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 |
|---|---|---|---|---|---|---|
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 4,056 | $157,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 4,118 | $156,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 5,719 | $156,000 | thousands by filing date | |
| BRITISH SKY BROADCASTING | 111013108 | COM | 2,706 | $155,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 1,238 | $154,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 3,540 | $154,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 9,307 | $153,000 | thousands by filing date | |
| BAC CAPITAL TRUST VIII | 05518T209 | PRF | 6,050 | $153,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 50,000 | $152,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 4,618 | $152,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 5,372 | $152,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 6,926 | $152,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 2,542 | $151,000 | thousands by filing date | |
| HOLCIM LTD-UNSPON ADR | 434741203 | COM | 10,340 | $151,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,770 | $150,000 | thousands by filing date | |
| VOLKSWAGEN AG REPSTG PFD | 928662402 | COM | 3,605 | $150,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 4,070 | $148,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 3,037 | $148,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 3,241 | $147,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 5,739 | $147,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 6,697 | $146,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 12,535 | $146,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 811 | $146,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 8,227 | $146,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 2,880 | $146,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 9,004 | $146,000 | thousands by filing date | |
| ADIDAS AG ADR | 00687A107 | ADUS | 3,854 | $144,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 9,377 | $144,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 251,000 | $144,000 | thousands by filing date | principal |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 11,200 | $144,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,397 | $143,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,061 | $143,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 7,815 | $143,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 2,942 | $142,000 | thousands by filing date | |
| Endurance Specialty 7.5% Cl 6/ | g30397304 | PFD | 5,492 | $142,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 5,428 | $141,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 5,298 | $141,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 5,911 | $141,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 3,469 | $141,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 3,951 | $140,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,290 | $140,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 3,641 | $140,000 | thousands by filing date | |
| Bunzl PLC ADR | 120738406 | USD | 5,347 | $140,000 | thousands by filing date | |
| WHARF HOLDINGS-UNSPON ADR | 962257408 | COM | 9,731 | $140,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 20,000 | $139,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 10,130 | $139,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 1,400 | $138,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 4,650 | $138,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 7,285 | $138,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 25,547 | $136,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 9,094 | $136,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,437 | $136,000 | thousands by filing date | |
| FNB BANCORP INC PA | 302517107 | COM | 800 | $136,000 | thousands by filing date | |
| DAYCO / MARK IV | 257658740 | COM | 2,545 | $136,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 5,731 | $135,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 10,037 | $135,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 5,561 | $134,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 5,021 | $134,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 17,874 | $134,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 5,138 | $134,000 | thousands by filing date | |
| JSC MMC NORILSK ADR | 46626D108 | COM | 7,240 | $134,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 3,897 | $133,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 3,034 | $133,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 2,306 | $132,000 | thousands by filing date | |
| BRIDGESTONE CORP ADR | 108441205 | USD | 8,017 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99C022003 | LP | 1 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99Z190912 | LP | 1 | $132,000 | thousands by filing date | |
| SOVEREIGN NEW MILLENNIUMFUND L | 99Z190920 | LP | 1 | $132,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 5,400 | $131,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 3,872 | $131,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 4,406 | $131,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 28,908 | $131,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 26,885 | $130,000 | thousands by filing date | |
| Deutsche Bank 8.05% Prp Cl6/18 | 25150l108 | PFD | 4,561 | $130,000 | thousands by filing date | |
| KONINKLIJKE AHOLD NV-SP ADR | 500467105 | ADR | 8,074 | $130,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 8,752 | $129,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 4,609 | $129,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 1,495 | $128,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,933 | $128,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 3,872 | $128,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 1,863 | $128,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,049 | $128,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 4,106 | $127,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,973 | $127,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 5,850 | $127,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 4,644 | $127,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 1,681 | $127,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 7,928 | $126,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 1,388 | $126,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 1,190 | $126,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 33,385 | $126,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 4,809 | $126,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 9,690 | $125,000 | thousands by filing date | |
| OLYMPUS CORP-SPON ADR | 68163W109 | COM | 3,492 | $125,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 1,400 | $124,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 7,135 | $124,000 | thousands by filing date | |
| MITSUI & CO LTD ADR | 606827202 | ADUS | 391 | $123,000 | thousands by filing date | |
| JARDINE MATHESON HLDGS LTD ADR | 471115402 | ADR | 2,038 | $122,000 | thousands by filing date | |
| SANLAM LTD-SPONSORED ADR | 80104Q208 | COM | 4,209 | $122,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 930 | $122,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 1,343 | $121,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 2,929 | $121,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 8,916 | $121,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 6,055 | $121,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 4,340 | $120,000 | thousands by filing date | |
| ING GROEP N V | 456837509 | PRF | 4,768 | $120,000 | thousands by filing date | |
| ISHARES S&P/TSX 60 | 46428D108 | INDEX Famp; | 6,179 | $120,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 11,031 | $120,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 5,931 | $119,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,871 | $119,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 8,850 | $118,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 27,924 | $118,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 5,384 | $117,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 1,649 | $117,000 | thousands by filing date | |
| AMCOR LTD SPONSORED ADRFSPONSO | 02341r302 | ADR | 2,885 | $116,000 | thousands by filing date | |
| Pernod Ricard SA ADR | 714264207 | COM | 5,126 | $116,000 | thousands by filing date | |
| TELENOR ASA-NOK | 87944W105 | COMMON STOCK | 1,743 | $115,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 10,935 | $115,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,141 | $115,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 1,659 | $115,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 4,488 | $115,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 4,510 | $114,000 | thousands by filing date | |
| KOC HOLDINGS AS UNSPONSORED TURK ADR | 49989A109 | COM | 4,963 | $114,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 29,836 | $114,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,750 | $113,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 1,194 | $113,000 | thousands by filing date | |
| CenturyLink SnNotes 7.0% 2050 | 74913G402 | PFD | 4,508 | $113,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 2,973 | $112,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 2,350 | $112,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 4,521 | $112,000 | thousands by filing date | |
| ESSILOR INTL S A ADR | 297284200 | ADR | 2,047 | $112,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 4,264 | $112,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 2,510 | $112,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 1,749 | $111,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 9,407 | $111,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 9,259 | $111,000 | thousands by filing date | |
| CAP GEMINI SA ADR | 139098107 | COM | 3,079 | $111,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 12,045 | $111,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 2,792 | $110,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 2,015 | $110,000 | thousands by filing date | |
| Lenovo Group Ltd | 526250105 | Equity | 3,685 | $110,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 8,976 | $109,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 5,651 | $109,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 16,244 | $109,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 6,593 | $109,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 9,733 | $109,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 2,964 | $108,000 | thousands by filing date | |
| GENERAL ELEC CAP $1.219 PFD | 369622410 | PREFERRED | 4,480 | $108,000 | thousands by filing date | |
| OUTR US 11/22/14 P55 | CM4627028 | OPT | 364 | $108,000 | thousands by filing date | put |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 6,041 | $107,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 4,682 | $107,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 17,452 | $107,000 | thousands by filing date | |
| FUJI HEAVY INDUS-UNSPONS ADR | 359556206 | COM | 1,615 | $107,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 4,715 | $106,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 8,000 | $106,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 1,140 | $106,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 15,646 | $106,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 4,752 | $106,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 62,000 | $106,000 | thousands by filing date | principal |
| CIELO SA | 171778202 | Common Stock | 6,542 | $106,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 3,840 | $105,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 5,407 | $105,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 1,323 | $105,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 16,556 | $105,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 68,766 | $105,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 20,860 | $105,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,090 | $105,000 | thousands by filing date | |
| Continental AG | 210771200 | Equity | 2,745 | $104,000 | thousands by filing date | |
| ALLY FINL INC PERP PFD-A FLT | 02005N308 | PREFERR | 3,850 | $104,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 1,471 | $103,000 | thousands by filing date | |
| Inland American Real Estate Trust | 457281103 | Com | 14,835 | $103,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,038 | $102,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 4,021 | $102,000 | thousands by filing date | |
| OTSUKA HOLDINGS CO LTD UNSPONS ADR | 689164101 | FOREIGN | 5,924 | $102,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 1,347 | $102,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 5,230 | $102,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 7,916 | $102,000 | thousands by filing date | |
| IAP WORLDWIDE SERVICES INC | CM3801054 | COM | 121 | $102,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 3,687 | $101,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 3,165 | $101,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 2,421 | $100,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 8,460 | $100,000 | thousands by filing date | |
| LAFARGE | 505861401 | COMMON STOCK | 5,576 | $100,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 3,463 | $100,000 | thousands by filing date | |
| BRAMBLES LTD | 105105100 | COM | 5,908 | $100,000 | thousands by filing date | |
| FUCHS PETROLUB ADR | 35952Q106 | COM | 10,547 | $100,000 | thousands by filing date | |
| Citigroup Inc | 172967358 | COM | 3,756 | $100,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 3,194 | $99,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 4,702 | $99,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 1,698 | $98,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 4,009 | $98,000 | thousands by filing date | |
| KBC GROUP | 48241F104 | USD | 3,675 | $97,000 | thousands by filing date | |
| Deutsche Bk Tst 6.55%Perp Cl 5 | 25153x208 | PFD | 3,752 | $97,000 | thousands by filing date | |
| T US 01/17/15 P35 | CM3023968 | OPT | 675 | $97,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 9,757 | $96,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 7,275 | $96,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 4,576 | $96,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,700 | $96,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 68,050 | $96,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 2,868 | $96,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 4,000 | $96,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 2,250 | $95,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 947 | $95,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 8,301 | $95,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 7,133 | $95,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 23,955 | $95,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 3,746 | $95,000 | thousands by filing date | |
| AEGON NV $2 PFD | 007924608 | PREFERRED | 3,313 | $95,000 | thousands by filing date | |
| RBS CAP FDG TR V GTD TR PFD SECS 5.90% | 74928K208 | PREFERRED EQUITY | 4,017 | $95,000 | thousands by filing date | |
| WEIR GROUP PLC ADR | 94876Q106 | ADR | 4,691 | $95,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 19,809 | $94,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 7,195 | $94,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 7,925 | $94,000 | thousands by filing date | |
| RWE AG | 74975E303 | Equity | 2,394 | $93,000 | thousands by filing date | |
| Carlsberg As | 142795202 | Equity | 5,202 | $92,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 2,889 | $92,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 2,211 | $92,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,051 | $91,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 9,000 | $91,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION PFD 1/1200SER2 NON-CUMULATIVE 3 | 060505625 | Preferred Stock | 4,850 | $91,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 4,365 | $91,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 4,651 | $91,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 4,480 | $90,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 20,725 | $90,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 30,000 | $90,000 | thousands by filing date | |
| DEUTSCHE BANK CAP FUND IX PFD | 25153Y206 | PREFERR | 3,538 | $90,000 | thousands by filing date | |
| WESFARMERS LIMITED-UNSP ADR | 950840207 | ADR | 4,741 | $90,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 2,445 | $89,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1,973 | $89,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 3,498 | $89,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 10,067 | $89,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 889 | $88,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 1,479 | $88,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,173 | $88,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 2,089 | $88,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 40,365 | $88,000 | thousands by filing date | |
| ATLAS COPCO AB SPONS ADR B | 049255805 | COM | 3,380 | $88,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 866 | $87,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 5,305 | $87,000 | thousands by filing date | |
| AMADEUS IT GROUP S A UNSPONSOR | 02263t104 | COM | 2,326 | $87,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 7,897 | $87,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 5,480 | $87,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 6,900 | $87,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 1,102 | $86,000 | thousands by filing date | |
| MAKITA CORP | 560877300 | COMMON STOCK | 1,512 | $86,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 4,226 | $86,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 5,908 | $86,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 2,215 | $85,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 10,563 | $85,000 | thousands by filing date | |
| HERBST GAMING LLC | 427998539 | COM | 8,709 | $85,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 7,284 | $84,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 5,345 | $84,000 | thousands by filing date | |
| MTN GROUP LTD ADR | 62474M108 | COM | 3,987 | $84,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 3,320 | $83,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 10,977 | $83,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 9,999 | $83,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 2,585 | $83,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,222 | $82,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 1,869 | $82,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 22,942 | $82,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 3,934 | $82,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 7,872 | $82,000 | thousands by filing date | |
| COMMERZBANK AG SPONS ADR | 202597605 | COM | 5,477 | $82,000 | thousands by filing date | |
| HANG LUNG PROPERTIES SP ADR | 41043M104 | COM | 5,699 | $82,000 | thousands by filing date | |
| ACCOR SA-UNSPON ADR | 00435F200 | COM | 9,253 | $82,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,000 | $81,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 7,992 | $81,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 2,490 | $81,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,195 | $81,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 8,073 | $81,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC PFD 1/ | 38144X609 | PREFERR | 4,000 | $81,000 | thousands by filing date | |
| SANDS CHINA LTD UNSPONS ADR | 80007R105 | COM | 1,552 | $81,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 919 | $81,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 1,746 | $81,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 3,500 | $81,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 3,759 | $81,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 4,712 | $81,000 | thousands by filing date | |
| TROPICANA ENTERTAINMENT LLC | 89708X204 | COM | 4,284 | $81,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP | 025932401 | STOCK | 3,154 | $81,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 1,435 | $80,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 2,471 | $80,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 10,023 | $80,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 7,285 | $80,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 10,475 | $80,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 3,352 | $80,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 4,507 | $79,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 5,420 | $79,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 4,578 | $79,000 | thousands by filing date | |
| DAIICHI SANKYO CO LTD ADR | 23381D102 | ADR | 5,023 | $79,000 | thousands by filing date | |
| CENTRAL JAPAN RAI-UNSPON ADR | 153766100 | COM | 5,858 | $79,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 3,090 | $79,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 2,430 | $79,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 7,372 | $78,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 4,033 | $78,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 1,585 | $78,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 1,995 | $78,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $78,000 | thousands by filing date | |
| HSBC USA INC | 40428H805 | PFD | 3,575 | $78,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 6,488 | $77,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 3,500 | $77,000 | thousands by filing date | |
| ADECCO GROUP AG ADR | 006754204 | COM | 2,267 | $77,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,875 | $77,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 5,800 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 1,629 | $77,000 | thousands by filing date | |
| ENDURANCE SPECIATY HLDG 7.75% $1.9375 PFD | 29267H208 | PREFERRED | 2,957 | $77,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 5.875% | 879433795 | PREFERR | 3,400 | $77,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 5,826 | $76,000 | thousands by filing date | |
| FAST RETAILING CO LTD ADR | 31188H101 | FOREIGN | 2,278 | $76,000 | thousands by filing date | |
| Banco Do Brasil Sa Spons Adr Ea Repr 1 O | 059578104 | Equity | 7,212 | $76,000 | thousands by filing date | |
| AEON COMPANY LTD- UNSPON ADR | 007627102 | COM | 7,636 | $76,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 6,310 | $76,000 | thousands by filing date | |
| BB&T CORPORATION 5.20% SER G NON-CUM PFD | 054937800 | PFD | 3,524 | $76,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 5,622 | $76,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 9,894 | $75,000 | thousands by filing date | |
| ASTRA INTERNATIONAL ADR | 69367X109 | COM | 6,498 | $75,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 2,250 | $75,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 3,005 | $75,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 10,024 | $74,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 4,701 | $74,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 1,626 | $74,000 | thousands by filing date | |
| AVIVA PLC CAP SECS | 05382A203 | PRF | 2,632 | $74,000 | thousands by filing date | |
| REXAM PLC | 761655604 | COMMON | 1,840 | $74,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 3,110 | $73,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 7,570 | $73,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 2,019 | $73,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 1,341 | $73,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,290 | $73,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 4,205 | $73,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 3,165 | $72,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 7,869 | $72,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 963 | $72,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 11,068 | $72,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 2,397 | $72,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 3,669 | $72,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 7,200 | $71,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 7,942 | $71,000 | thousands by filing date | |
| HONG KONG | 43858F109 | USD | 3,271 | $71,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 9,411 | $71,000 | thousands by filing date | |
| SBERBANK RUSSIA | 80585Y308 | SPONSORED ADR | 9,259 | $71,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 34,399 | $71,000 | thousands by filing date | |
| Merrill Lynch Cap TR IV 7.12% PFD | 59021G204 | Pfd Stk | 2,775 | $71,000 | thousands by filing date | |
| SLM CORP 6.97% PFD SERIES A 12/31/4 | 78442P205 | PREFERRED STOCK | 1,450 | $71,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 2,607 | $70,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 1,659 | $70,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 3,185 | $70,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 676 | $70,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 4,121 | $70,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 6,972 | $70,000 | thousands by filing date | |
| MURATA MANUFACTURING CO LTD | 626425102 | International Equities, EAFE, Large Cap | 2,468 | $70,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 8,266 | $70,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 2,752 | $70,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $70,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 4,608 | $69,000 | thousands by filing date | |
| QWEST CORP | 74913G204 | PFD | 2,662 | $69,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 13,884 | $68,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 914 | $68,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 2,403 | $68,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 1,833 | $68,000 | thousands by filing date | |
| Macquarie Group Ltd | 55607P204 | Equity | 1,345 | $68,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 6,415 | $68,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 6,975 | $68,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 2,075 | $68,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,734 | $68,000 | thousands by filing date | |
| TECHNIP NEW SPONSORED ADR | 878546209 | COM | 3,238 | $68,000 | thousands by filing date | |
| WALMART DE MEXICO SPON ADR SER V | 93114W107 | COM | 2,653 | $67,000 | thousands by filing date | |
| VALEO SA ADR | 919134304 | COM | 1,205 | $67,000 | thousands by filing date | |
| POWERSHARES FTSE | 73936T854 | ASIA PAC EX-JP | 1,238 | $67,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 2,151 | $66,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 816 | $66,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 2,540 | $66,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 3,490 | $66,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 4,076 | $66,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,798 | $66,000 | thousands by filing date | |
| HOYA CORP SPONSORED ADR | 443251103 | ADUS | 1,951 | $66,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 3,486 | $66,000 | thousands by filing date | |
| UNITED UTILITIES GROUP ADR | 91311E102 | COM | 2,535 | $66,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 4,000 | $66,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 4,753 | $65,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 959 | $65,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 3,180 | $65,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 1,006 | $65,000 | thousands by filing date | |
| WESTFIELD GROUP-ADR | 960224103 | COM | 5,034 | $65,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 1,423 | $64,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 3,405 | $64,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 2,870 | $64,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 5,665 | $64,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,240 | $64,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 6,300 | $64,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 1,840 | $64,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 4,232 | $64,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 5,770 | $64,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 3,508 | $64,000 | thousands by filing date | |
| BKW US 01/17/15 P33 | CM4250404 | OPT | 118 | $64,000 | thousands by filing date | put |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 4,003 | $63,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 3,655 | $63,000 | thousands by filing date | |
| STANDARD BANK GROUP LTD ADR | 853118206 | ADR | 5,415 | $63,000 | thousands by filing date | |
| DAIWA HOUSE INDUS UNSP ADR | 234062206 | COM | 3,528 | $63,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 1,875 | $63,000 | thousands by filing date | |
| ISHARES TR | 464289503 | S&P TARGET 25 | 1,516 | $63,000 | thousands by filing date | |
| MARKET VECTORS TREASURY-HEDG | 57061R775 | HI YLD TREA BD | 2,575 | $63,000 | thousands by filing date | |
| TOKYO GAS CO LTD-UNSPON ADR | 889115101 | COM | 2,803 | $63,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 1,915 | $62,000 | thousands by filing date | |
| WOLTERS KLUWER N V SPONSORED A | 977874205 | COM | 2,308 | $62,000 | thousands by filing date | |
| Edp - Energias De Portugal Sa | 268353109 | Equity | 1,432 | $62,000 | thousands by filing date | |
| HENKEL AG AND CO KGAA ADR | 42550U208 | COM | 617 | $62,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 4,935 | $62,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 16,900 | $62,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 3,525 | $62,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 1,223 | $62,000 | thousands by filing date | |
| COUNTRYWIDE CAP IVGTD TR PFD SECS | 22238E206 | EQUITIES | 2,427 | $62,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 25,500 | $62,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 1,328 | $61,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 2,012 | $61,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 1,311 | $61,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 2,005 | $61,000 | thousands by filing date | |
| ASAHI KASEI CORP UNSPON ADR | 043400100 | COM | 3,746 | $61,000 | thousands by filing date | |
| TORAY INDUSTRIES UNSPON ADR | 890880206 | COM | 927 | $61,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 13,055 | $61,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 3,130 | $61,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 1,649 | $61,000 | thousands by filing date | |
| MYL US 11/22/14 P44 | CM4624016 | OPT | 455 | $61,000 | thousands by filing date | put |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 600 | $60,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 3,198 | $60,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 2,528 | $60,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 1,193 | $60,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 7,640 | $60,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,471 | $60,000 | thousands by filing date | |
| SWISSCOM AG-SPONSORED ADR | 871013108 | COM | 1,048 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,239 | $59,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 5,304 | $59,000 | thousands by filing date | |
| Merrill Lynch PFD Cap TR Iiitoprs 7% | 59021F206 | Pfd Stk | 2,300 | $59,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 1,550 | $59,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 16,470 | $59,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X673 | INTL INDS ETF | 1,935 | $59,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 8,974 | $59,000 | thousands by filing date | |
| GABELLI UTIL TR SER A | 36240A200 | PRF | 2,336 | $59,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 4,715 | $58,000 | thousands by filing date | |
| TULLOW OIL PLC-UNSPON ADR | 899415202 | ADR | 10,990 | $58,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 1,579 | $58,000 | thousands by filing date | |
| WM MORRISON-UNSPON ADR | 92933J107 | COM | 4,273 | $58,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 2,007 | $57,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 3,620 | $57,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 2,891 | $57,000 | thousands by filing date | |
| NEDBANK GROUP LTD ADR | 63975K104 | ADR | 2,964 | $57,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 6,000 | $57,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 2,574 | $57,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 3,503 | $57,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 1,921 | $57,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS PFD B 7.875 | 866082308 | PFD | 2,125 | $57,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,207 | $56,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 5,010 | $56,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 600 | $56,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 2,192 | $56,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 10,703 | $56,000 | thousands by filing date | |
| BRDTLA 7.625 31 DEC 2049 A - PFD | 112714209 | EQUITIES | 2,000 | $56,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 1,404 | $56,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 2,848 | $56,000 | thousands by filing date | |
| Cap Gemini S.A. | F13587120 | COM | 776 | $56,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 749 | $55,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 837 | $55,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 1,257 | $55,000 | thousands by filing date | |
| Hartford Financial Serv | 416518504 | COM | 1,857 | $55,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R304 | FALLN ANGL USD | 1,981 | $55,000 | thousands by filing date | |
| ING GROEP N V | 456837202 | PRF | 2,153 | $55,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC PF | 02917T401 | PREFERRED | 2,374 | $55,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 875 | $54,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 1,707 | $54,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57061R205 | INTL HI YLD BD | 2,046 | $54,000 | thousands by filing date | |
| Hospitality Properties Trust- | 44106M607 | PFD | 2,113 | $54,000 | thousands by filing date | |
| STAR TRIBUNE CO | 85519YC08 | COM | 1,098 | $54,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 2,200 | $54,000 | thousands by filing date | |
| EVERBANK FINL 6.75% (EVERPRA) | 29977G201 | PFD | 2,195 | $54,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 15,449 | $54,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 1,050 | $53,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 4,349 | $53,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 4,862 | $53,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 5,265 | $53,000 | thousands by filing date | |
| Grupo Financiero Banorte SAB de CV | 40052P107 | ADR | 1,663 | $53,000 | thousands by filing date | |
| MARUBENI CORP ADR | 573810207 | ADR | 770 | $53,000 | thousands by filing date | |
| CYRELA BRAZIL REALTY-SPO ADR | 23282C401 | COM | 10,469 | $53,000 | thousands by filing date | |
| TREND MICRO ADR | 89486M206 | COM | 1,559 | $53,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 3,180 | $53,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 1,458 | $53,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 1,840 | $53,000 | thousands by filing date | |
| TSINGTAO BREWRY CO LTD ORD SER | Y8997D102 | COM | 7,500 | $53,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 3,783 | $53,000 | thousands by filing date | |
| WFT US 11/22/14 P20 | CM4626473 | OPT | 648 | $53,000 | thousands by filing date | put |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 1,831 | $52,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 1,096 | $52,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 4,254 | $52,000 | thousands by filing date | |
| AMTRUST FINL PFDPFD SER B | 032359507 | PFD SER B | 2,150 | $52,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 6,300 | $52,000 | thousands by filing date | |
| NITTO DENKO CORP UNSPON ADR | 654802206 | COM | 1,902 | $52,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 14,700 | $52,000 | thousands by filing date | |
| ROHM CO LTD-UNSPON ADR | 775376106 | COM | 1,646 | $52,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 2,297 | $52,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 3,374 | $52,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A304 | PRF | 2,100 | $52,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y783 | 100 ENH VOLA ETF | 1,500 | $52,000 | thousands by filing date | |
| JNPR US 11/22/14 P22 | CM4624015 | OPT | 560 | $52,000 | thousands by filing date | put |
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 |