13F-HR filed by Windsor Capital Management, LLC
Windsor Capital Management, LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-10, with 397 holding rows worth $170,487,000.
- Accession
- 0001398344-14-000165
- Filer
- CIK 1543100
- Filed
- 2014-01-10
- 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, 397 entries on the cover page, a total value of $170,487,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $170,486,000 with VALUE read as thousands by filing date, 13F file number 028-14927. 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 |
|---|---|---|---|---|---|---|
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 793,800 | $14,122,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 235,905 | $9,568,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 88,894 | $9,375,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 457,533 | $8,478,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,031,467 | $8,200,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 183,219 | $6,748,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 134,641 | $6,292,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 218,015 | $5,424,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 26,250 | $4,848,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 369,447 | $4,500,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 457,419 | $4,126,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 35,976 | $4,108,000 | thousands by filing date | |
| IJH | 464287507 | COM | 30,673 | $4,104,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 54,648 | $3,667,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 84,629 | $3,336,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 185,896 | $3,168,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 39,281 | $3,140,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 73,377 | $3,067,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 478,440 | $2,949,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 26,208 | $2,789,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 101,759 | $2,748,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 76,437 | $2,732,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 25,044 | $2,217,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 42,748 | $1,837,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 35,086 | $1,834,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 22,484 | $1,680,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 23,915 | $1,598,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 26,871 | $1,490,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 107,437 | $1,467,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 12,509 | $1,365,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 10,057 | $1,088,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 11,538 | $1,072,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 24,722 | $1,021,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 44,728 | $978,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 9,544 | $966,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 103,716 | $960,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 8,095 | $940,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 10,218 | $936,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 24,176 | $850,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 21,636 | $822,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 9,397 | $819,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 22,328 | $818,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 10,214 | $809,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 17,382 | $803,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 115,416 | $757,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 8,335 | $679,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 11,942 | $632,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,267 | $608,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,134 | $516,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 19,622 | $485,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 16,854 | $471,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 6,392 | $441,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 11,235 | $431,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 2,872 | $431,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 14,991 | $420,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 6,402 | $417,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 8,386 | $412,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 4,404 | $365,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 35,540 | $356,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 13,621 | $354,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 14,196 | $345,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 3,183 | $328,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,421 | $321,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 35,704 | $321,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 2,255 | $316,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 3,389 | $305,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 3,122 | $303,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 6,605 | $300,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,593 | $299,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 15,242 | $285,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,528 | $278,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 15,300 | $273,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 5,000 | $266,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 34,416 | $265,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,884 | $227,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 1,944 | $221,000 | thousands by filing date | |
| KINDER MORGAN ENERGY PARTNER | 494550106 | UT LTD PARTNER | 2,691 | $217,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 6,922 | $212,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,376 | $201,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 7,948 | $200,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 6,261 | $192,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 17,178 | $183,000 | thousands by filing date | |
| 38259p508 | COM | 159 | $178,000 | thousands by filing date | ||
| OGE ENERGY CORP | 670837103 | COM | 4,800 | $163,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 1,930 | $162,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,267 | $160,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,491 | $159,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 8,684 | $154,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 4,995 | $154,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 2,739 | $149,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 261 | $147,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 1,307 | $144,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 3,861 | $144,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 1,370 | $144,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,551 | $144,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 2,500 | $143,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,859 | $139,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,516 | $138,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 17,117 | $137,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 2,109 | $136,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,474 | $135,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 3,168 | $131,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 1,332 | $128,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 1,538 | $124,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 5,475 | $123,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 3,714 | $122,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,879 | $122,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 5,306 | $119,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 1,674 | $116,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 1,528 | $116,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 1,527 | $114,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 4,147 | $114,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,080 | $113,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,161 | $110,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 2,662 | $109,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 1,653 | $107,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 896 | $106,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,978 | $104,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 928 | $103,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 6,552 | $102,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,350 | $101,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 1,598 | $101,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 2,470 | $100,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,216 | $92,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 2,304 | $92,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 1,638 | $91,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 2,355 | $91,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 2,361 | $91,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 4,860 | $89,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,600 | $87,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,317 | $87,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 1,955 | $87,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 5,116 | $85,000 | thousands by filing date | |
| ESSEX PPTY TR INC COM | 297178105 | REIT | 561 | $81,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 960 | $81,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 880 | $81,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 1,495 | $81,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,006 | $79,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 1,700 | $79,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,966 | $75,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 500 | $75,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 875 | $73,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 1,032 | $73,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 3,211 | $71,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 2,143 | $70,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 953 | $68,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 4,467 | $68,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 5,825 | $68,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 165 | $66,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 613 | $66,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 344 | $64,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 2,282 | $64,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 791 | $63,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 674 | $61,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 960 | $61,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 567 | $61,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 3,000 | $60,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 775 | $59,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 831 | $58,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 717 | $57,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 794 | $57,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 3,221 | $57,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 2,175 | $55,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 600 | $54,000 | thousands by filing date | |
| WELLTOWER INC | 42217K106 | COM | 1,008 | $54,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 630 | $53,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 615 | $52,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 1,038 | $52,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 664 | $51,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,000 | $51,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 3,040 | $51,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 941 | $50,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 1,871 | $50,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 3,010 | $49,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 277 | $47,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 1,190 | $47,000 | thousands by filing date | |
| PVR PARTNERS L P | 693665101 | COM UNIT REPTG L | 1,765 | $47,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 504 | $46,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 800 | $45,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 878 | $45,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,900 | $45,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 455 | $44,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 1,500 | $44,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 4,200 | $44,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 175 | $43,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 409 | $42,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 1,649 | $41,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 1,140 | $40,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 444 | $40,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 1,296 | $40,000 | thousands by filing date | |
| EL PASO PIPELINE PARTNERS | 283702108 | COMMON STOCK | 1,088 | $39,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 1,062 | $38,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 310 | $38,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 400 | $37,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 3,530 | $37,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 2,415 | $36,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 620 | $36,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 400 | $36,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 850 | $36,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 918 | $35,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 1,212 | $35,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 670 | $35,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 1,528 | $35,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 473 | $35,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 289 | $34,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 200 | $34,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 1,714 | $34,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 490 | $33,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 500 | $33,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 3,590 | $33,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 2,484 | $32,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,027 | $32,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 713 | $32,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 1,189 | $32,000 | thousands by filing date | |
| COVIDIEN PLC | G2554F113 | SHS | 465 | $32,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 909 | $32,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 500 | $31,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 283 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 1,018 | $31,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 1,720 | $31,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 2,247 | $30,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 742 | $30,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 1,465 | $30,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 636 | $29,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 1,241 | $29,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 1,300 | $29,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 372 | $28,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 1,000 | $28,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 1,000 | $28,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 224 | $27,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 645 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 234 | $27,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 407 | $26,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 500 | $26,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 500 | $26,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 200 | $26,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 500 | $26,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 500 | $26,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 1,397 | $26,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 6,270 | $26,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 500 | $25,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 458 | $24,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 200 | $24,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 227 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 560 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 290 | $24,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 1,900 | $24,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 1,000 | $24,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 805 | $24,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 2,000 | $24,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 1,000 | $24,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 241 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 237 | $23,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 1,298 | $23,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 260 | $22,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 400 | $22,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 1,588 | $22,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 546 | $22,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 1,000 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 155 | $21,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 1,195 | $21,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 1,000 | $21,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 500 | $21,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 2,706 | $21,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 400 | $20,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 232 | $20,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 1,000 | $20,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 320 | $20,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 686 | $20,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 200 | $19,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 1,600 | $19,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 820 | $19,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 502 | $19,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 300 | $19,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 4,005 | $19,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 124 | $18,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 511 | $18,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 261 | $18,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 200 | $18,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 856 | $17,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,200 | $17,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 1,175 | $17,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 1,205 | $17,000 | thousands by filing date | |
| DB-X FUNDS | 233052208 | XTRAK 2020TGT DT | 625 | $17,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 208 | $16,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 1,000 | $16,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 431 | $16,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 910 | $16,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 625 | $16,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 300 | $15,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,250 | $15,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 500 | $15,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 2,000 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 1,072 | $14,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 1,149 | $14,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 1,000 | $14,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 1,056 | $14,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 336 | $14,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 2,000 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 115 | $14,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 1,000 | $14,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 222 | $13,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 150 | $13,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 870 | $13,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 555 | $13,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 614 | $13,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 165 | $13,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 285 | $13,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 527 | $13,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 210 | $12,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 225 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 240 | $12,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 275 | $12,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 154 | $12,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 1,000 | $12,000 | thousands by filing date | |
| TIM HORTONS INC | 88706M103 | COM | 210 | $12,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 1,000 | $12,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 145 | $11,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 49 | $11,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 132 | $11,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 275 | $11,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 1,386 | $11,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 892 | $11,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 876 | $11,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 401 | $11,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 325 | $11,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 266 | $11,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 1,211 | $11,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 432 | $11,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 190 | $10,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 126 | $10,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 116 | $10,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 154 | $10,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 80 | $10,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 280 | $10,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,000 | $10,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 163 | $10,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 270 | $10,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 101 | $10,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 179 | $10,000 | thousands by filing date | |
| DB-X FUNDS | 233052307 | XTRAK 2030TGT DT | 363 | $10,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 225 | $9,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 310 | $9,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 100 | $9,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 225 | $9,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 1,000 | $9,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 161 | $9,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 549 | $9,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 48 | $8,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 95 | $8,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 150 | $8,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 157 | $8,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 1,000 | $8,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 185 | $8,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 1,000 | $8,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 153 | $7,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 200 | $7,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 163 | $7,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 460 | $7,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 100 | $7,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 1,343 | $7,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 139 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 103 | $7,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 101 | $7,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 54 | $7,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 161 | $6,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 34 | $6,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 500 | $6,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 800 | $6,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 420 | $6,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 1,012 | $6,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 300 | $6,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 75 | $5,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 108 | $5,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 300 | $5,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 500 | $4,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 115 | $4,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 115 | $4,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 200 | $4,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 82 | $3,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 58 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 319 | $3,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 19 | $2,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 150 | $2,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 47 | $2,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 220 | $2,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 221 | $2,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 99 | $1,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 38 | $1,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 31 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347X567 | ULTSHT CHINA 25 | 55 | $1,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ENCANA CORP | 292505104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLDWATER CREEK INC | 193068202 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-14-000165 | this filing | 2014-01-10 | acceptance time not in the bulk data set |