0001085146-12-000829.txt : 20120607
0001085146-12-000829.hdr.sgml : 20120607
20120607081139
ACCESSION NUMBER: 0001085146-12-000829
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120331
FILED AS OF DATE: 20120607
DATE AS OF CHANGE: 20120607
EFFECTIVENESS DATE: 20120607
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BROKERSXPRESS LLC
CENTRAL INDEX KEY: 0001231829
IRS NUMBER: 320070204
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14992
FILM NUMBER: 12893248
BUSINESS ADDRESS:
STREET 1: 311 W. MONROE ST.- SUITE 1000
CITY: CHICAGO
STATE: IL
ZIP: 60606
BUSINESS PHONE: 512-682-5968
MAIL ADDRESS:
STREET 1: 311 W. MONROE ST.- SUITE 1000
CITY: CHICAGO
STATE: IL
ZIP: 60606
13F-HR
1
brokerx1q2012.txt
BROKERSXPRESS, LLC
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2012
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: brokersXpress, LLC
Address: 311 W. Monroe St., Suite 1000
Chicago, IL 60606
13F File Number: 028-14992
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Barry Metzger
Title: CEO
Phone: 888-280-7030
Signature, Place, and Date of Signing:
/s/ Barry Metzger Chicago, IL May 31, 2012
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 157
Form 13F Information Table Value Total: $83,384 (thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional managers with respect to which this report is filed, other
than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ABBOTT LABS COM 002824100 477 7781 SH SOLE 0 0 7781
ALCOA INC COM 013817101 172 17144 SH SOLE 0 0 17144
ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 3411 416538 SH SOLE 0 0 416538
AMERICAN CAP LTD COM 02503Y103 152 17527 SH SOLE 0 0 17527
AMERICAN EXPRESS CO COM 025816109 3 46 SH SOLE 0 0 46
AMERICAN EXPRESS CO COM 025816109 3 26100 SH CALL SOLE 0 0 26100
AMERICAN STRATEGIC INCOME II COM 03009T101 124 17700 SH SOLE 0 0 17700
AMERN STRATEGIC INCOME PTFL COM 030099105 196 23600 SH SOLE 0 0 23600
ANNALY CAP MGMT INC COM 035710409 472 29828 SH SOLE 0 0 29828
APPLE INC COM 037833100 22046 36771 SH SOLE 0 0 36771
APPLE INC COM 037833100 303 2800 SH CALL SOLE 0 0 2800
AT&T INC COM 00206R102 582 18621 SH SOLE 0 0 18621
BANK OF AMERICA CORPORATION COM 060505104 674 70446 SH SOLE 0 0 70446
BANK OF AMERICA CORPORATION COM 060505104 37 13500 SH CALL SOLE 0 0 13500
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 611 36425 SH SOLE 0 0 36425
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 229 2814 SH SOLE 0 0 2814
BLACKROCK CORPOR HI YLD FD V COM 09255N102 293 23386 SH SOLE 0 0 23386
BOSTON SCIENTIFIC CORP COM 101137107 100 16740 SH SOLE 0 0 16740
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 204 1631 SH SOLE 0 0 1631
BRISTOL MYERS SQUIBB CO COM 110122108 229 6791 SH SOLE 0 0 6791
BUCKLE INC COM 118440106 261 5455 SH SOLE 0 0 5455
CAPSTEAD MTG CORP COM NO PAR 14067E506 201 15300 SH SOLE 0 0 15300
CAPSTONE TURBINE CORP COM 14067D102 10 10000 SH SOLE 0 0 10000
CATERPILLAR INC DEL COM 149123101 299 2805 SH SOLE 0 0 2805
CBS CORP NEW CL B 124857202 436 12857 SH SOLE 0 0 12857
CHEVRON CORP NEW COM 166764100 1301 12132 SH SOLE 0 0 12132
CHEVRON CORP NEW COM 166764100 50 11000 SH CALL SOLE 0 0 11000
CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 433 10014 SH SOLE 0 0 10014
CHIMERA INVT CORP COM 16934Q109 42 14670 SH SOLE 0 0 14670
CISCO SYS INC COM 17275R102 561 26535 SH SOLE 0 0 26535
CISCO SYS INC COM 17275R102 3 500 SH CALL SOLE 0 0 500
CNH GLOBAL N V SHS NEW N20935206 357 8993 SH SOLE 0 0 8993
COHEN & STEERS QUALITY RLTY COM 19247L106 262 26726 SH SOLE 0 0 26726
COLGATE PALMOLIVE CO COM 194162103 247 2523 SH SOLE 0 0 2523
CONOCOPHILLIPS COM 20825C104 1334 17543 SH SOLE 0 0 17543
CONOCOPHILLIPS COM 20825C104 9 1300 SH CALL SOLE 0 0 1300
COOPER COS INC COM NEW 216648402 386 4721 SH SOLE 0 0 4721
CORINTHIAN COLLEGES INC COM 218868107 54 13000 SH SOLE 0 0 13000
CORNING INC COM 219350105 238 16868 SH SOLE 0 0 16868
CORNING INC COM 219350105 3 14900 SH PUT SOLE 0 0 14900
COSTCO WHSL CORP NEW COM 22160K105 224 2470 SH SOLE 0 0 2470
CRIMSON EXPLORATION INC COM NEW 22662K207 359 86500 SH SOLE 0 0 86500
DELAWARE INV MN MUN INC FD I COM 24610V103 169 11900 SH SOLE 0 0 11900
DIAMOND FOODS INC COM 252603105 25 14000 SH CALL SOLE 0 0 14000
DIVIDEND & INCOME FD INC COM 25538A105 96 26500 SH SOLE 0 0 26500
DRYSHIPS INC SHS Y2109Q101 148 42800 SH SOLE 0 0 42800
E HOUSE CHINA HLDGS LTD ADR 26852W103 76 13100 SH SOLE 0 0 13100
E TRADE FINANCIAL CORP COM NEW 269246401 188 17210 SH SOLE 0 0 17210
EATON VANCE ENH EQTY INC FD COM 278277108 111 10200 SH SOLE 0 0 10200
EATON VANCE RISK MNGD DIV EQ COM 27829G106 302 28550 SH SOLE 0 0 28550
EATON VANCE SH TM DR DIVR IN COM 27828V104 301 17629 SH SOLE 0 0 17629
EATON VANCE TAX MNGD GBL DV COM 27829F108 264 29682 SH SOLE 0 0 29682
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 511 10889 SH SOLE 0 0 10889
ENERPLUS CORP COM 292766102 232 10375 SH SOLE 0 0 10375
ENTERPRISE PRODS PARTNERS L COM 293792107 645 12780 SH SOLE 0 0 12780
EUROSEAS LTD COM NEW Y23592200 53 23200 SH SOLE 0 0 23200
EXELON CORP COM 30161N101 320 8170 SH SOLE 0 0 8170
EXXON MOBIL CORP COM 30231G102 7307 84253 SH SOLE 0 0 84253
FLAHERTY & CRMN/CLYMR PFD SE COM SHS 338478100 699 38724 SH SOLE 0 0 38724
FORD MTR CO DEL COM PAR $0.01 345370860 125 10083 SH SOLE 0 0 10083
FREEPORT-MCMORAN COPPER & GO COM 35671D857 362 9522 SH SOLE 0 0 9522
FRONTLINE LTD SHS G3682E127 56 7200 SH SOLE 0 0 7200
FRONTLINE LTD SHS G3682E127 5 10000 SH CALL SOLE 0 0 10000
FRONTLINE LTD SHS G3682E127 0 4700 SH PUT SOLE 0 0 4700
GENERAL DYNAMICS CORP COM 369550108 361 4926 SH SOLE 0 0 4926
GENERAL ELECTRIC CO COM 369604103 670 33397 SH SOLE 0 0 33397
GENON ENERGY INC COM 37244E107 51 24286 SH SOLE 0 0 24286
GLADSTONE CAPITAL CORP COM 376535100 91 11250 SH SOLE 0 0 11250
GOLDCORP INC NEW COM 380956409 588 13030 SH SOLE 0 0 13030
GOLDCORP INC NEW COM 380956409 0 1000 SH CALL SOLE 0 0 1000
GRACE W R & CO DEL NEW COM 38388F108 424 7330 SH SOLE 0 0 7330
GREEN MTN COFFEE ROASTERS IN COM 393122106 201 4282 SH SOLE 0 0 4282
HALLIBURTON CO COM 406216101 324 9741 SH SOLE 0 0 9741
HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 549 25207 SH SOLE 0 0 25207
HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 315 17760 SH SOLE 0 0 17760
INSPERITY INC COM 45778Q107 394 12846 SH SOLE 0 0 12846
INTEL CORP COM 458140100 572 20331 SH SOLE 0 0 20331
INTERNATIONAL BUSINESS MACHS COM 459200101 334 1600 SH SOLE 0 0 1600
ISHARES TR COHEN&ST RLTY 464287564 477 6228 SH SOLE 0 0 6228
ISHARES TR MSCI EAFE INDEX 464287465 478 8707 SH SOLE 0 0 8707
ISHARES TR RUSSELL 2000 464287655 137 1656 SH SOLE 0 0 1656
ISHARES TR RUSSELL 2000 464287655 8 92500 SH CALL SOLE 0 0 92500
ISHARES TR RUSSELL 2000 464287655 7 92000 SH PUT SOLE 0 0 92000
ISHARES TR S&P MIDCAP 400 464287507 305 3069 SH SOLE 0 0 3069
ISHARES TR S&P SH NTL AMTFR 464288158 298 2800 SH SOLE 0 0 2800
ISHARES TR US PFD STK IDX 464288687 519 13300 SH SOLE 0 0 13300
JOHNSON & JOHNSON COM 478160104 271 4101 SH SOLE 0 0 4101
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 355 4294 SH SOLE 0 0 4294
LAS VEGAS SANDS CORP COM 517834107 2003 34795 SH SOLE 0 0 34795
LAS VEGAS SANDS CORP COM 517834107 2 200 SH CALL SOLE 0 0 200
LULULEMON ATHLETICA INC COM 550021109 921 12318 SH SOLE 0 0 12318
LULULEMON ATHLETICA INC COM 550021109 41 31100 SH CALL SOLE 0 0 31100
MAGICJACK VOCALTEC LTD SHS M6787E101 384 17700 SH SOLE 0 0 17700
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 810 51536 SH SOLE 0 0 51536
MCDONALDS CORP COM 580135101 1016 10354 SH SOLE 0 0 10354
MEDICAL PPTYS TRUST INC COM 58463J304 206 22160 SH SOLE 0 0 22160
MEMC ELECTR MATLS INC COM 552715104 51 14100 SH SOLE 0 0 14100
MFS INTER INCOME TR SH BEN INT 55273C107 112 17477 SH SOLE 0 0 17477
MICRON TECHNOLOGY INC COM 595112103 478 59117 SH SOLE 0 0 59117
MICROSOFT CORP COM 594918104 258 8026 SH SOLE 0 0 8026
MICROSOFT CORP COM 594918104 10 2000 SH CALL SOLE 0 0 2000
MICROSOFT CORP COM 594918104 10 3000 SH PUT SOLE 0 0 3000
NAVIDEA BIOPHARMACEUTICALS I COM 63937X103 164 50000 SH SOLE 0 0 50000
NAVIOS MARITIME HOLDINGS INC COM Y62196103 44 10500 SH SOLE 0 0 10500
NEXTERA ENERGY INC COM 65339F101 204 3342 SH SOLE 0 0 3342
NOKIA CORP SPONSORED ADR 654902204 166 30210 SH SOLE 0 0 30210
NOKIA CORP SPONSORED ADR 654902204 9 15000 SH PUT SOLE 0 0 15000
NSTAR COM 67019E107 261 5374 SH SOLE 0 0 5374
NUVEEN MTG OPPORTUNITY TERM COM 670735109 889 38033 SH SOLE 0 0 38033
NUVEEN MUN OPPORTUNITY FD IN COM 670984103 287 19650 SH SOLE 0 0 19650
NVIDIA CORP COM 67066G104 204 13260 SH SOLE 0 0 13260
OMNIVISION TECHNOLOGIES INC COM 682128103 280 14000 SH SOLE 0 0 14000
ONE LIBERTY PPTYS INC COM 682406103 199 10900 SH SOLE 0 0 10900
PACHOLDER HIGH YIELD FD INC COM 693742108 507 56314 SH SOLE 0 0 56314
PATRIOT COAL CORP COM 70336T104 303 48600 SH SOLE 0 0 48600
PEPCO HOLDINGS INC COM 713291102 197 10433 SH SOLE 0 0 10433
PETROLEUM & RES CORP COM 716549100 517 19891 SH SOLE 0 0 19891
PFIZER INC COM 717081103 346 15280 SH SOLE 0 0 15280
POWER ONE INC NEW COM 73930R102 58 12645 SH SOLE 0 0 12645
POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 280 9706 SH SOLE 0 0 9706
POWERSHARES ETF TRUST DYNAMIC MKT PT 73935X104 642 13760 SH SOLE 0 0 13760
PROCTER & GAMBLE CO COM 742718109 211 3135 SH SOLE 0 0 3135
PROSHARES TR SHRT 20+YR TRE 74347X849 336 10111 SH SOLE 0 0 10111
PROSPECT CAPITAL CORPORATION COM 74348T102 127 11570 SH SOLE 0 0 11570
QUALCOMM INC COM 747525103 29 424 SH SOLE 0 0 424
QUALCOMM INC COM 747525103 9 30500 SH CALL SOLE 0 0 30500
RAYTHEON CO COM NEW 755111507 212 4024 SH SOLE 0 0 4024
RED HAT INC COM 756577102 546 9125 SH SOLE 0 0 9125
RED HAT INC COM 756577102 1 100 SH CALL SOLE 0 0 100
RMR REAL ESTATE INCOME FUND COM 76970B101 395 24552 SH SOLE 0 0 24552
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 436 6084 SH SOLE 0 0 6084
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 662 41956 SH SOLE 0 0 41956
SIRIUS XM RADIO INC COM 82967N108 89 38500 SH SOLE 0 0 38500
SPDR GOLD TRUST GOLD SHS 78463V107 433 2669 SH SOLE 0 0 2669
SPDR GOLD TRUST GOLD SHS 78463V107 13 54500 SH CALL SOLE 0 0 54500
SPDR S&P 500 ETF TR TR UNIT 78462F103 24 93800 SH CALL SOLE 0 0 93800
SPDR S&P 500 ETF TR TR UNIT 78462F103 12 95300 SH PUT SOLE 0 0 95300
SPDR S&P 500 ETF TR TR UNIT 78462F103 914 6488 SH SOLE 0 0 6488
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 629 3478 SH SOLE 0 0 3478
SUN COMMUNITIES INC COM 866674104 217 5000 SH SOLE 0 0 5000
TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 208 5300 SH SOLE 0 0 5300
TEXTAINER GROUP HOLDINGS LTD SHS G8766E109 475 14018 SH SOLE 0 0 14018
TRANSOCEAN LTD REG SHS H8817H100 993 18164 SH SOLE 0 0 18164
TRANSOCEAN LTD REG SHS H8817H100 22 9500 SH PUT SOLE 0 0 9500
UNITED PARCEL SERVICE INC CL B 911312106 1259 15607 SH SOLE 0 0 15607
VANGUARD INDEX FDS TOTAL STK MKT 922908769 340 4705 SH SOLE 0 0 4705
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 351 8086 SH SOLE 0 0 8086
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 644 10998 SH SOLE 0 0 10998
VEECO INSTRS INC DEL COM 922417100 234 8200 SH SOLE 0 0 8200
VERIZON COMMUNICATIONS INC COM 92343V104 613 16024 SH SOLE 0 0 16024
W P CAREY & CO LLC COM 92930Y107 206 4425 SH SOLE 0 0 4425
WAL MART STORES INC COM 931142103 588 9604 SH SOLE 0 0 9604
WEATHERFORD INTERNATIONAL LT REG SHS H27013103 304 20160 SH SOLE 0 0 20160
WEIGHT WATCHERS INTL INC NEW COM 948626106 20 31500 SH CALL SOLE 0 0 31500
WISCONSIN ENERGY CORP COM 976657106 274 7786 SH SOLE 0 0 7786
WYNN RESORTS LTD COM 983134107 3 200 SH CALL SOLE 0 0 200
WYNN RESORTS LTD COM 983134107 2584 20690 SH SOLE 0 0 20690