13F-HR filed by Tortoise Investment Management, LLC
Tortoise Investment Management, LLC filed this 13F-HR for the quarter ended 2013-03-31, filed 2014-03-07, with 319 holding rows worth $139,558,000.
- Accession
- 0001599511-14-000008
- Filer
- CIK 1599511
- Filed
- 2014-03-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2013
A holdings report, 319 entries on the cover page, a total value of $139,558,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $139,558,000 with VALUE read as thousands by filing date, 13F file number 028-15827. 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 |
|---|---|---|---|---|---|---|
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 95,376 | $8,379,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 86,654 | $8,176,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 190,148 | $7,817,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 43,093 | $6,751,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 219,408 | $6,747,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 69,181 | $6,033,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 194,834 | $5,902,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 131,699 | $5,633,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 32,978 | $5,189,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 78,243 | $4,615,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 49,583 | $3,983,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 26,317 | $3,824,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 253,176 | $3,820,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 68,798 | $3,434,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 7,167 | $3,173,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 23,495 | $2,480,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 105,736 | $2,163,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 24,353 | $2,120,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 19,137 | $2,108,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 46,327 | $2,037,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 134,646 | $1,983,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 18,768 | $1,956,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 36,885 | $1,925,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 18,695 | $1,766,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 56,458 | $1,743,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 29,380 | $1,556,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 63,616 | $1,530,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 15,143 | $1,362,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 39,208 | $1,361,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 6,348 | $1,354,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 25,479 | $1,293,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 19,921 | $1,224,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 21,384 | $1,185,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 29,477 | $1,153,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 12,435 | $1,121,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 17,787 | $918,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 10,408 | $909,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 18,476 | $857,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 7,907 | $747,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 8,101 | $658,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 8,248 | $582,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 6,265 | $511,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 6,192 | $490,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 4,168 | $490,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 3 | $469,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 10,860 | $466,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 5,346 | $459,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 10,551 | $452,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,774 | $368,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 6,365 | $364,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,460 | $350,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 3,000 | $333,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 7,492 | $331,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 6,560 | $324,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 6,150 | $323,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 13,500 | $322,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,250 | $318,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 21,262 | $318,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 4,200 | $314,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 6,450 | $309,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 15,950 | $283,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,102 | $281,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,644 | $266,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4,380 | $251,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 3,454 | $248,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 5,067 | $243,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 23,238 | $238,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,991 | $237,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,364 | $234,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 10,100 | $233,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 5,050 | $232,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,140 | $224,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 8,924 | $206,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,000 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 1,500 | $167,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 10,600 | $161,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 2,463 | $150,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 3,000 | $144,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 5,370 | $137,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,400 | $134,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 4,100 | $129,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,468 | $119,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,400 | $117,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 7,130 | $114,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 7,510 | $112,000 | thousands by filing date | |
| VTI | 922908769 | COM | 1,355 | $110,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,509 | $109,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 2,572 | $106,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 3,705 | $104,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 3,000 | $101,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 915 | $97,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,000 | $93,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 3,250 | $90,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 800 | $89,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 7,162 | $87,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 1,000 | $85,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 1,262 | $83,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 1,040 | $83,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 1,200 | $83,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 2,100 | $82,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 1,200 | $82,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 2,148 | $79,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,120 | $79,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 850 | $79,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 3,100 | $77,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 19,200 | $76,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 14,300 | $76,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 1,304 | $74,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 602 | $72,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,258 | $72,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 1,000 | $71,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 1,234 | $70,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 900 | $69,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 725 | $68,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 1,400 | $67,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 1,740 | $66,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 2,000 | $63,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 3,000 | $63,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 575 | $62,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 528 | $62,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 5,000 | $61,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 1,464 | $60,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 1,312 | $57,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 800 | $55,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 1,030 | $54,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 666 | $53,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 1,512 | $53,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 1,464 | $52,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 530 | $52,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 650 | $51,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 1,000 | $51,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,760 | $50,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 1,206 | $50,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,890 | $48,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 3,000 | $48,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 2,700 | $48,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 1,023 | $45,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 514 | $41,000 | thousands by filing date | |
| 38259p508 | COM | 52 | $41,000 | thousands by filing date | ||
| COMPASS MINERALS INTL INC | 20451N101 | COM | 500 | $39,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 400 | $39,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 600 | $37,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 1,222 | $37,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 850 | $37,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 400 | $36,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 425 | $35,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 1,000 | $34,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 600 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 700 | $34,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 600 | $33,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 700 | $33,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 770 | $33,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 498 | $33,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 300 | $32,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 316 | $32,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 610 | $31,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 300 | $30,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 500 | $29,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 1,035 | $29,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 5,200 | $28,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 490 | $28,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 2,200 | $28,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 240 | $28,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 215 | $27,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 365 | $27,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 528 | $27,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 530 | $26,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 675 | $23,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,400 | $22,000 | thousands by filing date | call |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 200 | $21,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,300 | $21,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 300 | $20,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 510 | $20,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 648 | $20,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 1,200 | $20,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 475 | $20,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 600 | $19,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 200 | $17,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 348 | $17,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 200 | $16,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 547 | $16,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 124 | $16,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 300 | $16,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 600 | $16,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 392 | $15,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 465 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 500 | $15,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 275 | $14,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 167 | $13,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 153 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 342 | $13,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,000 | $12,000 | thousands by filing date | call |
| Comcast Corp | 20030N101 | COM | 294 | $12,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 201 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 276 | $12,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 419 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 468 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 394 | $12,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 3,500 | $12,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 167 | $11,000 | thousands by filing date | |
| IJH | 464287507 | COM | 99 | $11,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 139 | $11,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 3,200 | $11,000 | thousands by filing date | call |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 71 | $11,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 156 | $11,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 2,500 | $11,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 581 | $11,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 137 | $10,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 120 | $10,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 60 | $10,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 209 | $10,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 1,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 300 | $10,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 335 | $10,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 800 | $9,000 | thousands by filing date | call |
| Union Pacific Corporation | 907818108 | COM | 1,400 | $9,000 | thousands by filing date | call |
| HERSHEY CO COM | 427866108 | Stock | 102 | $9,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 200 | $9,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 250 | $9,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 182 | $9,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 295 | $9,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 80 | $9,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 179 | $8,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 98 | $8,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 81 | $8,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 125 | $8,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 41 | $8,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 3,000 | $8,000 | thousands by filing date | principal |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 150 | $7,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 200 | $7,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 246 | $7,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 200 | $7,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 2,100 | $7,000 | thousands by filing date | call |
| EASTMAN CHEM CO COM | 277432100 | Stock | 98 | $7,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 55 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 77 | $7,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 344 | $7,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 75 | $7,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 68 | $7,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 63 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 4,234 | $7,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 21 | $6,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 150 | $6,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,000 | $6,000 | thousands by filing date | call |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 88 | $6,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 370 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 306 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 246 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 103 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 198 | $6,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 162 | $6,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 5 | $6,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 111 | $6,000 | thousands by filing date | |
| REED ELSEVIER PLC-SPONS ADR | 758205207 | SPON | 123 | $6,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 224 | $5,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 75 | $5,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 109 | $5,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 90 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 176 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 248 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 190 | $5,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 93 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 193 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 124 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 124 | $5,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 600 | $4,000 | thousands by filing date | call |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 253 | $4,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 146 | $4,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 1,200 | $4,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 48 | $4,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 35 | $3,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 2,200 | $3,000 | thousands by filing date | call |
| MasterCard, Inc | 57636Q104 | COM | 6 | $3,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 500 | $3,000 | thousands by filing date | call |
| UNILEVER N V | 904784709 | N Y SHS NEW | 61 | $3,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 29 | $3,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 150 | $3,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 2,000 | $3,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 3,000 | $3,000 | thousands by filing date | principal |
| COVANTA HLDG CORP | 22282EAA0 | COM | 165 | $3,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 1,000 | $2,000 | thousands by filing date | call |
| iShares S&P 500 Value ETF | 464287408 | SHS | 25 | $2,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 60 | $2,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 174 | $2,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 18 | $2,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 45 | $2,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 80 | $2,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 22 | $2,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 1,000 | $2,000 | thousands by filing date | call |
| NEWFIELD EXPL CO | 651290108 | COM | 100 | $2,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 2,500 | $2,000 | thousands by filing date | put |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 2,500 | $2,000 | thousands by filing date | call |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 407 | $2,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 2,700 | $2,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 40 | $1,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 500 | $1,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 1,700 | $1,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 14 | $1,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 900 | $1,000 | thousands by filing date | call |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 2 | $1,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2 | $1,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 150 | $1,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 16 | $1,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 12 | $1,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14 | $1,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 11 | $1,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 11 | $1,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 900 | $1,000 | thousands by filing date | call |
| ACXIOM CORP | 005125109 | COMMON STOCK | 53 | $1,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| POWER-ONE INC | 73930R102 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 35 | $1,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 4 | $1,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 13 | $1,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 4 | $1,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 200 | $1,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 200 | $1,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 200 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001599511-14-000008 | this filing | 2014-03-07 | acceptance time not in the bulk data set |