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 |
|---|---|---|---|---|---|---|
| ZYNGA INC. | 98986T108 | CL A | 18,777 | $51,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 2,910 | $51,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 591 | $51,000 | thousands by filing date | |
| INTERNTNL CONS AIRLS A FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 459348108 | AMERICAN DEPOSITORY | 1,710 | $51,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 638 | $51,000 | thousands by filing date | |
| BOC HONG KONG HLDGS LTD SPONSORED ADR | 096813209 | USD | 778 | $51,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 8,460 | $51,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 1,980 | $51,000 | thousands by filing date | |
| GTECH S P A | 40053Q104 | COM | 2,143 | $51,000 | thousands by filing date | |
| UNITED STATES CELLULAR | 911684405 | PRF | 2,000 | $51,000 | thousands by filing date | |
| Aspen Insurance 7.25% Call07/2 | g05384147 | PFD | 1,969 | $51,000 | thousands by filing date | |
| CenturyLink Quest 6.125%Nts Cl | 74913g600 | PFD | 2,180 | $51,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 5,417 | $51,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 1,000 | $50,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 2,888 | $50,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 3,341 | $50,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 1,926 | $50,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 1,457 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 2,000 | $50,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 700 | $50,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 4,931 | $50,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 1,295 | $50,000 | thousands by filing date | |
| MORGAN STANLEY 6.6% C11 | 61750K208 | PRF | 1,991 | $50,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,084 | $50,000 | thousands by filing date | |
| FPL GROUP CAP TR I 5.875% 3/15 | 30257V207 | PFD | 1,960 | $50,000 | thousands by filing date | |
| DISCOVER FINANCIAL SVS 6.50% S | 254709207 | PREFERR | 2,000 | $50,000 | thousands by filing date | |
| NSK LTD-UNSPONSORED ADR | 670184100 | COM | 1,773 | $50,000 | thousands by filing date | |
| PUBLIC STORAGE 6.5% PFD PERP SERIES | 74460D141 | PREFERRED STOCK | 1,905 | $50,000 | thousands by filing date | |
| GOLDMAN SACHS PFD VARIABLE RAT | 38143Y665 | PREFERR | 2,515 | $49,000 | thousands by filing date | |
| AMBIT BIOSCIENCES CORP | 02318X100 | COM | 3,196 | $49,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 8,370 | $49,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 4,142 | $49,000 | thousands by filing date | |
| TOSHIBA CORP-UNSPONSORED ADR | 891493306 | COM | 1,767 | $49,000 | thousands by filing date | |
| GENERAL AMERICAN | 368802401 | PRF | 1,892 | $49,000 | thousands by filing date | |
| ASTORIA FINANCIAL | 046265401 | PFD | 2,000 | $49,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U304 | EQPFD | 2,007 | $49,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 1,295 | $48,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 3,491 | $48,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,818 | $48,000 | thousands by filing date | |
| BANK RAKYAT INDONESIA UNSPN ADR | 69366X100 | COM | 2,779 | $48,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 13,979 | $48,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 3,495 | $48,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 11,000 | $48,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240201 | PRF | 1,850 | $48,000 | thousands by filing date | |
| Allied Capital ARCC6.875% 4/20 | 01903q207 | PFD | 1,896 | $48,000 | thousands by filing date | |
| Preferred Stock | 929328409 | WSFS FINL | 1,800 | $48,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 537 | $47,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,800 | $47,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 869 | $47,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 920 | $47,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 1,790 | $47,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 16,650 | $47,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 2,390 | $47,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 1,130 | $47,000 | thousands by filing date | |
| BEAV US 11/22/14 P80 | CM4640299 | OPT | 276 | $47,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,420 | $46,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 7,951 | $46,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 3,424 | $46,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 2,573 | $46,000 | thousands by filing date | |
| SUN HUNG K | 86676H302 | USD | 3,258 | $46,000 | thousands by filing date | |
| NOVOZYMES A/S-UNSPONS ADR | 670108109 | COM | 1,059 | $46,000 | thousands by filing date | |
| HELLENIC TELECOM ORG | 423325307 | Common Stock | 6,975 | $46,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 6,727 | $46,000 | thousands by filing date | |
| ING GROUP N V PERP HYB CAP | 456837608 | PRD | 1,809 | $46,000 | thousands by filing date | |
| MORGAN STANLEY 6.600% PFD | 617461207 | PREFERR | 1,804 | $46,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 2,541 | $46,000 | thousands by filing date | |
| PRUDENTIAL PLC PERPETUAL | G7293H189 | PRF | 1,800 | $46,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 2,047 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 1,610 | $45,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 9,066 | $45,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 2,226 | $45,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 1,005 | $45,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 2,025 | $45,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 3,598 | $45,000 | thousands by filing date | |
| HANNOVER RUECKVERSICHER ADR | 410693105 | COM | 1,115 | $45,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 2,970 | $45,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 587 | $45,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 1,803 | $45,000 | thousands by filing date | |
| HEIDELBERGCEMENT AG-UNSP ADR | 42281P205 | COM | 3,374 | $45,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 3,449 | $44,000 | thousands by filing date | |
| Sumitomo Corp | 865613103 | Equity | 3,947 | $44,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 7,120 | $44,000 | thousands by filing date | |
| CORTS-BELLSOUTH 7% $1.75 PFD | 22080E205 | PREFERRED | 1,600 | $44,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 3,535 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 724 | $44,000 | thousands by filing date | |
| ATLANTIA SPA-UNSPONSORED ADR | 048173108 | COM | 3,568 | $44,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 1,650 | $43,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 2,936 | $43,000 | thousands by filing date | |
| Sandvik AB ADR | 800212201 | Equity | 3,876 | $43,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 42,000 | $43,000 | thousands by filing date | principal |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 1,850 | $43,000 | thousands by filing date | |
| HSBC Finance Corp PFD Non Cumulative B | 40429C607 | Pfd Stk | 1,732 | $43,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R759 | CDA BD IDX FD | 453 | $43,000 | thousands by filing date | |
| STRATEGIC HOTELS & * | 86272T403 | PRF | 1,700 | $43,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 532 | $42,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 1,720 | $42,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 473 | $42,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 3,210 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 670 | $42,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 40,000 | $42,000 | thousands by filing date | principal |
| KERING S A UNSPONSORED ADR | 492089107 | USD | 2,090 | $42,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 1,530 | $42,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 3,250 | $42,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,016 | $42,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 1,146 | $42,000 | thousands by filing date | |
| MORGAN STANLEY CAPITAL TRUST 6.45% $1.6125 PFD | 61753R200 | PREFERRED | 1,677 | $42,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 499 | $41,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,150 | $41,000 | thousands by filing date | |
| KONE OYJ FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 50048H101 | AMERICAN DEPOSITORY | 2,055 | $41,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 5,090 | $41,000 | thousands by filing date | |
| REGENCY CTRS CORP $1.65625 PFD | 758849707 | PREFERRED | 1,598 | $41,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 5,024 | $40,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 989 | $40,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 5,235 | $40,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 2,229 | $40,000 | thousands by filing date | |
| NCI INC-CLASS A | 62886K104 | COMMON STOCK | 4,180 | $40,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 1,600 | $40,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 1,277 | $40,000 | thousands by filing date | |
| UNITED RENTALS INC | 911363AL3 | NOTE 4.000% | 4,000 | $40,000 | thousands by filing date | principal |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 1,800 | $40,000 | thousands by filing date | |
| CBL & Associates 7.375% Pfd Series D | 124830605 | com | 1,585 | $40,000 | thousands by filing date | |
| REALTY INCOME CORP PFD CL F | 756109807 | PFD | 1,518 | $40,000 | thousands by filing date | |
| VALLOUREC SA-SPN ADR | 92023R308 | COM | 4,360 | $40,000 | thousands by filing date | |
| Protective Life 6.25% Callable | 743674608 | PFD | 1,568 | $40,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 675 | $39,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 1,934 | $39,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 1,280 | $39,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 993 | $39,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 4,488 | $39,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 2,325 | $39,000 | thousands by filing date | |
| ING GROEP N V | 456837400 | PRF | 1,541 | $39,000 | thousands by filing date | |
| DONGFENG MOTOR GROUP CO. LTD. UNSPON ADR CLASS H | 257738203 | COM | 474 | $39,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 4,338 | $38,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 2,205 | $38,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 925 | $38,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 678 | $38,000 | thousands by filing date | |
| MARKS & SP | 570912105 | USD | 2,873 | $38,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 2,177 | $38,000 | thousands by filing date | |
| WYNN MACAU LTD | 98313R106 | Common Stock | 1,150 | $38,000 | thousands by filing date | |
| Colgate Palmolive | 172967333 | CL | 1,500 | $38,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 5,690 | $38,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 1,797 | $38,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 745 | $38,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 1,977 | $38,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 4,825 | $38,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 5,686 | $38,000 | thousands by filing date | |
| BofA Preferred | 060505740 | PFD | 1,474 | $38,000 | thousands by filing date | |
| GALAXY ENTERTAINMENT GROUP | 36318L104 | COM | 645 | $38,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 3,802 | $38,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 400 | $37,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 1,125 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 412 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 621 | $37,000 | thousands by filing date | |
| AGRICULTURAL BK CHINA LTD ADR | 00850M102 | ADR | 3,367 | $37,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 305,944 | $37,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 1,535 | $37,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 3,201 | $36,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 3,945 | $36,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 4,360 | $36,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 1,314 | $36,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 11,112 | $36,000 | thousands by filing date | |
| Pitney Bowes Inc. Notes Sr | 724479506 | PFD | 1,400 | $36,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 5,411 | $36,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 1,207 | $36,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 4,020 | $36,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 7,360 | $36,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 252 | $36,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 3,624 | $36,000 | thousands by filing date | |
| ISHARES TR | 464289701 | S&P TARGET 35 | 831 | $36,000 | thousands by filing date | |
| INVESCO MORTGAGE CAP INC | 46131B209 | PRF | 1,500 | $36,000 | thousands by filing date | |
| AEGON NV PERPETUAL | 007924400 | PRF | 1,400 | $36,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 2,621 | $35,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 3,665 | $35,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 731 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 669 | $35,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 1,725 | $35,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 6,000 | $35,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HOLDING | N7902X106 | COMMON STOCK-FO | 780 | $35,000 | thousands by filing date | |
| CLICKS GROUP LTD | 18682W205 | Common Stock | 2,960 | $35,000 | thousands by filing date | |
| LINDE PLC F | 532771102 | COM | 1,565 | $35,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 739 | $35,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 1,845 | $35,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 1,020 | $35,000 | thousands by filing date | |
| KKR FIN'L 8.375% C16 | 48248A405 | PRF | 1,255 | $35,000 | thousands by filing date | |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $35,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,267 | $35,000 | thousands by filing date | |
| TMUS US 11/22/14 P27 | CM4640305 | OPT | 456 | $35,000 | thousands by filing date | put |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 5,731 | $34,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 1,100 | $34,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,059 | $34,000 | thousands by filing date | |
| J. SAINSBURY PLC-SPONS ADR | 466249208 | USD | 2,070 | $34,000 | thousands by filing date | |
| Lonza Group AG ADR | 54338V101 | USD | 2,767 | $34,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 2,781 | $34,000 | thousands by filing date | |
| LEGAL AND GEN GROUP SPON ADR | 52463H103 | COM | 1,827 | $34,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 221 | $34,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 950 | $34,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 8,847 | $34,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 4,201 | $34,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 1,400 | $34,000 | thousands by filing date | |
| JARDINE STRATEGIC HLDGS UNSPON | 471122200 | Common | 1,922 | $34,000 | thousands by filing date | |
| JGC CORP-UNSPONSORED ADR | 466140100 | COM | 625 | $34,000 | thousands by filing date | |
| CHINA COMMUNICATIONS | 168926103 | SPON AD | 2,378 | $34,000 | thousands by filing date | |
| TWC US 01/17/15 P140 | CM4370138 | OPT | 52 | $34,000 | thousands by filing date | put |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 862 | $33,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 3,420 | $33,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 2,731 | $33,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 2,066 | $33,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,372 | $33,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 1,114 | $33,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 3,369 | $33,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 3,177 | $33,000 | thousands by filing date | |
| SHYD | 57061R486 | ETF | 1,294 | $33,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 1,300 | $33,000 | thousands by filing date | |
| CGG SPONS ADR | 12531Q105 | ADR | 3,641 | $33,000 | thousands by filing date | |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 1,328 | $33,000 | thousands by filing date | |
| DEUTSCHE BANK CAPITAL FUNDING VIII 6.375% | 25153U204 | PREFERRED | 1,298 | $33,000 | thousands by filing date | |
| Penn REIT 8.25% Pfd Series A | 709102404 | com | 1,250 | $33,000 | thousands by filing date | |
| SEMEN GRESIK PERSERO TBK PT | 69367J100 | ADR | 1,304 | $33,000 | thousands by filing date | |
| WHEELOCK & CO LTD-UNSPON ADR | 963271200 | COM | 680 | $33,000 | thousands by filing date | |
| ELECTROLUX AB -SPONS ADR B | 010198208 | COM | 632 | $33,000 | thousands by filing date | |
| SPY US 10/18/14 P195 | CM4138177 | OPT | 185 | $33,000 | thousands by filing date | put |
| ACT US 11/22/14 P220 | CM4624017 | OPT | 64 | $33,000 | thousands by filing date | put |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 1,800 | $32,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 780 | $32,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,576 | $32,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 1,325 | $32,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 993 | $32,000 | thousands by filing date | |
| SMITHS GROUP ADR | 83238P203 | COM | 1,565 | $32,000 | thousands by filing date | |
| UNITED TRACTORS UNSP | 69367T108 | Common Stock | 990 | $32,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 2,329 | $32,000 | thousands by filing date | |
| BANK OF AMERICA CORP 6.375% $1.594 PFD | 060505617 | PREFERRED | 1,301 | $32,000 | thousands by filing date | |
| BG&E Cap Trust II 6.20% Prefer | 05541Q206 | PFD | 1,250 | $32,000 | thousands by filing date | |
| AES TIETE SA-ADR PREF | 00808P108 | COM | 3,482 | $32,000 | thousands by filing date | |
| MEDIASET SPA-SPONSORED ADR | 584469407 | COM | 2,755 | $32,000 | thousands by filing date | |
| LEND LEASE CORP LTD-SPON ADR | 526023205 | COM | 2,545 | $32,000 | thousands by filing date | |
| CHINA RAILWAY CONS-UNSPN ADR | 16947L105 | COM | 3,565 | $32,000 | thousands by filing date | |
| NEXTERA ENERGY CAPITAL 5.7% | 65339K605 | PREFERRED STOCK | 1,338 | $32,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 2,058 | $32,000 | thousands by filing date | |
| BAC CAPITAL TRUST I | 060505344 | Common | 1,300 | $32,000 | thousands by filing date | |
| DNOW US 11/22/14 P30 | CM4626021 | OPT | 187 | $32,000 | thousands by filing date | put |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 893 | $31,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 8,052 | $31,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 3,853 | $31,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 2,487 | $31,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 3,555 | $31,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,203 | $31,000 | thousands by filing date | |
| SURGUTNEFTEGAS PJSC | 868861204 | COMMON STOCK | 4,778 | $31,000 | thousands by filing date | |
| ASM INTERNATIONAL NV | N07045102 | Common Stock | 862 | $31,000 | thousands by filing date | |
| SWATCH GROUP AG ADR | 870123106 | USD | 1,297 | $31,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 708 | $31,000 | thousands by filing date | |
| AGEAS SPON ADR | 00844W208 | COM | 922 | $31,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 410 | $31,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 3,165 | $31,000 | thousands by filing date | |
| HSBC Hldgs PLC Sub Cap 8.125% | 404280703 | Pfd Stk | 1,200 | $31,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 1,322 | $31,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 373 | $31,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 1,300 | $31,000 | thousands by filing date | |
| SHINSEI BANK LTD-SPON ADR | 824631105 | COM | 7,230 | $31,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 702 | $31,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38145G308 | PRF | 1,286 | $31,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 1,808 | $31,000 | thousands by filing date | |
| EQC 7 1/2 11/15/19 | 294628300 | STOCK | 1,500 | $31,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 2,175 | $30,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 440 | $30,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,091 | $30,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 1,000 | $30,000 | thousands by filing date | |
| Henkel AG & Co KGaA | 42550U109 | Equity | 325 | $30,000 | thousands by filing date | |
| SURGUTNEFTEGAZ SPON ADR | 868861105 | COM | 4,299 | $30,000 | thousands by filing date | |
| HENDERSON LAND DEV ADR | 425166303 | COM | 4,592 | $30,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 600 | $30,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 9,921 | $30,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 3,103 | $30,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 7,150 | $30,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 3,283 | $30,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $30,000 | thousands by filing date | |
| First Republic Bank 6.2% Cl 6/ | 33616c407 | PFD | 1,200 | $30,000 | thousands by filing date | |
| Gabelli Dividend & Income Trust Preferred Series A | 36242H203 | preferred stock | 1,200 | $30,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 2,371 | $30,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,464 | $30,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 186,725 | $30,000 | thousands by filing date | |
| VIAB US 11/22/14 P75 | CM4627025 | OPT | 182 | $30,000 | thousands by filing date | put |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 653 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 402 | $29,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 296 | $29,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 348 | $29,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 838 | $29,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 872 | $29,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 3,212 | $29,000 | thousands by filing date | |
| SEKISUI HOUSE SPONS ADR | 816078307 | COM | 2,457 | $29,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 5,158 | $29,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 1,367 | $29,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 2,295 | $29,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,350 | $29,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 17,200 | $29,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 1,252 | $29,000 | thousands by filing date | |
| LEAR CORP WARRANTS | 521865113 | COMMON | 166 | $29,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 9,599 | $29,000 | thousands by filing date | |
| Scana Corp 7.70% 2065 Cl1/2015 | 80589m201 | PFD | 1,140 | $29,000 | thousands by filing date | |
| NEXTERA ENERGY | 65339K803 | PFD | 1,314 | $29,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 2,040 | $28,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 701 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 540 | $28,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 1,170 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 611 | $28,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,400 | $28,000 | thousands by filing date | |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 1,955 | $28,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 2,036 | $28,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 1,151 | $28,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 2,064 | $28,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 4,664 | $28,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 2,000 | $28,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 8,000 | $28,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 7,795 | $28,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP | 74251V300 | PFD | 1,090 | $28,000 | thousands by filing date | |
| Santos Limited ADR | 803021708 | COM | 2,326 | $28,000 | thousands by filing date | |
| AMP LTD - SP ADR | 0017EP202 | COM | 1,462 | $28,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $28,000 | thousands by filing date | |
| ENVENTIS CORP | 29402J101 | COM | 1,514 | $28,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 1,653 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 458 | $27,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,700 | $27,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 431 | $27,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,775 | $27,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 644 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 984 | $27,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 4,820 | $27,000 | thousands by filing date | |
| Fairfax Finl HLDGS LTD Sub VTG | 303901102 | COM | 60 | $27,000 | thousands by filing date | |
| Air Liquide SA | F01764103 | ADR | 221 | $27,000 | thousands by filing date | |
| DAITO TRUST CONSTRUCTION CO SP | 23405X209 | ADR | 916 | $27,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 2,453 | $27,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 1,878 | $27,000 | thousands by filing date | |
| Power Assets Holdings Ltd | 739197200 | Common Stock | 2,998 | $27,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 1,200 | $27,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 1,815 | $27,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 2,400 | $27,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 410 | $27,000 | thousands by filing date | |
| KNIGHTSBRIDGE TANKERS LTD | G5299G106 | COMMON | 3,070 | $27,000 | thousands by filing date | |
| TECHNICOLOR-SPON ADR | 878520204 | COM | 4,140 | $27,000 | thousands by filing date | |
| SHARP CORP-UNSPONSORED ADR | 819882200 | COM | 9,652 | $27,000 | thousands by filing date | |
| Citigroup 5.8% B1 Call 4/18 QD | 172967366 | PFD | 1,140 | $27,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 3,000 | $27,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 1,569 | $26,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 2,971 | $26,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 1,914 | $26,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 1,725 | $26,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 1,163 | $26,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 2,665 | $26,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 878 | $26,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 4,875 | $26,000 | thousands by filing date | |
| NIPPON STEEL CORP-SPON ADR | 65461T101 | COM | 998 | $26,000 | thousands by filing date | |
| COMMERCIAL INTL BANK-ADR | 201712304 | COM | 3,678 | $26,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 3,680 | $26,000 | thousands by filing date | |
| TITAN MEDICAL INC. | 88830X108 | COM | 11,836 | $26,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 1,165 | $26,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 8,150 | $26,000 | thousands by filing date | |
| BREEZE-EASTERN CORP | 106764103 | COMM STK | 2,500 | $26,000 | thousands by filing date | |
| KKR Financial7.375% Perp Call | 48248a603 | PFD | 1,000 | $26,000 | thousands by filing date | |
| TRIANGLE CAP 6.375% E | 895848307 | PREFERR | 1,000 | $26,000 | thousands by filing date | |
| Santander Finance PFD SA Unipersonal GTD | 80281R888 | Pfd Stk | 1,229 | $26,000 | thousands by filing date | |
| ALCOA INC | 013817200 | Equities | 300 | $26,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 865 | $25,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 7,674 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,000 | $25,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 3,460 | $25,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 305 | $25,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 1,785 | $25,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 1,738 | $25,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 545 | $25,000 | thousands by filing date | |
| TECHTRONIC INDS LTD SPONSORED ADR | 87873R101 | COM | 1,685 | $25,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 507 | $25,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 2,950 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 530 | $25,000 | thousands by filing date | |
| ERSTE GROUP BANK AG SPONS ADR | 296036304 | FOREIGN | 2,191 | $25,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 4,180 | $25,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 5,100 | $25,000 | thousands by filing date | |
| Ap Moller-Maersk | 00202F102 | Equity | 2,118 | $25,000 | thousands by filing date | |
| LUFTHANSA-SPONS ADR | 251561304 | COM | 1,586 | $25,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 2,595 | $25,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 502 | $25,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 3,136 | $25,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 2,966 | $25,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 3,860 | $25,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 5,296 | $25,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 5,350 | $25,000 | thousands by filing date | |
| EPR PROPERTIES PFD SER F 6.625 | 26884U406 | PFD | 1,000 | $25,000 | thousands by filing date | |
| HERCULES TECH GRW 7% | 427096870 | PREFERR | 1,000 | $25,000 | thousands by filing date | |
| Public Storage 5.3 | 74460W800 | PFD | 1,072 | $25,000 | thousands by filing date | |
| CORTS TR P | 22080R206 | Preferred Stock | 800 | $25,000 | thousands by filing date | |
| WILLIAM HILL ADR | 96925P104 | COM | 1,030 | $25,000 | thousands by filing date | |
| TEG 5 | 976843201 | PRF | 250 | $25,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 500 | $24,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 216 | $24,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 3,888 | $24,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 3,642 | $24,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,079 | $24,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 485 | $24,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 1,803 | $24,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 7,490 | $24,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 895 | $24,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 2,882 | $24,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 1,660 | $24,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 402 | $24,000 | thousands by filing date | |
| VORNADO RLTY L P PINES 7.875%3 | 929043602 | PFD | 940 | $24,000 | thousands by filing date | |
| MERRILL LYNCH 6.45% | 590199204 | PRF | 929 | $24,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,883 | $24,000 | thousands by filing date | |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 950 | $24,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 3,357 | $24,000 | thousands by filing date | |
| JBS SA-SPONSORED ADR | 466110103 | COM | 3,169 | $24,000 | thousands by filing date | |
| DUPONT PFD B | 263534307 | PFD | 236 | $24,000 | thousands by filing date | |
| EMC US 11/22/14 P29 | CM4627026 | OPT | 228 | $24,000 | thousands by filing date | put |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 2,140 | $23,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 258 | $23,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,623 | $23,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 2,010 | $23,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 695 | $23,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 1,244 | $23,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 1,000 | $23,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 3,401 | $23,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 1,360 | $23,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 11,158 | $23,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 6,945 | $23,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 34,000 | $23,000 | thousands by filing date | principal |
| SAPUTO INC | 802912105 | COM | 820 | $23,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 792 | $23,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 18,000 | $23,000 | thousands by filing date | principal |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 409 | $23,000 | thousands by filing date | |
| WISCONSIN PUBLIC SERVICE | 976843508 | PRF | 220 | $23,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 500 | $23,000 | thousands by filing date | |
| JTEKT CORP UNSPNSORED ADR | 48124H102 | ADR | 461 | $23,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 296 | $22,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,860 | $22,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 650 | $22,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 1,300 | $22,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 2,290 | $22,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,885 | $22,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 3,230 | $22,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 1,700 | $22,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 788 | $22,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 3,225 | $22,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 862 | $22,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 420 | $22,000 | thousands by filing date | |
| TOTO LIMITED ADR | 891515207 | ADUS | 1,000 | $22,000 | thousands by filing date | |
| Fortescue Ltd | 34959A206 | Equity | 3,639 | $22,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 3,245 | $22,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 246 | $22,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,034 | $22,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,215 | $22,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 570 | $22,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 3,642 | $22,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 730 | $22,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 925 | $22,000 | thousands by filing date | |
| CITIGROUP INC 8.125% $2.03125 PFD | 172967572 | PREFERRED | 776 | $22,000 | thousands by filing date | |
| GEA GROUP AG ADR | 361592108 | COM | 506 | $22,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X872 | DYNM SM CP GRW | 950 | $22,000 | thousands by filing date | |
| KATAHDIN BANKSHARES CORP | 485835102 | COM | 1,800 | $22,000 | thousands by filing date | |
| HANG SENG BANK-SPONSORED ADR | 41043C304 | COM | 1,365 | $22,000 | thousands by filing date | |
| Connecticut Lt & Pwr Co PFD | 207597790 | Pfd Stk | 450 | $22,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 10,606 | $21,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 1,300 | $21,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 1,100 | $21,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 1,821 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 460 | $21,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 2,487 | $21,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 805 | $21,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 460 | $21,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 2,000 | $21,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 1,144 | $21,000 | thousands by filing date | |
| SUMITOMO METAL MININ UNS ADR | 86563T104 | COM | 1,519 | $21,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 1,671 | $21,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 1,500 | $21,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,000 | $21,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,230 | $21,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 875 | $21,000 | thousands by filing date | |
| Metso ADS | 592671101 | ADR | 584 | $21,000 | thousands by filing date | |
| Tsingtao Brewery Ltd Sp ADR Cl | 898529102 | COM | 300 | $21,000 | thousands by filing date | |
| PUBLIC STORAGE PFD T 1/1000TH | 74460W404 | PFD | 859 | $21,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 4,329 | $21,000 | thousands by filing date | |
| EISAI CO LTD-SPONSORED ADR | 282579309 | COM | 513 | $21,000 | thousands by filing date | |
| CHAROEN POKPHAND FOODS PLC ADR | 160904207 | COM | 5,478 | $21,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 188,062 | $21,000 | thousands by filing date | |
| INCITEC PIVOT LTD-UNSPN ADR | 45326Y107 | ADR | 8,705 | $21,000 | thousands by filing date | |
| DISH US 11/22/14 P60 | CM4627023 | OPT | 142 | $21,000 | thousands by filing date | put |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 289 | $20,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,553 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 157 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 388 | $20,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 781 | $20,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 925 | $20,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 1,481 | $20,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 1,150 | $20,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097788 | PREFERRED STOCK | 884 | $20,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 1,379 | $20,000 | thousands by filing date | |
| SCE TRUST II 5 5.1 PFDPFD | 78407R204 | STOK | 905 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 597 | $20,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 1,257 | $20,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 13,000 | $20,000 | thousands by filing date | principal |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 2,071 | $20,000 | thousands by filing date | |
| CANADIAN OIL SANDS LTD | 13643E105 | COMMON | 1,071 | $20,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 627 | $20,000 | thousands by filing date | |
| RICOH CO LTD-SPONSORED ADR | 765658307 | COM | 375 | $20,000 | 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 |