0001161722-11-000002.txt : 20110428
0001161722-11-000002.hdr.sgml : 20110428
20110428150839
ACCESSION NUMBER: 0001161722-11-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110428
DATE AS OF CHANGE: 20110428
EFFECTIVENESS DATE: 20110428
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HOLLENCREST SECURITIES LLC
CENTRAL INDEX KEY: 0001161722
IRS NUMBER: 954121065
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06753
FILM NUMBER: 11787739
BUSINESS ADDRESS:
STREET 1: 5535 BALBOA BLVD
STREET 2: SUITE 200
CITY: ENCINO
STATE: CA
ZIP: 91316
BUSINESS PHONE: 8183827720
FORMER COMPANY:
FORMER CONFORMED NAME: RND RESOURCES INC
DATE OF NAME CHANGE: 20011031
13F-HR
1
inftable.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549 FORM 23F FORM
13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2011
Check Here if Amendment [ ]
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Hollencrest Securities LLC
Address: 100 Bayview Circle
Suite 500
Newport Beach, CA 92660
13F File Number: 801-55904
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 submission.
Person Signing this Report on Behalf of Reporting Manager:
Name: Peter J. Pellizzon
Title: Managing Director
Phone: 949-823-7723
Signature: Place: and Date of Signing:
Peter J. Pellizzon Los Angeles, California April 28, 2011
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
List of Other Managers Reporting for this Manager: None
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 316
Form 13F Information Table Value Total: $365,801
($1,000s)
List of Other Included Managers: 0
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
AMAZON COM INC COM 023135106 1251 6947 SH SOLE 175 6772
AMGEN INCCOM COM 031162100 235 4397 SH SOLE 288 4109
AMPHENOL CORP NEW CL A COM 032095101 1120 20600 SH SOLE 20600
APPLE INC COM 037833100 1305 3745 SH SOLE 2195 1550
ARENA PHARMACEUTICALS COM 040047102 26 18700 SH SOLE 7000 11700
Advanced Micro Devices Inc Com COM 007903107 168 19502 SH SOLE 3586 15916
BALSAM VENTURES INC NEW COM 058820200 1 12000 SH SOLE 12000
BANK OF AMERICA CORP COM 060505104 799 59913 SH SOLE 12100 47813
BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 16225 194015 SH SOLE 4965 189050
Bank 1440 Peoria Ariz Com COM 062199104 73 24407 SH SOLE 24407
Bionovo Inc. COM 7 10000 SH SOLE 10000
CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 486 55000 SH SOLE 55000
CATERPILLAR INC COM 347 3120 SH SOLE 3000 120
CHEVRON CORPORATION COM 166764100 1615 15026 SH SOLE 12296 2730
CHINA TRAVEL INTERNATIONAL INV COM y1507d100 4 20000 SH SOLE 20000
CINCINNATI BELL INC NEW COM COM 171871106 27 10000 SH SOLE 10000
CISCO SYSTEMS INC COM 17275r102 397 23172 SH SOLE 5420 17752
CITIGROUP INC COM COM 172967101 1387 313778 SH SOLE 157818 155960
COCA COLA CO COM 191216100 395 5946 SH SOLE 5721 225
CONOCOPHILLIPS COM 20825c104 1164 14580 SH SOLE 10964 3616
COSTCO WHOLESALE CORP COM 22160k105 257 3503 SH SOLE 1000 2503
CYCLONE POWER TECHNOLOGIES INC COM 23254w104 6 20000 SH SOLE 20000
Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000
Cvb Financial Corp COM 126600105 143 15402 SH SOLE 15402
DEI HOLDINGS INC COM 23319e107 111 64517 SH SOLE 64517
DIAMOND OFFSHORE DRILLING INC COM 25271c102 210 2703 SH SOLE 2703
E M C CORP MASS COM 244 9189 SH SOLE 5590 3599
EXXON MOBIL CORPORATION COM 30231g102 1822 21654 SH SOLE 2900 18754
FIDELITY NATL INFORMATION SVCS COM 31620M106 1543 47212 SH SOLE 47212
FORD MOTOR COMPANY NEW COM 731 49057 SH SOLE 14155 34902
Fidelity National Financial In COM 316326107 3585 253723 SH SOLE 253723
GEELY AUTOMOBILE HOLDINGSLIMIT COM g3777b103 19 50000 SH SOLE 50000
GENERAL ELECTRIC COMPANY COM 369604103 1665 83038 SH SOLE 29524 53514
GERON CORP COM 374163103 51 10000 SH SOLE 10000
GOOGLE INC CLA COM 38259p508 998 1701 SH SOLE 1210 491
GREEN PLANET GROUP INC COM 393225107 1 40000 SH SOLE 40000
Gsi Commerce Inc Com COM 36238G102 240 8200 SH SOLE 8200
H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000
HERBALIFE LTD COMMON STOCK COM g4412g101 6899 84791 SH SOLE 78966 5825
IDENTIVE GROUP INC COM 45170x106 37 14050 SH SOLE 14050
INTEL CORP COM 458140100 479 23716 SH SOLE 1929 21787
INTL BUSINESS MACHINES COM 459200101 2872 17611 SH SOLE 17611
INTUITIVE SURGICAL NEW COM 614 1840 SH SOLE 1400 440
JOHNSON & JOHNSON COM 478160104 343 5793 SH SOLE 3845 1948
Javo Beverage Company Inc COM 47189r104 0 245000 SH SOLE 245000
LAKES ENTERTAINMENT INC COM 51206p109 27 10000 SH SOLE 10000
LARGO VISTA GROUP LTD COM 517104105 1 100000 SH SOLE 100000
LAS VEGAS SANDS CORPCOM COM 517834107 211 5000 SH SOLE 5000
LIGHTWAVE LOGIC INC COM 532275104 12 10000 SH SOLE 10000
Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000
MANULIFE FINANCIAL CORP COM 56501r106 994 56178 SH SOLE 56178
MARATHON OIL CORP COM 565849106 1285 24101 SH SOLE 19141 4960
MARVELL TECH GROUP LTD F COM g5876h105 177 11400 SH SOLE 9400 2000
MC DONALDS CORP COM 580135101 254 3341 SH SOLE 2400 941
MERCK & CO INC NEW COM 397 12025 SH SOLE 3425 8600
MICROSOFT CORP COM 594918104 1765 69521 SH SOLE 6782 62739
MOTOROLA SOLUTIONS INC COM 620076307 211 4713 SH SOLE 428 4285
Metro-Goldwyn-Mayer Inc New COM 591610100 160 12170 SH SOLE 12170
North American Pallidum Compan COM 267 41100 SH SOLE 41100
Ntm Inc COM 629408105 0 30000 SH SOLE 30000
ORACLE CORPORATION COM 68389x105 1839 55003 SH SOLE 4450 50553
PACWEST BANCORP COM 695263103 666 30602 SH SOLE 30602
PHILIP MORRIS INTL INC COM 718172109 8755 133405 SH SOLE 133138 267
PROCTER & GAMBLE COM 742718109 1016 16494 SH SOLE 510 15984
Pinetree Capital Corp New COM 723330106 38 11700 SH SOLE 11700
Rite Aid Corp Com COM 767754104 13 12310 SH SOLE 12310
SALESFORCE COM INCCOM COM 79466L302 534 4000 SH SOLE 4000
SANDS CHINA LTD USD0.01REG S I COM g7800x107 33 14800 SH SOLE 14800
SEA DRAGON ENERGY INC COM 811375104 8 34000 SH SOLE 34000
SEAGATE TECHNOLOGY PLC F COM g7945m107 435 30225 SH SOLE 11765 18460
SHINSEI BANK LTD ORD F COM 48 41000 SH SOLE 41000
SIGNATURE GROUP HOLDINGS COM 82670c100 13 19028 SH SOLE 11000 8028
SIRIUS XM RADIO INC COM 82966U103 60 36200 SH SOLE 36200
SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000
SPECTRUM PHARMACEUTICALS INC COM 84763a108 89 10050 SH SOLE 10050
STILLWATER MINING CO COM 86074q102 745 32500 SH SOLE 32500
TEXAS INSTRUMENTS INC COM 882508104 261 7553 SH SOLE 2215 5338
TOWERSTREAM CORP COM 892000100 137 35000 SH SOLE 35000
TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000
TYSON FOODS INC CL A COM 902494103 384 20000 SH SOLE 20000
Transition Therapeutics Inc Ne COM 893716209 512 118002 SH SOLE 118002
UNITED PARCEL SVC INC CL B COM 911312106 17592 236700 SH SOLE 50000 186700
UNITEDHEALTH GROUP INC COM 91324p102 260 5742 SH SOLE 5302 440
US BANCORP DEL COM NEW COM 902973304 3331 126020 SH SOLE 126020
VERIZON COMMUNICATIONS COM 92343v104 254 6580 SH SOLE 2659 3921
VISA INC CL A COMMON STOCK COM 92826c839 1730 23500 SH SOLE 3500 20000
Volcano Corp COM 928645100 1024 40000 SH SOLE 40000
WINN DIXIE STORES NEW COM 974280307 71 10000 SH SOLE 10000
ALLIANZ SE SPONSORED ADR REPST ADR 018805101 423 30000 SH SOLE 30000
Alcatel-Lucent Sponsored Adr ADR 69 11866 SH SOLE 11866
BHP BILLITON LTD SPONSORED ADR ADR 088606108 5512 57486 SH SOLE 57486
DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 378 24500 SH SOLE 24500
ENI S P A SPON ADR F SPONSORED ADR 26874r108 1006 20485 SH SOLE 16175 4310
LLOYDS BANKING GROUP PLC SPONS ADR 539439109 93 25000 SH SOLE 25000
PETROCHINA CO ADR F SPONSORED ADR 71646e100 1076 7070 SH SOLE 5440 1630
PETROLEO BRASILEIRO ADRF SPONS ADR 71654v408 1121 27715 SH SOLE 21175 6540
REPSOL YPF SA SPONSORED ADR ADR 76026t205 1141 33260 SH SOLE 25880 7380
ROYAL DUTCH SHELL A ADRF SPONS ADR 1046 14358 SH SOLE 11300 3058
TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 5652 464047 SH SOLE 464047
TOTAL S A ADR F 1 ADR REP 1 OR ADR 89151e109 1035 16970 SH SOLE 13410 3560
BARCLAYS BANK IPATH ETN DJ UBS INDEX CEF 680 13235 SH SOLE 13235
BARCLAYS BK PLC IPATH S&P 500 INDEX CEF 06740c261 888 30250 SH SOLE 30000 250
BLDRS EMERGING MKTS 50 ADR IND INDEX CEF 09348r300 507 10445 SH SOLE 5705 4740
ISHARES MSCI AUS IDX FD AUSTRA INDEX CEF 464286103 2535 95239 SH SOLE 90714 4525
ISHARES MSCI CDA IDX FD CANADA INDEX CEF 592 17604 SH SOLE 17604
ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 564 11590 SH SOLE 9220 2370
ISHARES MSCI JPN IDX FD JAPAN INDEX CEF 464286848 2500 242320 SH SOLE 199770 42550
ISHARES MSCI KOREA IDX KOREA I INDEX CEF 464286772 760 11803 SH SOLE 11803
ISHARES MSCI MALAYSIA MALAYSIA INDEX CEF 464286830 822 55552 SH SOLE 49752 5800
ISHARES MSCI SINGAPORE SINGAPO INDEX CEF 464286673 774 56621 SH SOLE 51021 5600
ISHARES MSCI THAI INDEX THAILA INDEX CEF 420 6288 SH SOLE 6288
ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 786 12912 SH SOLE 12912
ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 1518 22087 SH SOLE 18170 3917
ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 1242 19620 SH SOLE 16015 3605
ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 2818 25537 SH SOLE 20057 5480
ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 1454 16865 SH SOLE 13865 3000
ISHARES TR DOW JONES SEL DIVID INDEX CEF 464287168 808 15508 SH SOLE 14914 594
ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 1963 32677 SH SOLE 29150 3527
ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 3300 54570 SH SOLE 44525 10045
ISHARES TR RUSSELL 2000 RUSSEL INDEX CEF 464287655 470 5578 SH SOLE 3184 2394
ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287671 9261 186275 SH SOLE 169915 16360
ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 1947 24559 SH SOLE 24559
ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 2366 21705 SH SOLE 21460 245
ISHARES TR S&P LATN AMER S&P L INDEX CEF 464287390 1682 31266 SH SOLE 28366 2900
ISHARES TRUST RUSSELL 1000 VAL INDEX CEF 464287598 211 3067 SH SOLE 1667 1400
ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 622 6526 SH SOLE 3259 3267
ISHARES TRUST S&P 500 S&P 500 INDEX CEF 464287200 3455 25977 SH SOLE 25927 50
JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 3642 95920 SH SOLE 87230 8690
MARKET VECTORS ETF TRUST INDON INDEX CEF 1868 62384 SH SOLE 62384
MARKET VECTORS ETF VIETNAM INDEX CEF 442 18641 SH SOLE 18641
POWERSHARES QQQ TR UNITSSER 1 INDEX CEF 73935a104 1214 21144 SH SOLE 6987 14157
POWERSHS DB COMMDTY INDX INDEX CEF 73935s105 1650 54065 SH SOLE 52125 1940
POWERSHS EXCH TRAD FD TR POWER INDEX CEF 73935x823 2243 147770 SH SOLE 135550 12220
S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 2364 17829 SH SOLE 12872 4957
SECTOR SPDR ENGY SELECT SHARES INDEX CEF 81369y506 4564 57224 SH SOLE 44440 12784
SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 3330 100580 SH SOLE 91200 9380
SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 1069 41023 SH SOLE 41023
SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 333 8541 SH SOLE 8092 449
SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 3758 69407 SH SOLE 55750 13657
SPDR S&P MIDCAP 400 ETF INDEX CEF 1895 10554 SH SOLE 10554
VANGUARD ENERGY INDEX CEF 92204a306 493 4225 SH SOLE 4180 45
VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 2420 37675 SH SOLE 31700 5975
VANGUARD INTL EQTY INDEX FTSE INDEX CEF 922042775 771 15630 SH SOLE 14380 1250
VANGUARD MID CAP GROWTH INDEX CEF 922908538 629 9290 SH SOLE 9290
VANGUARD MSCI EMERGING MARKETS INDEX CEF 922042858 2745 56074 SH SOLE 48690 7384
VANGUARD SMALL CAP GRWTH INDEX CEF 922908595 732 8480 SH SOLE 7280 1200
VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1060 15426 SH SOLE 13876 1550
WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 3515 70115 SH SOLE 64505 5610
WISDOMTREE INDIA EARNING INDEX CEF 629 25347 SH SOLE 25347
WISDOMTREE SMALLCAP DIV SMALLC INDEX CEF 97717w604 591 12135 SH SOLE 9785 2350
BARCLAYS BK PLC IPATH EXH TRAD ETF 06738c786 213 7550 SH SOLE 7550
GREENHAVEN CONT CMDTY CONTINUO ETF 395258106 345 9800 SH SOLE 8640 1160
POWERSHARES DB MULTI-SECTOR CO ETF 73936b507 213 6600 SH SOLE 6600
UNITED STATES 12 MONTH OIL FUN ETF 91288v103 213 4400 SH SOLE 4400
ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 15242 140866 SH SOLE 138366 2500
ISHARES S&P U S PFD FUND S&P U ETF 464288687 2441 61574 SH SOLE 61574
ISHARES TR BARCLAYS BOND BARCL ETF 464288646 3451 33045 SH SOLE 31145 1900
ISHARES TR BARCLAYS BOND BARCL ETF 464287457 378 4515 SH SOLE 4145 370
ISHARES TR BARCLAYS BOND BARCL ETF 464288638 388 3700 SH SOLE 3700
ISHARES TR BARCLAYS FUND BARCL ETF 464287226 2536 24119 SH SOLE 22241 1878
ISHARES TR BARCLAYS TREAS INFL ETF 464287176 1538 14086 SH SOLE 14086
ISHARES TRUST ETF JP MORGAN US ETF 511 4796 SH SOLE 4796
ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 2267 24650 SH SOLE 17322 7328
POWERSHS EXCH TRAD FD TR EMERG ETF 73936t573 560 21194 SH SOLE 21194
POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 1154 63589 SH SOLE 49289 14300
SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 5446 134426 SH SOLE 82858 51568
SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 526 8799 SH SOLE 7999 800
SPDR GOLD TRUST SPDR GOLD SHAR COMMODITY FUND 78463V107 2239 16012 SH SOLE 6267 9745
ENBRIDGE ENERGY PARTNERS L P LP 29250r106 333 5150 SH SOLE 300 4850
GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 4066 3115596 SH SOLE 3115596
POPE RESOURCES DEPOSITARY RECE LP 732857107 963 20600 SH SOLE 20600
Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953
Smith Barney Aaa Energy Future LP 203 50 SH SOLE 50
AEGON N V PERP CAP SECS % PFD 007924301 433 19000 SH SOLE 19000
AEGON NV PERPETUAL CAP SECS7.2 PFD N00927348 327 13200 SH SOLE 13200
ALLIANZ SE 8.375% UNDATED SUBO PFD 018805200 350 13100 SH SOLE 13100
AMERICAN INTL GROUP INC PFD 026874859 349 14000 SH SOLE 14000
Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059
BAC CAPITAL TRUST I 7.00% TR P PFD 055187207 264 10500 SH SOLE 1000 9500
BAC CAPITAL TRUST III 7% TRUST PFD 05518e202 201 8000 SH SOLE 8000
BAC CAPITAL TRUST IV PFD ST PFD 055185201 496 22000 SH SOLE 12000 10000
BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 426 17150 SH SOLE 7000 10150
BARCLAYS BK PLC SPONSORED ADRP PFD 06739H362 284 10792 SH SOLE 10792
Bank of America Dep Sh Repstg PFD 1027 39100 SH SOLE 33100 6000
CAPITAL ONE CAP II GTDENHANCED PFD 14041L204 205 8058 SH SOLE 8058
CITIGROUP CAP XV ENHANCED TRPF PFD 17310G202 244 10226 SH SOLE 10226
CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 268 10740 SH SOLE 10740
CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 377 15240 SH SOLE 1000 14240
COBANK ACB PERP PFD SER B %144 PFD 19075Q300 457 9750 SH SOLE 9750
COBANK ACB PFD CUM PERP SER AN PFD 19075Q201 236 5000 SH SOLE 5000
DEUTSCHE BK CONTINGENT CAP TRI PFD 25154A108 215 8213 SH SOLE 8213
FARM CR BK TEX PERP NON CUMULA PFD 30767e307 1793 1600 SH SOLE 1600
FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 221 9482 SH SOLE 9482
FLEET CAPITAL TRUST VIIIDEF IN PFD 33889x203 505 20201 SH SOLE 7266 12935
GEORGIA PWR CO 2007 A NON CUMP PFD 373334119 207 2000 SH SOLE 2000
GOLDMAN SACHS GP DEP SHS PERPE PFD 224 10000 SH SOLE 10000
GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 531 23700 SH SOLE 17500 6200
GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 650 26104 SH SOLE 12604 13500
GOLDMAN SACHS GROUP INC DEP SH PFD 38144x609 265 11100 SH SOLE 6100 5000
GOLDMAN SACHS GROUP INC DEP SH PFD 38144g804 338 15200 SH SOLE 11000 4200
GOLDMAN SACHS SER D PFD DEP SH PFD 442 19900 SH SOLE 19900
ING GROEP N V 8.50% ING PERPET PFD 456837806 279 10864 SH SOLE 10864
ING GROEP N V PERP HYBRID CAPS PFD 456837707 304 12659 SH SOLE 12659
MBNA CAP D TRUPS SER D PFD 55266J200 453 17893 SH SOLE 14643 3250
MBNA CAP E TR ORIGINATED PFDSE PFD 55270B201 648 25260 SH SOLE 16410 8850
METLIFE INC PFD SER B PFD 59156R603 214 8596 SH SOLE 8596
NATIONAL CITY CAP 8.0%47 CAP T PFD 390 15000 SH SOLE 15000
PPL ELECTRIC UTILITIES CORPPFD PFD 69351U863 299 12000 SH SOLE 12000
PRINCIPAL FINL GROUP INC PFDSE PFD 74251V201 352 3750 SH SOLE 3750
Security Etch Intl Sr-B Red/Cv PFD 0 20000 SH SOLE 20000
Sovereign Real Estate 144A PFD 1190 1000 SH SOLE 1000
TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000
HARRIS PFD CAP CORPPFD EXCHANG CONV 414567206 306 12165 SH SOLE 12165
BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 231 16920 SH SOLE 16920
BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 1862 148938 SH SOLE 148938
BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 1488 120555 SH SOLE 120555
BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 302 21800 SH SOLE 20600 1200
BLACKROCK MUNIYIELD FUND NON-TAX CEF 09253w104 161 12200 SH SOLE 12200
BLKRCK MUNIHLDGS CA QLTY NON-TAX CEF 09254l107 1018 81910 SH SOLE 22610 59300
BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 498 38777 SH SOLE 37950 827
BLKRCK MUNIHLDGS QLTY II NON-TAX CEF 09254c107 222 18170 SH SOLE 18170
BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 5236 422572 SH SOLE 333626 88946
BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 3004 235955 SH SOLE 160608 75347
CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 921 71240 SH SOLE 7900 63340
DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 26202f107 102 13253 SH SOLE 11253 2000
DREYFUS STRATEGIC MUNS NON-TAX CEF 230 28600 SH SOLE 28600
EATON VANCE CALIFORNIA MUNI BO NON-TAX CEF 27828a100 151 14600 SH SOLE 14600
INVESCO INSURED MUNI TR SBI NON-TAX CEF 46132w103 149 11200 SH SOLE 11200
INVESCO MUNI PREM INC TR SBI NON-TAX CEF 91 12300 SH SOLE 12300
INVESCO VAN KAMPEN CALIFORNIA NON-TAX CEF 46132h106 693 62556 SH SOLE 62556
NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 669 52298 SH SOLE 11373 40925
NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 329 27300 SH SOLE 21350 5950
NUVEEN CA INV QLTY MUN INV QUA NON-TAX CEF 67062a101 493 40120 SH SOLE 25600 14520
NUVEEN CA QLTY INCM MUN NON-TAX CEF 670985100 1112 86166 SH SOLE 27250 58916
NUVEEN CA QLTY SELCT MUN CA QU NON-TAX CEF 670975101 641 49573 SH SOLE 12673 36900
NUVEEN CAL PERFORMANCE PLUS MU NON-TAX CEF 67062q106 640 52300 SH SOLE 18400 33900
NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 308 25600 SH SOLE 25600
NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 478 40850 SH SOLE 22850 18000
NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 262 20060 SH SOLE 15400 4660
NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 128 10250 SH SOLE 6750 3500
NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 161 12000 SH SOLE 12000
NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 200 15360 SH SOLE 15360
PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 223 18723 SH SOLE 18723
PIMCO MUN INCOME FUND NON-TAX CEF 72200r107 246 18500 SH SOLE 18500
PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 746823103 227 32900 SH SOLE 32900
PUTNAM MUNICIPAL OPPORTUNITIES NON-TAX CEF 746922103 184 17000 SH SOLE 17000
Pimco California Municipal Inc NON-TAX CEF 72201c109 126 14000 SH SOLE 14000
Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000
Convertible Promissory Note #2 CONV RUBIN-CP- 250 250000 PRN SOLE 250000
MEDTRONIC INC SR NT CONV CONV 585055al0 300 300000 PRN SOLE 300000
ABERDEEN ASIA PAC INCM TAXABLE CEF 10121 1460432 SH SOLE 1460432
ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 1708 222104 SH SOLE 126531 95573
CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 616 45175 SH SOLE 45175
CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 851 63710 SH SOLE 32222 31488
EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 2885 180537 SH SOLE 110624 69913
FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 313 23853 SH SOLE 17601 6252
GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 558 44218 SH SOLE 14992 29226
HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 410123103 639 45635 SH SOLE 44620 1015
HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 311 13983 SH SOLE 13983
HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 421 65087 SH SOLE 15087 50000
HELIOS TOTAL RETURN FUND TAXABLE CEF 42327v109 232 38184 SH SOLE 38184
HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 170 22578 SH SOLE 19702 2876
INVESCO VAN KAMPEN DYNAMIC FUN TAXABLE CEF 46132r104 169 12821 SH SOLE 12821
M S EMERGING MKTS DEBT TAXABLE CEF 1531 94492 SH SOLE 17669 76823
MFS MULTI MKT INC TRUST SH BEN TAXABLE CEF 552737108 378 56380 SH SOLE 54280 2100
NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 1288 105130 SH SOLE 94160 10970
NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1215 98534 SH SOLE 95134 3400
NUVEEN GOVT INCOME FUND TAXABLE CEF 67090n109 337 24192 SH SOLE 21167 3025
NUVEEN MULTI STRAT INCM TAXABLE CEF 67073d102 192 21477 SH SOLE 18977 2500
NUVEEN MULTI-STRATEGY INCOME A TAXABLE CEF 67073b106 113 13360 SH SOLE 13360
NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 190 22970 SH SOLE 16437 6533
NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 107 13883 SH SOLE 13883
NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 89 11133 SH SOLE 10200 933
PCM FD INC COM TAXABLE CEF 69323t101 113 10340 SH SOLE 10340
PIMCO CORPORATE OPPTY FD TAXABLE CEF 1122 54020 SH SOLE 25395 28625
PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 3943 143917 SH SOLE 53205 90712
PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 2702 259029 SH SOLE 142135 116894
PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 1824 152530 SH SOLE 98817 53713
PIONEER FLOATING RATE TR TAXABLE CEF 72369j102 350 26257 SH SOLE 26257
PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 746909100 93 15682 SH SOLE 15682
PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 574 88577 SH SOLE 78077 10500
RIVUS BOND FUND FRACTIONAL SHA TAXABLE CEF hgk667100 0 49520 SH SOLE 49520
STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 451 40703 SH SOLE 30803 9900
TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 3865 368468 SH SOLE 2817 365651
VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 312 3890 SH SOLE 2390 1500
WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 529 51884 SH SOLE 28584 23300
WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 1338 88442 SH SOLE 67754 20688
WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 218 16880 SH SOLE 16880
WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 1197 76735 SH SOLE 72905 3830
WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 401 32456 SH SOLE 32456
WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 226 17475 SH SOLE 17475
WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 139 10668 SH SOLE 10668
WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 838 44722 SH SOLE 35282 9440
Western Asset Emerging Mkts In TAXABLE CEF 95766f100 133 10250 SH SOLE 6650 3600
AGIC GLOBAL EQUITY & CONV INCO CEFS 00119r108 433 26116 SH SOLE 26116
ALPINE TOTAL DYNAMIC DIVIDEND CEFS 021060108 419 68121 SH SOLE 59321 8800
BLACKROCK STRATEGIC DIVIDENDAC CEFS 09249Y107 711 66534 SH SOLE 62999 3535
BLKROCK CR ALLO INCOME TRUST I CEFS 092508100 563 46433 SH SOLE 8800 37633
CALAMOS GLOBAL INCOME FD CEFS 115 13260 SH SOLE 13260
CALAMOS STRGC TOT RET FD CEFS 234 24072 SH SOLE 22807 1265
EATON VANCE TAX MANAGED DIVERS CEFS 27828n102 214 19480 SH SOLE 2480 17000
EATON VANCE TAX MANAGEDGLOBAL CEFS 27829C105 576 47016 SH SOLE 46816 200
LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 241 45751 SH SOLE 45751
TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 13355 430810 SH SOLE 430810
POWERSHARES EXCH TRAD FD BUILD ETF 73937b407 6226 247153 SH SOLE 205208 41945
ISHARES TR S&P NATL AMTFREE ETF 464288414 3709 37291 SH SOLE 37291
PROSHARES ULTRA BASIC MATERIAL ETFS 74347r776 1957 35000 SH SOLE 35000
PROSHARES ULTRA RUSSELL2000 ET ETFS 74347r842 278 5650 SH SOLE 5650
EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1058 59883 SH SOLE 9100 50783
EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 937 63090 SH SOLE 10000 53090
EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 834 38000 SH SOLE 7000 31000
GABELLI EQUITY TRUST INC CEFS 362397101 1288 208350 SH SOLE 6000 202350
ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 589 84081 SH SOLE 3207 80874
ANNALY CAPITAL MGMT REIT ETF 035710409 436 25007 SH SOLE 9100 15907
NORTHSTAR REALTY FIN CP REITS ETF 66704r100 61 11400 SH SOLE 11400
Oak Hill REIT Plus Fund LP, Sp ETF 1187 1 SH SOLE 1