0001085146-13-000408.txt : 20130213 0001085146-13-000408.hdr.sgml : 20130213 20130212214859 ACCESSION NUMBER: 0001085146-13-000408 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130213 DATE AS OF CHANGE: 20130212 EFFECTIVENESS DATE: 20130213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Financial Network CENTRAL INDEX KEY: 0001534468 IRS NUMBER: 953845382 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14619 FILM NUMBER: 13599363 BUSINESS ADDRESS: STREET 1: 200 N SEPULVEDA BLVD., SUITE 1300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 310-326-3100 MAIL ADDRESS: STREET 1: 200 N SEPULVEDA BLVD., SUITE 1300 CITY: EL SEGUNDO STATE: CA ZIP: 90245 13F-HR 1 finnet4q2012.txt FINANCIAL NETWORK INVESTMENT CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Financial Network Investment Corporation Address: 200 N Sepulveda Blvd., Suite 1300 El Segunda, CA 90245 13F File Number: 028-14619 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: Jose Rodriguez Title: Director, Advisory Compliance Phone: (310) 326-3100 Signature, Place, and Date of Signing: /s/ Jose Rodriguez El Segunda, CA February 12, 2013 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: 112 Form 13F Information Table Value Total: $166,993 (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 4320 46491 SH SOLE 0 0 46491 ABERDEEN ASIA PACIFIC INCOM COM 003009107 444 57714 SH SOLE 0 0 57714 ABERDEEN ISRAEL FUND INC COM 00301L109 469 35953 SH SOLE 0 0 35953 ABERDEEN LATIN AMER EQTY FD COM 00306K106 1315 36285 SH SOLE 0 0 36285 ACNB CORP COM 000868109 224 13839 SH SOLE 0 0 13839 ADVISORSHARES TR BNY GRWTH ADR 00768Y206 1794 58504 SH SOLE 0 0 58504 AGIC CONV & INCOME FD II COM 001191105 181 22660 SH SOLE 0 0 22660 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 723 89254 SH SOLE 0 0 89254 ALTRIA GROUP INC COM 02209s103 2300 73462 SH SOLE 0 0 73462 AMERICAN CAP LTD COM 02503Y103 268 22140 SH SOLE 0 0 22140 AMERICAN RLTY CAP TR INC COM 02917l101 953 82372 SH SOLE 0 0 82372 AMERICAN TOWER CORP NEW COM 03027X100 629 8092 SH SOLE 0 0 8092 APPLE INC COM 037833100 25091 47130 SH SOLE 0 0 47130 AT&T INC COM 00206r102 8154 242006 SH SOLE 0 0 242006 BANK NEW YORK MELLON CORP COM 064058100 1920 74458 SH SOLE 0 0 74458 BANK OF AMERICA CORPORATION COM 060505104 1823 157160 SH SOLE 0 0 157160 BHP BILLITON LTD SPONSORED ADR 088606108 1049 13375 SH SOLE 0 0 13375 BLACKROCK ENHANCED EQT DIV T COM 09251a104 195 27299 SH SOLE 0 0 27299 BLACKROCK REAL ASSET EQUITY COM 09254B109 156 15604 SH SOLE 0 0 15604 CARMAX INC COM 143130102 805 21285 SH SOLE 0 0 21285 CENTURYLINK INC COM 156700106 751 19156 SH SOLE 0 0 19156 CF INDS HLDGS INC COM 125269100 429 2116 SH SOLE 0 0 2116 CHIMERA INVT CORP COM 16934Q109 48 18000 SH SOLE 0 0 18000 CITIGROUP INC COM NEW 172967424 301 7553 SH SOLE 0 0 7553 COMCAST CORP NEW CL A 20030n101 499 13380 SH SOLE 0 0 13380 COMPASS MINERALS INTL INC COM 20451n101 1023 13830 SH SOLE 0 0 13830 CONOCOPHILLIPS COM 20825c104 2060 35473 SH SOLE 0 0 35473 COSTCO WHSL CORP NEW COM 22160k105 1396 14118 SH SOLE 0 0 14118 DIRECTV COM 25490A309 522 10417 SH SOLE 0 0 10417 DNP SELECT INCOME FD COM 23325p104 134 13941 SH SOLE 0 0 13941 DOLLAR TREE INC COM 256746108 266 6607 SH SOLE 0 0 6607 DOMINION RES INC VA NEW COM 25746u109 931 17932 SH SOLE 0 0 17932 DUKE ENERGY CORP NEW COM NEW 26441C204 5207 81686 SH SOLE 0 0 81686 EATON VANCE ENHANCED EQ INC COM 278274105 573 53509 SH SOLE 0 0 53509 EATON VANCE TAX MNGD GBL DV COM 27829F108 250 28434 SH SOLE 0 0 28434 EATON VANCE TXMGD GL BUYWR O COM 27829c105 141 13250 SH SOLE 0 0 13250 EXPRESS SCRIPTS HLDG CO COM 30219G108 2957 54811 SH SOLE 0 0 54811 EXTERRAN HLDGS INC NOTE 4.750% 1/1 30225xad5 26 25000 PRN SOLE 0 0 25000 FACEBOOK INC CL A 30303M102 1113 41749 SH SOLE 0 0 41749 FEDEX CORP COM 31428x106 2589 28196 SH SOLE 0 0 28196 FIFTH STREET FINANCE CORP COM 31678A103 128 12700 SH SOLE 0 0 12700 FIRST TR VALUE LINE DIVID IN SHS 33734h106 343 19891 SH SOLE 0 0 19891 FOOT LOCKER INC COM 344849104 234 7277 SH SOLE 0 0 7277 FORD MTR CO DEL COM PAR $0.01 345370860 1219 94236 SH SOLE 0 0 94236 FRONTIER COMMUNICATIONS CORP COM 35906A108 193 47412 SH SOLE 0 0 47412 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 379 29338 SH SOLE 0 0 29338 GENCO SHIPPING & TRADING LTD NOTE 5.000% 8/1 36869maa3 5 12000 PRN SOLE 0 0 12000 GENERAL MTRS CO COM 37045V100 206 7024 SH SOLE 0 0 7024 HALCON RES CORP COM NEW 40537Q209 122 17193 SH SOLE 0 0 17193 HONEYWELL INTL INC COM 438516106 902 14202 SH SOLE 0 0 14202 ING GROEP N V SPONSORED ADR 456837103 114 11972 SH SOLE 0 0 11972 INVESCO MUN OPPORTUNITY TR COM 46132C107 333 22703 SH SOLE 0 0 22703 ISHARES TR MSCI ACJPN IDX 464288182 493 8100 SH SOLE 0 0 8100 ISHARES TR BARCLYS 3-7 YR 464288661 403 3279 SH SOLE 0 0 3279 JDS UNIPHASE CORP COM PAR $0.001 46612j507 138 10155 SH SOLE 0 0 10155 JPMORGAN CHASE & CO COM 46625h100 7149 162107 SH SOLE 0 0 162107 KINDER MORGAN INC DEL COM 49456B101 276 7800 SH SOLE 0 0 7800 MARKET VECTORS ETF TR OIL SVCS ETF 57060U191 344 8920 SH SOLE 0 0 8920 MCKESSON CORP COM 58155q103 246 2530 SH SOLE 0 0 2530 MELA SCIENCES INC COM 55277R100 25 14000 SH SOLE 0 0 14000 MERCK & CO INC NEW COM 58933Y105 2345 57289 SH SOLE 0 0 57289 MFA FINANCIAL INC COM 55272x102 462 56860 SH SOLE 0 0 56860 MOLSON COORS BREWING CO CL B 60871r209 249 5813 SH SOLE 0 0 5813 NATIONAL RETAIL PPTYS INC COM 637417106 377 12137 SH SOLE 0 0 12137 NEXTERA ENERGY INC COM 65339F101 673 9707 SH SOLE 0 0 9707 OAKTREE CAP GROUP LLC UNIT 99/99/9999 674001201 4552 100100 SH SOLE 0 0 100100 PENGROWTH ENERGY CORP COM 70706P104 82 16440 SH SOLE 0 0 16440 PIMCO CORPORATE INCOME STRAT COM 72200u100 209 11955 SH SOLE 0 0 11955 PIMCO ETF TR ENHAN SHRT MAT 72201R833 902 8880 SH SOLE 0 0 8880 PNM RES INC COM 69349h107 206 10054 SH SOLE 0 0 10054 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 3077 110489 SH SOLE 0 0 110489 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 222 7400 SH SOLE 0 0 7400 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 801 43841 SH SOLE 0 0 43841 POWERSHARES ETF TRUST DIV ACHV PRTF 73935x732 1062 65950 SH SOLE 0 0 65950 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 285 14771 SH SOLE 0 0 14771 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5419 82789 SH SOLE 0 0 82789 PRICE T ROWE GROUP INC COM 74144t108 659 10045 SH SOLE 0 0 10045 PROSHARES TR PSHS ULTSH 20YRS 74347B201 655 10282 SH SOLE 0 0 10282 RMR REAL ESTATE INCOME FUND COM 76970b101 604 33190 SH SOLE 0 0 33190 ROCKWELL COLLINS INC COM 774341101 391 6719 SH SOLE 0 0 6719 ROYAL BK SCOTLAND GROUP PLC SPON ADR F 780097804 813 33415 SH SOLE 0 0 33415 ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 559 23080 SH SOLE 0 0 23080 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1371 19795 SH SOLE 0 0 19795 RYDEX ETF TRUST GUG RUSS TOP 50 78355w205 296 2865 SH SOLE 0 0 2865 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 265 15556 SH SOLE 0 0 15556 SANOFI SPONSORED ADR 80105n105 674 14251 SH SOLE 0 0 14251 SCANA CORP NEW COM 80589m102 671 14677 SH SOLE 0 0 14677 SIRIUS XM RADIO INC COM 82967N108 70 23970 SH SOLE 0 0 23970 SOUTHERN COPPER CORP COM 84265v105 231 6079 SH SOLE 0 0 6079 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467x109 7069 54145 SH SOLE 0 0 54145 SPDR GOLD TRUST GOLD SHS 78463V107 19242 118742 SH SOLE 0 0 118742 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 1393 40260 SH SOLE 0 0 40260 SPDR INDEX SHS FDS CONSM SPLS ETF 78463X723 453 12732 SH SOLE 0 0 12732 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3208 17305 SH SOLE 0 0 17305 SPDR SERIES TRUST DJ REIT ETF 78464A607 287 3928 SH SOLE 0 0 3928 SPDR SERIES TRUST S&P REGL BKG 78464A698 258 9109 SH SOLE 0 0 9109 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1779 30588 SH SOLE 0 0 30588 SPECTRA ENERGY CORP COM 847560109 2535 93026 SH SOLE 0 0 93026 TRAVELERS COMPANIES INC COM 89417E109 269 3729 SH SOLE 0 0 3729 UNION FIRST MKT BANKSH CP COM 90662P104 536 34011 SH SOLE 0 0 34011 UNITEDHEALTH GROUP INC COM 91324p102 373 6826 SH SOLE 0 0 6826 US BANCORP DEL COM NEW 902973304 792 24756 SH SOLE 0 0 24756 VANGUARD INDEX FDS MID CAP ETF 922908629 252 3076 SH SOLE 0 0 3076 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 7240 146551 SH SOLE 0 0 146551 VISA INC COM CL A 92826C839 1392 9210 SH SOLE 0 0 9210 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857w209 898 35531 SH SOLE 0 0 35531 WESTAR ENERGY INC COM 95709t100 239 8338 SH SOLE 0 0 8338 WESTERN ASSET EMRG MKT INCM COM 95766E103 173 11300 SH SOLE 0 0 11300 WINDSTREAM CORP COM 97381W104 372 44860 SH SOLE 0 0 44860 WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 642 11111 SH SOLE 0 0 11111 WISDOMTREE TRUST INTL LRGCAP DV 97717W794 401 8932 SH SOLE 0 0 8932 YUM BRANDS INC COM 988498101 1727 25945 SH SOLE 0 0 25945