Chief Compliance Officer

0001062993-14-000419.txt : 20140130 0001062993-14-000419.hdr.sgml : 20140130 20140130151719 ACCESSION NUMBER: 0001062993-14-000419 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140130 DATE AS OF CHANGE: 20140130 EFFECTIVENESS DATE: 20140130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: North Star Investment Management Corp. CENTRAL INDEX KEY: 0001342857 IRS NUMBER: 364467498 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12641 FILM NUMBER: 14560577 BUSINESS ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE # 1416 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-580-0900 MAIL ADDRESS: STREET 1: 20 N. WACKER DRIVE STREET 2: SUITE # 1416 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001342857 XXXXXXXX 12-31-2013 12-31-2013 North Star Investment Management Corp.

20 N. WACKER DRIVE SUITE # 1416 CHICAGO IL 60606

13F HOLDINGS REPORT 028-12641 N Peter G Contos II Chief Compliance Officer 312-580-1056 Peter G Contos II Chicago IL 01-30-2014 0 292 460233 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3m Company COM 88579Y101 1182 8429 SH SOLE 8429 0 0 A H Belo Corporation COM 001282102 4146 555032 SH SOLE 555032 0 0 A T & T Inc New COM 00206R102 3758 106881 SH SOLE 106881 0 0 ARC Document Solutions, Inc. COM 00191G103 671 81650 SH SOLE 81650 0 0 AbbVie Inc. Common Stock COM 00287Y109 1298 24571 SH SOLE 24571 0 0 Abbott Laboratories COM 002824100 2390 62360 SH SOLE 62360 0 0 Acme United Corp COM 004816104 5966 400432 SH SOLE 400432 0 0 Alamo Group Inc COM 011311107 1961 32312 SH SOLE 32312 0 0 Alaska Comm Sys Grp Inc. COM 01167P101 491 231440 SH SOLE 231440 0 0 Allied Motion Technologies, In COM 019330109 2834 227625 SH SOLE 227625 0 0 Alteva COM 02153V102 3069 375684 SH SOLE 375684 0 0 Altria Group Inc COM 02209S103 368 9593 SH SOLE 9593 0 0 Amer Electric Pwr Co Inc COM 025537101 3705 79263 SH SOLE 79263 0 0 Ameren Corporation COM 023608102 263 7264 SH SOLE 7264 0 0 Amersoftware Inc Cl A COM 029683109 4420 447800 SH SOLE 447800 0 0 Amgen Incorporated COM 031162100 2261 19819 SH SOLE 19819 0 0 Apache Corp COM 037411105 357 4150 SH SOLE 4150 0 0 Apple Inc COM 037833100 3273 5835 SH SOLE 5835 0 0 Archer-Daniels-Midlnd Co COM 039483102 372 8579 SH SOLE 8579 0 0 Artesian Resources Corporation COM 043113208 403 17552 SH SOLE 17552 0 0 Astro-Med Inc. COM 04638F108 613 45450 SH SOLE 45450 0 0 Avista Corp COM 05379B107 1156 41000 SH SOLE 41000 0 0 Bank Of America Corp COM 060505104 164 10529 SH SOLE 10529 0 0 Bankhawaii Corp COM 062540109 310 5250 SH SOLE 5250 0 0 Barry R G Corp Ohio COM 068798107 604 31275 SH SOLE 31275 0 0 Bel Fuse Inc Cl B Class B COM 077347300 1623 76175 SH SOLE 76175 0 0 Berkshire Hathaway B New Class COM 084670702 1177 9929 SH SOLE 9929 0 0 Berkshire Hathaway Incdel Cl A COM 084670108 712 4 SH SOLE 4 0 0 Biozone Pharmaceuticals, Inc. COM 09072E103 64 100000 SH SOLE 100000 0 0 Blackstone Group L P Comunit R COM 09253U108 237 7530 SH SOLE 7530 0 0 Boeing Co COM 097023105 351 2570 SH SOLE 2570 0 0 Bowl America Inc Class A COM 102565108 1176 82146 SH SOLE 82146 0 0 Bp Plc Adr F Sponsored Adr 1 A COM 055622104 734 15094 SH SOLE 15094 0 0 Bristol-Myers Squibb Co COM 110122108 2178 40977 SH SOLE 40977 0 0 C C A Industries COM 124867102 426 144497 SH SOLE 144497 0 0 C S X Corp COM 126408103 1479 51400 SH SOLE 51400 0 0 Campbell Soup Company COM 134429109 3848 88916 SH SOLE 88916 0 0 Campus Crest Communities, Inc. COM 13466Y105 1474 156600 SH SOLE 156600 0 0 Caterpillar Inc COM 149123101 581 6400 SH SOLE 6400 0 0 Cbo Holdings COM 12503M108 981 18882 SH SOLE 18882 0 0 Celgene Corp COM 151020104 2053 12150 SH SOLE 12150 0 0 Centerpoint Energy Inc COM 15189T107 611 26340 SH SOLE 26340 0 0 Central Garden & Pet Co Com COM 153527106 1104 160750 SH SOLE 160750 0 0 Chevron Corporation COM 166764100 1227 9823 SH SOLE 9823 0 0 ChromaDex Corporation COM 171077100 1088 716000 SH SOLE 716000 0 0 Cisco Systems Inc COM 17275R102 729 32508 SH SOLE 32508 0 0 Citigroup Inc New COM 172967424 1505 28890 SH SOLE 28890 0 0 Clorox Co Del COM 189054109 467 5039 SH SOLE 5039 0 0 Cme Group Inc Cl A Class A COM 12572Q105 489 6237 SH SOLE 6237 0 0 Coca Cola Company COM 191216100 806 19513 SH SOLE 19513 0 0 Conocophillips COM 20825C104 4349 61555 SH SOLE 61555 0 0 Cons Communication Hldgs COM 209034107 2669 135989 SH SOLE 135989 0 0 Corning Inc COM 219350105 1568 88000 SH SOLE 88000 0 0 Cowen Group, Inc. COM 223622101 715 182975 SH SOLE 182975 0 0 Crown Crafts Inc COM 228309100 614 79025 SH SOLE 79025 0 0 Cvr Partners Lp COM 126633106 254 15442 SH SOLE 15442 0 0 Deckers Outdoor COM 243537107 1351 16000 SH SOLE 16000 0 0 Deere & Company COM 244199105 448 4908 SH SOLE 4908 0 0 Deluxe Corp COM 248019101 1040 19925 SH SOLE 19925 0 0 Dennys Corp COM 24869P104 2527 351482 SH SOLE 351482 0 0 Detrex Corp COM 250685104 911 28255 SH SOLE 28255 0 0 Diebold Incorporated COM 253651103 1452 44000 SH SOLE 44000 0 0 Disney Walt Co COM 254687106 1616 21146 SH SOLE 21146 0 0 Dominion Resources Incva New COM 25746U109 221 3423 SH SOLE 3423 0 0 Donaldson Inc COM 257651109 687 15800 SH SOLE 15800 0 0 Douglas Dynamics COM 25960R105 990 58850 SH SOLE 58850 0 0 Dover Saddlery Inc COM 260412101 3176 593730 SH SOLE 593730 0 0 Dow Chemical Co COM 260543103 222 5000 SH SOLE 5000 0 0 Eastern Company COM 276317104 1598 100400 SH SOLE 100400 0 0 Ecology & Env Inc Cl A COM 278878103 1503 136597 SH SOLE 136597 0 0 Education Realty Trust Inc COM 28140H104 425 48225 SH SOLE 48225 0 0 Einstein Noah Rest. Grp COM 28257U104 707 48775 SH SOLE 48775 0 0 Electro Rent Corp COM 285218103 3015 162785 SH SOLE 162785 0 0 Eltekasa Shs Isin #no000310940 COM R2181G102 11 10000 SH SOLE 10000 0 0 Emerson Electric Co COM 291011104 211 3000 SH SOLE 3000 0 0 Empire Dist Elec Co. COM 291641108 392 17275 SH SOLE 17275 0 0 Energy Transfer Eq L.P. COM 29273V100 294 3600 SH SOLE 3600 0 0 Escalade Inc. COM 296056104 567 48175 SH SOLE 48175 0 0 Exelixis Inc. COM 30161Q104 67 11000 SH SOLE 11000 0 0 Exelon Corporation COM 30161N101 564 20585 SH SOLE 20585 0 0 Exxon Mobil Corporation COM 30231G102 4330 42786 SH SOLE 42786 0 0 F P L Group Incorporated COM 65339F101 488 5698 SH SOLE 5698 0 0 Facebook Inc COM 30303M102 246 4500 SH SOLE 4500 0 0 Fastenal Company COM 311900104 238 5000 SH SOLE 5000 0 0 Felcor Lodging Trust Inc COM 31430F101 616 75500 SH SOLE 75500 0 0 Flexsteel Inds Inc COM 339382103 497 16176 SH SOLE 16176 0 0 Ford Motor Company New COM 345370860 3345 216775 SH SOLE 216775 0 0 Freeport Mcmoran Copper& Gold COM 35671D857 5513 146090 SH SOLE 146090 0 0 Freightcar Amer Inc COM 357023100 1650 62000 SH SOLE 62000 0 0 Frischsrestaurants COM 358748101 837 32675 SH SOLE 32675 0 0 Gannett Co Inc COM 364730101 1420 48000 SH SOLE 48000 0 0 Gas Natural Inc. COM 367204104 1065 132575 SH SOLE 132575 0 0 Gencor Industries Inc. COM 368678108 678 71019 SH SOLE 71019 0 0 General Electric Company COM 369604103 9291 331463 SH SOLE 331463 0 0 General Mills Inc COM 370334104 766 15344 SH SOLE 15344 0 0 Gfi Group Inc COM 361652209 307 78600 SH SOLE 78600 0 0 Glaxosmithkline Adr Eachcnv In COM 37733W105 400 7500 SH SOLE 7500 0 0 Golub Capital Bdc, Inc. COM 38173M102 426 22275 SH SOLE 22275 0 0 Google Inc Class A COM 38259P508 900 803 SH SOLE 803 0 0 Government Ppty Incm Tr Reit COM 38376A103 2948 118650 SH SOLE 118650 0 0 Graham Corp COM 384556106 650 17900 SH SOLE 17900 0 0 Grainger W W Inc COM 384802104 330 1291 SH SOLE 1291 0 0 Great Lakes Dredge & Dock Corp COM 390607109 769 83625 SH SOLE 83625 0 0 Harte-Hanks Cmmnctns New COM 416196103 419 53600 SH SOLE 53600 0 0 Healthcare Svc Group Inc COM 421906108 1499 52843 SH SOLE 52843 0 0 Heritage Crystal Clean COM 42726M106 1279 62425 SH SOLE 62425 0 0 Hf2 Financial Management Inc COM 40421A104 638 62675 SH SOLE 62675 0 0 Houston Wire & Cable Co COM 44244K109 792 59225 SH SOLE 59225 0 0 Ingles Markets Inc. Cl A COM 457030104 414 15275 SH SOLE 15275 0 0 Intel Corp COM 458140100 4094 157738 SH SOLE 157738 0 0 Intersections, Inc. COM 460981301 495 63600 SH SOLE 63600 0 0 Intl Business Machines COM 459200101 2510 13379 SH SOLE 13379 0 0 Intl Game Technology COM 459902102 1762 97000 SH SOLE 97000 0 0 Jamba Inc COM 47023A309 1412 113635 SH SOLE 113635 0 0 Janus Cap Group Inc COM 47102X105 4840 391286 SH SOLE 391286 0 0 Johnson & Johnson COM 478160104 7840 85593 SH SOLE 85593 0 0 Johnson Outdoors Cl A Class A COM 479167108 1046 38818 SH SOLE 38818 0 0 Jpmorgan Chase & Co COM 46625H100 15489 264857 SH SOLE 264857 0 0 Kansas City Life Insurance Com COM 484836101 375 7850 SH SOLE 7850 0 0 Kewaunee Scientific Corp Frmly COM 492854104 755 48400 SH SOLE 48400 0 0 Kimberly-Clark Corp COM 494368103 3096 29636 SH SOLE 29636 0 0 Kinder Morgan Energy Partnersl COM 494550106 4170 51701 SH SOLE 51701 0 0 Kirby Corp Formerlykirby Expl COM 497266106 11989 120800 SH SOLE 120800 0 0 Koss Corporation COM 500692108 390 76450 SH SOLE 76450 0 0 Kraft Foods Group, Inc. COM 50076Q106 251 4647 SH SOLE 4647 0 0 LSI Industries Inc COM 50216C108 2709 312510 SH SOLE 312510 0 0 Landauer, Inc. COM 51476K103 618 11750 SH SOLE 11750 0 0 Landec Corp New COM 514766104 603 49725 SH SOLE 49725 0 0 Las Vegas Sands Corp COM 517834107 1213 15375 SH SOLE 15375 0 0 Leapfrog Enterprises Inc COM 52186N106 3082 388166 SH SOLE 388166 0 0 Lee Enterprises Inc Com Sh Cer COM 523768109 1294 373000 SH SOLE 373000 0 0 Lilly Eli & Co COM 532457108 367 7200 SH SOLE 7200 0 0 Mac Gray Corp COM 554153106 1040 48979 SH SOLE 48979 0 0 Marathon Patent Group Inc COM 56585W203 406 64379 SH SOLE 64379 0 0 Material Sciences Corporation COM 576674105 736 62320 SH SOLE 62320 0 0 Mb Finl Inc New COM 55264U108 6267 195467 SH SOLE 195467 0 0 Mc Donalds Corp COM 580135101 2881 29687 SH SOLE 29687 0 0 Medifast Inc. COM 58470H101 1655 63350 SH SOLE 63350 0 0 Merck & Co Inc New COM 58933Y105 1849 36942 SH SOLE 36942 0 0 Meredith Corp COM 589433101 208 4025 SH SOLE 4025 0 0 Mge Energy Inc COM 55277P104 1029 17825 SH SOLE 17825 0 0 Microsoft Corp COM 594918104 1307 34934 SH SOLE 34934 0 0 Middlesex Water Company COM 596680108 1358 64875 SH SOLE 64875 0 0 Miller Industries Inc COM 600551204 616 33050 SH SOLE 33050 0 0 Molina Healthcare Inc COM 60855R100 1425 41000 SH SOLE 41000 0 0 Molycorp, Inc COM 608753109 342 60900 SH SOLE 60900 0 0 Mondelez International, Inc. COM 609207105 261 7394 SH SOLE 7394 0 0 Monmouth Real Estate Investmen COM 609720107 1666 183325 SH SOLE 183325 0 0 Monro Muffler Brake Inc COM 610236101 1388 24627 SH SOLE 24627 0 0 Monroe Capital Corporation COM 610335101 432 35400 SH SOLE 35400 0 0 Murphy USA Inc COM 626755102 1330 32000 SH SOLE 32000 0 0 National Beverage Corp COM 635017106 667 33093 SH SOLE 33093 0 0 National Oilwell Varcoinc COM 637071101 1113 14000 SH SOLE 14000 0 0 National Security Group, Inc. COM 637546102 379 38131 SH SOLE 38131 0 0 Nestle S A Reg B Adr F 1 Adr R COM 641069406 610 8312 SH SOLE 8312 0 0 New Focus Auto Tech Holdgs COM G64545109 33 430500 SH SOLE 430500 0 0 O Reilly Automotive Inc COM 67103H107 257 2000 SH SOLE 2000 0 0 Old Republic Intl Corp COM 680223104 14401 833900 SH SOLE 833900 0 0 Oneok Partners L P Unitltd Par COM 68268N103 316 6000 SH SOLE 6000 0 0 Options Media Group COM 684008105 0 750000 SH SOLE 750000 0 0 Oracle Corporation COM 68389X105 212 5550 SH SOLE 5550 0 0 Orchids Paper Products Company COM 68572N104 395 12025 SH SOLE 12025 0 0 Orion Energy Systems Inc COM 686275108 4396 646400 SH SOLE 646400 0 0 Panera Bread Co Cl A COM 69840W108 371 2100 SH SOLE 2100 0 0 Paychex Inc COM 704326107 4288 94180 SH SOLE 94180 0 0 Pepsico Incorporated COM 713448108 1434 17293 SH SOLE 17293 0 0 Perceptron, Inc. COM 71361F100 1031 74300 SH SOLE 74300 0 0 Perrigo Co. COM G97822103 387 2520 SH SOLE 2520 0 0 Perry Ellis International Inc COM 288853104 1431 90625 SH SOLE 90625 0 0 Petmed Express Inc COM 716382106 1025 61625 SH SOLE 61625 0 0 Pfizer Incorporated COM 717081103 3803 124155 SH SOLE 124155 0 0 Philip Morris Intl Inc COM 718172109 311 3570 SH SOLE 3570 0 0 Phillips 66 COM 718546104 660 8559 SH SOLE 8559 0 0 Pioneer Power Solutions, Inc. COM 723836300 2227 216200 SH SOLE 216200 0 0 Plains All Amer. Pipeline Lp COM 726503105 953 18405 SH SOLE 18405 0 0 Pnc Finl Services Gp Inc COM 693475105 1528 19690 SH SOLE 19690 0 0 Potash Corp COM 73755L107 1795 54450 SH SOLE 54450 0 0 Pricesmart Inc COM 741511109 423 3662 SH SOLE 3662 0 0 Procter & Gamble COM 742718109 2596 31887 SH SOLE 31887 0 0 Professional Diversity Network COM 74312Y103 1636 354875 SH SOLE 354875 0 0 Psychemedics Corp Comnew COM 744375205 1310 89150 SH SOLE 89150 0 0 Qep Co Inc COM 74727K102 994 50950 SH SOLE 50950 0 0 Qualcomm Inc COM 747525103 466 6280 SH SOLE 6280 0 0 Rgc Resources Inc. COM 74955L103 604 31800 SH SOLE 31800 0 0 Rocky Mountain Chocolate Facto COM 774678403 407 35075 SH SOLE 35075 0 0 Rosetta Stone, Inc. COM 777780107 1390 113725 SH SOLE 113725 0 0 Royal Dutch Shell A Adrf Spons COM 780259206 2643 37085 SH SOLE 37085 0 0 SNAP Interactive, Inc. COM 83303W109 39 92000 SH SOLE 92000 0 0 Sanford Ltd. COM Q82719164 38 10000 SH SOLE 10000 0 0 Sector Spdr Tech Select Shares COM 81369Y803 241 6733 SH SOLE 6733 0 0 Seneca Foods Corp Cl A COM 817070501 715 22434 SH SOLE 22434 0 0 Senesco Technologies Inc. COM 817208507 481 80000 SH SOLE 80000 0 0 Sharps Compliance Corp. COM 820017101 517 109216 SH SOLE 109216 0 0 Simulations Plus Inc. COM 829214105 401 79417 SH SOLE 79417 0 0 Skullcandy, Inc. COM 83083J104 1314 182250 SH SOLE 182250 0 0 Smucker J M Co New COM 832696405 244 2353 SH SOLE 2353 0 0 Sothebys COM 835898107 263 4940 SH SOLE 4940 0 0 Sp Plus Corporation COM 78469C103 890 34175 SH SOLE 34175 0 0 Spartan Motors Inc COM 846819100 973 145277 SH SOLE 145277 0 0 Sparton Corp COM 847235108 1569 56146 SH SOLE 56146 0 0 Speedway Motorsports Inc. COM 847788106 411 20725 SH SOLE 20725 0 0 Standard Motor Prods Inc COM 853666105 583 15850 SH SOLE 15850 0 0 Starbucks Corp COM 855244109 451 5750 SH SOLE 5750 0 0 Starrett L S Co Class A COM 855668109 1162 79780 SH SOLE 79780 0 0 Superior Uniform Group, Inc. COM 868358102 728 47025 SH SOLE 47025 0 0 Swmx Inc COM 785025107 0 25000 SH SOLE 25000 0 0 Target Corporation COM 87612E106 270 4272 SH SOLE 4272 0 0 Terreno Realty Corp COM 88146M101 607 34300 SH SOLE 34300 0 0 The Wendy's Company COM 95058W100 1448 166051 SH SOLE 166051 0 0 The York Water Company COM 987184108 647 30900 SH SOLE 30900 0 0 U S Bancorp Del New COM 902973304 2469 61112 SH SOLE 61112 0 0 Unilever Plc Ads-Ea Repr1 Ord COM 904767704 1560 37875 SH SOLE 37875 0 0 Union Pacific Corp COM 907818108 5660 33690 SH SOLE 33690 0 0 United Parcel Svc Inccl B COM 911312106 536 5100 SH SOLE 5100 0 0 United States Lime &mnrl COM 911922102 633 10350 SH SOLE 10350 0 0 United Technologies Corp COM 913017109 250 2200 SH SOLE 2200 0 0 Unitil Corp COM 913259107 513 16825 SH SOLE 16825 0 0 Unvl Sec Instruments New With COM 913821302 1257 290246 SH SOLE 290246 0 0 Us Ecology Inc. COM 91732J102 519 14000 SH SOLE 14000 0 0 Usa Mobility Inc COM 90341G103 1226 85875 SH SOLE 85875 0 0 Valueclick Inc COM 92046N102 289 12360 SH SOLE 12360 0 0 Vanguard Sector Index Fds COM 92204A876 285 3422 SH SOLE 3422 0 0 Verizon Communications COM 92343V104 1416 28824 SH SOLE 28824 0 0 Vodafone Group New Adr F Spons COM 92857W209 4730 120325 SH SOLE 120325 0 0 Wal-Mart Stores Inc COM 931142103 274 3486 SH SOLE 3486 0 0 Walgreen Company COM 931422109 2348 40874 SH SOLE 40874 0 0 Washington Mutual Inc Escrow COM 939ESC968 0 10000 SH SOLE 10000 0 0 Waste Management Inc Del COM 94106L109 564 12575 SH SOLE 12575 0 0 Westwood Holdings Group, Inc. COM 961765104 1224 19775 SH SOLE 19775 0 0 Weyerhaeuser Co COM 962166104 1389 44000 SH SOLE 44000 0 0 Whiting Petroleum Corp COM 966387102 631 10200 SH SOLE 10200 0 0 Whole Foods Mkt Inc COM 966837106 260 4500 SH SOLE 4500 0 0 Willbros Group Inc. COM 969203108 628 66650 SH SOLE 66650 0 0 World Wrestling Entertainment COM 98156Q108 861 51950 SH SOLE 51950 0 0 Zoetis Inc. COM 98978V103 1378 42166 SH SOLE 42166 0 0 Alerian MLP IDX FD 00162Q866 493 27720 SH SOLE 27720 0 0 Eaton Vance Enhanced Equity In IDX FD 278274105 3839 295333 SH SOLE 295333 0 0 First Tr Enhcd Eqty Incm Cover IDX FD 337318109 6740 506007 SH SOLE 506007 0 0 Ishares DJ Select Div Fd Selec IDX FD 464287168 11609 162702 SH SOLE 162702 0 0 Ishares Dj US Transportation I IDX FD 464287192 2912 22077 SH SOLE 22077 0 0 Ishares S&P 500 Growth Index IDX FD 464287309 11403 115475 SH SOLE 115475 0 0 Ishares S&P 500 Index IDX FD 464287408 10960 128244 SH SOLE 128244 0 0 Ishares Tr Dj Us Consumr Consu IDX FD 464287580 3235 26646 SH SOLE 26646 0 0 Ishares Tr Msci Eafe Fd Msci E IDX FD 464287465 1330 19818 SH SOLE 19818 0 0 Ishares Tr Russell 2000 Russel IDX FD 464287655 289 2501 SH SOLE 2501 0 0 Ishares Tr Russell Midcap Inde IDX FD 464287499 345 2300 SH SOLE 2300 0 0 Ishares Tr S&p Global Telecomm IDX FD 464287275 1815 26576 SH SOLE 26576 0 0 Ishares Trust S&P 500 IDX FD 464287200 1584 8532 SH SOLE 8532 0 0 JPMorgan Alerian MLP Index ETN IDX FD 46625H365 1019 21985 SH SOLE 21985 0 0 Powershs Exch Trad Fd Tr Power IDX FD 73935X229 2378 140357 SH SOLE 140357 0 0 S P D R S&p 500 Etf Tr Expirin IDX FD 78462F103 9015 48812 SH SOLE 48812 0 0 Sector Spdr Tr Shs Benint Indu IDX FD 81369Y704 2471 47280 SH SOLE 47280 0 0 Spdr Gold Trust Spdr Gold Shar IDX FD 78463V107 712 6134 SH SOLE 6134 0 0 Spdr S&p Midcap 400 Etf IDX FD 78467Y107 520 2131 SH SOLE 2131 0 0 Vanguard Emrg Mkt Etf IDX FD 922042858 948 23053 SH SOLE 23053 0 0 Vanguard Index Tr Vanguardexte IDX FD 922908652 2302 27836 SH SOLE 27836 0 0 Vanguard S&P 500 ETF IDX FD 922908363 1258 7437 SH SOLE 7437 0 0 Vanguard Sector Indexfds Vangu IDX FD 92204A702 240 2679 SH SOLE 2679 0 0 Vanguard Specialized Portfolio IDX FD 921908844 367 4881 SH SOLE 4881 0 0 Vanguard Total International S IDX FD 921909768 203 3885 SH SOLE 3885 0 0 Vanguard Total Stock Mkt IDX FD 922908769 11756 122555 SH SOLE 122555 0 0 Vangurd Small Cap Etf IDX FD 922908751 638 5801 SH SOLE 5801 0 0 iShares Dow Jones US Regional IDX FD 464288778 3061 92596 SH SOLE 92596 0 0 Barclays Bk Plc Sponsoredadr P PFD 06739H362 595 23470 SH SOLE 23470 0 0 Campus Crest Communities, Inc. PFD 13466Y204 692 28000 SH SOLE 28000 0 0 Charles Schwab Corporation (sc PFD 808513204 501 22805 SH SOLE 22805 0 0 Fixed Income Trust For Goldman PFD 33834B207 685 27155 SH SOLE 27155 0 0 General Electric Company 4.875 PFD 369622428 743 36370 SH SOLE 36370 0 0 General Fin Corp Delcum Redeem PFD 369822507 548 5370 SH SOLE 5370 0 0 Goldman Sachs Group Incdep Shs PFD 38144X500 265 11800 SH SOLE 11800 0 0 Hercules Technology Growth Cap PFD 427096888 543 21275 SH SOLE 21275 0 0 Hsbc Holdings Plc Perp Sub Cap PFD 404280802 600 22260 SH SOLE 22260 0 0 MetLife, Inc. Preferred Series PFD 59156R603 764 30690 SH SOLE 30690 0 0 Metlifeinc Pfd Ser B 6.50% Per PFD 59156R603 702 28200 SH SOLE 28200 0 0 Monmouth Real Estate Investmen PFD 609720305 452 18125 SH SOLE 18125 0 0 Nextera Egy Cap 5.625%72ser H PFD 65339K704 588 29183 SH SOLE 29183 0 0 Principal Financial Group Inc. PFD 74251V201 1372 13725 SH SOLE 13725 0 0 Privatebancorp Cap Triv Gtd Tr PFD 74272L208 580 22480 SH SOLE 22480 0 0 Privatebancorp Inc PFD 742962400 642 26975 SH SOLE 26975 0 0 Public Storage PFD 74460W875 365 19340 SH SOLE 19340 0 0 Saratoga Investment Corp. PFD 80349A307 1387 54625 SH SOLE 54625 0 0 Southern California Edison Tru PFD 78406T201 610 30350 SH SOLE 30350 0 0 Wells Fargo & Company Wells Fa PFD 949746879 546 19522 SH SOLE 19522 0 0 Gabelli Div And Inc Tr EQ CL END 36242H104 783 35340 SH SOLE 35340 0 0 Dnp Select Income Fund FX CL END 23325P104 131 13911 SH SOLE 13911 0 0 Ishares Barclays Us Aggregate FX CL END 464287226 311 2921 SH SOLE 2921 0 0 Ishares Iboxx Investop Iboxx $ FX CL END 464287242 1222 10700 SH SOLE 10700 0 0 Ishares Tr Barclays Tips Bond FX CL END 464287176 406 3691 SH SOLE 3691 0 0 Tcw Strategic Income Fdinc FX CL END 872340104 157 29312 SH SOLE 29312 0 0 Vanguard Bd Index Fd Inctotal FX CL END 921937835 819 10233 SH SOLE 10233 0 0 CVR Refining, LP COMUNIT REP LT 12663P107 252 11150 SH SOLE 11150 0 0 Sigapore Tele New Adr ADR 82929R304 1480 51050 SH SOLE 51050 0 0