13F-HR/A filed by Carroll Financial Associates, Inc.
Carroll Financial Associates, Inc. filed this 13F-HR/A for the quarter ended 2013-06-30, filed 2013-08-13, with 814 holding rows worth $204,058,000 by the sum of the rows.
- Accession
- 0000909012-13-000321
- Filer
- CIK 1567784
- Filed
- 2013-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, amendment of type restatement, 814 entries on the cover page, a total value of $204,390,000,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $204,058,000 with VALUE read as thousands by filing date, 13F file number 028-15116. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $204,390,000,000, about 1,000 times the sum of the rows, $204,058,000. The filer likely wrote its cover total in dollars and its rows in thousands. This page uses the sum of the rows.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CENTERPOINT ENERGY INC CONV PFD TAXBL | 15189T206 | EQUITY | 120 | $5,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 460 | $5,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 1,680 | $5,000 | thousands by filing date | |
| MICROS SYS INC | 594901100 | COM | 118 | $5,000 | thousands by filing date | |
| RSTK CBEYOND COMMUNICATIONS INC | 149847907 | COMMON EQUITY | 724 | $5,000 | thousands by filing date | |
| WAL MART DE MEXICO SA DE CV SHS SER V ISIN | P98180105 | COMMON EQUITY | 2,000 | $5,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 7 | $4,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 60 | $4,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 73 | $4,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 128 | $4,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 85 | $4,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 161 | $4,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 490 | $4,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 81 | $4,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 200 | $4,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 300 | $4,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 333 | $4,000 | thousands by filing date | |
| HOSPIRA INC | 441060100 | COM | 120 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 305 | $4,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 300 | $4,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 265 | $4,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 45 | $3,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 46 | $3,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 94 | $3,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 44 | $3,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 150 | $3,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 43 | $3,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 77 | $3,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 50 | $3,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 100 | $3,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 217 | $3,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 200 | $3,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 8 | $3,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 3,500 | $3,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 195 | $3,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 44 | $2,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 67 | $2,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 57 | $2,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 100 | $2,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 34 | $2,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 112 | $2,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 135 | $2,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 166 | $2,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 46 | $2,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 50 | $2,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 70 | $2,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 20 | $2,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 41 | $2,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 38 | $2,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 31 | $2,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 45 | $2,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 33 | $2,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 147 | $2,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 162 | $2,000 | thousands by filing date | |
| SEVEN AND I HOLDINGS UNSPN ADR | 81783H105 | COM | 29 | $2,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 61 | $2,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 35 | $2,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 610 | $2,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 1,023 | $2,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 60 | $2,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 32 | $2,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 136 | $2,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 112 | $2,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 200 | $2,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 2,535 | $2,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 200 | $1,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 26 | $1,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 100 | $1,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 327 | $1,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 20 | $1,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 600 | $1,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 40 | $1,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 48 | $1,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 24 | $1,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 101 | $1,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 75 | $1,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 17 | $1,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 40 | $1,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 37 | $1,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 20 | $1,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 30 | $1,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 118 | $1,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 509 | $1,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 92 | $1,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 22 | $1,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 21 | $1,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 37 | $1,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 245 | $1,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 16 | $1,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 27 | $1,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 8 | $1,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 70 | $1,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452202 | COM SH BEN INT | 88 | $1,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 35 | $1,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 28 | $1,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 600 | $1,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 600 | $1,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 200 | $1,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 110 | $1,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 26 | $1,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 125 | $1,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 223 | $1,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 83 | $1,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 122 | $1,000 | thousands by filing date | |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 300 | $1,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 100 | $1,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 94 | $1,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 500 | $1,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD III | 09255M104 | COM | 200 | $1,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN PFD DIV 5.5% CALLABL | 313586828 | PREFERRED EQUITY | 200 | $1,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 932 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares Global Tech ETF | 464287291 | SHS | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 530,926 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 31,310 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 222 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares U.S. Technology ETF | 464287721 | SHS | 1,694 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Schwab US REIT ETF | 808524847 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,758 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Energy ETF | 92204A306 | SHS | 97 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Extended Market ETF | 922908652 | SHS | 377 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 334 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| iShares S&P 500 Value ETF | 464287408 | SHS | 620 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 333 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN TR CORP COM | 665859104 | Stock | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MACYS INC COM | 55616P104 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROBERT HALF INC. COM | 770323103 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MURPHY OIL CORP COM | 626717102 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RADIAN GROUP INC COM | 750236101 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 1,015 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 170 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 13,830 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 195 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 20,360 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 335 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 259 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NCR VOYIX CORPORATION | 62886E108 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TUTOR PERINI CORP | 901109108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 2,555 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL GOLD INC | 780287108 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIMPSON MFG INC | 829073105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUG PWR INC | 72919P202 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HERBALIFE LTD | G4412G101 | COM SHS | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464287713 | US TELECOM ETF | 275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 450 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 4,320 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464287846 | DOW JONES US ETF | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 1,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 139 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CANNABIS SCIENCE INC XXX | 137648101 | COM | 3,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 210 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 1,220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Wells Fargo & Co Pfd | 949746887 | Preferred Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 1/100000 Wells Fargo Pfd (NV) | KEK746889 | Preferred Stock | 110,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 342 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANTAX INC | 095229100 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 1,980 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 276,380 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT COAL CORP | 70336T104 | COMMON STOCK | 230 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYCAMORE NETWORKS, INC | 871206405 | COMMON STOCK | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIRST HORIZON NAT'L FRACTIONAL | DCA517101 | COMMON STOCK | 1,031,254 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR CORP | 001765106 | COMMON STOCK | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTEL NETWORKS CORP | 656568508 | COMMON STOCK | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS GROUP INC PFD 1/ | 38144X609 | PREFERR | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MORGAN STANLEY PFD A 1/1000 | 61747S504 | PREFERR | 71,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 170,411 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 51,580 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INFORMATION ARCHITECTS CORP COM PAR $0 001 NEW APRIL 2011 | 45669R701 | COMMON STOCK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK OF AMERICA CORPORATION PFD 1/1200SER2 NON-CUMULATIVE 3 | 060505625 | Preferred Stock | 11,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FEDERAL HOME LN MTG CORP PFD 8.375 NCM | 313400624 | Preferred | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHS INC. 8 PFD 8 PFDPFD | 12542R209 | PREFERRED STOCK | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENDINGTREE INC NEW | 894675107 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 199 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 48 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FINISAR CORP | 31787A507 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FELCOR LODGING TR INC | 31430F101 | COM | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCOA INC | 013817101 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 17,850 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 107 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 61,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENNEY J C INC | 708160106 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HSN INC | 404303109 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EARTHLINK INC | 270321102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELAN PLC | 284131208 | ADR | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ULTRATECH INC | 904034105 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 640 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 107 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRSTMERIT CORP | 337915102 | COM | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RF MICRODEVICES INC | 749941100 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARKET VECTORS ETF TR | 57060U589 | JR GOLD MINERS E | 390 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYTEC INDS INC | 232820100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERVALU INC | 868536103 | COM | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 2,080 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN MANAGMENT,LLC | EKE55U103 | COM | 426,565 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FINISH LINE/THE CL A | 317923100 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AOL INC | 00184X105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 64,550 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 2,775 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 108 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 29,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEC INC | 784774101 | COM | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 25,800 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WEBMD HEALTH CORP | 94770V102 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FNB UNITED CORP | 302519202 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHOTOMEDEX INC | 719358301 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZWEIG FUND INC. | 989834205 | COM | 3,750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 2,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 5,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BB&T CORPORATION 5.20% SER G NON-CUM PFD | 054937800 | PFD | 2,010 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HYDROGENICS CORPORATION NEW | 448883207 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Eastman Kodak Co | 277461109 | COM | 291 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Wells Fargo Pfd | 949746747 | PFD | 1,920 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERRILL LYNCH 6.45% | 590199204 | PRF | 1,300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIG Fractional CUSIP | ACG874152 | Com | 802,123 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HATTERAS FINL 7.62% PFD | 41902R400 | ps | 6,820 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 693 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREMED INC | 29382F202 | COM | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW ENERGY SYS GROUP | 643847106 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Beacon Power Corp New | 073677205 | COM | 1,410 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 1,365 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JPMORGAN CHASE 5.5% PFD | 48126E750 | PRD | 2,230 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR CORP PINES 7.875% | 001765866 | PRF | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERRILL LYNCH CAPITAL | 59024T203 | PRF | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROGRESS ENERGY INC-CVO | 743263AA3 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DWS RREEF REAL EST XXX | 233ESC987 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK OF THE CAROLINAS | 06425j102 | COMMON EQUITY | 691 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IFS INTL | 449515303 | COMMON EQUITY | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERVISUAL BOOKS INC | 460918105 | COMMON EQUITY | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PAPERFREE MED SOLUTION COM | 698830106 | COMMON EQUITY | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SKYBRIDGE TECH GRP INC COM NEW | 83082v504 | COMMON EQUITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TSB FINL CORP COM | 872805106 | COMMON EQUITY | 665 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAMIJA GOLD & DIAMOND COM | 87509p107 | COMMON EQUITY | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELYNX INC CL A PAR 0.01 | 87972e308 | COMMON EQUITY | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YARC SYS INC | 984859108 | COMMON EQUITY | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STONE RESURCES LTD SHS | G85128109 | COMMON EQUITY | 167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROS HLDGS D CAP TR IV PFD SER L 1 | 52520b206 | PREFERRED EQUITY | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT SCIENTIFIC CORP | 70336n107 | COMMON EQUITY | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EACO CORP | 26824a205 | COMMON EQUITY | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERLEUKIN GENETICS COM | 458738101 | COMMON EQUITY | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONNECTICUT LIGHT & POWER CO PFD | 207597832 | PREFERRED EQUITY | 179 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PULTE GROUP 7.375% | 745867200 | PREFERRED EQUITY | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANDARD HLDGS GROUP | 853471100 | COMMON EQUITY | 6,374 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVAX TECHNOLOGIES INC COM | 053495305 | COMMON EQUITY | 750 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZEGARELLI GROUP INTL COM | 989270103 | COMMON EQUITY | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNTHEMED INC COM | 70319a106 | COMMON EQUITY | 167 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGITAL ANGEL CORP NEW | 25383a200 | COMMON EQUITY | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UPS CALL JULY @90 | ups130720 | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| QCOM @72.50 JULY 2013 | 99qaco0ej | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| RIO @62.50 JULY 2013 | 99qacl405 | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| INNKEEPERS USA TR 8% PFD SER C CALLABLE 1/ | 4576j0401 | PREFERRED EQUITY | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BK @30 JAN 2014 | 99qabluvt | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| MSFT CALL OCT @36 | msft13101 | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| DOW @36 SEP 2013 | dow130921 | OPTIONS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ADAL GROUP INC | 005473103 | COMMON EQUITY | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLULAR PRODUCTS | 151164100 | COMMON EQUITY | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CETEK TECHNOLOGIES INC NEW | 157193202 | COMMON EQUITY | 326 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENVITT CAP GROUP INC COM | 29413n109 | COMMON EQUITY | 151 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEALTHNOSTICS INC COM PAR | 422250308 | COMMON EQUITY | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RSTK HEALTHNOSTICS INC COM | 422250894 | COMMON EQUITY | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IBSG INTL INC COM NEW | 449236207 | COMMON EQUITY | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000909012-13-000306 | superseded | 2013-08-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000909012-13-000321 | this filing | 2013-08-13 | acceptance time not in the bulk data set |