13F-HR filed by SONORA INVESTMENT MANAGEMENT, LLC
SONORA INVESTMENT MANAGEMENT, LLC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-03-10, with 879 holding rows worth $383,915,000.
- Accession
- 0000950123-16-015335
- Filer
- CIK 1418539
- Filed
- 2016-03-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 902 entries on the cover page, a total value of $383,915,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $383,912,000 with VALUE read as thousands by filing date, 13F file number 028-17012. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| PIMA CN AZ SWR | 721876RH5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AUSTIN TX WTR & WST | 052476Q35 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TUCSON AZ WTR | 898797CG8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ BD REGENTS UNIV | 04048RLZ7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UD5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ ST TRANS BRD HWY | 040654UL7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ TRANS BRD HWY | 040654VE2 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| TX TRANS ST HWY FD | 88283LJW7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| BROWARD CNTY FL ARP | 114894RP5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| DRIPPING SPRING TX | 262061NX8 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MORGAN STANLEY | 61760LFF7 | Convertible/ | 13,000 | $12,000 | thousands by filing date | |
| PHOENIX AZ CVC IMP | 718849BD3 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ ST TRANSN BRD | 040647DP1 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| AZ TRANS EXCISE TAX | 040649KZ7 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| MA ST | 57582NSJ5 | Convertible/ | 10,000 | $12,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 200 | $11,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 203 | $11,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 330 | $11,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 2,500 | $11,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 1,600 | $11,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 150 | $11,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 4,000 | $11,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 468 | $11,000 | thousands by filing date | |
| ROSEMONT IL | 777543SS9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G4766G101 | Equities | 200 | $11,000 | thousands by filing date | |
| REGL TRAN DST CO CO | 75913TJE5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| AZ ST LOTTERY | 040624AV0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| IRVING TX WWKS/SWR | 463831KM8 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| PHOENIX AZ WTR | 71883RJQ7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| IN ST FA REV | 455057XG9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MO ST HWY/TRANS | 60636WJH9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| MA ST WTR RES AUTH | 576051BG0 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| ENERGY NW WA ELEC R | 29270CWA9 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| TENNESSEE ST | 880541MN4 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| Mcdonalds Corp Senior Medium Term Note M/W | 58013MEE0 | SENIOR MEDIUM TERM NOTE M/W | 10,000 | $11,000 | thousands by filing date | |
| CNT PUGET SND WA | 155048AY7 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746NX5 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| GREATER AZ DEV AUTH | 391577RK1 | Convertible/ | 10,000 | $11,000 | thousands by filing date | |
| SUPERVALU INC | 868536AT0 | NOTE 8.00% 5/1/2016 | 11,000 | $11,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 200 | $10,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 140 | $10,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 109 | $10,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 500 | $10,000 | thousands by filing date | |
| BXP INC COM | 101121101 | REIT | 81 | $10,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 150 | $10,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 400 | $10,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 200 | $10,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 700 | $10,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 300 | $10,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 400 | $10,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 100 | $10,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 400 | $10,000 | thousands by filing date | |
| COLUMBIA PIPELINE GROUP INC | 198280109 | COM | 500 | $10,000 | thousands by filing date | |
| MO ST HLTH/ED | 6069017U4 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| MP WSTRN ST UNIV | 606432BT8 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| KING ETC WA SD #408 | 494619BR9 | Convertible/ | 10,000 | $10,000 | thousands by filing date | |
| GAMCO NATURAL RESOURCES | 36249M106 | Common | 1,666 | $10,000 | thousands by filing date | |
| REDMOND WA | 757674KM7 | Convertible | 10,000 | $10,000 | thousands by filing date | |
| TAMPA BAY FL WTR | 875124FA2 | Convertible | 10,000 | $10,000 | thousands by filing date | |
| GILBERT AZ MPC | 375306AU1 | Convertible | 10,000 | $10,000 | thousands by filing date | |
| TEXAS INSTRUMENTS IN | 882508AR5 | Convertible | 10,000 | $10,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 200 | $9,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 200 | $9,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 2,427 | $9,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50 | $9,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,200 | $9,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 250 | $9,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 289 | $9,000 | thousands by filing date | |
| HEALTH CARE REIT SERIES J | 42217K700 | PUBLIC | 350 | $9,000 | thousands by filing date | |
| CATERPILLAR FINL SVCS CORP | 14912L4D0 | Convertible/ | 8,000 | $9,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 204 | $8,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 100 | $8,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 200 | $8,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 300 | $8,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 100 | $8,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 622 | $8,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 1,850 | $8,000 | thousands by filing date | |
| VALE S A | 91912E109 | SPONSORED ADS | 2,350 | $8,000 | thousands by filing date | |
| BANK AMER CORP 5.625 07/01/2020 | 06051GEC9 | Corp Bond | 7,000 | $8,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 1,500 | $8,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 761 | $8,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 300 | $8,000 | thousands by filing date | |
| SPECTRAL MEDICAL INCORPORATED | 847577103 | Foreign Equity | 13,000 | $8,000 | thousands by filing date | |
| BANK OF AMERICA | 06051GEM7 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| EXPEDIA INC | 30212PAH8 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| HUSKY ENERGY INC | 448055AF0 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| EXPEDIA INC | 30212PAB1 | Convertible/ | 7,000 | $8,000 | thousands by filing date | |
| JEFFERIES GROUP | 472319AK8 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| HERTZ CORP | 428040BJ7 | Convertible/ | 8,000 | $8,000 | thousands by filing date | |
| MEDCO HLTH SOLUTIONS | 58405UAD4 | Convertible | 7,000 | $8,000 | thousands by filing date | |
| CAPITAL ONE FINL | 14040HAN5 | Convertible | 8,000 | $8,000 | thousands by filing date | |
| DEUTSCHE BANK | 25152RVR1 | NOTE 1.40% 2/13/2017 | 8,000 | $8,000 | thousands by filing date | |
| OMNICOM GROUP INC | 681919AS5 | NOTE 5.90% 4/15/2016 | 8,000 | $8,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 315 | $7,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 800 | $7,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 75 | $7,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $7,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 200 | $7,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 1,839 | $7,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 700 | $7,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 1,000 | $7,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 150 | $7,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 1,500 | $7,000 | thousands by filing date | |
| OCCIDENTAL PETRO CORP | 674599015 | Equities | 99 | $7,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 300 | $7,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 100 | $6,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 50 | $6,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 900 | $6,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 50 | $6,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 102 | $6,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 18 | $6,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 101 | $6,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 200 | $6,000 | thousands by filing date | |
| CABOT MICROELECTRONICS CORP | 12709P103 | COM | 148 | $6,000 | thousands by filing date | |
| CENCORA INC | 03073E108 | COM | 55 | $6,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E106 | COM | 300 | $6,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 400 | $6,000 | thousands by filing date | |
| Valeant Pharma Intl | 91911X104 | COM | 60 | $6,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,400 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 2,120 | $6,000 | thousands by filing date | |
| AETNA INC NOTE M/W CLBL | 008117AP8 | NOTE M/W CLBL | 6,000 | $6,000 | thousands by filing date | |
| Eaton Corp | 278062AC8 | Corp Bond | 6,000 | $6,000 | thousands by filing date | |
| FAIRFAX FINANCE PFD | 303901607 | PFDs, REITs, | 500 | $6,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 50 | $5,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 65 | $5,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 42 | $5,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 144 | $5,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 275 | $5,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 100 | $5,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 100 | $5,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 150 | $5,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $5,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100 | $5,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 100 | $5,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 420 | $5,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 500 | $5,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 1,000 | $5,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 50 | $5,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 200 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 5,000 | $5,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 92 | $5,000 | thousands by filing date | |
| Intrcontinentalexchange | 45865V100 | COM | 18 | $5,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 2,500 | $5,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 100 | $5,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 633 | $5,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 300 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,600 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 200 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R883 | PSHS ULSHT SP500 | 260 | $5,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 200 | $5,000 | thousands by filing date | |
| SERVICEMASTER CO LP | 817609AB6 | Fixed Income | 5,000 | $5,000 | thousands by filing date | |
| WIRECARD AG SHS | D22359133 | Common Stock | 100 | $5,000 | thousands by filing date | |
| PACTIV LLC | 880394AE1 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 54755T100 | Equities | 46,000 | $5,000 | thousands by filing date | |
| JEFFERSON COUNTY MO | 473143DQ5 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| ST LOUIS MO PKG | 791676BK4 | Convertible/ | 5,000 | $5,000 | thousands by filing date | |
| AMERICAN EXPRESS CNT | 02587DF78 | CD | 5,000 | $5,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 34 | $4,000 | thousands by filing date | |
| MGC | 921910873 | COM | 55 | $4,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 28 | $4,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 75 | $4,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 60 | $4,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 150 | $4,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 144 | $4,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 1,194 | $4,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 163 | $4,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 75 | $4,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 52 | $4,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 34 | $4,000 | thousands by filing date | |
| AARON'S INC | 002535201 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 539 | $4,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 30 | $4,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 459 | $4,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 3,000 | $4,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 500 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 200 | $4,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 400 | $4,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 350 | $4,000 | thousands by filing date | |
| AT&T INC | 00206RAJ1 | Convertible/ | 4,000 | $4,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25 | $3,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 20 | $3,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 104 | $3,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 80 | $3,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 200 | $3,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 128 | $3,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 35 | $3,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 50 | $3,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 67 | $3,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 100 | $3,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 200 | $3,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 30 | $3,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 100 | $3,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 200 | $3,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 66 | $3,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 300 | $3,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 400 | $3,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 400 | $3,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 100 | $3,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475832 | PREFERRED STOCK | 120 | $3,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF S R1 | 69360J669 | PFD | 114 | $3,000 | thousands by filing date | |
| ABAKAN INC | 00258J107 | COM | 98,700 | $3,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 7,593 | $3,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 100 | $3,000 | thousands by filing date | |
| CITIGROUP INC | 172967EH0 | Convertible/ | 3,000 | $3,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP | 38141GEE0 | NOTE 5.35% 1/15/2016 | 3,334 | $3,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 20 | $2,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 27 | $2,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 25 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 60 | $2,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 50 | $2,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 35 | $2,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 30 | $2,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 35 | $2,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 300 | $2,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 24 | $2,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 45 | $2,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 50 | $2,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 40 | $2,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 17 | $2,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 97 | $2,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 339 | $2,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 75 | $2,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 43 | $2,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 88 | $2,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 210 | $2,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 373 | $2,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 215 | $2,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 123 | $2,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 102 | $2,000 | thousands by filing date | |
| DIAMONDS TRUST SERIES I | 252787106 | EXCHANGE TRADED | 10 | $2,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTLG S A | 38045R107 | SP ADR REP PFD | 3,040 | $2,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 200 | $2,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 327 | $2,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 109 | $2,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 500 | $2,000 | thousands by filing date | |
| MBIA INC DEB | 55262CAD2 | Fixed Income | 2,000 | $2,000 | thousands by filing date | |
| PROSPECT CAPITA 5point875percent23 DUE 03 15 23 | 74348TAJ1 | cb | 2,000 | $2,000 | thousands by filing date | |
| CISCO SYSTEMS INC | 17275RAE2 | Convertible/ | 1,667 | $2,000 | thousands by filing date | |
| ARIZONA MINING INC | 040521106 | Equities | 10,000 | $2,000 | thousands by filing date | |
| PEPSICO INC | 713448BH0 | Convertible/ | 1,667 | $2,000 | thousands by filing date | |
| IBM CORP | 459200GJ4 | Convertible/ | 1,666 | $2,000 | thousands by filing date | |
| CENTURYLINK INC | 156700AR7 | Convertible | 2,000 | $2,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 25 | $1,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 20 | $1,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 25 | $1,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 16 | $1,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 3 | $1,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 18 | $1,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 11 | $1,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 19 | $1,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 90 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 20 | $1,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 100 | $1,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 50 | $1,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 80 | $1,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 20 | $1,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 75 | $1,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 80 | $1,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 21 | $1,000 | thousands by filing date | |
| MOSAIC CO | 61945A107 | COMMON STOCK | 26 | $1,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 200 | $1,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC COM | 82966U103 | Stock | 300 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 57 | $1,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 60 | $1,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 57 | $1,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 28 | $1,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 800 | $1,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 329 | $1,000 | thousands by filing date | |
| Pengrowth Energy Tr | 706902509 | COM | 1,500 | $1,000 | thousands by filing date | |
| VACCINOGEN INC | 918641101 | COM | 400 | $1,000 | thousands by filing date | |
| LEHMAN BROS HLDGS | 525ESCGU7 | Convertible/ | 20,000 | $1,000 | thousands by filing date | |
| ADVISORS DISCIPLINED | 00771K193 | Unit Trusts | 2 | $1,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 1,000 | $1,000 | thousands by filing date | |
| PEABODY ENERGY | 704549AF1 | Convertible | 4,000 | $1,000 | thousands by filing date | |
| ALLTEL CORPORATION | 016090AA0 | Convertible | 2,000 | $1,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Applied Materials,Inc. | 038222105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREENFORENERGYINC | 39303X109 | STOK | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COEUR MNG INC COM NEW | 192108504 | Stock | 201 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COTERRA ENERGY INC COM | 127097103 | Stock | 24 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIAVI SOLUTIONS INC | 925550105 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 35 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERPUBLIC GROUP COS | 460690100 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONTANGO SILVER GOLD INC | 21077F100 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Dawson Geophysical Co Ne | 239360100 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| E DIGITAL CORPORATN | 26841y103 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHMARK CORP | 844544809 | COMMON STOCK | 124 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SANOFI | 80105N113 | COMMON STOCK-FO | 1,634 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARKEMA SPO | 041232109 | USD | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pentair Inc | H6169Q108 | PNR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROTHE | 525ESC711 | ESC | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TELECOMUNICACOES DE SAO PAUL | 87929A102 | SPON ADR PFD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 57 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 86 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEQUENOM INC COM NEW | 817337405 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHARMAGEN INC. | 71715W106 | COM | 630 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESCROW GEN MOTORS CORP SE | 370ESC121 | EQUITY | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mirant Corp (Worthless) | 604675991 | COM | 374 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LASERSIGHT INC NEW | 517924304 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIAMOND EQUITIES INC | 252592100 | COM | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGERATI TECHNOLOGIES | 25375L206 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAPESTRY PHARMS INC CHG | 876031204 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEL OFFSHORE TRUST | 872382106 | MUTUAL FUNDS - | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIVIDEND CAPITAL | 25537M100 | COM | 1,065 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT RES CORP | 85207D103 | EQUS | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Conseco Inc | 208464883 | com | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 39 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOCYTE CORP | 68235C107 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANS GLOBAL GROUP INC | 89324A109 | COMMON STOCK | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Laidlaw EGY Group | 50730N101 | COMM | 700,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITRO TECH | 92851M108 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRITANNIA MNG INC | 11040Y104 | COM | 945 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GROWLIFE INC COM | 39985X104 | Stock | 6,600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OMDA OIL GAS INC COM NEW | 67087W203 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESECURESOFT CO | 296423106 | Equities | 148 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPECTRA7 MICROSYSTEMS INC | 84761T109 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEXPRISE INC | 65333Q202 | Equities | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CUIDAO HLDG CORP | 229905302 | Equities | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BRO HLDG PFD | 05252E204 | PFDs, REITs, | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN ARCH RESOURCES | 38079K101 | Equities | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUGAR OIL & GAS CANADA INC | 22208A101 | Equities | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS 8.25XXXESCROW P | 370escbw4 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MOTORS CORP 9.25 | 370ESC9S6 | PFDs, REITs, | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREEN ENERGY GROUP INC | 393036108 | Equities | 165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MYZIPSOFT INC | 628703100 | Equities | 311 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORBIT BRANDS CORP | 68556C108 | Equities | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AAB NATIONAL CO | 000303107 | Equities | 181 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT GOLD CORP | 70337F103 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORE MED GROUP INC | 218684108 | Equities | 146 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HERITAGE GLOBAL INC | 42727E107 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUPER DEAL COM INC | 00210R106 | Equities | 153 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA PERFORMANCE PRODUCTS INC | 90341L102 | Equities | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USAS DIGITAL INC | 90341K104 | Equities | 162 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLASSIFIED AD INC | 00089Y109 | Equities | 156 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN CAPITAL HOLDINGS | 02503V109 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| North American Palladium Ltd | 65704X109 | Com | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACIFIC BLUE ENERGY CORP | 69404A104 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| mPhase Technologies Inc | 62472C102 | CS | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CDEX INC | 12507E205 | Equities | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N107 | Equities | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURICO METALS | 05157J108 | COM | 520 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLENERGEN CORP | 185635109 | Equities | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EARTHWORKS ENTERTAINMENT INC | 27032F200 | Equities | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOLOGIX TECH INC | 68230M209 | Equities | 1,250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEADIS TECH INC | 52171N103 | Equities | 2,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPORTSEND INC | 84920D102 | Equities | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENER8 MARTIME INC 17WT | Y26889116 | Equities | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Thermal Tech Technologies | 88360h101 | COM | 4,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIGHUB.COM INC | 089865109 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAPSTONE THERAPEUTIC | 14068E113 | Equities | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GUINNESS EXPLORATION | 40204A107 | Equities | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JANEL CORP | 47077R109 | Equities | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIFEAPPS BRANDS INC | 53190A205 | Equities | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIRACOR DIAGNOSTICS | 60461S104 | Equities | 1,215 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEGA TECH INC | 244781100 | Equities | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLOMON ALLIANCE GRP | 834264103 | Equities | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| US CRUDE INTL INC | 911758209 | Equities | 500,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Medbox Inc | 58405D100 | Common Stock | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAINBOW CORAL CORP | 75081A200 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-015335 | this filing | 2016-03-10 | acceptance time not in the bulk data set |