0001161722-14-000006.txt : 20141022 0001161722-14-000006.hdr.sgml : 20141022 20141022145211 ACCESSION NUMBER: 0001161722-14-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141022 DATE AS OF CHANGE: 20141022 EFFECTIVENESS DATE: 20141022 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: 141167570 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 false 0001161722 XXXXXXXX 09-30-2014 09-30-2014 HOLLENCREST SECURITIES LLC

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

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931142103 153 2006 SH OTR 0 0 2006 WALGREEN CO COM 931422109 482 8125 SH SOLE 8125 0 0 WALGREEN CO COM 931422109 54 917 SH OTR 0 0 917 WELLS FARGO & CO NEW COM 949746101 993 19147 SH SOLE 19147 0 0 WELLS FARGO & CO NEW COM 949746101 752 14498 SH OTR 0 0 14498 XEROX CORP COM 984121103 469 35463 SH OTR 0 0 35463 YAHOO INC COM 984332106 60 1483 SH SOLE 1483 0 0 YAHOO INC COM 984332106 155 3810 SH OTR 0 0 3810 Zoetis Inc COM 98978v103 373 10107 SH SOLE 10107 0 0 Zoetis Inc COM 98978v103 30 825 SH OTR 0 0 825 AEGON NV ORD REG AMER F SPONSO ADR 007924103 8 1000 SH SOLE 0 0 1000 AEGON NV ORD REG AMER F SPONSO ADR 007924103 195 23738 SH OTR 0 0 23738 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 31 1940 SH SOLE 1940 0 0 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 484 30000 SH OTR 0 0 30000 AMERICA MOVIL SAB L ADRF SPONS ADR 02364w105 50 2000 SH SOLE 0 0 2000 AMERICA MOVIL SAB L ADRF SPONS ADR 02364w105 196 7775 SH OTR 0 0 7775 ANHEUSER-BUSC INBEV ADRF SPONS ADR 03524a108 334 3014 SH SOLE 3014 0 0 ANHEUSER-BUSC INBEV ADRF SPONS ADR 03524a108 130 1170 SH OTR 0 0 1170 BAIDU INC ADR F SPONSORED ADR ADR 056752108 397 1821 SH SOLE 1821 0 0 BAIDU INC ADR F SPONSORED ADR ADR 056752108 218 1000 SH OTR 0 0 1000 BARCLAYS PLC ADR F SPONSORED A ADR 06738e204 345 23301 SH OTR 0 0 23301 BP PLC ADR F SPONSORED ADR 1 A ADR 055622104 79 1796 SH SOLE 1796 0 0 BP PLC ADR F SPONSORED ADR 1 A ADR 055622104 199 4520 SH OTR 0 0 4520 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 71 4690 SH SOLE 4690 0 0 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 370 24500 SH OTR 0 0 24500 HSBC HLDGS PLC ADR NEW F SPONS ADR 404280406 14 283 SH SOLE 283 0 0 HSBC HLDGS PLC ADR NEW F SPONS ADR 404280406 401 7874 SH OTR 0 0 7874 LLOYDS BANKING GP ADR F SPONSO ADR 539439109 594 117800 SH OTR 0 0 117800 NATIONAL BANK OF GREECE S A AD ADR 633643705 301 100000 SH OTR 0 0 100000 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 491 6662 SH SOLE 6662 0 0 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 74 1000 SH OTR 0 0 1000 ROYAL BANK SCOT NEW ADRF SPONS ADR 780097689 527 44150 SH OTR 0 0 44150 TAIWAN SEMICONDUCTOR MANUFCTR ADR 874039100 149 7363 SH SOLE 7363 0 0 TAIWAN SEMICONDUCTOR MANUFCTR ADR 874039100 6054 300000 SH OTR 0 0 300000 TESCO PLC SPONSORED ADRF 1 ADR ADR 881575302 99 10952 SH SOLE 6502 0 4450 TESCO PLC SPONSORED ADRF 1 ADR ADR 881575302 27 3025 SH OTR 0 0 3025 DIREXION DAILY SML CAP BULL 3X INDEX CEF 25459w847 57 900 SH SOLE 900 0 0 DIREXION DAILY SML CAP BULL 3X INDEX CEF 25459w847 957 15100 SH OTR 0 0 15100 FIRST TR DJ INTERNET FD INDEX CEF 33733e302 5571 91477 SH SOLE 91442 0 35 FIRST TR DJ INTERNET FD INDEX CEF 33733e302 150 2455 SH OTR 0 0 2455 FIRST TR EXCH TRADED FD ISE CL INDEX CEF 33734x192 5445 198758 SH SOLE 197298 0 1460 FIRST TR EXCH TRADED FD ISE CL INDEX CEF 33734x192 159 5787 SH OTR 0 0 5787 GLOBAL X ETF FTSE PORTUGAL 20 INDEX CEF 37950e192 5719 412632 SH SOLE 411372 0 1260 GLOBAL X ETF FTSE PORTUGAL 20 INDEX CEF 37950e192 353 25485 SH OTR 0 0 25485 GLOBAL X GREECE ETF FTSE GREEC INDEX CEF 37950e366 5515 296638 SH SOLE 295718 0 920 GLOBAL X GREECE ETF FTSE GREEC INDEX CEF 37950e366 407 21900 SH OTR 0 0 21900 ISHARES CORE S&P 500 ETF INDEX CEF 464287200 9692 48887 SH SOLE 24537 0 24350 ISHARES CORE S&P ETF SMALLCAP INDEX CEF 464287804 532 5100 SH SOLE 5100 0 0 ISHARES CORE S&P ETF SMALLCAP INDEX CEF 464287804 121 1160 SH OTR 0 0 1160 ISHARES CORE US GROWTH ETF INDEX CEF 000000000 8646 115722 SH SOLE 74671 0 41051 ISHARES CORE US GROWTH ETF INDEX CEF 000000000 410 5485 SH OTR 0 0 5485 ISHARES MSCI ACWI ETF INDEX CEF 464288257 4 76 SH SOLE 76 0 0 ISHARES MSCI ACWI ETF INDEX CEF 464288257 499 8465 SH OTR 0 0 8465 ISHARES MSCI BRAZIL ETF BRAZIL INDEX CEF 464286400 521 12000 SH SOLE 12000 0 0 ISHARES MSCI BRAZIL ETF BRAZIL INDEX CEF 464286400 869 20000 SH OTR 0 0 20000 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1664 25950 SH SOLE 13257 0 12693 ISHARES MSCI EAFE ETF INDEX CEF 464287465 31 477 SH OTR 0 0 477 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 783 18850 SH SOLE 18850 0 0 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 28 669 SH OTR 0 0 669 ISHARES MSCI ITALY ETF CAPPED INDEX CEF 464286855 6651 423930 SH SOLE 423790 0 140 ISHARES MSCI ITALY ETF CAPPED INDEX CEF 464286855 2787 177599 SH OTR 0 0 177599 ISHARES MSCI SPAIN ETF CAPPED INDEX CEF 464286764 6578 169100 SH SOLE 168580 0 520 ISHARES MSCI SPAIN ETF CAPPED INDEX CEF 464286764 450 11565 SH OTR 0 0 11565 ISHARES MSCI UTD KINGDM INDEX CEF 46434v548 1247 64332 SH OTR 0 0 64332 ISHARES RUSSELL 1000 VALUE ETF INDEX CEF 464287598 25 247 SH SOLE 247 0 0 ISHARES RUSSELL 1000 VALUE ETF INDEX CEF 464287598 232 2320 SH OTR 0 0 2320 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 613 4729 SH OTR 0 0 4729 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 2281 14408 SH SOLE 7204 0 7204 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 170 1075 SH OTR 0 0 1075 ISHARES S&P 100 ETF INDEX CEF 464287101 703 7969 SH OTR 0 0 7969 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 190 1775 SH SOLE 1775 0 0 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 49 460 SH OTR 0 0 460 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 2759 37354 SH SOLE 25227 0 12127 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 78 1062 SH OTR 0 0 1062 ISHARES TR CORE HIGH DIVIDEND INDEX CEF 46429b663 656 8715 SH SOLE 8715 0 0 ISHARES TR RUSSELL 1000 ETF INDEX CEF 464287622 1756 15981 SH OTR 0 0 15981 ISHARES TR RUSSELL 1000 GROWTH INDEX CEF 464287614 62 675 SH SOLE 675 0 0 ISHARES TR RUSSELL 1000 GROWTH INDEX CEF 464287614 2883 31458 SH OTR 0 0 31458 ISHARES TR RUSSELL 2000 ETF INDEX CEF 464287655 308 2819 SH OTR 0 0 2819 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 173 1480 SH SOLE 1480 0 0 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 593 5078 SH OTR 0 0 5078 ISHARES U S TECHNOLOGY ETF INDEX CEF 464287721 282 2800 SH OTR 0 0 2800 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 11432 215368 SH SOLE 214128 0 1240 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 687 12948 SH OTR 0 0 12948 MARKET VECTORS ETF TR JR GOLD INDEX CEF 57061r544 336 10000 SH OTR 0 0 10000 MARKET VECTORS ETF TRUST GOLD INDEX CEF 57060u100 427 20000 SH SOLE 20000 0 0 POWERSHARES EXCH TRAD FD CEF I INDEX CEF 73936q843 311 12786 SH SOLE 12786 0 0 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 79 800 SH SOLE 800 0 0 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 1360 13766 SH OTR 0 0 13766 PowerShares Buyback Achievers INDEX CEF 000000000 224 5000 SH SOLE 5000 0 0 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 16633 84424 SH SOLE 83684 0 740 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 4065 20632 SH OTR 0 0 20632 SCHW US LCAP ETF INDEX CEF 808524201 11058 235335 SH SOLE 234725 0 610 SCHW US LCAP ETF INDEX CEF 808524201 593 12620 SH OTR 0 0 12620 SECTOR SPDR CONSUMER FD SHARES INDEX CEF 81369y407 17636 264447 SH SOLE 263467 0 980 SECTOR SPDR CONSUMER FD SHARES INDEX CEF 81369y407 486 7290 SH OTR 0 0 7290 SECTOR SPDR ENGY SELECT SHARES INDEX CEF 81369y506 15293 168763 SH SOLE 166398 0 2365 SECTOR SPDR ENGY SELECT SHARES INDEX CEF 81369y506 588 6490 SH OTR 0 0 6490 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 18431 288383 SH SOLE 287273 0 1110 SECTOR SPDR HEALTH FUND SHARES INDEX CEF 81369y209 1554 24318 SH OTR 0 0 24318 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 16042 402060 SH SOLE 398165 0 3895 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 1329 33306 SH OTR 0 0 33306 SECTOR SPDR UTIL SELECT SHARES INDEX CEF 81369y886 707 16790 SH SOLE 16790 0 0 SPDR INDEX SHARES FUNDS SPDR E INDEX CEF 78463x202 476 12000 SH SOLE 12000 0 0 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 2458 32800 SH SOLE 32800 0 0 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 39 525 SH OTR 0 0 525 SPDR S&P MIDCAP 400 ETF INDEX CEF 78467y107 1384 5550 SH SOLE 5550 0 0 SPDR S&P TRANSPORTATION SPDR T INDEX CEF 78464a532 19225 206385 SH SOLE 204635 0 1750 SPDR S&P TRANSPORTATION SPDR T INDEX CEF 78464a532 704 7557 SH OTR 0 0 7557 VANGUARD DIV APPRCIATION INDEX CEF 921908844 1161 15087 SH SOLE 15087 0 0 VANGUARD ENERGY ETF INDEX CEF 92204a306 244 1862 SH SOLE 1862 0 0 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 463 11100 SH SOLE 11100 0 0 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 219 5242 SH OTR 0 0 5242 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908736 1183 11866 SH SOLE 11866 0 0 VANGUARD INDUSTRIALS INDEX CEF 92204a603 14562 143584 SH SOLE 142639 0 945 VANGUARD INDUSTRIALS INDEX CEF 92204a603 719 7089 SH OTR 0 0 7089 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 47 472 SH SOLE 472 0 0 VANGUARD INFO TECHNOLOGY INDEX CEF 92204a702 1360 13591 SH OTR 0 0 13591 VANGUARD INTL EQUITY IND FD FT INDEX CEF 922042775 5 101 SH SOLE 101 0 0 VANGUARD INTL EQUITY IND FD FT INDEX CEF 922042775 218 4426 SH OTR 0 0 4426 VANGUARD MEG CAP GRTH ETF INDEX CEF 921910816 629 8085 SH SOLE 8085 0 0 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 51 500 SH SOLE 500 0 0 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 1705 16836 SH OTR 0 0 16836 VANGUARD VALUE INDEX CEF 922908744 16316 200942 SH SOLE 200182 0 760 VANGUARD VALUE INDEX CEF 922908744 471 5806 SH OTR 0 0 5806 Vanguard Total Intl Stock Inde INDEX CEF 921909768 928 18200 SH SOLE 18200 0 0 WISDOM TREE EMERGING MARKETS E INDEX CEF 97717w315 320 6707 SH SOLE 6707 0 0 WISDOM TREE EMERGING MARKETS E INDEX CEF 97717w315 2 50 SH OTR 0 0 50 WISDOMTREE DIVIDEND EX FINANCI INDEX CEF 97717w406 528 7200 SH SOLE 7200 0 0 WISDOMTREE EUROPE ETF HEDGED E INDEX CEF 97717x701 780 13500 SH SOLE 13500 0 0 WISDOMTREE JPN HDGD EQTY JAPAN INDEX CEF 97717w851 12168 232561 SH SOLE 230601 0 1960 WISDOMTREE JPN HDGD EQTY JAPAN INDEX CEF 97717w851 665 12715 SH OTR 0 0 12715 ISHARES CORE ETF AGGREGATE BON ETF 464287226 3797 34797 SH SOLE 17551 0 17246 ISHARES CORE ETF AGGREGATE BON ETF 464287226 32 293 SH OTR 0 0 293 ISHARES ETF FLOATING RATE BOND ETF 46429b655 341 6700 SH OTR 0 0 6700 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 6725 56882 SH SOLE 46834 0 10048 ISHARES IBOXX INVESTMENT GRADE ETF 464287242 236 1994 SH OTR 0 0 1994 ISHARES TIPS BOND ETF ETF 464287176 3228 28802 SH SOLE 14401 0 14401 ISHARES TR BOND 1-3 YEAR CREDI ETF 464288646 4660 44267 SH SOLE 43852 0 415 ISHARES TR BOND 1-3 YEAR CREDI ETF 464288646 260 2465 SH OTR 0 0 2465 ISHARES U S PFD ETF U S PFD ST ETF 464288687 738 18680 SH SOLE 18680 0 0 PIMCO ETF 0-5 YR HIGH YIELD CO ETF 72201r783 3823 36886 SH SOLE 36846 0 40 PIMCO ETF 0-5 YR HIGH YIELD CO ETF 72201r783 166 1600 SH OTR 0 0 1600 PIMCO EXCH TRADED FUND TOTAL R ETF 72201r775 3026 27865 SH SOLE 27615 0 250 PIMCO EXCH TRADED FUND TOTAL R ETF 72201r775 167 1540 SH OTR 135 0 0 POWERSHARES ETF SENIOR LOAN PO ETF 73936q769 1710 70444 SH SOLE 70444 0 0 POWERSHARES ETF SENIOR LOAN PO ETF 73936q769 433 17837 SH OTR 0 0 17837 POWERSHS EXCH TRAD FD INTL COR ETF 73936q835 1481 50953 SH SOLE 50683 0 270 POWERSHS EXCH TRAD FD INTL COR ETF 73936q835 112 3870 SH OTR 0 0 3870 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 444 24650 SH SOLE 24650 0 0 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 99 5480 SH OTR 0 0 5480 SPDR BARCLAYS ETF 0-5 CASH PAY ETF 78468r408 7221 241263 SH SOLE 241163 0 100 SPDR BARCLAYS ETF 0-5 CASH PAY ETF 78468r408 1989 66443 SH OTR 0 0 66443 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 217 5401 SH SOLE 5401 0 0 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 148 3688 SH OTR 0 0 3688 VANGUARD BOND INDEX FUND SHORT ETF 921937827 564 7049 SH SOLE 7049 0 0 APOLLO GLOBAL MANAGEMENT LLC C LP 037612306 5 200 SH SOLE 200 0 0 APOLLO GLOBAL MANAGEMENT LLC C LP 037612306 321 13480 SH OTR 0 0 13480 Access Midstream Partners LP U LP 00434l109 108 1700 SH SOLE 1700 0 0 Access Midstream Partners LP U LP 00434l109 4417 69412 SH OTR 0 0 69412 BUCKEYE PARTNERS LP UNITS LTD LP 118230101 186 2339 SH SOLE 2339 0 0 BUCKEYE PARTNERS LP UNITS LTD LP 118230101 32 400 SH OTR 0 0 400 ENERGY TRANSFER EQUITY LP 29273v100 1706 27655 SH SOLE 27655 0 0 ENERGY TRANSFER EQUITY LP 29273v100 51 830 SH OTR 0 0 830 ENERGY TRANSFER PARTNERS UNITS LP 29273r109 424 6623 SH SOLE 6623 0 0 ENERGY TRANSFER PARTNERS UNITS LP 29273r109 24 372 SH OTR 0 0 372 ENLINK MIDSTREAM PTRS LP LP 29336u107 650 21340 SH SOLE 21340 0 0 ENLINK MIDSTREAM PTRS LP LP 29336u107 19 640 SH OTR 0 0 640 ENTERPRISE PRD PRTNRS LP LP 293792107 950 23584 SH SOLE 23584 0 0 ENTERPRISE PRD PRTNRS LP LP 293792107 37 914 SH OTR 0 0 914 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 7195 5938615 SH SOLE 0 0 5938615 KINDER MORGAN ENERGY LP UNIT L LP 494550106 164 1760 SH SOLE 1760 0 0 KINDER MORGAN ENERGY LP UNIT L LP 494550106 150 1603 SH OTR 0 0 1603 KKR & CO LP LP 48248m102 213 9548 SH OTR 0 0 9548 MAGELLAN MIDSTREAM PTNRS LP 559080106 1562 18553 SH SOLE 18553 0 0 MAGELLAN MIDSTREAM PTNRS LP 559080106 43 510 SH OTR 0 0 510 MARKWEST ENERGY PTNR LP COMMON LP 570759100 342 4449 SH SOLE 4449 0 0 OILTANKING PTNRS LP LP 678049107 844 17010 SH SOLE 17010 0 0 ONEOK PARTNERS LP LP 68268n103 1139 20354 SH SOLE 20354 0 0 ONEOK PARTNERS LP LP 68268n103 27 475 SH OTR 0 0 475 PLAINS ALL AMERICAN PIPELINE L LP 726503105 373 6337 SH SOLE 6337 0 0 POPE RESOURCES DEPOSITARY RECE LP 732857107 1313 19597 SH OTR 0 0 19597 Pimco Bravo spec On Te I LP LP 000000000 782 499957 SH OTR 0 0 499957 REGENCY ENERGY PARTNERS LP LP 75885Y107 260 7969 SH SOLE 7969 0 0 ROSE ROCK MIDSTREAM LP LP 777149105 378 6390 SH SOLE 6390 0 0 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 SUNOCO LOGISTICS PTNR LP LP 86764l108 220 4560 SH SOLE 4560 0 0 TARGA RESOURCES CORP LP 87612g101 1222 8975 SH SOLE 8975 0 0 TARGA RESOURCES CORP LP 87612g101 52 381 SH OTR 0 0 381 TESORO LOGISTICS LP LP 88160t107 615 8685 SH SOLE 8685 0 0 TESORO LOGISTICS LP LP 88160t107 16 225 SH OTR 0 0 225 FAIRFAX FINL HLDGS PFD 5 CUM P PFD 303901847 22 1000 SH SOLE 0 0 1000 FAIRFAX FINL HLDGS PFD 5 CUM P PFD 303901847 183 8400 SH OTR 0 0 8400 FARM CREDIT BANK 0% PFD PFD DU PFD 30767e307 2001 1600 SH SOLE 1600 0 0 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 285 14250 SH OTR 0 0 14250 HILLMAN GROUP CAPITAL TR TR PF PFD 43162l206 208 6800 SH OTR 0 0 6800 Security Etch Intl Sr-B Red/Cv PFD 000000000 0 20000 SH OTR 0 0 20000 U.S. BANCORP 5.56% PFD PFD SER PFD 902973155 280 12700 SH OTR 0 0 12700 CALL APPLE INC $78.57 ADJ EXP CALL 000000000 313 140 SH SOLE 140 0 0 ALLIANCEBERSTEIN NATL FD NON-TAX CEF 01864u106 241 17740 SH SOLE 17740 0 0 BLACKROCK CA MUNI INCOME TR SH NON-TAX CEF 09248e102 143 9875 SH SOLE 9875 0 0 BLACKROCK CA MUNI INCOME TR SH NON-TAX CEF 09248e102 91 6293 SH OTR 0 0 6293 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 264 19300 SH SOLE 17970 0 1330 BLACKROCK MUN INCOME TR NON-TAX CEF 09248f109 2151 157387 SH OTR 0 0 157387 BLACKROCK MUNIHLDGS FD NON-TAX CEF 09253n104 217 13490 SH SOLE 13490 0 0 BLACKROCK MUNIHOLDINGS CALIF Q NON-TAX CEF 09254l107 148 10425 SH SOLE 10425 0 0 BLACKROCK MUNIVEST FUND NON-TAX CEF 09253r105 167 17400 SH SOLE 15620 0 1780 BLACKROCK MUNIYIELD FUND NON-TAX CEF 09253w104 196 13830 SH SOLE 13830 0 0 BLCKRCK MUNIENHANCED FD NON-TAX CEF 09253y100 54 4850 SH SOLE 4850 0 0 BLCKRCK MUNIENHANCED FD NON-TAX CEF 09253y100 152 13600 SH OTR 0 0 13600 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 302 21760 SH SOLE 21760 0 0 BLKRCK MUNIHLDGS INV FD NON-TAX CEF 09254p108 13 900 SH OTR 0 0 900 BLKRCK MUNIHLDGS QLTY FD NON-TAX CEF 09254a101 270 20800 SH SOLE 20800 0 0 BLKRCK MUNIHLDGS QLTY II NON-TAX CEF 09254c107 186 14010 SH SOLE 12750 0 1260 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 611 41942 SH SOLE 41942 0 0 BLKRCK MUNIYIELD CA QLTY NON-TAX CEF 09254n103 4902 336415 SH OTR 0 0 336415 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 573 37853 SH SOLE 37853 0 0 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 1832 120926 SH OTR 0 0 120926 BLKRCK MUNIYIELD QLTY FD NON-TAX CEF 09254f100 197 13180 SH SOLE 13180 0 0 BLKRCK MUNIYIELD QLTY II NON-TAX CEF 09254g108 284 22200 SH SOLE 22200 0 0 BLKRCK MUNIYIELD QUALITY NON-TAX CEF 09254e103 393 28660 SH SOLE 28660 0 0 DEUTSCHE MUNI INCOME TR NON-TAX CEF 25160c106 352 26720 SH SOLE 26720 0 0 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 26202f107 223 27740 SH SOLE 27740 0 0 DREYFUS STRATEGIC MUNS NON-TAX CEF 261932107 256 30520 SH SOLE 30520 0 0 EATON VANCE CALF MUN INCOME TR NON-TAX CEF 27826f101 305 24686 SH SOLE 24686 0 0 EATON VANCE MUNICIPAL BOND FUN NON-TAX CEF 27827x101 258 20590 SH SOLE 20590 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 611 50040 SH SOLE 50040 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 47 3849 SH OTR 0 0 3849 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 189 15070 SH SOLE 15070 0 0 INVESCO TR INVT GRADE MUNS COM NON-TAX CEF 46131m106 141 10760 SH SOLE 10760 0 0 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 422 27826 SH SOLE 27826 0 0 NUVEEN AMT FREE MUNI INC FUND NON-TAX CEF 670657105 97 7166 SH SOLE 7166 0 0 NUVEEN AMT FREE MUNI INC FUND NON-TAX CEF 670657105 50 3700 SH OTR 0 0 3700 NUVEEN CA DIV AD MUNI FD CALIF NON-TAX CEF 67069x104 177 12771 SH SOLE 12771 0 0 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 801 56229 SH SOLE 54089 0 2140 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 23 1606 SH OTR 0 0 1606 NUVEEN DIV ADV MUN FD 3 CALIFO NON-TAX CEF 67070y109 282 22060 SH SOLE 20630 0 1430 NUVEEN DIVD ADV MUNI FD NON-TAX CEF 67066v101 199 14370 SH SOLE 14370 0 0 NUVEEN ENHANCED MUNI FD NON-TAX CEF 67074m101 344 23300 SH SOLE 22140 0 1160 NUVEEN INVT QLTY MUN FD NON-TAX CEF 67062e103 212 14230 SH SOLE 14230 0 0 NUVEEN MUNI MKT OPPTY FD NON-TAX CEF 67062w103 555 41820 SH SOLE 41820 0 0 NUVEEN MUNI OPPTY FD INC NON-TAX CEF 670984103 351 24600 SH SOLE 23380 0 1220 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 368 25350 SH SOLE 25350 0 0 NUVEEN PREM INCM MUN II NON-TAX CEF 67063w102 285 20760 SH SOLE 20760 0 0 NUVEEN PREM MUNI INCM FD NON-TAX CEF 670988104 293 21790 SH SOLE 21790 0 0 NUVEEN SELCT QLTY MUN FD NON-TAX CEF 670973106 220 16100 SH SOLE 16100 0 0 PIMCO CA MUN INCM FD III CALIF NON-TAX CEF 72201c109 146 14040 SH SOLE 12400 0 1640 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 25 1735 SH SOLE 1735 0 0 PIMCO CALIF MUN INCM FD CALIFO NON-TAX CEF 72200N106 190 13283 SH OTR 0 0 13283 PIMCO MUN INCOME FUND III NON-TAX CEF 72201a103 113 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 177 12900 SH SOLE 11820 0 1080 PIMCO MUNICIPAL INCM FD NATION NON-TAX CEF 72200r107 252 18413 SH OTR 0 0 18413 PIONEER MUNI HIGH INCM NON-TAX CEF 723763108 486 31840 SH SOLE 31840 0 0 WESTRN ASSET MANGD MUNIS NON-TAX CEF 95766m105 367 28060 SH SOLE 28060 0 0 BLACKROCK BUILD AMERICA TAXABLE MUNI CEF 09248x100 303 14430 SH SOLE 14430 0 0 BLACKROCK BUILD AMERICA TAXABLE MUNI CEF 09248x100 195 9299 SH OTR 0 0 9299 NUVEEN BAB TERM FUND TAXABLE MUNI CEF 67074c103 281 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 77 13000 SH SOLE 13000 0 0 ABERDEEN ASIA PAC INCM TAXABLE CEF 003009107 6718 1138717 SH OTR 0 0 1138717 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 141 10400 SH SOLE 10400 0 0 ALLIANCEBERNSTEIN GLOBAL HIGH TAXABLE CEF 01879r106 35 2600 SH OTR 0 0 2600 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 111 14850 SH SOLE 14850 0 0 ALLIANCEBERNSTEIN INCOME FUND TAXABLE CEF 01881e101 321 42755 SH OTR 0 0 42755 BLACKROCK CREDIT ALLOCATION IN TAXABLE CEF 092508100 466 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 350 21650 SH SOLE 21650 0 0 BROOKFIELD TOTAL RTN FD TAXABLE CEF 11283u108 485 19422 SH SOLE 19422 0 0 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 646 45550 SH SOLE 45550 0 0 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 51 3625 SH OTR 0 0 3625 CALAMOS CONV OPPRTNTY FD TAXABLE CEF 128117108 179 13200 SH OTR 0 0 13200 CUTWATER SELECT INCOME FUND FR TAXABLE CEF cdc229100 0 49520 SH OTR 0 0 49520 DOUBLELINE INCOME SOLUTIONS FD TAXABLE CEF 000000000 471 21737 SH SOLE 21737 0 0 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 567 38888 SH SOLE 36654 0 2234 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 104 7120 SH OTR 0 0 7120 FIRST TR HIGH INCOME LONG/SHOR TAXABLE CEF 33738e109 245 14360 SH SOLE 14360 0 0 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 58 6000 SH SOLE 6000 0 0 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 102 10577 SH OTR 0 0 10577 M S EMERGING MKTS DEBT TAXABLE CEF 617477104 144 12204 SH SOLE 12204 0 0 M S EMERGING MKTS DEBT TAXABLE CEF 617477104 80 6750 SH OTR 0 0 6750 NUVEEN CREDIT STRAT INCM TAXABLE CEF 67073d102 45 5000 SH SOLE 0 0 5000 NUVEEN CREDIT STRAT INCM TAXABLE CEF 67073d102 154 17300 SH OTR 0 0 17300 NUVEEN DIVERSIFIED CURR OPPORT TAXABLE CEF 67090n109 73 6855 SH SOLE 4850 0 2005 NUVEEN DIVERSIFIED CURR OPPORT TAXABLE CEF 67090n109 155 14500 SH OTR 0 0 14500 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 193 16940 SH SOLE 16940 0 0 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 62 5490 SH OTR 0 0 5490 NUVEEN QUAL PFD INC FD 2 TAXABLE CEF 67072c105 115 13189 SH SOLE 13189 0 0 PIMCO CORP & INC OPPTY FUND TAXABLE CEF 72201b101 288 16875 SH SOLE 16875 0 0 PIMCO CORP & INC OPPTY FUND TAXABLE CEF 72201b101 464 27225 SH OTR 0 0 27225 PIMCO CORP INCOME STRATEGY FUN TAXABLE CEF 72200u100 10 625 SH SOLE 625 0 0 PIMCO CORP INCOME STRATEGY FUN TAXABLE CEF 72200u100 217 13725 SH OTR 0 0 13725 PIMCO DYNAMIC CR INCOME FD COM TAXABLE CEF 72202d106 515 22900 SH OTR 0 0 22900 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 199 7201 SH SOLE 7201 0 0 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 154 5570 SH OTR 0 0 5570 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 626 59454 SH SOLE 59454 0 0 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 37 3499 SH OTR 0 0 3499 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 357 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 76 15203 SH SOLE 15203 0 0 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 102 18641 SH SOLE 18641 0 0 STRATEGIC GLOBAL INCOME FUND I TAXABLE CEF 862719101 137 15500 SH SOLE 15500 0 0 TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 236 29710 SH OTR 0 0 29710 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 276 30537 SH SOLE 22640 0 7897 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 47 5225 SH OTR 0 0 5225 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 258 18495 SH SOLE 15983 0 2512 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 142 10195 SH OTR 0 0 10195 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 176 16880 SH OTR 0 0 16880 AGIC EQUITY & CONVERTIBLE INCO CEFS 018829101 169 8500 SH SOLE 8500 0 0 AGIC EQUITY & CONVERTIBLE INCO CEFS 018829101 87 4388 SH OTR 0 0 4388 ALLIANZGI NFJ DIVID INT PREM S CEFS 01883a107 270 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 70 8250 SH SOLE 8250 0 0 ALPINE TOTAL DYN FD NEW CEFS 021060207 231 27142 SH OTR 0 0 27142 BLACKROCK ENHANCED EQUITY DIVI CEFS 09251a104 415 50626 SH OTR 0 0 50626 BLACKROCK GLOBAL OPPTYS CEFS 092501105 185 13110 SH SOLE 13110 0 0 BLACKROCK GLOBAL OPPTYS CEFS 092501105 861 61043 SH OTR 0 0 61043 BLACKROCK INTL GROWTH TR CEFS 092524107 245 32500 SH SOLE 32500 0 0 BLACKROCK INTL GROWTH TR CEFS 092524107 629 83568 SH OTR 0 0 83568 BLCKRCK ENHCD CAP & INCM CEFS 09256a109 251 16900 SH SOLE 16900 0 0 CLOUGH GLOBAL OPPORTUNITIES FD CEFS 18914e106 799 66961 SH OTR 0 0 66961 DNP SELECT INCOME FUND CEFS 23325p104 194 19150 SH SOLE 19150 0 0 EATON VANCE RISK MANAGED CEFS 27829g106 451 38550 SH SOLE 38550 0 0 EATON VANCE RISK MANAGED CEFS 27829g106 82 7000 SH OTR 0 0 7000 EATON VANCE TAX MANAGED CEFS 27828n102 114 10000 SH SOLE 10000 0 0 EATON VANCE TAX MANAGED CEFS 27828n102 87 7600 SH OTR 0 0 7600 EATON VANCE TAX MGD GLBL CEFS 27829c105 180 14826 SH SOLE 14826 0 0 HANCOCK JOHN PREM DIV FD PREM CEFS 41013t105 208 15830 SH SOLE 15830 0 0 LIBERTY ALL STAR EQUITY FUND S CEFS 530158104 221 37905 SH SOLE 37905 0 0 LIBERTY ALL STAR EQUITY FUND S CEFS 530158104 19 3264 SH OTR 0 0 3264 MORGAN STANLEY INDIA INVESTMEN CEFS 61745c105 811 32579 SH OTR 0 0 32579 NUVEEN EQUITY PREM OPPORTUNITY CEFS 6706em102 118 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 13516 524267 SH OTR 0 0 524267 VOYA GLOBAL EQUITY DIV & PREMI CEFS 92912t100 172 18400 SH SOLE 18400 0 0 VOYA GLOBAL EQUITY DIV & PREMI CEFS 92912t100 14 1500 SH OTR 0 0 1500 WELLS FARGO ADV GLOBAL DIVIDEN CEFS 94987c103 117 14630 SH SOLE 14630 0 0 CENTRAL FUND OF CANADA LTD CL- COMMOD TXBLE CEF 153501101 3542 287709 SH OTR 0 0 287709 CENTRAL GOLDTRUST TRUST UNITS COMMOD TXBLE CEF 153546106 745 18000 SH OTR 0 0 18000 MARKET VECTORS ETF TR RUSSIA E ETFS 57060u506 447 20000 SH OTR 0 0 20000 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 688 34100 SH SOLE 34100 0 0 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 1182 58524 SH OTR 0 0 58524 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 477 28000 SH SOLE 28000 0 0 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 140 8230 SH OTR 0 0 8230 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 642 26000 SH SOLE 26000 0 0 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 987 39927 SH OTR 0 0 39927 EV TAX MAN GLB DIV EQTY CEFS 27829f108 190 18900 SH SOLE 18900 0 0 EV TAX MAN GLB DIV EQTY CEFS 27829f108 55 5526 SH OTR 0 0 5526 GABELLI EQUITY TRUST INC CEFS 362397101 638 100000 SH SOLE 100000 0 0 GABELLI EQUITY TRUST INC CEFS 362397101 1043 163432 SH OTR 0 0 163432 RTS GABELLI EQUITY TRUST INC ( RIGHT 362397184 6 100000 SH SOLE 100000 0 0 RTS GABELLI EQUITY TRUST INC ( RIGHT 362397184 9 162353 SH OTR 0 0 162353 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 67 9787 SH SOLE 9787 0 0 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 565 82281 SH OTR 0 0 82281 ALTAIR - DIRECT LENDINGFUND LL ETF zzc99d246 170 154736 SH OTR 0 0 154736 ALTAIR - GLOBAL ASSET ALLOC FU ETF zzc99q403 105 100000 SH OTR 0 0 100000 ALTAIR - GLOBAL ASSET ALLOC FU ETF zzc99q403 274 250000 SH OTR 0 0 250000 ALTAIR - GOLUB CAPITAL VIIILP ETF 92299q117 218 218912 SH OTR 0 0 218912 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 136 120634 SH OTR 0 0 120634 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 136 120634 SH OTR 0 0 120634 ALTAIR - RIMROCK LP CLASSA ETF 922997861 225 190000 SH OTR 0 0 190000 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 84 57159 SH OTR 0 0 57159 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 211 142896 SH OTR 0 0 142896 ANNALY CAPITAL MANAGEMENT INC ETF 035710409 420 39317 SH SOLE 39317 0 0 ANNALY CAPITAL MANAGEMENT INC ETF 035710409 60 5644 SH OTR 0 0 5644 CHAMBERS ST PROPERTIES REIT ETF 157842105 11 1400 SH SOLE 0 0 1400 CHAMBERS ST PROPERTIES REIT ETF 157842105 282 37500 SH OTR 0 0 37500 CHIMERA INVT CORP COM ETF 16934Q109 51 16624 SH SOLE 16624 0 0 EXCEL TRUST INC REIT ETF 30068c109 24 2000 SH SOLE 0 0 2000 EXCEL TRUST INC REIT ETF 30068c109 282 24000 SH OTR 0 0 24000 FRANKLIN STREET PPTY CP REIT ETF 35471r106 36 3200 SH SOLE 0 0 3200 FRANKLIN STREET PPTY CP REIT ETF 35471r106 157 14000 SH OTR 0 0 14000 GAMING & LEISURE PROPERTIES IN ETF 36467j108 282 9142 SH SOLE 9142 0 0 MFA FINANCIAL INC REIT ETF 55272x102 396 50957 SH SOLE 50957 0 0 MFA FINANCIAL INC REIT ETF 55272x102 5 658 SH OTR 0 0 658 NORTHSTAR RLTY FIN NEW ETF 66704r704 88 5000 SH SOLE 5000 0 0 NORTHSTAR RLTY FIN NEW ETF 66704r704 229 12985 SH OTR 0 0 12985 PIEDMONT OFFICE RLTY TR CLASS ETF 720190206 276 15650 SH OTR 0 0 15650 TRADE ST RESIDENTIAL NEW ETF 89255n203 110 15343 SH OTR 0 0 15343 TWO HARBORS INVESTMENT ETF 90187b101 207 21388 SH SOLE 21388 0 0 TWO HARBORS INVESTMENT ETF 90187b101 6 625 SH OTR 0 0 625 VANGUARD REIT ETF 922908553 1382 19234 SH SOLE 18914 0 320 VANGUARD REIT ETF 922908553 54 750 SH OTR 0 0 750 ISHARES TR COHEN & STEER REIT ETF 464287564 1589 18807 SH SOLE 18807 0 0 ISHARES TR COHEN & STEER REIT ETF 464287564 60 705 SH OTR 0 0 705 ISHARES U S REAL ESTATE ETF ETF 464287739 15 210 SH SOLE 210 0 0 ISHARES U S REAL ESTATE ETF ETF 464287739 346 5000 SH OTR 0 0 5000 SPDR DOW JONES INTL REAL ESTAT ETF 78463x863 1714 41383 SH SOLE 41383 0 0 SPDR DOW JONES INTL REAL ESTAT ETF 78463x863 71 1710 SH OTR 0 0 1710 VANGUARD INTL EQTY ETF GLOBAL ETF 922042676 1076 19760 SH SOLE 19760 0 0