0001456510-13-000003.txt : 20130508 0001456510-13-000003.hdr.sgml : 20130508 20130508160205 ACCESSION NUMBER: 0001456510-13-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130508 DATE AS OF CHANGE: 20130508 EFFECTIVENESS DATE: 20130508 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-14139 FILM NUMBER: 13824464 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 1 faas1q13.txt FAAS 1Q 2013 13F 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: March 31, 2013 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: 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 May 08, 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: 832 Form 13F Information Table Value Total: $1,126,684 (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 2698 25389 SH SOLE 25389 ABB LTD SPONSORED ADR 000375204 346 15151 SH SOLE 15151 ABBOTT LABS COM 002824100 3748 104566 SH SOLE 104566 ABERDEEN ASIA PACIFIC INCOM COM 003009107 359 45915 SH SOLE 45915 ABERDEEN AUSTRALIA EQTY FD I COM 003011103 196 17335 SH SOLE 17335 ABERDEEN CHILE FD INC COM 00301W105 302 19053 SH SOLE 19053 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 338 4473 SH SOLE 4473 ADOBE SYS INC COM 00724F101 316 7265 SH SOLE 7265 ADVANCE AUTO PARTS INC COM 00751Y106 309 3783 SH SOLE 3783 AETNA INC NEW COM 00817Y108 227 4463 SH SOLE 4463 AFLAC INC COM 001055102 1364 26291 SH SOLE 26291 AGL RES INC COM 001204106 1669 40378 SH SOLE 40378 AGRIUM INC COM 008916108 384 4014 SH SOLE 4014 ALCATEL-LUCENT SPONSORED ADR 013904305 13 10601 SH SOLE 10601 ALCOA INC COM 013817101 218 26044 SH SOLE 26044 ALLERGAN INC COM 018490102 298 2733 SH SOLE 2733 ALLIANCE DATA SYSTEMS CORP COM 018581108 294 1814 SH SOLE 1814 ALLIANCE NEW YORK MUN INC FD COM 018714105 153 10882 SH SOLE 10882 ALLIANCE RES PARTNER L P UT LTD PART 01877R108 427 6731 SH SOLE 6731 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 376 23413 SH SOLE 23413 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 646 79038 SH SOLE 79038 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 365 23306 SH SOLE 23306 ALPINE GLOBAL DYNAMIC DIVD F COM 02082E106 93 19609 SH SOLE 19609 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 666 163154 SH SOLE 163154 ALPS ETF TR ALERIAN MLP 00162Q866 2398 134978 SH SOLE 134978 ALTRIA GROUP INC COM 02209S103 4662 135575 SH SOLE 135575 AMAZON COM INC COM 023135106 647 2418 SH SOLE 2418 AMEREN CORP COM 023608102 577 16409 SH SOLE 16409 AMERICA FIRST TAX EX IVS L P BEN UNIT CTF 02364V107 195 27141 SH SOLE 27141 AMERICAN CAP LTD COM 02503Y103 332 22576 SH SOLE 22576 AMERICAN CAPITAL AGENCY CORP COM 02503X105 3505 106982 SH SOLE 106982 AMERICAN ELEC PWR INC COM 025537101 495 10115 SH SOLE 10115 AMERICAN EXPRESS CO COM 025816109 410 6038 SH SOLE 6038 AMERICAN INTL GROUP INC COM NEW 026874784 211 5507 SH SOLE 5507 AMERIGAS PARTNERS L P UNIT L P INT 030975106 257 5881 SH SOLE 5881 AMGEN INC COM 031162100 1273 12390 SH SOLE 12390 ANADARKO PETE CORP COM 032511107 313 3567 SH SOLE 3567 ANNALY CAP MGMT INC COM 035710409 4959 310954 SH SOLE 310954 ANWORTH MORTGAGE ASSET CP COM 037347101 424 66740 SH SOLE 66740 APACHE CORP COM 037411105 1019 13177 SH SOLE 13177 APOLLO INVT CORP COM 03761U106 317 37775 SH SOLE 37775 APPLE INC COM 037833100 22040 50183 SH SOLE 50183 APPLIED MATLS INC COM 038222105 521 38814 SH SOLE 38814 AQUA AMERICA INC COM 03836W103 431 13691 SH SOLE 13691 ARCHER DANIELS MIDLAND CO COM 039483102 2831 83650 SH SOLE 83650 ARES CAP CORP COM 04010L103 3095 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BANK NOVA SCOTIA HALIFAX COM 064149107 3182 53464 SH SOLE 53464 BANK OF AMERICA CORPORATION COM 060505104 3303 272708 SH SOLE 272708 BANK OF NEW YORK MELLON CORP COM 064058100 265 9426 SH SOLE 9426 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 275 6832 SH SOLE 6832 BARCLAYS BK PLC S&P 500 VEQTOR 06740C337 313 2311 SH SOLE 2311 BARRICK GOLD CORP COM 067901108 782 26522 SH SOLE 26522 BAXTER INTL INC COM 071813109 471 6521 SH SOLE 6521 BB&T CORP COM 054937107 1351 43056 SH SOLE 43056 BECTON DICKINSON & CO COM 075887109 613 6439 SH SOLE 6439 BED BATH & BEYOND INC COM 075896100 530 8231 SH SOLE 8231 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1719 11 SH SOLE 11 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5365 51533 SH SOLE 51533 BHP BILLITON LTD SPONSORED ADR 088606108 850 12397 SH SOLE 12397 BIOMARIN PHARMACEUTICAL INC COM 09061G101 211 3395 SH SOLE 3395 BLACKROCK BUILD AMER BD TR SHS 09248X100 768 33161 SH SOLE 33161 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 169 10572 SH SOLE 10572 BLACKROCK CORPOR HI YLD FD V COM 09255N102 485 36275 SH SOLE 36275 BLACKROCK CORPOR HI YLD FD V COM 09255P107 1015 78658 SH SOLE 78658 BLACKROCK CORPOR HI YLD III COM 09255M104 294 36747 SH SOLE 36747 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 655 81972 SH SOLE 81972 BLACKROCK CREDIT ALL INC TR COM 092508100 1936 138403 SH SOLE 138403 BLACKROCK DEBT STRAT FD INC COM 09255R103 329 75102 SH SOLE 75102 BLACKROCK ENERGY & RES TR COM 09250U101 4844 186871 SH SOLE 186871 BLACKROCK ENH CAP & INC FD I COM 09256A109 250 19030 SH SOLE 19030 BLACKROCK ENHANCED DIV ACHV COM 09251A104 847 108376 SH SOLE 108376 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 172 13199 SH SOLE 13199 BLACKROCK HIGH INCOME SHS SHS BEN INT 09250E107 88 37134 SH SOLE 37134 BLACKROCK INSD MUN INCOME TR COM 092479104 441 27843 SH SOLE 27843 BLACKROCK LONG-TERM MUNI ADV COM 09250B103 745 60938 SH SOLE 60938 BLACKROCK LTD DURATION INC T COM SHS 09249W101 559 29217 SH SOLE 29217 BLACKROCK MUN INCOME TR SH BEN INT 09248F109 572 37832 SH SOLE 37832 BLACKROCK MUNI INCOME TR II COM 09249N101 306 19100 SH SOLE 19100 BLACKROCK MUNIENHANCED FD IN COM 09253Y100 468 36921 SH SOLE 36921 BLACKROCK MUNIHLDGS FD II IN COM 09253P109 349 20733 SH SOLE 20733 BLACKROCK MUNIHLDGS FD INC COM 09254A101 877 59100 SH SOLE 59100 BLACKROCK MUNIHLDGS INS INV COM 09254P108 273 17485 SH SOLE 17485 BLACKROCK MUNIHLDGS INSD FDI COM 09254C107 728 47518 SH SOLE 47518 BLACKROCK MUNIHOLDINGS CALIF COM 09254L107 218 13531 SH SOLE 13531 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 193 10828 SH SOLE 10828 BLACKROCK MUNIVEST FD II INC COM 09253T101 207 12228 SH SOLE 12228 BLACKROCK MUNIVEST FD INC COM 09253R105 1087 100743 SH SOLE 100743 BLACKROCK MUNIYIELD CALIF IN COM 09254N103 289 17948 SH SOLE 17948 BLACKROCK MUNIYIELD FD INC COM 09253W104 170 10613 SH SOLE 10613 BLACKROCK MUNIYIELD QUALITY COM 09254F100 839 50289 SH SOLE 50289 BLACKROCK MUNIYIELD QUALITY COM 09254G108 219 15639 SH SOLE 15639 BLACKROCK MUNYIELD INSD FD I COM 09254E103 778 50647 SH SOLE 50647 BLOCK H & R INC COM 093671105 263 8958 SH SOLE 8958 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 679 23050 SH SOLE 23050 BOEING CO COM 097023105 3940 46018 SH SOLE 46018 BOULDER GROWTH & INCOME FD I COM 101507101 73 10057 SH SOLE 10057 BP PLC SPONSORED ADR 055622104 1901 45342 SH SOLE 45342 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 522 6245 SH SOLE 6245 BPZ RESOURCES INC COM 055639108 61 27000 SH SOLE 27000 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 282 14229 SH SOLE 14229 BRINKER INTL INC COM 109641100 307 8100 SH SOLE 8100 BRISTOL MYERS SQUIBB CO COM 110122108 5864 142549 SH SOLE 142549 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 228 2105 SH SOLE 2105 BROADCOM CORP CL A 111320107 587 16944 SH SOLE 16944 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 262 45242 SH SOLE 45242 BT GROUP PLC ADR 05577E101 401 9517 SH SOLE 9517 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 442 7268 SH SOLE 7268 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 3237 54430 SH SOLE 54430 CA INC COM 12673P105 3206 125472 SH SOLE 125472 CACI INTL INC CL A 127190304 216 3660 SH SOLE 3660 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 186 14370 SH SOLE 14370 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 2897 229149 SH SOLE 229149 CALAMOS GBL DYN INCOME FUND COM 12811L107 310 34600 SH SOLE 34600 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 439 29796 SH SOLE 29796 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 1175 110784 SH SOLE 110784 CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 209 5600 SH SOLE 5600 CAMDEN NATL CORP COM 133034108 1500 45340 SH SOLE 45340 CAMPBELL SOUP CO COM 134429109 286 6223 SH SOLE 6223 CANADIAN NAT RES LTD COM 136385101 226 6601 SH SOLE 6601 CAPITALSOURCE INC COM 14055X102 128 13220 SH SOLE 13220 CAPLEASE INC COM 140288101 377 59091 SH SOLE 59091 CAPSTEAD MTG CORP PFD B CV $1.26 14067E308 587 37138 SH SOLE 37138 CAPSTEAD MTG CORP COM NO PAR 14067E506 1217 94700 SH SOLE 94700 CARBO CERAMICS INC COM 140781105 289 3184 SH SOLE 3184 CARMAX INC COM 143130102 342 8235 SH SOLE 8235 CATERPILLAR INC DEL COM 149123101 3071 35342 SH SOLE 35342 CBL & ASSOC PPTYS INC COM 124830100 292 12215 SH SOLE 12215 CDN IMPERIAL BK OF COMMERCE COM 136069101 236 2998 SH SOLE 2998 CELGENE CORP COM 151020104 4344 37432 SH SOLE 37432 CELLCOM ISRAEL LTD SHS M2196U109 167 19667 SH SOLE 19667 CENTERPOINT ENERGY INC COM 15189T107 585 24351 SH SOLE 24351 CENTRAL FD CDA LTD CL A 153501101 301 15620 SH SOLE 15620 CENTURYLINK INC COM 156700106 571 16015 SH SOLE 16015 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 666 24350 SH SOLE 24350 CHESAPEAKE ENERGY CORP COM 165167107 439 21750 SH SOLE 21750 CHESAPEAKE ENERGY CORP PFD CONV 165167842 282 3140 SH SOLE 3140 CHEVRON CORP NEW COM 166764100 4870 40848 SH SOLE 40848 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 617 9972 SH SOLE 9972 CHIMERA INVT CORP COM 16934Q109 1689 529984 SH SOLE 529984 CHUBB CORP COM 171232101 345 3897 SH SOLE 3897 CISCO SYS INC COM 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UNIT LTD PART 315293100 258 13805 SH SOLE 13805 FIDELITY NATIONAL FINANCIAL CL A 31620R105 276 11000 SH SOLE 11000 FIFTH STREET FINANCE CORP COM 31678A103 171 15500 SH SOLE 15500 FIRST NIAGARA FINL GP INC COM 33582V108 177 19935 SH SOLE 19935 FIRST TR ACTIVE DIVID INCOME COM 33731L100 134 16055 SH SOLE 16055 FIRST TR ENHANCED EQTY INC F COM 337318109 820 63980 SH SOLE 63980 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 223 4080 SH SOLE 4080 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 697 16125 SH SOLE 16125 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 482 18748 SH SOLE 18748 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 984 32367 SH SOLE 32367 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 567 14761 SH SOLE 14761 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 334 17157 SH SOLE 17157 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 699 28763 SH SOLE 28763 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 784 22944 SH SOLE 22944 FIRST TR 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103237 GABELLI DIVD & INCOME TR COM 36242H104 2179 115112 SH SOLE 115112 GABELLI EQUITY TR INC COM 362397101 683 106072 SH SOLE 106072 GALLAGHER ARTHUR J & CO COM 363576109 270 6548 SH SOLE 6548 GANNETT INC COM 364730101 420 19329 SH SOLE 19329 GENERAL DYNAMICS CORP COM 369550108 303 4263 SH SOLE 4263 GENERAL ELECTRIC CO COM 369604103 9990 428368 SH SOLE 428368 GENERAL MLS INC COM 370334104 3378 69601 SH SOLE 69601 GENUINE PARTS CO COM 372460105 433 5578 SH SOLE 5578 GEOGLOBAL RESOURCES INC COM 37249T109 0 20000 SH SOLE 20000 GERDAU S A SPONSORED ADR 373737105 122 16052 SH SOLE 16052 GILEAD SCIENCES INC COM 375558103 472 9784 SH SOLE 9784 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 738 15711 SH SOLE 15711 GOLDMAN SACHS GROUP INC COM 38141G104 593 4103 SH SOLE 4103 GOODYEAR TIRE & RUBR CO COM 382550101 185 14460 SH SOLE 14460 GOOGLE INC CL A 38259P508 3349 4181 SH SOLE 4181 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 300 11495 SH SOLE 11495 GRAINGER W W INC COM 384802104 567 2556 SH SOLE 2556 GREENBRIER COS INC COM 393657101 342 15115 SH SOLE 15115 GULFPORT ENERGY CORP COM NEW 402635304 344 7508 SH SOLE 7508 HALLIBURTON CO COM 406216101 595 14697 SH SOLE 14697 HANCOCK JOHN PFD INCOME FD I COM 41013X106 453 19986 SH SOLE 19986 HASBRO INC COM 418056107 3411 76482 SH SOLE 76482 HATTERAS FINL CORP COM 41902R103 315 11698 SH SOLE 11698 HAWAIIAN ELEC INDUSTRIES COM 419870100 320 11592 SH SOLE 11592 HCP INC COM 40414L109 435 8725 SH SOLE 8725 HEALTH CARE REIT INC COM 42217K106 653 9614 SH SOLE 9614 HEALTH MGMT ASSOC INC NEW CL A 421933102 501 39101 SH SOLE 39101 HEINZ H J CO COM 423074103 569 7889 SH SOLE 7889 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 193 21400 SH SOLE 21400 HELMERICH & PAYNE INC COM 423452101 306 5050 SH SOLE 5050 HERCULES TECH GROWTH CAP INC COM 427096508 472 37503 SH SOLE 37503 HESS CORP COM 42809H107 654 9115 SH SOLE 9115 HEWLETT PACKARD CO COM 428236103 741 30992 SH SOLE 30992 HOLOGIC INC COM 436440101 452 19932 SH SOLE 19932 HOME DEPOT 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MSCI SINGAPORE 464286673 1941 138473 SH SOLE 138473 ISHARES INC MSCI TURKEY FD 464286715 770 10851 SH SOLE 10851 ISHARES INC MSCI TAIWAN 464286731 902 67550 SH SOLE 67550 ISHARES INC MSCI S KOREA 464286772 1184 19871 SH SOLE 19871 ISHARES INC MSCI MEX INVEST 464286822 214 2882 SH SOLE 2882 ISHARES INC MSCI JAPAN 464286848 654 60883 SH SOLE 60883 ISHARES INC MSCI HONG KONG 464286871 1986 100289 SH SOLE 100289 ISHARES SILVER TRUST ISHARES 46428Q109 1972 72340 SH SOLE 72340 ISHARES TR S&P 100 IDX FD 464287101 228 3235 SH SOLE 3235 ISHARES TR DJ SEL DIV INX 464287168 6447 101748 SH SOLE 101748 ISHARES TR BARCLYS TIPS BD 464287176 8976 74293 SH SOLE 74293 ISHARES TR FTSE XNHUA IDX 464287184 3595 97266 SH SOLE 97266 ISHARES TR TRANSP AVE IDX 464287192 256 2319 SH SOLE 2319 ISHARES TR S&P 500 INDEX 464287200 1945 12339 SH SOLE 12339 ISHARES TR BARCLY USAGG B 464287226 15431 139418 SH SOLE 139418 ISHARES TR MSCI EMERG MKT 464287234 6485 151772 SH SOLE 151772 ISHARES TR IBOXX INV CPBD 464287242 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INCOME FD II COM 72200W106 1091 84022 SH SOLE 84022 PIMCO MUNICIPAL INCOME FD COM 72200R107 756 48000 SH SOLE 48000 PIMCO NEW YORK MUN INCM FD 1 COM 72201E105 132 12974 SH SOLE 12974 PIONEER MUN HIGH INCOME TR COM SHS 723763108 371 23620 SH SOLE 23620 PITNEY BOWES INC COM 724479100 222 15082 SH SOLE 15082 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 902 15962 SH SOLE 15962 PLUM CREEK TIMBER CO INC COM 729251108 873 16789 SH SOLE 16789 PLUMAS BANCORP COM 729273102 55 10448 SH SOLE 10448 PNC FINL SVCS GROUP INC COM 693475105 395 5862 SH SOLE 5862 PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 60 12000 SH SOLE 12000 POTASH CORP SASK INC COM 73755L107 4516 114149 SH SOLE 114149 POWERSHARES ACTIVE MNG ETF T US REAL EST FD 73935B508 222 3616 SH SOLE 3616 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 3811 139334 SH SOLE 139334 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 1463 48102 SH SOLE 48102 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 334 17999 SH SOLE 17999 POWERSHARES ETF TRUST DYNA BUYBK ACH 73935X286 306 9000 SH SOLE 9000 POWERSHARES ETF TRUST HI YLD EQ DVDN 73935X302 689 65100 SH SOLE 65100 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 214 8713 SH SOLE 8713 POWERSHARES ETF TRUST II DWA DEVEL MKTS 73936Q108 1511 70839 SH SOLE 70839 POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 1878 92830 SH SOLE 92830 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 7430 292789 SH SOLE 292789 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 9392 632206 SH SOLE 632206 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 1747 58844 SH SOLE 58844 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4154 60165 SH SOLE 60165 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 267 5035 SH SOLE 5035 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 1130 43528 SH SOLE 43528 POWERSHS DB MULTI SECT COMM DB BASE METALS 73936B705 335 19048 SH SOLE 19048 POWERSHS DB US DOLLAR INDEX DOLL INDX BEAR 73936D206 549 20994 SH SOLE 20994 PPG INDS INC COM 693506107 571 4256 SH SOLE 4256 PPL CORP COM 69351T106 233 7450 SH SOLE 7450 PRICELINE COM INC COM NEW 741503403 350 509 SH SOLE 509 PROCTER & GAMBLE CO COM 742718109 10130 131250 SH SOLE 131250 PROSHARES TR PSHS CS 130/30 74347R248 397 5376 SH SOLE 5376 PROSHARES TR PSHS SHRT S&P500 74347R503 591 19225 SH SOLE 19225 PROSHARES TR PSHS ULT BASMATL 74347R776 376 9891 SH SOLE 9891 PROSHARES TR FTSE XINH ETF 74347X880 286 5531 SH SOLE 5531 PROSPECT CAPITAL CORPORATION COM 74348T102 349 32209 SH SOLE 32209 PROTECTIVE LIFE CORP COM 743674103 409 11348 SH SOLE 11348 PRUDENTIAL FINL INC COM 744320102 349 5872 SH SOLE 5872 PUBLIC SVC ENTERPRISE GROUP COM 744573106 423 12409 SH SOLE 12409 PUTNAM MANAGED MUN INCOM TR COM 746823103 647 80678 SH SOLE 80678 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 4372 834502 SH SOLE 834502 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 877 70045 SH SOLE 70045 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 1231 220795 SH SOLE 220795 QUALCOMM INC COM 747525103 6456 96613 SH SOLE 96613 RANGE RES CORP COM 75281A109 588 7325 SH SOLE 7325 RARE ELEMENT RES LTD COM 75381M102 72 34015 SH SOLE 34015 RAYTHEON CO COM NEW 755111507 538 9069 SH SOLE 9069 REALTY INCOME CORP COM 756109104 4231 93241 SH SOLE 93241 REAVES UTIL INCOME FD COM SH BEN INT 756158101 737 27900 SH SOLE 27900 REGAL ENTMT GROUP CL A 758766109 561 33667 SH SOLE 33667 RESEARCH FRONTIERS INC COM 760911107 66 18000 SH SOLE 18000 RESEARCH IN MOTION LTD COM 760975102 183 12870 SH SOLE 12870 RESOURCE CAP CORP COM 76120W302 78 11825 SH SOLE 11825 RIMAGE CORP COM 766721104 473 52500 SH SOLE 52500 RIO TINTO PLC SPONSORED ADR 767204100 289 6194 SH SOLE 6194 RIVERBED TECHNOLOGY INC COM 768573107 150 10106 SH SOLE 10106 ROSETTA RESOURCES INC COM 777779307 238 5000 SH SOLE 5000 ROSS STORES INC COM 778296103 422 6949 SH SOLE 6949 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 515 7819 SH SOLE 7819 ROYAL GOLD INC COM 780287108 217 3053 SH SOLE 3053 ROYCE FOCUS TR COM 78080N108 434 62044 SH SOLE 62044 ROYCE MICRO-CAP TR INC COM 780915104 833 77927 SH SOLE 77927 ROYCE VALUE TR INC COM 780910105 1988 132397 SH SOLE 132397 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 3850 64520 SH SOLE 64520 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 1954 35295 SH SOLE 35295 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 303 2973 SH SOLE 2973 SANOFI AVENTIS SPONSORED ADR 80105N105 672 13147 SH SOLE 13147 SCHLUMBERGER LTD COM 806857108 979 13270 SH SOLE 13270 SCHWAB CHARLES CORP NEW COM 808513105 1347 76196 SH SOLE 76196 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 841 30220 SH SOLE 30220 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 304 4717 SH SOLE 4717 SEADRILL LIMITED SHS G7945E105 627 16844 SH SOLE 16844 SEAGATE TECHNOLOGY PLC SHS G7945M107 4083 110414 SH SOLE 110414 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 401 10205 SH SOLE 10205 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 2256 48929 SH SOLE 48929 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1921 48313 SH SOLE 48313 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 338 6405 SH SOLE 6405 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 1218 15307 SH SOLE 15307 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3720 205367 SH SOLE 205367 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 556 13227 SH SOLE 13227 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 1845 61053 SH SOLE 61053 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 6086 154241 SH SOLE 154241 SEMPRA ENERGY COM 816851109 315 3923 SH SOLE 3923 SENIOR HSG PPTYS TR SH BEN INT 81721M109 3317 121550 SH SOLE 121550 SEQUENOM INC COM NEW 817337405 143 35300 SH SOLE 35300 SHERWIN WILLIAMS CO COM 824348106 451 2681 SH SOLE 2681 SIEMENS A G SPONSORED ADR 826197501 683 6351 SH SOLE 6351 SILVER WHEATON CORP COM 828336107 374 11885 SH SOLE 11885 SIMON PPTY GROUP INC NEW COM 828806109 245 1548 SH SOLE 1548 SIRIUS XM RADIO INC COM 82967N108 1556 506502 SH SOLE 506502 SMITH & WESSON HLDG CORP COM 831756101 104 10750 SH SOLE 10750 SOUTHERN CO COM 842587107 2746 58654 SH SOLE 58654 SOUTHERN COPPER CORP COM 84265V105 528 14058 SH SOLE 14058 SOVRAN SELF STORAGE INC COM 84610H108 328 5089 SH SOLE 5089 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 451 3081 SH SOLE 3081 SPDR GOLD TRUST GOLD SHS 78463V107 11659 75935 SH SOLE 75935 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 294 3872 SH SOLE 3872 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 2335 52814 SH SOLE 52814 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 2643 55025 SH SOLE 55025 SPDR INDEX SHS FDS S&PINTL MC ETF 78463X764 522 17002 SH SOLE 17002 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 442 9157 SH SOLE 9157 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 6435 148981 SH SOLE 148981 SPDR INDEX SHS FDS S&P WRLD EX US 78463X889 240 9098 SH SOLE 9098 SPDR S&P 500 ETF TR TR UNIT 78462F103 4547 29009 SH SOLE 29009 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 14209 67806 SH SOLE 67806 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 5033 122347 SH SOLE 122347 SPDR SERIES TRUST DB INT GVT ETF 78464A490 248 3966 SH SOLE 3966 SPDR SERIES TRUST DJ REIT ETF 78464A607 553 7099 SH SOLE 7099 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 211 3539 SH SOLE 3539 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 1014 31621 SH SOLE 31621 SPDR SERIES TRUST S&P DIVID ETF 78464A763 3524 53287 SH SOLE 53287 SPDR SERIES TRUST DJ SML CAP ETF 78464A813 235 2825 SH SOLE 2825 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 1559 51364 SH SOLE 51364 SPECTRA ENERGY CORP COM 847560109 882 28740 SH SOLE 28740 SPRINT NEXTEL CORP COM SER 1 852061100 123 20213 SH SOLE 20213 STAR SCIENTIFIC INC COM 85517P101 23 14400 SH SOLE 14400 STARBUCKS CORP COM 855244109 2196 38383 SH SOLE 38383 STATE STR CORP COM 857477103 234 3955 SH SOLE 3955 STATOIL ASA SPONSORED ADR 85771P102 3467 139932 SH SOLE 139932 STONE ENERGY CORP COM 861642106 350 15987 SH SOLE 15987 STONEMOR PARTNERS L P COM UNITS 86183Q100 389 15387 SH SOLE 15387 STRATEGIC HOTELS & RESORTS I COM 86272T106 100 12000 SH SOLE 12000 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 247 5672 SH SOLE 5672 SUMMER INFANT INC COM 865646103 28 10779 SH SOLE 10779 SUNCOR ENERGY INC NEW COM 867224107 423 13780 SH SOLE 13780 SUNTECH PWR HLDGS CO LTD ADR 86800C104 8 20775 SH SOLE 20775 SUPERIOR ENERGY SVCS INC COM 868157108 704 27020 SH SOLE 27020 SUPERVALU INC COM 868536103 653 129157 SH SOLE 129157 SWEDISH EXPT CR CORP RG METAL ETN22 870297405 100 10000 SH SOLE 10000 SYSCO CORP COM 871829107 630 17880 SH SOLE 17880 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 175 10320 SH SOLE 10320 TARGET CORP COM 87612E106 1250 18271 SH SOLE 18271 TC PIPELINES LP UT COM LTD PRT 87233Q108 368 7558 SH SOLE 7558 TCF FINL CORP COM 872275102 421 28354 SH SOLE 28354 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 574 13866 SH SOLE 13866 TEMPLETON EMERG MKTS INCOME COM 880192109 4208 254500 SH SOLE 254500 TEMPLETON GLOBAL INCOME FD COM 880198106 5516 586800 SH SOLE 586800 TERRA NITROGEN CO L P COM UNIT 881005201 2255 10250 SH SOLE 10250 TETRA TECH INC NEW COM 88162G103 397 13058 SH SOLE 13058 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 5171 129327 SH SOLE 129327 TEXAS INSTRS INC COM 882508104 235 6572 SH SOLE 6572 THERMO FISHER SCIENTIFIC INC COM 883556102 300 3867 SH SOLE 3867 TIME WARNER INC COM NEW 887317303 209 3593 SH SOLE 3593 TORCHMARK CORP COM 891027104 718 12009 SH SOLE 12009 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 6191 125638 SH SOLE 125638 TOTAL S A SPONSORED ADR 89151E109 529 10848 SH SOLE 10848 TRANSALTA CORP COM 89346D107 496 33900 SH SOLE 33900 TRANSOCEAN LTD REG SHS H8817H100 450 8806 SH SOLE 8806 TRAVELERS COMPANIES INC COM 89417E109 260 3106 SH SOLE 3106 TRUSTCO BK CORP N Y COM 898349105 94 16924 SH SOLE 16924 TWO HBRS INVT CORP COM 90187B101 1399 110920 SH SOLE 110920 TYCO INTERNATIONAL LTD SHS H89128104 248 7750 SH SOLE 7750 U S ENERGY CORP WYO COM 911805109 32 19050 SH SOLE 19050 U S GLOBAL INVS INC CL A 902952100 61 16500 SH SOLE 16500 ULTRA PETROLEUM CORP COM 903914109 861 42882 SH SOLE 42882 UMPQUA HLDGS CORP COM 904214103 222 16636 SH SOLE 16636 UNILEVER N V N Y SHS NEW 904784709 445 10762 SH SOLE 10762 UNILEVER PLC SPON ADR NEW 904767704 936 22189 SH SOLE 22189 UNION PAC CORP COM 907818108 658 4605 SH SOLE 4605 UNITED PARCEL SERVICE INC CL B 911312106 1077 12524 SH SOLE 12524 UNITED RENTALS INC COM 911363109 383 6963 SH SOLE 6963 UNITED STATES STL CORP NEW COM 912909108 353 17817 SH SOLE 17817 UNITED TECHNOLOGIES CORP COM 913017109 2234 23900 SH SOLE 23900 UNITEDHEALTH GROUP INC COM 91324P102 806 14175 SH SOLE 14175 US BANCORP DEL COM NEW 902973304 2891 85214 SH SOLE 85214 V F CORP COM 918204108 227 1341 SH SOLE 1341 VALE S A ADR 91912E105 218 12023 SH SOLE 12023 VALERO ENERGY CORP NEW COM 91913Y100 763 16758 SH SOLE 16758 VALUECLICK INC COM 92046N102 297 10075 SH SOLE 10075 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 5166 58411 SH SOLE 58411 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 6312 77978 SH SOLE 77978 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 5396 63981 SH SOLE 63981 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 512 7647 SH SOLE 7647 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 754 9780 SH SOLE 9780 VANGUARD INDEX FDS REIT ETF 922908553 6428 91392 SH SOLE 91392 VANGUARD INDEX FDS SML CP GRW ETF 922908595 727 7301 SH SOLE 7301 VANGUARD INDEX FDS SM CP VAL ETF 922908611 658 7997 SH SOLE 7997 VANGUARD INDEX FDS MID CAP ETF 922908629 899 9674 SH SOLE 9674 VANGUARD INDEX FDS LARGE CAP ETF 922908637 282 3919 SH SOLE 3919 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 729 10692 SH SOLE 10692 VANGUARD INDEX FDS GROWTH ETF 922908736 8677 111865 SH SOLE 111865 VANGUARD INDEX FDS VALUE ETF 922908744 4200 63796 SH SOLE 63796 VANGUARD INDEX FDS SMALL CP ETF 922908751 1092 11987 SH SOLE 11987 VANGUARD INDEX FDS STK MRK ETF 922908769 2209 27321 SH SOLE 27321 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 297 5693 SH SOLE 5693 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 5318 114936 SH SOLE 114936 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 12190 283762 SH SOLE 283762 VANGUARD INTL EQUITY INDEX F EURPEAN ETF 922042874 256 5128 SH SOLE 5128 VANGUARD NATURAL RESOURCES L COM UNIT 92205F106 206 7253 SH SOLE 7253 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 635 7918 SH SOLE 7918 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 760 8695 SH SOLE 8695 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 3391 51496 SH SOLE 51496 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 9044 248187 SH SOLE 248187 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 1776 32401 SH SOLE 32401 VANGUARD WORLD FD MEGA GRWTH IND 921910816 218 3628 SH SOLE 3628 VANGUARD WORLD FD MEGA CAP INDEX 921910873 4021 75007 SH SOLE 75007 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 205 2041 SH SOLE 2041 VANGUARD WORLD FDS ENERGY ETF 92204A306 3738 33039 SH SOLE 33039 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 465 12130 SH SOLE 12130 VANGUARD WORLD FDS INF TECH ETF 92204A702 2076 28575 SH SOLE 28575 VANGUARD WORLD FDS UTILITIES ETF 92204A876 324 3867 SH SOLE 3867 VARIAN MED SYS INC COM 92220P105 292 4065 SH SOLE 4065 VECTREN CORP COM 92240G101 255 7022 SH SOLE 7022 VERISK ANALYTICS INC CL A 92345Y106 347 5651 SH SOLE 5651 VERIZON COMMUNICATIONS INC COM 92343V104 7425 150639 SH SOLE 150639 VIRTUS INVT PARTNERS INC COM 92828Q109 407 2186 SH SOLE 2186 VISA INC COM CL A 92826C839 540 3186 SH SOLE 3186 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1555 54489 SH SOLE 54489 WAL MART STORES INC COM 931142103 3068 41114 SH SOLE 41114 WALGREEN CO COM 931422109 2004 42085 SH SOLE 42085 WARNER CHILCOTT PLC IRELAND SHS A G94368100 354 26157 SH SOLE 26157 WASTE MGMT INC DEL COM 94106L109 896 22647 SH SOLE 22647 WELLPOINT INC COM 94973V107 2596 38619 SH SOLE 38619 WELLS FARGO & CO NEW COM 949746101 4294 115539 SH SOLE 115539 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 251 25112 SH SOLE 25112 WELLS FARGO ADVANTAGE UTILS COM 94987E109 190 16051 SH SOLE 16051 WESTERN ASSET GLB HI INCOME COM 95766B109 731 52419 SH SOLE 52419 WESTERN ASSET GLB PTNRS INCO COM 95766G108 224 16944 SH SOLE 16944 WESTERN ASSET HIGH INCM FD I COM 95766J102 126 12597 SH SOLE 12597 WESTERN ASST MNG MUN FD INC COM 95766M105 510 35185 SH SOLE 35185 WESTERN DIGITAL CORP COM 958102105 430 8522 SH SOLE 8522 WILLIAMS COS INC DEL COM 969457100 327 8769 SH SOLE 8769 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 849 16424 SH SOLE 16424 WINDSTREAM CORP COM 97381W104 495 61970 SH SOLE 61970 WISDOMTREE TR EM LCL DEBT FD 97717X867 4799 91172 SH SOLE 91172 WISDOMTREE TRUST TOTAL DIVID FD 97717W109 210 3544 SH SOLE 3544 WISDOMTREE TRUST LARGECAP DIVID 97717W307 728 12342 SH SOLE 12342 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1854 33456 SH SOLE 33456 WISDOMTREE TRUST INTL REAL EST 97717W331 581 19416 SH SOLE 19416 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 331 5348 SH SOLE 5348 WORLD ACCEP CORP DEL COM 981419104 307 3564 SH SOLE 3564 WYNN RESORTS LTD COM 983134107 379 2981 SH SOLE 2981 XCEL ENERGY INC COM 98389B100 296 9919 SH SOLE 9919 XEROX CORP COM 984121103 144 17098 SH SOLE 17098 XILINX INC COM 983919101 346 9026 SH SOLE 9026 YAMANA GOLD INC COM 98462Y100 290 18920 SH SOLE 18920 YUM BRANDS INC COM 988498101 667 9275 SH SOLE 9275 ZIMMER HLDGS INC COM 98956P102 1941 25691 SH SOLE 25691 ZIONS BANCORPORATION COM 989701107 515 20611 SH SOLE 20611