0001161722-13-000003.txt : 20130430 0001161722-13-000003.hdr.sgml : 20130430 20130430115052 ACCESSION NUMBER: 0001161722-13-000003 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130430 DATE AS OF CHANGE: 20130430 EFFECTIVENESS DATE: 20130430 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC CENTRAL INDEX KEY: 0001161722 IRS NUMBER: 954121065 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06753 FILM NUMBER: 13795418 BUSINESS ADDRESS: STREET 1: 5535 BALBOA BLVD STREET 2: SUITE 200 CITY: ENCINO STATE: CA ZIP: 91316 BUSINESS PHONE: 8183827720 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR/A 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Mar 31, 2013 Check Here if Amendment [X] This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California April 30, 2013 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 321 Form 13F Information Table Value Total: $390,283 ($1,000s) List of Other Included Managers: 0 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 360 VOX CORPORATION CL A COM 885578104 1 10000 SH SOLE 10000 A T & T INC NEW COM 532 15777 SH SOLE 13643 2134 ACADIA PHARMACEUTICALS COM 004225108 300 64620 SH SOLE 64620 ALLERGAN INC COM 018490102 421 4589 SH SOLE 4589 ALTRIA GROUP INC COM 02209s103 348 11063 SH SOLE 8935 2128 AMAZON COM INC COM 023135106 1721 6859 SH SOLE 277 6582 AMERICAN INTL GROUP NEW COM 026874784 713 20200 SH SOLE 20000 200 AMPHENOL CORP NEW-CL A COM 032095101 1333 20600 SH SOLE 20600 APOLLO INVESTMENT CORP COM 03761u106 259 31020 SH SOLE 28260 2760 APPLE INC COM 037833100 1773 3331 SH SOLE 1886 1445 ARENA PHARMACEUTICALS COM 040047102 183 20300 SH SOLE 8600 11700 BALSAM VENTURES INC NEW COM 058820200 0 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 060505104 1032 88886 SH SOLE 24533 64353 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 17160 191301 SH SOLE 4165 187136 Bank 1440 Peoria Ariz Com COM 062199104 18 24407 SH SOLE 24407 Berkshire Hathaway Hldg Inc Cl COM 084670108 536 4 SH SOLE 4 CHESAPEAKE ENERGY CORPORATION COM 165167107 736 44261 SH SOLE 3961 40300 CHEVRON CORPORATION COM 166764100 667 6171 SH SOLE 5383 788 CISCO SYSTEMS INC COM 17275r102 439 22346 SH SOLE 7922 14424 CITIGROUP INC NEW COM 172967424 443 11187 SH SOLE 8581 2606 CNO FINANCIAL GROUP INC COM 208464883 156 16700 SH SOLE 16700 COCA COLA COMPANY COM 191216100 528 14552 SH SOLE 12442 2110 COPANO ENERGY LLC COM UNITS COM 217202100 364 11500 SH SOLE 11500 COSTCO WHOLESALE CORP COM 22160k105 353 3579 SH SOLE 2000 1579 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 2 20000 SH SOLE 20000 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 DENISON MINES CORP COM 248356107 68 55000 SH SOLE 55000 ENDURO ROYALTY TRUST COM 29269k100 502 29960 SH SOLE 29960 ENERGY FUELS INC COM 292671104 11 60830 SH SOLE 60830 EXXON MOBIL CORPORATION COM 30231g102 1831 21161 SH SOLE 2855 18306 FIDELITY NATIONAL INFORMATION COM 31620m106 1614 46362 SH SOLE 14132 32230 FIRST REPUBLIC BANK COM 33616c100 848 25881 SH SOLE 25881 FORD MOTOR COMPANY NEW COM 345370860 364 28114 SH SOLE 15150 12964 Fidelity National Financial In COM 316326107 5975 253723 SH SOLE 30797 222926 GENERAL ELECTRIC COMPANY COM 369604103 1128 53718 SH SOLE 32171 21547 GERON CORP COM 374163103 14 10000 SH SOLE 10000 GLOBAL CLEAN ENERG HLDGS COM 3 298814 SH SOLE 298814 GOOGLE INC CLASS A COM 38259p508 477 675 SH SOLE 174 501 GRAN COLOMBIA GOLD CORP COM 38501d204 169 466500 SH SOLE 466500 HERBALIFE LTD COMMON STOCK COM g4412g101 5577 169302 SH SOLE 157932 11370 IDENTIVE GROUP INC COM 45170x106 54 36050 SH SOLE 11000 25050 INTEL CORP COM 458140100 1655 80285 SH SOLE 18912 61373 INTL BUSINESS MACHINES COM 459200101 1447 7555 SH SOLE 140 7415 INTUITIVE SURGICAL NEW COM 593 1210 SH SOLE 770 440 Icu Med Inc Com COM 44930G107 303 4975 SH SOLE 4975 JOHNSON & JOHNSON COM 478160104 432 6162 SH SOLE 4848 1314 JPMORGAN CHASE & CO COM 46625h100 529 12022 SH SOLE 6150 5872 KID BRANDS INC COM COM 49375t100 16 10000 SH SOLE 10000 KIOR INC CL A COM 497217109 204 31784 SH SOLE 1784 30000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LIGHTWAVE LOGIC INC COM 532275104 9 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 763 56178 SH SOLE 56178 MARKWEST ENERGY PARTNERS L P U COM 570759100 299 5870 SH SOLE 5870 MERCK & CO INC NEW COM 58933y105 972 23733 SH SOLE 14140 9593 MICROSOFT CORP COM 594918104 1692 63362 SH SOLE 8710 54652 MONSTER BEVERAGE CORP COM 611740101 365 6914 SH SOLE 6314 600 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 OAKTREE CAP GROUP LLC UNIT CL COM 674001201 391 8600 SH SOLE 5600 3000 ORACLE CORPORATION COM 68389x105 1739 52197 SH SOLE 3279 48918 PACWEST BANCORP COM 695263103 897 36209 SH SOLE 36209 PFIZER INCORPORATED COM 717081103 671 26754 SH SOLE 20577 6177 PHILIP MORRIS INTL INC COM 718172109 7202 86107 SH SOLE 85840 267 PINETREE CAPITAL LTD NEW COM 723330106 10 11700 SH SOLE 11700 PROCTER & GAMBLE COM 742718109 1128 16613 SH SOLE 453 16160 QUALCOMM INC COM 747525103 248 4006 SH SOLE 2742 1264 RESOURCE CAP CORP COM COM 76120W302 56 10000 SH SOLE 10000 SANDRIDGE MISSISSIPPIAN TRUST COM 80007t101 198 12025 SH SOLE 12025 SANDRIDGE PERMIAN TR COM 80007a102 309 18166 SH SOLE 18166 SEA DRAGON ENERGY INC COM 811375104 2 34000 SH SOLE 34000 SEAGATE TECHNOLOGY PLC F COM g7945m107 569 18705 SH SOLE 13245 5460 SHINSEI BANK LTD ORD F COM 171 87500 SH SOLE 87500 SIGNATURE GROUP HOLDINGS COM 82670c100 8 19028 SH SOLE 11000 8028 SINGLE TOUCH SYSTEMS INC COM 82932t107 11 17500 SH SOLE 17500 SOUTHWEST AIRLINES CO COM 844741108 1041 101641 SH SOLE 100716 925 TESCO PLC ORD F COM 149 27100 SH SOLE 27100 TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000 TYSON FOODS INC-CL A COM 902494103 388 20000 SH SOLE 20000 Transition Therapeutics Inc Ne COM 893716209 316 143002 SH SOLE 143002 UNITED PARCEL SVC INC CL B COM 911312106 22908 310700 SH SOLE 130014 180686 UNITEDHEALTH GROUP INC COM 91324p102 240 4417 SH SOLE 4417 UNIVERSAL GUARDIAN HLDGS COM 0 13900 SH SOLE 13900 US BANCORP DEL COM NEW COM 902973304 4025 126020 SH SOLE 126020 VALERO ENERGY CORP NEW COM 91913y100 261 7650 SH SOLE 6500 1150 VERIZON COMMUNICATIONS COM 92343v104 239 5526 SH SOLE 2000 3526 VISA INC CL A COMMON STOCK COM 92826c839 2122 14000 SH SOLE 1000 13000 WELLS FARGO & CO NEW COM 949746101 339 9922 SH SOLE 4620 5302 XEROX CORP COM 984121103 343 50300 SH SOLE 15300 35000 AEGON NV ORD REG AMER F SPONSO ADR 007924103 141 21900 SH SOLE 21900 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 415 30000 SH SOLE 30000 BP PLC ADR F SPONSORED ADR 1 A ADR 055622104 328 7870 SH SOLE 7250 620 CAMELOT INFORMATION SYS INC AD ADR 13322v105 10 10000 SH SOLE 10000 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 278 24500 SH SOLE 24500 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 5186 302191 SH SOLE 302191 GLOBAL X FTSE ETF 20 COLOMBIA INDEX CEF 340 15300 SH SOLE 15300 ISHARES CORE S&P ETF S&P 500 I INDEX CEF 464287200 3479 24304 SH SOLE 24254 50 ISHARES DJ SELECT DIV FD SELEC INDEX CEF 464287168 1569 27403 SH SOLE 26809 594 ISHARES HLTH CARE PRVDRS INDEX INDEX CEF 464288828 4549 66451 SH SOLE 54990 11461 ISHARES MSCI BRAZIL INDX BRAZI INDEX CEF 464286400 2517 45000 SH SOLE 45000 ISHARES MSCI CDA IDX FD CANADA INDEX CEF 627 22072 SH SOLE 22072 ISHARES MSCI CHILE INVESTABLE INDEX CEF 278749106 285 4500 SH SOLE 4500 ISHARES MSCI ETF ALL PERU CAPP INDEX CEF 395 8600 SH SOLE 8600 ISHARES MSCI ETF PHILIPPINES I INDEX CEF 46429b408 1499 43400 SH SOLE 35600 7800 ISHARES MSCI JPN IDX FD JAPAN INDEX CEF 464286848 446 45760 SH SOLE 35640 10120 ISHARES MSCI MEXICO INVESTABLE INDEX CEF 464286822 1467 20800 SH SOLE 17070 3730 ISHARES MSCI S F INDX FD SOUTH INDEX CEF 464286780 1497 20911 SH SOLE 17410 3501 ISHARES RUSSELL 1000 VALUE IND INDEX CEF 464287598 209 2867 SH SOLE 1667 1200 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 689 9092 SH SOLE 7875 1217 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 1421 21397 SH SOLE 18107 3290 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 1685 14730 SH SOLE 13445 1285 ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 1276 14473 SH SOLE 13773 700 ISHARES TR FTSE CHINA 25 INDEX INDEX CEF 464287184 2023 50000 SH SOLE 50000 ISHARES TR HIGH DIVID EQ HIGH INDEX CEF 46429b663 447 7600 SH SOLE 7600 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 998 17545 SH SOLE 15988 1557 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 5450 83217 SH SOLE 74379 8838 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287622 1231 15557 SH SOLE 15557 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287671 7219 135161 SH SOLE 121541 13620 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 4145 48945 SH SOLE 48865 80 ISHARES TR RUSSELL MIDCAP GROW INDEX CEF 464287481 206 3281 SH SOLE 3281 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 927 8195 SH SOLE 8070 125 ISHARES TR S&P 100 INDEXFUND INDEX CEF 464287101 433 6690 SH SOLE 6690 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 477 5009 SH SOLE 2529 2480 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 7160 186171 SH SOLE 166595 19576 MARKET VECTORS ETF TRUST GOLD INDEX CEF 57060u100 2480 53452 SH SOLE 42372 11080 POWERSHARES EXCH TRAD FD CEF I INDEX CEF 73936q843 362 14402 SH SOLE 13592 810 POWERSHS EXCH TRAD FD TR POWER INDEX CEF 73935x799 5540 160437 SH SOLE 128445 31992 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 1278 19615 SH SOLE 8226 11389 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 1589 11157 SH SOLE 6028 5129 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 554 13885 SH SOLE 13885 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 1618 56070 SH SOLE 54120 1950 SPDR DOW JONES INDL AVERAGE ET INDEX CEF 78467x109 253 1941 SH SOLE 400 1541 SPDR INDEX SHARES FUNDS SPDR E INDEX CEF 78463x202 867 25000 SH SOLE 15000 10000 SPDR S&P CHINA ETF INDEX CEF 78463x400 8305 112090 SH SOLE 92060 20030 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 1712 29435 SH SOLE 26100 3335 SPDR S&P HOMEBUILDERS ETF INDEX CEF 78464a888 340 12800 SH SOLE 6500 6300 SPDR S&P INSURANCE ETF INDEX CEF 78464a789 5424 123265 SH SOLE 99065 24200 SPDR S&P MIDCAP 400 ETF INDEX CEF 1031 5550 SH SOLE 5550 SPDR S&P REGIONAL BKING INDEX CEF 78464a698 8815 315143 SH SOLE 246315 68828 VANGUARD ENERGY ETF INDEX CEF 92204a306 514 5025 SH SOLE 4760 265 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 681 15286 SH SOLE 13127 2159 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908538 381 5560 SH SOLE 5560 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 5847 84598 SH SOLE 73008 11590 VANGUARD INTL EQTY INDEX FTSE INDEX CEF 922042775 1874 40956 SH SOLE 34213 6743 VANGUARD SMALL CAP GRWTH INDEX CEF 922908595 617 6932 SH SOLE 5757 1175 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1165 15902 SH SOLE 14852 1050 WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 1674 30115 SH SOLE 27635 2480 WISDOMTREE EQUITY INC FD HI YI INDEX CEF 765 16700 SH SOLE 16700 WISDOMTREE JAP HDGD EQTY JAPAN INDEX CEF 97717w851 1307 35440 SH SOLE 34040 1400 ISHARES CORE TOTAL ETF US BOND ETF 464287226 1887 16985 SH SOLE 16492 493 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 6212 51344 SH SOLE 48141 3203 ISHARES S&P U S PFD FUND S&P U ETF 464288687 2712 68460 SH SOLE 61320 7140 ISHARES TR BARCLAYS BOND BARCL ETF 464288646 5779 54790 SH SOLE 50180 4610 ISHARES TR BARCLAYS TREAS INFL ETF 464287176 1257 10350 SH SOLE 10350 ISHARES TRUST BARCLAYS BARCLAY ETF 464288588 931 8620 SH SOLE 8620 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 1704 18255 SH SOLE 15802 2453 POWERSHARES ETF SENIOR LOAN PO ETF 73936q769 2092 83760 SH SOLE 69860 13900 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 426 23278 SH SOLE 19078 4200 SPDR BARCLAYS ETF 0-5 CASH PAY ETF 78468r408 10163 332665 SH SOLE 274265 58400 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 8401 206363 SH SOLE 161676 44687 SPDR BARCLAYS INTERNATIONAL ETF 78464a516 223 3654 SH SOLE 3554 100 VANGUARD BOND INDEX FUND SHORT ETF 921937827 1860 22963 SH SOLE 19575 3388 Access Midstream Partners LP U LP 00434l109 2156 64280 SH SOLE 63530 750 BUCKEYE PARTNERS LP UNITS LTD LP 118230101 397 8740 SH SOLE 8740 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 613 21970 SH SOLE 21970 ENERGY TRANSFER PARTNERS UNITS LP 29273r109 617 14368 SH SOLE 13940 428 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 5821 4897638 SH SOLE 4897638 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 371 371485 SH SOLE 371485 POPE RESOURCES DEPOSITARY RECE LP 732857107 1203 21597 SH SOLE 21597 Pimco Bravo spec On Te I LP LP 504 403780 SH SOLE 403780 Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953 TEEKAY OFFSHORE PARTNERS LP LP y8565j101 548 21070 SH SOLE 21070 AEGON NV PFD F PERP CAP SECS F PFD 222 9550 SH SOLE 9550 AEGON NV PREFERRED PFD 007924608 392 14000 SH SOLE 14000 ALLIANZ SE 8.375% UNDATED SUBO PFD 018805200 231 9000 SH SOLE 9000 ARCH CAPITAL GROUP LTDPFD 6.75 PFD G0450A204 354 13200 SH SOLE 13200 AXIS CAPITAL HOLDINGS LTDPFD 6 PFD G0692U307 593 22300 SH SOLE 22300 Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059 Aspen insurance PFD 7.25% Ser PFD g05384147 298 11400 SH SOLE 11400 BANK OF AMERICA8.625%PFD DEP S PFD 201 7880 SH SOLE 7880 BARCLAYS BK PLC SPONSORED ADRP PFD 06739H362 399 15692 SH SOLE 15692 Bank of America Dep Sh Repstg PFD 349 13640 SH SOLE 7640 6000 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 273 10740 SH SOLE 10740 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 384 15240 SH SOLE 1000 14240 COBANK ACBPFD 6.250% PFD 19075Q805 417 4000 SH SOLE 4000 COUNTRYWIDE CAP V GTD CAP SEC PFD 222388209 363 14400 SH SOLE 14400 DEUTSCH BK CONTINGENT CAP TR V PFD 25150L108 235 8600 SH SOLE 8600 DEUTSCHE BK CONTINGENT CAP TRI PFD 25154A108 330 12213 SH SOLE 12213 ENDURANCE SPECIALTY HLDGPFD 7. PFD G30397304 347 13000 SH SOLE 13000 FARM CR BK TEX PERP NON CUMULA PFD 30767e307 2305 1850 SH SOLE 1850 GOLDMAN SACHS GP DEP SHS PERPE PFD 207 10000 SH SOLE 10000 GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 335 16215 SH SOLE 10000 6215 GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 405 16104 SH SOLE 2604 13500 GOLDMAN SACHS SER D PFD DEP SH PFD 561 26900 SH SOLE 26900 ING GROEP N V 8.50% ING PERPET PFD 456837806 532 20764 SH SOLE 20764 ING GROEP N V PERPETUAL DEBTSE PFD 456837301 221 8800 SH SOLE 8800 ING GROEP NV 7.375% PFDF PERPE PFD 456837707 241 9659 SH SOLE 9659 MORGAN STANLEY 6.60%66 CAP TRU PFD 61750k208 285 11387 SH SOLE 11164 223 MORGAN STANLEY CAP TR VI CAPSE PFD 617461207 202 8000 SH SOLE 8000 REINSURANCE GRP OF AMERPFD 6.2 PFD 759351703 309 11400 SH SOLE 11400 SOVEREIGN REAL ESTATE INVTTRUS PFD 84610XAA1 434 340 SH SOLE 340 Security Etch Intl Sr-B Red/Cv PFD 0 20000 SH SOLE 20000 TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000 UNION PLANTERS PFD FDG CORP7.7 PFD 908080203 500 5 SH SOLE 5 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 1371 88314 SH SOLE 88314 BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 179 10200 SH SOLE 10200 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 5240 318955 SH SOLE 280405 38550 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 2168 128055 SH SOLE 99001 29054 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 786 57203 SH SOLE 24603 32600 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 284 16874 SH SOLE 16874 MFS INVT GRADE MUNI TR TR SBI NON-TAX CEF 59318b108 153 14644 SH SOLE 14644 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 333 21307 SH SOLE 3611 17696 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 173 11209 SH SOLE 17 11192 NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 370 25770 SH SOLE 13768 12002 NUVEEN ENHANCED MUNI FD NON-TAX CEF 67074m101 386 24000 SH SOLE 24000 NUVEEN MUNI OPPTY FD INC NON-TAX CEF 670984103 179 11700 SH SOLE 11700 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 351 21710 SH SOLE 20420 1290 NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 471 31010 SH SOLE 26810 4200 PIMCO CA MUN INCM FD III CALIF NON-TAX CEF 72201c109 183 16200 SH SOLE 16200 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 212 13283 SH SOLE 13283 PIMCO MUNICIPAL INCM FD NATION NON-TAX CEF 72200r107 447 28500 SH SOLE 7900 20600 BLACKROCK BUILD AMERICA TAXABLE MUNI CEF 09248x100 801 35011 SH SOLE 11850 23161 NUVEEN BAB TERM FUND TAXABLE MUNI CEF 67074c103 406 19180 SH SOLE 7280 11900 Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 ABERDEEN ASIA PAC INCM TAXABLE CEF 003009107 8055 1040634 SH SOLE 1040634 ADVENT CLAYMORE CONVERT TAXABLE CEF 007639107 120 18444 SH SOLE 15794 2650 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 203 13000 SH SOLE 13000 ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 383 47270 SH SOLE 4000 43270 ALLIANZGI CONV & INC FD TAXABLE CEF 018828103 173 19880 SH SOLE 15550 4330 AMERICAN SELECT PORT TAXABLE CEF 029570108 123 11225 SH SOLE 11225 BLKROCK CR ALLO INCOME TRUST I TAXABLE CEF 092508100 598 43533 SH SOLE 8330 35203 CALAMOS CNV HIGH INCM FD TAXABLE CEF 12811p108 537 44175 SH SOLE 1700 42475 CALAMOS CONV OPPRTNTY FD TAXABLE CEF 128117108 450 37660 SH SOLE 18590 19070 CALAMOS STRGC TOT RET FD TAXABLE CEF 128125101 141 14393 SH SOLE 13128 1265 CUTWATER SELECT INCOME FUND FR TAXABLE CEF cdc229100 0 49520 SH SOLE 49520 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 2247 134894 SH SOLE 66574 68320 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 470 36384 SH SOLE 9100 27284 HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 269 11898 SH SOLE 7898 4000 HANCOCK JOHN PFD INCM FD PFD I TAXABLE CEF 41013x106 344 15881 SH SOLE 11498 4383 HELIOS TOTAL RTN FD NEW TAXABLE CEF 42327v208 601 25435 SH SOLE 12114 13321 M S EMERGING MKTS DEBT TAXABLE CEF 617477104 419 24862 SH SOLE 11147 13715 NEXPOINT CR STRATEGIES FD TAXABLE CEF 74 11120 SH SOLE 11076 44 NUVEEN CREDIT STRAT INCM TAXABLE CEF 67073d102 238 24707 SH SOLE 22207 2500 NUVEEN DIVERSIFIED CURR OPPORT TAXABLE CEF 67090n109 456 35456 SH SOLE 30456 5000 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 592 48350 SH SOLE 41780 6570 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 337 27640 SH SOLE 25440 2200 NUVEEN PREFERRED INCOME OPPORT TAXABLE CEF 67073b106 127 13060 SH SOLE 13060 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 160 16889 SH SOLE 16889 PIMCO CORP & INC OPPTY FUND TAXABLE CEF 72201b101 899 46295 SH SOLE 18195 28100 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 1074 36896 SH SOLE 15951 20945 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 844 76353 SH SOLE 58244 18109 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 486 38178 SH SOLE 28947 9231 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 746909100 79 15702 SH SOLE 15702 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 193 35390 SH SOLE 30140 5250 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 418 38137 SH SOLE 36737 1400 TRANSAMERICA INCOME SHS TAXABLE CEF 893506105 201 8636 SH SOLE 8636 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 472 46824 SH SOLE 44924 1900 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 644 39814 SH SOLE 24002 15812 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 214 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 690 44420 SH SOLE 33520 10900 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 206 14944 SH SOLE 14944 WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 161 10668 SH SOLE 10668 WSTRN ASSET EMERGE MKT I EMERG TAXABLE CEF 95766f100 224 14650 SH SOLE 11050 3600 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 578 26491 SH SOLE 19511 6980 ALLIANZGI GLBL EQTY CONV INC F CEFS 01882w100 296 21918 SH SOLE 1150 20768 ALLIANZGI NFJ DIVID INT PREM S CEFS 01883a107 276 17700 SH SOLE 11800 5900 ALPINE GLOBAL DYNAMIC DIVIDEND CEFS 02082e106 86 16510 SH SOLE 16510 ALPINE TOTAL DYNAMIC FD CEFS 021060108 235 58334 SH SOLE 32034 26300 BLACKROCK ENHANCED EQUITY DIVI CEFS 09251a104 541 75358 SH SOLE 74802 556 BLACKROCK GLOBAL OPPTYS CEFS 092501105 1528 115788 SH SOLE 45070 70718 BLACKROCK INTL GROWTH TR CEFS 092524107 895 121768 SH SOLE 24300 97468 BLCKRCK ENHCD CAP & INCM CEFS 09256a109 271 21800 SH SOLE 16100 5700 CALAMOS GLOBAL INCOME FD CEFS 12811l107 114 13603 SH SOLE 13603 CLOUGH GLOBAL OPPTY FD CEFS 18914e106 328 27930 SH SOLE 15670 12260 COHEN & STEERS CLOSD END CEFS 19248p106 338 27230 SH SOLE 22560 4670 COHEN & STEERS GLBL INCM CEFS 19248m103 276 26735 SH SOLE 17435 9300 COHEN & STEERS INFRASTRUCTURE CEFS 19248a109 213 11374 SH SOLE 10214 1160 DNP SELECT INCOME FUND CEFS 23325p104 330 34808 SH SOLE 23708 11100 EATON VANCE ENHANCE EQTY CEFS 278277108 125 12000 SH SOLE 6200 5800 EATON VANCE RISK MANAGED CEFS 27829g106 701 67200 SH SOLE 34400 32800 EATON VANCE TAX MANAGED CEFS 27828n102 517 55190 SH SOLE 25090 30100 EATON VANCE TAX MGD BUY CEFS 27828y108 365 29200 SH SOLE 17900 11300 EATON VANCE TAX MGD GLBL CEFS 27829c105 495 46316 SH SOLE 46216 100 FIRST TR ACTIVE DIV INCM CEFS 33731l100 107 14201 SH SOLE 14201 ING GLOBAL EQTY DIV PREM CEFS 45684e107 248 28550 SH SOLE 21650 6900 KAYNE ANDERSON ENERGY FD TOTAL CEFS 48660p104 265 10787 SH SOLE 6475 4312 LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 220 46189 SH SOLE 46189 NUVEEN DIVERSFD DIVID FD CEFS 6706ep105 476 41022 SH SOLE 30122 10900 NUVEEN EQUITY PREM OPPORTUNITY CEFS 6706em102 127 10500 SH SOLE 6200 4300 NUVEEN GLOBAL VALUE OPPORTUNIT CEFS 6706eh103 175 11770 SH SOLE 7550 4220 REAVES UTILITY INCOME FD CEFS 756158101 253 10610 SH SOLE 10610 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 13866 487547 SH SOLE 933 486614 WELLS FARGO ADV GLOBAL DIVIDEN CEFS 94987c103 308 40730 SH SOLE 33730 7000 WELLS FARGO ADV UTILS HIGH INC CEFS 94987e109 136 12179 SH SOLE 8879 3300 ISHARES TR S&P MUNI FUND S&P S ETF 464288158 718 6760 SH SOLE 6760 ISHARES TR S&P NATL AMTFREE ETF 464288414 760 6870 SH SOLE 6870 SPDR NUVEEN BARCLAY ETF MUNI M ETF 78464a458 209 8610 SH SOLE 8610 POWERSHARES EXCH TRAD FD BUILD TAXABLE MUNI ETF 73937b407 6994 231273 SH SOLE 196884 34389 ISHARES GOLD TRUST ETF 464285105 5160 316958 SH SOLE 296998 19960 SPDR GOLD TRUST SPDR GOLD SHAR ETF 78463V107 4227 26092 SH SOLE 22572 3520 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1323 80162 SH SOLE 21700 58462 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 573 42230 SH SOLE 42230 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 1299 64650 SH SOLE 24050 40600 EV TAX MAN GLB DIV EQTY CEFS 27829f108 285 32300 SH SOLE 9100 23200 GABELLI EQUITY TRUST INC CEFS 362397101 1654 296353 SH SOLE 47900 248453 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 672 92266 SH SOLE 53500 38766 REDWOOD TRUST INC REIT REIT CEF 758075402 182 10750 SH SOLE 10750 AMERICAN CAPITAL AGENCY REITS ETF 02503x105 2676 92609 SH SOLE 84900 7709 ANNALY CAPITAL MGMT REIT ETF 035710409 4484 319363 SH SOLE 319363 ANWORTH MTG ASSET CORP REIT ETF 037347101 953 164808 SH SOLE 164808 CAPSTEAD MORTGAGE CP NEW REIT ETF 14067e506 932 81250 SH SOLE 81250 CYS INVESTMENTS INC ETF 12673a108 1588 134450 SH SOLE 126350 8100 EXCEL TRUST INC REIT ETF 30068c109 272 21500 SH SOLE 21500 HATTERAS FINANCIAL CORP ETF 41902r103 1016 40960 SH SOLE 40960 HUDSON PAC PPTYS INC REIT ETF 42221n104 321 15225 SH SOLE 15225 LC-PACIFIC COAST CAPITALPARTNE ETF 92299r115 60 59514 SH SOLE 59514 LC-RIMROCK LP CLASSA BASED O ETF 922997861 193 190000 SH SOLE 190000 NEWCASTLE INVESTMENT CP REIT ETF 65105M108 100 11500 SH SOLE 11500 NORTHSTAR REALTY FIN CP REITS ETF 66704r100 234 33300 SH SOLE 33300 PARKWAY PROPERTIES INC REIT ETF 70159q104 226 16175 SH SOLE 16175 ISHARES FTSE NAREIT MTG PLUS C ETF 464288539 2003 146510 SH SOLE 116230 30280