13F-HR filed by Apriem Advisors
Apriem Advisors filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 546 holding rows worth $255,220,000.
- Accession
- 0001140361-14-007663
- Filer
- CIK 1425165
- Filed
- 2014-02-14
- 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, 546 entries on the cover page, a total value of $255,220,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $255,220,000 with VALUE read as thousands by filing date, 13F file number 028-12756. 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 |
|---|---|---|---|---|---|---|
| EXXON MOBIL CORP | 30231G102 | COM | 121,206 | $12,266,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 322,661 | $10,174,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 215,076 | $9,681,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 13,106 | $7,353,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 204,079 | $7,175,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 230,949 | $7,074,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 86,229 | $6,403,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 83,967 | $6,392,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 209,354 | $5,868,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 155,364 | $5,812,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 49,865 | $5,379,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 100,450 | $5,305,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 100,321 | $5,146,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 53,592 | $4,908,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 129,363 | $4,742,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 65,213 | $4,646,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 86,722 | $4,609,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 64,747 | $4,574,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 113,336 | $4,277,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 195,068 | $4,268,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 80,112 | $4,206,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 29,450 | $4,079,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 164,789 | $4,054,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 95,125 | $3,913,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 67,422 | $3,727,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 97,753 | $3,649,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 161,777 | $3,629,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 79,121 | $3,592,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 185,244 | $3,492,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 34,426 | $3,274,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 40,853 | $3,202,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP | 28176E112 | COM | 43,450 | $2,857,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 22,850 | $2,854,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 30,768 | $2,810,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 172,768 | $2,690,000 | thousands by filing date | |
| TARGET CORP | 87612E110 | COM | 42,400 | $2,683,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 46,079 | $2,623,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 27,730 | $2,613,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 135,477 | $2,414,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 29,663 | $2,374,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 20,545 | $2,167,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 53,915 | $2,161,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 33,155 | $2,101,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 30,009 | $1,941,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 37,200 | $1,828,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 85,590 | $1,809,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 36,284 | $1,715,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 76,201 | $1,701,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 25,218 | $1,672,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 37,575 | $1,582,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 159,825 | $1,442,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 26,138 | $1,308,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,410 | $1,184,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 14,720 | $1,168,000 | thousands by filing date | |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 51,375 | $1,155,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 88,393 | $1,076,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,200 | $935,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 4,954 | $929,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 8,000 | $923,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 10,804 | $890,000 | thousands by filing date | |
| VTI | 922908769 | COM | 8,786 | $843,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 99,735 | $784,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 11,170 | $770,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 81,275 | $766,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 7,839 | $761,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,315 | $749,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 55,350 | $711,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 6,172 | $704,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 8,810 | $680,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 7,089 | $650,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 27,350 | $563,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 4,044 | $552,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 5,015 | $551,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 11,750 | $545,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 8,000 | $522,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 8,600 | $508,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 40,400 | $507,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 10,000 | $502,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 14,178 | $500,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 12,405 | $456,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 4,120 | $432,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 4,568 | $402,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,700 | $379,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,457 | $363,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 12,160 | $354,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 10,200 | $327,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 3,845 | $311,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,619 | $310,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 2,570 | $299,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 4,059 | $291,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 8,000 | $289,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 22,700 | $287,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 10,832 | $281,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 7,880 | $275,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 3,900 | $271,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 3,325 | $268,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 10,000 | $267,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 6,180 | $266,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 17,375 | $266,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 6,726 | $264,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 4,048 | $245,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,100 | $235,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 3,906 | $223,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 4,150 | $222,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,077 | $222,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,416 | $213,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,288 | $213,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 21,834 | $212,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 3,900 | $204,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 2,619 | $187,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,975 | $183,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,000 | $183,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,115 | $182,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 4,650 | $179,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,372 | $179,000 | thousands by filing date | |
| 1/100 Berkshire Hath A | 084990175 | BRKA | 1 | $178,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,983 | $173,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 957 | $170,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 1,864 | $167,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,990 | $163,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,400 | $163,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 1,775 | $157,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 1,400 | $154,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 2,481 | $148,000 | thousands by filing date | |
| 38259p508 | COM | 132 | $148,000 | thousands by filing date | ||
| Citigroup Inc. | 172967424 | COM | 2,762 | $144,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 2,098 | $143,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,000 | $139,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 3,600 | $138,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 1,711 | $137,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 2,333 | $134,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 2,399 | $126,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 10,650 | $124,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,167 | $122,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 10,655 | $121,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 4,775 | $120,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 9,600 | $118,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 2,600 | $117,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 8,604 | $117,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,751 | $114,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 4,000 | $112,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 9,216 | $110,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 4,648 | $108,000 | thousands by filing date | |
| AMERICAN CAPITAL 8% PFD | 02503X204 | ps | 4,250 | $108,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 2,910 | $107,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 2,589 | $105,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 6,686 | $103,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 2,619 | $100,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 4,542 | $99,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,302 | $99,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 1,400 | $94,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 16,000 | $92,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 1,963 | $91,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 2,120 | $89,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 1,300 | $89,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 7,032 | $86,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 2,004 | $85,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 758 | $84,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 7,000 | $84,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 3,100 | $82,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 1,422 | $82,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 1,270 | $81,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 1,000 | $80,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 2,782 | $80,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 8,000 | $80,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 4,550 | $79,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 5,000 | $79,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 850 | $79,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 2,400 | $77,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 400 | $76,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 1,845 | $76,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 1,703 | $75,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 1,337 | $75,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 6,200 | $75,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 1,250 | $69,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 1,382 | $69,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 367 | $68,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 5,000 | $68,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 1,000 | $67,000 | thousands by filing date | |
| VALE S A | 91912E109 | SPONSORED ADS | 4,400 | $67,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 1,500 | $65,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 300 | $65,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 175 | $64,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 5,000 | $62,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 1,200 | $61,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 562 | $61,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 4,400 | $61,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 695 | $60,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 351 | $59,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 3,070 | $59,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 1,500 | $57,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 2,500 | $57,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 3,800 | $57,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 3,904 | $56,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 500 | $55,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 1,000 | $55,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,000 | $55,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 1,065 | $54,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 1,100 | $54,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 3,467 | $54,000 | thousands by filing date | |
| Wells Fargo Pfd | 949746747 | PFD | 2,675 | $54,000 | thousands by filing date | |
| NUVEEN INVT QLTY MUN FD | 67062E107 | cs | 4,000 | $54,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 1,000 | $51,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 3,500 | $51,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 2,000 | $51,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 2,000 | $50,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 200 | $49,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 862 | $49,000 | thousands by filing date | |
| PETROCHINA CO ADR F | 71646E104 | cs | 450 | $49,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 665 | $48,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,000 | $47,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 800 | $46,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 402 | $46,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 800 | $46,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 500 | $45,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,000 | $45,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 800 | $44,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 1,510 | $44,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 1,609 | $44,000 | thousands by filing date | |
| HEALTHCARE TRUST OF AMERICA | 42225P105 | COMMON STOCK | 4,510 | $44,000 | thousands by filing date | |
| MAGNUM HUNTER RES 8% PFD | 55973B300 | ps | 900 | $43,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 532 | $42,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 600 | $42,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 348 | $41,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 600 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,700 | $41,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 2,033 | $41,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 3,000 | $41,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 800 | $40,000 | thousands by filing date | |
| DYNEX CAPITAL 8.5% PFD | 26817Q704 | ps | 1,750 | $40,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 250 | $38,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 2,856 | $38,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 700 | $37,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 300 | $37,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 1,217 | $36,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 2,400 | $36,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 3,000 | $36,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 650 | $36,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 1,100 | $36,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 3,000 | $36,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 389 | $35,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 1,000 | $35,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 2,600 | $35,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 500 | $35,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 534 | $34,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 300 | $34,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 213 | $32,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 568 | $31,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 8,890 | $31,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 27 | $31,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 2,373 | $31,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 1,000 | $31,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 1,040 | $31,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 1,500 | $30,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 2,808 | $30,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 700 | $29,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 537 | $29,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 400 | $29,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 1,200 | $28,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 3,000 | $28,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 2,000 | $28,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 67 | $27,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 150 | $27,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 600 | $27,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 500 | $26,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 500 | $26,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 1,000 | $26,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 750 | $26,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 800 | $25,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 350 | $24,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 270 | $24,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 1,500 | $24,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 1,500 | $24,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 600 | $24,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 553 | $23,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 300 | $23,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 200 | $23,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,000 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 600 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 300 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 1,000 | $23,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 276 | $22,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 100 | $22,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 550 | $22,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 350 | $22,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 300 | $21,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 500 | $21,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 500 | $21,000 | thousands by filing date | |
| CYS INVTS 7.75%SER A PFD | 12673A207 | ps | 1,000 | $21,000 | thousands by filing date | |
| HATTERAS FINL 7.62% PFD | 41902R400 | ps | 1,000 | $21,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 320 | $20,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 417 | $20,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 300 | $19,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 310 | $19,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 150 | $19,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 1,400 | $19,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 700 | $19,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 300 | $18,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 750 | $18,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 200 | $18,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 632 | $18,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 600 | $18,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 500 | $17,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 300 | $17,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 2,000 | $17,000 | thousands by filing date | |
| BLACKROCK CA MUN INCM TR | 09248E105 | cs | 1,250 | $17,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 125 | $16,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 300 | $16,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 388 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 500 | $16,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 800 | $16,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 516 | $16,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 1,000 | $16,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 1,000 | $16,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 600 | $16,000 | thousands by filing date | |
| ORANGE COUNTY BUS BANK | 684193105 | cs | 2,200 | $16,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 275 | $15,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 200 | $15,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 700 | $15,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 300 | $15,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 200 | $15,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 300 | $15,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 200 | $14,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 302 | $14,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 150 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 218 | $14,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 525 | $14,000 | thousands by filing date | |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 616,600 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 119 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 973 | $13,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 70 | $13,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 100 | $13,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 300 | $13,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 2,763 | $13,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 450 | $13,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 1,000 | $13,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 411 | $12,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 221 | $12,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 90 | $12,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 1,400 | $12,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 100 | $12,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 260 | $12,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 900 | $12,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 415 | $12,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 400 | $12,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 787 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 50 | $11,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 200 | $11,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 300 | $11,000 | thousands by filing date | |
| Basf Se-Spon Adr | 055262505 | Equity | 100 | $11,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 500 | $11,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 1,000 | $11,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 500 | $11,000 | thousands by filing date | |
| PRUDENTIAL FIN 5.75%52 | 744320607 | ps | 500 | $11,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 100 | $10,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 200 | $10,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 150 | $10,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 102 | $10,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 250 | $10,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 260 | $10,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 545 | $10,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 175 | $10,000 | thousands by filing date | |
| HSBC Hldgs PLC Sub Cap 8.125% | 404280703 | Pfd Stk | 400 | $10,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 104 | $9,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 180 | $9,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 100 | $9,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 700 | $9,000 | thousands by filing date | |
| Equinix, Inc. | 29444U502 | EQIX | 50 | $9,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 80 | $9,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 79 | $9,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 1,104 | $9,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 106 | $9,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 10 | $8,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 150 | $8,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 300 | $8,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 100 | $8,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 100 | $8,000 | thousands by filing date | |
| ZILLOW INC | 98954A107 | COMMON STOCK | 100 | $8,000 | thousands by filing date | |
| CHANCELLOR GROUP INC | 15883D101 | COM | 70,000 | $8,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 187 | $8,000 | thousands by filing date | |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 100 | $8,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 100 | $8,000 | thousands by filing date | |
| TOTAL S A ADR F | 89151E113 | cs | 125 | $8,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 200 | $7,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 100 | $7,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 100 | $7,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 700 | $7,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 500 | $7,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 300 | $7,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 500 | $7,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 1,000 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 200 | $7,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 100 | $7,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 1,000 | $7,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 600 | $7,000 | thousands by filing date | |
| NUVEEN MASS PRE INCM MUN | 67061E108 | cs | 600 | $7,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 50 | $6,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 300 | $6,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 200 | $6,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 75 | $6,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 108 | $6,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 150 | $6,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 101 | $6,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 200 | $6,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 100 | $6,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 200 | $6,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 80 | $6,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 900 | $6,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 350 | $6,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 1,000 | $6,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 1,500 | $5,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 10 | $5,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 50 | $5,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 103 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 100 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 200 | $5,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 300 | $5,000 | thousands by filing date | |
| ISHARES TR | 46429B622 | MSCI A/C ASIA | 89 | $5,000 | thousands by filing date | |
| SHL TELEMEDICINE ORD F | M84047105 | cs | 700 | $5,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 1,500 | $4,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 300 | $4,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 200 | $4,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 500 | $4,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 150 | $4,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 103 | $4,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 80 | $4,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 40 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 88 | $4,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 200 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 76 | $4,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 12 | $4,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 100 | $4,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 500 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 80 | $4,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 400 | $4,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 204 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 330 | $4,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 100 | $4,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 100 | $4,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 100 | $4,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 440 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 513 | $4,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 100 | $4,000 | thousands by filing date | |
| CALL EDWARDS LIFESCIENCE | 004084188 | cl | 6 | $4,000 | thousands by filing date | call |
| Charles Schwab Corp | 808513105 | COM | 100 | $3,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 25 | $3,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 77 | $3,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 200 | $3,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 101 | $3,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 50 | $3,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 57 | $3,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 100 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 300 | $3,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 90 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 200 | $3,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 38 | $3,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 366 | $3,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 100 | $3,000 | thousands by filing date | |
| PEOPLESTRING CORP COM STK | 71272D103 | COM | 20,000 | $3,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 250 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 35 | $2,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 225 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 30 | $2,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 75 | $2,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 500 | $2,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 38 | $2,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 20 | $2,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 100 | $2,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 16 | $2,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 300 | $2,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 214 | $2,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 50 | $2,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 200 | $2,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 38 | $2,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 64 | $2,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 475 | $2,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 621 | $2,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 1,500 | $2,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 196 | $2,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 200 | $1,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 35 | $1,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 33 | $1,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 300 | $1,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 46 | $1,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 25 | $1,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 100 | $1,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 30 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 39 | $1,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 50 | $1,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 25 | $1,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 15 | $1,000 | thousands by filing date | |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 100 | $1,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 8 | $1,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 11 | $1,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 33 | $1,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 19 | $1,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 85 | $1,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 100 | $1,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 100 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-007663 | this filing | 2014-02-14 | acceptance time not in the bulk data set |