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 |
|---|---|---|---|---|---|---|
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 96 | $7,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 346 | $7,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 311 | $7,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 320 | $7,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 265 | $7,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 300 | $7,000 | thousands by filing date | |
| BYD CO LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 05606L100 | Equity | 497 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 239 | $7,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 400 | $7,000 | thousands by filing date | |
| FUJITSU LTD ADR NEW | 359590304 | COMMON STOCK | 220 | $7,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 365 | $7,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 325 | $7,000 | thousands by filing date | |
| Kerry Group Plc Sponsored Adr | 492460100 | USD | 100 | $7,000 | thousands by filing date | |
| ENN ENERGY HOLDINGS UNSP ADR | 26876F102 | COM | 43 | $7,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 275 | $7,000 | thousands by filing date | |
| Ipsen Sa Sp Adr | 462629205 | ADR | 545 | $7,000 | thousands by filing date | |
| KUNLUN ENERGY | 50126A101 | Common Stock | 491 | $7,000 | thousands by filing date | |
| XINYI GLASS HLDGS LTD FSPONSORED ADR 1 ADR REPS 20 ORD SHS | 98418R100 | ADR | 522 | $7,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 279 | $7,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 2,970 | $7,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 2,080 | $7,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 5,245 | $7,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 1,520 | $7,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 3,530 | $7,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 2,040 | $7,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 2,250 | $7,000 | thousands by filing date | |
| MOCON INC | 607494101 | COM | 500 | $7,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 815 | $7,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 500 | $7,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 888 | $7,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 335 | $7,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 1,040 | $7,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 200 | $7,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC SR NT CONV DTD 6/3/2010 2.75% 5/15/2015 | 795435AC0 | CONVERTIBLE | 2,000 | $7,000 | thousands by filing date | principal |
| PHI INC | 69336T106 | COM VTG | 167 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 199 | $7,000 | thousands by filing date | |
| MAGYAR TELEKOM TELE-SPON ADR | 559776109 | ADR | 967 | $7,000 | thousands by filing date | |
| ESTACIO PARTICIPACO ADRF 1SPON | 297319105 | ADR | 650 | $7,000 | thousands by filing date | |
| PUBLIC STORAGE SER W | 74460w875 | PREFERRED | 300 | $7,000 | thousands by filing date | |
| KENNADY DIAMONDS INC | 489165100 | COM | 1,020 | $7,000 | thousands by filing date | |
| INDRA SISTEMAS SA-UNSP ADR | 45579R106 | COM | 978 | $7,000 | thousands by filing date | |
| HUTCHISON TELECOMMUNI-ADR | 44841V102 | COM | 1,173 | $7,000 | thousands by filing date | |
| PETROFAC LTD- UNSPON ADR | 716473103 | COM | 729 | $7,000 | thousands by filing date | |
| VOESTALPINE AG-UNSPON ADR | 928578103 | COM | 900 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 254 | $7,000 | thousands by filing date | |
| SMURFIT KAPPA PLC DUBLIN UNSPONSORD ADR | 83272W106 | ADR | 150 | $7,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 678 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 300 | $7,000 | thousands by filing date | |
| RSA INSURANCE GROUP PLC ADR | 74971A206 | ADR | 915 | $7,000 | thousands by filing date | |
| HAIER ELECTRONICS GROUP CO LTD UNSP ADR EACH REPR 10 ORD | 40522E104 | COMMON STOCK | 50 | $7,000 | thousands by filing date | |
| DAVIDE CAMPARI-MILANO ADR | 23857W105 | ADR | 2,000 | $7,000 | thousands by filing date | |
| BILLABONG INTL LTD-UNSP ADR | 090055104 | ADR | 5,851 | $7,000 | thousands by filing date | |
| SKY DEUTSCHLAND AG ADR | 83083B101 | ADR | 785 | $7,000 | thousands by filing date | |
| FMCC 0 | 313400756 | PRF | 500 | $7,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 385 | $6,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 385 | $6,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 250 | $6,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 154 | $6,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 392 | $6,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 59 | $6,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 103 | $6,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 260 | $6,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,080 | $6,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 330 | $6,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 427 | $6,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 150 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 50 | $6,000 | thousands by filing date | |
| RHEINMETALL AG ADR | 76206K107 | ADR | 660 | $6,000 | thousands by filing date | |
| TDK Corp | 872351408 | Equity | 105 | $6,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 210 | $6,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 6,000 | $6,000 | thousands by filing date | principal |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 536 | $6,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 178 | $6,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 780 | $6,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 360 | $6,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 655 | $6,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 255 | $6,000 | thousands by filing date | |
| UOL GROUP LIMITED-SP ADR | 91529G105 | COM | 310 | $6,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 1,900 | $6,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 600 | $6,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 790 | $6,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 1,151 | $6,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 365 | $6,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 330 | $6,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 320 | $6,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 515 | $6,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 1,940 | $6,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 540 | $6,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 2,042 | $6,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 490 | $6,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 1,540 | $6,000 | thousands by filing date | |
| STANLEY BLACK & DECKER CON | 854502309 | UNIT 99/99/9999 | 43 | $6,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 2,110 | $6,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 1,075 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,340 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 2,000 | $6,000 | thousands by filing date | |
| Berkshire Income Realty Inc Cl A PFD | 084690205 | Pfd Stk | 212 | $6,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 5,000 | $6,000 | thousands by filing date | principal |
| GP STRATEGIES CORP | 36225V104 | COM | 200 | $6,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 620 | $6,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 85 | $6,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 1,760 | $6,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 500 | $6,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 1,000 | $6,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 500 | $6,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 369 | $6,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 241 | $6,000 | thousands by filing date | |
| PPC LTD | 69354A104 | Common Stock | 1,208 | $6,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 2,000 | $6,000 | thousands by filing date | principal |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 320 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F135 | ETN CBOE SPBUY | 94 | $6,000 | thousands by filing date | |
| BELLE INTERNATIONAL | 078454105 | COM | 533 | $6,000 | thousands by filing date | |
| Georgia Power CO Cl A PFD 6.125% | 373334473 | Preferred Stock | 218 | $6,000 | thousands by filing date | |
| FIRST TRUST VALUE LINE EQUITY | 336919105 | COM | 219 | $6,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L477 | US TRES STEEP | 150 | $6,000 | thousands by filing date | |
| DUKE REALTY CORP PFD 1/10 K | 264411760 | PFD | 250 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J257 | TAIWAN ALPHADE | 161 | $6,000 | thousands by filing date | |
| CAPITALAND LTD-SPON ADR | 140547100 | COM | 1,290 | $6,000 | thousands by filing date | |
| HYPERMARCAS S.A-SPN ADR | 44915J100 | COM | 773 | $6,000 | thousands by filing date | |
| TAISEI CORP-UNSPONSORED ADR | 874018203 | COM | 110 | $6,000 | thousands by filing date | |
| HSBC USA INC SERIES G ADJ RATE | 40428H888 | PREFERRED STOCK | 240 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 161 | $6,000 | thousands by filing date | |
| Vodafone Group PLC | G93882192 | ADR | 1,909 | $6,000 | thousands by filing date | |
| INTERPIPELINELTD | 45833V109 | Common/Ordinary | 194 | $6,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 120 | $6,000 | thousands by filing date | |
| Nashville Area ETF | 53957P106 | NASHVILLE AREA E | 200 | $6,000 | thousands by filing date | |
| LONE PINE RES CDA LTD COM CL A | 54222R109 | COM | 3,118 | $6,000 | thousands by filing date | |
| EFG EUROBANK ERGASIAS SA ADR | 26844B209 | ADR | 31,909 | $6,000 | thousands by filing date | |
| JARDINE LLOYD THOMPSON GROUP | G55440104 | COM | 400 | $6,000 | thousands by filing date | |
| NOBEL BIOCARE HOLDING AG-REG | H5783Q130 | COM | 325 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 45 | $5,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 3,000 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 56 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 255 | $5,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 450 | $5,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 135 | $5,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 136 | $5,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 329 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 170 | $5,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 661 | $5,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 230 | $5,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 420 | $5,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 230 | $5,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 100 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 144 | $5,000 | thousands by filing date | |
| Isuzu Motors Ltd. | 465254209 | COM | 70 | $5,000 | thousands by filing date | |
| MONOTARO CO LTD UNSPONS ADR | 61022V107 | FOREIGN | 190 | $5,000 | thousands by filing date | |
| GREEK ORGANISATION OF FOOTBALL | 392483103 | ADR | 830 | $5,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 2,540 | $5,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 219 | $5,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 455 | $5,000 | thousands by filing date | |
| LOCALIZA RENT A CAR SPN ADR | 53956W300 | COM | 378 | $5,000 | thousands by filing date | |
| KAWASAKI HEAVY INDS-SP ADR | 486359201 | COM | 306 | $5,000 | thousands by filing date | |
| GREAT WALL MOTOR CO LTD ADR | 39137B109 | COM | 125 | $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 | |
| UTS GULF COAST ULTRA DEEP | 40222T104 | COMMON STK | 2,519 | $5,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 4,050 | $5,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 649 | $5,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 2,000 | $5,000 | thousands by filing date | principal |
| MULTI FINELINE ELECTRONIX IN | 62541B101 | COM | 570 | $5,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 430 | $5,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 6,561 | $5,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 2,295 | $5,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 4,937 | $5,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 200 | $5,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 272 | $5,000 | thousands by filing date | |
| KONAMI CORP-ADR | 50046R101 | SPON | 233 | $5,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 200 | $5,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 290 | $5,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 2,163 | $5,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 525 | $5,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 500 | $5,000 | thousands by filing date | |
| CYS INVTS 7.75%SER A PFD | 12673A207 | ps | 200 | $5,000 | thousands by filing date | |
| Israel Chemicals Limited (ADR) | 465036200 | COM | 745 | $5,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 637 | $5,000 | thousands by filing date | |
| CHINA XINIYA FASHION LTD | 16950W105 | SPONSORED ADR | 7,293 | $5,000 | thousands by filing date | |
| POSTNL NV-ADR | 73753A103 | COM | 1,003 | $5,000 | thousands by filing date | |
| TURKIYE VAKIFLAR-UNSPON ADR | 90015N103 | COM | 265 | $5,000 | thousands by filing date | |
| PT INDOSAT-ADR | 744383100 | COM | 345 | $5,000 | thousands by filing date | |
| CHINA MERCHANTS-UNSPON ADR | 1694EN103 | COM | 170 | $5,000 | thousands by filing date | |
| Arch Capital 6.75% BBB QDI Cl | g0450a204 | PFD | 175 | $5,000 | thousands by filing date | |
| CORTS TR II PROVIDENT FING COR | 22081B200 | PFD | 190 | $5,000 | thousands by filing date | |
| Health Discovery Corp | 42218r100 | com | 200,000 | $5,000 | thousands by filing date | |
| DAIHATSU MTR CO LTD ADR | 23381A108 | ADR | 155 | $5,000 | thousands by filing date | |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 272 | $5,000 | thousands by filing date | |
| JSR CORP ADR | 46632X106 | ADR | 312 | $5,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 187 | $5,000 | thousands by filing date | |
| Aisin Corp | 00956Q106 | Common Stock | 135 | $5,000 | thousands by filing date | |
| MITSUBISHI TANABE PHARMA COR SPONSORED ADR | 606813202 | Stock | 321 | $5,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR HRZN SP500 CV C | 30151E103 | CEF | 100 | $5,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 274 | $5,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 250 | $5,000 | thousands by filing date | |
| Xhibit Corp Inc | 98419u102 | U.S. COMMON STOCK | 11,000 | $5,000 | thousands by filing date | |
| VERESEN INC | 92340R106 | Common/Ordinary | 300 | $5,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227880 | PFD | 220 | $5,000 | thousands by filing date | |
| Entergy Miss Pfd 6.20% 4/15/40 | 29364N843 | Pfd Stk | 200 | $5,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 875 | $5,000 | thousands by filing date | |
| TWTC US 10/18/14 C40 | CM4524190 | OPT | 23 | $5,000 | thousands by filing date | call |
| IRM US 11/22/14 P30 | CM4675776 | OPT | 91 | $5,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 1,200 | $4,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R866 | INTER MUN BD ACT | 73 | $4,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 690 | $4,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 200 | $4,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 60 | $4,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 1,080 | $4,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 119 | $4,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 100 | $4,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 270 | $4,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 305 | $4,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 195 | $4,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 136 | $4,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 174 | $4,000 | thousands by filing date | |
| PRADA S P A FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 73942H100 | AMERICAN DEPOSITORY | 305 | $4,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 199 | $4,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 600 | $4,000 | thousands by filing date | |
| Astronics Class B Convertible | 046433207 | COM | 83 | $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 | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 200 | $4,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 530 | $4,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 4,320 | $4,000 | thousands by filing date | |
| MARUI LTD-UNSPON ADR | 573814308 | COM | 230 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,660 | $4,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 2,720 | $4,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 36 | $4,000 | thousands by filing date | |
| GENTING BERHAD SPONS ADR | 372452300 | COMMON STK | 246 | $4,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 112 | $4,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 310 | $4,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 2,000 | $4,000 | thousands by filing date | principal |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 3,787 | $4,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 256 | $4,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 2,100 | $4,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 570 | $4,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 2,612 | $4,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 625 | $4,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 3,426 | $4,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 360 | $4,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 150 | $4,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| REALNETWORKS INC | 75605L708 | COM | 600 | $4,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 220 | $4,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 7,900 | $4,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 460 | $4,000 | thousands by filing date | |
| FIRST CAPITAL BANCORP VA | 319438107 | COM | 1,000 | $4,000 | thousands by filing date | |
| STATE STR CORP PFD | 857477509 | PREFERRED | 188 | $4,000 | thousands by filing date | |
| NATIONAL RETAIL PROPERTIES | 637417601 | PFD | 149 | $4,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 85 | $4,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 1,000 | $4,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E424 | GLOBAL X NIGER | 278 | $4,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 200 | $4,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 103 | $4,000 | thousands by filing date | |
| DORAL FINL CORP COM | 25811P852 | COM | 530 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 69 | $4,000 | thousands by filing date | |
| PRANA BIOTECHNOLOGY LTD | 739727105 | SPONSORED ADR | 1,936 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q736 | FDMTL EMKLODBT | 183 | $4,000 | thousands by filing date | |
| BEIJING ENTERPRISES HLDGS ADR | 07725Q200 | ADR | 50 | $4,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF DEP | 69360J685 | PFD | 175 | $4,000 | thousands by filing date | |
| CATHAY PAC AIRWAYS-SPONS ADR | 148906308 | COM | 448 | $4,000 | thousands by filing date | |
| FEDL HOME LOAN MTG CORP | 313400863 | PRF | 275 | $4,000 | thousands by filing date | |
| ALPHA BANK AE-SPON ADR | 02071M101 | COM | 19,166 | $4,000 | thousands by filing date | |
| SHIN ETSU CHEMICAL CO | J72810120 | COM | 65 | $4,000 | thousands by filing date | |
| CP POKPHAND-SPONS ADR | 125918201 | COM | 1,320 | $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 | 940 | $4,000 | thousands by filing date | |
| MAN SE-UNSPONSORED ADR | 561641101 | COM | 330 | $4,000 | thousands by filing date | |
| GRUPO CARSO -SPONS ADR | 400485207 | COM | 340 | $4,000 | thousands by filing date | |
| BUFFETS RESTAURANTS HOLDINGS | BAX3UNMB3 | COM | 1,071 | $4,000 | thousands by filing date | |
| Axis Capital 6.875% Cl 4/17 QD | g0692u307 | PFD | 142 | $4,000 | thousands by filing date | |
| TURKIYE HALK BANKASI-UNS ADR | 900150103 | ADR | 327 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 288 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 158 | $4,000 | thousands by filing date | |
| ISTAR INC. 8 PFD | 45031U408 | PREFERRED STOCK | 175 | $4,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 200 | $4,000 | thousands by filing date | |
| KROTON EDUCACIONAL S A SPONSORED ADR | 50106A402 | Stock | 620 | $4,000 | thousands by filing date | |
| Trillium Therapeutics @6.30Cd | 89620X100 | preferred | 20,000 | $4,000 | thousands by filing date | |
| ABERDEEN ASSET MGMT PL ADR | 00300A104 | ADR | 341 | $4,000 | thousands by filing date | |
| SHPG US 10/18/14 P205 | CM3990756 | OPT | 88 | $4,000 | thousands by filing date | put |
| COV US 11/22/14 P80 | CM4225664 | OPT | 20 | $4,000 | thousands by filing date | put |
| ABBV US 11/22/14 P52.5 | CM4418724 | OPT | 76 | $4,000 | thousands by filing date | put |
| TWC US 01/17/15 P145 | CM4437490 | OPT | 5 | $4,000 | thousands by filing date | put |
| ADS US 12/20/14 P230 | CM4482098 | OPT | 7 | $4,000 | thousands by filing date | put |
| HE 5 | 419866306 | PRF | 200 | $4,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 108 | $3,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 1,580 | $3,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 278 | $3,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 200 | $3,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 930 | $3,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 975 | $3,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 830 | $3,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 140 | $3,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 230 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 34 | $3,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 250 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 43 | $3,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 610 | $3,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 79 | $3,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 275 | $3,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 118 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 121 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 100 | $3,000 | thousands by filing date | |
| COMPNHIA ENRG C | 204409882 | SPONSORED ADR | 527 | $3,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 500 | $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 | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 110 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 26 | $3,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 600 | $3,000 | thousands by filing date | |
| ADVANTEST CORP. | 00762U200 | Common stock | 212 | $3,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 169 | $3,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 99 | $3,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 2,000 | $3,000 | thousands by filing date | principal |
| CONCH CEMENT H UNS ADR | 035243104 | COM | 206 | $3,000 | thousands by filing date | |
| BANK CENTRAL ASIA-UNSPON ADR | 69368G105 | COM | 110 | $3,000 | thousands by filing date | |
| JERONIMO MARTINS-UNSPON ADR | 476493101 | COM | 130 | $3,000 | thousands by filing date | |
| TELE2 AB B UNSPON ADR | 87952P307 | COM | 422 | $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 | 117 | $3,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 48,977 | $3,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 3,800 | $3,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 331 | $3,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 2,000 | $3,000 | thousands by filing date | principal |
| VORNADO REALTY 5.4 PFDPFD SER L | 929042844 | PREFERRED STOCK | 129 | $3,000 | thousands by filing date | |
| K PLUS S AG | 48265W108 | COMMON STK | 198 | $3,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 284 | $3,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 500 | $3,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 105 | $3,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 592 | $3,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 3,000 | $3,000 | thousands by filing date | principal |
| KEY ENERGY SVCS INC | 492914106 | COM | 672 | $3,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 101 | $3,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 220 | $3,000 | thousands by filing date | |
| Assurenced Guaranty Muni 6.875%due 12/15/2 | 04623A205 | Pfd Stk | 100 | $3,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 102 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 840 | $3,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 1,396 | $3,000 | thousands by filing date | |
| FRISCH'S RESTAURANTS INC | 358748101 | COM | 120 | $3,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 90 | $3,000 | thousands by filing date | |
| CALIFORNIA FIRST NATL BANCOR | 130222102 | COM | 170 | $3,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 200 | $3,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 65 | $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 | 750 | $3,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 200 | $3,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 3,000 | $3,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TR | 301505509 | YRKVL HIINCINF | 140 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 300 | $3,000 | thousands by filing date | |
| CHORUS LTD ADR | 17040V107 | ADR | 426 | $3,000 | thousands by filing date | |
| DIGITAL REALTY TRUST $1.75 PFD | 253868707 | PREFERRED | 98 | $3,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 1,010 | $3,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 172 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 114 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,380 | $3,000 | thousands by filing date | |
| PROSHARES TR II | 74347W106 | ULT DJ UBS COMM | 200 | $3,000 | thousands by filing date | |
| Georgetown Bancorp, Inc. | 372591107 | Common Stock | 216 | $3,000 | thousands by filing date | |
| BANK OF AMERICA | 060505831 | PFD | 103 | $3,000 | thousands by filing date | |
| JASMINE INTERNATIONAL | 47116Q104 | COM | 1,680 | $3,000 | thousands by filing date | |
| SENIOR HOUSING PROP TRUST 5.625% | 81721M208 | PREFERRED | 142 | $3,000 | thousands by filing date | |
| GE CAPITAL CORP | 369622394 | PREFERRED | 134 | $3,000 | thousands by filing date | |
| LADBROKES PLC-ADR | 505730101 | COM | 1,524 | $3,000 | thousands by filing date | |
| POWER FINANCIAL CORP | 73927C100 | COM | 90 | $3,000 | thousands by filing date | |
| AGL ENERGY LTD-UNSP ADR | 001201102 | COM | 215 | $3,000 | thousands by filing date | |
| SALZGITTER AG-UNSP ADR | 795842202 | COM | 760 | $3,000 | thousands by filing date | |
| FLSMIDTH & CO A/S-UNSPON ADR | 343793105 | COM | 624 | $3,000 | thousands by filing date | |
| MURRAY & ROBERTS-SPON ADR | 626805204 | COM | 1,540 | $3,000 | thousands by filing date | |
| CAIRN ENERGY PLC-UNSPON ADR | 12776P200 | COM | 608 | $3,000 | thousands by filing date | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $3,000 | thousands by filing date | |
| GKN PLC - SPONSORED ADR | 361755606 | COM | 653 | $3,000 | thousands by filing date | |
| EXCELSIOR ABSOLUTE RETURN | BRSAUR526 | LP | 2 | $3,000 | thousands by filing date | |
| NOKIAN TYRES OYJ-UNSPON ADR | 65528V107 | ADR | 171 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B720 | KBW INS PORT | 40 | $3,000 | thousands by filing date | |
| ANNALY CAP MGMT INCPFD SER | 035710508 | EQUITIES | 100 | $3,000 | thousands by filing date | |
| UBS PFD TR IV | 90263W201 | EQPFD | 144 | $3,000 | thousands by filing date | |
| CHINA MOBILE GAMES & ENTERTAINMENT LTD | 16952T100 | COM | 165 | $3,000 | thousands by filing date | |
| Ingenico ADR | 45684W107 | COM | 146 | $3,000 | thousands by filing date | |
| AFLAC INC 5.5%52SUB DE | 001055300 | pfd | 138 | $3,000 | thousands by filing date | |
| AMP HLDG INC COM | 001754100 | COM | 15,000 | $3,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 220 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 3,000 | $3,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 359 | $3,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 234 | $3,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 254 | $3,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 1,600 | $3,000 | thousands by filing date | |
| Southern CA Gas Co | 842434300 | COM | 100 | $3,000 | thousands by filing date | |
| BEACH ENERGY LTD UNSP ADR REP 20 ORD (PNK) | 073333106 | SPONSORED ADR | 138 | $3,000 | thousands by filing date | |
| Medbox Inc | 58405D100 | Common Stock | 293 | $3,000 | thousands by filing date | |
| Eutelsat Communications SA Unsponsored ADR EUTLY | 29888Q108 | Equity ADR | 360 | $3,000 | thousands by filing date | |
| AVITA MEDICAL LTD | Q1225T105 | COM | 35,000 | $3,000 | thousands by filing date | |
| BKW US 01/17/15 P32 | CM4250403 | OPT | 6 | $3,000 | thousands by filing date | put |
| SHPG US 10/18/14 P225 | CM4418726 | OPT | 17 | $3,000 | thousands by filing date | put |
| AIR CANADA-CLASS A | 008911703 | COM | 450 | $3,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 27 | $2,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 700 | $2,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 54 | $2,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 60 | $2,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 52 | $2,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 144 | $2,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 131 | $2,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 190 | $2,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 120 | $2,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 305 | $2,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 70 | $2,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 129 | $2,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 525 | $2,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 168 | $2,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 101 | $2,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 240 | $2,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 30 | $2,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 80 | $2,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 280 | $2,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 117 | $2,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 300 | $2,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 95 | $2,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 35 | $2,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 221 | $2,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 260 | $2,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 210 | $2,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 200 | $2,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 100 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 35 | $2,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 123 | $2,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 20 | $2,000 | thousands by filing date | |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $2,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 990 | $2,000 | thousands by filing date | |
| LUNDIN MINING CORP | 550372106 | COMMON STOCK-FO | 500 | $2,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 16 | $2,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 700 | $2,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 30 | $2,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 3,190 | $2,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 70 | $2,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 160 | $2,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 2,000 | $2,000 | thousands by filing date | principal |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 320 | $2,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 210 | $2,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 140 | $2,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 430 | $2,000 | thousands by filing date | |
| SMC CORP J | 78445W306 | USD | 130 | $2,000 | thousands by filing date | |
| ANADOLU EFES BIRACILIK ADR | 032523201 | COM | 830 | $2,000 | thousands by filing date | |
| ASX LTD UNSPONSORED ADR | 00212E103 | COM | 50 | $2,000 | thousands by filing date | |
| MARFRIG GLOBAL FOOD SPON ADR | 56656T105 | COM | 755 | $2,000 | thousands by filing date | |
| ONO PHARMACEUTICAL CO UN ADR | 682736103 | COM | 125 | $2,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 200 | $2,000 | thousands by filing date | |
| Sino Ld Ltd Sp ADR | 829344308 | ADR | 275 | $2,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $2,000 | thousands by filing date | |
| Sanofi SA | F5548N101 | COM | 15 | $2,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 56 | $2,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 39 | $2,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 369 | $2,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 65 | $2,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 2,000 | $2,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 53 | $2,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 1,500 | $2,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 625 | $2,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 1,450 | $2,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 940 | $2,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 985 | $2,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 370 | $2,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 230 | $2,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 85 | $2,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 1,555 | $2,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 838 | $2,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 645 | $2,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 270 | $2,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 2,244 | $2,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 1,855 | $2,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 1,290 | $2,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 645 | $2,000 | thousands by filing date | |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 2,000 | $2,000 | thousands by filing date | principal |
| PENFORD CORP | 707051108 | COM | 150 | $2,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 80 | $2,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 753 | $2,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 120 | $2,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 740 | $2,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 7,672 | $2,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 250 | $2,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 115 | $2,000 | thousands by filing date | |
| KIMCO RLTY CORP $1.5 PFD | 49446R794 | PREFERRED | 88 | $2,000 | thousands by filing date | |
| VORNADO RLTY TR $1.425 PFD | 929042851 | PREFERRED | 80 | $2,000 | thousands by filing date | |
| INTERNET INITIATIVE JAPAN | 46059T109 | COM | 154 | $2,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 100 | $2,000 | thousands by filing date | |
| ESSEX RENT CORP COM | 297187106 | Common | 900 | $2,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 307 | $2,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 66 | $2,000 | thousands by filing date | |
| PROMOTORA DE INFORMACIONES-A | 74343G204 | CMN | 1,967 | $2,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 2,000 | $2,000 | thousands by filing date | principal |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 64 | $2,000 | thousands by filing date | |
| CSR PLC | 12640Y205 | SPONSORED ADR | 40 | $2,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 746 | $2,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 100 | $2,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 1,200 | $2,000 | thousands by filing date | |
| LE GAGA HLDGS LTD | 521168104 | SPONSORED ADR | 420 | $2,000 | thousands by filing date | |
| KIMCO PFD H 6.90% H K | 49446R828 | PREFERR | 64 | $2,000 | thousands by filing date | |
| WORLETYPARSONS LTD | 98161Q101 | COM | 118 | $2,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 1,333 | $2,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 166 | $2,000 | thousands by filing date | |
| CHINA ZENIX AUTO INTL LTD | 16951E104 | ADS | 885 | $2,000 | thousands by filing date | |
| KIMCO REALTY CORP | 49446R778 | PRD | 93 | $2,000 | thousands by filing date | |
| UBIC INC | 90346V105 | SPONSORED ADR | 111 | $2,000 | 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 |