The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
1st Century Bancshrs Inc | COM | 31943X102 | 199 | 18,150 | SH | SOLE | 0 | 0 | 18,150 | ||
3M Co | COM | 88579Y101 | 2,716 | 16,301 | SH | SOLE | 0 | 0 | 16,301 | ||
ABB Ltd | ADR | 000375204 | 2,018 | 103,924 | SH | SOLE | 0 | 0 | 103,924 | ||
Aecom Technology | COM | 00766T100 | 216 | 7,000 | SH | DFND | 7,000 | 0 | 0 | ||
Aetna Inc | COM | 00817Y108 | 1,153 | 10,260 | SH | SOLE | 0 | 0 | 10,260 | ||
Agco Corp | COM | 001084102 | 249 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
Allstate Corp | COM | 020002101 | 1,747 | 25,927 | SH | SOLE | 0 | 0 | 25,927 | ||
American Tower-A | COM | 03027X100 | 256 | 2,500 | SH | DFND | 2,500 | 0 | 0 | ||
Amgen Inc | COM | 031162100 | 2,729 | 18,202 | SH | SOLE | 0 | 0 | 18,202 | ||
Analog Devices Inc | ADR | 032654105 | 276 | 4,655 | SH | SOLE | 0 | 0 | 4,655 | ||
Apple Inc | COM | 037833100 | 215 | 1,976 | SH | SOLE | 0 | 0 | 1,976 | ||
Artesian Resource Corp | COM | 043113208 | 2,081 | 74,444 | SH | SOLE | 0 | 0 | 74,444 | ||
Avalonbay Commun | COM | 053484101 | 256 | 1,347 | SH | DFND | 1,347 | 0 | 0 | ||
Bank of America Corporation | COM | 060505104 | 243 | 17,988 | SH | SOLE | 0 | 0 | 17,988 | ||
Big 5 Sporting Goods Corp | COM | 08915P101 | 444 | 40,000 | SH | DFND | 40,000 | 0 | 0 | ||
BlackRock Intern l Grth & Inc Common | COM | 092524107 | 1,862 | 314,530 | SH | SOLE | 0 | 0 | 314,530 | ||
BlackRock MuniYield Qty III | COM | 09254E103 | 1,229 | 81,498 | SH | SOLE | 0 | 0 | 81,498 | ||
BOK Financial Corp | COM | 05561Q201 | 205 | 3,751 | SH | SOLE | 0 | 0 | 3,751 | ||
Boston Propertie | COM | 101121101 | 318 | 2,500 | SH | DFND | 2,500 | 0 | 0 | ||
Bp Plc-Adr | ADR | 055622104 | 238 | 7,883 | SH | DFND | 7,883 | 0 | 0 | ||
Bunge Ltd | COM | G16962105 | 1,219 | 21,510 | SH | SOLE | 0 | 0 | 21,510 | ||
Cal-Maine Foods | COM | 128030202 | 301 | 5,800 | SH | DFND | 5,800 | 0 | 0 | ||
Calpine Corp | COM | 131347304 | 303 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
Cemex Sab-Sp Adr | ADR | 151290889 | 194 | 26,605 | SH | DFND | 26,605 | 0 | 0 | ||
Chase Corp | COM | 16150R104 | 4,694 | 89,254 | SH | SOLE | 0 | 0 | 89,254 | ||
Cimarex Energy Co | COM | 171798101 | 2,691 | 27,661 | SH | SOLE | 0 | 0 | 27,661 | ||
Coca-Cola Co | COM | 191216100 | 352 | 7,588 | SH | SOLE | 0 | 0 | 7,588 | ||
Compania Cervecerias -Adr | ADR | 204429104 | 323 | 14,401 | SH | DFND | 14,401 | 0 | 0 | ||
Conmed Corporation | COM | 207410101 | 210 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
Consumer Discret Sel Sect SPDR® ETF | COM | 81369Y407 | 3,454 | 43,667 | SH | SOLE | 0 | 0 | 43,667 | ||
Consumer Staples Select Sector SPDR® ETF | COM | 81369Y308 | 4,485 | 84,530 | SH | SOLE | 0 | 0 | 84,530 | ||
Danaos Corp | COM | Y1968P105 | 57 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
Dentsply Sirona Inc | COM | 24906P109 | 370 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
Diageo Plc-Adr | ADR | 25243Q205 | 302 | 2,800 | SH | DFND | 2,800 | 0 | 0 | ||
Energy Select Sector SPDR® ETF | COM | 81369Y506 | 2,881 | 46,545 | SH | SOLE | 0 | 0 | 46,545 | ||
Enterprise Products Partners LP | COM | 293792107 | 2,109 | 85,669 | SH | SOLE | 0 | 0 | 85,669 | ||
Essex Property | COM | 297178105 | 210 | 900 | SH | DFND | 900 | 0 | 0 | ||
Everest Re Group Ltd | COM | G3223R108 | 2,468 | 12,499 | SH | SOLE | 0 | 0 | 12,499 | ||
Extra Space Stor | COM | 30225T102 | 477 | 5,100 | SH | DFND | 5,100 | 0 | 0 | ||
Exxon Mobil Corporation | COM | 30231G102 | 3,063 | 36,643 | SH | SOLE | 0 | 0 | 36,643 | ||
First Financial Bankshares Inc | COM | 32020R109 | 204 | 6,900 | SH | SOLE | 0 | 0 | 6,900 | ||
Ford Motor Co | COM | 345370860 | 1,349 | 99,948 | SH | SOLE | 0 | 0 | 99,948 | ||
Gafisa Sa-Adr | ADR | 362607301 | 17 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
Georgetown Bancorp, Inc. | ADR | 372591107 | 200 | 10,002 | SH | DFND | 10,002 | 0 | 0 | ||
Glaxosmithkl-Adr | ADR | 37733W105 | 223 | 5,500 | SH | DFND | 5,500 | 0 | 0 | ||
Global X Msci Nigeria Etf | COM | 37950E424 | 87 | 14,200 | SH | DFND | 14,200 | 0 | 0 | ||
Grupo Televisa - Adr | ADR | 40049J206 | 412 | 15,000 | SH | DFND | 15,000 | 0 | 0 | ||
Guggenheim BulletShrs®2018 Corp Bd ETF | COM | 18383M530 | 589 | 27,869 | SH | SOLE | 0 | 0 | 27,869 | ||
Guggenheim BulletShrs®2018 HY CorpBd ETF | COM | 18383M381 | 4,432 | 183,663 | SH | SOLE | 0 | 0 | 183,663 | ||
Guggenheim BulletShrs®2019 Corp Bd ETF | COM | 18383M522 | 588 | 27,701 | SH | SOLE | 0 | 0 | 27,701 | ||
Guggenheim BulletShrs®2020 Corp Bd ETF | COM | 18383M514 | 525 | 24,525 | SH | SOLE | 0 | 0 | 24,525 | ||
Guggenheim BulletShrs®2021 Corp Bd ETF | COM | 18383M266 | 558 | 26,443 | SH | SOLE | 0 | 0 | 26,443 | ||
Guggenheim S&P 500® Eq Weight HC ETF | COM | 78355W841 | 3,213 | 22,262 | SH | SOLE | 0 | 0 | 22,262 | ||
Guggenheim S&P 500® Equal Weight ETF | COM | 78355W106 | 3,625 | 46,159 | SH | SOLE | 0 | 0 | 46,159 | ||
Hdfc Bank Ltd - Adr | ADR | 40415F101 | 247 | 4,000 | SH | DFND | 4,000 | 0 | 0 | ||
Ingles Markets Inc | COM | 457030104 | 3,567 | 95,109 | SH | SOLE | 0 | 0 | 95,109 | ||
Intercontinental Hotels | ADR | 45857P509 | 223 | 5,414 | SH | DFND | 5,414 | 0 | 0 | ||
Intercontinental Hotels | ADR | 45857P509 | 356 | 8,615 | SH | DFND | 8,615 | 0 | 0 | ||
Invesco Muni Opps. Trust Common | COM | 46132C107 | 1,211 | 86,755 | SH | SOLE | 0 | 0 | 86,755 | ||
iShares Cali AMT-Free Muni Bond | COM | 464288356 | 521 | 4,364 | SH | SOLE | 0 | 0 | 4,364 | ||
iShares Cohen & Steers REIT | COM | 464287564 | 3,273 | 31,729 | SH | SOLE | 0 | 0 | 31,729 | ||
iShares Core S&P Mid-Cap | COM | 464287507 | 2,866 | 19,880 | SH | SOLE | 0 | 0 | 19,880 | ||
iShares Core US Aggregate Bond | COM | 464287226 | 461 | 4,159 | SH | SOLE | 0 | 0 | 4,159 | ||
iShares Floating Rate Bond | COM | 46429B655 | 4,907 | 97,321 | SH | SOLE | 0 | 0 | 97,321 | ||
iShares Global Healthcare | COM | 464287325 | 3,025 | 31,411 | SH | SOLE | 0 | 0 | 31,411 | ||
iShares iBoxx $ Invst Grade Crp Bond | COM | 464287242 | 293 | 2,463 | SH | SOLE | 0 | 0 | 2,463 | ||
iShares MBS | COM | 464288588 | 312 | 2,848 | SH | SOLE | 0 | 0 | 2,848 | ||
iShares MSCI EAFE | COM | 464287465 | 8,471 | 148,196 | SH | SOLE | 0 | 0 | 148,196 | ||
iShares MSCI EAFE Small-Cap | COM | 464288273 | 2,769 | 55,609 | SH | SOLE | 0 | 0 | 55,609 | ||
iShares MSCI EMU | COM | 464286608 | 1,724 | 50,145 | SH | SOLE | 0 | 0 | 50,145 | ||
iShares National AMT-Free Muni Bond | COM | 464288414 | 1,286 | 11,517 | SH | SOLE | 0 | 0 | 11,517 | ||
iShares Russell 1000 | COM | 464287622 | 1,085 | 9,510 | SH | SOLE | 0 | 0 | 9,510 | ||
iShares Russell 2000 | COM | 464287655 | 1,040 | 9,405 | SH | SOLE | 0 | 0 | 9,405 | ||
iShares Russell Mid-Cap | COM | 464287499 | 1,083 | 6,649 | SH | SOLE | 0 | 0 | 6,649 | ||
iShares Select Dividend | COM | 464287168 | 3,450 | 42,238 | SH | SOLE | 0 | 0 | 42,238 | ||
J.C. Penney Co | COM | 708160106 | 216 | 19,500 | SH | DFND | 19,500 | 0 | 0 | ||
James Hardie Ind Plc Adr | ADR | 47030M106 | 341 | 25,000 | SH | DFND | 25,000 | 0 | 0 | ||
JH Financial Opportunities Common | COM | 409735206 | 2,878 | 118,420 | SH | SOLE | 0 | 0 | 118,420 | ||
Johnson & Johnson | COM | 478160104 | 2,624 | 24,251 | SH | SOLE | 0 | 0 | 24,251 | ||
Kvh Industries | ADR | 482738101 | 287 | 30,000 | SH | DFND | 30,000 | 0 | 0 | ||
Lannett Co Inc | COM | 516012101 | 215 | 12,000 | SH | DFND | 12,000 | 0 | 0 | ||
Lasalle Hotel Properties | COM | 517942108 | 243 | 9,600 | SH | DFND | 9,600 | 0 | 0 | ||
Lennox Intl Inc | COM | 526107107 | 230 | 1,700 | SH | DFND | 1,700 | 0 | 0 | ||
Lifepoint Hospit | COM | 53219L109 | 346 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
Lloyds Banking Group Plc | COM | 539439109 | 83 | 21,000 | SH | DFND | 21,000 | 0 | 0 | ||
Lowe s Companies Inc | COM | 548661107 | 2,994 | 39,519 | SH | SOLE | 0 | 0 | 39,519 | ||
Luby'S Inc | COM | 549282101 | 160 | 32,994 | SH | DFND | 32,994 | 0 | 0 | ||
Maiden Holdings Ltd | COM | G5753U112 | 259 | 20,000 | SH | DFND | 20,000 | 0 | 0 | ||
Market Vectors Africa | COM | 57060U787 | 198 | 10,340 | SH | DFND | 10,340 | 0 | 0 | ||
Marriott International | COM | 571903202 | 358 | 5,035 | SH | DFND | 5,035 | 0 | 0 | ||
Martin Mar Mtls | COM | 573284106 | 228 | 1,430 | SH | DFND | 1,430 | 0 | 0 | ||
MetLife Inc | COM | 59156R108 | 1,722 | 39,183 | SH | SOLE | 0 | 0 | 39,183 | ||
Miller Ind Inc/Tenn | COM | 600551204 | 264 | 13,000 | SH | DFND | 13,000 | 0 | 0 | ||
National Western Life Insurance | COM | 638517102 | 2,210 | 9,583 | SH | SOLE | 0 | 0 | 9,583 | ||
Netapp Inc | COM | 64110D104 | 246 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
Nice Systems-Adr | ADR | 653656108 | 356 | 5,500 | SH | DFND | 5,500 | 0 | 0 | ||
Norfolk Southern | COM | 655844108 | 291 | 3,500 | SH | DFND | 3,500 | 0 | 0 | ||
Northwest Nat Gs | COM | 667655104 | 377 | 7,000 | SH | DFND | 7,000 | 0 | 0 | ||
NorthWestern Corp | COM | 668074305 | 2,546 | 41,226 | SH | SOLE | 0 | 0 | 41,226 | ||
Novartis AG | ADR | 66987V109 | 2,014 | 27,802 | SH | SOLE | 0 | 0 | 27,802 | ||
Novatel Wireless Inc | COM | 66987M604 | 21 | 12,000 | SH | SOLE | 0 | 0 | 12,000 | ||
Nuveen Intermediate Duration Muni Term | COM | 670671106 | 1,621 | 121,662 | SH | SOLE | 0 | 0 | 121,662 | ||
PIMCO Enhanced Short Maturity ETF | COM | 72201R833 | 5,187 | 51,471 | SH | SOLE | 0 | 0 | 51,471 | ||
PowerShares Global Water ETF | COM | 73936T623 | 2,683 | 127,570 | SH | SOLE | 0 | 0 | 127,570 | ||
Procter & Gamble | COM | 742718109 | 288 | 3,500 | SH | DFND | 3,500 | 0 | 0 | ||
Pub Serv Enterp | COM | 744573106 | 377 | 8,000 | SH | DFND | 8,000 | 0 | 0 | ||
Qualcomm Inc | COM | 747525103 | 238 | 4,652 | SH | SOLE | 0 | 0 | 4,652 | ||
Regions Financial Corp | COM | 7591EP100 | 141 | 18,000 | SH | DFND | 18,000 | 0 | 0 | ||
RGC Resources | COM | 74955L103 | 530 | 24,510 | SH | SOLE | 0 | 0 | 24,510 | ||
Royce Micro Cap Trust Common | COM | 780915104 | 1,949 | 278,429 | SH | SOLE | 0 | 0 | 278,429 | ||
Royce Value Trust Common | COM | 780910105 | 2,780 | 237,441 | SH | SOLE | 0 | 0 | 237,441 | ||
Sba Communications Corp | ADR | 78388J106 | 200 | 2,000 | SH | DFND | 2,000 | 0 | 0 | ||
Schwab International Equity ETF | COM | 808524805 | 340 | 12,530 | SH | SOLE | 0 | 0 | 12,530 | ||
Schwab US Aggregate Bond ETF | COM | 808524839 | 644 | 12,191 | SH | SOLE | 0 | 0 | 12,191 | ||
Schwab US Mid-Cap ETF | COM | 808524508 | 424 | 10,434 | SH | SOLE | 0 | 0 | 10,434 | ||
Schwab US Small-Cap ETF | COM | 808524607 | 413 | 7,945 | SH | SOLE | 0 | 0 | 7,945 | ||
Sk Telecom-Adr | ADR | 78440P108 | 252 | 12,500 | SH | DFND | 12,500 | 0 | 0 | ||
Sl Green Realty | COM | 78440X101 | 291 | 3,000 | SH | DFND | 3,000 | 0 | 0 | ||
Southern Co | COM | 842587107 | 2,656 | 51,336 | SH | SOLE | 0 | 0 | 51,336 | ||
SPDR® Barclays Short Term Corp Bd ETF | COM | 78464A474 | 5,240 | 171,068 | SH | SOLE | 0 | 0 | 171,068 | ||
SPDR® Morgan Stanley Technology ETF | COM | 78464A102 | 2,869 | 54,442 | SH | SOLE | 0 | 0 | 54,442 | ||
SPDR® S&P 500 ETF | COM | 78462F103 | 304 | 1,480 | SH | SOLE | 0 | 0 | 1,480 | ||
SPDR® S&P MidCap 400 ETF | COM | 78467Y107 | 374 | 1,423 | SH | SOLE | 0 | 0 | 1,423 | ||
Stryker Corporation | COM | 863667101 | 2,398 | 22,348 | SH | SOLE | 0 | 0 | 22,348 | ||
Thermo Fisher | COM | 883556102 | 212 | 1,500 | SH | DFND | 1,500 | 0 | 0 | ||
Twenty-First Century Fox Inc | COM | 90130A101 | 298 | 10,674 | SH | SOLE | 0 | 0 | 10,674 | ||
UDR Inc | COM | 902653104 | 383 | 9,951 | SH | SOLE | 0 | 0 | 9,951 | ||
Unilever Nv-Nys | COM | 904784709 | 402 | 9,000 | SH | DFND | 9,000 | 0 | 0 | ||
United Therapeut | COM | 91307C102 | 223 | 2,000 | SH | DFND | 2,000 | 0 | 0 | ||
Valmont Industries Inc | COM | 920253101 | 2,501 | 20,194 | SH | SOLE | 0 | 0 | 20,194 | ||
Vanguard Energy ETF | COM | 92204A306 | 250 | 2,918 | SH | SOLE | 0 | 0 | 2,918 | ||
Vanguard FTSE Emerging Markets ETF | COM | 922042858 | 404 | 11,670 | SH | SOLE | 0 | 0 | 11,670 | ||
Vanguard FTSE Europe ETF | COM | 922042874 | 1,910 | 39,360 | SH | SOLE | 0 | 0 | 39,360 | ||
Vanguard Information Technology ETF | COM | 92204A702 | 2,764 | 25,233 | SH | SOLE | 0 | 0 | 25,233 | ||
Vanguard S&P 500 ETF | COM | 922908363 | 285 | 1,514 | SH | SOLE | 0 | 0 | 1,514 | ||
Vanguard Total Bond Market ETF | COM | 921937835 | 397 | 4,790 | SH | SOLE | 0 | 0 | 4,790 | ||
Verizon Communic | COM | 92343V104 | 274 | 32,594 | SH | DFND | 32,594 | 0 | 0 | ||
Verizon Communications Inc | COM | 92343V104 | 1,763 | 32,594 | SH | SOLE | 0 | 0 | 32,594 | ||
Vodafone Grp-Adr | ADR | 92857W308 | 298 | 9,295 | SH | DFND | 9,295 | 0 | 0 | ||
Voya Asia Pacific High Dividend Eq Inc | COM | 92912J102 | 1,496 | 161,861 | SH | SOLE | 0 | 0 | 161,861 | ||
Wells Fargo & Co | COM | 949746101 | 290 | 6,000 | SH | DFND | 6,000 | 0 | 0 | ||
Western Asset Glb Corp Def Opp Common | COM | 95790C107 | 4,079 | 247,360 | SH | SOLE | 0 | 0 | 247,360 | ||
Western Asset High Income Opp | COM | 95766K109 | 3,888 | 829,010 | SH | SOLE | 0 | 0 | 829,010 | ||
WGL Holdings Inc | COM | 92924F106 | 3,483 | 48,134 | SH | SOLE | 0 | 0 | 48,134 | ||
Williams Companies Inc | COM | 969457100 | 1,305 | 81,233 | SH | SOLE | 0 | 0 | 81,233 | ||
Wp Carey Inc | COM | 92936U109 | 311 | 5,000 | SH | DFND | 5,000 | 0 | 0 | ||
Wpx Energy Inc | COM | 98212B103 | 160 | 22,944 | SH | SOLE | 0 | 0 | 22,944 |