13F-HR filed by Financial Management Professionals, Inc.
Financial Management Professionals, Inc. filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-08, with 309 holding rows worth $135,981,000.
- Accession
- 0001398344-13-003639
- Filer
- CIK 1568132
- Filed
- 2013-08-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 309 entries on the cover page, a total value of $135,981,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $135,981,000 with VALUE read as thousands by filing date, 13F file number 028-15131. 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 |
|---|---|---|---|---|---|---|
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 662,822 | $38,391,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 374,371 | $16,469,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 254,798 | $12,314,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 190,817 | $7,287,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 69,312 | $6,233,000 | thousands by filing date | |
| ISHARES INC MSCI UTD KINGD | 464286699 | COM | 254,114 | $4,488,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 114,385 | $4,438,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 107,972 | $4,095,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 45,746 | $3,272,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 77,513 | $3,251,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 137,515 | $3,078,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 33,154 | $2,995,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 137,740 | $2,888,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 43,239 | $2,882,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 15,491 | $2,694,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 47,711 | $2,313,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 31,866 | $2,250,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 17,036 | $1,621,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 20,102 | $1,523,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 17,377 | $1,421,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 31,673 | $1,401,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 6,400 | $444,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,712 | $439,000 | thousands by filing date | |
| 1/100 Berkshire Hath A | 084990175 | BRKA | 200 | $337,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 728 | $289,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 21,707 | $288,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 21,377 | $285,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,200 | $277,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 3,068 | $262,000 | thousands by filing date | |
| DISCOVER BANK 0.25%14 | 254671RQ5 | CDO | 257,000 | $257,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 4,515 | $238,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 8,882 | $206,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,746 | $192,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,009 | $183,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 4,862 | $182,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 4,000 | $177,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,391 | $161,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 4,390 | $154,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,977 | $137,000 | thousands by filing date | |
| DISCOVER BANK N A 5.1%13 | 25469JSC4 | CDO | 134,000 | $135,000 | thousands by filing date | |
| GOLDMAN SACHS BK 5.0%13 | 381426PW9 | CDS | 131,000 | $133,000 | thousands by filing date | |
| SAFRA NATL BK NY 0.45%14 | 7865805T3 | CDO | 127,000 | $127,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 6,280 | $119,000 | thousands by filing date | |
| CAPITAL ONE USA 5.0%13 | 140420KZ2 | CDO | 117,000 | $119,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 1,050 | $118,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 4,143 | $116,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 3,230 | $114,000 | thousands by filing date | |
| CALCASIEU-CAMERON 4%18 | 128271AV5 | BMU | 100,000 | $109,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,777 | $108,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 553 | $106,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,067 | $106,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,665 | $103,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 2,665 | $98,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 2,135 | $96,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 3,928 | $95,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 3,593 | $87,000 | thousands by filing date | |
| ALLY BK 1.5%13 | 02004MN74 | CDO | 87,000 | $87,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 4,000 | $86,000 | thousands by filing date | |
| AMR CORP | 001765106 | COMMON STOCK | 20,000 | $81,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 1,392 | $77,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 2,413 | $75,000 | thousands by filing date | |
| CITIBANK NA 3%14 | 17312QPJ2 | CDO | 73,000 | $75,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 957 | $74,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 463 | $73,000 | thousands by filing date | |
| FIFTH THIRD BANK 0.25%14 | 316777GM7 | CDS | 70,000 | $70,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 1,200 | $69,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 1,148 | $68,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 1,000 | $67,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 1,101 | $63,000 | thousands by filing date | |
| FIFTH THIRD BANK 0.25%14 | 316777JE2 | CDS | 63,000 | $63,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 829 | $62,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 5,197 | $62,000 | thousands by filing date | |
| CAPMARK BANK N A 3.5%14 | 140653G67 | CDS | 61,000 | $62,000 | thousands by filing date | |
| PARK STERLING BK 0.25%14 | 70086WFE4 | CDO | 62,000 | $62,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 918 | $60,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 972 | $60,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 489 | $58,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 1,200 | $58,000 | thousands by filing date | |
| PARK STERLING BK 2.1%14 | 70086WDQ9 | CDO | 57,000 | $58,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 500 | $54,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 2,879 | $52,000 | thousands by filing date | |
| CITIZENS BANK 2.65%15 | 174000BR9 | CDO | 50,000 | $52,000 | thousands by filing date | |
| CALCASIEU PARISH 3.6%15 | 128616BG3 | BMU | 50,000 | $51,000 | thousands by filing date | |
| EAST BATON ROUG 3.625%15 | 270764AL7 | BMU | 50,000 | $51,000 | thousands by filing date | |
| SAINT MARTIN PARI 3.5%14 | 792146HP0 | BMU | 50,000 | $51,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 974 | $50,000 | thousands by filing date | |
| WINDSTREAM CORP | 97381W104 | COM | 6,000 | $46,000 | thousands by filing date | |
| TELEFONICA EMI 5.877%19F | 87938WAH6 | UDD | 40,000 | $43,000 | thousands by filing date | |
| JEFFERIES GROUP 5.5%16 | 472319AB8 | BCO | 40,000 | $43,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 2,000 | $42,000 | thousands by filing date | |
| ROYAL BK SCOT 3.95%15F | 78010XAG6 | UDD | 40,000 | $42,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 1,369 | $40,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 2,430 | $40,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 1,632 | $40,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 2,700 | $40,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 795 | $39,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 986 | $38,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 2,854 | $37,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 1,508 | $37,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 1,299 | $37,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 2,694 | $37,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 10,450 | $35,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 1,231 | $34,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 7,138 | $34,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 846 | $33,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 600 | $33,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 1,027 | $32,000 | thousands by filing date | |
| VTI | 922908769 | COM | 391 | $32,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,375 | $31,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 2,000 | $30,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,549 | $29,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 1,504 | $27,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 2,828 | $26,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 1,400 | $26,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 460 | $26,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 1,080 | $25,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 357 | $25,000 | thousands by filing date | |
| HSBC Hldgs PLC Sub Cap 8.125% | 404280703 | Pfd Stk | 1,000 | $25,000 | thousands by filing date | |
| UST INFL IDX 2%07/14 | 912828CP3 | TIP | 20,000 | $25,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 750 | $24,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 550 | $24,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 240 | $24,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 356 | $23,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 391 | $23,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 250 | $21,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 675 | $21,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 300 | $20,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 1,574 | $20,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 867 | $20,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 910 | $19,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 200 | $19,000 | thousands by filing date | |
| COPPELL TEX INDPT 0%17 | 217489N82 | BMU | 21,000 | $19,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 187 | $18,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 272 | $18,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 300 | $18,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 200 | $18,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 428 | $18,000 | thousands by filing date | |
| TRAVIS CNTY TEX 4.375%24 | 89438VVB9 | BMU | 18,000 | $18,000 | thousands by filing date | |
| ALAMO TEX CMNTY COL 4%16 | 011415HU3 | BMU | 17,000 | $18,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 429 | $17,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 375 | $17,000 | thousands by filing date | |
| WHARTON TEX INDPT 4%14 | 962421DM2 | BMU | 17,000 | $17,000 | thousands by filing date | |
| GALVESTON TEX WT 3.75%14 | 364564CA0 | BMU | 17,000 | $17,000 | thousands by filing date | |
| GOOSE CREEK TEX CON 4%15 | 382604VH6 | BMU | 16,000 | $17,000 | thousands by filing date | |
| IRVING TEX INDP 4.125%20 | 463813LP8 | BMU | 16,000 | $17,000 | thousands by filing date | |
| MERCEDES TEX INDP 3.5%13 | 587703LK3 | BMU | 17,000 | $17,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 633 | $16,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 300 | $16,000 | thousands by filing date | |
| Inergy, LP | 456615103 | LTD | 1,000 | $16,000 | thousands by filing date | |
| HARRIS CNTY TEX 0%17 | 414004MK4 | BMU | 17,000 | $16,000 | thousands by filing date | |
| HARRIS CNTY TEX MUN 4%17 | 413954CP1 | BMU | 16,000 | $16,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 404 | $15,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 1,580 | $15,000 | thousands by filing date | |
| DISCOVER BANK N A 5.0%13 | 25469JUE7 | CDO | 15,000 | $15,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 287 | $14,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 306 | $14,000 | thousands by filing date | |
| DALLAS TEX CONVENTI 0%18 | 235417AR3 | BMU | 16,000 | $14,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 248 | $13,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 56 | $12,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 311 | $12,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 925 | $12,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 274 | $11,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 6,400 | $11,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 2,624 | $11,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 338 | $10,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 400 | $10,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 100 | $10,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 675 | $10,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 1,000 | $10,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,095 | $10,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 400 | $10,000 | thousands by filing date | |
| INERGY MIDSTREAM LP | 45671U106 | U LTD PARTNERS | 432 | $10,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 346 | $10,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 400 | $9,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 352 | $9,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 80 | $9,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 166 | $9,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 1,351 | $9,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 700 | $9,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 441 | $9,000 | thousands by filing date | |
| PROSHARES | 74347X237 | EXCHANGE TRADED | 400 | $9,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 196 | $9,000 | thousands by filing date | |
| 38259p508 | COM | 10 | $9,000 | thousands by filing date | ||
| Susser Petroleum Partners, LP | 869239103 | LTD | 315 | $9,000 | thousands by filing date | |
| UVALDE TEX CONS 4.25%20 | 918135HN7 | BMU | 9,000 | $9,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 69 | $8,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 200 | $8,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 1,000 | $8,000 | thousands by filing date | |
| PFLUGERVILLE TEX IN 4%18 | 717095P56 | BMU | 8,000 | $8,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 150 | $7,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 135 | $7,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 139 | $6,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 200 | $6,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 200 | $6,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 132 | $6,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 96 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 83 | $6,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 150 | $6,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 122 | $6,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 112 | $6,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 100 | $6,000 | thousands by filing date | |
| RESEARCH IN MOTION LTD | 760975102 | COM | 600 | $6,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 1,500 | $6,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 18 | $5,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 200 | $5,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 505 | $5,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 68 | $5,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 400 | $5,000 | thousands by filing date | |
| BJS RESTAURANTS INC | 09180C106 | COM | 143 | $5,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 280 | $5,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 228 | $5,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 116 | $5,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 100 | $5,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,402 | $5,000 | thousands by filing date | |
| DISCOVER BANK NA 5.05%13 | 25469JTC3 | CDO | 5,000 | $5,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 30 | $4,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 59 | $4,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 45 | $4,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| BECKMAN COULTER 2.5%36 | 075811AD1 | BCO | 3,000 | $4,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 43 | $3,000 | thousands by filing date | |
| IJH | 464287507 | COM | 30 | $3,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 38 | $3,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 1,000 | $3,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 266 | $3,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 50 | $3,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 88 | $3,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 425 | $2,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 63 | $2,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 40 | $2,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 32 | $2,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 100 | $2,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 781 | $2,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 90 | $2,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 280 | $2,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 200 | $2,000 | thousands by filing date | |
| LA JOYA TEX INDPT 0%16 | 503462HD8 | BMU | 2,000 | $2,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 96 | $1,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 22 | $1,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 34 | $1,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 21 | $1,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 23 | $1,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 5 | $1,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 154 | $1,000 | thousands by filing date | |
| SPRINT NEXTEL CORP | 852061100 | COM SER 1 | 103 | $1,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 500 | $1,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 2,000 | $1,000 | thousands by filing date | |
| ERHC ENERGY INC | 26884J104 | COM | 18,000 | $1,000 | thousands by filing date | |
| ROSAMOND CALIF CM 7.5%02 | 776802BU3 | BMU | 10,000 | $1,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Schwab US REIT ETF | 808524847 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NOKIA CORP | 654902204 | SPONSORED ADR | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OPEN TEXT CORP COM | 683715106 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CENTURYLINK INC | 156700106 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288125 | 3YRTB ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LINEAR TECH INC | 535678AC0 | CORPORATE OBLIG | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| THORNBURG MORTGAGE INC | 885218800 | COMMON STOCK | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYCAMORE NETWORKS, INC | 871206405 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON MUTUAL INC COMMON | 939ESC968 | COMMON STOCK | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSWITCH CORP | 894065309 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AOL INC | 00184X105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Fairpoint Communications Inc/O | 305560104 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Citadel Broadcasting Corp | 17285T106 | Com | 29 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| POLYMET MINING CORP | 731916110 | RIGHT 07/03/2013 | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| EAGLE BROADBAND INC NXXX | 269437208 | cs | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MELTRONIX INC | 585730104 | cs | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBALSCAPE INC | 37940G109 | COM | 98 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS BANK PLC | 06739G851 | IPTH JPY/USD ETN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Beacon Power Corp New | 073677205 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIGERATI TECHNOLOGIES | 25375L206 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXCEL MARITIME CARRIERS LTD | V3267N107 | COM | 14,275 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEVA PHARM FIN 0.25%24 | 88164RAB3 | BCO | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| U S SHIPPING PARTNERSXXX | 903417103 | MLP | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALUESTAR CORP XXX | 919910109 | COM | 6,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VELATEL GLOBAL COMM NEW | 92256R207 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WILHELMINA INTL | 968235101 | COM | 1,430 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YTB INTERNATIONAL CL A | 98425R200 | COM | 214 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZEOX CORP F | 98944A100 | FGC | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AZ GOLD & ONYX MINING CO | 04051K105 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEAN ENERGY PATHWAYS | 18451W105 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COASTAL PACIFIC MINING F | 19049P107 | FGC | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERGY & ENGINE TECH XXX | 29267D108 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTL T M E RESOURCES F | 46049W105 | FGC | 667 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEHMAN BROS HLDGS 2XXX | 525ESCW62 | PRD | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARTS.COM INC NEW XXX | 702140203 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONICBLUE INC XXX | 83546Q109 | COM | 182 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPENCER PHARMA INC | 848224101 | COM | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-13-003639 | this filing | 2013-08-08 | acceptance time not in the bulk data set |