13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 6,287 holding rows worth $166,215,327,000.
- Accession
- 0000950123-14-011985
- Filer
- CIK 820027
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A combination report, 9,782 entries on the cover page, a total value of $166,215,327,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $166,215,327,000 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 |
|---|---|---|---|---|---|---|
| Protective Life 6.0% Call 8/17 | 743674707 | PFD | 800 | $20,000 | thousands by filing date | |
| ABENGOA SA | 00289R201 | SPONS ADR REP B | 756 | $20,000 | thousands by filing date | |
| BBDBCN 6 1/4 | 097751705 | CONV PRF | 1,000 | $20,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,396 | $19,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 1,010 | $19,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 861 | $19,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 649 | $19,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 1,900 | $19,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 630 | $19,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 2,178 | $19,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 410 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,177 | $19,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 4,660 | $19,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 360 | $19,000 | thousands by filing date | |
| SWIRE PACIFIC LTD SP ADR A | 870794302 | COM | 1,453 | $19,000 | thousands by filing date | |
| British Land Co PLC | 110828100 | Common Stock | 1,680 | $19,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 1,271 | $19,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 3,191 | $19,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 1,500 | $19,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 2,259 | $19,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 11,290 | $19,000 | thousands by filing date | |
| GUGGENHEIM MID-CAP CORE ETF | 18383M720 | GUG | 395 | $19,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 740 | $19,000 | thousands by filing date | |
| Suez Environment Co. SA | 864691100 | Com | 2,276 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 732 | $19,000 | thousands by filing date | |
| KEMPER CORP REDEMPTION @$25/SH 7/8/19 | 488401209 | REDEMPTION @$25/SH 7/8/19 | 750 | $19,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 1,110 | $18,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 1,060 | $18,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 662 | $18,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,521 | $18,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,616 | $18,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 990 | $18,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 1,779 | $18,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 3,309 | $18,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 410 | $18,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 520 | $18,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 912 | $18,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 16,757 | $18,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 1,000 | $18,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 470 | $18,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X427 | BASIC MAT SECT | 326 | $18,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 1,785 | $18,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 228 | $18,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 361 | $18,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 815 | $18,000 | thousands by filing date | |
| ESPRIT HOLDINGS LTD-SPON ADR | 29666V204 | COM | 7,108 | $18,000 | thousands by filing date | |
| ISHARES BAA-BA | 46432F107 | COM | 345 | $18,000 | thousands by filing date | |
| ANTOFAGASTA PLC -SPON ADR | 037189107 | COM | 755 | $18,000 | thousands by filing date | |
| News Corp 7.00% 12/1/2095 call | 863117206 | PFD | 708 | $18,000 | thousands by filing date | |
| WELLS FARGO | 949746655 | PFD | 800 | $18,000 | thousands by filing date | |
| TOPPAN PRTG LTD ADR | 890747306 | ADR | 2,500 | $18,000 | thousands by filing date | |
| SUNCORP GROUP LTD SPONSORED ADR | 86723Y209 | Stock | 1,428 | $18,000 | thousands by filing date | |
| COV US 10/18/14 P80 | CM4015674 | OPT | 199 | $18,000 | thousands by filing date | put |
| KOG US 10/18/14 P14 | CM4407303 | OPT | 278 | $18,000 | thousands by filing date | put |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 3,175 | $17,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 186 | $17,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 405 | $17,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 740 | $17,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,327 | $17,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 1,216 | $17,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 217 | $17,000 | thousands by filing date | |
| CRIMSON WINE GROUP LTD COM | 22662X100 | COM | 1,783 | $17,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 1,284 | $17,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 770 | $17,000 | thousands by filing date | |
| SHISEIDO LTD-SPONSORED ADR | 824841407 | COM | 1,039 | $17,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 1,731 | $17,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 1,310 | $17,000 | thousands by filing date | |
| BIDVEST GROUP LTD | 088836309 | Common Stock | 338 | $17,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 647 | $17,000 | thousands by filing date | |
| OMRON CORP SPONSORED ADR | 682151303 | ADR | 365 | $17,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,455 | $17,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 3,667 | $17,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 950 | $17,000 | thousands by filing date | |
| UPM-KYMMENE OYJ-SPONS ADR | 915436109 | ADR | 1,164 | $17,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 4,430 | $17,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 2,154 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 621 | $17,000 | thousands by filing date | |
| Public Storage 6.35% Pfd Series R | 74460d125 | com | 681 | $17,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119303 | DEP SHS | 675 | $17,000 | thousands by filing date | |
| Hutchison Whampoa | Y38024108 | COM | 1,375 | $17,000 | thousands by filing date | |
| INDEPENDENT ALLIANCE | 45380E104 | COM | 750 | $17,000 | thousands by filing date | |
| ENBRIDGE INCOME FD os;S EN | 29251R105 | COMMON | 629 | $17,000 | thousands by filing date | |
| BREITBURN ENERGY PARTNERS, L.P | 106776115 | PFD | 675 | $17,000 | thousands by filing date | |
| KND US 11/22/14 P17.5 | CM4624018 | OPT | 308 | $17,000 | thousands by filing date | put |
| TSN US 11/22/14 P35 | CM4627027 | OPT | 368 | $17,000 | thousands by filing date | put |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 843 | $16,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 1,364 | $16,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 1,650 | $16,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 168 | $16,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 213 | $16,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,280 | $16,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 441 | $16,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 2,008 | $16,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 657 | $16,000 | thousands by filing date | |
| SEARS CDA INC | 81234D109 | COM | 1,636 | $16,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,005 | $16,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 166 | $16,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 2,230 | $16,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 244 | $16,000 | thousands by filing date | |
| ALSTOM SA UNSPON ADR | 021244207 | COM | 4,716 | $16,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 1,300 | $16,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 529 | $16,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 740 | $16,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 4,629 | $16,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 608 | $16,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,600 | $16,000 | thousands by filing date | |
| PETROLEUM GEO-SERVICES-ADR | 716599105 | ADR | 2,509 | $16,000 | thousands by filing date | |
| WIECHAI POWER ADR | 948597109 | Common Stock | 1,104 | $16,000 | thousands by filing date | |
| Digital Realty Trust 6.625% Pfd Series F | 253868806 | com | 629 | $16,000 | thousands by filing date | |
| HACHIJUNI BANK LTD-UNS ADR | 404508202 | COM | 270 | $16,000 | thousands by filing date | |
| BELGACOM SA-UNSPON ADR | 077701100 | COM | 2,273 | $16,000 | thousands by filing date | |
| DNB ASA-SPONSOR ADR | 23328E106 | COM | 84 | $16,000 | thousands by filing date | |
| PERUSAHAAN GAS NE-UNSPON ADR | 69367P106 | COM | 630 | $16,000 | thousands by filing date | |
| Suntrust Bank Inc. 1/4000 Prd | 867914509 | PRD | 750 | $16,000 | thousands by filing date | |
| BB&T CORPORATION | 054937602 | PFD | 736 | $16,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G308 | Equities | 600 | $16,000 | thousands by filing date | |
| ENTERGY LO | 29364W405 | Preferred Stock | 616 | $16,000 | thousands by filing date | |
| NUAN US 04/17/15 C19 | CM4117783 | OPT | 325 | $16,000 | thousands by filing date | call |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 521 | $15,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 399 | $15,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 305 | $15,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 6,762 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 545 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 200 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 277 | $15,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 193 | $15,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 210 | $15,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 925 | $15,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 780 | $15,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 650 | $15,000 | thousands by filing date | |
| COCA-COLA HBC AG ADR | 191223205 | ADR | 719 | $15,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 9,000 | $15,000 | thousands by filing date | principal |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 620 | $15,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 965 | $15,000 | thousands by filing date | |
| ENAGAS UNSPONSORED ADR | 29248L104 | COM | 932 | $15,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 1,382 | $15,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46637G124 | COM | 660 | $15,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 1,405 | $15,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 1,350 | $15,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 371 | $15,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 343 | $15,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 355 | $15,000 | thousands by filing date | |
| AEGON NV PFD | 007924509 | PREFERRED | 626 | $15,000 | thousands by filing date | |
| SONY FINL HLDGS INC ADR | 835707100 | COM | 909 | $15,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 638 | $15,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 575 | $15,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 6,694 | $15,000 | thousands by filing date | |
| VORNADO REALTY TRUST 6.875% SE | 929042869 | PREFERR | 564 | $15,000 | thousands by filing date | |
| OLD MUTUAL PLC-UNSPON ADR | 680031309 | COM | 618 | $15,000 | thousands by filing date | |
| ABERTIS INFRAESTR-UNSPON ADR | 003381100 | COM | 1,487 | $15,000 | thousands by filing date | |
| MERCK KGAA-UNSPONSORED ADR | 589339100 | COM | 495 | $15,000 | thousands by filing date | |
| TORRINGTON WATER CO | 891466104 | COM | 400 | $15,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS PFD | y8565j127 | PFD | 600 | $15,000 | thousands by filing date | |
| NORTHSTAR RLTY FINCORP | 66704R308 | EQUITIES | 600 | $15,000 | thousands by filing date | |
| LADENBURG THALMANN FINL 8% SER | 50575Q201 | PFD | 600 | $15,000 | thousands by filing date | |
| M/I Homes Inc. 9.75% Ser A (M | 55305b200 | PREF | 600 | $15,000 | thousands by filing date | |
| ARLINGTON ASSET | 041356304 | STOCK | 625 | $15,000 | thousands by filing date | |
| SKANDINAVISKA ENSKILDA-ADR | 830505301 | ADR | 1,150 | $15,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 500 | $15,000 | thousands by filing date | |
| VANGUARD NAT RES LLC RED PFD S | 92205F304 | PFD | 625 | $15,000 | thousands by filing date | |
| SPY US 10/18/14 P190 | CM4047696 | OPT | 190 | $15,000 | thousands by filing date | put |
| MTG CORP | 313400301 | COM | 5,239 | $14,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 520 | $14,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 617 | $14,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,636 | $14,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 339 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 190 | $14,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 458 | $14,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 675 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 532 | $14,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 734 | $14,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 5,000 | $14,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 3,900 | $14,000 | thousands by filing date | |
| SEGA SAMMY HLDGS INC FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 815794102 | SPONSORED ADR | 3,298 | $14,000 | thousands by filing date | |
| TOYOTA INDUSTRIES UNSPON ADR | 892330101 | COM | 280 | $14,000 | thousands by filing date | |
| SKF AB SPON ADR | 784375404 | COM | 670 | $14,000 | thousands by filing date | |
| COMPUTERSHARE LTD SPONS ADR | 20557R105 | COM | 1,335 | $14,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 941 | $14,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 6,436 | $14,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 21 | $14,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 6,680 | $14,000 | thousands by filing date | |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 4,495 | $14,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 477 | $14,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 980 | $14,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 3,720 | $14,000 | thousands by filing date | |
| PUBLIC STORAGE DEP $1.475 PFD | 74460W206 | PREFERRED | 579 | $14,000 | thousands by filing date | |
| PTT EXPLORATION & PRODUCTION P | 69364v106 | Common Stock | 1,447 | $14,000 | thousands by filing date | |
| GEEKNET INC | 36846Q203 | COM | 1,534 | $14,000 | thousands by filing date | |
| WACOAL HOLDINGS CORP | 930004205 | ADR | 280 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 594 | $14,000 | thousands by filing date | |
| IMPERIAL HOLDINGS LTD ADR | 452833205 | ADR | 931 | $14,000 | thousands by filing date | |
| JOHNSON MATTHEY PLC-SPON ADR | 479142408 | COM | 146 | $14,000 | thousands by filing date | |
| ACOM CO LTD-SPONSORED ADR | 004845202 | COM | 1,630 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| PS Bus Parks 6.45% | 69360J719 | PFD | 557 | $14,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063209 | ADR NEW | 382 | $14,000 | thousands by filing date | |
| HE 4 1/4 | 419866207 | PRF | 775 | $14,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 500 | $13,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 1,635 | $13,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 300 | $13,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 380 | $13,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 418 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 192 | $13,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 1,000 | $13,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 525 | $13,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 403 | $13,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,535 | $13,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 370 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 500 | $13,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,000 | $13,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 7,000 | $13,000 | thousands by filing date | principal |
| STORA ENSO OYJ - SPONS ADR | 86210M106 | COM | 1,554 | $13,000 | thousands by filing date | |
| PCCW ADR | 70454G207 | Common Stock | 2,027 | $13,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 228 | $13,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 4,845 | $13,000 | thousands by filing date | |
| PERSIMMON UNSPONSORD ADR | 715318101 | ADR | 312 | $13,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 1,480 | $13,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 1,819 | $13,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 717 | $13,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 1,200 | $13,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 602 | $13,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 369 | $13,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 1,629 | $13,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,132 | $13,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 12,000 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $13,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 380 | $13,000 | thousands by filing date | |
| TIGER BRANDS LTD ADR NEW | 88673M201 | ADR | 450 | $13,000 | thousands by filing date | |
| ASAHI GLASS CO LTD-UNSP ADR | 043393206 | COM | 2,345 | $13,000 | thousands by filing date | |
| CABCO SER 2004-102 | 12679R204 | PRF | 600 | $13,000 | thousands by filing date | |
| RBS CAPITAL FUNDING | 74928P207 | PRF | 525 | $13,000 | thousands by filing date | |
| RENAISSANCERE HOLDINGS | G7498P309 | PRF | 513 | $13,000 | thousands by filing date | |
| LINC ENERGY LTD-SPON ADR | 532782109 | COM | 1,457 | $13,000 | thousands by filing date | |
| CHINA OILFIELD SERVICES-ADR | 168909109 | COM | 240 | $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 | |
| MEDLEY CAPITAL SR 7.125% | 58503F205 | CD Par 10 | 500 | $13,000 | thousands by filing date | |
| JNPR US 10/18/14 P21 | CM3973857 | OPT | 985 | $13,000 | thousands by filing date | put |
| TAP US 11/22/14 P70 | CM4627029 | OPT | 97 | $13,000 | thousands by filing date | put |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 291 | $12,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 589 | $12,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 1,370 | $12,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 401 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 778 | $12,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 1,000 | $12,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 240 | $12,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 508 | $12,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 1,830 | $12,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,000 | $12,000 | thousands by filing date | |
| BARABOO BANCORP | 067021105 | COM | 5,253 | $12,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 402 | $12,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 900 | $12,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,238 | $12,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 570 | $12,000 | thousands by filing date | |
| METLIFE INC | 59156R116 | PREFERRED STOCK | 389 | $12,000 | thousands by filing date | |
| Fresenius Se & Co Kgaa | 35804M105 | USD | 996 | $12,000 | thousands by filing date | |
| SNAM RETE GAS-UNSPONSOR ADR | 78460A106 | COM | 1,116 | $12,000 | thousands by filing date | |
| OMV AG-BEARER SHRS ADR | 670875509 | COM | 370 | $12,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 1,040 | $12,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,500 | $12,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 390 | $12,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 1,740 | $12,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 1,400 | $12,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,635 | $12,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 11,520 | $12,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 8,000 | $12,000 | thousands by filing date | principal |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 180 | $12,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 897 | $12,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R742 | AUSTRALIA BD | 133 | $12,000 | thousands by filing date | |
| NASB FINANCIAL INC | 628968109 | COM | 520 | $12,000 | thousands by filing date | |
| FIRSTSERVICE CORP | 33761N109 | SUB VTG SH | 230 | $12,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 525 | $12,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 580 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 435 | $12,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| BARLOWORLD LTD ADR F 1 ADR REP | 067680207 | ADR | 1,460 | $12,000 | thousands by filing date | |
| AJINOMOTO INC -UNSPON ADR | 009707100 | COM | 744 | $12,000 | thousands by filing date | |
| METRO AG ADR | 59160R102 | ADR | 1,839 | $12,000 | thousands by filing date | |
| Prosiebensat 1 Media SE | 743476202 | COM | 1,213 | $12,000 | thousands by filing date | |
| G4S PLC UNSPONSORD ADR | 37441W108 | ADR | 561 | $12,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 25,000 | $12,000 | thousands by filing date | |
| TRW US 04/17/15 C100 | CM4552146 | OPT | 30 | $12,000 | thousands by filing date | call |
| ADVANCED CELL TECHNOLOGYINC CO | 00752k204 | CS | 1,600 | $12,000 | thousands by filing date | |
| ENR US 11/22/14 P115 | CM4625482 | OPT | 73 | $12,000 | thousands by filing date | put |
| WEYCO GROUP INC COM | 962149100 | Stock | 430 | $11,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 753 | $11,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 415 | $11,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 380 | $11,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 328 | $11,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 520 | $11,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 600 | $11,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 413 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 177 | $11,000 | thousands by filing date | |
| Informa PLC | 45672B305 | COM | 695 | $11,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 670 | $11,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 1,835 | $11,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 4,435 | $11,000 | thousands by filing date | |
| TERNA SPA UNSPONSORED ADR | 88088L103 | COM | 710 | $11,000 | thousands by filing date | |
| 694308503 | 694308503 | Pacific Gas & Electric Co | 470 | $11,000 | thousands by filing date | |
| TENAGA NASIONAL | 880277108 | Common Stock | 718 | $11,000 | thousands by filing date | |
| Gazprom Neft Spons Adr | 36829G107 | ADR | 578 | $11,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 635 | $11,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 2,070 | $11,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 16,178 | $11,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 8,360 | $11,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 190 | $11,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 1,100 | $11,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 625 | $11,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 1,580 | $11,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 1,730 | $11,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 499 | $11,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 2,000 | $11,000 | thousands by filing date | principal |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 5,000 | $11,000 | thousands by filing date | principal |
| KURARAY CO LTD UNSPON ADR | 50127R103 | ADR | 325 | $11,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 580 | $11,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 870 | $11,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 675 | $11,000 | thousands by filing date | |
| JPMORGAN CHASE 5.5% PFD | 48126E750 | PRD | 493 | $11,000 | thousands by filing date | |
| NORTEK INC-CW14 | 656559143 | WT | 432 | $11,000 | thousands by filing date | |
| TRACTEBEL ENERGIA SA-SP ADR | 892360108 | COM | 730 | $11,000 | thousands by filing date | |
| HOME RETAIL GROUP-SPON ADR | 43731T102 | COM | 1,059 | $11,000 | thousands by filing date | |
| ENTERGY ARKANSAS INC | 29364D779 | PRF | 432 | $11,000 | thousands by filing date | |
| GABELLI DIVIDEND & | 36242H500 | PRF | 448 | $11,000 | thousands by filing date | |
| Telephone & Data 6.875% Cl 11/ | 879433845 | PFD | 437 | $11,000 | thousands by filing date | |
| Alabama Power 5.20% Div Qualif | 010392595 | PFD | 450 | $11,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 216 | $11,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 704 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 437 | $11,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 500 | $11,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 607 | $11,000 | thousands by filing date | |
| BKW US 01/17/15 P35 | CM4348270 | OPT | 16 | $11,000 | thousands by filing date | put |
| HYFLUX LTD-UNSP ADR | 449034107 | ADR | 690 | $11,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 151 | $10,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 956 | $10,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 546 | $10,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 275 | $10,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 650 | $10,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 700 | $10,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 2,596 | $10,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 136 | $10,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 1,000 | $10,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 860 | $10,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 210 | $10,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 300 | $10,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 1,040 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 100 | $10,000 | thousands by filing date | |
| USINAS SIDERURGICAS DE MINAS G | 917302200 | COM | 3,807 | $10,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 3,144 | $10,000 | thousands by filing date | |
| Impala Platinum Holdings Ltd | 452553308 | Equity | 1,314 | $10,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 91,920 | $10,000 | thousands by filing date | |
| NIPPON YUSEN KK ADR | 654633304 | COM | 1,799 | $10,000 | thousands by filing date | |
| NIKON CORP UNSPONSORED ADR | 654111202 | ADR | 659 | $10,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 319 | $10,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713W107 | SPON ADR | 329 | $10,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 647 | $10,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 1,610 | $10,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 2,036 | $10,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,432 | $10,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 100 | $10,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 6,000 | $10,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 552 | $10,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 600 | $10,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 31,050 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 230 | $10,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 1,000 | $10,000 | thousands by filing date | |
| Vornado Realty Tr 6.625% Pfd Series I | 929042877 | com | 400 | $10,000 | thousands by filing date | |
| CHINA NATL MATLS CO ADRF UNSPO | 16948e100 | ADR | 2,270 | $10,000 | thousands by filing date | |
| WANT WANT CHINA HLDGS LTD ADR | 93370R107 | ADR | 156 | $10,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL | 376536306 | PRF | 400 | $10,000 | thousands by filing date | |
| OIL SEARCH LTD-SPONSORED ADR | 677890303 | COM | 130 | $10,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 430 | $10,000 | thousands by filing date | |
| TNT EXPRESS NV-ADR | 87262N109 | COM | 1,476 | $10,000 | thousands by filing date | |
| BANK OF YOKOHAMA-UNSPON ADR | 066011206 | COM | 432 | $10,000 | thousands by filing date | |
| Gabelli Equity Trust Preferred Series D | 362397705 | preferred stock | 400 | $10,000 | thousands by filing date | |
| ORIGEN FINL INC | 68619E208 | COM | 6,000 | $10,000 | thousands by filing date | |
| CONNECTICUT LIGHT | 207597774 | Common Stock | 200 | $10,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 500 | $10,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 650 | $10,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 580 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 100 | $10,000 | thousands by filing date | |
| Freddie Mac 5.9 percent Series U | 313400681 | Common | 1,211 | $10,000 | thousands by filing date | |
| SLM Corp. Pfd | 78442p601 | PREFERRED | 400 | $10,000 | thousands by filing date | |
| CSFB MAND EXCH NOTE 12 RH | 22547QC79 | PRF | 10,000 | $10,000 | thousands by filing date | |
| GTIV US 11/22/14 P15 | CM4625483 | OPT | 247 | $10,000 | thousands by filing date | put |
| TWC US 11/22/14 P135 | CM4640302 | OPT | 32 | $10,000 | thousands by filing date | put |
| PPLUST 7.55 04/01/28 | 740434659 | PRF | 400 | $10,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 445 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 106 | $9,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 1,190 | $9,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 500 | $9,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 440 | $9,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 800 | $9,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 458 | $9,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 459 | $9,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 300 | $9,000 | thousands by filing date | |
| DAIKIN INDS LTD UNSPONS ADR | 23381B106 | FOREIGN | 75 | $9,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 1,300 | $9,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 740 | $9,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 1,035 | $9,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 340 | $9,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 2,260 | $9,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 750 | $9,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 585 | $9,000 | thousands by filing date | |
| RANDSTAD N.V. UNSP | 75279Q108 | Common Stock | 385 | $9,000 | thousands by filing date | |
| LIXIL CORP ADR FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 53931R103 | ADR | 217 | $9,000 | thousands by filing date | |
| FRMO CORPORATION | 30262F205 | COM | 1,000 | $9,000 | thousands by filing date | |
| FORTUM OYJ ADR | 34959F106 | COMMON | 1,788 | $9,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 300 | $9,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 1,345 | $9,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 2,391 | $9,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 950 | $9,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 160 | $9,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 8,310 | $9,000 | thousands by filing date | |
| ESB FINANCIAL CORP | 26884F102 | COM | 779 | $9,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 220 | $9,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 3,180 | $9,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 552 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 500 | $9,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 100 | $9,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 415 | $9,000 | thousands by filing date | |
| Weingarten Realty 6.5% Pfd Series F | 948741889 | com | 337 | $9,000 | thousands by filing date | |
| TATE & LYLE | 876570607 | COM | 230 | $9,000 | thousands by filing date | |
| GUOCO GROUP LTD-UNSPON ADR | 403227101 | COM | 370 | $9,000 | thousands by filing date | |
| TEIJIN LTD-UNSPONSORED ADR | 879063204 | COM | 380 | $9,000 | thousands by filing date | |
| SHANGHAI ELECTRIC-UNSP ADR | 81943J108 | COM | 864 | $9,000 | thousands by filing date | |
| KONICA MINOLTA INC -UNS ADR | 50048B104 | COM | 403 | $9,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 660 | $9,000 | thousands by filing date | |
| Peugeot S.A. | 716830104 | ADR | 682 | $9,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 755 | $9,000 | thousands by filing date | |
| VALLOUREC ORD (OTC) | F95922104 | COM | 200 | $9,000 | thousands by filing date | |
| BMC SOFTWARE LITIGATION RIGHTS | CM4257690 | COM | 87,797 | $9,000 | thousands by filing date | |
| SATURN 7 1/4 06/01/32 | 80411A201 | PRF | 800 | $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 | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 158 | $8,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 3,147 | $8,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 559 | $8,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 2,435 | $8,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 119 | $8,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 500 | $8,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,180 | $8,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 800 | $8,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 290 | $8,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 455 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 895 | $8,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 206 | $8,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 718 | $8,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 1,850 | $8,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 201 | $8,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 1,250 | $8,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 325 | $8,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 160 | $8,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 8,000 | $8,000 | thousands by filing date | principal |
| SAGE GROUP PLC F | 78663S201 | USD | 334 | $8,000 | thousands by filing date | |
| KIMBERLY C | 494386204 | USD | 696 | $8,000 | thousands by filing date | |
| Rostelecom Long Distance ADR | 778529107 | ADR | 482 | $8,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 900 | $8,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 448 | $8,000 | thousands by filing date | |
| Advanced Info Service Adr | 00753G103 | ADR | 1,191 | $8,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 180 | $8,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 725 | $8,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 400 | $8,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B878 | ETF - EQUITY | 185 | $8,000 | thousands by filing date | |
| MEDIVATION INC | 58501NAA9 | NOTE | 4,000 | $8,000 | thousands by filing date | principal |
| CORPBANCA | 21987A209 | SPONSORED ADR | 440 | $8,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 2,770 | $8,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 675 | $8,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 600 | $8,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 300 | $8,000 | thousands by filing date | |
| NAVISTAR INTL CORP | 63934EAL2 | NOTE | 8,000 | $8,000 | thousands by filing date | principal |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 2,080 | $8,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 196 | $8,000 | thousands by filing date | |
| SAPPI LTD | 803069202 | SPON ADR NEW | 2,198 | $8,000 | thousands by filing date | |
| ORIFLAME COSMETICS | 686194200 | Common Stock | 941 | $8,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 406 | $8,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 1,064 | $8,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 400 | $8,000 | thousands by filing date | |
| REINSURANCE GROUP OF AMERICA | 759351703 | PFD | 286 | $8,000 | thousands by filing date | |
| CHYRONHEGO CORP | 171607104 | COM | 2,616 | $8,000 | thousands by filing date | |
| PIZZA INN HOLDINGS INC | 725846109 | COM | 1,000 | $8,000 | thousands by filing date | |
| CHINA ST CONST INTL ADRF UNSPO | 16948h103 | ADR | 110 | $8,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R109 | SPONSORED ADR | 14,652 | $8,000 | thousands by filing date | |
| FEDERAL HYDROGENERATING-ADR | 466294105 | COM | 4,470 | $8,000 | thousands by filing date | |
| JINPAN INTERNATIONAL LTD | 477391999 | COM | 1,040 | $8,000 | thousands by filing date | |
| WISCONSIN PUBLIC | 976843300 | PRF | 76 | $8,000 | thousands by filing date | |
| BR MALLS PARTICIPA-SP ADR | 111203105 | COM | 500 | $8,000 | thousands by filing date | |
| PREMIER OIL PLC-SPONS ADR | 740536107 | COM | 1,396 | $8,000 | thousands by filing date | |
| YAHOO! JAPAN CORP-UNSPON ADR | 98433V102 | COM | 1,037 | $8,000 | thousands by filing date | |
| GEMALTO NV-SPONSORED ADR | 36863N208 | COM | 170 | $8,000 | thousands by filing date | |
| NEW WORLD DEVELOP -SPONS ADR | 649274305 | COM | 3,342 | $8,000 | thousands by filing date | |
| NuStar Logistics 7.625%Nts Cl | 67059t204 | PFD | 300 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E267 | GBLX JR MNRS NEW | 600 | $8,000 | thousands by filing date | |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 7,750 | $8,000 | thousands by filing date | |
| GOLDEN AGRI-RESOURCES LTD | 380787200 | COM | 198 | $8,000 | thousands by filing date | |
| THIRD CENTURY BANCORP | 884120106 | Common Stock | 1,000 | $8,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 240 | $8,000 | thousands by filing date | |
| DIRECT LINE INS GP PLC ADR | 25490E103 | ADR | 430 | $8,000 | thousands by filing date | |
| FDO US 10/18/14 P72.5 | CM4082717 | OPT | 325 | $8,000 | thousands by filing date | call |
| ALB US 10/18/14 P60 | CM4464086 | OPT | 41 | $8,000 | thousands by filing date | put |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 383 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-14-011985 | this filing | 2014-11-14 | acceptance time not in the bulk data set |