13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 5,530 holding rows worth $165,084,745,000.
- Accession
- 0000950123-14-002429
- Filer
- CIK 820027
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 8,595 entries on the cover page, a total value of $165,084,745,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $165,084,745,000 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 |
|---|---|---|---|---|---|---|
| YORK WATER CO | 987184108 | COMMON STOCK | 1,080 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 303 | $23,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 710 | $23,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 3,570 | $23,000 | thousands by filing date | |
| J. SAINSBURY PLC-SPONS ADR | 466249208 | USD | 941 | $23,000 | thousands by filing date | |
| SWIRE PACIFIC LTD SP ADR A | 870794302 | COM | 1,928 | $23,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 716 | $23,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 543 | $23,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 709 | $23,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 1,173 | $23,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 856 | $23,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 885 | $23,000 | thousands by filing date | |
| QWEST CORP | 74913G204 | PFD | 1,000 | $23,000 | thousands by filing date | |
| PTT EXPLORATION & PRODUCTION P | 69364v106 | Common Stock | 2,289 | $23,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 1,900 | $23,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 1,091 | $23,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 960 | $23,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 3,291 | $23,000 | thousands by filing date | |
| WHEELOCK & CO LTD-UNSPON ADR | 963271200 | COM | 490 | $23,000 | thousands by filing date | |
| TNT EXPRESS NV-ADR | 87262N109 | COM | 2,451 | $23,000 | thousands by filing date | |
| JBS SA-SPONSORED ADR | 466110103 | COM | 3,069 | $23,000 | thousands by filing date | |
| TWC US 02/22/14 P120 | CM1436031 | OPT | 177 | $23,000 | thousands by filing date | put |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 155 | $22,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 655 | $22,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 826 | $22,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 1,150 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 460 | $22,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 1,085 | $22,000 | thousands by filing date | |
| DAITO TRUST CONSTRUCTION CO SP | 23405X209 | ADR | 929 | $22,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 340 | $22,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 2,411 | $22,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 1,366 | $22,000 | thousands by filing date | |
| KERING S A UNSPONSORED ADR | 492089107 | USD | 1,060 | $22,000 | thousands by filing date | |
| SKF AB SPON ADR | 784375404 | COM | 825 | $22,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 423 | $22,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 1,780 | $22,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 1,737 | $22,000 | thousands by filing date | |
| UPM-KYMMENE OYJ-SPONS ADR | 915436109 | ADR | 1,304 | $22,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 770 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 762 | $22,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 950 | $22,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 740 | $22,000 | thousands by filing date | |
| WISCONSIN PUBLIC SERVICE | 976843508 | PRF | 220 | $22,000 | thousands by filing date | |
| TECHNICOLOR-SPON ADR | 878520204 | COM | 4,240 | $22,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 2,007 | $22,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 407 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 295 | $21,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,300 | $21,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 1,968 | $21,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 545 | $21,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 3,180 | $21,000 | thousands by filing date | |
| OMV AG-BEARER SHRS ADR | 670875509 | COM | 430 | $21,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 2,649 | $21,000 | thousands by filing date | |
| LIXIL CORP ADR FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 53931R103 | ADR | 387 | $21,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,500 | $21,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 770 | $21,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 2,710 | $21,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 1,000 | $21,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 2,099 | $21,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 12,000 | $21,000 | thousands by filing date | |
| ***ERROR:MISSING*** | 739363AF6 | ***MISSING*** | 4,200,000 | $21,000 | thousands by filing date | principal |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 364 | $21,000 | thousands by filing date | |
| HANG SENG BANK-SPONSORED ADR | 41043C304 | COM | 1,321 | $21,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154W308 | DB JAP GOV BD | 1,000 | $21,000 | thousands by filing date | |
| BBDBCN 6 1/4 | 097751705 | CONV PRF | 1,000 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 170 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 388 | $20,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 808 | $20,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 790 | $20,000 | thousands by filing date | |
| TECHTRONIC INDS LTD SPONSORED ADR | 87873R101 | COM | 1,356 | $20,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 1,924 | $20,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 635 | $20,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 340 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 1,049 | $20,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 2,330 | $20,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 1,589 | $20,000 | thousands by filing date | |
| SNAM RETE GAS-UNSPONSOR ADR | 78460A106 | COM | 1,742 | $20,000 | thousands by filing date | |
| PCCW ADR | 70454G207 | Common Stock | 4,337 | $20,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 4,875 | $20,000 | thousands by filing date | |
| GMAC LLC 7.375% Sr Notes | 36186C509 | Pfd Stk | 800 | $20,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 380 | $20,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 423 | $20,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 4,997 | $20,000 | thousands by filing date | |
| JARDINE STRATEGIC HLDGS UNSPON | 471122200 | Common | 1,221 | $20,000 | thousands by filing date | |
| Metso ADS | 592671101 | ADR | 459 | $20,000 | thousands by filing date | |
| FEDERAL HYDROGENERATING-ADR | 466294105 | COM | 11,333 | $20,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 5,248 | $20,000 | thousands by filing date | |
| ACOM CO LTD-SPONSORED ADR | 004845202 | COM | 2,390 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E267 | GBLX JR MNRS NEW | 1,333 | $20,000 | thousands by filing date | |
| ACT US 02/22/14 P145 | CM1402988 | OPT | 166 | $20,000 | thousands by filing date | put |
| ISHARES TR | 464287523 | COM | 266 | $19,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,553 | $19,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 216 | $19,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 1,289 | $19,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 1,625 | $19,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 1,420 | $19,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 400 | $19,000 | thousands by filing date | |
| HOYA CORP SPONSORED ADR | 443251103 | ADUS | 686 | $19,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 2,186 | $19,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 820 | $19,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 832 | $19,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,195 | $19,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 437 | $19,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,000 | $19,000 | thousands by filing date | principal |
| ROSETTA STONE INC | 777780107 | COM | 1,589 | $19,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 452 | $19,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 2,843 | $19,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 895 | $19,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 350 | $19,000 | thousands by filing date | |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 854 | $19,000 | thousands by filing date | |
| CBL & Associates 7.375% Pfd Series D | 124830605 | com | 785 | $19,000 | thousands by filing date | |
| Hutchison Whampoa | Y38024108 | COM | 1,375 | $19,000 | thousands by filing date | |
| HACHIJUNI BANK LTD-UNS ADR | 404508202 | COM | 330 | $19,000 | thousands by filing date | |
| TORRINGTON WATER CO | 891466104 | COM | 534 | $19,000 | thousands by filing date | |
| PETROFAC LTD- UNSPON ADR | 716473103 | COM | 1,925 | $19,000 | thousands by filing date | |
| CHINA OILFIELD SERVICES-ADR | 168909109 | COM | 310 | $19,000 | thousands by filing date | |
| OUTR US 01/18/14 P60 | CM0021880 | OPT | 418 | $19,000 | thousands by filing date | put |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 1,718 | $18,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 217 | $18,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 243 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 1,258 | $18,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 604 | $18,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 746 | $18,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,266 | $18,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 814 | $18,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 3,799 | $18,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 650 | $18,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 810 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,056 | $18,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 665 | $18,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 431 | $18,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 1,380 | $18,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 667 | $18,000 | thousands by filing date | |
| ISHARES INC | 464286418 | EMKT CNSM DISC | 327 | $18,000 | thousands by filing date | |
| First Republic Bank 6.2% Cl 6/ | 33616c407 | PFD | 800 | $18,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 234 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 144 | $17,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 1,399 | $17,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 377 | $17,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 730 | $17,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 804 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 210 | $17,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 5,341 | $17,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 166 | $17,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 149 | $17,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 1,226 | $17,000 | thousands by filing date | |
| COMPUTERSHARE LTD SPONS ADR | 20557R105 | COM | 1,640 | $17,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 345 | $17,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 5,000 | $17,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 1,150 | $17,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 531 | $17,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 1,049 | $17,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 326 | $17,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 5,070 | $17,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 1,331 | $17,000 | thousands by filing date | |
| BARLOWORLD LTD ADR F 1 ADR REP | 067680207 | ADR | 1,802 | $17,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 345 | $17,000 | thousands by filing date | |
| INFORMA PLC ADR | 45672B206 | EQUITY | 893 | $17,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 7,744 | $16,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 409 | $16,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 4,700 | $16,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,600 | $16,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 438 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,216 | $16,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 640 | $16,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 780 | $16,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 1,470 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 802 | $16,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 600 | $16,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 5,000 | $16,000 | thousands by filing date | |
| FIRSTBANK CORPORATION | 33761G104 | COMMON STOCK | 850 | $16,000 | thousands by filing date | |
| ALSTOM SA UNSPON ADR | 021244207 | COM | 4,288 | $16,000 | thousands by filing date | |
| TREND MICRO ADR | 89486M206 | COM | 449 | $16,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 2,563 | $16,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 1,609 | $16,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 4,960 | $16,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 1,330 | $16,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 288 | $16,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,011 | $16,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 187 | $16,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,730 | $16,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 800 | $16,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 2,334 | $16,000 | thousands by filing date | |
| JOHNSON MATTHEY PLC-SPON ADR | 479142408 | COM | 146 | $16,000 | thousands by filing date | |
| VALLOUREC SA-SPN ADR | 92023R308 | COM | 1,494 | $16,000 | thousands by filing date | |
| TURKIYE VAKIFLAR-UNSPON ADR | 90015N103 | COM | 895 | $16,000 | thousands by filing date | |
| HOME RETAIL GROUP-SPON ADR | 43731T102 | COM | 1,227 | $16,000 | thousands by filing date | |
| SHARP CORP-UNSPONSORED ADR | 819882200 | COM | 4,934 | $16,000 | thousands by filing date | |
| GOLDEN AGRI-RESOURCES LTD | 380787200 | COM | 362 | $16,000 | thousands by filing date | |
| SUNCORP GROUP LTD SPONSORED ADR | 86723Y209 | Stock | 1,379 | $16,000 | thousands by filing date | |
| OIS US 02/22/14 P90 | CM1426623 | OPT | 183 | $16,000 | thousands by filing date | put |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,015 | $15,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,860 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 253 | $15,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 740 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 215 | $15,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 410 | $15,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $15,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 4,192 | $15,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 691 | $15,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 1,830 | $15,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 1,440 | $15,000 | thousands by filing date | |
| COMMERCIAL INTL BANK-ADR | 201712304 | COM | 3,325 | $15,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 701 | $15,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 2,421 | $15,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 1,000 | $15,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 300 | $15,000 | thousands by filing date | |
| STIFEL | 860630201 | PREFERRED STOCK | 600 | $15,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 7,100 | $15,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 500 | $15,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 436 | $15,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 235 | $15,000 | thousands by filing date | |
| PUBLIC STORAGE PFD T 1/1000TH | 74460W404 | PFD | 700 | $15,000 | thousands by filing date | |
| ABERTIS INFRAESTR-UNSPON ADR | 003381100 | COM | 1,417 | $15,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 1,838 | $15,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 223 | $14,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,043 | $14,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 4,166 | $14,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 305 | $14,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 410 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 200 | $14,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 675 | $14,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 508 | $14,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,550 | $14,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 975 | $14,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,022 | $14,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 820 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 800 | $14,000 | thousands by filing date | |
| SEGA SAMMY HLDGS INC FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 815794102 | SPONSORED ADR | 2,147 | $14,000 | thousands by filing date | |
| ENAGAS UNSPONSORED ADR | 29248L104 | COM | 1,066 | $14,000 | thousands by filing date | |
| LUFTHANSA-SPONS ADR | 251561304 | COM | 675 | $14,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 853 | $14,000 | thousands by filing date | |
| HENDERSON LAND DEV ADR | 425166303 | COM | 2,421 | $14,000 | thousands by filing date | |
| RANDSTAD N.V. UNSP | 75279Q108 | Common Stock | 445 | $14,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 448 | $14,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 2,130 | $14,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 580 | $14,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,619 | $14,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 789 | $14,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 816 | $14,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 1,175 | $14,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 8,180 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,015 | $14,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 10,830 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 681 | $14,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 1,022 | $14,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 369 | $14,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 548 | $14,000 | thousands by filing date | |
| MORGAN STANLEY CAPITAL TRUST 6.45% $1.6125 PFD | 61753R200 | PREFERRED | 600 | $14,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 4,400 | $14,000 | thousands by filing date | |
| TIGER BRANDS LTD ADR NEW | 88673M201 | ADR | 530 | $14,000 | thousands by filing date | |
| OLD MUTUAL PLC-UNSPON ADR | 680031309 | COM | 542 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,032 | $14,000 | thousands by filing date | |
| EEM US 01/18/14 C45 | CM0021989 | OPT | 4,000 | $14,000 | thousands by filing date | call |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 374 | $13,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 530 | $13,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 418 | $13,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 1,211 | $13,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 982 | $13,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,469 | $13,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 300 | $13,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 540 | $13,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 2,222 | $13,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 878 | $13,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 423 | $13,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 689 | $13,000 | thousands by filing date | |
| UNITED TRACTORS UNSP | 69367T108 | Common Stock | 391 | $13,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 106 | $13,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 655 | $13,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 500 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 500 | $13,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 11,102 | $13,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 15,200 | $13,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,220 | $13,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 310 | $13,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 1,300 | $13,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 379 | $13,000 | thousands by filing date | |
| YONGYE INTL INC | 98607B106 | COM | 2,140 | $13,000 | thousands by filing date | |
| M&T CAPITAL TRUST IV $0.085 PFD | 55292C203 | PREFERRED | 500 | $13,000 | thousands by filing date | |
| ICAP PLC ADR | 450936109 | COM | 858 | $13,000 | thousands by filing date | |
| BofA Preferred | 060505740 | PFD | 500 | $13,000 | thousands by filing date | |
| DOUBLE EAGLE 9.25% A | 258570407 | PREFERR | 580 | $13,000 | thousands by filing date | |
| Israel Chemicals Limited (ADR) | 465036200 | COM | 1,505 | $13,000 | thousands by filing date | |
| Nextera Energy Capital | 65339K506 | Preferred Stock | 500 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS SATURNS | 80412A200 | PRF | 576 | $13,000 | thousands by filing date | |
| CABCO SER 2004-102 | 12679R204 | PRF | 600 | $13,000 | thousands by filing date | |
| GUOCO GROUP LTD-UNSPON ADR | 403227101 | COM | 540 | $13,000 | thousands by filing date | |
| MERCK KGAA-UNSPONSORED ADR | 589339100 | COM | 216 | $13,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320409 | PRF | 500 | $13,000 | thousands by filing date | |
| BELGACOM SA-UNSPON ADR | 077701100 | COM | 2,203 | $13,000 | thousands by filing date | |
| MERRILL LYNCH CAP TR III 7.375% PFD SHS MA | 59025d207 | PREFERRED EQUITY | 500 | $13,000 | thousands by filing date | |
| SVB CAP IIGTD TR PFD SECS | 86959H201 | EQUITIES | 500 | $13,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 4,286 | $12,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 200 | $12,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 880 | $12,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 1,313 | $12,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 643 | $12,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 1,001 | $12,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 1,000 | $12,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 590 | $12,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 834 | $12,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 600 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 300 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 400 | $12,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 2,818 | $12,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 2,550 | $12,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,600 | $12,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 2,657 | $12,000 | thousands by filing date | |
| OMRON CORP SPONSORED ADR | 682151303 | ADR | 280 | $12,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,500 | $12,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 2,320 | $12,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 2,000 | $12,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 1,960 | $12,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 415 | $12,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 742 | $12,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,000 | $12,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 400 | $12,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 462 | $12,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP | 74251V300 | PFD | 490 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 550 | $12,000 | thousands by filing date | |
| OIL SEARCH LTD-SPONSORED ADR | 677890303 | COM | 160 | $12,000 | thousands by filing date | |
| NORTEK INC-CW14 | 656559143 | WT | 432 | $12,000 | thousands by filing date | |
| ACCOR SA-UNSPON ADR | 00435F200 | COM | 1,219 | $12,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 856 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W372 | KOREA HEDG EQT | 500 | $12,000 | thousands by filing date | |
| MCK US 02/22/14 P145 | CM1402984 | OPT | 84 | $12,000 | thousands by filing date | put |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,845 | $11,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,385 | $11,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 585 | $11,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 150 | $11,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 620 | $11,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 120 | $11,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 210 | $11,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 210 | $11,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,045 | $11,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 410 | $11,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 1,828 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 668 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 200 | $11,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 525 | $11,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,727 | $11,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 941 | $11,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,852 | $11,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 365 | $11,000 | thousands by filing date | |
| British Land Co PLC | 110828100 | Common Stock | 1,076 | $11,000 | thousands by filing date | |
| FORTUM OYJ ADR | 34959F106 | COMMON | 2,352 | $11,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 450 | $11,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 624 | $11,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 820 | $11,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,174 | $11,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R742 | AUSTRALIA BD | 127 | $11,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 2,625 | $11,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 1,100 | $11,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 1,210 | $11,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 621 | $11,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 973 | $11,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 500 | $11,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 570 | $11,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 870 | $11,000 | thousands by filing date | |
| ISHARES TR | 46432FAD9 | 2016 INVTGR BD | 115 | $11,000 | thousands by filing date | |
| Suez Environment Co. SA | 864691100 | Com | 1,188 | $11,000 | thousands by filing date | |
| CORP BACKED TR CTFS 03-7 | 21988G262 | PRF | 450 | $11,000 | thousands by filing date | |
| GABELLI DIVIDEND & | 36242H500 | PRF | 448 | $11,000 | thousands by filing date | |
| PEUGEOT SA-SPONSORED ADR | 716825500 | COM | 832 | $11,000 | thousands by filing date | |
| NEW WORLD DEVELOP -SPONS ADR | 649274305 | COM | 4,357 | $11,000 | thousands by filing date | |
| Allied Capital ARCC6.875% 4/20 | 01903q207 | PFD | 500 | $11,000 | thousands by filing date | |
| Alabama Power 5.20% Div Qualif | 010392595 | PFD | 450 | $11,000 | thousands by filing date | |
| AVITA MEDICAL LTD | Q1225T105 | COM | 114,500 | $11,000 | thousands by filing date | |
| GLW US 02/22/14 P15 | CM0022250 | OPT | 856 | $11,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 720 | $10,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 196 | $10,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 285 | $10,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 265 | $10,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 600 | $10,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 900 | $10,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 470 | $10,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 383 | $10,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 197 | $10,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 459 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 500 | $10,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 1,650 | $10,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 440 | $10,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 536 | $10,000 | thousands by filing date | |
| TAV HAVALIMANLARI HLD-UN ADR | 876704107 | COM | 343 | $10,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 792 | $10,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 776 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 315 | $10,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,281 | $10,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 700 | $10,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 355 | $10,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 417 | $10,000 | thousands by filing date | |
| ADVANCED CELL TECHNOLOGY INC. | 00752K105 | COM | 160,000 | $10,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 231 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 450 | $10,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 204 | $10,000 | thousands by filing date | |
| CHINA ST CONST INTL ADRF UNSPO | 16948h103 | ADR | 110 | $10,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL | 376536306 | PRF | 400 | $10,000 | thousands by filing date | |
| JINPAN INTERNATIONAL LTD | 477391999 | COM | 1,190 | $10,000 | thousands by filing date | |
| MURRAY & ROBERTS-SPON ADR | 626805204 | COM | 3,725 | $10,000 | thousands by filing date | |
| PREMIER FOODS PLC-UNSPON ADR | 74051J200 | COM | 962 | $10,000 | thousands by filing date | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 400 | $10,000 | thousands by filing date | |
| CHINA MERCHANTS-UNSPON ADR | 1694EN103 | COM | 280 | $10,000 | thousands by filing date | |
| GENTING SINGAPORE PLC ADR | 37251T104 | ADR | 170 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 500 | $10,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 250 | $10,000 | thousands by filing date | |
| ALVOPETRO ENERGY LTD COM | 02255Q100 | Common Stock | 9,128 | $10,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 755 | $10,000 | thousands by filing date | |
| AMERICAN OVERSEAS GROUP LTD | G54624112 | COM | 575 | $10,000 | thousands by filing date | |
| ARO US 02/22/14 P7 | CM1402986 | OPT | 766 | $10,000 | thousands by filing date | put |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 200 | $9,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 71 | $9,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 500 | $9,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 300 | $9,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 550 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 320 | $9,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,160 | $9,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 400 | $9,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 110 | $9,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 495 | $9,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 800 | $9,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 80 | $9,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 328 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 315 | $9,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 718 | $9,000 | thousands by filing date | |
| BARABOO BANCORP | 067021105 | COM | 4,901 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 200 | $9,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 201 | $9,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,540 | $9,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 340 | $9,000 | thousands by filing date | |
| SAGE GROUP PLC F | 78663S201 | USD | 334 | $9,000 | thousands by filing date | |
| NIPPON YUSEN KK ADR | 654633304 | COM | 1,454 | $9,000 | thousands by filing date | |
| TENAGA NASIONAL | 880277108 | Common Stock | 623 | $9,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 390 | $9,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,706 | $9,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 1,277 | $9,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 4,985 | $9,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 2,228 | $9,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 100 | $9,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 1,830 | $9,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 552 | $9,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 1,000 | $9,000 | thousands by filing date | |
| SONY FINL HLDGS INC ADR | 835707100 | COM | 467 | $9,000 | thousands by filing date | |
| VORNADO RLTY L P PINES 7.875%3 | 929043602 | PFD | 350 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 500 | $9,000 | thousands by filing date | |
| Vornado Realty Tr 6.625% Pfd Series I | 929042877 | com | 400 | $9,000 | thousands by filing date | |
| OSISKO EXPLORATION | 688278100 | COM | 2,000 | $9,000 | thousands by filing date | |
| ASAHI GLASS CO LTD-UNSP ADR | 043393206 | COM | 1,386 | $9,000 | thousands by filing date | |
| AJINOMOTO INC -UNSPON ADR | 009707100 | COM | 600 | $9,000 | thousands by filing date | |
| FAMILYMART CO LTD-UNSP ADR | 30706U107 | COM | 200 | $9,000 | thousands by filing date | |
| ENTERGY ARKANSAS INC | 29364D779 | PRF | 400 | $9,000 | thousands by filing date | |
| SHANGRI-LA ASIA LTD SPON ADR | 81942Q103 | COM | 240 | $9,000 | thousands by filing date | |
| VOESTALPINE AG-UNSPON ADR | 928578103 | COM | 920 | $9,000 | thousands by filing date | |
| NOKIAN TYRES OYJ-UNSPON ADR | 65528V107 | ADR | 353 | $9,000 | thousands by filing date | |
| AEE 4.2 | 02361D886 | PRF | 100 | $9,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 140 | $8,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 275 | $8,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 400 | $8,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,370 | $8,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 540 | $8,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 1,362 | $8,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 1,651 | $8,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 380 | $8,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 200 | $8,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 480 | $8,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 607 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 300 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 215 | $8,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 257 | $8,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,500 | $8,000 | thousands by filing date | |
| AGRICULTURAL BK CHINA LTD ADR | 00850M102 | ADR | 670 | $8,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 1,193 | $8,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 370 | $8,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 530 | $8,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 150 | $8,000 | thousands by filing date | |
| TERNA SPA UNSPONSORED ADR | 88088L103 | COM | 512 | $8,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 483 | $8,000 | thousands by filing date | |
| KUNLUN ENERGY | 50126A101 | Common Stock | 90 | $8,000 | thousands by filing date | |
| Advanced Info Service Adr | 00753G103 | ADR | 1,257 | $8,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 500 | $8,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 300 | $8,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 775 | $8,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 855 | $8,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 2,010 | $8,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 280 | $8,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 335 | $8,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 675 | $8,000 | thousands by filing date | |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 205 | $8,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 300 | $8,000 | thousands by filing date | |
| TITAN MEDICAL INC. | 88830X108 | COM | 9,500 | $8,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,514 | $8,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,460 | $8,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 1,362 | $8,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 392 | $8,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461811 | EGS INDIA SC ETF | 700 | $8,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 400 | $8,000 | thousands by filing date | |
| HYPERMARCAS S.A-SPN ADR | 44915J100 | COM | 1,114 | $8,000 | thousands by filing date | |
| CORP BACKED TRUST CTFS | 21988K834 | PRF | 340 | $8,000 | thousands by filing date | |
| Deutsche Bank 8.05% Prp Cl6/18 | 25150l108 | PFD | 300 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-002429 | this filing | 2014-02-14 | acceptance time not in the bulk data set |