0001161722-17-000006.txt : 20171010 0001161722-17-000006.hdr.sgml : 20171010 20171010120531 ACCESSION NUMBER: 0001161722-17-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171010 DATE AS OF CHANGE: 20171010 EFFECTIVENESS DATE: 20171010 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: 171129600 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 09-30-2017 09-30-2017 HOLLENCREST SECURITIES LLC

100 BAYVIEW CIRCLE, SUITE 500 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-06753 N Michelle Noe 9498237744 Michelle Noe Newport Beach CA 10-10-2017 0 524 722838 false INFORMATION TABLE 2 inftable.xml 1/100 BERKSHIRE HTWY CLA 100 S COM 084990175 2473 900 SH SOLE 900 0 0 1/100000TH SPECTRUM GRP FRACTI COM jeh63m206 0 48467 SH OTR 0 0 48467 3M COMPANY COM 88579y101 133 634 SH SOLE 634 0 0 3M COMPANY COM 88579y101 136 650 SH OTR 0 0 650 ABBOTT LABORATORIES COM 002824100 71 1325 SH SOLE 1325 0 0 ABBOTT LABORATORIES COM 002824100 320 6002 SH OTR 0 0 6002 ABBVIE INC COM 00287y109 550 6191 SH SOLE 6191 0 0 ABBVIE INC COM 00287y109 85 959 SH OTR 0 0 959 ACADIA PHARMACEUTL COM 004225108 264 7000 SH SOLE 7000 0 0 ACADIA PHARMACEUTL COM 004225108 37 985 SH OTR 0 0 985 AIA GROUP LTD ORDF COM y002a1105 131 17800 SH SOLE 17800 0 0 ALACER GOLD CORP F COM 010679108 102 58000 SH SOLE 58000 0 0 ALACER GOLD CORP F COM 010679108 513 293410 SH OTR 0 0 293410 ALCOA CORP COM 013872106 207 4444 SH OTR 0 0 4444 ALPHABET INC. CLASS A COM 02079k305 591 607 SH SOLE 607 0 0 ALPHABET INC. CLASS A COM 02079k305 310 318 SH OTR 0 0 318 ALPHABET INC. CLASS C COM 02079k107 1151 1200 SH SOLE 1200 0 0 ALPHABET INC. 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AZIONI ADR ADR 29265W207 106 17673 SH SOLE 17673 0 0 GAZPROM PJSC F ADR 1 ADR REPS ADR 368287207 1516 363600 SH SOLE 363600 0 0 LLOYDS BANKING GROUP PLC ADR ADR 539439109 162 44396 SH SOLE 44396 0 0 PORSCHE AUTOMOBIL HO F SPONSOR ADR 73328p106 589 92700 SH OTR 0 0 92700 SIEMENS A G F SPONSORED ADR 1 ADR 826197501 991 14000 SH OTR 0 0 14000 TAIWAN SEMICONDUCTR F SPONSORE ADR 874039100 267 7122 SH SOLE 7122 0 0 TAIWAN SEMICONDUCTR F SPONSORE ADR 874039100 11265 300000 SH OTR 0 0 300000 TESCO PLC F SPONSORED ADR 1 AD ADR 881575302 111 14562 SH SOLE 14162 0 400 TESCO PLC F SPONSORED ADR 1 AD ADR 881575302 4 525 SH OTR 0 0 525 ALPS ALERIAN MLP ETF INDEX CEF 00162q866 353 31505 SH SOLE 31505 0 0 ALPS ALERIAN MLP ETF INDEX CEF 00162q866 16 1468 SH OTR 0 0 1468 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 491 7165 SH SOLE 7165 0 0 ENERGY SELECT SECTOR SPDR ETF INDEX CEF 81369y506 145 2118 SH OTR 0 0 2118 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 18 1900 SH SOLE 1900 0 0 GLOBAL X MSCI GREECE ETF INDEX CEF 37950e366 579 61210 SH OTR 0 0 61210 IQ HEDGE MULTI-STRATEGY TRACKE INDEX CEF 45409b107 390 13067 SH SOLE 13067 0 0 ISHARES CORE S&P 500 ETF INDEX CEF 464287200 9751 38551 SH SOLE 19369 0 19182 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 44 590 SH SOLE 590 0 0 ISHARES CORE S&P SMALL CAP ETF INDEX CEF 464287804 204 2742 SH OTR 0 0 2742 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 7315 144910 SH SOLE 89906 0 55004 ISHARES CORE S&P US GROWTH ETF INDEX CEF 464287671 350 6940 SH OTR 0 0 6940 ISHARES MSCI BRAZIL CAPPED ETF INDEX CEF 464286400 500 12000 SH SOLE 12000 0 0 ISHARES MSCI BRAZIL CAPPED ETF INDEX CEF 464286400 834 20000 SH OTR 0 0 20000 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1526 22284 SH SOLE 11160 0 11124 ISHARES MSCI EAFE ETF INDEX CEF 464287465 1827 26685 SH OTR 0 0 26685 ISHARES MSCI EMERGING MARKETS INDEX CEF 464287234 374 8341 SH OTR 0 0 8341 ISHARES MSCI EUROZONE ETF INDEX CEF 464286608 11540 266389 SH SOLE 265013 0 1376 ISHARES MSCI EUROZONE ETF INDEX CEF 464286608 2989 68988 SH OTR 0 0 68988 ISHARES MSCI GERMANY ETF INDEX CEF 464286806 7264 224000 SH OTR 0 0 224000 ISHARES MSCI INDIA INDEX ETF INDEX CEF 46429b598 1520 46263 SH OTR 0 0 46263 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 46434g830 121 3873 SH SOLE 3873 0 0 ISHARES MSCI ITALY CAPPED ETF INDEX CEF 46434g830 318 10150 SH OTR 0 0 10150 ISHARES MSCI TURKEY ETF INDEX CEF 464286715 711 17000 SH OTR 0 0 17000 ISHARES RUSSELL 1000 ETF INDEX CEF 464287622 2964 21188 SH OTR 0 0 21188 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 81 650 SH SOLE 650 0 0 ISHARES RUSSELL 1000 GROWTH ET INDEX CEF 464287614 3317 26519 SH OTR 0 0 26519 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 1057 7136 SH SOLE 7136 0 0 ISHARES RUSSELL 2000 ETF INDEX CEF 464287655 326 2200 SH OTR 0 0 2200 ISHARES RUSSELL 2000 GROWTH ET INDEX CEF 464287648 543 3033 SH OTR 0 0 3033 ISHARES RUSSELL 3000 ETF INDEX CEF 464287689 973 6520 SH SOLE 6520 0 0 ISHARES RUSSELL 3000 ETF INDEX CEF 464287689 6 38 SH OTR 0 0 38 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 2067 10482 SH SOLE 5241 0 5241 ISHARES RUSSELL MID CAP ETF INDEX CEF 464287499 276 1400 SH OTR 0 0 1400 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 185 1637 SH SOLE 1637 0 0 ISHARES RUSSELL MID CAP GROWTH INDEX CEF 464287481 18 162 SH OTR 0 0 162 ISHARES S&P 100 ETF INDEX CEF 464287101 1914 17200 SH SOLE 17200 0 0 ISHARES S&P 100 ETF INDEX CEF 464287101 887 7969 SH OTR 0 0 7969 ISHARES S&P 500 GROWTH ETF INDEX CEF 464287309 255 1775 SH SOLE 1775 0 0 ISHARES S&P 500 GROWTH ETF INDEX CEF 464287309 66 460 SH OTR 0 0 460 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 1841 19658 SH SOLE 9829 0 9829 ISHARES SELECT DIVIDEND ETF INDEX CEF 464287168 37 396 SH OTR 0 0 396 IShares core MSCI Emerging Mar INDEX CEF 000000000 1947 36043 SH SOLE 36043 0 0 POWERSHARES FTSE RAFI EMER MKT INDEX CEF 73936t763 3066 143763 SH OTR 0 0 143763 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 53588 368426 SH SOLE 360253 0 8173 POWERSHARES QQQ TRUST SRS 1 ET INDEX CEF 73935a104 5665 38949 SH OTR 0 0 38949 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 12107 264410 SH SOLE 259849 0 4561 POWERSHARES S&P 500 LOW VOLAT INDEX CEF 73937b779 758 16558 SH OTR 0 0 16558 PROSHARES ULTRASHORT FTSE EURO INDEX CEF 74348a434 711 22000 SH OTR 0 0 22000 PWRSHS FTSE RAFI DVPD MKT EX U INDEX CEF 73936t789 3195 72409 SH OTR 0 0 72409 SCHWAB INTERNATIONAL EQUITY ET INDEX CEF 808524805 245 7327 SH SOLE 7327 0 0 SCHWAB INTERNATIONAL EQUITY ET INDEX CEF 808524805 2 45 SH OTR 0 0 45 SCHWAB US BROAD MARKET ETF INDEX CEF 808524102 344 5647 SH SOLE 5647 0 0 SCHWAB US BROAD MARKET ETF INDEX CEF 808524102 89 1465 SH OTR 0 0 1465 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 1089 18137 SH SOLE 18137 0 0 SCHWAB US LARGE CAP ETF INDEX CEF 808524201 79 1324 SH OTR 0 0 1324 SELECT SECTOR HEALTH CARE SPDR INDEX CEF 81369y209 14318 175188 SH SOLE 171717 0 3471 SELECT SECTOR HEALTH CARE SPDR INDEX CEF 81369y209 998 12206 SH OTR 0 0 12206 SELECT SECTOR UTI SELECT SPDR INDEX CEF 81369y886 1114 21001 SH SOLE 21001 0 0 SELECT STR FINANCIAL SELECT SP INDEX CEF 81369y605 516 19956 SH SOLE 19956 0 0 SELECT STR FINANCIAL SELECT SP INDEX CEF 81369y605 341 13202 SH OTR 0 0 13202 SPDR EURO STOXX 50 ETF INDEX CEF 78463x202 1073 26000 SH OTR 0 0 26000 SPDR FUND CONSUMER DISCRE SELE INDEX CEF 81369y407 328 3637 SH SOLE 3637 0 0 SPDR FUND CONSUMER DISCRE SELE INDEX CEF 81369y407 27 300 SH OTR 0 0 300 SPDR S&P 500 ETF INDEX CEF 78462f103 97266 387160 SH SOLE 383148 0 4012 SPDR S&P 500 ETF INDEX CEF 78462f103 9658 38444 SH OTR 0 0 38444 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 2692 29477 SH SOLE 29385 0 92 SPDR S&P DIVIDEND ETF INDEX CEF 78464a763 378 4140 SH OTR 0 0 4140 SPDR S&P TRANSPORTATION ETF INDEX CEF 78464a532 1164 19390 SH SOLE 19390 0 0 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 16169 273584 SH SOLE 270070 0 3514 TECHNOLOGY SELECT SECTOR SPDR INDEX CEF 81369y803 892 15088 SH OTR 0 0 15088 VANECK VECTORS CHINAAMC CSI 30 INDEX CEF 92189f759 317 6972 SH OTR 0 0 6972 VANECK VECTORS GOLD MINERS ETF INDEX CEF 92189f106 448 19495 SH OTR 0 0 19495 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 134 4000 SH SOLE 4000 0 0 VANECK VECTORS JR GOLD MINERS INDEX CEF 92189f791 1478 44000 SH OTR 0 0 44000 VANGUARD DIVIDEND APPRECIATION INDEX CEF 921908844 3040 32066 SH SOLE 32066 0 0 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 11395 261544 SH SOLE 258328 0 3216 VANGUARD FTSE EMERGING MARKETS INDEX CEF 922042858 3642 83591 SH OTR 0 0 83591 VANGUARD HIGH DIVIDEND YIELD E INDEX CEF 921946406 232 2860 SH SOLE 2860 0 0 VANGUARD INDEX FUNDS VANGUARD INDEX CEF 922908736 2624 19770 SH SOLE 19770 0 0 VANGUARD MEGA CAP GROWTH ETF INDEX CEF 921910816 847 8085 SH SOLE 8085 0 0 VANGUARD S&P 500 ETF INDEX CEF 922908363 831 3600 SH SOLE 3600 0 0 VANGUARD S&P MID CAP 400 ETF INDEX CEF 921932885 2900 24000 SH OTR 0 0 24000 VANGUARD S&P MID CAP 400 VALUE INDEX CEF 921932844 2813 24000 SH OTR 0 0 24000 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 68 526 SH SOLE 526 0 0 VANGUARD TOTAL STOCK MARKET ET INDEX CEF 922908769 2201 16992 SH OTR 0 0 16992 VANGUARD VALUE ETF INDEX CEF 922908744 8002 80163 SH SOLE 80163 0 0 VANGUARD VALUE ETF INDEX CEF 922908744 405 4058 SH OTR 0 0 4058 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 2286 35325 SH SOLE 35325 0 0 WISDOMTREE EUROPE HEDGED EQTY INDEX CEF 97717x701 19 300 SH OTR 0 0 300 WISDOMTREE INDIA EARNINGS ETF INDEX CEF 97717w422 1564 62147 SH OTR 0 0 62147 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 7133 130395 SH SOLE 127884 0 2511 WISDOMTREE JAPAN HEDGED EQUITY INDEX CEF 97717w851 600 10974 SH OTR 0 0 10974 WISDOMTREE US DIV EX FINANCAL INDEX CEF 97717w406 607 7200 SH SOLE 7200 0 0 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 7061 67024 SH SOLE 64900 0 2124 ISHARES 1-3 YEAR CREDIT BOND E ETF 464288646 659 6258 SH OTR 0 0 6258 ISHARES CORE US AGGREGATE BOND ETF 464287226 4023 36713 SH SOLE 19768 0 16945 ISHARES FLOATING RATE BOND ETF ETF 46429b655 207 4055 SH SOLE 4055 0 0 ISHARES FLOATING RATE BOND ETF ETF 46429b655 164 3215 SH OTR 0 0 3215 ISHARES IBOXX INVT GRADE BOND ETF 464287242 2777 22906 SH SOLE 12881 0 10025 ISHARES IBOXX INVT GRADE BOND ETF 464287242 74 611 SH OTR 0 0 611 ISHARES S&P U S PFD FUND S&P U ETF 464288687 1856 47824 SH SOLE 47824 0 0 ISHARES TIPS BOND ETF ETF 464287176 3149 27728 SH SOLE 13864 0 13864 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 7230 71204 SH SOLE 70143 0 1061 PIMCO 0-5 YEAR HIGH YLD BND ID ETF 72201r783 387 3813 SH OTR 0 0 3813 PIMCO ACTIVE BOND ETF ETF 72201r775 6938 64985 SH SOLE 63224 0 1761 PIMCO ACTIVE BOND ETF ETF 72201r775 563 5275 SH OTR 135 0 0 PIMCO ENHANCED SHRT MATURTY AC ETF 72201r833 1420 13952 SH SOLE 13952 0 0 PIMCO ENHANCED SHRT MATURTY AC ETF 72201r833 442 4344 SH OTR 0 0 4344 POWERSHARES FINANCIAL PREFERRE ETF 73935x229 617 32505 SH SOLE 32505 0 0 POWERSHARES INTL CORPORATE BON ETF 73936q835 399 14760 SH SOLE 12390 0 2370 POWERSHARES INTL CORPORATE BON ETF 73936q835 74 2720 SH OTR 0 0 2720 POWERSHARES SENIOR LOAN ETF ETF 73936q769 848 36603 SH SOLE 36603 0 0 POWERSHARES SENIOR LOAN ETF ETF 73936q769 127 5465 SH OTR 0 0 5465 SPDR BLMBRG BRCLY SHT TRM HGH ETF 78468r408 4178 149375 SH SOLE 149275 0 100 SPDR BLMBRG BRCLY SHT TRM HGH ETF 78468r408 245 8757 SH OTR 0 0 8757 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 5028 102058 SH SOLE 97615 0 4443 SPDR DOUBLELINE TTL RTRN TTCL ETF 78467v848 232 4715 SH OTR 0 0 4715 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 3894 48595 SH SOLE 48112 0 483 VANGUARD SCOTTSDALE FUNDS VANG ETF 92206c409 157 1957 SH OTR 0 0 1957 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 1476 27041 SH SOLE 26965 0 76 VANGUARD TOTAL INTERNATIONAL B ETF 92203j407 16 296 SH OTR 0 0 296 APOLLO GLOBAL MGMT LP LP 037612306 416 13815 SH OTR 0 0 13815 BLACKSTONE GROUP LP LP LP 09253u108 574 17200 SH SOLE 17200 0 0 BLACKSTONE GROUP LP LP LP 09253u108 1171 35089 SH OTR 0 0 35089 CARLYLE GROUP LP LP 14309l102 205 8698 SH OTR 0 0 8698 KKR & CO LP LP LP 48248m102 604 29700 SH SOLE 29700 0 0 KKR & CO LP LP LP 48248m102 365 17941 SH OTR 0 0 17941 POPE RESOURCES DEP LP LP 732857107 1378 19597 SH OTR 0 0 19597 Riverside Foxmoor Associates LP 000000000 0 85953 SH OTR 0 0 85953 WILLIAMS PARTNERS LP LP LP 96949l105 7752 199277 SH OTR 0 0 199277 FARM CREDIT BANK O 0PFD DUE 1 PFD 30767e307 1952 1600 SH SOLE 1600 0 0 HILLMAN GRP 11.6 PFD DUE 09/30 PFD 43162l206 391 11402 SH OTR 0 0 11402 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 2000000 SH SOLE 0 0 500000 ALLIANCEBERNSTEIN NTNL M NON-TAX CEF 01864u106 248 17740 SH SOLE 17740 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 322 21760 SH SOLE 21760 0 0 BLACKOCK MUNIHOLDINGS IN NON-TAX CEF 09254p108 94 6380 SH OTR 0 0 6380 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 234 16145 SH SOLE 16145 0 0 BLACKROCK CALIFORNIA MUN NON-TAX CEF 09248e102 78 5400 SH OTR 0 0 5400 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 442 30920 SH SOLE 29590 0 1330 BLACKROCK MUNICIPAL INCO NON-TAX CEF 09248f109 2978 208542 SH OTR 0 0 208542 BLACKROCK MUNIHLDG CALIF NON-TAX CEF 09254l107 247 16660 SH SOLE 16660 0 0 BLACKROCK MUNIHLDG CALIF NON-TAX CEF 09254l107 101 6805 SH OTR 0 0 6805 BLACKROCK MUNIHOLDINGS C NON-TAX CEF 09253n104 179 10370 SH SOLE 10370 0 0 BLACKROCK MUNIHOLDINGS Q NON-TAX CEF 09254c107 195 14010 SH SOLE 12750 0 1260 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 574 37131 SH SOLE 37131 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254n103 6034 390571 SH OTR 0 0 390571 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 678 43853 SH SOLE 43853 0 0 BLACKROCK MUNIYIELD CALI NON-TAX CEF 09254m105 1899 122900 SH OTR 0 0 122900 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 258 17130 SH SOLE 17130 0 0 BLACKROCK MUNIYIELD CF NON-TAX CEF 09253w104 99 6570 SH OTR 0 0 6570 BLACKROCK MUNIYIELD QUAL NON-TAX CEF 09254e103 367 25620 SH SOLE 25620 0 0 BLACKROCK MUNIYIELD QUAL NON-TAX CEF 09254e103 95 6655 SH OTR 0 0 6655 BLACKROCK MUNIYLD QUALIT NON-TAX CEF 09254g108 206 15430 SH SOLE 15430 0 0 DEUTSCHE MUNI INCOME TR NON-TAX CEF 25160c106 340 26720 SH SOLE 26720 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 26202f107 235 27740 SH SOLE 27740 0 0 DREYFUS STRATEGIC MUNICI NON-TAX CEF 261932107 233 26460 SH SOLE 26460 0 0 EATON VANCE CALF MUN INCOME TR NON-TAX CEF 27826f101 308 24686 SH SOLE 24686 0 0 EATON VANCE CALIF MUNICI NON-TAX CEF 27828a100 160 13310 SH SOLE 13310 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 694 52865 SH SOLE 52865 0 0 INVESCO CALIFORNIA VALUE MUNIC NON-TAX CEF 46132h106 39 2962 SH OTR 0 0 2962 INVESCO MUNI OPPORTUNITY TRUST NON-TAX CEF 46132c107 160 12270 SH SOLE 12270 0 0 INVESCO QLTY MUN INCM TR SBI NON-TAX CEF 46133g107 136 10590 SH SOLE 10590 0 0 INVESCO TRUST FOR INVT GRADE M NON-TAX CEF 46131m106 144 10760 SH SOLE 10760 0 0 INVESCO TRUST FOR INVT GRADE M NON-TAX CEF 46131m106 101 7560 SH OTR 0 0 7560 INVESCO VALUE MUNI INCM TRUST NON-TAX CEF 46132p108 172 11500 SH SOLE 11500 0 0 NUVEEN AMT FREE MNCPL CR NON-TAX CEF 67071l106 362 23490 SH SOLE 22316 0 1174 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 695 50175 SH SOLE 50175 0 0 NUVEEN AMT FREE QUALITY NON-TAX CEF 670657105 51 3700 SH OTR 0 0 3700 NUVEEN CLIFORNIA QULTY M NON-TAX CEF 67066y105 1003 67223 SH SOLE 65083 0 2140 NUVEEN CLIFORNIA QULTY M NON-TAX CEF 67066y105 36 2391 SH OTR 0 0 2391 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 324 22020 SH SOLE 20860 0 1160 NUVEEN ENHANCED MUNICIPA NON-TAX CEF 67074m101 99 6715 SH OTR 0 0 6715 NUVEEN MUNI HIGH INC OPP NON-TAX CEF 670682103 315 23140 SH SOLE 23140 0 0 NUVEEN QUALITY MUNICIPAL NON-TAX CEF 67066v101 707 49840 SH SOLE 49840 0 0 NUVEN CALIFOR AMT FREE Q NON-TAX CEF 670651108 269 17069 SH SOLE 17069 0 0 NUVEN CALIFOR AMT FREE Q NON-TAX CEF 670651108 0 17 SH OTR 0 0 17 PIMCO CALIFOR MUNI INCM NON-TAX CEF 72201c109 153 14040 SH SOLE 12400 0 1640 PIMCO MUNICIPAL INCOME C NON-TAX CEF 72200r107 252 18413 SH OTR 0 0 18413 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72200w106 352 26745 SH SOLE 26745 0 0 PIMCO MUNICIPAL INCOME I NON-TAX CEF 72201a103 141 11910 SH SOLE 11910 0 0 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 445 31780 SH SOLE 31780 0 0 WESTERN ASST MNGD MUNCPL NON-TAX CEF 95766m105 91 6520 SH OTR 0 0 6520 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 446 19075 SH SOLE 19075 0 0 BLACKROCK TAXABL MUNI BN TAXABLE MUNI CEF 09248x100 194 8294 SH OTR 0 0 8294 1/100000 INSIGHT SEL INC TAXABLE CEF efh81w105 0 49520 SH OTR 0 0 49520 BLACKROCK CORPORATE HIGH TAXABLE CEF 09255p107 181 16022 SH SOLE 16022 0 0 BLACKROCK CREDIT ALLOCAT TAXABLE CEF 092508100 530 39080 SH SOLE 39080 0 0 BLACKROCK CREDIT ALLOCAT TAXABLE CEF 092508100 2 178 SH OTR 0 0 178 BLACKROCK LIMITED DURATI TAXABLE CEF 09249w101 165 10212 SH SOLE 10212 0 0 BROOKFIELD REAL ASSETS I TAXABLE CEF 112830104 361 15195 SH SOLE 15195 0 0 CALAMOS CONVERTIBLE AND TAXABLE CEF 12811p108 438 36840 SH SOLE 36840 0 0 CALAMOS CONVERTIBLE AND TAXABLE CEF 12811p108 43 3625 SH OTR 0 0 3625 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 535 46375 SH SOLE 46375 0 0 CALAMOS CONVERTIBLE OPPO TAXABLE CEF 128117108 91 7900 SH OTR 0 0 7900 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 293 13790 SH SOLE 13790 0 0 DOUBLELINE INCOME SOLUTI TAXABLE CEF 258622109 494 23250 SH OTR 0 0 23250 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 85 6089 SH SOLE 3855 0 2234 EATON VANCE LIMITED DURA TAXABLE CEF 27828h105 163 11620 SH OTR 0 0 11620 FIRST TRUST INT DUR PRF TAXABLE CEF 33718w103 343 13868 SH SOLE 13868 0 0 IVY HIGH INCOME OPPORTUN TAXABLE CEF 465893105 169 10585 SH SOLE 10585 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 228 21587 SH SOLE 21587 0 0 NUVEEN PREFERRED INCOME TAXABLE CEF 67073b106 102 9649 SH OTR 0 0 9649 NUVEEN QUALITY PREFERRED TAXABLE CEF 67072c105 170 16301 SH SOLE 16301 0 0 NUVEEN SENIOR INCOME CF TAXABLE CEF 67067y104 67 10000 SH OTR 0 0 10000 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 144 8587 SH SOLE 8587 0 0 PIMCO CORPORATE OPPORTUN TAXABLE CEF 72201b101 483 28775 SH OTR 0 0 28775 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 136 5888 SH SOLE 5888 0 0 PIMCO DYNMC CRDT AND MRT TAXABLE CEF 72202d106 311 13500 SH OTR 0 0 13500 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 161 6101 SH SOLE 6101 0 0 PIMCO INCOME OPPORTUNITY TAXABLE CEF 72202b100 87 3300 SH OTR 0 0 3300 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 173 16144 SH SOLE 16144 0 0 PIMCO INCOME STRATEGY II TAXABLE CEF 72201j104 30 2833 SH OTR 0 0 2833 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 168 19197 SH SOLE 11300 0 7897 WELLS FARGO INCOME OPPOR TAXABLE CEF 94987b105 3 300 SH OTR 0 0 300 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 38 2795 SH SOLE 1098 0 1697 WELLS FARGO MULTI SECTOR TAXABLE CEF 94987d101 105 7844 SH OTR 0 0 7844 WESTERN ASST HIGH INCM I TAXABLE CEF 95766j102 88 12160 SH SOLE 12160 0 0 WESTRN ASST HIGH INCM OP TAXABLE CEF 95766k109 76 14810 SH SOLE 14810 0 0 BLACKROCK ENHANCED EQUIT CEFS 09251a104 465 51271 SH OTR 0 0 51271 BLACKROCK ENHANCED GLOBA CEFS 092501105 54 4000 SH SOLE 4000 0 0 BLACKROCK ENHANCED GLOBA CEFS 092501105 1246 91873 SH OTR 0 0 91873 BLACKROCK ENHANCED INTER CEFS 092524107 548 83568 SH OTR 0 0 83568 BLACKROCK ENHCD CAPITL A CEFS 09256a109 243 15600 SH SOLE 15600 0 0 CLOUGH GLOBAL OPPORTUNIT CEFS 18914e106 138 12400 SH OTR 0 0 12400 COHEN MLP INCOME AND ENE CEFS 19249b106 208 19980 SH SOLE 17900 0 2080 EATON VANCE RISK MAN DIV CEFS 27829g106 107 11350 SH SOLE 11350 0 0 EATON VANCE RISK MAN DIV CEFS 27829g106 66 7000 SH OTR 0 0 7000 EATON VNCE MGD GLBL BUY CEFS 27829c105 274 23100 SH SOLE 23100 0 0 FIDUCIARY/CLAYMORE MLP O CEFS 31647q106 377 29185 SH SOLE 29185 0 0 JOHN HANCOCK PREMIUM DIV CEFS 41013t105 304 18000 SH SOLE 18000 0 0 LIBERTY ALL STAR EQUITY CEFS 530158104 238 39462 SH SOLE 39462 0 0 LIBERTY ALL STAR EQUITY CEFS 530158104 16 2700 SH OTR 0 0 2700 MORGAN STANLEY ASIA PACI CEFS 61744u106 603 35000 SH OTR 0 0 35000 ROYCE VALUE CF CEFS 780910105 166 10500 SH SOLE 10500 0 0 CENTRAL FUND CDA CF COMMOD TXBLE CEF 153501101 3451 272400 SH OTR 0 0 272400 SPROTT PHYSICAL GOLD ETV COMMOD TXBLE CEF 85207h104 829 79394 SH OTR 0 0 79394 VANECK VECTORS HIGH YIELD MUN ETF 92189f361 252 8050 SH SOLE 8050 0 0 VANECK VECTORS RUSSIA ETF ETFS 92189f403 2655 119119 SH OTR 0 0 119119 ISHARES GOLD ETF ETF 464285105 52 4244 SH SOLE 4244 0 0 ISHARES GOLD ETF ETF 464285105 185 15000 SH OTR 0 0 15000 ISHARES SILVER TRUST ETF ETF 46428q109 13 840 SH SOLE 840 0 0 ISHARES SILVER TRUST ETF ETF 46428q109 161 10255 SH OTR 0 0 10255 PROSHARES ULTRA SILVER ETF ETF 74347w353 43 1300 SH SOLE 1300 0 0 PROSHARES ULTRA SILVER ETF ETF 74347w353 166 5000 SH OTR 0 0 5000 SPDR GOLD SHARES ETF ETF 78463v107 316 2596 SH SOLE 2596 0 0 SPDR GOLD SHARES ETF ETF 78463v107 222 1825 SH OTR 0 0 1825 EATON VANCE TAX ADVANTAG CEFS 27828g107 1173 53023 SH SOLE 51223 0 1800 EATON VANCE TAX ADVANTAG CEFS 27828g107 244 11005 SH OTR 1800 0 11005 EATON VANCE TX ADVNT GLB CEFS 27828u106 579 23545 SH SOLE 23545 0 0 EATON VANCE TX ADVNT GLB CEFS 27828u106 284 11545 SH OTR 0 0 11545 GABELLI EQUITY CF CEFS 362397101 798 122783 SH SOLE 122783 0 0 GABELLI EQUITY CF CEFS 362397101 1016 156308 SH OTR 0 0 156308 NUVEEN TAX ADVNTGD DIVDN CEFS 67073g105 252 14970 SH SOLE 14970 0 0 Q L T INC WTS F WARRANTS EXP U WT 746992171 0 30000 SH OTR 0 0 30000 Q L T INC WTS F WARRANTS EXP U WT 746992189 0 30000 SH OTR 0 0 30000 ALTAIR - CLO EQUITY FUND ETF 000000000 75 79176 SH OTR 0 0 79176 ALTAIR - DIRECT LENDINGFUND LL ETF zzc99d246 154 118049 SH OTR 0 0 118049 ALTAIR - GOLUB CAPITAL VIIILP ETF 92299q117 222 221387 SH OTR 0 0 221387 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 114 94410 SH OTR 0 0 94410 ALTAIR - PACIFIC COAST CAP PTN ETF 92299r115 114 94410 SH OTR 0 0 94410 ALTAIR - SECONDARIES FUND ETF 000000000 43 25743 SH OTR 0 0 25743 ALTAIR - SENIOR HOUSING FUND I ETF 021LU1558 73 74744 SH OTR 0 0 74744 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 109 93587 SH OTR 0 0 93587 ALTAIR - SPECIAL OPPORTUNITY ETF zzc99d246 273 233968 SH OTR 0 0 233968 ISHARES COHEN AND STEERS REIT ETF 464287564 2371 23552 SH SOLE 23180 0 372 ISHARES COHEN AND STEERS REIT ETF 464287564 132 1311 SH OTR 0 0 1311 ISHARES US REAL ESTATE ETF ETF 464287739 399 5000 SH SOLE 5000 0 0 VANGUARD REIT ETF ETF 922908553 1616 19449 SH SOLE 19129 0 320 VANGUARD REIT ETF ETF 922908553 62 750 SH OTR 0 0 750