13F-HR filed by Carroll Financial Associates, Inc.
Carroll Financial Associates, Inc. filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 936 holding rows worth $265,284,000.
- Accession
- 0000909012-13-000435
- Filer
- CIK 1567784
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 936 entries on the cover page, a total value of $265,284,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $265,284,000 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 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 |
|---|---|---|---|---|---|---|
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 573,968 | $19,074,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 183,425 | $13,846,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 154,954 | $13,332,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 119,889 | $10,393,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 505,079 | $9,450,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 208,533 | $9,300,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 258,919 | $8,616,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 69,617 | $7,902,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 14,174 | $6,757,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 39,941 | $6,710,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 277,571 | $6,631,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 161,378 | $5,523,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 106,015 | $5,479,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 132,296 | $5,080,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 53,489 | $3,723,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 116,662 | $3,351,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 77,863 | $3,232,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 48,276 | $3,223,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 161,470 | $2,830,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 431,640 | $2,766,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 51,010 | $2,748,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 53,556 | $2,549,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 74,026 | $2,498,000 | thousands by filing date | |
| BANK OF AMERICA PFD CLASS E FLOATING | 060505815 | PREFERRED EQUITY | 112,607 | $2,321,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 57,450 | $2,230,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 252,131 | $2,213,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 30,498 | $2,207,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 28,188 | $2,130,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 189,600 | $1,950,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 64,585 | $1,949,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 79,881 | $1,871,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 22,646 | $1,718,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 14,282 | $1,705,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 50,852 | $1,682,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 34,199 | $1,676,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 129,500 | $1,599,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 79,525 | $1,589,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 12,954 | $1,573,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 9,127 | $1,541,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 48,244 | $1,535,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 36,508 | $1,508,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 21,969 | $1,478,000 | thousands by filing date | |
| MORGAN STANLEY PFD A 1/1000 | 61747S504 | PREFERR | 74,000 | $1,444,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 17,690 | $1,406,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 73,033 | $1,362,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 13,429 | $1,292,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 68,700 | $1,273,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 13,801 | $1,260,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 37,324 | $1,227,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,574 | $1,217,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 16,842 | $1,170,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 33,558 | $1,134,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 10,327 | $1,113,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 74,946 | $1,034,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 15,976 | $1,025,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 28,150 | $1,023,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 11,671 | $1,010,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,465 | $978,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 24,859 | $941,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 19,299 | $941,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 24,060 | $936,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 23,985 | $921,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 18,634 | $914,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 20,904 | $860,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 14,430 | $847,000 | thousands by filing date | |
| UNION FIRST MKT BANKSH CP | 90662P104 | COM | 34,011 | $794,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 29,738 | $794,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 29,800 | $790,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 8,157 | $690,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 8,850 | $617,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 5,824 | $607,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 8,674 | $569,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 9,169 | $559,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 7,295 | $553,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 30,700 | $547,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 11,618 | $542,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 11,134 | $515,000 | thousands by filing date | |
| IJH | 464287507 | COM | 4,155 | $515,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 12,074 | $506,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 46,000 | $497,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 8,314 | $486,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 6,428 | $475,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 10,170 | $468,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,247 | $467,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 40,610 | $467,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 7,656 | $466,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 14,377 | $460,000 | thousands by filing date | |
| VTI | 922908769 | COM | 4,942 | $433,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 41,800 | $431,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 6,946 | $430,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 12,157 | $417,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90269A302 | ETRACS MTH2XRE | 21,050 | $417,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 7,116 | $411,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 14,200 | $397,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,512 | $393,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 3,914 | $391,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,177 | $373,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 11,162 | $370,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 14,134 | $367,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 15,983 | $366,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 7,519 | $365,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 4,599 | $355,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 4,527 | $349,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 4,376 | $349,000 | thousands by filing date | |
| HATTERAS FINL 7.62% PFD | 41902R400 | ps | 15,220 | $347,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 25,966 | $346,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 5,474 | $342,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 5,097 | $338,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 5,100 | $332,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 18,900 | $327,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 5,603 | $317,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,576 | $313,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,628 | $311,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 9,921 | $311,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,500 | $295,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 9,423 | $293,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 10,339 | $290,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 8,953 | $290,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 4,155 | $286,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,194 | $282,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 6,785 | $281,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 2,331 | $280,000 | thousands by filing date | |
| UBS AG JERSEY BRANCH | 902664200 | 2XMN ALR MLP INF | 5,200 | $279,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 4,290 | $277,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 3,521 | $261,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 13,497 | $243,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 6,400 | $243,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,181 | $240,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 4,170 | $238,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 6,100 | $237,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 7,590 | $236,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 4,400 | $233,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 9,245 | $226,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 1,441 | $223,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 2,802 | $221,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 5,000 | $215,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION PFD 1/1200SER2 NON-CUMULATIVE 3 | 060505625 | Preferred Stock | 11,900 | $215,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 5,314 | $213,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 3,000 | $213,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,756 | $211,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 3,364 | $207,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 6,875 | $203,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 14,825 | $202,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 2,700 | $196,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 2,394 | $188,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 4,500 | $187,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 5,118 | $182,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 3,000 | $178,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 1,758 | $173,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,751 | $172,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 5,426 | $170,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,077 | $170,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 1,900 | $170,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 6,000 | $166,000 | thousands by filing date | |
| PREMIER COMMERCIAL BANK | 74046a108 | COMMON EQUITY | 20,000 | $160,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 2,440 | $156,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 9,154 | $154,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 923 | $154,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 1,885 | $152,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 1,480 | $152,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,942 | $148,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 1,602 | $148,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 4,038 | $148,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,588 | $142,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 681 | $142,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 1,525 | $141,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 1,929 | $139,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 7,022 | $139,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 1,696 | $138,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 1,777 | $138,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 5,000 | $137,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 3,632 | $137,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 2,555 | $137,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 2,811 | $136,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 3,766 | $135,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 5,300 | $132,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 2,000 | $131,000 | thousands by filing date | |
| 38259p508 | COM | 150 | $131,000 | thousands by filing date | ||
| BANK OF COMMERCE/CHARLOTTE | 061590105 | COMMON | 41,225 | $130,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,300 | $128,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 4,320 | $128,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,000 | $127,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 3,500 | $125,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 1,200 | $117,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 2,000 | $117,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,391 | $116,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 3,200 | $116,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 4,521 | $115,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,460 | $112,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 2,234 | $112,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 2,467 | $111,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,555 | $111,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 4,400 | $109,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 8,000 | $108,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,401 | $107,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 2,307 | $107,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 3,491 | $107,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,460 | $105,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 3,100 | $103,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 1,305 | $102,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 3,930 | $101,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 5,000 | $101,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 4,500 | $101,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 1,530 | $100,000 | thousands by filing date | |
| PULTE GROUP 7.375% | 745867200 | PREFERRED EQUITY | 4,000 | $99,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 10,597 | $98,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 1,885 | $98,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 846 | $97,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,207 | $96,000 | thousands by filing date | |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 2,550 | $96,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 4,500 | $95,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 744 | $95,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,123 | $93,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 7,150 | $93,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,300 | $93,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 1,834 | $92,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 1,052 | $90,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 1,219 | $88,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 1,700 | $88,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 6,946 | $85,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 4,800 | $84,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 653 | $83,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 998 | $82,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 2,300 | $82,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 1,133 | $81,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 5,300 | $81,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 1,676 | $80,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 1,800 | $80,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 1,162 | $79,000 | thousands by filing date | |
| ING GROEP NV | 456837806 | PREFERRED STOCK | 3,125 | $79,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 924 | $77,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 2,763 | $77,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 982 | $76,000 | thousands by filing date | |
| FIRST FINANCIAL HOLDINGS INC | 32023E105 | COM | 1,381 | $76,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 825 | $75,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 469 | $74,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 820 | $73,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 400 | $72,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 2,361 | $71,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,484 | $71,000 | thousands by filing date | |
| Capstone Bank Equity Certifica | 14069C102 | CS | 6,572 | $71,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 1,737 | $70,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 669 | $69,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 838 | $68,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 1,800 | $68,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 2,500 | $68,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 3,871 | $67,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 1,379 | $66,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 3,000 | $66,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,771 | $64,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 1,220 | $64,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 1,980 | $64,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 600 | $62,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 4,270 | $62,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,500 | $61,000 | thousands by filing date | |
| INDEPENDENCE BANCSHARES INC | 45338e107 | COMMON EQUITY | 35,000 | $61,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 2,775 | $60,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 600 | $59,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 554 | $59,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 316 | $59,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 1,929 | $59,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 1,326 | $57,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 937 | $57,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 670 | $57,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 2,300 | $57,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 5,162 | $56,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 730 | $56,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 1,113 | $56,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 1,803 | $56,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 1,080 | $55,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 1,220 | $55,000 | thousands by filing date | |
| BAC CAPITAL TRUST VIII | 05518T209 | PRF | 2,200 | $54,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 1,200 | $53,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R102 | ASIA 50 ADR | 1,850 | $53,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,044 | $52,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 495 | $52,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 687 | $52,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 800 | $52,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 1,200 | $52,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 1,450 | $52,000 | thousands by filing date | |
| WACHOVIA FND 7.25% $1.8125 PFD | 92977V206 | PREFERRED | 2,000 | $52,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 960 | $51,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 1,838 | $50,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 1,800 | $50,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 341 | $50,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 3,750 | $50,000 | thousands by filing date | |
| OLDTOWN BANK CL B | 680540200 | COMMON EQUITY | 10,000 | $50,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 865 | $49,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 2,700 | $49,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 1,211 | $48,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 620 | $48,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 200 | $48,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 1,111 | $48,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 1,900 | $48,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 932 | $47,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 520 | $47,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 450 | $47,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 1,633 | $47,000 | thousands by filing date | |
| JPMORGAN CHASE 5.5% PFD | 48126E750 | PRD | 2,230 | $47,000 | thousands by filing date | |
| CNB CORP CDT COM ISSUE INACTIVE | 12612r105 | COMMON EQUITY | 1,080 | $47,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 560 | $45,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 3,110 | $45,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 50 | $45,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 650 | $45,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 600 | $44,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 1,500 | $44,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 288 | $43,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 3,500 | $43,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 942 | $42,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,021 | $42,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 3,710 | $42,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 1,204 | $42,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 953 | $42,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 580 | $42,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 633 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 650 | $41,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 169 | $40,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 805 | $40,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 900 | $40,000 | thousands by filing date | |
| Wells Fargo Pfd | 949746747 | PFD | 1,920 | $40,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 666 | $39,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 310 | $39,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 2,262 | $39,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 353 | $39,000 | thousands by filing date | |
| BB&T CORPORATION 5.20% SER G NON-CUM PFD | 054937800 | PFD | 2,010 | $39,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 680 | $38,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 700 | $38,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 2,146 | $38,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 4,000 | $38,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 554 | $37,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 3,176 | $36,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 4,434 | $36,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 716 | $36,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 3,849 | $36,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 653 | $36,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 535 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,403 | $35,000 | thousands by filing date | |
| CAREFUSION CORP | 14170T101 | COM | 959 | $35,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,450 | $35,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 1,717 | $35,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 2,172 | $35,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 750 | $35,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 1,500 | $35,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 334 | $34,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 2,000 | $34,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 519 | $33,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 622 | $32,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 1,531 | $32,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 1,600 | $32,000 | thousands by filing date | |
| VIRGINIA HERITAGE | 927819102 | COM | 2,000 | $32,000 | thousands by filing date | |
| CITIGROUP CAPITAL IX | 173066200 | PRD | 1,300 | $32,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 942 | $31,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 585 | $31,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 664 | $31,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 100 | $31,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 616 | $31,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 425 | $31,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 510 | $31,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 542 | $31,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 585 | $31,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 527 | $31,000 | thousands by filing date | |
| MERRILL LYNCH 6.45% | 590199204 | PRF | 1,300 | $31,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 1,500 | $31,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 361 | $30,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 514 | $30,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 3,780 | $30,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 1,500 | $30,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 1,392 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 1,365 | $30,000 | thousands by filing date | |
| SHANGHAI ERFANGJI LTD SPONSORED ADR | 819423104 | COMMON EQUITY | 5,500 | $30,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 150 | $29,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 500 | $29,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 375 | $29,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 456 | $29,000 | thousands by filing date | |
| PROTECTIVE LIFE CORP | 743674103 | COM | 704 | $29,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 409 | $28,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 410 | $28,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 380 | $28,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC PFD 1/ | 38144X609 | PREFERR | 1,400 | $28,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 432 | $27,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 423 | $27,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 1,150 | $27,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 3,000 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 649 | $26,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 286 | $26,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 242 | $26,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 467 | $26,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 800 | $26,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,197 | $25,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 323 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 183 | $25,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 455 | $25,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,816 | $25,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 590 | $25,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,500 | $25,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 1,000 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 600 | $24,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 300 | $24,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 704 | $24,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 3,000 | $24,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 105 | $23,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 385 | $23,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 2,150 | $23,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 975 | $23,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 300 | $22,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 310 | $22,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 200 | $22,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 111 | $22,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 579 | $22,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 600 | $22,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 1,187 | $22,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 550 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 335 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 207 | $21,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 900 | $21,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 839 | $21,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,829 | $21,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,520 | $21,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 1,200 | $21,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 800 | $21,000 | thousands by filing date | |
| CAROLINA TR BK LINCOLNTON NC | 144200102 | COM | 7,500 | $21,000 | thousands by filing date | |
| RBS CAP FDG TR V GTD TR PFD SECS 5.90% | 74928K208 | PREFERRED EQUITY | 1,000 | $21,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 200 | $20,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 2,766 | $20,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 815 | $20,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 318 | $20,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 400 | $20,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 2,800 | $20,000 | thousands by filing date | |
| LUCENT TECHNOLOGIES CAPITAL TR | 549462307 | CONV PRF | 20 | $20,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 222 | $19,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 200 | $19,000 | thousands by filing date | |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 400 | $19,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 182 | $19,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 3,159 | $19,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 313 | $19,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 50 | $18,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 200 | $18,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 484 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 220 | $18,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 700 | $18,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 351 | $18,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 1,466 | $18,000 | thousands by filing date | |
| ING GROEP | n4578e413 | COMMON EQUITY | 1,668 | $18,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 230 | $17,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 400 | $17,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 195 | $17,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 493 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 236 | $17,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 113 | $17,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 277 | $17,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 203 | $16,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 200 | $16,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 3,439 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 450 | $16,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 98 | $16,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 500 | $16,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 400 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 335 | $16,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 200 | $16,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 600 | $16,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 568 | $16,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 268 | $15,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 1,000 | $15,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 843 | $15,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 200 | $15,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,000 | $15,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 3,778 | $15,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 140 | $15,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M104 | INT COM SER A | 673 | $15,000 | thousands by filing date | |
| HARRIS TEETER SUPERMARKETS I | 414585109 | COM | 317 | $15,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 600 | $15,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 203 | $14,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 160 | $14,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 100 | $14,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 300 | $14,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 655 | $14,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 598 | $14,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 800 | $14,000 | thousands by filing date | |
| Merrill Lynch PFD Cap TR Iiitoprs 7% | 59021F206 | Pfd Stk | 600 | $14,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 129 | $13,000 | thousands by filing date | |
| GANNETT INC | 364730101 | COM | 500 | $13,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 158 | $13,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 500 | $13,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 150 | $13,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 311 | $13,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 500 | $13,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 310 | $13,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 200 | $12,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 198 | $12,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 108 | $12,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 250 | $12,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 136 | $12,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 250 | $12,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 324 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 165 | $12,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 775 | $12,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 165 | $12,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 522 | $12,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 162 | $12,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 260 | $12,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000909012-13-000435 | this filing | 2013-11-14 | acceptance time not in the bulk data set |