13F-HR filed by Focused Wealth Management, Inc
Focused Wealth Management, Inc filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-06, with 671 holding rows worth $119,489,000.
- Accession
- 0001062993-14-000534
- Filer
- CIK 1586052
- Filed
- 2014-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 672 entries on the cover page, a total value of $119,489,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $119,489,000 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 |
|---|---|---|---|---|---|---|
| EBAY INC. COM | 278642103 | Stock | 77 | $4,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 112 | $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 | 202 | $4,000 | thousands by filing date | |
| BARNES GROUP INC | 067806109 | COM | 105 | $4,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 96 | $4,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 325 | $4,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 521 | $4,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 135 | $4,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 200 | $4,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 920 | $4,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 758 | $4,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 377 | $4,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 358 | $4,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 500 | $4,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 3,000 | $4,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 1,395 | $4,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 100 | $4,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 333 | $4,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 30 | $3,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 100 | $3,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 90 | $3,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 76 | $3,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 100 | $3,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 360 | $3,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 380 | $3,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 40 | $3,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 74 | $3,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 52 | $3,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 1,000 | $3,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 350 | $3,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 106 | $3,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 125 | $3,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 100 | $3,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 338 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 367 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 500 | $3,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 35 | $3,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 100 | $3,000 | thousands by filing date | |
| ACTAVIS INC | 00507K103 | COM | 18 | $3,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 280 | $3,000 | thousands by filing date | |
| BOLT TECHNOLOGY CORP | 097698104 | COM | 150 | $3,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 80 | $3,000 | thousands by filing date | |
| BGC PARTNERS PFD STOCK CALLABLE QTLY | 0554ITAD3 | COM | 1,000 | $3,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 18 | $2,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 15 | $2,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 100 | $2,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 45 | $2,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 71 | $2,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 43 | $2,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 101 | $2,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 100 | $2,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 15 | $2,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 30 | $2,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 20 | $2,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 35 | $2,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 112 | $2,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 123 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 30 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 31 | $2,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 63 | $2,000 | thousands by filing date | |
| WINDSTREAM CORP | 97381W104 | COM | 271 | $2,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 100 | $2,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 450 | $2,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 303 | $2,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 91 | $2,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 30 | $2,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 138 | $2,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 145 | $2,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 333 | $2,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 52 | $2,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 889 | $2,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 36 | $2,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 1,000 | $2,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 200 | $2,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 310 | $2,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 112 | $2,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 100 | $1,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 50 | $1,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 63 | $1,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 40 | $1,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 45 | $1,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 150 | $1,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 7 | $1,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 20 | $1,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 31 | $1,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 33 | $1,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 20 | $1,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $1,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 100 | $1,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 20 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 17 | $1,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 20 | $1,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 26 | $1,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 26 | $1,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 15 | $1,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 30 | $1,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 50 | $1,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 9 | $1,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 50 | $1,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 35 | $1,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 66 | $1,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 120 | $1,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 162 | $1,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 62 | $1,000 | thousands by filing date | |
| FAMILY DLR STORES INC | 307000109 | COM | 8 | $1,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 100 | $1,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 100 | $1,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 8 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 16 | $1,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 197 | $1,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 55 | $1,000 | thousands by filing date | |
| GEEKNET INC | 36846Q203 | COM | 50 | $1,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 125 | $1,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP NEW CL A | 65249B109 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OLD REP INTL CORP COM | 680223104 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JBT MAREL CORPORATION | 477839104 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMUCKER J M CO | 832696405 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUG PWR INC | 72919P202 | COM NEW | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBS CORP NEW | 124857202 | CL B | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COACH INC | 189754104 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RADNET INC | 750491102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JPMORGAN CHASE & CO | 46625H950 | PUT | 3 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PFIZER INC | 717081953 | PUT | 2 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SLB LIMITED | 806857908 | CALL | 14 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TRANSWITCH CORP | 894065309 | COM | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XL GROUP PLC | G98290102 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ITT CORP | 450911201 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HESKA CORP | 42805E306 | COM | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMAGIN CORP | 29076N206 | COM | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHH CORP | 693320202 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMATION CORP | 45245A107 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXETER RES CORP | 301835104 | COM | 310 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LONE PINE RES INC | 54222A106 | COM | 61 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 166 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXELIS INC | 30162A108 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLDWATER CREEK INC | 193068202 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI S.A. | 670851203 | SPN ADR REP PFD | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVUS INC | 928551100 | COM | 42 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELSION CORPORATION | 15117N305 | COM NEW | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEMCELLS INC | 85857R204 | COM NEW | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WEBMD HEALTH CORP | 94770V102 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OCLARO INC | 67555N206 | COM | 67 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNTROLEUM CORP | 871630208 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROSSROADS SYS INC | 22765d209 | COM NEW | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DUNKIN' BRANDS GROUP INC | 265504950 | COM | 6 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INVENSENSE INC | 46123D955 | COM | 10 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENVEC INC NEW | 37246C307 | cs | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENTREMED INC | 29382F202 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-14-000534 | this filing | 2014-02-06 | acceptance time not in the bulk data set |