13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-14, with 5,714 holding rows worth $166,526,662,000.
- Accession
- 0000950123-14-006000
- Filer
- CIK 820027
- Filed
- 2014-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A combination report, 8,827 entries on the cover page, a total value of $166,526,662,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $166,526,662,000 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 Holdings LTD 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 Holdings LTD 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 |
|---|---|---|---|---|---|---|
| DEPOMED INC | 249908104 | COM | 788 | $11,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,800 | $11,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 820 | $11,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 1,100 | $11,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 1,359 | $11,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 306 | $11,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,000 | $11,000 | thousands by filing date | |
| TIGER BRANDS LTD ADR NEW | 88673M201 | ADR | 420 | $11,000 | thousands by filing date | |
| GABELLI DIVIDEND & | 36242H500 | PRF | 448 | $11,000 | thousands by filing date | |
| DUPONT PFD B | 263534307 | PFD | 118 | $11,000 | thousands by filing date | |
| Alabama Power 5.20% Div Qualif | 010392595 | PFD | 450 | $11,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 660 | $11,000 | thousands by filing date | |
| Independence Resources Plc Spon Adr(nv) | 45378C102 | COM | 102,460 | $11,000 | thousands by filing date | |
| Connecticut Lt & Pwr Co PFD | 207597790 | Pfd Stk | 225 | $11,000 | thousands by filing date | |
| WOOLWORTHS HOLDINGS LTD | 98088R505 | COMMON | 155 | $11,000 | thousands by filing date | |
| TIBX US 05/17/14 P18 | CM2283351 | OPT | 496 | $11,000 | thousands by filing date | put |
| OIS US 06/21/14 P80 | CM2283355 | OPT | 193 | $11,000 | thousands by filing date | put |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 500 | $10,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 200 | $10,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 700 | $10,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 210 | $10,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 900 | $10,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 718 | $10,000 | thousands by filing date | |
| BARABOO BANCORP | 067021105 | COM | 5,022 | $10,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 400 | $10,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 605 | $10,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 200 | $10,000 | thousands by filing date | |
| SURGUTNEFTEGAS PJSC | 868861204 | COMMON STOCK | 1,396 | $10,000 | thousands by filing date | |
| Pitney Bowes Inc. Notes Sr | 724479506 | PFD | 400 | $10,000 | thousands by filing date | |
| GREEK ORGANISATION OF FOOTBALL | 392483103 | ADR | 1,298 | $10,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 3,505 | $10,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 1,464 | $10,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 1,193 | $10,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP | 73937B803 | EXCHANGE TRADED | 250 | $10,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,652 | $10,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 594 | $10,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 1,600 | $10,000 | thousands by filing date | |
| CYRELA BRAZIL REALTY-SPO ADR | 23282C401 | COM | 1,601 | $10,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 365 | $10,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 711 | $10,000 | thousands by filing date | |
| UNITED TRACTORS UNSP | 69367T108 | Common Stock | 265 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 315 | $10,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 5,590 | $10,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 5,625 | $10,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 323 | $10,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 2,228 | $10,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 417 | $10,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 2,151 | $10,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,165 | $10,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 695 | $10,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 1,969 | $10,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 675 | $10,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 1,830 | $10,000 | thousands by filing date | |
| PROSAFE SE ADR | 74346V109 | COM | 1,265 | $10,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 304 | $10,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 525 | $10,000 | thousands by filing date | |
| PUBLIC STORAGE DEP $1.475 PFD | 74460W206 | PREFERRED | 425 | $10,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 552 | $10,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 1,000 | $10,000 | thousands by filing date | |
| ICAP PLC ADR | 450936109 | COM | 811 | $10,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 570 | $10,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD CBOE | 33733E609 | S\&P.* | 450 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 340 | $10,000 | thousands by filing date | |
| Vornado Realty Tr 6.625% Pfd Series I | 929042877 | com | 400 | $10,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P135 | BIG PHARMA ETN | 221 | $10,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL | 376536306 | PRF | 400 | $10,000 | thousands by filing date | |
| MERCK KGAA-UNSPONSORED ADR | 589339100 | COM | 172 | $10,000 | thousands by filing date | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 400 | $10,000 | thousands by filing date | |
| ENTERGY ARKANSAS INC | 29364D779 | PRF | 400 | $10,000 | thousands by filing date | |
| BANK OF YOKOHAMA-UNSPON ADR | 066011206 | COM | 512 | $10,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 400 | $10,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP | 025932401 | STOCK | 400 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 500 | $10,000 | thousands by filing date | |
| MITSUBISHI TANABE PHARMA COR SPONSORED ADR | 606813202 | Stock | 688 | $10,000 | thousands by filing date | |
| T US 04/19/14 C36 | CM2367293 | OPT | 1,189 | $10,000 | thousands by filing date | call |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 567 | $9,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 240 | $9,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 800 | $9,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 462 | $9,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 895 | $9,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 164 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 200 | $9,000 | thousands by filing date | |
| BYD CO LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 05606L100 | Equity | 700 | $9,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 201 | $9,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 340 | $9,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 1,891 | $9,000 | thousands by filing date | |
| SAGE GROUP PLC F | 78663S201 | USD | 334 | $9,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 4,464 | $9,000 | thousands by filing date | |
| SURGUTNEFTEGAZ SPON ADR | 868861105 | COM | 1,283 | $9,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 792 | $9,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,900 | $9,000 | thousands by filing date | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 2,917 | $9,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 630 | $9,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 490 | $9,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 300 | $9,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 1,277 | $9,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 340 | $9,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 1,147 | $9,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 500 | $9,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 2,205 | $9,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 100 | $9,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 220 | $9,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 2,538 | $9,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 236 | $9,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 554 | $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 | |
| SPDR INDEX SHS FDS | 78463X830 | RUSS NOMURA PR | 218 | $9,000 | thousands by filing date | |
| CHINA ST CONST INTL ADRF UNSPO | 16948h103 | ADR | 110 | $9,000 | thousands by filing date | |
| JINPAN INTERNATIONAL LTD | 477391999 | COM | 1,190 | $9,000 | thousands by filing date | |
| FAMILYMART CO LTD-UNSP ADR | 30706U107 | COM | 200 | $9,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 400 | $9,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 650 | $9,000 | thousands by filing date | |
| ALVOPETRO ENERGY LTD COM | 02255Q100 | Common Stock | 9,128 | $9,000 | thousands by filing date | |
| RSA INSURANCE GROUP PLC ADR | 74971A206 | ADR | 1,266 | $9,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 3,505 | $9,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 755 | $9,000 | thousands by filing date | |
| AEE 4.2 | 02361D886 | PRF | 100 | $9,000 | thousands by filing date | |
| AMERICAN OVERSEAS GROUP LTD | G54624112 | COM | 575 | $9,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 1,900 | $8,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 140 | $8,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 558 | $8,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 722 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 119 | $8,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 330 | $8,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 538 | $8,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 480 | $8,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 328 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 300 | $8,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 700 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 215 | $8,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 682 | $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 | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 498 | $8,000 | thousands by filing date | |
| Fresenius Se & Co Kgaa | 35804M105 | USD | 409 | $8,000 | thousands by filing date | |
| Kerry Group Plc Sponsored Adr | 492460100 | USD | 100 | $8,000 | thousands by filing date | |
| NIPPON YUSEN KK ADR | 654633304 | COM | 1,454 | $8,000 | thousands by filing date | |
| KUNLUN ENERGY | 50126A101 | Common Stock | 90 | $8,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 337 | $8,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,080 | $8,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 700 | $8,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 250 | $8,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 863 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 185 | $8,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 5,000 | $8,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 185 | $8,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 229 | $8,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 1,210 | $8,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 335 | $8,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 300 | $8,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 2,162 | $8,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,140 | $8,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 600 | $8,000 | thousands by filing date | |
| SAPPI LTD | 803069202 | SPON ADR NEW | 2,198 | $8,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,611 | $8,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 261 | $8,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 545 | $8,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 1,004 | $8,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 2,626 | $8,000 | thousands by filing date | |
| Israel Chemicals Limited (ADR) | 465036200 | COM | 841 | $8,000 | thousands by filing date | |
| TATE & LYLE | 876570607 | COM | 175 | $8,000 | thousands by filing date | |
| LEND LEASE CORP LTD-SPON ADR | 526023205 | COM | 700 | $8,000 | thousands by filing date | |
| SHANGRI-LA ASIA LTD SPON ADR | 81942Q103 | COM | 230 | $8,000 | thousands by filing date | |
| CHINA MERCHANTS-UNSPON ADR | 1694EN103 | COM | 240 | $8,000 | thousands by filing date | |
| Deutsche Bank 8.05% Prp Cl6/18 | 25150l108 | PFD | 300 | $8,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 150 | $8,000 | thousands by filing date | |
| CHAROEN POKPHAND FOODS PLC ADR | 160904207 | COM | 2,328 | $8,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 310 | $8,000 | thousands by filing date | |
| G4S PLC UNSPONSORD ADR | 37441W108 | ADR | 377 | $8,000 | thousands by filing date | |
| JNPR US 04/19/14 P24 | CM1990986 | OPT | 637 | $8,000 | thousands by filing date | put |
| SATURN 6 02/15/34 | 80411Y209 | PRF | 324 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 68 | $7,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,190 | $7,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 1,845 | $7,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 100 | $7,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 2,451 | $7,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 69 | $7,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 233 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 133 | $7,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 260 | $7,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,080 | $7,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 410 | $7,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,800 | $7,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 427 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 215 | $7,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,540 | $7,000 | thousands by filing date | |
| TELE2 AB B UNSPON ADR | 87952P307 | COM | 1,152 | $7,000 | thousands by filing date | |
| TERNA SPA UNSPONSORED ADR | 88088L103 | COM | 425 | $7,000 | thousands by filing date | |
| TENAGA NASIONAL | 880277108 | Common Stock | 455 | $7,000 | thousands by filing date | |
| PCCW ADR | 70454G207 | Common Stock | 1,337 | $7,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 365 | $7,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 200 | $7,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 1,160 | $7,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 870 | $7,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 8,320 | $7,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 2,574 | $7,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 2,040 | $7,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 624 | $7,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 230 | $7,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 805 | $7,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 1,040 | $7,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 135 | $7,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 84 | $7,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 3,000 | $7,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 500 | $7,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 167 | $7,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 500 | $7,000 | thousands by filing date | |
| BELLE INTERNATIONAL | 078454105 | COM | 721 | $7,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 300 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 199 | $7,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 2,336 | $7,000 | thousands by filing date | |
| Weingarten Realty 6.5% Pfd Series F | 948741889 | com | 300 | $7,000 | thousands by filing date | |
| WISCONSIN PUBLIC | 976843300 | PRF | 76 | $7,000 | thousands by filing date | |
| TURKIYE VAKIFLAR-UNSPON ADR | 90015N103 | COM | 365 | $7,000 | thousands by filing date | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $7,000 | thousands by filing date | |
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| JTEKT CORP UNSPNSORED ADR | 48124H102 | ADR | 150 | $7,000 | thousands by filing date | |
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| HE 4 1/4 | 419866207 | PRF | 387 | $7,000 | thousands by filing date | |
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| CANADIAN SOLAR INC | 136635109 | COM | 200 | $6,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 392 | $6,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 93 | $6,000 | thousands by filing date | |
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| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 331 | $6,000 | thousands by filing date | |
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| Astronics Class B Convertible | 046433207 | COM | 97 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 50 | $6,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 276 | $6,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,510 | $6,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 205 | $6,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 80 | $6,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 760 | $6,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 492 | $6,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,154 | $6,000 | thousands by filing date | |
| CONCH CEMENT H UNS ADR | 035243104 | COM | 286 | $6,000 | thousands by filing date | |
| UOL GROUP LIMITED-SP ADR | 91529G105 | COM | 310 | $6,000 | thousands by filing date | |
| 694308503 | 694308503 | Pacific Gas & Electric Co | 235 | $6,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 320 | $6,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 340 | $6,000 | thousands by filing date | |
| DYAX CORP | 26746E103 | COM | 700 | $6,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 1,667 | $6,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 100 | $6,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 2,690 | $6,000 | thousands by filing date | |
| CORPBANCA | 21987A209 | SPONSORED ADR | 341 | $6,000 | thousands by filing date | |
| Assurenced Guaranty Muni 6.875%due 12/15/2 | 04623A205 | Pfd Stk | 235 | $6,000 | thousands by filing date | |
| GIVEN IMAGING LTD | M52020100 | ORD | 200 | $6,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 1,060 | $6,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 350 | $6,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 200 | $6,000 | thousands by filing date | |
| FORTEGRA FINANCIAL CORP | 34954W104 | COM | 790 | $6,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 3,700 | $6,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 1,165 | $6,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 469 | $6,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 406 | $6,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 500 | $6,000 | thousands by filing date | |
| VORNADO REALTY TRUST 6.875% SE | 929042869 | PREFERR | 250 | $6,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 1,000 | $6,000 | thousands by filing date | |
| MAGYAR TELEKOM TELE-SPON ADR | 559776109 | ADR | 932 | $6,000 | thousands by filing date | |
| Georgia Power CO Cl A PFD 6.125% | 373334473 | Preferred Stock | 212 | $6,000 | thousands by filing date | |
| DUKE REALTY CORP PFD 1/10 K | 264411760 | PFD | 250 | $6,000 | thousands by filing date | |
| CATHAY PAC AIRWAYS-SPONS ADR | 148906308 | COM | 643 | $6,000 | thousands by filing date | |
| PT INDOSAT-ADR | 744383100 | COM | 345 | $6,000 | thousands by filing date | |
| CAPITALAND LTD-SPON ADR | 140547100 | COM | 1,290 | $6,000 | thousands by filing date | |
| HUTCHISON TELECOMMUNI-ADR | 44841V102 | COM | 1,173 | $6,000 | thousands by filing date | |
| BUFFETS RESTAURANTS HOLDINGS | BAX3UNMB3 | COM | 1,071 | $6,000 | thousands by filing date | |
| NEW WORLD DEVELOP -SPONS ADR | 649274305 | COM | 3,227 | $6,000 | thousands by filing date | |
| PUBLIC STORAGE 6.5% PFD PERP SERIES | 74460D141 | PREFERRED STOCK | 250 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 125 | $6,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 540 | $5,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 150 | $5,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 107 | $5,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 690 | $5,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 880 | $5,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 250 | $5,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 180 | $5,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 51 | $5,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 165 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 244 | $5,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 78 | $5,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 200 | $5,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 230 | $5,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 350 | $5,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 300 | $5,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 260 | $5,000 | thousands by filing date | |
| FUJITSU LTD ADR NEW | 359590304 | COMMON STOCK | 176 | $5,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 217 | $5,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 425 | $5,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 1,170 | $5,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 340 | $5,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 100 | $5,000 | thousands by filing date | |
| KAWASAKI HEAVY INDS-SP ADR | 486359201 | COM | 309 | $5,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 162 | $5,000 | thousands by filing date | |
| DILLARD S CAPITAL TRUST I 7.50000 08/01/2038 | 25406P200 | PFD STK | 200 | $5,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 500 | $5,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 336 | $5,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 256 | $5,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 1,200 | $5,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 334 | $5,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 950 | $5,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 2,010 | $5,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 300 | $5,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 875 | $5,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 1,560 | $5,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 200 | $5,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 970 | $5,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 200 | $5,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,760 | $5,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 200 | $5,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 525 | $5,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 200 | $5,000 | thousands by filing date | |
| ORICA LTD ADR | 68618H103 | COM | 235 | $5,000 | thousands by filing date | |
| TRACTEBEL ENERGIA SA-SP ADR | 892360108 | COM | 310 | $5,000 | thousands by filing date | |
| CAIRN ENERGY PLC-UNSPON ADR | 12776P200 | COM | 837 | $5,000 | thousands by filing date | |
| PREMIER FOODS PLC-UNSPON ADR | 74051J200 | COM | 962 | $5,000 | thousands by filing date | |
| HYPERMARCAS S.A-SPN ADR | 44915J100 | COM | 730 | $5,000 | thousands by filing date | |
| TAISEI CORP-UNSPONSORED ADR | 874018203 | COM | 110 | $5,000 | thousands by filing date | |
| SHANGHAI ELECTRIC-UNSP ADR | 81943J108 | COM | 690 | $5,000 | thousands by filing date | |
| Gabelli Dividend & Income Trust Preferred Series A | 36242H203 | preferred stock | 200 | $5,000 | thousands by filing date | |
| SERCO GROUP PLC | 81748L100 | ADR | 665 | $5,000 | thousands by filing date | |
| DAIHATSU MTR CO LTD ADR | 23381A108 | ADR | 155 | $5,000 | thousands by filing date | |
| CONNECTICUT LIGHT | 207597774 | Common Stock | 100 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 288 | $5,000 | thousands by filing date | |
| VERESEN INC | 92340R106 | Common/Ordinary | 300 | $5,000 | thousands by filing date | |
| Entergy Miss Pfd 6.20% 4/15/40 | 29364N843 | Pfd Stk | 200 | $5,000 | thousands by filing date | |
| Medbox Inc | 58405D100 | Common Stock | 193 | $5,000 | thousands by filing date | |
| NOBEL BIOCARE HOLDING AG-REG | H5783Q130 | COM | 325 | $5,000 | thousands by filing date | |
| TAYC 9 3/4 10/21/32 | 87216N205 | PRF | 200 | $5,000 | thousands by filing date | |
| EXXI US 04/19/14 C24 | CM2222568 | OPT | 114 | $5,000 | thousands by filing date | call |
| WALKER&DUNLOPINC | 93148P102 | STOK | 228 | $4,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 278 | $4,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 276 | $4,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 351 | $4,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 200 | $4,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 123 | $4,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 360 | $4,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 200 | $4,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 90 | $4,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 702 | $4,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 474 | $4,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 260 | $4,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 300 | $4,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 220 | $4,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 218 | $4,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 136 | $4,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 527 | $4,000 | thousands by filing date | |
| USINAS SIDERURGICAS DE MINAS G | 917302200 | COM | 966 | $4,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 300 | $4,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 400 | $4,000 | thousands by filing date | |
| Isuzu Motors Ltd. | 465254209 | COM | 70 | $4,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 200 | $4,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 235 | $4,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 130 | $4,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 270 | $4,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 60 | $4,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 455 | $4,000 | thousands by filing date | |
| LOCALIZA RENT A CAR SPN ADR | 53956W300 | COM | 248 | $4,000 | thousands by filing date | |
| MARUI LTD-UNSPON ADR | 573814308 | COM | 230 | $4,000 | thousands by filing date | |
| JERONIMO MARTINS-UNSPON ADR | 476493101 | COM | 130 | $4,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 2,260 | $4,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 611 | $4,000 | thousands by filing date | |
| GLOBAL X ARTIFICIAL INTELLIGENCE & TECHNOLOGY ETF | 018606301 | COM | 116 | $4,000 | thousands by filing date | |
| GENTING BERHAD SPONS ADR | 372452300 | COMMON STK | 269 | $4,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 2,440 | $4,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 75 | $4,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 469 | $4,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 175 | $4,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 625 | $4,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 452 | $4,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 300 | $4,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 556 | $4,000 | thousands by filing date | |
| BURGER KING WORLDWIDE INC | 121220107 | COM | 125 | $4,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 1,005 | $4,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 200 | $4,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 520 | $4,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 598 | $4,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 316 | $4,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 1,000 | $4,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 490 | $4,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 330 | $4,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 250 | $4,000 | thousands by filing date | |
| RENTRAK CORP | 760174102 | COM | 70 | $4,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 460 | $4,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 475 | $4,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 270 | $4,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 1,000 | $4,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 304 | $4,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 200 | $4,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 315 | $4,000 | thousands by filing date | |
| BEIJING ENTERPRISES HLDGS ADR | 07725Q200 | ADR | 50 | $4,000 | thousands by filing date | |
| Primus Guaranty, Ltd. | G72457107 | COM | 490 | $4,000 | thousands by filing date | |
| POSTNL NV-ADR | 73753A103 | COM | 926 | $4,000 | thousands by filing date | |
| FEDERAL HOME LOAN MTG | 313400731 | PRF | 250 | $4,000 | thousands by filing date | |
| KENNADY DIAMONDS INC | 489165100 | COM | 960 | $4,000 | thousands by filing date | |
| INVESTOR AB-UNSP ADR | 46145A106 | COM | 200 | $4,000 | thousands by filing date | |
| WIENERBERGER AG-SPON ADR | 967662107 | COM | 1,071 | $4,000 | thousands by filing date | |
| SHIN ETSU CHEMICAL CO | J72810120 | COM | 65 | $4,000 | thousands by filing date | |
| MURRAY & ROBERTS-SPON ADR | 626805204 | COM | 1,540 | $4,000 | thousands by filing date | |
| TINGYI CAYMAN ISLN-SPON ADR | 887495307 | COM | 70 | $4,000 | thousands by filing date | |
| BANK EAST ASIA LTD-SPONS ADR | 061874103 | COM | 1,001 | $4,000 | thousands by filing date | |
| MAN SE-UNSPONSORED ADR | 561641101 | COM | 345 | $4,000 | thousands by filing date | |
| GRUPO CARSO -SPONS ADR | 400485207 | COM | 340 | $4,000 | thousands by filing date | |
| GEELY AUTOMOBILE-UNSPON ADR | 36847Q103 | COM | 529 | $4,000 | thousands by filing date | |
| TURKIYE HALK BANKASI-UNS ADR | 900150103 | ADR | 327 | $4,000 | thousands by filing date | |
| BALFOUR BEAUTY PLC | 05845R306 | ADR | 359 | $4,000 | thousands by filing date | |
| CLARIANT AG ADR | 18047P101 | Common Stock | 195 | $4,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 1,600 | $4,000 | thousands by filing date | |
| SUN ART RETAIL GRP LTD ADR | 866633100 | ADR | 354 | $4,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 100 | $4,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 247 | $4,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 338 | $4,000 | thousands by filing date | |
| AVITA MEDICAL LTD | Q1225T105 | COM | 35,000 | $4,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 62 | $3,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 40 | $3,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 40 | $3,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 1,380 | $3,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 256 | $3,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 935 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 70 | $3,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 150 | $3,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 2,170 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 36 | $3,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 265 | $3,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 99 | $3,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 200 | $3,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 400 | $3,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 250 | $3,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 190 | $3,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 85 | $3,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 120 | $3,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 600 | $3,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 65 | $3,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 300 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 210 | $3,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 200 | $3,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 265 | $3,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 738 | $3,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 252 | $3,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 418 | $3,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 170 | $3,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 135 | $3,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 80 | $3,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 150 | $3,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 50 | $3,000 | thousands by filing date | |
| MALAYAN BANK ADR | 56108H105 | COM | 513 | $3,000 | thousands by filing date | |
| BANK CENTRAL ASIA-UNSPON ADR | 69368G105 | COM | 110 | $3,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 112 | $3,000 | thousands by filing date | |
| GREAT-WEST LIFEC | 39138C106 | COM | 100 | $3,000 | thousands by filing date | |
| NASSAU COS NEW YORK 7.45 QUIBS 2032 | 71902E208 | Preferred Stock | 112 | $3,000 | thousands by filing date | |
| FEDERAL HOME LN MTG CORP PFD 8.375 NCM | 313400624 | Preferred | 271 | $3,000 | thousands by filing date | |
| XINYI GLASS HLDGS LTD FSPONSORED ADR 1 ADR REPS 20 ORD SHS | 98418R100 | ADR | 162 | $3,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $3,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 300 | $3,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 1,000 | $3,000 | thousands by filing date | |
| K PLUS S AG | 48265W108 | COMMON STK | 198 | $3,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 851 | $3,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 139 | $3,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 114 | $3,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 3,000 | $3,000 | thousands by filing date | principal |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 1,660 | $3,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 474 | $3,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 248 | $3,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 262 | $3,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 2,937 | $3,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 420 | $3,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 620 | $3,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 94 | $3,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 740 | $3,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 225 | $3,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 200 | $3,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,912 | $3,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 387 | $3,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 830 | $3,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 1,070 | $3,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 420 | $3,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 500 | $3,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 790 | $3,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 190 | $3,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 200 | $3,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 120 | $3,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 244 | $3,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 300 | $3,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 90 | $3,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 200 | $3,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 952 | $3,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 350 | $3,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 840 | $3,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 200 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 100 | $3,000 | thousands by filing date | |
| CHORUS LTD ADR | 17040V107 | ADR | 415 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-006000 | this filing | 2014-05-14 | acceptance time not in the bulk data set |