0001161722-16-000008.txt : 20160708 0001161722-16-000008.hdr.sgml : 20160708 20160708142147 ACCESSION NUMBER: 0001161722-16-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160708 DATE AS OF CHANGE: 20160708 EFFECTIVENESS DATE: 20160708 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: 161758828 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 06-30-2016 06-30-2016 HOLLENCREST SECURITIES LLC

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

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SML CAPBULL 3X INDEX CEF 25459w847 32 500 SH SOLE 500 0 0 DIREXION DAILY SML CAPBULL 3X INDEX CEF 25459w847 1103 17500 SH OTR 0 0 17500 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 1971 28886 SH SOLE 28886 0 0 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 34 505 SH OTR 0 0 505 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 14 1900 SH SOLE 1900 0 0 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 404 55825 SH OTR 0 0 55825 ISHARES CORE S&P 500ETF INDEX CEF 464287200 9015 42828 SH SOLE 21508 0 21321 ISHARES CORE S&P 500ETF INDEX CEF 464287200 17 83 SH OTR 0 0 83 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 690 5935 SH SOLE 5935 0 0 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 122 1050 SH OTR 0 0 1050 ISHARES CORE US GROWTH ETF INDEX CEF 464287671 7403 90632 SH SOLE 53929 0 36703 ISHARES CORE US GROWTH ETF INDEX CEF 464287671 407 4985 SH OTR 0 0 4985 ISHARES MSCI BRAZIL CAPPED ETF INDEX CEF 464286400 362 12000 SH SOLE 12000 0 0 ISHARES MSCI BRAZIL CAPPED ETF INDEX CEF 464286400 604 20000 SH OTR 0 0 20000 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1559 27935 SH SOLE 14090 0 13846 ISHARES MSCI EAFE ETF INDEX CEF 464287465 920 16477 SH OTR 0 0 16477 ISHARES MSCI GERMANY ETF IV INDEX CEF 464286806 4425 184000 SH OTR 0 0 184000 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 464286855 188 17300 SH SOLE 17300 0 0 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 464286855 1685 155300 SH OTR 0 0 155300 ISHARES MSCI PACIFIC EX JAPAN INDEX CEF 464286665 7081 180628 SH SOLE 178128 0 2500 ISHARES MSCI PACIFIC EX JAPAN INDEX CEF 464286665 315 8035 SH OTR 0 0 8035 ISHARES RUSSELL 1000 ETF INDEX CEF 464287622 2401 20545 SH OTR 0 0 20545 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 64 636 SH SOLE 636 0 0 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 2621 26118 SH OTR 0 0 26118 ISHARES RUSSELL 1000VALUE ETF INDEX CEF 464287598 25 247 SH SOLE 247 0 0 ISHARES RUSSELL 1000VALUE ETF INDEX CEF 464287598 235 2280 SH OTR 0 0 2280 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 805 7000 SH SOLE 7000 0 0 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 272 2369 SH OTR 0 0 2369 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 566 4129 SH OTR 0 0 4129 ISHARES RUSSELL 3000 ETF INDEX CEF 464287689 1028 8285 SH SOLE 8285 0 0 ISHARES RUSSELL 3000 ETF INDEX CEF 464287689 5 38 SH OTR 0 0 38 ISHARES S&P 100 ETF INDEX CEF 464287101 1598 17200 SH SOLE 17200 0 0 ISHARES S&P 100 ETF INDEX CEF 464287101 740 7969 SH OTR 0 0 7969 ISHARES S&P 500 GROWTH ETF IV INDEX CEF 464287309 207 1775 SH SOLE 1775 0 0 ISHARES S&P 500 GROWTH ETF IV INDEX CEF 464287309 54 460 SH OTR 0 0 460 ISHARES S&P MID CAP 400 GRWTH INDEX CEF 464287606 275 1625 SH SOLE 1625 0 0 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 1719 20156 SH SOLE 10078 0 10078 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 92 1081 SH OTR 0 0 1081 ISHARES TR RUS MID-CAPETF INDEX CEF 464287499 2229 13255 SH SOLE 6627 0 6627 ISHARES TR RUS MID-CAPETF INDEX CEF 464287499 257 1525 SH OTR 0 0 1525 ISHARES US HOME CONSTRUCT ETF INDEX CEF 464288752 8526 308369 SH SOLE 307084 0 1285 ISHARES US HOME CONSTRUCT ETF INDEX CEF 464288752 498 18025 SH OTR 0 0 18025 IShares core MSCI Emerging Mar INDEX CEF 000000000 1267 30292 SH SOLE 30292 0 0 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 190 5982 SH SOLE 5982 0 0 JP MORGAN EXCH TRADED NT ALERI INDEX CEF 46625h365 91 2871 SH OTR 0 0 2871 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 34090 317000 SH SOLE 309049 0 7951 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 2433 22624 SH OTR 0 0 22624 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 10145 237145 SH SOLE 237145 0 0 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 251 5863 SH OTR 0 0 5863 PROSHARES ULTRASHORT FTSE EURO INDEX CEF 74348a434 570 10000 SH OTR 0 0 10000 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 579 11639 SH SOLE 11639 0 0 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 51 1029 SH OTR 0 0 1029 SELECT SECTOR HEALTH CARE SPD INDEX CEF 81369y209 536 7480 SH SOLE 7480 0 0 SELECT SECTOR HEALTH CARE SPD INDEX CEF 81369y209 155 2167 SH OTR 0 0 2167 SELECT SECTOR UTI SELECT SPDR INDEX CEF 81369y886 1058 20156 SH SOLE 20156 0 0 SELECT STR FINANCIAL SELECT S INDEX CEF 81369y605 456 19956 SH SOLE 19956 0 0 SELECT STR FINANCIAL SELECT S INDEX CEF 81369y605 624 27323 SH OTR 0 0 27323 SPDR EURO STOXX 50 ETF IV INDEX CEF 78463x202 806 25843 SH SOLE 25843 0 0 SPDR EURO STOXX 50 ETF IV INDEX CEF 78463x202 810 26000 SH OTR 0 0 26000 SPDR FUND CONSUMER DISCRE SEL INDEX CEF 81369y407 12176 155980 SH SOLE 154833 0 1147 SPDR FUND CONSUMER DISCRE SEL INDEX CEF 81369y407 480 6145 SH OTR 0 0 6145 SPDR S&P 500 ETF IV INDEX CEF 78462f103 45016 214900 SH SOLE 212295 0 2605 SPDR S&P 500 ETF IV INDEX CEF 78462f103 3760 17951 SH OTR 0 0 17951 SPDR S&P DIVIDEND ETF IV INDEX CEF 78464a763 2426 28908 SH SOLE 28908 0 0 SPDR S&P DIVIDEND ETF IV INDEX CEF 78464a763 44 525 SH OTR 0 0 525 SPDR S&P MIDCAP 400 ETF IV INDEX CEF 78467y107 1511 5550 SH SOLE 5550 0 0 SPDR S&P OIL & GAS EXPL & PROD INDEX CEF 78464a730 7050 202540 SH SOLE 201005 0 1535 SPDR S&P OIL & GAS EXPL & PROD INDEX CEF 78464a730 395 11361 SH OTR 0 0 11361 SPDR S&P REGIONAL BANKING ETF INDEX CEF 78464a698 261 6790 SH OTR 0 0 6790 SPDR S&P TRANSPORTATION ETF INDEX CEF 78464a532 867 19890 SH SOLE 19890 0 0 SPDR S&P TRANSPORTATION ETF INDEX CEF 78464a532 26 587 SH OTR 0 0 587 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 11805 272193 SH SOLE 268723 0 3470 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 394 9096 SH OTR 0 0 9096 VANECK VECTORS CHINAAMC CSI 30 INDEX CEF 92189f759 258 6972 SH OTR 0 0 6972 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 170 4000 SH SOLE 4000 0 0 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 1704 40000 SH OTR 0 0 40000 VANGUARD DIVIDEND APPRECIATION INDEX CEF 921908844 2561 30767 SH SOLE 30767 0 0 VANGUARD FTSE DEVELOPED MARKET INDEX CEF 921943858 941 26620 SH SOLE 26620 0 0 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908736 2084 19440 SH SOLE 19440 0 0 VANGUARD INFORMATION TECHNOLOG INDEX CEF 92204a702 106 986 SH SOLE 986 0 0 VANGUARD INFORMATION TECHNOLOG INDEX CEF 92204a702 137 1275 SH OTR 0 0 1275 VANGUARD MEGA CAP GROWTH ETF INDEX CEF 921910816 675 8085 SH SOLE 8085 0 0 VANGUARD S&P 500 ETF INDEX CEF 922908363 692 3600 SH SOLE 3600 0 0 VANGUARD SECTOR INDEXFDS VANGU INDEX CEF 92204a603 240 2255 SH SOLE 2255 0 0 VANGUARD SECTOR INDEXFDS VANGU INDEX CEF 92204a603 73 691 SH OTR 0 0 691 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 56 526 SH SOLE 526 0 0 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 1778 16596 SH OTR 0 0 16596 VANGUARD VALUE ETF IV INDEX CEF 922908744 11018 129642 SH SOLE 128723 0 919 VANGUARD VALUE ETF IV INDEX CEF 922908744 502 5910 SH OTR 0 0 5910 VANGUARD WHITEHALL FDSHIGH DIV INDEX CEF 921946406 204 2860 SH SOLE 2860 0 0 WISDOM TREE DIVIDEND EX FINAN INDEX CEF 97717w406 555 7200 SH SOLE 7200 0 0 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 1394 27578 SH SOLE 27578 0 0 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 56 1099 SH OTR 0 0 1099 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 5113 131834 SH SOLE 130314 0 1520 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 311 8014 SH OTR 0 0 8014 FLEXSHARES IBOXX 3 YR TIPS IDX ETF 33939l506 299 12000 SH SOLE 12000 0 0 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 9135 86105 SH SOLE 84660 0 1445 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 628 5921 SH OTR 0 0 5921 ISHARES 1-3 YEAR TREASURY BO ETF 464287457 3549 41600 SH SOLE 41600 0 0 ISHARES CORE 1-5 YEAR USD BO ETF 46432F859 5564 54785 SH SOLE 54785 0 0 ISHARES CORE US AGGRGT BOND ET ETF 464287226 3934 34929 SH SOLE 18876 0 16053 ISHARES CORE US AGGRGT BOND ET ETF 464287226 33 293 SH OTR 0 0 293 ISHARES FLOATING RATE BOND ETF ETF 46429b655 1009 19935 SH SOLE 19935 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429b655 78 1550 SH OTR 0 0 1550 ISHARES IBOXX INVT GRADE BOND ETF 464287242 6043 49234 SH SOLE 38765 0 10468 ISHARES IBOXX INVT GRADE BOND ETF 464287242 227 1853 SH OTR 0 0 1853 ISHARES SHORT MATURITY BOND ETF 46431W507 3505 69860 SH SOLE 69860 0 0 ISHARES SHORT TREASURY BOND ETF 464288679 2503 22660 SH SOLE 22660 0 0 ISHARES TIPS BOND ETF ETF 464287176 3060 26227 SH SOLE 13114 0 13114 ISHARES U S PFD ETF U S PFD ST ETF 464288687 3775 94636 SH SOLE 94636 0 0 ISHARES U S PFD ETF U S PFD ST ETF 464288687 220 5510 SH OTR 0 0 5510 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 4770 49260 SH SOLE 48895 0 365 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 339 3499 SH OTR 0 0 3499 PIMCO TOTAL RETURN ACTIVE ETF ETF 72201r775 3788 35276 SH SOLE 33436 0 1840 PIMCO TOTAL RETURN ACTIVE ETF ETF 72201r775 391 3640 SH OTR 135 0 0 POWERSHARES FINANCIAL PREFERRE ETF 73935x229 595 31005 SH SOLE 31005 0 0 POWERSHARES FINANCIAL PREFERRE ETF 73935x229 29 1500 SH OTR 0 0 1500 POWERSHARES INTL CORPORATE BON ETF 73936q835 586 22670 SH SOLE 20300 0 2370 POWERSHARES INTL CORPORATE BON ETF 73936q835 70 2720 SH OTR 0 0 2720 POWERSHARES SENIOR LOAN ETF ETF 73936q769 494 21511 SH SOLE 21511 0 0 POWERSHARES SENIOR LOAN ETF ETF 73936q769 126 5465 SH OTR 0 0 5465 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 196 5482 SH SOLE 5482 0 0 SPDR BARCLAYS ETF HIGH YIELD V ETF 78464a417 59 1640 SH OTR 0 0 1640 SPDR BARCLAYS SHORT TERM HIGH ETF 78468r408 3968 147023 SH SOLE 146923 0 100 SPDR BARCLAYS SHORT TERM HIGH ETF 78468r408 158 5871 SH OTR 0 0 5871 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 935 18735 SH SOLE 18735 0 0 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 2161 26730 SH SOLE 26247 0 483 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 142 1757 SH OTR 0 0 1757 VANGUARD SHORT-TERM BOND ETF ETF 921937827 279 3439 SH SOLE 3439 0 0 ANTERO MIDSTREAM PARTNERS LP LP 03673l103 446 16000 SH SOLE 16000 0 0 APOLLO GLOBAL MGMT LP LP 037612306 206 13598 SH OTR 0 0 13598 BLACKSTONE GROUP LP LP LP 09253u108 287 11700 SH SOLE 11700 0 0 BLACKSTONE GROUP LP LP LP 09253u108 822 33514 SH OTR 0 0 33514 BUCKEYE PARTNERS LP LP LP 118230101 1279 18182 SH SOLE 18182 0 0 BUCKEYE PARTNERS LP LP LP 118230101 91 1300 SH OTR 0 0 1300 DCP MIDSTREAM PARTNERS LP LP 23311P100 935 27100 SH SOLE 27100 0 0 DOMINION MIDSTREAM PARTNERS LP LP 257454108 332 11800 SH SOLE 11800 0 0 ENBRIDGE ENERGY PTNR LP LP 29250r106 1100 47393 SH SOLE 47393 0 0 ENBRIDGE ENERGY PTNR LP LP 29250r106 14 600 SH OTR 0 0 600 ENERGY TRANSFER EQUITY LP 29273v100 1349 93853 SH SOLE 93853 0 0 ENERGY TRANSFER EQUITY LP 29273v100 24 1660 SH OTR 0 0 1660 ENERGY TRANSFER PART LP LP 29273r109 1858 48807 SH SOLE 48807 0 0 ENERGY TRANSFER PART LP LP 29273r109 10 274 SH OTR 0 0 274 ENLINK MIDSTREAM PTR LP LP 29336u107 1346 80927 SH SOLE 80927 0 0 ENLINK MIDSTREAM PTR LP LP 29336u107 11 640 SH OTR 0 0 640 ENTERPRISE PRODUCTS LP LP 293792107 1462 49977 SH SOLE 49977 0 0 ENTERPRISE PRODUCTS LP LP 293792107 30 1025 SH OTR 0 0 1025 EQT GP HOLDINGS LP LP 26885J103 339 13300 SH SOLE 13300 0 0 EQT MIDSTREAM PNTRS LP LP 26885b100 305 3794 SH SOLE 3794 0 0 EnLink Midstream, LLC LP 29336t100 264 16600 SH SOLE 16600 0 0 Enable Midstream Partners LP LP 292480100 952 70500 SH SOLE 70500 0 0 GENESIS ENERGY LP LP LP 371927104 1630 42472 SH SOLE 42472 0 0 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 7559 6879898 SH SOLE 0 0 6879898 KKR & CO LP LP LP 48248m102 219 17786 SH OTR 0 0 17786 MAGELLAN MIDSTREAM P LP LP 559080106 1253 16492 SH SOLE 16492 0 0 MAGELLAN MIDSTREAM P LP LP 559080106 39 510 SH OTR 0 0 510 MPLX LP LP 55336V100 639 19000 SH SOLE 19000 0 0 NGL ENERGY PARTNER LP LP 62913m107 1532 79300 SH SOLE 79300 0 0 NUSTAR ENERGY LP LP LP 67058h102 1121 22509 SH SOLE 22509 0 0 ONEOK INC LP 682680103 645 13600 SH SOLE 13600 0 0 ONEOK PARTNERS LP LP LP 68268n103 1424 35545 SH SOLE 35545 0 0 PHILLIPS 66 PARTNERS LP LP 718549207 307 5500 SH SOLE 5500 0 0 PLAINS ALL AMERICAN LP LP 726503105 1393 50663 SH SOLE 50663 0 0 POPE RESOURCES DEP LP LP 732857107 1258 19597 SH OTR 0 0 19597 Pimco Bravo spec On Te I LP LP 000000000 94 499957 SH OTR 0 0 499957 Rice Midstream Partners LP LP 762819100 432 21160 SH SOLE 21160 0 0 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 SHELL MIDSTREAM PARTNERS LP LP 822634101 355 10500 SH SOLE 10500 0 0 SUBURBAN PROPANE PRT LP LP 864482104 956 28637 SH SOLE 28637 0 0 SUNOCO LOGISTICS PTN LP LP 86764l108 1528 53160 SH SOLE 53160 0 0 TARGA RESOURCES CORP LP 87612g101 1488 35300 SH SOLE 35300 0 0 TESORO LOGISTICS LP LP LP 88160t107 575 11605 SH SOLE 11605 0 0 TESORO LOGISTICS LP LP LP 88160t107 11 225 SH OTR 0 0 225 VALERO ENERGY PARTNERS LP LP 91914j102 273 5800 SH SOLE 5800 0 0 VTTI ENERGY PARTNERS LP LP Y9384M101 302 14900 SH SOLE 14900 0 0 WESTERN GAS PARTNERS LP COM UN LP 958254104 363 7200 SH SOLE 7200 0 0 WILLIAMS PARTNERS LP LP LP 96949l105 1832 52900 SH SOLE 52900 0 0 WILLIAMS PARTNERS LP LP LP 96949l105 6288 181528 SH OTR 0 0 181528 AGRIBANK FCBPFD 6.875% NON CUM PFD 00850L203 316 3000 SH SOLE 3000 0 0 ALLSTATE CORPORA 5.1%PFD DUE 0 PFD 020002309 162 6000 SH SOLE 6000 0 0 ALLSTATE CORPORA 5.1%PFD DUE 0 PFD 020002309 53 1950 SH OTR 0 0 1950 AMERICAN FINANCIAL GROUP PFD 6 PFD 025932609 202 7500 SH SOLE 7500 0 0 CHARLES SCHWAB CORP/THEPFD 6.0 PFD 808513204 202 7500 SH SOLE 7500 0 0 COBANK ACBPFD 6.250% PFD 19075Q805 245 2370 SH SOLE 2370 0 0 FAIRFAX FINL HLDGS PFD 5 CUM P PFD 303901847 25 2000 SH SOLE 0 0 2000 FAIRFAX FINL HLDGS PFD 5 CUM P PFD 303901847 110 8870 SH OTR 0 0 8870 FARM CREDIT BANK OF TEXAS 144A PFD 30767E406 468 4500 SH SOLE 4500 0 0 FARM CREDIT BK O 10%PFD DUE 12 PFD 30767e307 1897 1600 SH SOLE 1600 0 0 HILLMAN GROUP CAP 11.6%09/30/2 PFD 43162l206 274 8425 SH OTR 0 0 8425 INTEGRYS HOLDING INCPFD 6.000% PFD 45822P204 203 7500 SH SOLE 7500 0 0 KKR FINANCIAL HOLDINGS LLCPFD PFD 48248A603 248 9000 SH SOLE 9000 0 0 NORTHERN TRUST CORP PFD 5.85% PFD 665859872 320 11500 SH SOLE 11500 0 0 PUBLIC STORAGEPFD 5.125% CUMUL PFD 74460W750 246 9525 SH SOLE 9525 0 0 REINSURANCE GROUP AMERINC SUB PFD 759351703 253 8500 SH SOLE 8500 0 0 SCE TRUST VPFD 5.450% CUMULATI PFD 78409W201 218 7750 SH SOLE 7750 0 0 Security Etch Intl Sr-B Red/Cv PFD 000000000 0 20000 SH OTR 0 0 20000 TABERNA PREFERRED .018%07/05/2 PFD 87330l200 0 500000 SH SOLE 500000 0 0 ALLIANCEBERNSTEIN NTNL M NON-TAX CEF 01864u106 268 17740 SH SOLE 17740 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 351 21760 SH SOLE 21760 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 15 900 SH OTR 0 0 900 BLACKROCK CALIF MUN INCOMETR S NON-TAX CEF 09248e102 167 9875 SH SOLE 9875 0 0 BLACKROCK CALIF MUN INCOMETR S NON-TAX CEF 09248e102 106 6293 SH OTR 0 0 6293 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 444 28099 SH SOLE 26769 0 1330 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 3134 198257 SH OTR 0 0 198257 BLACKROCK MUNIHLDG NEWJE NON-TAX CEF 09254x101 111 6854 SH SOLE 6854 0 0 BLACKROCK MUNIHLDG NEWJE NON-TAX CEF 09254x101 114 7000 SH OTR 0 0 7000 BLACKROCK MUNIHLDGS INSD NON-TAX CEF 09254c107 208 14010 SH SOLE 12750 0 1260 BLACKROCK MUNIHOLDINGS C NON-TAX CEF 09253n104 196 10370 SH SOLE 10370 0 0 BLACKROCK MUNIHOLDINGS I NON-TAX CEF 09254a101 317 20800 SH SOLE 20800 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 587 35351 SH SOLE 35351 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 6650 400628 SH OTR 0 0 400628 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 659 37853 SH SOLE 37853 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 2119 121658 SH OTR 0 0 121658 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 223 13830 SH SOLE 13830 0 0 BLACKROCK MUNIYIELD INSD NON-TAX CEF 09254e103 482 30780 SH SOLE 30780 0 0 BLACKROCK MUNIYLD QUALIT NON-TAX CEF 09254g108 302 20830 SH SOLE 20830 0 0 DEUTSCHE MUNI INCOME TR NON-TAX CEF 25160c106 386 26720 SH SOLE 26720 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 26202f107 252 27740 SH SOLE 27740 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 261932107 271 28520 SH SOLE 28520 0 0 EATON VANCE CALF MUN INCOME TR NON-TAX CEF 27826f101 349 24686 SH SOLE 24686 0 0 EATON VANCE MUNICIPAL BN NON-TAX CEF 27827x101 54 3830 SH SOLE 3830 0 0 EATON VANCE MUNICIPAL BN NON-TAX CEF 27827x101 108 7600 SH OTR 0 0 7600 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 684 46920 SH SOLE 46920 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 57 3937 SH OTR 0 0 3937 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 281 18875 SH SOLE 18875 0 0 INVESCO MUNICIPAL TRUST NON-TAX CEF 46131j103 109 7677 SH SOLE 7677 0 0 INVESCO MUNICIPAL TRUST NON-TAX CEF 46131j103 108 7600 SH OTR 0 0 7600 INVESCO QUALITY MUN INCOMETR C NON-TAX CEF 46133g107 146 10590 SH SOLE 10590 0 0 INVESCO TRUST FOR INVT GRADE M NON-TAX CEF 46131m106 479 32205 SH SOLE 32205 0 0 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 511 28786 SH SOLE 28786 0 0 NUVEEN CALIFORNIA DIVIDE NON-TAX CEF 67066y105 875 51621 SH SOLE 49481 0 2140 NUVEEN CALIFORNIA DIVIDE NON-TAX CEF 67066y105 41 2391 SH OTR 0 0 2391 NUVEEN DIVIDEND ADVANTAG NON-TAX CEF 67066v101 241 15380 SH SOLE 15380 0 0 NUVEEN ENHANCED MCPL CRE NON-TAX CEF 67070x101 195 12222 SH SOLE 12222 0 0 NUVEEN ENHANCED MCPL CRE NON-TAX CEF 67070x101 207 13000 SH OTR 0 0 13000 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 361 22020 SH SOLE 20860 0 1160 NUVEEN ENHNCD AMT FREE M NON-TAX CEF 67071l106 523 32180 SH SOLE 31006 0 1174 NUVEEN ENHNCD AMT FREE M NON-TAX CEF 67071l106 208 12800 SH OTR 0 0 12800 NUVEEN INSURED CALIF TAX NON-TAX CEF 670651108 226 13279 SH SOLE 13279 0 0 NUVEEN INSURED CALIF TAX NON-TAX CEF 670651108 55 3217 SH OTR 0 0 3217 NUVEEN INSURED TX FREE A NON-TAX CEF 670657105 107 7166 SH SOLE 7166 0 0 NUVEEN INSURED TX FREE A NON-TAX CEF 670657105 56 3700 SH OTR 0 0 3700 NUVEEN INVESTMENT QUALIT NON-TAX CEF 67062e103 238 14230 SH SOLE 14230 0 0 NUVEEN MUN HIGH INCOMEOPPORTUN NON-TAX CEF 670682103 153 10300 SH SOLE 10300 0 0 NUVEEN MUNI MARKET OPPOR NON-TAX CEF 67062w103 287 19055 SH SOLE 19055 0 0 NUVEEN PERFORMANCE PLUS NON-TAX CEF 67062p108 459 27830 SH SOLE 27830 0 0 NUVEEN PREMIER MUNICIPAL NON-TAX CEF 670988104 364 24130 SH SOLE 24130 0 0 NUVEEN PREMIUM INCOME MU NON-TAX CEF 67062t100 54 3530 SH SOLE 3530 0 0 NUVEEN PREMIUM INCOME MU NON-TAX CEF 67062t100 108 7000 SH OTR 0 0 7000 NUVEEN PREMIUM INCOME MU NON-TAX CEF 67063w102 322 20760 SH SOLE 20760 0 0 NUVEEN SELECT QUALITY MU NON-TAX CEF 670973106 250 16100 SH SOLE 16100 0 0 PIMCO CALIFOR MUNI INCM NON-TAX CEF 72201c109 173 14040 SH SOLE 12400 0 1640 PIMCO MUN INCOME FD COM NON-TAX CEF 72200r107 317 18413 SH OTR 0 0 18413 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72200w106 543 38885 SH SOLE 38885 0 0 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72201a103 153 11910 SH SOLE 11910 0 0 PIONEER MUNICIPAL HIGH I NON-TAX CEF 723763108 318 22236 SH SOLE 22236 0 0 PUTNAM MANAGED MUNICIPAL NON-TAX CEF 746823103 54 6764 SH SOLE 6764 0 0 PUTNAM MANAGED MUNICIPAL NON-TAX CEF 746823103 109 13500 SH OTR 0 0 13500 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 388 25640 SH SOLE 25640 0 0 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 465 19075 SH SOLE 19075 0 0 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 212 8714 SH OTR 0 0 8714 1/100000 CUTWATER SELECT TAXABLE CEF cdc229100 0 49520 SH OTR 0 0 49520 BLACKROCK CORPORATE HIGH TAXABLE CEF 09255p107 167 16022 SH SOLE 16022 0 0 BLACKROCK CREDIT ALL INCTR COM TAXABLE CEF 092508100 509 39080 SH SOLE 39080 0 0 BLACKROCK CREDIT ALL INCTR COM TAXABLE CEF 092508100 2 173 SH OTR 0 0 173 BLACKROCK LTD DURATION I TAXABLE CEF 09249w101 156 10212 SH SOLE 10212 0 0 BROOKFIELD MORTGAGE OPP TAXABLE CEF 112792106 162 10897 SH SOLE 10897 0 0 BROOKFIELD TOTAL RETURN TAXABLE CEF 11283u108 395 17538 SH SOLE 17538 0 0 CALAMOS CONV &HIGH INCOMEFD CO TAXABLE CEF 12811p108 344 32440 SH SOLE 32440 0 0 CALAMOS CONV &HIGH INCOMEFD CO TAXABLE CEF 12811p108 38 3625 SH OTR 0 0 3625 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 88 8929 SH SOLE 8929 0 0 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 130 13200 SH OTR 0 0 13200 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 460 25050 SH OTR 0 0 25050 DOUBLELINE OPPORTUNISTIC TAXABLE CEF 258623107 232 8653 SH SOLE 8653 0 0 DOUBLELINE OPPORTUNISTIC TAXABLE CEF 258623107 102 3825 SH OTR 0 0 3825 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 137 10163 SH SOLE 7929 0 2234 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 96 7120 SH OTR 0 0 7120 IVY HIGH INCOME OPPORTUN TAXABLE CEF 465893105 145 10585 SH SOLE 10585 0 0 LEGG MASON BW GLOBAL INC TAXABLE CEF 52469b100 209 16152 SH SOLE 16152 0 0 NUVEEN CREDIT STRATEGIES TAXABLE CEF 67073d102 3 350 SH SOLE 0 0 350 NUVEEN CREDIT STRATEGIES TAXABLE CEF 67073d102 189 23350 SH OTR 0 0 23350 NUVEEN FLOATG RATE INCM TAXABLE CEF 6706en100 41 4000 SH SOLE 4000 0 0 NUVEEN FLOATG RATE INCM TAXABLE CEF 6706en100 77 7490 SH OTR 0 0 7490 NUVEEN FLOATING RATE INC TAXABLE CEF 67072t108 88 8520 SH SOLE 8270 0 250 NUVEEN FLOATING RATE INC TAXABLE CEF 67072t108 132 12775 SH OTR 0 0 12775 NUVEEN GLOBAL HIGH INCOM TAXABLE CEF 67075g103 36 2504 SH SOLE 1630 0 874 NUVEEN GLOBAL HIGH INCOM TAXABLE CEF 67075g103 137 9500 SH OTR 0 0 9500 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 216 21587 SH SOLE 21587 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 70 7000 SH OTR 0 0 7000 NUVEEN QUALITY PREFERRED TAXABLE CEF 67072c105 98 10601 SH SOLE 10601 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 74 5275 SH SOLE 5275 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 609 43225 SH OTR 0 0 43225 PIMCO DYNAMIC CREDIT INC TAXABLE CEF 72202d106 113 5888 SH SOLE 5888 0 0 PIMCO DYNAMIC CREDIT INC TAXABLE CEF 72202d106 335 17500 SH OTR 0 0 17500 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 140 6101 SH SOLE 6101 0 0 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 82 3570 SH OTR 0 0 3570 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 149 16144 SH SOLE 16144 0 0 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 32 3499 SH OTR 0 0 3499 PIONEER HIGH INCOME CF TAXABLE CEF 72369h106 146 14505 SH SOLE 14505 0 0 PUTNAM MASTER INTERMEDIA TAXABLE CEF 746909100 66 15203 SH SOLE 15203 0 0 PUTNAM PREMIER INCOME CF TAXABLE CEF 746853100 71 15051 SH SOLE 15051 0 0 TEMPLETON GLOBAL INCOME TAXABLE CEF 880198106 2 375 SH SOLE 0 0 375 TEMPLETON GLOBAL INCOME TAXABLE CEF 880198106 102 16000 SH OTR 0 0 16000 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 152 19197 SH SOLE 11300 0 7897 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 19 2425 SH OTR 0 0 2425 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 52 4137 SH SOLE 1625 0 2512 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 129 10195 SH OTR 0 0 10195 WESTERN ASSET HIGH INCMFD II C TAXABLE CEF 95766j102 84 12160 SH SOLE 12160 0 0 WESTERN ASSET HIGH INCMOPP FD TAXABLE CEF 95766k109 73 14810 SH SOLE 14810 0 0 BLACKROCK ENHANCED EQUIT CEFS 09251a104 404 51235 SH OTR 0 0 51235 BLACKROCK ENHCD CAPITL A CEFS 09256a109 210 15600 SH SOLE 15600 0 0 BLACKROCK GLOBAL OPPORTU CEFS 092501105 47 4000 SH SOLE 4000 0 0 BLACKROCK GLOBAL OPPORTU CEFS 092501105 1089 91866 SH OTR 0 0 91866 BLACKROCK INTL GROWTH TR CEFS 092524107 481 83568 SH OTR 0 0 83568 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 51 5434 SH SOLE 5434 0 0 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 175 18707 SH OTR 0 0 18707 COHEN MLP INCOME AND ENE CEFS 19249b106 204 19980 SH SOLE 17900 0 2080 EATON VANCE ENHANCED EQT CEFS 278277108 252 19576 SH SOLE 19576 0 0 EATON VANCE RISK MAN DIV CEFS 27829g106 162 16628 SH SOLE 16628 0 0 EATON VANCE RISK MAN DIV CEFS 27829g106 68 7000 SH OTR 0 0 7000 EATON VANCE TAX MGD DVF CEFS 27828n102 230 22069 SH SOLE 22069 0 0 EATON VANCE TAX MGD DVF CEFS 27828n102 79 7600 SH OTR 0 0 7600 FIDUCIARY / CLAYMORE MLPOPPORT CEFS 31647q106 403 29185 SH SOLE 29185 0 0 JOHN HANCOCK PREMIUM DIV CEFS 41013t105 368 21680 SH SOLE 21680 0 0 LIBERTY ALL STAR EQUITYFD SH B CEFS 530158104 198 39462 SH SOLE 39462 0 0 LIBERTY ALL STAR EQUITYFD SH B CEFS 530158104 18 3530 SH OTR 0 0 3530 TEMPLETON DRAGON FD INCCOM CEFS 88018t101 296 17071 SH OTR 0 0 17071 CENTRAL FUND CDA CF COMMOD TXBLE CEF 153501101 3786 272400 SH OTR 0 0 272400 SPROTT PHYSICAL GOLD ETV COMMOD TXBLE CEF 85207h104 872 79394 SH OTR 0 0 79394 ISHARES NATIONL MUNI ETF ETF 464288414 202 1770 SH SOLE 1770 0 0 VANECK VECTORS RUSSIA ETF ETFS 92189f403 2047 117500 SH OTR 0 0 117500 ISHARES GOLD ETF ETF 464285105 25 1981 SH SOLE 1981 0 0 ISHARES GOLD ETF ETF 464285105 193 15160 SH OTR 0 0 15160 EATON VANCE TAX ADV GLBL CEFS 27828s101 307 21344 SH SOLE 21344 0 0 EATON VANCE TAX ADV GLBL CEFS 27828s101 111 7730 SH OTR 0 0 7730 EATON VANCE TAX ADVANTAG CEFS 27828g107 1052 52273 SH SOLE 52273 0 0 EATON VANCE TAX ADVANTAG CEFS 27828g107 345 17120 SH OTR 0 0 17120 EATON VANCE TAX MAN GL D CEFS 27829f108 311 36351 SH SOLE 36351 0 0 EATON VANCE TX ADV GLBDIV OP C CEFS 27828u106 363 17000 SH SOLE 17000 0 0 EATON VANCE TX ADV GLBDIV OP C CEFS 27828u106 299 14002 SH OTR 0 0 14002 GABELLI EQUITY TR INC CEFS 362397101 659 120000 SH SOLE 120000 0 0 GABELLI EQUITY TR INC CEFS 362397101 905 164760 SH OTR 0 0 164760 ALPINE GLOBAL PREMIERPPTYS FD REIT CEF 02083a103 54 9787 SH SOLE 9787 0 0 ALPINE GLOBAL PREMIERPPTYS FD REIT CEF 02083a103 52 9434 SH OTR 0 0 9434 REDWOOD TRUST INC. REIT REIT CEF 758075402 2 175 SH SOLE 0 0 175 REDWOOD TRUST INC. REIT REIT CEF 758075402 140 10150 SH OTR 0 0 10150 ALTAIR - DIRECT LENDINGFUND LL ETF zzc99d246 164 131228 SH OTR 0 0 131228 ALTAIR - GOLUB CAPITAL VIIILP ETF 92299q117 223 223933 SH OTR 0 0 223933 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 123 98585 SH OTR 0 0 98585 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 123 98585 SH OTR 0 0 98585 ALTAIR - RIMROCK LP CLASSA ETF 922997861 211 190000 SH OTR 0 0 190000 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 144 100000 SH OTR 0 0 100000 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 360 250000 SH OTR 0 0 250000 ANNALY CAPITAL MGMT REIT ETF 035710409 2 161 SH SOLE 161 0 0 ANNALY CAPITAL MGMT REIT ETF 035710409 190 17125 SH OTR 0 0 17125 GRAMMERCY PPTY TRUST ETF 385002100 25 2725 SH SOLE 0 0 2725 GRAMMERCY PPTY TRUST ETF 385002100 260 28250 SH OTR 0 0 28250 ISHARES TR MRG RL ES CPETF ETF 464288539 103 10000 SH OTR 0 0 10000 MFA FINANCIAL INC REIT ETF 55272x102 201 27602 SH SOLE 27602 0 0 NORTHSTAR REALTY FIN REIT ETF 66704r803 345 30180 SH SOLE 28000 0 2180 NORTHSTAR REALTY FIN REIT ETF 66704r803 604 52810 SH OTR 0 0 52810 TWO HARBORS INVESTMENT ETF 90187b101 201 23431 SH SOLE 23431 0 0 ISHARES COHEN AND STEERS REIT ETF 464287564 2201 20341 SH SOLE 19991 0 350 ISHARES COHEN AND STEERS REIT ETF 464287564 155 1432 SH OTR 0 0 1432 ISHARES US REAL ESTATE ETF ETF 464287739 429 5210 SH SOLE 5210 0 0 SPDR DOW JONES INTER REAL ESTA ETF 78463x863 2121 51160 SH SOLE 49830 0 1330 SPDR DOW JONES INTER REAL ESTA ETF 78463x863 96 2326 SH OTR 0 0 2326 VANGUARD GLBAL EX US REAL EST ETF 922042676 776 14361 SH SOLE 14361 0 0 VANGUARD GLBAL EX US REAL EST ETF 922042676 46 851 SH OTR 0 0 851 VANGUARD REIT ETF ETF 922908553 1720 19400 SH SOLE 18580 0 820 VANGUARD REIT ETF ETF 922908553 72 815 SH OTR 0 0 815