13F-HR filed by Regal Investment Advisors LLC
Regal Investment Advisors LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-06, with 927 holding rows worth $175,773,000 by the sum of the rows.
- Accession
- 0001398344-14-000616
- Filer
- CIK 1559789
- Filed
- 2014-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 930 entries on the cover page, a total value of $351,523,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $175,773,000 with VALUE read as thousands by filing date, 13F file number 028-15474. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $351,523,000, 100% more than the sum of the rows, $175,773,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| Allianzgi Conv & Income Fund | 18828103 | COM | 1,900 | $18,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FRANKLIN MUT SER FD INC MUT IN | 354026874 | COMMON | 1,148 | $18,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 240 | $17,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 343 | $17,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 280 | $17,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 275 | $17,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 400 | $17,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 218 | $17,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 1,000 | $17,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 165 | $17,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 165 | $17,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 390 | $17,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 2,500 | $17,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 1,074 | $17,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 840 | $17,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 200 | $17,000 | thousands by filing date | |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 351 | $17,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 1,261 | $17,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 567 | $17,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 1,000 | $17,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 559 | $16,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 910 | $16,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 205 | $16,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 235 | $16,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 377 | $16,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 218 | $16,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 199 | $16,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 850 | $16,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 300 | $16,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 235 | $16,000 | thousands by filing date | |
| ALLSTATE CORP | 20002101 | OPTION | 285 | $16,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 261 | $15,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 145 | $15,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 301 | $15,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 1,105 | $15,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 575 | $15,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 277 | $15,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 285 | $15,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 200 | $15,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 159 | $14,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 85 | $14,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 200 | $14,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 96 | $14,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 387 | $14,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 266 | $14,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 1,500 | $14,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 287 | $14,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 402 | $14,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 790 | $14,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 750 | $14,000 | thousands by filing date | |
| BED, BATH, AND BEYOND | 75896100 | COM | 180 | $14,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Be Aerospace Inc | 73302101 | COM | 158 | $14,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ASSOCIATED ESTATES RLTY CORP | 45604105 | COM | 900 | $14,000 | thousands by filing date | The CUSIP as filed is malformed. |
| AGRIUM INC | 8916108 | COM | 150 | $14,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NextEra Energy,Inc. | 65339F101 | COM | 150 | $13,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 100 | $13,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 100 | $13,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 239 | $13,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 500 | $13,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 398 | $13,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 224 | $13,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 1,032 | $13,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 650 | $13,000 | thousands by filing date | |
| TELECOM CORP NEW ZEALAND LTD SPON ADR | 879278208 | ADR | 1,386 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 250 | $13,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T621 | EXCHTRADE MIDTER | 220 | $13,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 530 | $12,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 173 | $12,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 800 | $12,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 133 | $12,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 43 | $12,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 350 | $12,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 203 | $12,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 236 | $12,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 800 | $12,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 297 | $12,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 3,180 | $12,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 500 | $12,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 88 | $12,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 200 | $12,000 | thousands by filing date | |
| AMERIGAS PARTNERS, LP | 30975106 | COM | 272 | $12,000 | thousands by filing date | The CUSIP as filed is malformed. |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 335 | $12,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $11,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 215 | $11,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 100 | $11,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 200 | $11,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 260 | $11,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 433 | $11,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 40 | $11,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 300 | $11,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 131 | $11,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 266 | $11,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 375 | $11,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 378 | $11,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 434 | $11,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 210 | $11,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 90 | $11,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 336 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 225 | $11,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 618 | $11,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 300 | $11,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 400 | $11,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 116 | $11,000 | thousands by filing date | |
| Crown Castle | 228227104 | COM | 150 | $11,000 | thousands by filing date | |
| Anika Therapeutics Inc | 35255108 | CS | 285 | $11,000 | thousands by filing date | The CUSIP as filed is malformed. |
| COMERICAINC | 200340107 | COM | 200 | $10,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 494 | $10,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 179 | $10,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 921 | $10,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 295 | $10,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 318 | $10,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 200 | $10,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 171 | $10,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 1,080 | $10,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 200 | $10,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 354 | $10,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 200 | $10,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 200 | $10,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 406 | $10,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 170 | $10,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 119 | $10,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 219 | $10,000 | thousands by filing date | |
| Entergy MISS 1st MTG | 29364N876 | Preferred Stock | 400 | $10,000 | thousands by filing date | |
| BONY MELLON PREF 5.20% MDT 09/ | 64058209 | PREFERR | 500 | $10,000 | thousands by filing date | The CUSIP as filed is malformed. |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 200 | $9,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 100 | $9,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 247 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 91 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 95 | $9,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 335 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 114 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 300 | $9,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 294 | $9,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 700 | $9,000 | thousands by filing date | |
| ASTRAZENECA PLC | 46353108 | ADR | 147 | $9,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PARTNERRE LTD 6.50% PFD SERIES | G68603409 | PREFERR | 400 | $9,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 212 | $9,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 100 | $8,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 350 | $8,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 214 | $8,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 521 | $8,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 50 | $8,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 160 | $8,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 509 | $8,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 500 | $8,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 150 | $8,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 800 | $8,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 118 | $8,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 276 | $8,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 950 | $8,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,850 | $8,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 400 | $8,000 | thousands by filing date | |
| AFC ENTERPRISES INC | 00104Q107 | COM | 200 | $8,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 750 | $8,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 348 | $8,000 | thousands by filing date | |
| AMERICAN INTERNATIONAL GROUP INC | 26874784 | COM | 148 | $8,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ACETO | 4446100 | COM | 336 | $8,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Morgan Stanley | 617446448 | COM | 235 | $7,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 80 | $7,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 200 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 327 | $7,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 1,372 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 100 | $7,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 200 | $7,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 100 | $7,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 220 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 101 | $7,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 94 | $7,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 200 | $7,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 294 | $7,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 138 | $7,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 780 | $7,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 236 | $7,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 100 | $6,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 60 | $6,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 308 | $6,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 134 | $6,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 150 | $6,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 103 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 255 | $6,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 70 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 100 | $6,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 800 | $6,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 300 | $6,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 100 | $6,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 130 | $6,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 103 | $6,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 1,000 | $6,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 215 | $6,000 | thousands by filing date | |
| AMERICAN WATER WORKS CO INC | 30420103 | COM | 149 | $6,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 500 | $6,000 | thousands by filing date | |
| ACXIOM CORP COM | 5125109 | COM | 170 | $6,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Altius Minerals Corp. | 20936100 | COM | 500 | $6,000 | thousands by filing date | The CUSIP as filed is malformed. |
| RBS CAP FDG TR VI PFD TR 6.25% GTD | 74928M204 | PREFERRED STOCK | 300 | $6,000 | thousands by filing date | |
| VIRGINIA MINES INC COM | 927864108 | COMMON | 500 | $6,000 | thousands by filing date | |
| AMERICAN LD LEASE INC PFDSER A | 27118504 | PREFERR | 250 | $6,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FIRSTENERGY CORP | 337932107 | COM | 156 | $5,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 95 | $5,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 88 | $5,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 250 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 98 | $5,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 159 | $5,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 115 | $5,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 40 | $5,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 333 | $5,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 150 | $5,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 212 | $5,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 76 | $5,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 120 | $5,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 361 | $5,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 100 | $5,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 155 | $5,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 300 | $5,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 60 | $5,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 200 | $5,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 140 | $5,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 220 | $5,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 295 | $5,000 | thousands by filing date | |
| ALCOA, INC. | 13817101 | COM | 500 | $5,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 200 | $5,000 | thousands by filing date | |
| ANADARKO PETE CORP | 32511107 | COM | 67 | $5,000 | thousands by filing date | The CUSIP as filed is malformed. |
| AGL RES INC | 1204106 | COMMON | 100 | $5,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CHINA OVERSEAS LAN ORDF | Y15004107 | ORD SHS | 1,750 | $5,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 50 | $4,000 | thousands by filing date | |
| SAFEWAY INC | 786514208 | COM NEW | 112 | $4,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 41 | $4,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 91 | $4,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 36 | $4,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 35 | $4,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 250 | $4,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 50 | $4,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 111 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 50 | $4,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 66 | $4,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 120 | $4,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 105 | $4,000 | thousands by filing date | |
| HARRIS CORP INC | 413875105 | COM | 59 | $4,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 379 | $4,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 700 | $4,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 200 | $4,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 138 | $4,000 | thousands by filing date | |
| DUNDEE CORPORATION | 264901109 | COMMON STK | 225 | $4,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 20 | $4,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 800 | $4,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 160 | $4,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 126 | $4,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 115 | $4,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 140 | $4,000 | thousands by filing date | |
| KNIGHTSBRIDGE TANKERS LTD | G5299G106 | COMMON | 400 | $4,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 100 | $4,000 | thousands by filing date | |
| Dream Unlimited Corp | 26153M200 | COM | 225 | $4,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 150 | $4,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 245 | $3,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 38 | $3,000 | thousands by filing date | |
| GANNETT INC | 364730101 | COM | 116 | $3,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 50 | $3,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 60 | $3,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 90 | $3,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 250 | $3,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 50 | $3,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 118 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 100 | $3,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 200 | $3,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 100 | $3,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 100 | $3,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 100 | $3,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 325 | $3,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 125 | $3,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 729 | $3,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 370 | $3,000 | thousands by filing date | |
| Taser Intl Inc | 87651B104 | COM | 200 | $3,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 760 | $3,000 | thousands by filing date | |
| APACHE CORP | 37411105 | COM | 36 | $3,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 150 | $3,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 100 | $3,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 100 | $3,000 | thousands by filing date | |
| MOTORS LIQ CO GUC TRUST | 62010U101 | cs | 79 | $3,000 | thousands by filing date | |
| AUTODESK INC | 52769106 | COMMON | 50 | $3,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Digitaltown Inc Com | 25400E102 | COM | 8,000 | $3,000 | thousands by filing date | |
| NATCORE TECHNOLOGY INC | 63228P108 | COM | 3,000 | $3,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 25 | $2,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 14 | $2,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 20 | $2,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 15 | $2,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 42 | $2,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 347 | $2,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 96 | $2,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 40 | $2,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 60 | $2,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 60 | $2,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 15 | $2,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 64 | $2,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 30 | $2,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 150 | $2,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 100 | $2,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 205 | $2,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 169 | $2,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 10 | $2,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 45 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 51 | $2,000 | thousands by filing date | |
| ISABELLA BANK CORP | 464214105 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 40 | $2,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 120 | $2,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 220 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 35 | $2,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 20 | $2,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 120 | $2,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 150 | $2,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 68 | $2,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 200 | $2,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 30 | $2,000 | thousands by filing date | |
| MANHATTAN SCIENTIFICS IN | 563122100 | COM | 24,200 | $2,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 125 | $2,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 200 | $2,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 41 | $2,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 100 | $2,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 200 | $2,000 | thousands by filing date | |
| ARBITRON INC | 03875Q108 | COM | 50 | $2,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 125 | $2,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 500 | $2,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 115 | $2,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 80 | $2,000 | thousands by filing date | |
| PVR PARTNERS L P | 693665101 | COM UNIT REPTG L | 68 | $2,000 | thousands by filing date | |
| Koninklijke Ahold-Sp Ad | 500467402 | COM | 137 | $2,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 116 | $2,000 | thousands by filing date | |
| AEGON NV SPONS ADR | 7924103 | COM | 221 | $2,000 | thousands by filing date | The CUSIP as filed is malformed. |
| AKZO NOBEL N.V.SPON ADR | 10199305 | COM | 75 | $2,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CAYDEN RES INC COM | 149738106 | COMMON | 1,500 | $2,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 202 | $1,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 130 | $1,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 12 | $1,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 10 | $1,000 | thousands by filing date | |
| NETAPP INC COM | 64110D104 | Stock | 20 | $1,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 100 | $1,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 20 | $1,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 37 | $1,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 429 | $1,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 30 | $1,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 20 | $1,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 20 | $1,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 20 | $1,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 20 | $1,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 20 | $1,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 50 | $1,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 28 | $1,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 25 | $1,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 35 | $1,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 111 | $1,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 40 | $1,000 | thousands by filing date | |
| J. SAINSBURY PLC-SPONS ADR | 466249208 | USD | 45 | $1,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 8 | $1,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 26 | $1,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 20 | $1,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 15 | $1,000 | thousands by filing date | |
| HUTCHINSON PORT HOLDINGS | Y3780D104 | COMMON STK | 1,000 | $1,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 36 | $1,000 | thousands by filing date | |
| DIGITAL GENERATION INC | 25400B108 | COM | 80 | $1,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 190 | $1,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M654 | GUGG ENH SHT DUR | 26 | $1,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 409 | $1,000 | thousands by filing date | |
| CITIGROUP INC 8.125% $2.03125 PFD | 172967572 | PREFERRED | 30 | $1,000 | thousands by filing date | |
| AMERICAN INTL WARRANTS WT EXP | 26874156 | WARRANT | 68 | $1,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Anworth Mtg Asset Corp | 37347101 | COM | 177 | $1,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LIME ENERGY CO COM | 53261U304 | COM | 357 | $1,000 | thousands by filing date | |
| TINTINA RES INC COM | 887677102 | COMMON | 5,000 | $1,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LULULEMON ATHLETICA INC | 550021109 | COM | 320 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 260 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AHM INVESTMENT CORP | 02660R107 | COMMON STOCK | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INDYMAC BANCORP INC | 456607100 | COMMON STOCK | 425 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPYGLASS RES CORP COM | 852193101 | COM | 188 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LSI CORPORATION | 502161102 | COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIG BEAR MINING CORP XXX | 08901P206 | COM | 4,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUTU HLDGS LTD FUNSPONSORED ADR 1 ADR REPS 8 ORD SHS | 36117F100 | COM | 1,276 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CASH AMER INTL INC | 14754D100 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Fairpoint Communications Inc/O | 305560104 | COM | 58 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI S.A. | 670851203 | SPN ADR REP PFD | 312 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| OI S.A. | 670851104 | SPONSORED ADR | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Citadel Broadcasting Corp | 17285T106 | Com | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALCATEL-LUCENT - SPONSORED ADR | 13904305 | COM | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| SATCON TECHNOLOGY CORP COM NEW | 803893403 | Stock | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DE Master Blenders 1753 NV | N2563N109 | COM | 180 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIRAGEN INC | 927638403 | EQUITY | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Municipal Mtg & Eqty | 62624B101 | Com | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN SOLAR INC | 30033R306 | COM | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DWS RREEF REAL EST XXX | 233ESC987 | COM | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COUNTY LINE ENERGY CRP COM | 222479107 | COM | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VELOCITY EXPRESS CORP COM STK | 92257T707 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Acusphere, Inc. | 00511R854 | COM | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DECODE GENETICS | 243586104 | COMMON | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOW INC | 98158H106 | DOW | 3,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ITRONICS INC COM NEW | 465743300 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONORAN ENERGY INC COM NO STOC | 83568V101 | COM | 1,652,441 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DIREXION SHS ETF TR | 25459Y363 | DLY R/E BEAR3X | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WHITE HALL ENTERPRISES COM | 965042104 | EQUITY | 1,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Advent Claymore Cnvt Secs & In | 7639107 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| Tsingyuan Brewery Ltd. | 89853G105 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WASHINGTON NAT GAS CO W VA | 939381109 | COMMON | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICARE HEALTH SCAN INC COM | 03060C104 | COMMON | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANPATH GROUP INC COM PAR $0.00 | 03634J304 | COMMON | 143 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATHEROGENICS INC COM | 47439104 | COMMON | 9,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| AVEC CORPORATION XXX | 2288108 | COMMON | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| MASS PETE INC COM NEW | 575424304 | COMMON | 9 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAROSSA CAP PLC SHS | G7820E105 | COMMON | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENSE TECHNOLOGIES INC COM | 816923106 | COMMON | 17,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PGMI INC | 69341E201 | COMMON | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ICON ECI FD FIFTEEN L P LTD PA | 45110X109 | COMMON | 81 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FORTRAN CORP COM | 34960D108 | COMMON | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-14-000616 | this filing | 2014-02-06 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001606587-15-000068 | base | 2015-02-17 | acceptance time not in the bulk data set |