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 |
|---|---|---|---|---|---|---|
| QWEST CORP | 74913G501 | PFD | 22,891 | $576,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 9,313 | $573,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 6,136 | $571,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 22,029 | $569,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 17,124 | $567,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 870,000 | $567,000 | thousands by filing date | principal |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 46,604 | $564,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 22,606 | $564,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 38,388 | $563,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 19,029 | $560,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 130,214 | $558,000 | thousands by filing date | |
| METLIFE INC $0.065 PFD | 59156R603 | PREFERRED | 21,777 | $558,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 12,403 | $556,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 44,646 | $555,000 | thousands by filing date | |
| TENCENT HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 88032Q109 | Equity | 37,320 | $555,000 | thousands by filing date | |
| SOFTBANK GROUP CORP. | 83404D109 | Common stock | 15,798 | $555,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 11,962 | $554,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 5,837 | $553,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 28,313 | $553,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 16,247 | $550,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 42,200 | $550,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 30,725 | $548,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 3,113 | $543,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 8,162 | $542,000 | thousands by filing date | |
| ISHARES B-CA | 46432F404 | COM | 10,527 | $542,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 22,464 | $539,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 31,535 | $538,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 7,888 | $537,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 5,824 | $533,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 32,599 | $532,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,196 | $529,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 141,125 | $529,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 4,853 | $527,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 9,154 | $525,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 33,163 | $525,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 11,039 | $522,000 | thousands by filing date | |
| ACCESS MIDSTREAM PARTNERS L | 00434L109 | UNIT | 8,181 | $520,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 52,875 | $516,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 24,219 | $516,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $516,000 | thousands by filing date | |
| AXA SA FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 054536107 | ADR | 20,915 | $515,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 9,725 | $513,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 5,170 | $513,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $513,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 12,038 | $511,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 90,284 | $510,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 43,182 | $508,000 | thousands by filing date | |
| ISHARES JPM USD EM BND | 0B2NPKV68 | COM | 4,527 | $506,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 9,450 | $505,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 59,222 | $504,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 10,308 | $502,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 28,849 | $500,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 23,527 | $499,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 25,267 | $497,000 | thousands by filing date | |
| Basf Se-Spon Adr | 055262505 | Equity | 5,369 | $493,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 11,411 | $492,000 | thousands by filing date | |
| BG GROUP PLC - SPON ADR | 055434203 | ADR | 26,639 | $492,000 | thousands by filing date | |
| COMMONWEALTH BK AUS-SP ADR | 202712600 | COM | 7,235 | $491,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 48,930 | $490,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 4,076 | $488,000 | thousands by filing date | |
| AIA GROUP LTD SPONSORED ADR | 001317205 | ADUS | 23,585 | $488,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 49,352 | $485,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 6,709 | $484,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 18,085 | $484,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 12,234 | $483,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 18,225 | $481,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 399,000 | $478,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 501,000 | $478,000 | thousands by filing date | principal |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 17,127 | $472,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 473,000 | $472,000 | thousands by filing date | principal |
| MORGAN STANLEY PFD A 1/1000 | 61747S504 | PREFERR | 23,583 | $470,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 36,584 | $468,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 19,523 | $463,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 8,286 | $461,000 | thousands by filing date | |
| MORGAN STANLEY CAP TRUST #4 PF | 617462205 | PREFERR | 18,335 | $461,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 9,201 | $460,000 | thousands by filing date | |
| HCI 8 01/30/20 | 40416E301 | PRF | 17,592 | $460,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 9,700 | $459,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 23,843 | $458,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 23,574 | $458,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 33,516 | $457,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 49,809 | $457,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 9,142 | $455,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 20,598 | $451,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,474 | $449,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 16,372 | $448,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 8,063 | $445,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 103,301 | $439,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 52,992 | $437,000 | thousands by filing date | |
| CAMPUS CREST COMMUNITIES OPERATING | 13467CAA0 | CONV BND | 457,000 | $434,000 | thousands by filing date | principal |
| HITACHI LTD | 433578507 | COM | 5,675 | $433,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 20,764 | $433,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 13,207 | $431,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 8,050 | $430,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 454,000 | $430,000 | thousands by filing date | principal |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 56,875 | $427,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 20,155 | $425,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 24,244 | $425,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 11,236 | $425,000 | thousands by filing date | |
| SCHWAB 6.00% SERIES B PFD | 808513204 | PREFERR | 16,884 | $424,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 7,120 | $422,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 19,990 | $419,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C337 | S&P 500 VEQTOR | 2,773 | $419,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 12,863 | $417,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 6,053 | $416,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 10,599 | $410,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 13,245 | $407,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 14,695 | $407,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 15,622 | $406,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 31,988 | $406,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 5,671 | $404,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 20,903 | $402,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 14,793 | $401,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 13,172 | $400,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 29,922 | $398,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 11,723 | $396,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 33,566 | $394,000 | thousands by filing date | |
| FANUC CORP ADR FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 307305102 | Equity | 13,079 | $394,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 5,139 | $394,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 6,353 | $393,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 11,900 | $392,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 2,975 | $392,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS INC | 868459AA6 | NOTE 7.5% 5/1/19 | 217,000 | $392,000 | thousands by filing date | principal |
| LAYNE CHRISTENSEN CO | 521050AA2 | CONV BND | 484,000 | $391,000 | thousands by filing date | principal |
| Deutsche Post AG | 25157Y202 | Equity | 12,151 | $390,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 8,340 | $389,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 27,208 | $388,000 | thousands by filing date | |
| Goldman Sachs Series D Pref | 38144G804 | Preferred Stock | 19,306 | $387,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 12,471 | $384,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 18,998 | $383,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 10,225 | $379,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 14,600 | $378,000 | thousands by filing date | |
| HMH PUBLISHERS LLC | CM0005552 | COM | 18,619 | $375,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 22,535 | $374,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 11,250 | $372,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 39,813 | $372,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 10,120 | $370,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 15,560 | $369,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 6,941 | $368,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 11,965 | $368,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 5,830 | $367,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 9,833 | $367,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 11,201 | $364,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 5,985 | $363,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 84,400 | $362,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 4,261 | $362,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 6,826 | $361,000 | thousands by filing date | |
| Fiat SPA Sp ADR Ord | 315621888 | COM | 37,198 | $361,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,943 | $360,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 340,000 | $359,000 | thousands by filing date | principal |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 8,599 | $355,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 21,077 | $355,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 9,660 | $355,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 16,630 | $353,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 10,824 | $353,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 7,808 | $351,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 15,940 | $350,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 2,760 | $349,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 353,000 | $349,000 | thousands by filing date | principal |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 7,366 | $348,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 17,793 | $348,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 13,524 | $348,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 19,017 | $347,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 5,200 | $345,000 | thousands by filing date | |
| ISHARES TARGET DATE 2015 INDEX FUND | 464289305 | ETF | 8,964 | $345,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 13,436 | $342,000 | thousands by filing date | |
| LUKOIL OAO-SPON ADR | 677862997 | COM | 6,711 | $342,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 13,227 | $341,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 11,907 | $341,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 19,344 | $341,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 14,740 | $341,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 4,038 | $340,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 6,066 | $340,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 13,605 | $340,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 7,015 | $339,000 | thousands by filing date | |
| NEWCASTLE INVESTMENT CORP | 65105M504 | COM | 26,248 | $339,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 30,680 | $338,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 13,916 | $337,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 13,545 | $337,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 8,462 | $336,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 323,000 | $336,000 | thousands by filing date | principal |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 14,156 | $335,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 5,675 | $334,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 11,467 | $331,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 16,956 | $330,000 | thousands by filing date | |
| BANK AMERICA CORP | 060505583 | Common Stock | 15,510 | $330,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 3,981 | $328,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 7,161 | $328,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 10,950 | $327,000 | thousands by filing date | |
| CVEO US 10/18/14 P22.5 | CM4552156 | OPT | 304 | $327,000 | thousands by filing date | put |
| AEGON N V | 007924103 | NY REGISTRY SHS | 39,685 | $326,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P143 | RBS NASD LKD41 | 8,205 | $323,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 17,860 | $322,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,240 | $322,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 325,000 | $322,000 | thousands by filing date | principal |
| Violin Memory, Inc. | 92763AAA9 | CONV | 300,000 | $321,000 | thousands by filing date | principal |
| GLENCORE PLC | 37827X100 | UNSP ADR | 26,430 | $319,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 16,922 | $318,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 9,047 | $317,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 7,073 | $317,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 4,009 | $316,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 5,013 | $314,000 | thousands by filing date | |
| IMPERIAL TOBACCO GROUP-ADR | 453142101 | ADR | 3,632 | $314,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 10,173 | $313,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 26,657 | $312,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 5,694 | $310,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 6,227 | $310,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 43,615 | $309,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,533 | $309,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 12,337 | $309,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y825 | US 500 INDEX ETF | 8,925 | $308,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 9,850 | $307,000 | thousands by filing date | |
| Hutchison Whampoa Ltd-Adr | 448415208 | Com | 12,687 | $307,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 6,519 | $306,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 2,330 | $306,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 35,600 | $306,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 17,895 | $306,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 15,117 | $305,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 7,643 | $305,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 6,825 | $304,000 | thousands by filing date | |
| SEVEN AND I HOLDINGS UNSPN ADR | 81783H105 | COM | 3,925 | $304,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 4,813 | $304,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,038 | $302,000 | thousands by filing date | |
| H & Q HEALTHCARE INVESTORS | 404052102 | SH BEN INT | 10,647 | $302,000 | thousands by filing date | |
| LARSEN & TOUBRO-GDR REG S | OB1FZSF77 | GDR | 12,828 | $302,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,478 | $300,000 | thousands by filing date | |
| SCHNEIDER ELEC SA ADR | 80687P106 | COM | 19,541 | $300,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 21,888 | $300,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 8,993 | $300,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 9,602 | $299,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 23,040 | $299,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 7,294 | $298,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 9,727 | $297,000 | thousands by filing date | |
| AKZO NOBEL N.V. SPON ADR | 010199305 | ADR | 13,034 | $297,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 25,098 | $296,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 370,238 | $295,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 13,550 | $295,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 11,278 | $295,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 8,621 | $294,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 8,064 | $294,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 17,447 | $293,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 28,795 | $292,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 12,030 | $290,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 25,292 | $289,000 | thousands by filing date | |
| VIVUS INC | 928551AA8 | CONV BND | 396,000 | $289,000 | thousands by filing date | principal |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,628 | $288,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 25,335 | $288,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 3,534 | $288,000 | thousands by filing date | |
| ASSA ABLOY AB ADR | 045387107 | FOREIGN | 11,087 | $287,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 6,280 | $287,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 10,727 | $286,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,848 | $285,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 27,938 | $285,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 3,389 | $284,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 30,601 | $282,000 | thousands by filing date | |
| KDDI CORP. | 48667L106 | Common stock | 18,783 | $282,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C409 | PERP PFD CNV B | 850 | $282,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 21,041 | $281,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 11,536 | $281,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 5,327 | $280,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 9,044 | $277,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 9,342 | $276,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 10,356 | $275,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 23,023 | $275,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,841 | $274,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 6,295 | $274,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 17,312 | $273,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 2,084 | $272,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,979 | $272,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 13,780 | $272,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 7,003 | $272,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 24,035 | $272,000 | thousands by filing date | |
| CHEUNG KONG HOLDINGS LTD | 166744201 | COM | 16,442 | $271,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 10,644 | $270,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 9,743 | $269,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 22,154 | $269,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 5,157 | $268,000 | thousands by filing date | |
| LINDE AG-SPONSORED ADR | 535223200 | COM | 13,944 | $268,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 11,834 | $268,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 7,706 | $267,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 3,028 | $266,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 30,467 | $266,000 | thousands by filing date | |
| NORDEA BK AB SWED | 65557A206 | COM | 20,387 | $266,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 4,075 | $265,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,694 | $264,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 6,348 | $264,000 | thousands by filing date | |
| Komatsu Ltd. | 500458401 | COM | 11,410 | $264,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 21,196 | $264,000 | thousands by filing date | |
| SWEDBANK AB ADR | 870195104 | COM | 10,470 | $264,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 14,030 | $264,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 6,660 | $263,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 8,810 | $263,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,870 | $262,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 14,630 | $262,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 9,649 | $262,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 23,675 | $262,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 23,318 | $262,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 15,460 | $261,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 11,375 | $261,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 14,593 | $261,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 4,486 | $260,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 15,202 | $260,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 13,557 | $259,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 6,913 | $259,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 9,092 | $258,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 51,284 | $258,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 12,100 | $258,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 5,904 | $257,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 4,674 | $257,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 15,849 | $256,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 24,983 | $255,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 9,900 | $255,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 12,598 | $255,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 10,327 | $254,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 6,510 | $254,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 2,206 | $254,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 6,782 | $250,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 69,013 | $250,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 4,280 | $250,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 9,937 | $249,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 2,136 | $248,000 | thousands by filing date | |
| BMW UNSPONSORED ADR | 072743206 | ADR | 6,931 | $248,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 4,389 | $247,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 12,466 | $247,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 11,002 | $247,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 12,792 | $246,000 | thousands by filing date | |
| GRIFFIN | 398179101 | COMMON STOCK | 24,036 | $246,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 5,461 | $245,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 6,155 | $244,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 17,340 | $243,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 9,829 | $243,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 37,000 | $242,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 13,794 | $242,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P176 | ROGRS ENH ETNS | 10,998 | $242,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,367 | $240,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 16,266 | $240,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,227 | $240,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 28,987 | $240,000 | thousands by filing date | |
| Compass Group Plc-ADS | 20449X302 | COM | 14,838 | $240,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,784 | $239,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 44,262 | $235,000 | thousands by filing date | |
| AB VOLVO B ADR | 928856400 | ADR | 21,594 | $235,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,443 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,007 | $234,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,275 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,736 | $234,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 22,557 | $233,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 9,010 | $232,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 3,164 | $231,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 1,827 | $231,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,113 | $229,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,642 | $229,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 5,517 | $229,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 2,558 | $225,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 8,795 | $225,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 7,523 | $224,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 9,429 | $224,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 13,239 | $224,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 3,659 | $224,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,050 | $223,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 14,912 | $223,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 3,464 | $222,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,607 | $221,000 | thousands by filing date | |
| MITSUBISHI CORP-SPONS ADR | 606769305 | ADR | 5,390 | $221,000 | thousands by filing date | |
| KMI US 01/17/15 P50 | CM4047697 | OPT | 179 | $221,000 | thousands by filing date | put |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 7,045 | $219,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 9,126 | $219,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 9,732 | $219,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 38,725 | $218,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 7,450 | $217,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,550 | $216,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 17,341 | $216,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 8,000 | $216,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 7,840 | $215,000 | thousands by filing date | |
| WOLSELEY PLC - ADR | 977868306 | ADR | 41,026 | $215,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 3,664 | $213,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 8,686 | $213,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 11,625 | $213,000 | thousands by filing date | |
| WINTHROP REALTY TRUST | 976391300 | SH B | 14,172 | $213,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,534 | $212,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 7,781 | $212,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 8,238 | $212,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 2,174 | $211,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 8,058 | $211,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 2,169 | $211,000 | thousands by filing date | |
| ATLAS COPCO AB SP ADR A NEW | 049255706 | COM | 7,305 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 7,118 | $209,000 | thousands by filing date | |
| VIVENDI SA-UNSPON ADR | 92852T201 | COM | 8,644 | $209,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $208,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,053 | $207,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 8,243 | $207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 6,454 | $206,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 6,977 | $205,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,112 | $204,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 16,289 | $204,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 4,300 | $204,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 7,350 | $203,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 8,183 | $203,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 9,192 | $203,000 | thousands by filing date | |
| L OREAL CO ADR | 502117203 | ADUS | 6,374 | $202,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 54,476 | $202,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 25,000 | $202,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,243 | $202,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 5,121 | $201,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 7,801 | $201,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 1,805 | $200,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 4,812 | $199,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 33,199 | $198,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 5,582 | $198,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 13,323 | $198,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439802 | PRF | 7,552 | $198,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 41,500 | $197,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 7,516 | $197,000 | thousands by filing date | |
| KUBOTA CORP ADR | 501173207 | USD | 2,490 | $197,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 12,950 | $197,000 | thousands by filing date | |
| ISHARES US PROPERTY YIELD | 51729V104 | COM | 7,941 | $197,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 4,688 | $196,000 | thousands by filing date | |
| VINCI SA ADR | 927320101 | ADR | 13,424 | $195,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 3,691 | $194,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 4,450 | $194,000 | thousands by filing date | |
| XRS CORP | 983845108 | COM | 34,989 | $194,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 8,138 | $193,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 6,769 | $193,000 | thousands by filing date | |
| COMPAGNIE FIN RICHEMONTAG SWI | 204319107 | ADUS | 23,030 | $192,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,573 | $191,000 | thousands by filing date | |
| WOODSIDE ENERGY GROUP LTD SPONSORED ADR | 980228308 | ADR | 5,266 | $191,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP $1.625 PFD | 38144G184 | PREFERRED | 7,091 | $191,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 6,222 | $191,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,722 | $190,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 7,348 | $190,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 16,954 | $190,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 5,639 | $190,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 167,312 | $190,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 11,156 | $189,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 2,937 | $189,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 9,450 | $188,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 1,687 | $187,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 12,350 | $186,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 14,746 | $185,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 11,315 | $184,000 | thousands by filing date | |
| COCHLEAR LTD-UNSPON ADR | 191459205 | COM | 5,961 | $184,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 1,926 | $183,000 | thousands by filing date | |
| AEGON NV 6.375 $1.594 PFD | 007924301 | PREFERRED | 7,188 | $183,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 13,418 | $182,000 | thousands by filing date | |
| HEINEKEN N V SPONSORED ADR LEVEL 1 | 423012301 | COM | 4,872 | $182,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,697 | $181,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,014 | $181,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 16,877 | $181,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 42,135 | $181,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 4,657 | $180,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 6,643 | $179,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 6,930 | $179,000 | thousands by filing date | |
| NORTHSTAR REIT | 66704R704 | Common Stock | 10,057 | $178,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,643 | $177,000 | thousands by filing date | |
| YARA INTERNATIONAL ADR | 984851204 | COM | 3,505 | $176,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 5,015 | $176,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 3,753 | $176,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 17,694 | $174,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 11,482 | $174,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 4,955 | $174,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 1,718 | $173,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 7,509 | $173,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 3,801 | $173,000 | thousands by filing date | |
| Unibail-Rodamco SE | 904587102 | Common Stock | 6,733 | $173,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 5,101 | $171,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519Y118 | WT | 3,481 | $171,000 | thousands by filing date | |
| GENMAB A/S | K3967W102 | COM | 4,025 | $171,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,840 | $170,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 13,324 | $170,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 12,200 | $169,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 2,110 | $168,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 9,152 | $168,000 | thousands by filing date | |
| DANSKE BANK A/S-UNSPONS ADR | 236363107 | COM | 12,359 | $168,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 3,471 | $167,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 6,479 | $167,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 8,612 | $167,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,792 | $167,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,349 | $166,000 | thousands by filing date | |
| CAPITAL ONE FINL 6.00% | 14040H402 | PRF | 7,089 | $166,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 3,945 | $164,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 4,490 | $164,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 6,549 | $164,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 6,594 | $163,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 9,213 | $163,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 11,940 | $162,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 6,389 | $162,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 17,290 | $162,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 19,899 | $162,000 | thousands by filing date | |
| MAST THERAPEUTICS INC WTS | 576314124 | WT | 1,200,000 | $161,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 1,570 | $160,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 12,540 | $160,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 8,718 | $160,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 3,556 | $159,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 2,138 | $159,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 29,880 | $158,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 3,485 | $158,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 6,877 | $158,000 | thousands by filing date | |
| SAMPO OYJ-A SHS-UNSP ADR | 79588J102 | COM | 6,518 | $158,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 3,415 | $158,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 3,065 | $157,000 | 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 |