224107 296 6525 SH SOLE 6525
BALCHEM CORP COM 057665200 553 15050 SH SOLE 15050
BANCO DE CHILE SPONSORED ADR 059520106 423 5043 SH SOLE 5043
BANCO SANTANDER BRASIL S A ADS REP 1 UNIT 05967A107 116 15885 SH SOLE 15885
BANK MONTREAL QUE COM 063671101 2314 39072 SH SOLE 39072
BANK NOVA SCOTIA HALIFAX COM 064149107 2295 41615 SH SOLE 41615
BANK OF AMERICA CORPORATION COM 060505104 2345 265433 SH SOLE 265433
BANK OF NEW YORK MELLON CORP COM 064058100 292 12814 SH SOLE 12814
BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 295 11700 SH SOLE 11700
BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 692 15713 SH SOLE 15713
BARCLAYS BK PLC S&P 500 VEQTOR 06740C337 415 3178 SH SOLE 3178
BARRICK GOLD CORP COM 067901108 1086 26047 SH SOLE 26047
BAXTER INTL INC COM 071813109 421 6910 SH SOLE 6910
BB&T CORP COM 054937107 1473 44432 SH SOLE 44432
BCE INC COM NEW 05534B760 925 21053 SH SOLE 21053
BECTON DICKINSON & CO COM 075887109 484 6200 SH SOLE 6200
BERKSHIRE HATHAWAY INC DEL CL A 084670108 664 5 SH SOLE 5
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 4444 50473 SH SOLE 50473
BHP BILLITON LTD SPONSORED ADR 088606108 832 12124 SH SOLE 12124
BLACKROCK BUILD AMER BD TR SHS 09248X100 781 33031 SH SOLE 33031
BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 175 10572 SH SOLE 10572
BLACKROCK CORPOR HI YLD FD V COM 09255N102 293 21920 SH SOLE 21920
BLACKROCK CORPOR HI YLD FD V COM 09255P107 1252 95260 SH SOLE 95260
BLACKROCK CORPOR HI YLD III COM 09255M104 265 32931 SH SOLE 32931
BLACKROCK CORPOR HIGH YLD FD COM 09255L106 412 52095 SH SOLE 52095
BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 1148 95000 SH SOLE 95000
BLACKROCK CREDIT ALL INC TR COM 092508100 976 68950 SH SOLE 68950
BLACKROCK CREDIT ALL INC TR COM 09255H105 202 17581 SH SOLE 17581
BLACKROCK DEBT STRAT FD INC COM 09255R103 342 74212 SH SOLE 74212
BLACKROCK ENERGY & RES TR COM 09250U101 3814 148312 SH SOLE 148312
BLACKROCK ENH CAP & INC FD I COM 09256A109 257 19614 SH SOLE 19614
BLACKROCK ENHANCED DIV ACHV COM 09251A104 1102 144821 SH SOLE 144821
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 266 19535 SH SOLE 19535
BLACKROCK HIGH INCOME SHS SHS BEN INT 09250E107 131 53600 SH SOLE 53600
BLACKROCK INC COM 09247X101 2613 14428 SH SOLE 14428
BLACKROCK INCOME OPP TRUST I COM 092475102 148 12700 SH SOLE 12700
BLACKROCK INSD MUN INCOME TR COM 092479104 481 27843 SH SOLE 27843
BLACKROCK LONG-TERM MUNI ADV COM 09250B103 819 61938 SH SOLE 61938
BLACKROCK LTD DURATION INC T COM SHS 09249W101 575 30915 SH SOLE 30915
BLACKROCK MUN INCOME TR SH BEN INT 09248F109 586 35532 SH SOLE 35532
BLACKROCK MUNI INCOME TR II COM 09249N101 342 19900 SH SOLE 19900
BLACKROCK MUNIENHANCED FD IN COM 09253Y100 469 35921 SH SOLE 35921
BLACKROCK MUNIHLDGS FD II IN COM 09253P109 344 19663 SH SOLE 19663
BLACKROCK MUNIHLDGS FD INC COM 09254A101 783 50100 SH SOLE 50100
BLACKROCK MUNIHLDGS INS INV COM 09254P108 290 18045 SH SOLE 18045
BLACKROCK MUNIHLDGS INSD FDI COM 09254C107 663 42000 SH SOLE 42000
BLACKROCK MUNIHOLDINGS CALIF COM 09254L107 231 14031 SH SOLE 14031
BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 211 10828 SH SOLE 10828
BLACKROCK MUNIVEST FD II INC COM 09253T101 227 12228 SH SOLE 12228
BLACKROCK MUNIVEST FD INC COM 09253R105 853 74343 SH SOLE 74343
BLACKROCK MUNIYIELD CALIF IN COM 09254N103 327 19723 SH SOLE 19723
BLACKROCK MUNIYIELD QUALITY COM 09254F100 656 36800 SH SOLE 36800
BLACKROCK MUNIYIELD QUALITY COM 09254G108 354 22921 SH SOLE 22921
BLACKROCK MUNYIELD INSD FD I COM 09254E103 983 62000 SH SOLE 62000
BLACKROCK SR HIGH INCOME FD COM 09255T109 104 24136 SH SOLE 24136
BOEING CO COM 097023105 1387 19929 SH SOLE 19929
BOULDER GROWTH & INCOME FD I COM 101507101 77 11157 SH SOLE 11157
BP PLC SPONSORED ADR 055622104 1608 38252 SH SOLE 38252
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 761 8120 SH SOLE 8120
BPZ RESOURCES INC COM 055639108 81 28500 SH SOLE 28500
BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 310 15653 SH SOLE 15653
BRISTOL MYERS SQUIBB CO COM 110122108 6177 182098 SH SOLE 182098
BROADCOM CORP CL A 111320107 617 17883 SH SOLE 17883
BROCADE COMMUNICATIONS SYS I COM NEW 111621306 273 46242 SH SOLE 46242
C H ROBINSON WORLDWIDE INC COM NEW 12541W209 3885 66289 SH SOLE 66289
CA INC COM 12673P105 2632 103444 SH SOLE 103444
CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 169 13391 SH SOLE 13391
CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 3315 259387 SH SOLE 259387
CALAMOS GBL DYN INCOME FUND COM 12811L107 401 46650 SH SOLE 46650
CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 292 21329 SH SOLE 21329
CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 1132 111473 SH SOLE 111473
CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 452 14076 SH SOLE 14076
CAMAC ENERGY INC COM 131745101 7 18000 SH SOLE 18000
CANADIAN NATL RY CO COM 136375102 238 2670 SH SOLE 2670
CAPITALSOURCE INC COM 14055X102 109 14220 SH SOLE 14220
CAPSTEAD MTG CORP PFD B CV $1.26 14067E308 558 35375 SH SOLE 35375
CAPSTEAD MTG CORP COM NO PAR 14067E506 918 68450 SH SOLE 68450
CARBO CERAMICS INC COM 140781105 255 4019 SH SOLE 4019
CATERPILLAR INC DEL COM 149123101 2811 32636 SH SOLE 32636
CDN IMPERIAL BK OF COMMERCE COM 136069101 259 3296 SH SOLE 3296
CELGENE CORP COM 151020104 4188 54730 SH SOLE 54730
CENTERPOINT ENERGY INC COM 15189T107 3065 142916 SH SOLE 142916
CENTURYLINK INC COM 156700106 1245 30865 SH SOLE 30865
CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 605 26465 SH SOLE 26465
CHESAPEAKE ENERGY CORP COM 165167107 318 16626 SH SOLE 16626
CHEVRON CORP NEW COM 166764100 4239 36360 SH SOLE 36360
CHIMERA INVT CORP COM 16934Q109 1708 632301 SH SOLE 632301
CHUBB CORP COM 171232101 621 8163 SH SOLE 8163
CISCO SYS INC COM 17275R102 3597 187138 SH SOLE 187138
CLAYMORE EXCHANGE TRADED FD BNY BRI&C PTF 18383M100 763 21227 SH SOLE 21227
CLAYMORE EXCHANGE TRADED FD ZACKS YLD HOG 18383M506 224 10064 SH SOLE 10064
CLAYMORE EXCHANGE TRADED FD CORP BD 2017 18383M548 251 10991 SH SOLE 10991
CLAYMORE EXCHANGE TRADED FD S&PGLOBDV OP ETF 18383M860 229 17750 SH SOLE 17750
CLECO CORP NEW COM 12561W105 420 9965 SH SOLE 9965
CLOROX CO DEL COM 189054109 920 12769 SH SOLE 12769
COCA COLA CO COM 191216100 3564 93593 SH SOLE 93593
COHEN & STEERS GLOBAL INC BL COM 19248M103 508 47050 SH SOLE 47050
COHEN & STEERS INFRASTRUCTUR COM 19248A109 2372 129451 SH SOLE 129451
COHEN & STEERS QUALITY RLTY COM 19247L106 235 21951 SH SOLE 21951
COLGATE PALMOLIVE CO COM 194162103 1403 13114 SH SOLE 13114
COLUMBIA BKG SYS INC COM 197236102 196 10502 SH SOLE 10502
COMCAST CORP NEW CL A 20030N101 301 8435 SH SOLE 8435
COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 278 7227 SH SOLE 7227
COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 301 25095 SH SOLE 25095
CONAGRA FOODS INC COM 205887102 208 7462 SH SOLE 7462
CONOCOPHILLIPS COM 20825C104 4530 78989 SH SOLE 78989
CONSOL ENERGY INC COM 20854P109 544 18183 SH SOLE 18183
CONSOLIDATED EDISON INC COM 209115104 2283 38142 SH SOLE 38142
COPANO ENERGY L L C COM UNITS 217202100 206 6274 SH SOLE 6274
CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 162 21183 SH SOLE 21183
CORNING INC COM 219350105 256 19293 SH SOLE 19293
COSTCO WHSL CORP NEW COM 22160K105 1420 14137 SH SOLE 14137
CPFL ENERGIA S A SPONSORED ADR 126153105 337 15382 SH SOLE 15382
CREDIT SUISSE ASSET MGMT INC COM 224916106 298 74200 SH SOLE 74200
CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 157 47331 SH SOLE 47331
CROCS INC COM 227046109 708 43544 SH SOLE 43544
CSX CORP COM 126408103 383 18616 SH SOLE 18616
CUMMINS INC COM 231021106 535 5839 SH SOLE 5839
CURIS INC COM 231269101 63 15200 SH SOLE 15200
CUSHING MLP TOTAL RETURN FD COM SHS 231631102 1104 125400 SH SOLE 125400
CVS CAREMARK CORPORATION COM 126650100 807 16518 SH SOLE 16518
DARDEN RESTAURANTS INC COM 237194105 1474 26451 SH SOLE 26451
DAVITA INC COM 23918K108 292 2852 SH SOLE 2852
DCP MIDSTREAM PARTNERS LP COM UT LTD PTN 23311P100 888 19116 SH SOLE 19116
DEERE & CO COM 244199105 1511 18541 SH SOLE 18541
DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 607 42734 SH SOLE 42734
DELCATH SYS INC COM 24661P104 28 17300 SH SOLE 17300
DELL INC COM 24702R101 118 11926 SH SOLE 11926
DENBURY RES INC COM NEW 247916208 208 12960 SH SOLE 12960
DENDREON CORP COM 24823Q107 181 37272 SH SOLE 37272
DENTSPLY INTL INC NEW COM 249030107 574 15067 SH SOLE 15067
DEVON ENERGY CORP NEW COM 25179M103 501 8306 SH SOLE 8306
DIAGEO P L C SPON ADR NEW 25243Q205 1110 9867 SH SOLE 9867
DIAMOND OFFSHORE DRILLING IN COM 25271C102 2246 34020 SH SOLE 34020
DIREXION SHS ETF TR DLY ENRGY BEAR3X 25459W342 157 20500 SH SOLE 20500
DISNEY WALT CO COM DISNEY 254687106 4019 77079 SH SOLE 77079
DNP SELECT INCOME FD COM 23325P104 208 20921 SH SOLE 20921
DOMINION RES INC VA NEW COM 25746U109 1561 29483 SH SOLE 29483
DONNELLEY R R & SONS CO COM 257867101 148 14650 SH SOLE 14650
DOW 30SM ENHANCED PREM & INC COM 260537105 492 44032 SH SOLE 44032
DOW CHEM CO COM 260543103 1506 51988 SH SOLE 51988
DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 171 39342 SH SOLE 39342
DREYFUS STRATEGIC MUN BD FD COM 26202F107 121 12335 SH SOLE 12335
DREYFUS STRATEGIC MUNS INC COM 261932107 955 95450 SH SOLE 95450
DTE ENERGY CO COM 233331107 240 4002 SH SOLE 4002
DU PONT E I DE NEMOURS & CO COM 263534109 3515 69097 SH SOLE 69097
DWS DREMAN VAL INCOME EDGE F COM NEW 23339M204 1067 66861 SH SOLE 66861
DWS MUN INCOME TR COM 23338M106 500 33035 SH SOLE 33035
DYNEX CAP INC COM NEW 26817Q506 540 50143 SH SOLE 50143
E M C CORP MASS COM 268648102 1384 50779 SH SOLE 50779
EAGLE ROCK ENERGY PARTNERS L UNIT 26985R104 655 68545 SH SOLE 68545
EATON CORP COM 278058102 2590 54604 SH SOLE 54604
EATON VANCE CORP COM NON VTG 278265103 2616 88838 SH SOLE 88838
EATON VANCE LTD DUR INCOME F COM 27828H105 4287 251815 SH SOLE 251815
EATON VANCE NY MUNI INCOME T SH BEN INT 27826W104 160 10250 SH SOLE 10250
EATON VANCE OHIO MUN BD FD COM 27828L106 304 20000 SH SOLE 20000
EATON VANCE SH TM DR DIVR IN COM 27828V104 1776 100994 SH SOLE 100994
EATON VANCE SR FLTNG RTE TR COM 27828Q105 599 36155 SH SOLE 36155
EATON VANCE TAX MNG GBL DV E COM 27829F108 578 65734 SH SOLE 65734
EATON VANCE TX ADV GLBL DIV COM 27828S101 1602 113622 SH SOLE 113622
EATON VANCE TX MNG BY WRT OP COM 27828Y108 586 44675 SH SOLE 44675
EBAY INC COM 278642103 334 6780 SH SOLE 6780
EDISON INTL COM 281020107 279 6060 SH SOLE 6060
EDUCATION RLTY TR INC COM 28140H104 451 41445 SH SOLE 41445
ELBIT SYS LTD ORD M3760D101 335 9840 SH SOLE 9840
EMERSON ELEC CO COM 291011104 3363 70017 SH SOLE 70017
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 622 21071 SH SOLE 21071
ENBRIDGE INC COM 29250N105 630 16150 SH SOLE 16150
ENCANA CORP COM 292505104 303 13750 SH SOLE 13750
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 327 7259 SH SOLE 7259
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1266 29679 SH SOLE 29679
ENTERGY CORP NEW COM 29364G103 286 4091 SH SOLE 4091
ENTERPRISE PRODS PARTNERS L COM 293792107 2205 41087 SH SOLE 41087
EOG RES INC COM 26875P101 351 3154 SH SOLE 3154
ETFS GOLD TR SHS 26922Y105 1644 9381 SH SOLE 9381
EUROPEAN EQUITY FUND COM 298768102 514 76248 SH SOLE 76248
EXCO RESOURCES INC COM 269279402 137 17200 SH SOLE 17200
EXELON CORP COM 30161N101 616 17306 SH SOLE 17306
EXXON MOBIL CORP COM 30231G102 14398 157658 SH SOLE 157658
F5 NETWORKS INC COM 315616102 235 2253 SH SOLE 2253
FEDEX CORP COM 31428X106 696 8311 SH SOLE 8311
FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 310 15905 SH SOLE 15905
FIDELITY NATIONAL FINANCIAL CL A 31620R105 245 11419 SH SOLE 11419
FIFTH STREET FINANCE CORP COM 31678A103 170 15500 SH SOLE 15500
FINISAR CORP COM NEW 31787A507 254 17760 SH SOLE 17760
FIRST NIAGARA FINL GP INC COM 33582V108 115 14480 SH SOLE 14480
FIRST TR ACTIVE DIVID INCOME COM 33731L100 234 27809 SH SOLE 27809
FIRST TR ENHANCED EQTY INC F COM 337318109 807 66280 SH SOLE 66280
FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 429 11313 SH SOLE 11313
FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 419 18927 SH SOLE 18927
FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 509 21012 SH SOLE 21012
FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 432 13260 SH SOLE 13260
FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 498 21025 SH SOLE 21025
FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 416 13869 SH SOLE 13869
FIRST TR MORNINGSTAR DIV LEA SHS 336917109 805 41788 SH SOLE 41788
FIRST TR NASDAQ100 TECH INDE SHS 337345102 212 8067 SH SOLE 8067
FIRST TR S&P REIT INDEX FD COM 33734G108 1847 105503 SH SOLE 105503
FIRSTENERGY CORP COM 337932107 249 5660 SH SOLE 5660
FLAHERTY & CRMN/CLYMR PFD SE COM SHS 338478100 816 40800 SH SOLE 40800
FORD MTR CO DEL COM PAR $0.01 345370860 2884 291719 SH SOLE 291719
FRANKLIN TEMPLETON LTD DUR I COM 35472T101 225 15415 SH SOLE 15415
FRANKLIN UNVL TR SH BEN INT 355145103 189 25685 SH SOLE 25685
FREEPORT-MCMORAN COPPER & GO COM 35671D857 2241 56392 SH SOLE 56392
FRONTIER COMMUNICATIONS CORP COM 35906A108 248 54288 SH SOLE 54288
GABELLI DIVD & INCOME TR COM 36242H104 2229 131354 SH SOLE 131354
GABELLI EQUITY TR INC COM 362397101 647 114221 SH SOLE 114221
GALLAGHER ARTHUR J & CO COM 363576109 213 5828 SH SOLE 5828
GENERAL DYNAMICS CORP COM 369550108 492 7369 SH SOLE 7369
GENERAL ELECTRIC CO COM 369604103 10771 472096 SH SOLE 472096
GENERAL MLS INC COM 370334104 2129 53574 SH SOLE 53574
GENUINE PARTS CO COM 372460105 353 5744 SH SOLE 5744
GERDAU S A SPONSORED ADR 373737105 204 21137 SH SOLE 21137
GILEAD SCIENCES INC COM 375558103 1286 19370 SH SOLE 19370
GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 407 8660 SH SOLE 8660
GLOBAL X FDS SILVER MNR ETF 37950E853 374 15072 SH SOLE 15072
GOLDCORP INC NEW COM 380956409 215 4696 SH SOLE 4696
GOLDMAN SACHS GROUP INC COM 38141G104 840 7361 SH SOLE 7361
GOODYEAR TIRE & RUBR CO COM 382550101 181 15050 SH SOLE 15050
GOOGLE INC CL A 38259P508 2978 3910 SH SOLE 3910
GRAINGER W W INC COM 384802104 470 2251 SH SOLE 2251
GRANITE CONSTR INC COM 387328107 394 13736 SH SOLE 13736
GREATER CHINA FD INC COM 39167B102 252 22006 SH SOLE 22006
GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 1063 34849 SH SOLE 34849
GULFPORT ENERGY CORP COM NEW 402635304 297 9500 SH SOLE 9500
HALLIBURTON CO COM 406216101 1046 30951 SH SOLE 30951
HANCOCK JOHN PATRIOT PREM II COM SH BEN INT 41013T105 199 14015 SH SOLE 14015
HARTFORD FINL SVCS GROUP INC COM 416515104 270 14065 SH SOLE 14065
HASBRO INC COM 418056107 2304 59885 SH SOLE 59885
HATTERAS FINL CORP COM 41902R103 233 8275 SH SOLE 8275
HAWAIIAN ELEC INDUSTRIES COM 419870100 336 12805 SH SOLE 12805
HCP INC COM 40414L109 381 8637 SH SOLE 8637
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PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1606 280404 SH SOLE 280404
QUALCOMM INC COM 747525103 5456 87794 SH SOLE 87794
RANGE RES CORP COM 75281A109 582 8397 SH SOLE 8397
REALTY INCOME CORP COM 756109104 4296 105497 SH SOLE 105497
REAVES UTIL INCOME FD COM SH BEN INT 756158101 707 27900 SH SOLE 27900
RED LION HOTELS CORP COM 756764106 152 24000 SH SOLE 24000
REGAL ENTMT GROUP CL A 758766109 279 19966 SH SOLE 19966
RESEARCH FRONTIERS INC COM 760911107 90 20300 SH SOLE 20300
RESOURCE CAP CORP COM 76120W302 111 18700 SH SOLE 18700
RF MICRODEVICES INC COM 749941100 56 14420 SH SOLE 14420
RIMAGE CORP COM 766721104 161 23609 SH SOLE 23609
RIO TINTO PLC SPONSORED ADR 767204100 206 4429 SH SOLE 4429
RIVERBED TECHNOLOGY INC COM 768573107 235 10106 SH SOLE 10106
ROSETTA RESOURCES INC COM 777779307 240 5000 SH SOLE 5000
ROSS STORES INC COM 778296103 280 4320 SH SOLE 4320
ROYAL BK CDA MONTREAL QUE COM 780087102 407 7096 SH SOLE 7096
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF S 780097739 422 20400 SH SOLE 20400
ROYAL BK SCOTLAND GROUP PLC ADR PREF SER N 780097770 391 18950 SH SOLE 18950
ROYAL BK SCOTLAND GROUP PLC SP ADR PREF M 780097796 367 17990 SH SOLE 17990
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 795 11438 SH SOLE 11438
ROYCE FOCUS TR COM 78080N108 330 49013 SH SOLE 49013
ROYCE MICRO-CAP TR INC COM 780915104 642 68035 SH SOLE 68035
ROYCE VALUE TR INC COM 780910105 1364 104359 SH SOLE 104359
RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 2671 51286 SH SOLE 51286
RYDEX ETF TRUST TOP 50 ETF 78355W205 219 2030 SH SOLE 2030
RYDEX ETF TRUST S&PSC600 PURGR 78355W809 1588 28238 SH SOLE 28238
SANDISK CORP COM 80004C101 821 19028 SH SOLE 19028
SANOFI AVENTIS SPONSORED ADR 80105N105 496 11549 SH SOLE 11549
SCHLUMBERGER LTD COM 806857108 866 11911 SH SOLE 11911
SCHWAB CHARLES CORP NEW COM 808513105 1081 84226 SH SOLE 84226
SEADRILL LIMITED SHS G7945E105 311 7892 SH SOLE 7892
SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 319 8658 SH SOLE 8658
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 514 12899 SH SOLE 12899
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2369 66159 SH SOLE 66159
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 252 5342 SH SOLE 5342
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1029 14009 SH SOLE 14009
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3099 199191 SH SOLE 199191
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 453 12487 SH SOLE 12487
SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 2805 91305 SH SOLE 91305
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3202 87887 SH SOLE 87887
SEMPRA ENERGY COM 816851109 219 3396 SH SOLE 3396
SEQUENOM INC COM NEW 817337405 123 34300 SH SOLE 34300
SHERWIN WILLIAMS CO COM 824348106 293 2033 SH SOLE 2033
SIEMENS A G SPONSORED ADR 826197501 939 9371 SH SOLE 9371
SILVER WHEATON CORP COM 828336107 569 14335 SH SOLE 14335
SIMON PPTY GROUP INC NEW COM 828806109 235 1548 SH SOLE 1548
SIRIUS XM RADIO INC COM 82967N108 253 96093 SH SOLE 96093
SOUTHERN CO COM 842587107 2155 46736 SH SOLE 46736
SOUTHERN COPPER CORP COM 84265V105 558 16437 SH SOLE 16437
SOVRAN SELF STORAGE INC COM 84610H108 351 5989 SH SOLE 5989
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1435 10679 SH SOLE 10679
SPDR GOLD TRUST GOLD SHS 78463V107 12312 71584 SH SOLE 71584
SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 1584 35565 SH SOLE 35565
SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 4634 117783 SH SOLE 117783
SPDR S&P 500 ETF TR TR UNIT 78462F103 4418 30725 SH SOLE 30725
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6208 34428 SH SOLE 34428
SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 421 9197 SH SOLE 9197
SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 3984 99167 SH SOLE 99167
SPDR SERIES TRUST DJ REIT ETF 78464A607 687 9624 SH SOLE 9624
SPDR SERIES TRUST OILGAS EQUIP 78464A748 3599 105927 SH SOLE 105927
SPDR SERIES TRUST S&P DIVID ETF 78464A763 1205 20753 SH SOLE 20753
SPDR SERIES TRUST S&P HOMEBUILD 78464A888 235 9600 SH SOLE 9600
SPECTRA ENERGY CORP COM 847560109 907 30782 SH SOLE 30782
SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 299 13520 SH SOLE 13520
SPRINT NEXTEL CORP COM SER 1 852061100 118 20994 SH SOLE 20994
STAR SCIENTIFIC INC COM 85517P101 51 14600 SH SOLE 14600
STARBUCKS CORP COM 855244109 2141 42211 SH SOLE 42211
STARWOOD HOTELS&RESORTS WRLD COM 85590A401 451 7826 SH SOLE 7826
STATOIL ASA SPONSORED ADR 85771P102 425 16407 SH SOLE 16407
STILLWATER MNG CO COM 86074Q102 357 30169 SH SOLE 30169
STONEMOR PARTNERS L P COM UNITS 86183Q100 424 18055 SH SOLE 18055
STRATEGIC HOTELS & RESORTS I COM 86272T106 150 25000 SH SOLE 25000
SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 701 17196 SH SOLE 17196
SUNCOR ENERGY INC NEW COM 867224107 304 9369 SH SOLE 9369
SUNTECH PWR HLDGS CO LTD ADR 86800C104 23 26725 SH SOLE 26725
SUPERIOR ENERGY SVCS INC COM 868157108 262 12720 SH SOLE 12720
SWEDISH EXPT CR CORP RG METAL ETN22 870297405 111 10000 SH SOLE 10000
SYSCO CORP COM 871829107 2849 89929 SH SOLE 89929
TARGET CORP COM 87612E106 783 12368 SH SOLE 12368
TELECOM CORP NEW ZEALAND LTD SPONSORED ADR 879278208 124 12561 SH SOLE 12561
TELEFONICA S A SPONSORED ADR 879382208 212 15910 SH SOLE 15910
TELLABS INC COM 879664100 35 10450 SH SOLE 10450
TELUS CORP NON-VTG SHS 87971M202 1114 17812 SH SOLE 17812
TEMPLETON EMERG MKTS INCOME COM 880192109 3507 205268 SH SOLE 205268
TEMPLETON GLOBAL INCOME FD COM 880198106 4360 453586 SH SOLE 453586
TERADYNE INC COM 880770102 576 40684 SH SOLE 40684
TEREX CORP NEW COM 880779103 368 16132 SH SOLE 16132
TERRA NITROGEN CO L P COM UNIT 881005201 2285 10577 SH SOLE 10577
TETRA TECH INC NEW COM 88162G103 347 13105 SH SOLE 13105
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1320 32130 SH SOLE 32130
TEXTAINER GROUP HOLDINGS LTD SHS G8766E109 211 6906 SH SOLE 6906
THAI FD INC COM 882904105 441 25050 SH SOLE 25050
THERMO FISHER SCIENTIFIC INC COM 883556102 376 6345 SH SOLE 6345
TIME WARNER INC COM NEW 887317303 206 4613 SH SOLE 4613
TORCHMARK CORP COM 891027104 620 12066 SH SOLE 12066
TORTOISE ENERGY INFRSTRCTR C COM 89147L100 1177 30010 SH SOLE 30010
TOTAL S A SPONSORED ADR 89151E109 422 8412 SH SOLE 8412
TRANSOCEAN LTD REG SHS H8817H100 761 17297 SH SOLE 17297
TRINA SOLAR LIMITED SPON ADR 89628E104 55 11912 SH SOLE 11912
TRUSTCO BK CORP N Y COM 898349105 89 15691 SH SOLE 15691
TWO HBRS INVT CORP COM 90187B101 1133 95833 SH SOLE 95833
TYCO INTERNATIONAL LTD SHS H89128104 518 9232 SH SOLE 9232
U S ENERGY CORP WYO COM 911805109 43 20000 SH SOLE 20000
U S GLOBAL INVS INC CL A 902952100 63 10500 SH SOLE 10500
ULTRA PETROLEUM CORP COM 903914109 853 38813 SH SOLE 38813
UMPQUA HLDGS CORP COM 904214103 323 25335 SH SOLE 25335
UNILEVER N V N Y SHS NEW 904784709 384 10739 SH SOLE 10739
UNILEVER PLC SPON ADR NEW 904767704 776 21335 SH SOLE 21335
UNION PAC CORP COM 907818108 345 2871 SH SOLE 2871
UNITED PARCEL SERVICE INC CL B 911312106 743 10333 SH SOLE 10333
UNITED RENTALS INC COM 911363109 323 9883 SH SOLE 9883
UNITED STATES STL CORP NEW COM 912909108 395 20247 SH SOLE 20247
UNITED TECHNOLOGIES CORP COM 913017109 1809 22968 SH SOLE 22968
UNITEDHEALTH GROUP INC COM 91324P102 620 11216 SH SOLE 11216
UNIVERSAL DISPLAY CORP COM 91347P105 600 17500 SH SOLE 17500
US BANCORP DEL COM NEW 902973304 3092 90100 SH SOLE 90100
V F CORP COM 918204108 248 1573 SH SOLE 1573
VALERO ENERGY CORP NEW COM 91913Y100 275 8561 SH SOLE 8561
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 4281 47487 SH SOLE 47487
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 4196 51587 SH SOLE 51587
VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 3849 44943 SH SOLE 44943
VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 397 5879 SH SOLE 5879
VANGUARD INDEX FDS REIT ETF 922908553 5185 79841 SH SOLE 79841
VANGUARD INDEX FDS SML CP GRW ETF 922908595 258 2921 SH SOLE 2921
VANGUARD INDEX FDS SM CP VAL ETF 922908611 282 3916 SH SOLE 3916
VANGUARD INDEX FDS MID CAP ETF 922908629 635 7839 SH SOLE 7839
VANGUARD INDEX FDS LARGE CAP ETF 922908637 255 3919 SH SOLE 3919
VANGUARD INDEX FDS EXTEND MKT ETF 922908652 410 6853 SH SOLE 6853
VANGUARD INDEX FDS GROWTH ETF 922908736 9641 133107 SH SOLE 133107
VANGUARD INDEX FDS VALUE ETF 922908744 1047 17868 SH SOLE 17868
VANGUARD INDEX FDS SMALL CP ETF 922908751 598 7462 SH SOLE 7462
VANGUARD INDEX FDS STK MRK ETF 922908769 1570 21310 SH SOLE 21310
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2150 50102 SH SOLE 50102
VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 12619 302085 SH SOLE 302085
VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 460 10039 SH SOLE 10039
VANGUARD NATURAL RESOURCES L COM UNIT 92205F106 619 21428 SH SOLE 21428
VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 712 8893 SH SOLE 8893
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 767 8241 SH SOLE 8241
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 1234 14055 SH SOLE 14055
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 2258 37734 SH SOLE 37734
VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 7945 241659 SH SOLE 241659
VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1374 27251 SH SOLE 27251
VANGUARD WORLD FD MEGA CAP INDEX 921910873 3849 77903 SH SOLE 77903
VANGUARD WORLD FDS CONSUM STP ETF 92204A207 417 4566 SH SOLE 4566
VANGUARD WORLD FDS ENERGY ETF 92204A306 4740 44343 SH SOLE 44343
VANGUARD WORLD FDS INF TECH ETF 92204A702 899 12277 SH SOLE 12277
VANGUARD WORLD FDS MATERIALS ETF 92204A801 1388 16820 SH SOLE 16820
VANGUARD WORLD FDS UTILITIES ETF 92204A876 960 12248 SH SOLE 12248
VEECO INSTRS INC DEL COM 922417100 208 6913 SH SOLE 6913
VERISK ANALYTICS INC CL A 92345Y106 682 14321 SH SOLE 14321
VERIZON COMMUNICATIONS INC COM 92343V104 7321 160173 SH SOLE 160173
VISA INC COM CL A 92826C839 735 5500 SH SOLE 5500
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1024 35577 SH SOLE 35577
W P CAREY & CO LLC COM 92930Y107 743 15228 SH SOLE 15228
WADDELL & REED FINL INC CL A 930059100 2926 88873 SH SOLE 88873
WAL MART STORES INC COM 931142103 2553 34590 SH SOLE 34590
WALGREEN CO COM 931422109 1498 41041 SH SOLE 41041
WASHINGTON TR BANCORP COM 940610108 273 10394 SH SOLE 10394
WASTE MGMT INC DEL COM 94106L109 514 16106 SH SOLE 16106
WATSON PHARMACEUTICALS INC COM 942683103 225 2638 SH SOLE 2638
WELLS FARGO & CO NEW COM 949746101 836 24525 SH SOLE 24525
WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 539 51174 SH SOLE 51174
WELLS FARGO ADVANTAGE UTILS COM 94987E109 369 30740 SH SOLE 30740
WESTERN ASSET GLB HI INCOME COM 95766B109 691 49450 SH SOLE 49450
WESTERN ASSET HIGH INCM FD I COM 95766J102 135 12597 SH SOLE 12597
WESTERN ASST MNG MUN FD INC COM 95766M105 542 35185 SH SOLE 35185
WHOLE FOODS MKT INC COM 966837106 226 2310 SH SOLE 2310
WILLIAMS COS INC DEL COM 969457100 308 8968 SH SOLE 8968
WILLIAMS PARTNERS L P COM UNIT L P 96950F104 574 10642 SH SOLE 10642
WINDSTREAM CORP COM 97381W104 716 71220 SH SOLE 71220
WISDOMTREE TR EM LCL DEBT FD 97717X867 3326 63674 SH SOLE 63674
WISDOMTREE TRUST LARGECAP DIVID 97717W307 724 13238 SH SOLE 13238
WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1066 19913 SH SOLE 19913
WISDOMTREE TRUST INTL REAL EST 97717W331 448 15557 SH SOLE 15557
WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 522 9194 SH SOLE 9194
WISDOMTREE TRUST SMALLCAP DIVID 97717W604 538 10641 SH SOLE 10641
WISDOMTREE TRUST GLB EQTY INC FD 97717W877 201 4850 SH SOLE 4850
WYNN RESORTS LTD COM 983134107 372 3174 SH SOLE 3174
XCEL ENERGY INC COM 98389B100 298 10688 SH SOLE 10688
XILINX INC COM 983919101 221 6587 SH SOLE 6587
YAMANA GOLD INC COM 98462Y100 294 15357 SH SOLE 15357
YORK WTR CO COM 987184108 211 11300 SH SOLE 11300
YUM BRANDS INC COM 988498101 1657 24958 SH SOLE 24958
ZIMMER HLDGS INC COM 98956P102 1860 27455 SH SOLE 27455
ZIONS BANCORPORATION COM 989701107 548 26507 SH SOLE 26507