-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Bkid3UhSwsBUa+Jf7+HKi0tRFr+t+WF0U4wJXEuUFozsTwFzvAHLWte4baOaN9pG 5iJxM7486ml2IKUJp3lPxg== 0001398344-10-000741.txt : 20100517 0001398344-10-000741.hdr.sgml : 20100517 20100514175117 ACCESSION NUMBER: 0001398344-10-000741 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100517 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Baker Avenue Asset Management, LP CENTRAL INDEX KEY: 0001432529 IRS NUMBER: 201735413 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13834 FILM NUMBER: 10835107 BUSINESS ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 BUSINESS PHONE: 415-986-1110 MAIL ADDRESS: STREET 1: 601 CALIFORNIA ST STREET 2: SUITE 750 CITY: SAN FRANCISCO STATE: CA ZIP: 94108 13F-HR/A 1 fp0001713_13fhra.txt 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, 2010 Check here if Amendment [X]; Amendment Number: 2 This Amendment (Check only one.): [X] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Baker Avenue Asset Management, LP Address: 601 California St, Suite 750 San Francisco, CA 94108 Form 13F File Number: 28-13834 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: Stacey Kruus Title: Chief Compliance Officer Phone: 202-275-0089 Signature, Place, and Date of Signing: /s/Stacey Kruus Mercer Island, WA 05-14-2010 --------------------- ----------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-______________ _______________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 405 Form 13F Information Table Value Total: $ 371,767 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the names(s) and Form 13F file numbers(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name ______ 28-______________________ ______________________________ [Repeat as necessary.]
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------- -------------- --------- -------- ------------------- ---------- -------- ----------------- VOTING AUTHORITY SHRS OR SH/ PUT/ INVESTMENT OTHER ----------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED OTHER - ------------------------------- -------------- --------- -------- ------- ---- ---- ---------- -------- ---- ------ ----- 3M COMPANY Common Stock 88579Y101 3 31 SH YES NONE N/A ABB LTD SPONSORED ADR Common Stock 00375204 5 212 SH YES NONE N/A ABBOTT LABORATORIES Common Stock 002824100 22 426 SH YES NONE N/A ABERCROMBIE & FITCH CO CL A Common Stock 02896207 2 36 SH YES NONE N/A ACTUATE CORPORATION Common Stock 00508B102 357 63,930 SH YES NONE N/A ADMINISTAFF INC Common Stock 007094105 358 16,775 SH YES NONE N/A ADOBE SYS INC Common Stock 00724F101 36 1,016 SH YES NONE N/A AES CORP Common Stock 00130H105 72 6,560 SH YES NONE N/A AES TR III 6.75% TR CONV PFD Common Stock 00808N202 23 500 SH YES NONE N/A AFLAC INC Common Stock 001055102 100 1,840 SH YES NONE N/A AGCO CORP NOTE 1.250%12/15/36 Common Stock 001084AM4 22 20,000 SH YES NONE N/A AGFEED INDS INC COM Common Stock 00846L101 9 2,000 SH YES NONE N/A AGNICO EAGLE MINES LTD Common Stock 008474108 22 400 SH YES NONE N/A AGRIUM INC Common Stock 008916108 1 19 SH YES NONE N/A AKAMAI TECH Common Stock 00971T100 2 61 SH YES NONE N/A ALCOA INC Common Stock 013817101 19 1,300 SH YES NONE N/A ALEXION PHARMA INC Common Stock 015351109 2 30 SH YES NONE N/A ALLERGAN INC Common Stock 018490102 27 415 SH YES NONE N/A ALLSTATE CORP Common Stock 020002101 97 3,000 SH YES NONE N/A ALPHA NAT RES INC Common Stock 02076X102 6,205 124,380 SH YES NONE N/A ALPINE GLOBAL PREMIER PROPERTIES FD Common Stock 02083A103 2 250 SH YES NONE N/A ALTAIR NANOTECHNOLOGIES INC Common Stock 021373105 20 28,000 SH YES NONE N/A ALTERA CORP Common Stock 021441100 8,722 358,934 SH YES NONE N/A ALTRIA GROUP INC Common Stock 02209S103 40 1,936 SH YES NONE N/A AMAZON.COM INC Common Stock 023135106 8 57 SH YES NONE N/A AMERICA MOVIL SERIES L ADR Common Stock 02364W105 20 400 SH YES NONE N/A AMERICAN CAPITAL STRATEGIES LTD Common Stock 02503Y103 305 60,079 SH YES NONE N/A AMERICAN EXPRESS CO Common Stock 25816109 49 1,185 SH YES NONE N/A AMERICAN TOWER CORP Common Stock 029912201 10 237 SH YES NONE N/A AMGEN INC Common Stock 031162100 111 1,847 SH YES NONE N/A AMPHENOL CORP CL A Common Stock 032095101 2 55 SH YES NONE N/A ANNALY MTG MGMT INC Common Stock 035710409 1 49 SH YES NONE N/A ANSYS INC Common Stock 03662Q105 2 45 SH YES NONE N/A APACHE CORP Common Stock 037411105 4 40 SH YES NONE N/A APPLE COMPUTER, INC. Common Stock 037833100 92 391 SH YES NONE N/A ARCH COAL INC Common Stock 039380100 0 18 SH YES NONE N/A ARCHER DANIELS MIDLAND Common Stock 039483102 2 53 SH YES NONE N/A AT&T INC COM Common Stock 00206R102 220 8,529 SH YES NONE N/A ATLAS AMERICA INC Common Stock 049298102 714 22,933 SH YES NONE N/A ATWOOD OCEANICS Common Stock 050095108 1 38 SH YES NONE N/A AVON PRODUCTS INC Common Stock 054303102 3 79 SH YES NONE N/A BAIDU COM INC SPON ADR RESTG ORD SHS CL Common Stock 056752108 20 33 SH YES NONE N/A BANCO SANTANDER BRA ADRF Common Stock 05967A107 8 614 SH YES NONE N/A BANK NEW YORK MELLON CORP COM Common Stock 64058100 87 2,816 SH YES NONE N/A BANK OF AMERICA CORP Common Stock 060505104 54 3,000 SH YES NONE N/A BARCLAYS BK PLC IPATH INDEX LKD SECSTO GSCI TOTAL RETURNINDEX MAT 6/12/36 Mutual Fund 06738C794 77 2,470 SH YES NONE N/A BARRICK GOLD CORP F Common Stock 067901108 84 2,190 SH YES NONE N/A BAXTER INTL INC Common Stock 071813109 8 133 SH YES NONE N/A BB&T CORP Common Stock 054937107 1 44 SH YES NONE N/A BE AEROSPACE INC Common Stock 073302101 6,691 220,385 SH YES NONE N/A BERKSHIRE HATHAWAY INC CL B Common Stock 084670702 254 3,130 SH YES NONE N/A BEST BUY INC Common Stock 086516101 13 310 SH YES NONE N/A BHP BILLITON LTD SPONSORED ADR Common Stock 05545E209 8 97 SH YES NONE N/A BHP BILLITON PLC SPON ADR Common Stock 05545E209 8 121 SH YES NONE N/A BLACKROCK INC Common Stock 09247x101 2 7 SH YES NONE N/A BLUE COAT SYSTEMS INC Common Stock 09534T508 2 51 SH YES NONE N/A BOEING CO Common Stock 097023105 13,284 182,955 SH YES NONE N/A BOSTON SCIENTIFIC CORP Common Stock 101137101 2 241 SH YES NONE N/A BOWNE & CO INC COM Common Stock 103043105 824 73,844 SH YES NONE N/A BRISTOL MYERS SQUIBB Common Stock 110122108 60 2,259 SH YES NONE N/A BROCADE COMMUNICATIONS SYSTEMS INC Common Stock 111621306 148 25,842 SH YES NONE N/A BUCYRUS INTL INC Common Stock 118759109 7,506 113,740 SH YES NONE N/A C H ROBINSON WORLDWIDE INC Common Stock 12541W209 8 142 SH YES NONE 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GROUP INC NEW COM Common Stock 125581108 5 122 SH YES NONE N/A CITIGROUP INC Common Stock 172967101 8 2,054 SH YES NONE N/A CITRIX SYSTEMS INC Common Stock 177376100 11,920 251,110 SH YES NONE N/A CLEVELAND CLIFFS INC Common Stock 18683K101 1 14 SH YES NONE N/A COACH INC Common Stock 189754104 43 1,088 SH YES NONE N/A COCA COLA CO Common Stock 191216100 121 2,200 SH YES NONE N/A COCA COLA ENTERPRISE Common Stock 191219104 1 29 SH YES NONE N/A COGNIZANT TECH SOLUTIONS CORP Common Stock 192446102 13,784 270,373 SH YES NONE N/A COINSTAR INC Common Stock 19259P300 374 11,522 SH YES NONE N/A COMCAST CORP CL A Common Stock 20030N101 1 73 SH YES NONE N/A COMERICA INC Common Stock 200340107 9,635 253,280 SH YES NONE N/A COMPANHIA VALE DO RIO DOCE SPONS ADR ISIN #US2044122099 SEDOL #2857334 Common Stock 91912E105 48 1,500 SH YES NONE N/A CONEXANT SYS INC COMNEW Common Stock 207142100 0 2 SH YES NONE N/A CONOCOPHILLIPS Common Stock 20825C104 39 763 SH YES NONE N/A COVIDIEN PLC F Common Stock G2554F105 2 32 SH YES NONE N/A CUMMINS INC Common Stock 231021106 2 32 SH YES NONE N/A CURRENCY SHARES JAPANESE Common Stock 23130A102 139 1,315 SH YES NONE N/A CURRENCYSHARES AUSTRALIAN DLR TR AUSTRALIAN DOLLAR Common Stock 23129U101 150 1,630 SH YES NONE N/A CURRENCYSHARESCDN DLR TR CDN DOLLARS SHS Common Stock 23129X105 241 2,455 SH YES NONE N/A CURRENCYSHARESS SWISS Common Stock 23129V109 227 2,410 SH YES NONE N/A CVS CAREMARK CORP Common Stock 126650100 16 15,000 SH YES NONE N/A CVS CORP Common Stock 126650100 0 0 SH YES NONE N/A DANAHER CORP Common Stock 235851AF9 5 4,000 SH YES NONE N/A DELTA AIR LINES INC DEL CMN Common Stock 247361702 4 272 SH YES NONE N/A DEVON ENERGY CORP Common Stock 25179M103 5 81 SH YES NONE N/A DOLBY LABORATORIES INC Common Stock 25659T107 2 31 SH YES NONE N/A DOMINION RESOURCES INC VA NEW Common Stock 25746U109 136 3,320 SH YES NONE N/A DOW CHEMICAL CO Common Stock 260543103 12,726 430,369 SH YES NONE N/A DRESS BARN INC Common Stock 261570105 6,009 229,835 SH YES NONE N/A DRYSHIPS INC ISIN #MHY2109Q1017 Common Stock Y2109Q101 87 14,820 SH YES NONE N/A DU PONT E I DE NEMOURS & CO Common Stock 263534109 153 4,100 SH YES NONE N/A DUKE ENERGY CORP Common Stock 26441C105 127 7,800 SH YES NONE N/A DXP ENTERPRISES INC NEW Common Stock 233377407 265 20,738 SH YES NONE N/A DYNEGY INC CMN CLASS A Common Stock 26817G102 64 50,430 SH YES NONE N/A E M C CORP MASS NOTE 1.750%12/01/13 Common Stock 268648AM4 25 20,000 SH YES NONE N/A EATON CORP Common Stock 278058102 2 28 SH YES NONE N/A EBAY INC Common Stock 278642103 2 88 SH YES NONE N/A EL PASO CORP COM Common Stock 28336L109 129 11,865 SH YES NONE N/A ELECTRONIC DATA SYS NEW Common Stock 285661AF1 9 10,000 SH YES NONE N/A ELECTRONICS ARTS Common Stock 285512109 524 28,068 SH YES NONE N/A EMC CORP Common Stock 268648AK8 8 7,000 SH YES NONE N/A EMERSON ELECTRIC CO Common Stock 291011104 147 2,917 SH YES NONE N/A ENBRIDGE ENERGY PARTNERS LP Common Stock 29250R106 40 800 SH YES NONE N/A ENERGY CONVERS 3%13 CVT BOND DUE 06/15/13 Common Stock 292659AA7 18 28,000 SH YES NONE N/A ENERGY CONVERSION DEVICES INC Common Stock 292659109 38 4,850 SH YES NONE N/A ENERGYSOLUTIONS INC ADR Common Stock 292756202 343 53,282 SH YES NONE N/A ENSCO INTL INC Common Stock 29358Q109 2 37 SH YES NONE N/A ENTERPRISE PRODS PARTNERS L P Common Stock 293792107 34 992 SH YES NONE N/A EOG RESOURCES INC Common Stock 26875P101 1 7 SH YES NONE N/A ETFS GOLD TRUST ETF Common Stock 26922Y105 315 2,835 SH YES NONE N/A EXIDE TECHNOLOGIES Common Stock 302051206 710 123,250 SH YES NONE N/A EXPEDIA INC CL A Common Stock 30212P105 1 60 SH YES NONE N/A EXPRESS SCRIPTS INC Common Stock 302182100 9,282 91,210 SH YES NONE N/A EXXON MOBIL CORP Common Stock 30231G102 4 61 SH YES NONE N/A EZCORP INC-CL A Common Stock 302301106 6,231 302,495 SH YES NONE N/A F5 NETWORKS INC Common Stock 315616102 9,027 146,473 SH YES NONE N/A FIFTH THIRD BANCORP Common Stock 316773100 9,791 722,050 SH YES NONE N/A FIRST SOLAR INC Common Stock 336433107 1 10 SH YES NONE N/A FIRST TR EXCHANGE TRADED FD AMEX BIOTECHNOLOGY INDEX Common Stock 33733E203 83 2,230 SH YES NONE N/A FLIR SYSTEMS INC Common Stock 302445101 48 1,700 SH YES NONE N/A FORD MOTOR COMPANY Common Stock 345370860 10,227 813,639 SH YES NONE N/A FPL GROUP INC Common Stock 302571104 28 570 SH YES NONE N/A FRANKLIN RES INC Common Stock 354613101 4 34 SH YES NONE N/A FREEPORT MCMORAN COPPER & GOLD INC Common Stock 35671D857 5 44 SH YES NONE N/A FRESENIUS KABI PHRM 10RT RIGHTS EXP 12/31/10 Common Stock 35802M115 0 1,000 SH YES NONE N/A GEN PROBE INCORPORATED NEW Common Stock 36866T103 2 31 SH YES NONE N/A GENERAL DYNAMICS Common Stock 369550108 118 1,532 SH YES NONE N/A GENERAL ELECTRIC CO Common Stock 369604103 188 10,307 SH YES NONE N/A GEOKINETICS INC NEW Common Stock 372910307 342 47,405 SH YES NONE N/A GOLDMAN SACHS GROUP INC Common Stock 38141G104 8 45 SH YES NONE N/A GOOGLE INC Common Stock 38259P508 9 16 SH YES NONE N/A GRAFTECH INTERNATIONAL Common Stock 384313102 2 118 SH YES NONE N/A GRUPO TELEVISA, S.A. GDS REP 20 CPO'S REP 1 L SHARE, 1 A SHARE AND 1 D SHAR Common Stock 40049J206 15 703 SH YES NONE N/A GUESS INC Common Stock 401617105 2 52 SH YES NONE N/A H&R BLOCK, INC Common Stock 093671105 36 2,000 SH YES NONE N/A HALLIBURTON CO Common Stock 406216101 5 154 SH YES NONE N/A HEALTH CARE REIT INC Common Stock 42217K106 384 8,500 SH YES NONE N/A HEINZ H J CO Common Stock 423074103 135 2,970 SH YES NONE N/A HERSHEY CO Common Stock 427866108 120 2,800 SH YES NONE N/A HERTZ GLOBAL HOLDINGS Common Stock 42805T105 2 217 SH YES NONE N/A HESS CORPORATION Common Stock 428094107 1 12 SH YES NONE N/A HEWLETT-PACKARD CO Common Stock 428236103 54 1,025 SH YES NONE N/A HOME DEPOT Common Stock 437076102 1 21 SH YES NONE N/A HONDA MOTORS LTD ADRNEW Common Stock 438128308 15 425 SH YES NONE N/A HOSPIRA INC COM Common Stock 441060100 2 28 SH YES NONE N/A HSN INC Common Stock 404303109 2 55 SH YES NONE N/A HUMANA INC Common Stock 444859102 53 1,130 SH YES NONE N/A HUNTSMAN CORP Common Stock 447011107 5,601 464,805 SH YES NONE N/A IBM Common Stock 459200101 118 922 SH YES NONE N/A IGATE CORP Common Stock 45169U105 703 72,275 SH YES NONE N/A IINTUITIVE SURGICAL NEW Common Stock 46120E602 3 9 SH YES NONE N/A ILLINOIS TOOL WORKS Common Stock 452308109 57 1,200 SH YES NONE N/A ILLUMINA INC Common Stock 452327109 2 39 SH YES NONE N/A IMMUCOR INC Common Stock 452526106 7 300 SH YES NONE N/A INFOSYS TECHNOLOGIES LTD SPONS ADR REPSTG 1/2 EQUITY SH Common Stock 456788108 9,590 163,070 SH YES NONE N/A INGERSOLL RAND CO LTD SHS A Common Stock G47791101 61 1,760 SH YES NONE N/A INTEL Common Stock 458140100 153 6,845 SH YES NONE N/A INTERCONTINENTALEXCHINTL Common Stock 45865V100 2 16 SH YES NONE N/A INTERPUBLIC GROUP COS INC DEL Common Stock 460690100 9,611 1,155,145 SH YES NONE N/A IPATH S&P 500 VIX S/T FU ETN Common Stock 06740C527 120 5,726 SH YES NONE N/A ISHARES BARCLAYS TIPS BOND Mutual Fund 464287176 6,706 64,539 SH YES NONE N/A IShares DJ US Health Care Providers Common Stock 464288828 2,139 40,995 SH YES NONE N/A ISHARES IBOXX $ INVEST GRADE CORP BOND Common Stock 464287242 9,707 91,776 SH YES NONE N/A ISHARES INC MCSI ISRISRAEL CAPPED INDEX FD Common Stock 464286632 2,176 36,970 SH YES NONE N/A ISHARES MSCI EAFE INDEX Mutual Fund 464287465 383 6,840 SH YES NONE N/A ISHARES MSCI EMERGING MKTS Mutual Fund 464287234 93 2,210 SH YES NONE N/A ISHARES S&P GLOBAL HEALTHCARE SECTOR INDEX Common Stock 464287325 14 267 SH YES NONE N/A ISHARES SILVER TR ISHARES Mutual Fund 46428Q109 33 1,950 SH YES NONE N/A ISHARES TR 1-3 YR TREAS INDEX FD Mutual Fund 464287457 1,462 17,542 SH YES NONE N/A ISHARES TR BARCLAYS CAPITAL 1-3 YR CR BD FD Common Stock 464288646 11,666 111,537 SH YES NONE N/A ISHARES TR DOW JONESSELECT DIVID INDEX Common Stock 464287168 282 6,130 SH YES NONE N/A ISHARES TR DOW JONESUS AEROSPACE & DEF Common Stock 464288760 2,380 41,142 SH YES NONE N/A ISHARES TR IBOXX HIGH YIELD CORP BD FD Mutual Fund 464288513 1,035 11,710 SH YES NONE N/A ISHARES TR LEHMAN INTER CR BD FD Common Stock 464288638 542 5,210 SH YES NONE N/A ISHARES TR LEHMAN SHORT TREA BDFD Common Stock 464288679 0 0 SH YES NONE N/A ISHARES TR NASDAQ BIOTECHNOLOGY INDEX Common Stock 464287556 27 300 SH YES NONE N/A ISHARES TR RUSSELL 1000 VALUE INDEX FD Mutual Fund 464287598 743 12,165 SH YES NONE N/A ISHARES TR RUSSELL 2000 INDEX FD Mutual Fund 464287655 26 380 SH YES NONE N/A ISHARES TR RUSSELL 2000 VALUE Mutual Fund 464287630 1,638 25,651 SH YES NONE N/A ISHARES TR S&P NATL MUN BD FD Mutual Fund 464288414 274 2,650 SH YES NONE N/A ISHARES TR S&P U S PFD STK INDEX FD Common Stock 464288687 479 12,370 SH YES NONE N/A ISHARES TR S&P/TOPIX 150 INDEX FD Common Stock 464287382 5 100 SH YES NONE N/A ISHARES TRUST BARCLAYS AGGREGATE BOND FUND Common Stock 464287226 3,301 31,675 SH YES NONE N/A ISHARES TRUST DOW JONES US REAL ESTATE INDEX FUND Mutual Fund 464287739 2,345 47,110 SH YES NONE N/A ITC HLDGS CORP Common Stock 465685105 3 57 SH YES NONE N/A J. CREW GROUP INC Common Stock 46612H402 1 25 SH YES NONE N/A JA SOLAR HOLDINGS CO LTD 4.50000% 05/15/2013JA SOLAR HOLDINGS CO LTD Common Stock 466090AA5 22 27,000 SH YES NONE N/A JABIL CIRCUIT INC Common Stock 466313103 9,525 588,342 SH YES NONE N/A JAMBA INC COM Common Stock 47023A101 1 500 SH YES NONE N/A JHANCOCK TAX-ADV DIVIDEND INCOME Common Stock 41013V100 7 500 SH YES NONE N/A JOHN HANCOCK PREFERRED INCOME FUND III Common Stock 41021P103 6 400 SH YES NONE N/A JOHNSON & JOHNSON Common Stock 478160104 420 6,442 SH YES NONE N/A JP MORGAN CHASE & CO Common Stock 46625H100 54 1,198 SH YES NONE N/A JP MORGAN EXCH TRAD NOTE ALERIAN MLP Common Stock 46625H365 946 30,995 SH YES NONE N/A JUNIPER NETWORKS INC Common Stock 48203R104 2 74 SH YES NONE N/A KBW REGIONAL BANKINGETF Common Stock 78464A698 2,403 91,656 SH YES NONE N/A KEYCORP NEW Common Stock 493267108 86 11,144 SH YES NONE N/A KINDER MORGAN ENERGY PTNRS LP Common Stock 494550106 38 583 SH YES NONE N/A KINDER MORGAN MGMT LLC Common Stock 49455U100 0 3 SH YES NONE N/A KOHLS CORP Common Stock 500255104 31 574 SH YES NONE N/A KRAFT FOODS INC CL A Common Stock 50075N104 31 1,020 SH YES NONE N/A KROGER CO Common Stock 501044101 3 132 SH YES NONE N/A L-3 COMMUNICATIONS CORP DEBT 3.000% 8/01/35 Common Stock 502413AW7 6 6,000 SH YES NONE N/A LECG CORP Common Stock 523234102 354 118,660 SH YES NONE N/A LENNAR CORP Common Stock 526057104 5,928 344,445 SH YES NONE N/A LIHUA INTERNATIONAL INC Common Stock 532352101 383 41,672 SH YES NONE N/A LILLY ELI & CO Common Stock 532457108 101 2,800 SH YES NONE N/A LINCOLN NATIONAL CORP IND Common Stock 534187109 11,802 384,423 SH YES NONE N/A LINEAR TECHNOLOGY CORP Common Stock 535678106 2 55 SH YES NONE N/A LONGTOP FINL TECHNOLOGIES Common Stock 54318P108 1 43 SH YES NONE N/A LULULEMON ATHLETICA INC Common Stock 550021109 2 49 SH YES NONE N/A M & T BANK CORPORATION Common Stock 55261F104 2 19 SH YES NONE N/A MAGELLAN MIDSTREAM PARTNERS LP Common Stock 559080106 53 1,106 SH YES NONE N/A MARATHON OIL CORP Common Stock 565849106 1 32 SH YES NONE N/A MARKET VECTORS ETF TR COAL ETF Common Stock 57060U837 2,340 62,050 SH YES NONE N/A MARKET VECTORS ETF TR INDONESIA ETF Common Stock 57060U753 2,256 32,310 SH YES NONE N/A MARKET VECTORS ETF TR JR GOLD MINES ETF Common Stock 57060U589 87 3,400 SH YES NONE N/A MARKET VECTORS ETF TR RUSSIA ETF Common Stock 57060U506 2,237 65,130 SH YES NONE N/A MARKET VECTORS ETF TR STEEL ETF Common Stock 57060U308 2,174 31,810 SH YES NONE N/A MARRIOTT INTL INC Common Stock 571903202 1 47 SH YES NONE N/A MARSHALL & ILSLEY CORP Common Stock 571837103 111 13,770 SH YES NONE N/A MARSHALL EDWARDS INC Common Stock 572322303 1 100 SH YES NONE N/A MARVELL TECHNOLOGY GROUP LTD Common Stock G5876H105 3 141 SH YES NONE N/A MASSEY ENERGY CO SR NT CONV Common Stock 576203AJ2 12 12,000 SH YES NONE N/A MASTERCARD INC Common Stock 57636Q104 16 63 SH YES NONE N/A MCDERMOTT INTL INC ISIN #PA5800371096 Common Stock 580037109 2 63 SH YES NONE N/A MEAD JOHNSON 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