13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 5,979 holding rows worth $152,439,593,000.
- Accession
- 0000950123-13-009529
- Filer
- CIK 820027
- 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 combination report, 8,892 entries on the cover page, a total value of $152,439,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $152,439,593,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAmeriprise Financial, Inc. 028-00139
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Company 028-01045
- reports for this filerAmeriprise Certificate Company 028-00140
- reports for this filerRiverSource Life Insurance Company 028-00143
- reports for this filerRiverSource Life Insurance Company of New York 028-01046
- reports for this filerThreadneedle Asset Management Limited 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerAmeriprise Financial, Inc. 028-00139
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Company 028-01045
- included managerAmeriprise Certificate Company 028-00140
- included managerRiverSource Life Insurance Company 028-00143
- included managerRiverSource Life Insurance Company of New York 028-01046
- included managerThreadneedle Asset Management Limited 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 6,688 | $93,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 5,153 | $92,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,170 | $92,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 2,180 | $92,000 | thousands by filing date | |
| AEON COMPANY LTD- UNSPON ADR | 007627102 | COM | 6,659 | $92,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 4,379 | $92,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06741L609 | IPATH DYNM VIX | 2,364 | $92,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $92,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 3,014 | $91,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,375 | $91,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 1,825 | $91,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,243 | $91,000 | thousands by filing date | |
| Weingarten Realty 8.1% Notes (c091514) | 948741848 | com | 4,295 | $91,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 4,803 | $90,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 2,191 | $90,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 2,882 | $90,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 1,080 | $90,000 | thousands by filing date | |
| SURGUTNEFTEGAS PJSC | 868861204 | COMMON STOCK | 10,228 | $90,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 3,020 | $90,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 20,781 | $90,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 1,606 | $89,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 7,833 | $89,000 | thousands by filing date | |
| MAKO SURGICAL CORP | 560879108 | COM | 3,018 | $89,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 7,385 | $88,000 | thousands by filing date | |
| BRIDGESTONE CORP ADR | 108441205 | USD | 1,210 | $88,000 | thousands by filing date | |
| SWATCH GROUP AG ADR | 870123106 | USD | 2,743 | $88,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 6,709 | $88,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,025 | $87,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 1,000 | $87,000 | thousands by filing date | |
| MAKITA CORP | 560877300 | COMMON STOCK | 1,489 | $87,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 1,156 | $86,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 1,525 | $86,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 3,724 | $86,000 | thousands by filing date | |
| AMCOR LTD SPONSORED ADRFSPONSO | 02341r302 | ADR | 2,153 | $86,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 7,217 | $85,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,986 | $85,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 6,000 | $85,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 6,486 | $85,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 5,686 | $85,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 3,533 | $85,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 4,825 | $85,000 | thousands by filing date | |
| MACQUARIE GROUP LTD-ADR | 55607P105 | COM | 1,903 | $85,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 1,014 | $84,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 17,452 | $84,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 16,030 | $84,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 12,067 | $84,000 | thousands by filing date | |
| WESTFIELD GROUP-ADR | 960224103 | COM | 4,092 | $84,000 | thousands by filing date | |
| FUJI HEAVY INDUS-UNSPONS ADR | 359556206 | COM | 1,512 | $84,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 5,379 | $82,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 1,071 | $82,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 6,101 | $82,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 4,760 | $82,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,636 | $82,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 10,880 | $82,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 1,528 | $82,000 | thousands by filing date | |
| Koninklijke Ahold-Sp Ad | 500467402 | COM | 4,726 | $82,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 4,246 | $82,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 6,606 | $82,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 9,527 | $82,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,000 | $81,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 3,820 | $81,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 6,479 | $81,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 5,288 | $81,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 4,348 | $81,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 1,627 | $81,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 2,594 | $81,000 | thousands by filing date | |
| WOLSELEY PLC-ADR | 977868207 | COM | 15,702 | $81,000 | thousands by filing date | |
| PETROMINERALES | 71673R107 | COMMON amp; | 7,203 | $81,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 1,737 | $80,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 3,594 | $80,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 1,270 | $80,000 | thousands by filing date | |
| KKR FIN'L 8.375% C16 | 48248A405 | PRF | 2,961 | $80,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370105 | CL A | 6,037 | $79,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 13,559 | $79,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 1,850 | $79,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 3,302 | $79,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 4,133 | $79,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 5,916 | $79,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 8,129 | $78,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 585 | $78,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 1,436 | $78,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 2,870 | $78,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 3,799 | $77,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 2,684 | $77,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 15,646 | $77,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 9,489 | $77,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 3,240 | $77,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 8,358 | $77,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 6,318 | $77,000 | thousands by filing date | |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | 980228308 | ADR | 2,067 | $76,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 28 | $76,000 | thousands by filing date | |
| DAIICHI SANKYO CO LTD ADR | 23381D102 | ADR | 4,219 | $76,000 | thousands by filing date | |
| ESSILOR INTL S A ADR | 297284200 | ADR | 1,418 | $76,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 2,482 | $76,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 5,898 | $76,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 925 | $75,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 4,467 | $75,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 4,231 | $75,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 10,011 | $75,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 17,607 | $75,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,666 | $75,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 946 | $75,000 | thousands by filing date | |
| WESFARMERS LIMITED-UNSP ADR | 950840108 | COM | 3,791 | $75,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 2,975 | $75,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 2,264 | $74,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 9,998 | $74,000 | thousands by filing date | |
| MITSUI & CO LTD ADR | 606827202 | ADUS | 256 | $74,000 | thousands by filing date | |
| MARUBENI CORP ADR | 573810207 | ADR | 940 | $74,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 3,626 | $74,000 | thousands by filing date | |
| HONG KONG | 43858F109 | USD | 4,507 | $74,000 | thousands by filing date | |
| SANLAM LTD-SPONSORED ADR | 80104Q208 | COM | 3,197 | $74,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 2,751 | $74,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 4,858 | $73,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 3,625 | $73,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 1,070 | $73,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 3,395 | $73,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 1,951 | $73,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 2,500 | $73,000 | thousands by filing date | |
| Sandvik AB ADR | 800212201 | Equity | 5,291 | $73,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 15,810 | $73,000 | thousands by filing date | |
| SANDS CHINA LTD UNSPONS ADR | 80007R105 | COM | 1,187 | $73,000 | thousands by filing date | |
| BRAMBLES LTD | 105105100 | COM | 4,201 | $73,000 | thousands by filing date | |
| MAGNUM HUNTER RES 13WTS WARRAN | 55973b995 | COM | 45,827 | $73,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 8,240 | $72,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 1,541 | $72,000 | thousands by filing date | |
| HEINEKEN N V SPONSORED ADR LEVEL 1 | 423012301 | COM | 2,041 | $72,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 959 | $72,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 36,421 | $72,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 773 | $72,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 6,468 | $71,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 6,327 | $71,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 1,866 | $71,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 3,324 | $71,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 26,555 | $71,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 2,866 | $71,000 | thousands by filing date | |
| BANK OF AMERICA N A | 06051A540 | PRF | 4,950 | $71,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 611 | $70,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 1,200 | $70,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 3,510 | $70,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 3,920 | $70,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 1,573 | $70,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 3,135 | $69,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 1,262 | $69,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 3,190 | $69,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 2,612 | $69,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 15,345 | $69,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 3,027 | $69,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 6,659 | $69,000 | thousands by filing date | |
| BRITISH SKY BROADCASTING | 111013108 | COM | 1,224 | $69,000 | thousands by filing date | |
| ISHARES TR | 46432FAT4 | 2016 CP TM ETF | 690 | $69,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 5,308 | $68,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 1,287 | $68,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 1,794 | $68,000 | thousands by filing date | |
| HENKEL AG AND CO KGAA ADR | 42550U208 | COM | 657 | $68,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 3,296 | $68,000 | thousands by filing date | |
| COMPANHIA DE BEBIDAS DAS AME | 20441W104 | SPONSORED ADR | 1,741 | $68,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 5,296 | $68,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 2,759 | $68,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 16,994 | $68,000 | thousands by filing date | |
| METLIFE INC $0.065 PFD | 59156R603 | PREFERRED | 2,720 | $68,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 2,895 | $68,000 | thousands by filing date | |
| METLIFE INC | 59156R405 | PRF | 2,756 | $68,000 | thousands by filing date | |
| HOLCIM LTD-UNSPON ADR | 434741203 | COM | 4,600 | $68,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 6,425 | $67,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,740 | $67,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 1,850 | $67,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 1,715 | $67,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 1,346 | $67,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 3,342 | $67,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 2,397 | $67,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 2,901 | $67,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 3,251 | $67,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 2,914 | $67,000 | thousands by filing date | |
| CITIGROUP CAPITAL XVII | 17311H209 | PRF | 2,700 | $67,000 | thousands by filing date | |
| NXP SEMICONDUCTORS NV | 000953878 | COM | 1,800 | $67,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 1,043 | $66,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 11,599 | $66,000 | thousands by filing date | |
| Peyto Expl & Dev Corp | 717046106 | COM | 2,235 | $66,000 | thousands by filing date | |
| Grupo Financiero Banorte SAB de CV | 40052P107 | ADR | 2,124 | $66,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 1,060 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 2,607 | $66,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 1,596 | $66,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 4,650 | $66,000 | thousands by filing date | |
| Aegon NV 6.875% PFD | N00927306 | PFD | 2,728 | $66,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 2,910 | $66,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240201 | PRF | 2,650 | $66,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 4,965 | $65,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 4,455 | $65,000 | thousands by filing date | |
| ATLAS COPCO AB SPONS ADR B | 049255805 | COM | 2,462 | $65,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 2,114 | $65,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 22,154 | $65,000 | thousands by filing date | |
| TROPICANA ENTERTAINMENT LLC | 89708X204 | COM | 4,284 | $65,000 | thousands by filing date | |
| GSO MEZZANINE FINANCE TRUST | 99Z413371 | COM | 72 | $65,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 3,514 | $64,000 | thousands by filing date | |
| RWE AG | 74975E303 | Equity | 1,890 | $64,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 7,788 | $64,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 3,070 | $64,000 | thousands by filing date | |
| BANK AMERICA CORP | 06052R153 | PRF | 4,500 | $64,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 1,792 | $63,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 2,336 | $63,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 5,113 | $63,000 | thousands by filing date | |
| CENTRAL JAPAN RAI-UNSPON ADR | 153766100 | COM | 4,948 | $63,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 2,833 | $63,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 4,202 | $63,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 2,544 | $63,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 4,000 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 627 | $62,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 3,150 | $62,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 604 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 2,712 | $62,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 986 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 1,308 | $62,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,792 | $62,000 | thousands by filing date | |
| STANDARD BANK GROUP LTD ADR | 853118206 | ADR | 5,163 | $62,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 2,937 | $62,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 3,869 | $62,000 | thousands by filing date | |
| N State Telecommunications Class A | 662642107 | Com | 849 | $62,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 4,913 | $61,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 1,910 | $61,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 9,642 | $61,000 | thousands by filing date | |
| WALMART DE MEXICO SPON ADR SER V | 93114W107 | COM | 2,372 | $61,000 | thousands by filing date | |
| JARDINE MATHESON HLDGS LTD ADR | 471115402 | ADR | 1,098 | $61,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 11,075 | $61,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,300 | $61,000 | thousands by filing date | |
| SUNCORP GROUP L-UNSPON ADR | 86723Y100 | COM | 4,808 | $61,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 6,223 | $60,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 3,898 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 2,239 | $60,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 4,080 | $60,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 2,672 | $60,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 5,702 | $60,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 2,386 | $60,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.125% $1.53125 PFD | 38145X111 | PREFERRED | 2,448 | $60,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 790 | $60,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 1,396 | $59,000 | thousands by filing date | |
| SUN HUNG K | 86676H302 | USD | 4,329 | $59,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 3,006 | $59,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 6,515 | $59,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 1,573 | $59,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 6,471 | $59,000 | thousands by filing date | |
| GABELLI UTIL TR SER A | 36240A200 | PRF | 2,421 | $59,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 5,232 | $58,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 3,255 | $58,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 1,447 | $58,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 1,649 | $57,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 5,409 | $57,000 | thousands by filing date | |
| AGEAS SPON ADR | 00844W208 | COM | 1,416 | $57,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 9,496 | $57,000 | thousands by filing date | |
| TECHNIP NEW SPONSORED ADR | 878546209 | COM | 1,945 | $57,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517QAA8 | CNV | 300,000 | $57,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC IPATH | 06740P155 | PRF | 1,727 | $57,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 7,394 | $56,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,375 | $56,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 3,012 | $56,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 23,168 | $56,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,151 | $56,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 1,582 | $55,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 761 | $55,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 949 | $55,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,901 | $55,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 4,000 | $55,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 838 | $55,000 | thousands by filing date | |
| Continental AG | 210771200 | Equity | 323 | $55,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 776 | $55,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 5,222 | $55,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 1,981 | $55,000 | thousands by filing date | |
| Merrill Lynch Cap TR IV 7.12% PFD | 59021G204 | Pfd Stk | 2,200 | $55,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 5,675 | $55,000 | thousands by filing date | |
| JGC CORP-UNSPONSORED ADR | 466140100 | COM | 761 | $55,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,335 | $54,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 2,205 | $54,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 4,500 | $54,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 5,802 | $54,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 7,041 | $54,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 4,150 | $54,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 2,948 | $54,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 800 | $54,000 | thousands by filing date | |
| MORGAN STANLEY CAP TRUST #4 PF | 617462205 | PREFERR | 2,192 | $54,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 3,700 | $53,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 1,051 | $53,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 1,338 | $53,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 5,776 | $53,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 1,846 | $53,000 | thousands by filing date | |
| N State Telecommunications Class B | 662642206 | Com | 735 | $53,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 2,974 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 1,306 | $53,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 790 | $53,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 3,225 | $53,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 525 | $52,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 7,550 | $52,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 950 | $52,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 1,810 | $52,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,300 | $52,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 1,889 | $52,000 | thousands by filing date | |
| Sumitomo Corp | 865613103 | Equity | 3,896 | $52,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 6,376 | $52,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 775 | $52,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 5,757 | $52,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 918 | $52,000 | thousands by filing date | |
| ALLOT COMMUNICATIONS LTD | 001099654 | COM | 4,100 | $52,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 801 | $51,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 1,809 | $51,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 3,025 | $51,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 2,448 | $51,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 611 | $51,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 931 | $51,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 2,222 | $51,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 3,450 | $51,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 3,900 | $51,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 3,300 | $51,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 3,048 | $51,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 1,225 | $51,000 | thousands by filing date | |
| TULLOW OIL PLC-UNSPON ADR | 899415202 | ADR | 6,098 | $51,000 | thousands by filing date | |
| BAC CAPITAL TRUST VIII | 05518T209 | PRF | 2,050 | $51,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 588 | $50,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 2,247 | $50,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 600 | $50,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 3,165 | $50,000 | thousands by filing date | |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 5,927 | $50,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 20,995 | $50,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 3,133 | $50,000 | thousands by filing date | |
| KNIGHTSBRIDGE TANKERS LTD | G5299G106 | COMMON | 4,885 | $50,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 2,094 | $50,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 1,747 | $50,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,449 | $50,000 | thousands by filing date | |
| PPLUS TRUST | 73941X874 | PRF | 2,070 | $50,000 | thousands by filing date | |
| CHINA RAILWAY CONS-UNSPN ADR | 16947L105 | COM | 4,665 | $50,000 | thousands by filing date | |
| ONXX US 10/19/13 C120 | CM0019678 | OPT | 100 | $50,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,069 | $49,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 4,847 | $49,000 | thousands by filing date | |
| NEDBANK GROUP LTD ADR | 63975K104 | ADR | 2,429 | $49,000 | thousands by filing date | |
| Edp - Energias De Portugal Sa | 268353109 | Equity | 1,333 | $49,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 3,543 | $49,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 2,557 | $49,000 | thousands by filing date | |
| MORGAN STANLEY CP TR III $0.0625 PFD | 617460209 | PREFERRED | 2,000 | $49,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 2,157 | $49,000 | thousands by filing date | |
| MORGAN STANLEY 6.6% C11 | 61750K208 | PRF | 2,001 | $49,000 | thousands by filing date | |
| MORGAN STANLEY 6.600% PFD | 617461207 | PREFERR | 1,950 | $49,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 629 | $48,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 1,492 | $48,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 3,978 | $48,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 2,386 | $48,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 4,053 | $48,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 2,236 | $48,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 7,006 | $48,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 4,431 | $48,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 1,497 | $48,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 1,433 | $48,000 | thousands by filing date | |
| CANADIAN OIL SANDS LTD | 13643E105 | COMMON | 2,474 | $48,000 | thousands by filing date | |
| PUBLIC STORAGE DEP $1.475 PFD | 74460W206 | PREFERRED | 2,116 | $48,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 4,367 | $48,000 | thousands by filing date | |
| RETAIL PROPERTIES AMER * | 76131V509 | COM | 3,490 | $48,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,035 | $47,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 1,514 | $47,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 1,911 | $47,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,300 | $47,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 1,812 | $47,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 8,910 | $47,000 | thousands by filing date | |
| MARKS & SP | 570912105 | USD | 2,933 | $47,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 6,921 | $47,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 6,264 | $47,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 4,916 | $47,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 11,693 | $47,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 637 | $47,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 746 | $46,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 1,246 | $46,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 4,705 | $46,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 5,489 | $46,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 2,959 | $46,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 14,643 | $46,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,157 | $46,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 1,951 | $46,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 2,502 | $46,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 1,459 | $46,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 2,257 | $46,000 | thousands by filing date | |
| TELECOM CORP NEW ZEALAND LTD SPON ADR | 879278208 | ADR | 4,614 | $46,000 | thousands by filing date | |
| CRBC 7 1/2 09/15/66 | 174687103 | PRF | 1,827 | $46,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 3,430 | $45,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,812 | $45,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 1,269 | $45,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 5,140 | $45,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 2,447 | $45,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,541 | $45,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 7,321 | $45,000 | thousands by filing date | |
| ASAHI KASEI CORP UNSPON ADR | 043400100 | COM | 2,962 | $45,000 | thousands by filing date | |
| ADECCO GROUP AG ADR | 006754204 | COM | 1,267 | $45,000 | thousands by filing date | |
| SURGUTNEFTEGAZ SPON ADR | 868861105 | COM | 6,155 | $45,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 7,279 | $45,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 3,198 | $45,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 3,768 | $45,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 17,200 | $45,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 3,787 | $45,000 | thousands by filing date | |
| Merrill Lynch PFD Cap TR Iiitoprs 7% | 59021F206 | Pfd Stk | 1,800 | $45,000 | thousands by filing date | |
| ISHARES TR | 464289404 | S&P TARGET 20 | 1,182 | $45,000 | thousands by filing date | |
| ING GROEP N V | 456837202 | PRF | 1,800 | $45,000 | thousands by filing date | |
| DUKE REALTY CORP DEP SHS | 264411778 | PRF | 1,820 | $45,000 | thousands by filing date | |
| CTB US 01/18/14 P29 | CM0020114 | OPT | 200 | $45,000 | thousands by filing date | put |
| ISHARES TR | 464288372 | COM | 1,208 | $44,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 4,862 | $44,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 544 | $44,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 883 | $44,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 1,956 | $44,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 11,935 | $44,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 829 | $44,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 900 | $44,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 2,226 | $44,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,094 | $44,000 | thousands by filing date | |
| COMMERZBANK AG SPONS ADR | 202597605 | COM | 3,810 | $44,000 | thousands by filing date | |
| OLYMPUS CORP-SPON ADR | 68163W109 | COM | 1,421 | $44,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 784 | $43,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 3,004 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 583 | $43,000 | thousands by filing date | |
| TELENOR ASA-NOK | 87944W105 | COMMON STOCK | 626 | $43,000 | thousands by filing date | |
| J. SAINSBURY PLC-SPONS ADR | 466249208 | USD | 1,713 | $43,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 2,969 | $43,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 212 | $43,000 | thousands by filing date | |
| HSBC Finance Corp PFD Non Cumulative B | 40429C607 | Pfd Stk | 1,800 | $43,000 | thousands by filing date | |
| S.Y. BANCORP INC | 785060104 | COM | 1,500 | $43,000 | thousands by filing date | |
| ALLIANZGI INTL & PREM STRATE | 01882X108 | COM | 4,109 | $43,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,157 | $43,000 | thousands by filing date | |
| PTT EXPLORATION & PRODUCTION P | 69364v106 | Common Stock | 4,155 | $43,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 725 | $42,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 1,910 | $42,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 1,475 | $42,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 675 | $42,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 2,696 | $42,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 1,976 | $42,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,599 | $42,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 1,967 | $42,000 | thousands by filing date | |
| DAIWA HOUSE INDUS UNSP ADR | 234062206 | COM | 222 | $42,000 | thousands by filing date | |
| HANNOVER RUECKVERSICHER ADR | 410693105 | COM | 1,145 | $42,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 3,721 | $42,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 3,440 | $42,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 1,094 | $42,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 751 | $41,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,467 | $41,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 2,348 | $41,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 1,839 | $41,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 2,600 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 817 | $41,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 561 | $41,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 8,154 | $41,000 | thousands by filing date | |
| CAP GEMINI SA ADR | 139098107 | COM | 1,363 | $41,000 | thousands by filing date | |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 1,168 | $41,000 | thousands by filing date | |
| AMP LTD - SP ADR | 0017EP202 | COM | 2,362 | $41,000 | thousands by filing date | |
| MEDIASET SPA-SPONSORED ADR | 584469407 | COM | 3,335 | $41,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 398 | $40,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 520 | $40,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 7,992 | $40,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 2,360 | $40,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 2,600 | $40,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 1,495 | $40,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 2,109 | $40,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,174 | $40,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,404 | $40,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 2,630 | $40,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 3,000 | $40,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 2,543 | $40,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 1,918 | $40,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 3,238 | $40,000 | thousands by filing date | |
| ROHM CO LTD-UNSPON ADR | 775376106 | COM | 1,948 | $40,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 9,455 | $40,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,292 | $40,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 1,950 | $40,000 | thousands by filing date | |
| KATAHDIN BANKSHARES CORP | 485835102 | COM | 3,365 | $40,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,579 | $40,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,910 | $39,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 1,375 | $39,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 585 | $39,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 4,671 | $39,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 2,911 | $39,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 1,095 | $39,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 1,268 | $39,000 | thousands by filing date | |
| AMADEUS IT GROUP S A UNSPONSOR | 02263t104 | COM | 1,110 | $39,000 | thousands by filing date | |
| Banco Do Brasil Sa Spons Adr Ea Repr 1 O | 059578104 | Equity | 3,375 | $39,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 2,431 | $39,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 2,034 | $39,000 | thousands by filing date | |
| CORP BACKD TR CTFS 03-10 | 21988G122 | PRF | 1,501 | $39,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,150 | $38,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 1,005 | $38,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 2,141 | $38,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 353 | $38,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 6,211 | $38,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 4,737 | $38,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 2,911 | $38,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 4,021 | $38,000 | thousands by filing date | |
| Lonza Group AG ADR | 54338V101 | USD | 4,729 | $38,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 2,846 | $38,000 | thousands by filing date | |
| NITTO DENKO CORP UNSPON ADR | 654802206 | COM | 1,172 | $38,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 3,400 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 1,477 | $38,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 3,985 | $38,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,500 | $38,000 | thousands by filing date | |
| INVESCO MORTGAGE CAP INC | 46131B209 | PRF | 1,700 | $38,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 502 | $37,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 499 | $37,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 3,540 | $37,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,789 | $37,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 1,114 | $37,000 | thousands by filing date | |
| BOC HONG KONG HLDGS LTD SPONSORED ADR | 096813209 | USD | 581 | $37,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009529 | this filing | 2013-11-14 | acceptance time not in the bulk data set |