0001161722-14-000004.txt : 20140501 0001161722-14-000004.hdr.sgml : 20140501 20140501134219 ACCESSION NUMBER: 0001161722-14-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140501 DATE AS OF CHANGE: 20140501 EFFECTIVENESS DATE: 20140501 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: 14803807 BUSINESS ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9498237741 MAIL ADDRESS: STREET 1: 100 BAYVIEW CIRCLE, SUITE 500 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 FORMER COMPANY: FORMER CONFORMED NAME: RND RESOURCES INC DATE OF NAME CHANGE: 20011031 13F-HR 1 primary_doc.xml 13F-HR LIVE false true true 0001161722 XXXXXXXX 03-31-2014 03-31-2014 HOLLENCREST SECURITIES LLC

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

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SEMICONDUCTOR MFG CO LT ADR 874039100 44 2191 SH SOLE 2191 0 0 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 6006 300000 SH OTR 0 0 300000 FIRST TR EXCH TRADED FD ISE CL INDEX CEF 33734x192 5245 193955 SH SOLE 192005 0 1950 FIRST TR EXCH TRADED FD ISE CL INDEX CEF 33734x192 137 5053 SH OTR 0 0 5053 GLOBAL X ETF FTSE PORTUGAL 20 INDEX CEF 37950e192 6802 374395 SH SOLE 372895 0 1500 GLOBAL X ETF FTSE PORTUGAL 20 INDEX CEF 37950e192 311 17140 SH OTR 0 0 17140 GLOBAL X GREECE ETF FTSE GREEC INDEX CEF 37950e366 6541 266230 SH SOLE 265180 0 1050 GLOBAL X GREECE ETF FTSE GREEC INDEX CEF 37950e366 428 17415 SH OTR 0 0 17415 ISHARES CORE S&P ETF MIDCAP INDEX CEF 464287507 21499 156391 SH SOLE 155031 0 1360 ISHARES CORE S&P ETF MIDCAP INDEX CEF 464287507 1065 7745 SH OTR 0 0 7745 ISHARES CORE S&P ETF S&P 500 I INDEX CEF 464287200 9384 49877 SH SOLE 25032 0 24845 ISHARES CORE S&P ETF SMALLCAP INDEX CEF 464287804 605 5490 SH SOLE 5100 0 390 ISHARES CORE S&P ETF SMALLCAP INDEX CEF 464287804 144 1310 SH OTR 0 0 1310 ISHARES MSCI ACWI ETF INDEX CEF 464288257 4 76 SH SOLE 76 0 0 ISHARES MSCI ACWI ETF INDEX CEF 464288257 492 8465 SH OTR 0 0 8465 ISHARES MSCI BRAZIL ETF BRAZIL INDEX CEF 464286400 540 12000 SH SOLE 12000 0 0 ISHARES MSCI BRAZIL ETF BRAZIL INDEX CEF 464286400 901 20000 SH OTR 0 0 20000 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 773 18850 SH SOLE 18850 0 0 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 27 669 SH OTR 0 0 669 ISHARES MSCI ITALY ETF CAPPED INDEX CEF 464286855 6944 392095 SH SOLE 391955 0 140 ISHARES MSCI ITALY ETF CAPPED INDEX CEF 464286855 3110 175579 SH OTR 0 0 175579 ISHARES MSCI SPAIN ETF CAPPED INDEX CEF 464286764 6277 153860 SH SOLE 153250 0 610 ISHARES MSCI SPAIN ETF CAPPED INDEX CEF 464286764 396 9695 SH OTR 0 0 9695 ISHARES MSCI UTD KINGDM UNITED INDEX CEF 464286699 1264 61388 SH OTR 0 0 61388 ISHARES RUSSELL 1000 VALUE ETF INDEX CEF 464287598 24 247 SH SOLE 247 0 0 ISHARES RUSSELL 1000 VALUE ETF INDEX CEF 464287598 224 2320 SH OTR 0 0 2320 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 643 4729 SH OTR 0 0 4729 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 2312 14940 SH SOLE 7470 0 7470 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 120 775 SH OTR 0 0 775 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 257 3000 SH SOLE 3000 0 0 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 24 281 SH OTR 0 0 281 ISHARES S&P 100 ETF INDEX CEF 464287101 543 6555 SH OTR 0 0 6555 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 428 4285 SH SOLE 4285 0 0 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 71 710 SH OTR 0 0 710 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 298 3425 SH SOLE 3225 0 200 ISHARES S&P MID CAP 400 VALUE INDEX CEF 464287705 621 5160 SH SOLE 5160 0 0 ISHARES S&P SMALL CAP 600 VALU INDEX CEF 464287879 213 1878 SH SOLE 1878 0 0 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 2718 37072 SH SOLE 25086 0 11986 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 77 1056 SH OTR 0 0 1056 ISHARES TR HIGH DIVIDEND ETF INDEX CEF 46429b663 543 7600 SH SOLE 7600 0 0 ISHARES TR MSCI EAFE ETF INDEX CEF 464287465 1929 28711 SH SOLE 16585 0 12126 ISHARES TR MSCI EAFE ETF INDEX CEF 464287465 79 1177 SH OTR 0 0 1177 ISHARES TR RUSSELL 1000 ETF INDEX CEF 464287622 1660 15844 SH OTR 0 0 15844 ISHARES TR RUSSELL 1000 GROWTH INDEX CEF 464287614 812 9385 SH SOLE 9385 0 0 ISHARES TR RUSSELL 1000 GROWTH INDEX CEF 464287614 2691 31099 SH OTR 0 0 31099 ISHARES TR RUSSELL 2000 ETF INDEX CEF 464287655 328 2819 SH OTR 0 0 2819 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 1739 15480 SH SOLE 15480 0 0 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 579 5158 SH OTR 0 0 5158 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287671 18578 261555 SH SOLE 217000 0 44555 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287671 702 9880 SH OTR 0 0 9880 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 10100 217012 SH SOLE 215362 0 1650 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 557 11962 SH OTR 0 0 11962 POWERSHARES EXCH TRAD FD CEF I INDEX CEF 73936q843 336 13586 SH SOLE 13586 0 0 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 70 800 SH SOLE 800 0 0 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 1437 16386 SH OTR 0 0 16386 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 26982 144283 SH SOLE 142363 0 1920 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 3540 18929 SH OTR 0 0 18929 SECTOR SPDR CONSUMER FD SHARES INDEX CEF 81369y407 16399 253381 SH SOLE 252301 0 1080 SECTOR SPDR CONSUMER FD SHARES INDEX CEF 81369y407 419 6470 SH OTR 0 0 6470 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 16043 274287 SH SOLE 273067 0 1220 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 1210 20695 SH OTR 0 0 20695 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 4512 124118 SH SOLE 123428 0 690 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 836 22999 SH OTR 0 0 22999 SPDR INDEX SHARES FUNDS SPDR E INDEX CEF 78463x202 1067 25000 SH OTR 0 0 25000 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 1678 22800 SH SOLE 22800 0 0 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 68 925 SH OTR 0 0 925 SPDR S&P MIDCAP 400 ETF INDEX CEF 78467y107 1391 5550 SH SOLE 5550 0 0 SPDR S&P SEMICONDUCTOR INDEX CEF 78464a862 5728 83190 SH SOLE 82705 0 485 SPDR S&P SEMICONDUCTOR INDEX CEF 78464a862 143 2082 SH OTR 0 0 2082 SPDR S&P TRANSPORTATION SPDR T INDEX CEF 78464a532 16486 191475 SH SOLE 189645 0 1830 SPDR S&P TRANSPORTATION SPDR T INDEX CEF 78464a532 1378 16005 SH OTR 0 0 16005 SPDR SER TR S&P REGL BKG ETF INDEX CEF 78464a698 646 15607 SH OTR 0 0 15607 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 211 5200 SH SOLE 5200 0 0 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 213 5242 SH OTR 0 0 5242 VANGUARD INDEX FUNDS SMALLCAP INDEX CEF 922908595 250 2010 SH SOLE 2010 0 0 VANGUARD INDEX FUNDS SMALLCAP INDEX CEF 922908595 2 20 SH OTR 0 0 20 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908538 407 4400 SH SOLE 4400 0 0 VANGUARD INDUSTRIALS INDEX CEF 92204a603 13826 137446 SH SOLE 136431 0 1015 VANGUARD INDUSTRIALS INDEX CEF 92204a603 667 6635 SH OTR 0 0 6635 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 43 472 SH SOLE 472 0 0 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 1271 13891 SH OTR 0 0 13891 VANGUARD INTL EQUITY IND FD FT INDEX CEF 922042775 5 100 SH SOLE 100 0 0 VANGUARD INTL EQUITY IND FD FT INDEX CEF 922042775 223 4426 SH OTR 0 0 4426 VANGUARD TELECOMMUN SVCS INDEX CEF 92204a884 5305 62326 SH SOLE 62326 0 0 VANGUARD TELECOMMUN SVCS INDEX CEF 92204a884 258 3035 SH OTR 0 0 3035 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 49 500 SH SOLE 500 0 0 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1631 16733 SH OTR 0 0 16733 WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 506 7200 SH SOLE 7200 0 0 WISDOMTREE JPN HDGD EQTY JAPAN INDEX CEF 97717w851 12412 262185 SH SOLE 259780 0 2405 WISDOMTREE JPN HDGD EQTY JAPAN INDEX CEF 97717w851 708 14960 SH OTR 0 0 14960 ISHARES CORE TOTAL ETF US BOND ETF 464287226 3719 34461 SH SOLE 17383 0 17078 ISHARES CORE TOTAL ETF US BOND ETF 464287226 32 293 SH OTR 0 0 293 ISHARES ETF FLOATING RATE BOND ETF 46429b655 259 5100 SH OTR 0 0 5100 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 5545 47414 SH SOLE 37716 0 9698 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 177 1514 SH OTR 0 0 1514 ISHARES TIPS BOND ETF ETF 464287176 3145 28054 SH SOLE 14027 0 14027 ISHARES TR BOND 1-3 YEAR CREDI ETF 464288646 4107 38932 SH SOLE 38517 0 415 ISHARES TR BOND 1-3 YEAR CREDI ETF 464288646 216 2045 SH OTR 0 0 2045 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 431 4562 SH SOLE 4392 0 170 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 6 63 SH OTR 0 0 63 ISHARES U S PFD ETF U S PFD ST ETF 464288687 773 19815 SH SOLE 19815 0 0 ISHARES U S PFD ETF U S PFD ST ETF 464288687 0 0 SH OTR 0 0 0 PIMCO ENHANCED SHORT MATURITY ETF 72201r833 241 2374 SH OTR 0 0 2374 PIMCO ETF 0-5 YR HIGH YIELD CO ETF 72201r783 1988 18650 SH SOLE 18280 0 370 PIMCO ETF 0-5 YR HIGH YIELD CO ETF 72201r783 167 1570 SH OTR 0 0 1570 PIMCO EXCH TRADED FUND TOTAL R ETF 72201r775 2456 23026 SH SOLE 22746 0 280 PIMCO EXCH TRADED FUND TOTAL R ETF 72201r775 94 885 SH OTR 0 0 885 POWERSHARES ETF SENIOR LOAN PO ETF 73936q769 1798 72487 SH SOLE 72197 0 290 POWERSHARES ETF SENIOR LOAN PO ETF 73936q769 294 11837 SH OTR 0 0 11837 POWERSHS EXCH TRAD FD INTL COR ETF 73936q835 1320 44028 SH SOLE 43398 0 630 POWERSHS EXCH TRAD FD INTL COR ETF 73936q835 106 3550 SH OTR 0 0 3550 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 439 24650 SH SOLE 24650 0 0 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 124 6980 SH OTR 0 0 6980 SPDR BARCLAYS ETF 0-5 CASH PAY ETF 78468r408 7564 244229 SH SOLE 243414 0 815 SPDR BARCLAYS ETF 0-5 CASH PAY ETF 78468r408 2009 64860 SH OTR 0 0 64860 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 2258 54655 SH SOLE 54654 0 1 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 214 5182 SH OTR 0 0 5182 VANGUARD BOND INDEX FUND SHORT ETF 921937827 628 7843 SH SOLE 7843 0 0 MARKET VECTORS OIL SVCS ETF CEFS 57060u191 252 5000 SH OTR 0 0 5000 APOLLO GLOBAL MANAGEMENT LLC C LP 037612306 427 13442 SH OTR 0 0 13442 Access Midstream Partners LP U LP 00434l109 3920 68106 SH OTR 0 0 68106 BLACKSTONE GROUP LP LP 09253u108 225 6761 SH OTR 0 0 6761 ENERGY TRANSFER EQUITY LP 29273v100 1128 24120 SH SOLE 24120 0 0 ENERGY TRANSFER EQUITY LP 29273v100 39 830 SH OTR 0 0 830 ENLINK MIDSTREAM PTRS LP LP 29336u107 524 17240 SH SOLE 17240 0 0 ENLINK MIDSTREAM PTRS LP LP 29336u107 19 640 SH OTR 0 0 640 ENTERPRISE PRD PRTNRS LP LP 293792107 380 5485 SH SOLE 5485 0 0 ENTERPRISE PRD PRTNRS LP LP 293792107 31 452 SH OTR 0 0 452 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 6861 5747286 SH SOLE 0 0 5747286 KINDER MORGAN ENERGY LP UNIT L LP 494550106 130 1760 SH SOLE 1760 0 0 KINDER MORGAN ENERGY LP UNIT L LP 494550106 115 1551 SH OTR 0 0 1551 KKR & CO L P DEL COM UNITS LP 48248m102 211 9227 SH OTR 0 0 9227 MAGELLAN MIDSTREAM PTNRS LP 559080106 872 12510 SH SOLE 12510 0 0 MAGELLAN MIDSTREAM PTNRS LP 559080106 36 510 SH OTR 0 0 510 OILTANKING PTNRS LP LP 678049107 591 7670 SH SOLE 7670 0 0 ONEOK PARTNERS LP LP 68268n103 873 16295 SH SOLE 16295 0 0 ONEOK PARTNERS LP LP 68268n103 25 475 SH OTR 0 0 475 POPE RESOURCES DEPOSITARY RECE LP 732857107 1489 21597 SH OTR 0 0 21597 Pimco Bravo spec On Te I LP LP 000000000 782 499957 SH OTR 0 0 499957 ROSE ROCK MIDSTREAM LP LP 777149105 207 5000 SH SOLE 5000 0 0 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 TARGA RESOURCES CORP LP 87612g101 760 7660 SH SOLE 7660 0 0 TARGA RESOURCES CORP LP 87612g101 26 260 SH OTR 0 0 260 TESORO LOGISTICS LP LP 88160t107 431 7150 SH SOLE 7150 0 0 TESORO LOGISTICS LP LP 88160t107 14 225 SH OTR 0 0 225 AEGON N.V. 0% PFD PFD DUE 12/2 PFD 007924509 26 1200 SH SOLE 0 0 1200 AEGON N.V. 0% PFD PFD DUE 12/2 PFD 007924509 208 9750 SH OTR 0 0 9750 AEGON NV PREFERRED PFD 007924608 385 13315 SH SOLE 0 0 13315 AGRIBANK FCBPFD 6.875% NON CUM PFD 00850L203 433 4200 SH SOLE 0 0 4200 AGSTAR FINANCIAL SERVICES 144A PFD 00855W204 300 300 SH SOLE 0 0 300 ARCH CAPITAL GROUP LTDPFD 6.75 PFD G0450A204 319 12700 SH SOLE 0 0 12700 ASPEN INS HLD 5.95% PFD PFD DU PFD g05384154 280 11304 SH SOLE 0 0 11304 AXIS CAPITAL HOLDINGS LTDPFD 6 PFD G0692U307 293 11600 SH SOLE 0 0 11600 Amplimed Series B Preferred PFD 000000000 29 17059 SH OTR 0 0 17059 CITIGROUP INCPFD 7.125% NON CU PFD 172967358 211 8000 SH SOLE 0 0 8000 COBANK ACBPFD 6.250% PFD 19075Q805 405 4000 SH SOLE 0 0 4000 COUNTRYWIDE CAP V GTD CAP SEC PFD 222388209 380 14900 SH SOLE 0 0 14900 ENDURANCE SPECIALTY HLDGPFD 7. PFD G30397304 296 11300 SH SOLE 0 0 11300 FARM CREDIT BANK 0% PFD PFD DU PFD 30767e307 2239 1850 SH SOLE 1600 0 250 FARM CREDIT BANK OF TEXAS 144A PFD 30767E406 429 4200 SH SOLE 0 0 4200 GOLDMAN SACHS GROUP INC/THEPFD PFD 38145G308 424 17800 SH SOLE 0 0 17800 GOLDMAN SACHS SER D PFD DEP SH PFD 000000000 44 2200 SH SOLE 0 0 2200 GOLDMAN SACHS SER D PFD DEP SH PFD 000000000 280 14100 SH OTR 0 0 14100 HARTFORD FINANCIAL SERVICES GR PFD 416518504 219 7400 SH SOLE 0 0 7400 HILLMAN GROUP CAPITAL TR TR PF PFD 43162l206 208 6800 SH OTR 0 0 6800 ING GROEP N V PERPETUAL DEBT PFD 456837202 277 10738 SH SOLE 0 0 10738 ING GROEP N V PERPETUAL DEBTSE PFD 456837301 277 10700 SH SOLE 0 0 10700 MAIDEN HOLDINGS LTD PREF SHSSE PFD G5753U120 312 12152 SH SOLE 0 0 12152 MORGAN STANLEYPFD 7.125% NON C PFD 61762V200 513 19300 SH SOLE 0 0 19300 REINSURANCE GRP OF AMERPFD 6.2 PFD 759351703 320 12075 SH SOLE 0 0 12075 SELECTIVE INC GROUP PFD0.000% PFD 816300404 214 9581 SH SOLE 0 0 9581 SOVEREIGN REAL ESTATE INVTTRUS PFD 84610XAA1 718 540 SH SOLE 0 0 540 Security Etch Intl Sr-B Red/Cv PFD 000000000 0 20000 SH OTR 0 0 20000 TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000 0 0 U.S. BANCORP 5.56% PFD PFD SER PFD 902973155 278 12700 SH OTR 0 0 12700 US Bancorp PFD 000000000 559 19680 SH SOLE 0 0 19680 ALLIANCEBERSTEIN NATL FD NON-TAX CEF 01864u106 262 19780 SH SOLE 19780 0 0 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 193 13320 SH SOLE 13320 0 0 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 120 8200 SH SOLE 8200 0 0 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 92 6293 SH OTR 0 0 6293 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 257 19300 SH SOLE 17970 0 1330 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 2085 156542 SH OTR 0 0 156542 BLACKROCK MUNIHLDGS FD NON-TAX CEF 09253n104 210 13490 SH SOLE 13490 0 0 BLACKROCK MUNIVEST FUND NON-TAX CEF 09253r105 187 19610 SH SOLE 17830 0 1780 BLACKROCK MUNIYIELD FUND NON-TAX CEF 09253w104 190 13830 SH SOLE 13830 0 0 BLCKRCK MUNIENHANCED FD NON-TAX CEF 09253y100 67 6140 SH SOLE 6140 0 0 BLCKRCK MUNIENHANCED FD NON-TAX CEF 09253y100 149 13600 SH OTR 0 0 13600 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 292 21760 SH SOLE 21760 0 0 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 12 900 SH OTR 0 0 900 BLKRCK MUNIHLDGS QLTY FD NON-TAX CEF 09254a101 263 20800 SH SOLE 20800 0 0 BLKRCK MUNIHLDGS QLTY II NON-TAX CEF 09254c107 236 18560 SH SOLE 17300 0 1260 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 626 43257 SH SOLE 43257 0 0 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 4850 335158 SH OTR 0 0 335158 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 556 37853 SH SOLE 37853 0 0 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 1770 120409 SH OTR 0 0 120409 BLKRCK MUNIYIELD QLTY FD NON-TAX CEF 09254f100 191 13180 SH SOLE 13180 0 0 BLKRCK MUNIYIELD QLTY II NON-TAX CEF 09254g108 308 24660 SH SOLE 24660 0 0 BLKRCK MUNIYIELD QUALITY NON-TAX CEF 09254e103 390 28660 SH SOLE 28660 0 0 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 26202f107 216 27740 SH SOLE 27740 0 0 DREYFUS STRATEGIC MUNS NON-TAX CEF 261932107 247 30520 SH SOLE 30520 0 0 DWS MUNI INCOME TRUST SHS BEN NON-TAX CEF 23338m106 349 26720 SH SOLE 26720 0 0 EATON VANCE MUNICIPAL BOND FUN NON-TAX CEF 27827x101 245 20590 SH SOLE 20590 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 602 51020 SH SOLE 51020 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 45 3789 SH OTR 0 0 3789 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 184 15070 SH SOLE 15070 0 0 INVESCO TR INVT GRADE MUNS COM NON-TAX CEF 46131m106 138 10760 SH SOLE 10760 0 0 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 401 27826 SH SOLE 27826 0 0 NUVEEN AMT FREE MUNI INC FUND NON-TAX CEF 670657105 93 7166 SH SOLE 7166 0 0 NUVEEN AMT FREE MUNI INC FUND NON-TAX CEF 670657105 48 3700 SH OTR 0 0 3700 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 174 12771 SH SOLE 12771 0 0 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 1 38 SH OTR 0 0 38 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 247 17770 SH SOLE 17770 0 0 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 11 815 SH OTR 0 0 815 NUVEEN CA QLTY INCM MUN NON-TAX CEF 670985100 214 14450 SH SOLE 13380 0 1070 NUVEEN CA QLTY SELCT MUN CA QU NON-TAX CEF 670975101 190 13150 SH SOLE 12190 0 960 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 152 11192 SH SOLE 11192 0 0 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 0 17 SH OTR 0 0 17 NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 269 22060 SH SOLE 20630 0 1430 NUVEEN DIVD ADV MUNI FD NON-TAX CEF 67066v101 192 14370 SH SOLE 14370 0 0 NUVEEN ENHANCED MUNI FD NON-TAX CEF 67074m101 324 23300 SH SOLE 22140 0 1160 NUVEEN INVT QLTY MUN FD NON-TAX CEF 67062e103 201 14230 SH SOLE 14230 0 0 NUVEEN MUNI MKT OPPTY FD NON-TAX CEF 67062w103 534 41820 SH SOLE 41820 0 0 NUVEEN MUNI OPPTY FD INC NON-TAX CEF 670984103 338 24600 SH SOLE 23380 0 1220 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 395 27320 SH SOLE 27320 0 0 NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 278 20760 SH SOLE 20760 0 0 NUVEEN PREM MUNI INCM FD NON-TAX CEF 670988104 286 21790 SH SOLE 21790 0 0 NUVEEN QLTY INCM MUNI FD NON-TAX CEF 670977107 142 10690 SH SOLE 10690 0 0 NUVEEN SELCT QLTY MUN FD NON-TAX CEF 670973106 213 16100 SH SOLE 16100 0 0 PIMCO CA MUN INCM FD III CALIF NON-TAX CEF 72201c109 140 14040 SH SOLE 12400 0 1640 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 184 13283 SH OTR 0 0 13283 PIMCO MUN INCOME FUND III NON-TAX CEF 72201a103 117 10560 SH SOLE 10560 0 0 PIMCO MUNI INCOME FD II NON-TAX CEF 72200w106 124 10680 SH SOLE 10680 0 0 PIMCO MUNICIPAL INCM FD NATION NON-TAX CEF 72200r107 174 12900 SH SOLE 11820 0 1080 PIMCO MUNICIPAL INCM FD NATION NON-TAX CEF 72200r107 249 18500 SH OTR 0 0 18500 PIONEER MUNI HIGH INCM NON-TAX CEF 723763108 502 33880 SH SOLE 33880 0 0 WESTRN ASSET MANGD MUNIS NON-TAX CEF 95766m105 416 32610 SH SOLE 32610 0 0 BLACKROCK BUILD AMERICA TAXABLE MUNI CEF 09248x100 292 14430 SH SOLE 14430 0 0 BLACKROCK BUILD AMERICA TAXABLE MUNI CEF 09248x100 151 7453 SH OTR 0 0 7453 NUVEEN BAB TERM FUND TAXABLE MUNI CEF 67074c103 271 13800 SH SOLE 13800 0 0 NUVEEN BAB TERM FUND TAXABLE MUNI CEF 67074c103 18 900 SH OTR 0 0 900 ABERDEEN ASIA PAC INCM TAXABLE CEF 003009107 92 15000 SH SOLE 15000 0 0 ABERDEEN ASIA PAC INCM TAXABLE CEF 003009107 6727 1100918 SH OTR 0 0 1100918 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 154 10400 SH SOLE 10400 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 38 2600 SH OTR 0 0 2600 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 109 14850 SH SOLE 14850 0 0 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 314 42755 SH OTR 0 0 42755 BLACKROCK CREDIT ALLOCATION IN TAXABLE CEF 092508100 474 35045 SH SOLE 35045 0 0 BLACKROCK CREDIT ALLOCATION IN TAXABLE CEF 092508100 2 159 SH OTR 0 0 159 BLACKROCK LTD DURATION INCOME TAXABLE CEF 09249w101 391 22790 SH SOLE 22790 0 0 BROOKFIELD TOTAL RTN FD TAXABLE CEF 11283u108 463 19132 SH SOLE 19132 0 0 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 614 45550 SH SOLE 45550 0 0 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 76 5625 SH OTR 0 0 5625 CALAMOS CONV OPPRTNTY FD TAXABLE CEF 128117108 182 13200 SH OTR 0 0 13200 CUTWATER SELECT INCOME FUND FR TAXABLE CEF cdc229100 0 49520 SH OTR 0 0 49520 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 768 50367 SH SOLE 48133 0 2234 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 109 7120 SH OTR 0 0 7120 FIRST TR HIGH INCOME LONG/SHOR TAXABLE CEF 33738e109 255 14360 SH SOLE 14360 0 0 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 113 11407 SH SOLE 11407 0 0 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 114 11577 SH OTR 0 0 11577 M S EMERGING MKTS DEBT TAXABLE CEF 617477104 171 13024 SH SOLE 13024 0 0 M S EMERGING MKTS DEBT TAXABLE CEF 617477104 89 6750 SH OTR 0 0 6750 NEURALSTEM INC TAXABLE CEF 64127r302 50 12000 SH SOLE 12000 0 0 NUVEEN CREDIT STRAT INCM TAXABLE CEF 67073d102 71 7507 SH SOLE 3307 0 4200 NUVEEN CREDIT STRAT INCM TAXABLE CEF 67073d102 69 7300 SH OTR 0 0 7300 NUVEEN DIVERSIFIED CURR OPPORT TAXABLE CEF 67090n109 72 6855 SH SOLE 4850 0 2005 NUVEEN DIVERSIFIED CURR OPPORT TAXABLE CEF 67090n109 152 14500 SH OTR 0 0 14500 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 295 24140 SH SOLE 23140 0 1000 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 67 5490 SH OTR 0 0 5490 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 123 10310 SH SOLE 10310 0 0 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 5 400 SH OTR 0 0 400 NUVEEN QUAL PFD INC FD 2 TAXABLE CEF 67072c105 114 13189 SH SOLE 13189 0 0 PIMCO CORP & INC OPPTY FUND TAXABLE CEF 72201b101 298 16525 SH SOLE 16525 0 0 PIMCO CORP & INC OPPTY FUND TAXABLE CEF 72201b101 524 29025 SH OTR 0 0 29025 PIMCO DYNAMIC CR INCOME FD COM TAXABLE CEF 72202d106 453 20045 SH OTR 0 0 20045 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 232 8201 SH SOLE 8201 0 0 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 157 5570 SH OTR 0 0 5570 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 618 59454 SH SOLE 59454 0 0 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 36 3499 SH OTR 0 0 3499 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 351 29886 SH SOLE 29886 0 0 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 8 640 SH OTR 0 0 640 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 746909100 78 15203 SH SOLE 15203 0 0 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 103 18641 SH SOLE 18641 0 0 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 179 19407 SH SOLE 19407 0 0 TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 239 29710 SH OTR 0 0 29710 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 342 36194 SH SOLE 28297 0 7897 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 49 5225 SH OTR 0 0 5225 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 268 18495 SH SOLE 15983 0 2512 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 148 10195 SH OTR 0 0 10195 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 185 16880 SH OTR 0 0 16880 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 122 9944 SH SOLE 9944 0 0 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 6 500 SH OTR 0 0 500 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 112 6420 SH SOLE 6420 0 0 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 76 4390 SH OTR 0 0 4390 AGIC EQUITY & CONVERTIBLE INCO CEFS 018829101 165 8500 SH SOLE 8500 0 0 AGIC EQUITY & CONVERTIBLE INCO CEFS 018829101 85 4387 SH OTR 0 0 4387 ALLIANZGI NFJ DIVID INT PREM S CEFS 01883a107 272 14800 SH SOLE 14800 0 0 ALLIANZGI NFJ DIVID INT PREM S CEFS 01883a107 37 2000 SH OTR 0 0 2000 ALPINE TOTAL DYN FD NEW CEFS 021060207 69 8250 SH SOLE 8250 0 0 ALPINE TOTAL DYN FD NEW CEFS 021060207 79 9387 SH OTR 0 0 9387 BLACKROCK ENHANCED EQUITY DIVI CEFS 09251a104 402 50606 SH OTR 0 0 50606 BLACKROCK GLOBAL OPPTYS CEFS 092501105 192 13110 SH SOLE 13110 0 0 BLACKROCK GLOBAL OPPTYS CEFS 092501105 893 61038 SH OTR 0 0 61038 BLACKROCK INTL GROWTH TR CEFS 092524107 262 32500 SH SOLE 32500 0 0 BLACKROCK INTL GROWTH TR CEFS 092524107 674 83568 SH OTR 0 0 83568 BLCKRCK ENHCD CAP & INCM CEFS 09256a109 236 16900 SH SOLE 16900 0 0 CLOUGH GLOBAL OPPORTUNITIES FD CEFS 18914e106 975 76526 SH OTR 0 0 76526 DNP SELECT INCOME FUND CEFS 23325p104 188 19150 SH SOLE 19150 0 0 EATON VANCE RISK MANAGED CEFS 27829g106 478 42300 SH SOLE 42300 0 0 EATON VANCE RISK MANAGED CEFS 27829g106 79 7000 SH OTR 0 0 7000 EATON VANCE TAX MANAGED CEFS 27828n102 112 10000 SH SOLE 10000 0 0 EATON VANCE TAX MANAGED CEFS 27828n102 85 7600 SH OTR 0 0 7600 EATON VANCE TAX MGD GLBL CEFS 27829c105 185 15326 SH SOLE 15326 0 0 HANCOCK JOHN PREM DIV FD PREM CEFS 41013t105 205 15830 SH SOLE 15830 0 0 ING GLOBAL EQTY DIV PREM CEFS 45684e107 169 18400 SH SOLE 18400 0 0 ING GLOBAL EQTY DIV PREM CEFS 45684e107 14 1500 SH OTR 0 0 1500 LIBERTY ALL STAR EQUITY FUND S CEFS 530158104 223 37905 SH SOLE 37905 0 0 LIBERTY ALL STAR EQUITY FUND S CEFS 530158104 19 3242 SH OTR 0 0 3242 MORGAN STANLEY INDIA INVESTMEN CEFS 61745c105 652 33409 SH OTR 0 0 33409 NUVEEN EQUITY PREM OPPORTUNITY CEFS 6706em102 117 9300 SH SOLE 9300 0 0 NUVEEN EQUITY PREM OPPORTUNITY CEFS 6706em102 15 1200 SH OTR 0 0 1200 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 12839 524267 SH OTR 0 0 524267 WELLS FARGO ADV GLOBAL DIVIDEN CEFS 94987c103 135 17150 SH SOLE 17150 0 0 CENTRAL FUND OF CANADA LTD CL- COMMOD TXBLE CEF 153501101 3787 275209 SH OTR 0 0 275209 CENTRAL GOLDTRUST TRUST UNITS COMMOD TXBLE CEF 153546106 814 18000 SH OTR 0 0 18000 MARKET VECTORS ETF TR RUSSIA E ETFS 57060u506 480 20000 SH OTR 0 0 20000 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 670 34100 SH SOLE 34100 0 0 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1272 64692 SH OTR 0 0 64692 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 537 32000 SH SOLE 32000 0 0 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 138 8230 SH OTR 0 0 8230 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 629 26000 SH SOLE 26000 0 0 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 1034 42742 SH OTR 0 0 42742 EV TAX MAN GLB DIV EQTY CEFS 27829f108 191 18900 SH SOLE 18900 0 0 EV TAX MAN GLB DIV EQTY CEFS 27829f108 56 5526 SH OTR 0 0 5526 GABELLI EQUITY TRUST INC CEFS 362397101 774 100000 SH SOLE 100000 0 0 GABELLI EQUITY TRUST INC CEFS 362397101 1344 173701 SH OTR 0 0 173701 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 69 9787 SH SOLE 9787 0 0 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 479 67875 SH OTR 0 0 67875 AMERICAN HOMES 4 RENT REIT CEF 02665T306 209 12537 SH SOLE 12537 0 0 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 119 107941 SH OTR 0 0 107941 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 119 107941 SH OTR 0 0 107941 ALTAIR - RIMROCK LP CLASSA ETF 922997861 222 190000 SH OTR 0 0 190000 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 66 45411 SH OTR 0 0 45411 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 166 113527 SH OTR 0 0 113527 ALTAIR DIRECT LENDINGFUND LLC ETF zzc99d246 140 128321 SH OTR 0 0 128321 ALTAIR GLOBAL ASSET ALLOC FUND ETF zzc99q403 261 250000 SH OTR 0 0 250000 ALTAIR GLOBAL ASSET ALLOCATION ETF zzc99q403 100 100000 SH OTR 0 0 100000 ALTAIR-GOLUB CAPITAL VIIILP CL ETF 92299q117 158 161757 SH OTR 0 0 161757 ANNALY CAPITAL MANAGEMENT INC ETF 035710409 196 17839 SH SOLE 17839 0 0 ANNALY CAPITAL MANAGEMENT INC ETF 035710409 66 6009 SH OTR 0 0 6009 CHAMBERS ST PROPERTIES REIT ETF 157842105 11 1400 SH SOLE 0 0 1400 CHAMBERS ST PROPERTIES REIT ETF 157842105 285 36700 SH OTR 0 0 36700 EXCEL TRUST INC REIT ETF 30068c109 25 2000 SH SOLE 0 0 2000 EXCEL TRUST INC REIT ETF 30068c109 298 23500 SH OTR 0 0 23500 GAMING & LEISURE PROPERTIES IN ETF 36467j108 207 5689 SH SOLE 5689 0 0 MFA FINANCIAL INC REIT ETF 55272x102 142 18332 SH SOLE 18332 0 0 MFA FINANCIAL INC REIT ETF 55272x102 5 658 SH OTR 0 0 658 NORTHSTAR REALTY FIN CP REITS ETF 66704r100 403 24970 SH OTR 0 0 24970 PIEDMONT OFFICE RLTY TR CLASS ETF 720190206 268 15650 SH OTR 0 0 15650 TRADE ST RESIDENTIAL NEW ETF 89255n203 116 15343 SH OTR 0 0 15343 VANGUARD REIT ETF 922908553 857 12131 SH SOLE 11811 0 320 VANGUARD REIT ETF 922908553 124 1750 SH OTR 0 0 1750 ISHARES TR COHEN & STEER REIT ETF 464287564 1482 18020 SH SOLE 18020 0 0 ISHARES TR COHEN & STEER REIT ETF 464287564 46 565 SH OTR 0 0 565 ISHARES U S REAL ESTATE ETF ETF 464287739 14 210 SH SOLE 210 0 0 ISHARES U S REAL ESTATE ETF ETF 464287739 338 5000 SH OTR 0 0 5000 SPDR DOW JONES INTL REAL ESTAT ETF 78463x863 1681 40826 SH SOLE 40626 0 200 SPDR DOW JONES INTL REAL ESTAT ETF 78463x863 54 1315 SH OTR 0 0 1315 VANGUARD INTL EQTY ETF GLOBAL ETF 922042676 1075 19880 SH SOLE 19490 0 390