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