-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EY86cLgelgLVK4WcXVprNLVZZCwRFbNV0HOSgRcrHNgp0zgSiBfV2lMgnSVCShEL QU3CSYez31EBgZwy8OG2Yw== 0000906344-11-000039.txt : 20110201 0000906344-11-000039.hdr.sgml : 20110201 20110201155518 ACCESSION NUMBER: 0000906344-11-000039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110201 DATE AS OF CHANGE: 20110201 EFFECTIVENESS DATE: 20110201 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SAN FRANCISCO SENTRY INVESTMENT GROUP CENTRAL INDEX KEY: 0001068811 IRS NUMBER: 943182508 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07260 FILM NUMBER: 11563130 BUSINESS ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 4152299000 MAIL ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 sfs4q10.txt FORM 13F - FOURTH QUARTER 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/10 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: SAN FRANCISCO SENTRY INVESTMENT GROUP 100 Pine Street, Suite 2700 San Francisco, CA 94111 Form 13F File Number: 028-07260 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Richard E. Dirickson, Jr. Title: Chairman and Secretary Phone: (415) 229-9000 Signature, Place and Date of Signing: /s/ Richard E. Dirickson, Jr. San Francisco, CA February 1, 2011 - ----------------------------- ------------------------ ----------------- [Signature] [City, State] [Date] Report Type (Check only one): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 391 Form 13F Information Table Value Total (x$1000): 278,175 List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE - FOURTH QUARTER 2010 SAN FRANCISCO SENTRY INVESTMENT GROUP
TITLE OF VALUE SHARES/ SH/ PUT/ INVSMT OTH VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRTN MGRS SOLE SHARED NONE ======================================================================================================================= 3M Company Common 88579y101 $505 5852 SH Sole 5852 8x8 Inc. Common 282914100 $31 13000 SH Sole 13000 ABB, Ltd. Common 000375204 $22 1000 SH Sole 1000 AMR Corp Del Common 001765106 $99 12658 SH Sole 12658 AOL Time Warner Inc. Common 00184X105 $1 48 SH Sole 48 ARC Energy Trust Common 00208d408 $208 8200 SH Sole 8200 AT&T Inc. Common 00206r102 $68 2325 SH Sole 2325 ATP Oil & Gas Corp. Common 00208j108 $50 3000 SH Sole 3000 Abbot Laboratories Common 002824100 $369 7700 SH Sole 7700 Abercrombie & Fitch Co. Common 002896207 $75 1300 SH Sole 1300 ACE Ltd. Common H0023R105 $374 6000 SH Sole 6000 Activions Blizzard Inc. Common 00507V109 $124 10000 SH Sole 10000 Adobe Systems Inc Common 00724f101 $9,360 304100 SH Sole 304100 Advanced Battery Technologies Common 00752H102 $112 29000 SH Sole 29000 Aegon NVADR Common 007924103 $50 8124 SH Sole 8124 Agilent Technologies Inc Common 00846u101 $402 9709 SH Sole 9709 Air Prod & Chemical Inc Common 009158106 $508 5590 SH Sole 5590 Alcatel-Lucent Common 013904305 $1 195 SH Sole 195 Alcoa, Inc. Common 013817101 $378 24582 SH Sole 24582 Allergan Inc. Common 018490102 $55 800 SH Sole 800 Alliance Resource Partners, L.P. Common 01877R108 $20 300 SH Sole 300 Allscripts Misys Healthcare Common 01988P108 $193 10000 SH Sole 10000 Solutions Inc Altair Nanatechnologies, Inc. Common 021373204 $278 100760 SH Sole 100760 Altera Corp Common 021441100 $28 800 SH Sole 800 Altria Group Inc Common 02209S103 $156 6325 SH Sole 6325 Amazon.com, Inc. Common 023135106 $315 1750 SH Sole 1750 American Express Co Common 025816109 $48 1110 SH Sole 1110 American Intl Group Common 026874784 $6 97 SH Sole 97 American Tower Corp Common 029912201 $132 2550 SH Sole 2550 Amgen Inc Common 031162100 $6,548 119273 SH Sole 119273 Amylin Pharmaceuticals Common 032346108 $29 2000 SH Sole 2000 Anadarko Petroleum Corp. Common 032511107 $950 12470 SH Sole 12470 Analog Devices Inc. Common 032654105 $3,202 85000 SH Sole 85000 Apache Corp Common 037411105 $733 6150 SH Sole 6150 Apple Computer Common 037833100 $1,263 3915 SH Sole 3915 Applied Materials Common 038222105 $70 4995 SH Sole 4995 Aqua America, Inc. Common 03836W103 $43 1900 SH Sole 1900 Ares Capital Corporation Common 04010L103 $74 4500 SH Sole 4500 Arris Group, Inc. Common 04269Q100 $416 37078 SH Sole 37078 BP Purdhoe Bay Royalty Trust UBI Common 055630107 $1,837 14520 SH Sole 14520 BYD Co. H Shares Common Y1023R104 $265 50000 SH Sole 50000 Backcock & Wilcox, Co. Common 05615F102 $3 127 SH Sole 127 Baidu.com, Inc. Spread Common 056752108 $171 1770 SH Sole 1770 Bankamerica Corp Common 060505104 $808 60556 SH Sole 60556 Baxter International Common 071813109 $272 5375 SH Sole 5375 Beckman Coulter Inc Common 075811109 $86 1140 SH Sole 1140 Berkshire Hathaway B Shares Class B 084670702 $36 450 SH Sole 450 Biomarin Pharmaceutical Inc Common 09061G101 $19 700 SH Sole 700 Boardwalk Pipeline Partners, L.P. Common 096627104 $10,198 327583 SH Sole 327583 Boeing Company Common 097023105 $1,370 21000 SH Sole 21000 Boston Scientific Corp. Common 101137107 $298 39417 SH Sole 39417 Bristol-Myers Squibb Common 110122108 $604 22817 SH Sole 22817 Broadcom Corp. Class A Class A 111320107 $26 600 SH Sole 600 Brookfield Asset Management Inc. Class A 112585104 $150 4500 SH Sole 4500 Charter One Finc'l Inc. Common 125269100 $68 500 SH Sole 500 CME Group Inc. Common 12572Q105 $209 650 SH Sole 650 CVS Caremark Corp. Common 126650100 $278 8000 SH Sole 8000 Cabot Oil & Gas Corp. Common 127097103 $5,299 140000 SH Sole 140000 Cal Water Svcs Group Common 130788102 $13 350 SH Sole 350 Cameco Corp Common 13321L108 $898 22250 SH Sole 22250 Cardinal Health Inc Common 14149y108 $241 6300 SH Sole 6300 CareFusion Corp. Common 14170T101 $1 50 SH Sole 50 Caterpillar Inc Common 149123101 $30,501 325658 SH Sole 325658 Celgene Corp. Common 151020104 $1,738 29391 SH Sole 29391 Cenovus Energy Inc. Common 15135U109 $43 1300 SH Sole 1300 Chevron Corp Common 166764100 $4,028 44143 SH Sole 44143 Cigna Corp. Common 125509109 $48 1300 SH Sole 1300 Cisco Systems Inc Common 17275r102 $2,471 122122 SH Sole 122122 Citigroup Inc Common 172967101 $730 154250 SH Sole 154250 Claymore ETF Global Solar Energy ETF 18383M621 $7 1000 SH Sole 1000 Index Clorox Common 189054109 $285 4500 SH Sole 4500 Coca-Cola Common 191216100 $877 13338 SH Sole 13338 Cognizant Tech Solutions Corp. Class A 192446102 $440 6000 SH Sole 6000 Colgate Palmolive Co Common 194162103 $776 9650 SH Sole 9650 Comcast Corp. New Class A 20030N101 $604 27470 SH Sole 27470 Community Health Systems, Inc. Common 203668108 $235 6300 SH Sole 6300 Compass Minerals Int'l Inc. Common 20451N101 $339 3800 SH Sole 3800 Comstock Resources Inc NEW Common 205768203 $491 20000 SH Sole 20000 Comverge Inc. Common 205859101 $4 600 SH Sole 600 Con-Way Inc. Common 205944101 $37 1000 SH Sole 1000 Conceptus Common 206016107 $4,197 304142 SH Sole 304142 ConocoPhillips Common 20825c104 $1,956 28717 SH Sole 28717 Continental Resources Common 212015101 $2,354 40000 SH Sole 40000 Corning Inc Common 219350105 $667 34505 SH Sole 34505 Costco Whsl Corp Common 22160k105 $246 3400 SH Sole 3400 Cree Inc. Common 225447101 $114 1732 SH Sole 1732 Crocs, Inc Common 227046109 $5 300 SH Sole 300 Danaher Corp. Common 235851102 $1,329 28170 SH Sole 28170 Daylight Resources Trust Common 239590201 $88 8500 SH Sole 8500 Deere & Co. Common 244199105 $581 7000 SH Sole 7000 Dell Inc. Common 24702R101 $4 300 SH Sole 300 Devon Energy Corp/ Common 25179M103 $471 6000 SH Sole 6000 Digital Ally Inc. Common 25382P109 $1 300 SH Sole 300 Walt Disney Co. Common 254687106 $484 12900 SH Sole 12900 Dolby Labs Class A 25659t107 $33 500 SH Sole 500 Dow Chemical Common 260543103 $228 6670 SH Sole 6670 EMC Corp Common 268648102 $2,087 91141 SH Sole 91141 EMS Technologies, Inc. Common 26873N108 $6 300 SH Sole 300 EOG Resources Inc. Common 26875P101 $466 5100 SH Sole 5100 Eastman Chemical Co Common 277432100 $647 7700 SH Sole 7700 Ebay Inc Common 278642103 $6 200 SH Sole 200 Electronic Arts Common 285512109 $5 300 SH Sole 300 Eli Lilly & Co. Common 532457108 $12,038 343540 SH Sole 343540 Emerson Electric Common 291011104 $2,859 50003 SH Sole 50003 Enbridge Energy Partners Common 29250R106 $6 100 SH Sole 100 Energy Focus Inc. Common 29268T102 $325 342200 SH Sole 342200 Enerplus Corporation Common 292766102 $2,509 81349 SH Sole 81349 Enterprise Products Partner Common 293792107 $1,080 25964 SH Sole 25964 Enzon Pharmaceuticals FKA Enzon Inc Common 293904108 $243 20000 SH Sole 20000 Essex Property Trust Common 297178105 $41 357 SH Sole 357 Exactech Inc. Common 30064e109 $19 1000 SH Sole 1000 Exelon Corp Common 30161n101 $905 21732 SH Sole 21732 Express Scripts Inc. Common 302182100 $373 6900 SH Sole 6900 Exxon Mobil Corp. Common 30231g102 $835 11420 SH Sole 11420 F5 Networks Inc. Common 315616102 $130 1000 SH Sole 1000 FMC Corp Common 302491303 $415 5200 SH Sole 5200 Fedex Common 31428x106 $6,896 74145 SH Sole 74145 First Majestic Silver Corp. Common 32076v103 $194 13370 SH Sole 13370 First Trust ETF Dow Jones Internet ETF 33733E302 $107 3129 SH Sole 3129 Index FD Flotek Industries Common 343389102 $1 1000 SH Sole 1000 Ford Motor Company Common 345370860 $544 32384 SH Sole 32384 Fortinet Inc, Common 34959e109 $113 3500 SH Sole 3500 Fortune Brands Inc Common 349631101 $347 4100 SH Sole 4100 Fractional Kinder Morgan Mgmt Shares Common eke55u103 $0 1045731 SH Sole 1045731 Freeport Memoran C & G Common 35671d857 $817 6800 SH Sole 6800 Frontier Communications Corp. Class B 35906A108 $32 3249 SH Sole 3249 Fuel-Tech NV Common 359523107 $10 1000 SH Sole 1000 Gabelli Utility Common 36240A101 $5 800 SH Sole 800 Gen Probe Inc Common 36866t103 $175 3000 SH Sole 3000 General Electric Common 369604103 $3,283 179521 SH Sole 179521 General Mills Common 370334104 $242 6800 SH Sole 6800 Gilead Sciences Common 375558103 $145 4000 SH Sole 4000 Global X ETF China Consumer ETF 37950e408 $240 13253 SH Sole 13253 Globalscape Inc Common 37940g109 $1,062 536444 SH Sole 536444 Google Inc. Common 38259p508 $2,671 4497 SH Sole 4497 Granite Construction Co Common 387328107 $3,977 145000 SH Sole 145000 Guggenheim China ETF 18383Q853 $554 18418 SH Sole 18418 H&Q Healthcare Fund Common 404052102 $54 4004 SH Sole 4004 HCP, Inc. Common 40414L109 $37 1000 SH Sole 1000 Halliburton Co Common 406216101 $294 7205 SH Sole 7205 Hansen Natural Corp. Common 411310105 $73 1400 SH Sole 1400 Harris Corp-Del Common 413875105 $39 850 SH Sole 850 Hathor Exploration, Ltd. Common 419018106 $2 500 SH Sole 500 Health Care Reit Inc. Common 42217K106 $78 1640 SH Sole 1640 Hewlett Packard Co Common 428236103 $706 16781 SH Sole 16781 Home Depot Inc Common 437076102 $870 24820 SH Sole 24820 Honeywell Intl Inc Common 438516106 $813 15300 SH Sole 15300 Human Genome Common 444903108 $48 2000 SH Sole 2000 I Shares Australia Index Common 464286103 $411 16169 SH Sole 16169 I Shares Inc. MSCI CDA INDEX FD Common 464286509 $819 26415 SH Sole 26415 I Shares Inc. MSCI Brazil Free Common 464286400 $84 1091 SH Sole 1091 Index Fd I Shares S. Korea Index Fd Common 464286772 $641 10474 SH Sole 10474 I Shares MSCI Mexico Investable Common 464286822 $97 1573 SH Sole 1573 Market Index Fd I Shares Japan Index Common 464286665 $695 14790 SH Sole 14790 I Shares Singapore Index Fund Common 464286673 $75 5388 SH Sole 5388 I Shares Swden Indesx Fund Common 464286756 $90 2870 SH Sole 2870 I Shares Dow Jones Medical Devices Common 464288810 $351 5955 SH Sole 5955 I Shares Trust Dow Jones Tech. Common 464287721 $32 500 SH Sole 500 Index Fund I Shares Nasdaq BioT Common 464287556 $257 2755 SH Sole 2755 I Shares PHLX Sox Semiconductor Common 464287523 $39 700 SH Sole 700 Index FD I Shares S&P Global Clean Energy Common 464288224 $9 593 SH Sole 593 Index I Shares Silver Trust Common 46428Q109 $914 30281 SH Sole 30281 I Shares Tr Russell Midcap Growth Common 464287481 $100 1767 SH Sole 1767 Index Fund I Shares Tr S&P Global Info. Common 464287291 $40 650 SH Sole 650 Technology Illinois Tool Works Inc. Common 452308109 $1,070 20034 SH Sole 20034 Immunogen Inc. Common 45253H101 $1,111 120000 SH Sole 120000 Imperial Industries, Inc. Common 452848401 $0 1000 SH Sole 1000 Intel Corp Common 458140100 $1,558 74068 SH Sole 74068 Intl Bus Machines Common 459200101 $1,969 13419 SH Sole 13419 Intrepid Potash Inc. Common 46121y102 $37 1000 SH Sole 1000 Ironstone Group Inc.New Common 463228205 $0 60 SH Sole 60 I Shares GSCI Commodity Index Trust Common 46428R107 $82 2415 SH Sole 2415 I Shares Latin America Index Fund Common 464287390 $135 2500 SH Sole 2500 I Shares MSCI Malaysia Free Index Common 464286830 $93 6445 SH Sole 6445 Fund I Shares Tr Dow Jones Sel Divid Common 464287168 $39 785 SH Sole 785 Index Fund I Shares Tr S&P Global Energy Sect Common 464287341 $29 750 SH Sole 750 Fund I Shares Trust S & P US pfd stock Common 464288687 $19 500 SH Sole 500 Index Fd Isis Pharmaceuticals Inc, Common 464330109 $405 40000 SH Sole 40000 JP Morgan Chase Common 46625H100 $1,446 34567 SH Sole 34567 Jacobs Engineering Common 469814107 $46 1000 SH Sole 1000 Johnson/Johnson Common 478160104 $2,354 38053 SH Sole 38053 Kansas City Southern Common 485170302 $72 1500 SH Sole 1500 Kimberly Clark Common 494368103 $271 4300 SH Sole 4300 Kinder Morgan Energy Common 494550106 $724 10300 SH Sole 10300 Kinder Morgan Mgmt, LLC Common 49455U100 $371 5553 SH Sole 5553 Kohls Corp. Common 500255104 $813 14965 SH Sole 14965 Kraft Foods Inc. Class A 50075n104 $72 2295 SH Sole 2295 L-3 Communications Hldgs Corp Common 502424104 $450 6380 SH Sole 6380 LMS Medical Systems, Inc. Common 502089105 $3 504900 SH Sole 504900 LVMH Moet Hennessy Louis Vuitton Common F58485115 $199 1200 SH Sole 1200 Legg Mason Inc. Common 524901105 $73 2000 SH Sole 2000 Ligland Pharmaceuticals Class B 53220K504 $3 333 SH Sole 333 Linn Energy LLC Unit Common 536020100 $37 1000 SH Sole 1000 Lockheed Martin Corp Common 539830109 $278 3975 SH Sole 3975 Lorillard Inc. Common 544147101 $156 1900 SH Sole 1900 Loews Companies Inc Common 548661107 $466 18572 SH Sole 18572 LSI Logic Corp. Common 502161102 $3 500 SH Sole 500 MDU Resources Grp. Common 552690109 $577 28460 SH Sole 28460 Magellan Midstream Common 559080106 $501 8870 SH Sole 8870 Manulife Financial Common 56501r106 $10 600 SH Sole 600 Marina Biotech Inc. Common 56804Q102 $147 95000 SH Sole 95000 Market Vectors Agribusiness ETF ETF 57060U605 $81 1522 SH Sole 1522 Market Vectors ETF Trust Gold Miners ETF 57060U100 $369 6000 SH Sole 6000 Martek Biosciences Corp. Common 572901106 $626 20000 SH Sole 20000 McDermott Int'l Inc. Common 580037109 $5 254 SH Sole 254 Mcdonald's Corp Common 580135101 $1,487 19375 SH Sole 19375 McKesson Corp Common 58155q103 $27 387 SH Sole 387 Medco Health Solutions Common 58405u102 $407 6638 SH Sole 6638 Medtronic, Inc. Common 585055106 $403 10871 SH Sole 10871 Mela Sciences Inc. Common 55277R100 $10 3000 SH Sole 3000 Merchants Nat'l Pptys Common 589161108 $1,718 1462 SH Sole 1462 Merck & Company Common 58933Y105 $686 19026 SH Sole 19026 Micron Technology Inc Common 595112103 $329 41000 SH Sole 41000 Microsoft Inc Common 594918104 $2,221 79564 SH Sole 79564 Molycorp, Inc. Common 608753109 $175 3500 SH Sole 3500 Monsanto Co New Common 61166w101 $2,711 38931 SH Sole 38931 Mosaic Co. Common 61945A107 $61 800 SH Sole 800 Motorola Solutions Inc. Common 620076307 $15 1600 SH Sole 1600 Motors Liquidation Company Common 62010A105 $0 400 SH Sole 400 Murphy Oil Corp Common 626717102 $2,982 40000 SH Sole 40000 Mylan Laboratories, Inc. Common 628530107 $53 2500 SH Sole 2500 NY Community Bancorp Common 649445103 $2,789 147950 SH Sole 147950 Nalco Holdings Common 62985q101 $198 6200 SH Sole 6200 Nat'l Fuel Gas Co. Common 636180101 $197 3000 SH Sole 3000 Nat'l Western Life Insurance Co. Class A 638522102 $333 2000 SH Sole 2000 National Grid PLC ADR 636274300 $78 1755 SH Sole 1755 National Semiconductor Common 637640103 $11 800 SH Sole 800 National-Oilwell Varco Common 637071101 $15 220 SH Sole 220 Nestle S A Spn Adr ADR 641069406 $264 4500 SH Sole 4500 Network Appliance Inc. Common 64110D104 $27 500 SH Sole 500 New Energy Group Common 643847106 $139 18000 SH Sole 18000 Newmont Mining Corp. Common 651639106 $6 100 SH Sole 100 Nike Inc. Class B 654106103 $245 2865 SH Sole 2865 Noble Drilling Corp Common H5833N103 $43 1200 SH Sole 1200 Nokia Corp Spons Adr Finland Common 654902204 $102 9900 SH Sole 9900 Northrop Grumman Corp Common 666807102 $26 400 SH Sole 400 Nova Biosource Fuels Inc. Common 65488W103 $0 102336 SH Sole 102336 Novartis AG ADR 66987V109 $59 1000 SH Sole 1000 Nucor Corp. Common 670346105 $394 9000 SH Sole 9000 Occidental Pete Corp. Common 674599105 $520 5300 SH Sole 5300 Old Republic Int'l Common 680223104 $27 2000 SH Sole 2000 Oneok, Inc. Common 682680103 $394 7096 SH Sole 7096 Oracle Corp. Common 68389X105 $1,008 32200 SH Sole 32200 Ormat Technologies, Inc. Common 686688102 $12 400 SH Sole 400 Owens & Minor Inc. Common 690732102 $177 6000 SH Sole 6000 Owens Illinois Common 690768403 $215 7000 SH Sole 7000 PG&E Corp Common 69331c108 $55 1150 SH Sole 1150 PP&L Resources Common 69351T106 $24 900 SH Sole 900 Perexel International Common 699462107 $55 2600 SH Sole 2600 Peets Coffee & Tea Inc. Common 705560100 $110 2635 SH Sole 2635 Pembina Pipeline Inc. Common 706327103 $87 4000 SH Sole 4000 Pengrowth Energy Trust Common 70706p104 $283 22000 SH Sole 22000 Penn West Energy Trust Common 707887105 $1,089 45506 SH Sole 45506 Peoples Utd Finc'l Inc. Common 712704105 $280 20000 SH Sole 20000 Pepsico Inc Common 713448108 $2,387 36542 SH Sole 36542 Petrolio Brasileiro Sa ADR 71654V408 $227 6000 SH Sole 6000 Petroquest Energy, Inc. Common 716748108 $301 40000 SH Sole 40000 Pfizer Inc Common 717081103 $1,991 113679 SH Sole 113679 Philip Morris Int'l Common 718172109 $189 3225 SH Sole 3225 Plum Creek Tmbr Ltd. Common 729251108 $24 650 SH Sole 650 Potash Corp./Saskatch Common 73755L107 $3,391 21900 SH Sole 21900 Powershares ETF Trust Dynamic Common 73935X773 $54 2175 SH Sole 2175 Software Powershares ETF Wilder Hill Clean Common 73935X500 $10 1000 SH Sole 1000 Energy Powershares ETF Global Water Common 73936T623 $120 6000 SH Sole 6000 Portfolio Powershares Global Water Portfolio Common 73935X575 $81 4250 SH Sole 4250 ETF Trust Precision Drilling Corp. Common 74022D308 $886 91428 SH Sole 91428 Procter & Gamble Common 742718109 $1,715 26652 SH Sole 26652 Progress Software Corp. Common 743312100 $1,696 40000 SH Sole 40000 Proshares Tr II Ultrashort Euro ETF 74347W882 $12 600 SH Sole 600 Proshares Ultrashort Lehman 20+ yr ETF 74347R297 $22 600 SH Sole 600 Treasury Puda Coal Inc. Common 744674300 $235 16500 SH Sole 16500 Powershares ETF Intl Div Achievers ETF 73935X716 $21 1383 SH Sole 1383 Portfolio Qualcomm Inc Common 747525103 $2,448 49457 SH Sole 49457 Quanta Services Inc Common 74762e102 $20 1000 SH Sole 1000 Quicksilver, Inc Common 74838C106 $11 2232 SH Sole 2232 RR Donnelley & Sons Common 257867101 $17 1000 SH Sole 1000 Ram Energy Resources Common 75130P109 $106 57500 SH Sole 57500 Range Resources Corp. Common 75281A109 $2,249 50000 SH Sole 50000 Raytheon Co Common 755111507 $368 7945 SH Sole 7945 Realty Income Corp. Common 756109104 $47 1374 SH Sole 1374 Redwood Trust Inc Common 758075402 $603 40355 SH Sole 40355 Roche Holdings Ltd. Sponsored ADR ADR 771195104 $44 1200 SH Sole 1200 Rogers Corp. Common 775133101 $57 1500 SH Sole 1500 Roper Industries Inc. New Common 776696106 $191 2500 SH Sole 2500 Royal Dutch Shell PLC ADR 780259206 $67 1000 SH Sole 1000 Russell 100 Growth Index Fd Common 464287614 $22 380 SH Sole 380 SPDR Barclays Capital High Yield Bd ETF 78464A417 $26 656 SH Sole 656 SPX Corporation Common 784635104 $229 3200 SH Sole 3200 Safeway Inc. Com New Common 786514208 $112 5000 SH Sole 5000 San Juan Bastin Royalty Tr Ubi Common 798241105 $24 1000 SH Sole 1000 Sara Lee Corporation Common 803111103 $163 9300 SH Sole 9300 Schlumberger Common 806857108 $2,086 24981 SH Sole 24981 Seagate Technology Common G7945M107 $8 500 SH Sole 500 Select Sector Spdr Fund Common 81369Y100 $304 7925 SH Sole 7925 Shaw Group Inc. Common 820280105 $17 500 SH Sole 500 Simon Ppty Group Inc Sbi SBI 828806109 $113 1132 SH Sole 1132 Skechers USA Inc. Class A 830566105 $40 2000 SH Sole 2000 Smith & Wesson Holding, Corp. Common 831756101 $247 65972 SH Sole 65972 Sonde Resources Corp. Common 835426107 $144 40000 SH Sole 40000 Southern Company Common 842587107 $27 700 SH Sole 700 Southern Copper Corp. Common 84265V105 $2,511 51510 SH Sole 51510 Southwestern Energy Co. Common 845467109 $262 7000 SH Sole 7000 Spdr Gold Tr Gold Shs Common 78463V107 $6,127 44166 SH Sole 44166 St. Jude Medical Inc Common 790849103 $385 9000 SH Sole 9000 Starbucks Common 855244109 $58 1800 SH Sole 1800 Symantec Corp. Common 871503108 $298 17800 SH Sole 17800 Target Corp Common 87612e106 $474 7890 SH Sole 7890 Telanetix Inc. Common 879180107 $0 1500 SH Sole 1500 Tellabs Inc Common 879664100 $6,722 991500 SH Sole 991500 Teradyne Inc Common 880770102 $46 3300 SH Sole 3300 Tesco Corp. Common 88157K101 $4,772 300490 SH Sole 300490 Teva Pharmaceuticals ADR 881624209 $1,070 20521 SH Sole 20521 Texas Intruments Common 882508104 $59 1800 SH Sole 1800 Thermo Fisher Scientific Common 883556102 $576 10400 SH Sole 10400 Tiffany & Co. Common 886547108 $6 100 SH Sole 100 Time Warner Cable Inc. Common 88732J207 $9 132 SH Sole 132 Time Warner Inc Common 887317303 $17 532 SH Sole 532 Transocean Inc Common H8817H100 $1,449 20843 SH Sole 20843 Triangle Petroleum Corp Common 89600B102 $130 20000 SH Sole 20000 UGI Corp Common 902681105 $54 1700 SH Sole 1700 Ultra Petroleum Corp Common 903914109 $8,599 180000 SH Sole 180000 Umpqua Hldgs Corp. Common 904214103 $20 1669 SH Sole 1669 Union Pacific Common 907818108 $9 100 SH Sole 100 United Parcel Service, Inc. Class B 911312106 $122 1675 SH Sole 1675 United States Natural Gas Fund ETF 912318102 $18 3000 SH Sole 3000 United Technologies Common 913017109 $1,947 24735 SH Sole 24735 Universal Display Corp. Common 91347p105 $9 300 SH Sole 300 Universal Health Services Class B 913903100 $391 9000 SH Sole 9000 Vaalco Energy Inc New Common 91851c201 $265 37000 SH Sole 37000 Valcent Products, Inc. Common 918881202 $1 11110 SH Sole 11110 Vanguard Intl Equity Index Fd ETF 922042858 $258 5358 SH Sole 5358 Vanguard Natural Resources ETF 92205f106 $21 700 SH Sole 700 Vanguard Sector IndexFds REIT ETF 922908553 $11 200 SH Sole 200 Varian Medical Systems Common 92220P105 $7 100 SH Sole 100 Verigy Ltd Common Y93691106 $7 573 SH Sole 573 Verizon Communications Common 92343v104 $390 10899 SH Sole 10899 Visa Inc. Class A Class A 92826C839 $704 10000 SH Sole 10000 Viterra, Inc. Common 92849t108 $56 6000 SH Sole 6000 Vivus Inc. Common 928551100 $19 2000 SH Sole 2000 Vodafone Group Plc Spon ADR 92857w209 $81 3056 SH Sole 3056 Wal-Mart Stores Inc Common 931142103 $617 11450 SH Sole 11450 Walgreen Co Common 931422109 $1,060 27200 SH Sole 27200 Waters Corp Common 941848103 $482 6200 SH Sole 6200 Weatherford Intl Inc Common H27013103 $55 2400 SH Sole 2400 Wellpoint Health Inc. Common 94973V107 $341 6000 SH Sole 6000 Wells Fargo & Co Common 949746101 $1,734 55939 SH Sole 55939 Whole Foods Market Common 966837106 $5 96 SH Sole 96 Williams Companies Common 969457100 $383 15500 SH Sole 15500 Williams Sonoma Common 969904101 $4 100 SH Sole 100 Wisdomtree Trust Diefa fd ETF ETF 97717w703 $91 1913 SH Sole 1913 Wisdomtree Emerging Mkts High ETF 97717W315 $642 10750 SH Sole 10750 Yield Fd Wisdometree India Earnings Fund ETF ETF 97717W422 $366 13875 SH Sole 13875 Wisdomtree Tr Diefa High Yield ETF 97717W802 $41 1000 SH Sole 1000 Equity Fd Wisdomtree Tr Div top 100 FD ETF ETF 97717W406 $86 1800 SH Sole 1800 Xerox Corp. Common 984121103 $230 20000 SH Sole 20000 Xilinx, Inc. Common 983919101 $14 500 SH Sole 500 YM Biosciences Inc Common 984238105 $280 120000 SH Sole 120000 Yum Brands, Inc. Common 988498101 $312 6365 SH Sole 6365 Zimmer Holdings, Inc Common 98956P102 $11 200 SH Sole 200 iShares China 25 Index Fund ETF 464287184 $10 225 SH Sole 225 iShares Emerging Markets Index Fund Common 464287234 $235 4923 SH Sole 4923 iShares European Mon Union Index Common 464286608 $112 3177 SH Sole 3177 Fund iShares Lehman TIPS Bond Fund Common 464287176 $84 784 SH Sole 784 iShares Russell 2000 Growth Common 464287648 $208 2381 SH Sole 2381 iShares Russell Midcap Value Common 464287473 $155 3450 SH Sole 3450 iShares S&P 500 Common 464287200 $607 4804 SH Sole 4804 iShares S&P Goldman Sachs Common 464287549 $234 3876 SH Sole 3876 Technology Index iShares Tr GS Multimedia ETF 464287531 $15 450 SH Sole 450 Networking Index Fd iShares iBoxx High Yield Corp. ETF 464288513 $72 800 SH Sole 800 Bond Fund iShares 20+ year Treasury Bond Common 464287432 $4,058 43112 SH Sole 43112 Blackrock Muni NY Interduration Common 09255F109 $45 3500 SH Sole 3500 Find Blackrock Muni Holdings NY Insd Common 09255C106 $66 4900 SH Sole 4900 Blackrock Muniyield NY Insd Common 09255E102 $75 6000 SH Sole 6000 Blackrock NY Muni Bond Tr Common 09249P106 $77 5500 SH Sole 5500 China Fund, Inc. Common 169373107 $5 150 SH Sole 150 Dreyfus Strategic Municipals Inc. Common 261932107 $129 16500 SH Sole 16500 Eaton Vance Ins NY Muni Bond Fund II Common 27828T109 $60 5000 SH Sole 5000 iShares Trust SP California AMTFR MN Common 464288356 $24 240 SH Sole 240 Nuveen California Muni Value Fund Common 67062C107 $148 17200 SH Sole 17200 Inc. Nuveen Ins NY Premium Income Common 67101R107 $68 5000 SH Sole 5000 Nuveen Insured Quality Muni Fund Common 67062N103 $13 1000 SH Sole 1000 Nuveen NY Div Adv Muni 2 Common 67070A101 $39 3000 SH Sole 3000 Pimco Corp. Income Fund Common 72200U100 $641 41400 SH Sole 41400 Pimco Corp. Opportunity Fund Common 72201B101 $860 50700 SH Sole 50700 Aberdeen Asia Pac Income Fund Common 003009107 $1,412 209210 SH Sole 209210 Blackrock CA Muni Income Trust Common 09248E102 $133 10367 SH Sole 10367 Eaton Vance Short Duration Div. Inc. Common 27828V104 $41 2400 SH Sole 2400 Managed High Yield Plus Fund Common 561911108 $155 70321 SH Sole 70321 Nuveen Multi Strategy Income/ Common 67073D102 $25 2865 SH Sole 2865 Growth Fund 2 Pimco High Income Fund Common 722014107 $120 9449 SH Sole 9449 iBoxx Inv. Gr Corp. Bond Fund Common 464287242 $200 1842 SH Sole 1842
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