13F-HR filed by Focused Wealth Management, Inc
Focused Wealth Management, Inc filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-06, with 635 holding rows worth $104,976,000.
- Accession
- 0001062993-13-005397
- Filer
- CIK 1586052
- Filed
- 2013-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 635 entries on the cover page, a total value of $104,976,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $104,976,000 with VALUE read as thousands by filing date, 13F file number 028-15621. 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 |
|---|---|---|---|---|---|---|
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 127,590 | $7,335,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 51,823 | $5,311,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 126,284 | $5,068,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 138,740 | $5,031,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 40,435 | $4,144,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 44,051 | $3,397,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 18,846 | $3,183,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 33,399 | $2,985,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 169,613 | $2,983,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 15,244 | $2,823,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 26,445 | $2,774,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 32,739 | $2,642,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 102,384 | $2,446,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 60,922 | $2,315,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 153,032 | $1,849,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 21,081 | $1,678,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 22,136 | $1,541,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,680 | $1,435,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 43,423 | $1,187,000 | thousands by filing date | |
| VTI | 922908769 | COM | 12,935 | $1,134,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 27,676 | $1,129,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 22,661 | $1,024,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 18,698 | $992,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 11,373 | $986,000 | thousands by filing date | |
| APPLE INC | 037833900 | CALL | 0 | $970,000 | thousands by filing date | Amount filed as zero, left out of ratios. |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 13,902 | $913,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,674 | $871,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,716 | $818,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 16,506 | $770,000 | thousands by filing date | |
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 5 | $736,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 10,533 | $699,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W901 | JAPN HEDGE EQT | 0 | $663,000 | thousands by filing date | Amount filed as zero, left out of ratios. |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 69,658 | $653,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 8,307 | $647,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 4,021 | $636,000 | thousands by filing date | |
| CURRENCYSHARES JAPANESE YEN | 23130A952 | COM | 0 | $615,000 | thousands by filing date | Amount filed as zero, left out of ratios. |
| Vanguard Value ETF | 922908744 | SHS | 8,604 | $600,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 12,097 | $587,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 25,306 | $580,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 16,984 | $574,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 7,719 | $571,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 46,566 | $568,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 8,054 | $546,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 52,852 | $546,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,729 | $511,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 20,278 | $482,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 6,124 | $479,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 99,440 | $444,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 18,854 | $442,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 9,369 | $434,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 13,848 | $414,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 16,113 | $404,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 4,959 | $391,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 70,328 | $379,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 20,414 | $368,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 3,702 | $339,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 3,882 | $324,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 31,029 | $313,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,200 | $302,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 14,866 | $301,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,921 | $297,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 21,374 | $295,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 4,642 | $290,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 16,350 | $288,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 9,698 | $279,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 14,100 | $277,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 9,128 | $271,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 6,761 | $269,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 21,455 | $257,000 | thousands by filing date | |
| PIMCO BUILD | 72201R825 | BLD AMER BD FD | 5,119 | $253,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,186 | $241,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 6,263 | $237,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,310 | $234,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,658 | $233,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 5,949 | $218,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,400 | $212,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 3,452 | $211,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 12,962 | $206,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,965 | $205,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,423 | $201,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,679 | $201,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,212 | $198,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 4,721 | $195,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 2,084 | $194,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 3,250 | $193,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,245 | $187,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 4,852 | $186,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 4,389 | $179,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 4,185 | $173,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 1,635 | $170,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 2,863 | $169,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,492 | $168,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 1,801 | $162,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 10,700 | $159,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 2,354 | $158,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 4,707 | $156,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908413 | S&P 500 ETF SH | 2,014 | $155,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 1,900 | $154,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 3,200 | $153,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,754 | $152,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,159 | $149,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,674 | $147,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 1,927 | $146,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,172 | $142,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 4,571 | $138,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,386 | $133,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 8,300 | $124,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 2,272 | $121,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 2,500 | $120,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,349 | $118,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 1,588 | $117,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 1,446 | $116,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 866 | $115,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,810 | $112,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 6,850 | $110,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 1,042 | $109,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,800 | $107,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 4,694 | $107,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,632 | $105,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 2,091 | $105,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 1,455 | $100,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 5,895 | $99,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 2,473 | $94,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,738 | $91,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,200 | $91,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 1,199 | $90,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 2,552 | $88,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 1,000 | $87,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 19,410 | $82,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 974 | $81,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 82,491 | $81,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 1,891 | $79,000 | thousands by filing date | |
| 38259p508 | COM | 89 | $78,000 | thousands by filing date | ||
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 6,468 | $77,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 1,495 | $77,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 997 | $76,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 2,993 | $76,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 5,800 | $74,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 3,616 | $72,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,813 | $68,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 632 | $68,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 688 | $65,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 2,575 | $65,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 1,387 | $64,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 797 | $64,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 535 | $63,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 1,689 | $62,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 1,453 | $61,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 965 | $60,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 1,425 | $60,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 733 | $59,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 767 | $59,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 780 | $58,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 1,112 | $58,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 1,853 | $57,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 300 | $57,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 6,173 | $57,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,261 | $56,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 1,177 | $56,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 4,174 | $54,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 543 | $51,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 900 | $51,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 1,195 | $49,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 875 | $49,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 1,942 | $48,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 3,695 | $48,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 3,829 | $48,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 1,153 | $48,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 1,031 | $47,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 968 | $47,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 6,263 | $47,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 12,451 | $47,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,218 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 628 | $44,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 3,123 | $44,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 600 | $43,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,528 | $43,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 400 | $43,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 500 | $43,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 506 | $43,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 1,036 | $42,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 487 | $41,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 5,060 | $41,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 600 | $40,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 446 | $40,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 3,744 | $39,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 120 | $38,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 577 | $38,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,937 | $38,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 2,785 | $37,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 924 | $36,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 425 | $35,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 607 | $34,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 245 | $34,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 461 | $34,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 750 | $34,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 286 | $34,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 579 | $34,000 | thousands by filing date | |
| NOBLE CORP | H5833N103 | COMMON STOCK-FO | 904 | $34,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 744 | $34,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,638 | $33,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 503 | $33,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 2,127 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 820 | $33,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 417 | $32,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 278 | $32,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 500 | $32,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 680 | $32,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 406 | $32,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 390 | $31,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 510 | $31,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 701 | $31,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 605 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 479 | $31,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 2,000 | $31,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 528 | $31,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 7,943 | $31,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 1,420 | $30,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 621 | $30,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,250 | $30,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 1,154 | $30,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 2,156 | $30,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 315 | $30,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 404 | $29,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 231 | $28,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,916 | $28,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 775 | $28,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 425 | $28,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 1,446 | $28,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 1,136 | $28,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 425 | $27,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 820 | $27,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 3,500 | $27,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 1,917 | $27,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 1,087 | $26,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 244 | $26,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 442 | $26,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 2,000 | $26,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 305 | $25,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 377 | $25,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 254 | $25,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 470 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 300 | $25,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 303 | $25,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 800 | $25,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 351 | $24,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 607 | $24,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 100 | $24,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 1,581 | $24,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 426 | $24,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 750 | $24,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 200 | $24,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 483 | $24,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 1,300 | $23,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 902 | $23,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 294 | $23,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 156 | $23,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 345 | $23,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 2,348 | $23,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 1,257 | $23,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 500 | $23,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 2,343 | $23,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 200 | $22,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 338 | $22,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 425 | $22,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 500 | $22,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 1,025 | $22,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 473 | $21,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 1,185 | $21,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 627 | $20,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 130 | $20,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 666 | $20,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 594 | $20,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 600 | $20,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 1,600 | $20,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 500 | $20,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 783 | $20,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 257 | $19,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 220 | $19,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 170 | $19,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 400 | $19,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 706 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 429 | $19,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 540 | $19,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 499 | $19,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,750 | $19,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 2,675 | $19,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 572 | $18,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 259 | $18,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 300 | $18,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 925 | $18,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 507 | $18,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 604 | $18,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 1,200 | $18,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 334 | $18,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 75 | $18,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC | 89685K100 | COM | 1,295 | $18,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 250 | $17,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 154 | $17,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 156 | $17,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 300 | $17,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 213 | $17,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 100 | $17,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 223 | $17,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 329 | $16,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 299 | $16,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 225 | $16,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 1,200 | $16,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 945 | $16,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 600 | $16,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 685 | $16,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 140 | $16,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 244 | $16,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 2,610 | $16,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 200 | $16,000 | thousands by filing date | |
| INVENSENSE INC | 46123D905 | COM | 100 | $16,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 200 | $15,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 351 | $15,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 165 | $15,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 250 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 500 | $15,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 1,207 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,207 | $15,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 1,300 | $15,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 333 | $15,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 4,066 | $15,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 251 | $14,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 2,318 | $14,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 100 | $14,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 162 | $13,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 413 | $13,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 1,558 | $13,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 210 | $13,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 75 | $12,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 520 | $12,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 214 | $12,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 1,040 | $12,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 106 | $12,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 500 | $12,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 484 | $12,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 200 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 1,000 | $12,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 992 | $12,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 63 | $11,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 124 | $11,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 100 | $11,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 1,366 | $11,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 300 | $11,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 159 | $11,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 130 | $11,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 300 | $11,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 318 | $11,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 200 | $11,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 840 | $11,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 750 | $11,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 1,000 | $11,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 587 | $11,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 736 | $11,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 3,153 | $11,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 811 | $11,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 1,050 | $11,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 79 | $10,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 117 | $10,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 152 | $10,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 200 | $10,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 278 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 468 | $10,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 150 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 500 | $10,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 232 | $10,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 91 | $10,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 300 | $10,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 128 | $9,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 516 | $9,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 200 | $9,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 300 | $9,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 220 | $9,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 193 | $9,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 772 | $9,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 625 | $9,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 214 | $9,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 670 | $9,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 115 | $9,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 100 | $9,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 200 | $9,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 166 | $9,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 7,550 | $9,000 | thousands by filing date | |
| GREENHAVEN CONTINUOUS CMDTY | 395258106 | UNIT | 334 | $9,000 | thousands by filing date | |
| LIFELOCK INC | 53224V900 | COM | 35 | $9,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 106 | $8,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 200 | $8,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,200 | $8,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 120 | $8,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50 | $8,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 425 | $8,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 100 | $8,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 126 | $8,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 486 | $8,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 163 | $8,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 196 | $8,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 136 | $8,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 774 | $8,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 100 | $8,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 896 | $8,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 200 | $8,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 64 | $7,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,500 | $7,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 443 | $7,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 127 | $7,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 200 | $7,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 140 | $7,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 300 | $7,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 100 | $7,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 150 | $7,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 1,000 | $7,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 100 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 176 | $7,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 63 | $7,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,200 | $7,000 | thousands by filing date | |
| BEAM INC | 073730103 | COMMON STOCK | 115 | $7,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 81 | $7,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 866 | $7,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 181 | $7,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 494 | $7,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 135 | $6,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 175 | $6,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 52 | $6,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 80 | $6,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 300 | $6,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 670 | $6,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $6,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 612 | $6,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 135 | $6,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 50 | $6,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 769 | $6,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 300 | $6,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 500 | $6,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 130 | $6,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 100 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 157 | $6,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 315 | $6,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 200 | $6,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 400 | $6,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 188 | $6,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 300 | $6,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 703 | $6,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 80 | $6,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 100 | $5,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 89 | $5,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 300 | $5,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 67 | $5,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 180 | $5,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 465 | $5,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 112 | $5,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 112 | $5,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 150 | $5,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 400 | $5,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 120 | $5,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 135 | $5,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 125 | $5,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 200 | $5,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 100 | $5,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 362 | $5,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 152 | $5,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 164 | $5,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 102 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 98 | $4,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 56 | $4,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 155 | $4,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 77 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 40 | $4,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 225 | $4,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 206 | $4,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 105 | $4,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 156 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 35 | $4,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 300 | $4,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 96 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 50 | $4,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 150 | $4,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 325 | $4,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 545 | $4,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 521 | $4,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 200 | $4,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 135 | $4,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,009 | $4,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 365 | $4,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 377 | $4,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 3,000 | $4,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 1,380 | $4,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 100 | $3,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 86 | $3,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 200 | $3,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 100 | $3,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 452 | $3,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 42 | $3,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 52 | $3,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 350 | $3,000 | thousands by filing date | |
| FORTINET INC | 34959E909 | CALL | 70 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-13-005397 | this filing | 2013-11-06 | acceptance time not in the bulk data set |