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