13F-HR filed by Cetera Advisor Networks LLC
Cetera Advisor Networks LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-12, with 762 holding rows worth $1,309,256,000.
- Accession
- 0001085146-14-000503
- Filer
- CIK 1534468
- Filed
- 2014-02-12
- 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, 762 entries on the cover page, a total value of $1,309,256,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,309,256,000 with VALUE read as thousands by filing date, 13F file number 028-14619. 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 |
|---|---|---|---|---|---|---|
| SEADRILL ORD | G7945E105 | COM | 8,842 | $362,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 10,014 | $361,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 43,166 | $361,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 1,960 | $359,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 2,820 | $359,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 2,748 | $357,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 6,176 | $354,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 21,250 | $353,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 6,480 | $352,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 3,873 | $351,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 26,349 | $350,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 19,403 | $347,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 9,408 | $347,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 12,721 | $346,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 12,645 | $344,000 | thousands by filing date | |
| BRE PROPERTIES INC | 05564E106 | CL A | 6,263 | $341,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 3,956 | $340,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 6,729 | $339,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 4,500 | $338,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 3,631 | $338,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 12,501 | $337,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 10,098 | $336,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 5,248 | $334,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 4,877 | $332,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 4,083 | $332,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 23,222 | $331,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 4,766 | $331,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 3,395 | $330,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 6,494 | $329,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 4,675 | $329,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 6,492 | $327,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 8,983 | $327,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 10,133 | $325,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 20,594 | $325,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 104,025 | $325,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 3,629 | $323,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 5,593 | $322,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 12,247 | $322,000 | thousands by filing date | |
| TORTOISE NORTH AMRN ENRGY CO | 89147T103 | COM | 11,619 | $322,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 2,590 | $320,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 23,700 | $315,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X731 | S&P INTL CONS | 7,803 | $315,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 9,785 | $314,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,456 | $313,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 38,996 | $310,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 9,503 | $308,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,900 | $305,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 8,119 | $305,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 12,393 | $305,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 6,830 | $305,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X699 | INTL FINL ETF | 13,057 | $305,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 5,472 | $302,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 4,929 | $302,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 5,347 | $302,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 37,884 | $302,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 3,183 | $301,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 5,177 | $300,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 15,500 | $299,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 3,664 | $298,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 2,862 | $297,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 3,587 | $296,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,528 | $295,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 4,444 | $294,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 3,102 | $291,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 10,655 | $290,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 24,508 | $289,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 3,705 | $288,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 10,666 | $287,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 5,969 | $286,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,578 | $286,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 1,707 | $285,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 3,841 | $285,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,721 | $282,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 8,466 | $281,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 3,571 | $281,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 15,571 | $281,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 11,232 | $279,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 12,717 | $278,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 3,694 | $278,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 4,162 | $277,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 3,052 | $276,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,307 | $275,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 2,869 | $275,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 12,943 | $275,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 5,034 | $272,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 3,489 | $272,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 21,350 | $272,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 2,904 | $267,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 2,407 | $267,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 4,677 | $264,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,430 | $263,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 29,191 | $263,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 3,212 | $262,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 2,853 | $262,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 11,125 | $262,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,714 | $262,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 11,084 | $261,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 5,609 | $259,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 7,270 | $258,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 5,099 | $258,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 7,845 | $257,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 7,016 | $257,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 9,400 | $256,000 | thousands by filing date | |
| BEAM INC | 073730103 | COMMON STOCK | 3,711 | $254,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 2,263 | $253,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 19,607 | $252,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 8,780 | $251,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 4,076 | $251,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 5,607 | $250,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 2,588 | $250,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 3,649 | $249,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,825 | $248,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 7,326 | $246,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 10,647 | $246,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,668 | $245,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 4,399 | $245,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 14,200 | $244,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 7,924 | $243,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,470 | $241,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 4,750 | $241,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 5,512 | $241,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 17,622 | $240,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 7,228 | $240,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,208 | $239,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,271 | $239,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 7,266 | $238,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 9,169 | $238,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 2,000 | $237,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,575 | $236,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 12,255 | $236,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 4,500 | $235,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,728 | $235,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 5,175 | $234,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 16,240 | $234,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 16,650 | $233,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,145 | $233,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 1,774 | $233,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 11,229 | $233,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 11,955 | $231,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,730 | $230,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,651 | $230,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 8,162 | $229,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 5,179 | $227,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B765 | ETRAC 2X LEV LNG | 7,600 | $227,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 7,400 | $226,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,855 | $225,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,694 | $225,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,485 | $224,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 31,100 | $224,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 3,866 | $224,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 3,525 | $223,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 3,975 | $223,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,427 | $223,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 11,431 | $223,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 11,025 | $222,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,145 | $222,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 3,604 | $221,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 10,810 | $221,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,909 | $220,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 4,321 | $220,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 8,261 | $220,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 24,826 | $219,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 49,310 | $218,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 29,824 | $218,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 1,568 | $217,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,414 | $216,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 4,675 | $215,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 23,897 | $214,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 4,392 | $214,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 18,975 | $214,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 2,008 | $213,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 3,945 | $213,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 7,884 | $213,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 11,092 | $211,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 16,209 | $211,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 7,750 | $210,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 22,770 | $210,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 6,363 | $209,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 3,360 | $209,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 2,385 | $209,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 12,833 | $208,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 16,762 | $206,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 10,000 | $206,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 24,211 | $205,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 5,801 | $205,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 29,700 | $205,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q710 | GLBL ST HI YLD | 8,200 | $205,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 38,318 | $204,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 2,880 | $203,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 7,790 | $203,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 8,019 | $202,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,001 | $201,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 2,559 | $201,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 4,245 | $201,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 5,477 | $201,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 5,012 | $200,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 14,375 | $198,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 18,520 | $195,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 10,528 | $194,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 23,400 | $191,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 13,256 | $186,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 12,500 | $185,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 14,301 | $184,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 15,013 | $184,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 14,024 | $182,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 10,748 | $177,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 21,968 | $174,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 18,975 | $174,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 10,065 | $166,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 13,689 | $165,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 16,322 | $161,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 13,179 | $160,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 18,290 | $153,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,934 | $149,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 15,218 | $148,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 28,021 | $145,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,868 | $144,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 36,884 | $142,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 10,115 | $136,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 12,063 | $135,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 13,859 | $134,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 10,348 | $133,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 14,204 | $130,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 10,900 | $130,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 10,612 | $127,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 18,333 | $126,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,440 | $123,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 12,655 | $123,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 10,134 | $123,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,659 | $121,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 11,529 | $121,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 12,271 | $115,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 11,376 | $112,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 12,904 | $109,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 11,494 | $103,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 12,652 | $102,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 22,950 | $102,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 11,020 | $92,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 10,540 | $87,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 15,137 | $87,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 21,969 | $75,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 10,560 | $75,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,396 | $73,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 13,649 | $69,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 10,981 | $66,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 16,409 | $65,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 11,500 | $59,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 28,000 | $56,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 11,005 | $55,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 13,540 | $55,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 11,400 | $46,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 23,870 | $44,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 24,500 | $40,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,888 | $37,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 12,500 | $25,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 10,000 | $21,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 11,250 | $11,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 14,000 | $9,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 10,000 | $7,000 | thousands by filing date | principal |
| GENCO SHIPPING & TRADING LTD | 36869MAA3 | NOTE 5.000% 8/1 | 12,000 | $6,000 | thousands by filing date | principal |
| MAST THERAPEUTICS INC | 576314108 | COM | 10,000 | $5,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 22,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000503 | this filing | 2014-02-12 | acceptance time not in the bulk data set |