-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Lh/4owJppfHSr4d15iR7Cnpc39LzchaaOof1jXpZ/7rQvvk+vdkdnR3bfNYMQEmJ XaHu5ZnyuInriHfF2ZegAw== 0001342857-09-000059.txt : 20091112 0001342857-09-000059.hdr.sgml : 20091111 20091112153629 ACCESSION NUMBER: 0001342857-09-000059 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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: 091176859 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 sept2009.txt NSIMC SEPT 2009 13F DOCUMENT TYPE 13F HR 1 nsimc2009september.txt DESCRIPTION 13F HR TEXT SUBMISSION: TYPR: 13F HR FORM 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/2009 Institutional Investment Manager Filing this Report: North Star Investment Management Corp. 20 N. Wacker Drive Suite 1416 Chicago IL 60606 Form 13F File Number: 28-12641 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: By(Signature and Title) /s/ PCONTOS Telephone: 312-580-1056 Signature, Place and Date of signing: Peter D. Gottlieb, President, Chicago IL, Dated: 11/12/2009 Report Type: 13F HOLDINGS REPORT Form 13F Summary Page Report Summary: Number of Other Included Managers: NONE Form 13F Information Entry Total: 341 Form 13F Information Table Value Total: $ 112,293,000 Name of Issuer --Title of Class-- --Cusip-- Value Shares discr Voting Sole 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Wyeth Com Cash And Stoc COM 983024100 125 2578 SH Sole X 3m Company COM 88579y101 529 7170 SH Sole X A T & T Com COM 00206R102 1189 44025 SH Sole X Abbott Laboratories COM 002824100 1340 27083 SH Sole X Acme United Co COM 004816104 1914 212485 SH Sole X Aetnainc New Com COM 00817y108 5 180 SH Sole X Agilenttech Inc COM 00846u101 3 100 SH Sole X Alberto Culver Co Cl B COM 013068101 10 350 SH Sole X Alcoa Inc COM 013817101 66 5000 SH Sole X Alliancebernstein Natlmun Inco COM 01864u106 14 985 SH Sole X Allstatecorp COM 020002101 31 1026 SH Sole X Alpine Global Premierpptys Fd COM 02083A103 3 500 SH Sole X Altria Group Inc Common Stock COM 02209s103 186 10459 SH Sole X Amerencorp COM 023608102 132 5211 SH Sole X America Movil S A COM 02364w105 3 75 SH Sole X American Railcar Ind. 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COM 12572q105 46 150 SH Sole X Cnl Lifestyle Propertiesinc Ba COM 18975f109 18 1840 SH Sole X Cobra Electronics COM 191042100 364 224419 SH Sole X Coca-Cola Company COM 191216100 432 8051 SH Sole X Cocacola Enterprises Inc COM 191219104 1028 48000 SH Sole X Cohen & Steers Reit COM 19247X100 4 383 SH Sole X Comcastcorp New Cl A COM 20030n101 26 1515 SH Sole X Comfort Systems Usa Inc. 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COM 31430f101 145 32000 SH Sole X Firstenergycorp COM 337932107 14 300 SH Sole X Firstmidwest Bancorp Inc Del COM 320867104 11 1000 SH Sole X Flaherty& Crumrine / Claymore COM 338478100 24 1891 SH Sole X Fpl Group Inc COM 302571104 144 2600 SH Sole X Freeportmcmoran Copper & Gold COM 35671d857 5 75 SH Sole X Freightcaramer Inc COM 357023100 1427 58725 SH Sole X Gapinc Del COM 364760108 2 105 SH Sole X General Electric Co COM 369604103 2266 138010 SH Sole X General Growth Prop, Inc. COM 370021107 24 5000 SH Sole X General Mills Incorporated Com COM 370334104 270 4192 SH Sole X Generaldynamics Crp COM 369550108 59 910 SH Sole X Gilead Sciences Inc COM 375558103 1 25 SH Sole X Google Inc COM 38259P508 99 200 SH Sole X Graham Corp COM 384556106 736 47350 SH Sole X Granite Construction, Inc. COM 387328107 13 410 SH Sole X H& Q Life Sciences Invs Sh Ben COM 404053100 2 219 SH Sole X Halliburton Company COM 406216101 3 100 SH Sole X Hatteras Financial Corp COM 41902r103 15 500 SH Sole X Healthcarerlty Tr COM 421946104 21 1000 SH Sole X Helios Strategic Mtg Inc Fd COM 42327m109 19 3000 SH Sole X Hewlett-Packardco De COM 428236103 157 3315 SH Sole X Highbury Finl Inc Com COM 42982y109 4581 848275 SH Sole X Hlth Corp Exchangedfor .4444 S COM 40422y101 15 1000 SH Sole X Home Depot Inc COM 437076102 14 515 SH Sole X Honeywellintl Inc COM 438516106 32 873 SH Sole X Hospirainc COM 441060100 4 100 SH Sole X Hospitality Propertiestrust COM 44106M102 7 350 SH Sole X Houstonwire & Cable Co Com COM 44244k109 771 69781 SH Sole X Humanainc COM 444859102 60 1600 SH Sole X Imaxcorp COM 45245e109 583 62000 SH Sole X Inergy Lp COM 456615103 9 300 SH Sole X Ingersoll-Rand Plc Shsusd1 COM g47791101 12 400 SH Sole X Innophos Hldgs, Inc. COM 45774n108 298 16100 SH Sole X Integrys Energy Group Inc COM 45822P105 60 1678 SH Sole X Intelcorp COM 458140100 103 5250 SH Sole X Intercontinental Exch. Inc. COM 45865v100 46 475 SH Sole X International Business Machine COM 459200101 922 7705 SH Sole X Isharestr Dow Jones Us Home Co COM 464288752 18 1500 SH Sole X Januscap Group Inc COM 47102x105 57 4000 SH Sole X Johnson & Johnson Common Stock COM 478160104 805 13219 SH Sole X Johnson Outdoors Inc Cl A COM 479167108 452 50175 SH Sole X Jpmorganchase & Co COM 46625h100 4210 96064 SH Sole X K-Sea Trans Ptrns Lp COM 48268y101 67 3300 SH Sole X Kimberly Clark COM 494368103 386 6550 SH Sole X Kindermorgan Energy Partners L COM 494550106 255 4725 SH Sole X Kirbycorp Formerly Kirby Expl COM 497266106 2776 75400 SH Sole X Kit Digital Inc. COM 482470200 120 12100 SH Sole X Kosscorp Del Frmly Koss Eletrs COM 500692108 509 43733 SH Sole X Kraft Foods Inc Common Stock COM 50075n104 287 10922 SH Sole X Lacrossefootwear Inc COM 505688101 887 73040 SH Sole X Las Vegas Sands Corp COM 517834107 253 15000 SH Sole X Lee Enterprises Inc COM 523768109 143 52000 SH Sole X Lifepointhosps Inc COM 53219l109 3 100 SH Sole X Lo Jack Corp COM 539451104 260 51164 SH Sole X Mac-Gray Corp COM 554153106 1 100 SH Sole X Magellanmidstream Partners Lp COM 559080106 86 2300 SH Sole X Marshall & Ilsley Corp Common COM 571837103 30 3669 SH Sole X Marvel Entertainment Inc. COM 57383t103 5 100 SH Sole X Mcdonalds Corporation Common S COM 580135101 240 4207 SH Sole X Medco Health Solutions Inc COM 58405U102 26 476 SH Sole X Medtronic Incorporated Common COM 585055106 15 400 SH Sole X Merck & Co Inc COM 58933Y105 1018 32194 SH Sole X Metavante Technologiesinc Com COM 591407101 1 40 SH Sole X Metlife Inc Pfd COM 59156r405 7 300 SH Sole X Microsoft Corp COM 594918104 566 22013 SH Sole X Middlebrook Pharmaceuticals In COM 596087106 126 110000 SH Sole X Midwest Banc Holdings Inc COM 598251106 56 79518 SH Sole X Mitchaminds Inc COM 606501104 1154 186162 SH Sole X Monarchcement Co COM 609031109 704 22416 SH Sole X Morgan Stanley Group Inc COM 617446109 11 369 SH Sole X Motorolainc COM 620076109 13 1500 SH Sole X National Beverage Corp Common COM 635017106 1381 119991 SH Sole X Nationaloilwell Varco Inc COM 637071101 23 525 SH Sole X Navigant Consulting Inc. COM 63935N107 13 1000 SH Sole X Nbty Inc COM 628782104 73 1850 SH Sole X Nestle Sa Adr COM 641069406 5 112 SH Sole X Nicor Inc Com COM 654086107 5 134 SH Sole X Nokia Oyj Adr Each Repr1 Ord N COM 654902204 779 53250 SH Sole X Northern Trust Corporation Com COM 665859104 208 3575 SH Sole X Novartis Ag Adr-Each Repr1 Chf COM 66987v109 1 25 SH Sole X Nustarenergy Lp Unit COM 67058h102 29 550 SH Sole X Nuveen Insd Mun Opptyfd Inc Co COM 670984103 26 1870 SH Sole X Nuveeninvt Quality Municipal F COM 67062e103 197 14181 SH Sole X Nuveenmulti Strategy Income An COM 67073d102 7 1000 SH Sole X Nuveenperformance Plus Mun Fd COM 67062p108 21 1500 SH Sole X Nuveentax Advantaged Total Ret COM 67090h102 13 1275 SH Sole X Nv Energy Inc. COM 67073y106 9 750 SH Sole X Occidental Petro Corp COM 674599105 20 250 SH Sole X Old Republic International Cor COM 680223104 3536 290339 SH Sole X Omnienergy Svcs Crp Com New COM 68210t208 4 2500 SH Sole X Optimum Holdings Inc. COM 68401p106 1 420 SH Sole X Oracle Corp COM 68389X105 91 4350 SH Sole X Oxygen Biotherapeutics COM 69207p100 2 5000 SH Sole X P N C Financial Group COM 693475105 157 3224 SH Sole X Panerabread Company Cl A COM 69840w108 110 2000 SH Sole X Patni Computer Systemsadr Each COM 703248203 2 100 SH Sole X Peerlesssystems Corp COM 705536100 550 242307 SH Sole X Pepsicoinc COM 713448108 105 1787 SH Sole X Pfizer Inc Com Stk $.11 1/9 Pa COM 717081103 208 12580 SH Sole X Pg& E Corp COM 69331c108 4 100 SH Sole X Pharmaceutical Holdrs Tr Dep R COM 71712a206 522 8000 SH Sole X Philip Morris Intl COM 718172109 339 6959 SH Sole X Pitney Bowes Inc COM 724479100 1075 43251 SH Sole X Plainsexpl & Prodtn Co COM 726505100 1059 38300 SH Sole X Pplcorp COM 69351t106 17 550 SH Sole X Privatebancorp, Inc., The COM 742962103 140 5710 SH Sole X Procter& Gamble Co COM 742718109 831 14339 SH Sole X Progressivecorp Ohio COM 743315103 18 1100 SH Sole X Prologistrust COM 743410102 150 12570 SH Sole X Publicservice Enterprise Group COM 744573106 28 900 SH Sole X Qualcomm Incorporated Common S COM 747525103 270 6000 SH Sole X Qwestcomm Intl Inc COM 749121109 1 293 SH Sole X Radio One, Inc. COM 75040p108 15 15000 SH Sole X Ralcorp Holdings COM 751028101 7 114 SH Sole X Raytheonco Com New COM 755111507 10 200 SH Sole X Redhat Inc COM 756577102 3 100 SH Sole X Redwoodtrust Inc COM 758075402 133 8600 SH Sole X Regions Financial Corp Com COM 7591ep100 7 1200 SH Sole X Rockof Ages Corp COM 772632105 2174 692465 SH Sole X Royal Dutch Petroleum F COM 780259206 400 7000 SH Sole X Roycemicro-Cap Trust Inc Frmly COM 780915104 600 82250 SH Sole X Saralee Corp COM 803111103 49 4400 SH Sole X Schering Plough Corp Exchanged COM 806605101 28 1000 SH Sole X Schlumbergerltd Isin #an806857 COM 806857108 77 1300 SH Sole X Searshldgs Corp COM 812350106 9 139 SH Sole X Sectorspdr Tr Shs Ben Int Ener COM 81369y506 197 3658 SH Sole X Sectorspdr Tr Shs Ben Int Fina COM 81369y605 77 5185 SH Sole X Sempraenergy COM 816851109 10 200 SH Sole X Sherwinwilliams Co COM 824348106 9 150 SH Sole X Slindustries Inc COM 784413106 490 61200 SH Sole X Smithkline Beecham Plc F COM 832378301 2 350 SH Sole X Southwestairlns Co COM 844741108 20 2100 SH Sole X Southwestgas Corp COM 844895102 4 150 SH Sole X Spdrser Tr S&p Homebuilders Et COM 78464a888 23 1500 SH Sole X Sport Supply Group, Inc. COM 84916a104 784 76951 SH Sole X Standard Parking Corporation COM 853790103 304 17372 SH Sole X Starbuckscorp COM 855244109 25 1200 SH Sole X Starrett (ls) Co. COM 855668109 317 30450 SH Sole X Strykercorp COM 863667101 43 950 SH Sole X Sunhealthcare Group Inc New COM 866933401 605 70050 SH Sole X Sunmicrosystems Inc COM 866810203 5 525 SH Sole X Supervaluinc COM 868536103 16 1064 SH Sole X Targa Res Partners Lpcom Unit COM 87611x105 15 800 SH Sole X Target Cp COM 87612e106 93 2000 SH Sole X Technology Select Sector Spdr COM 81369y803 17 810 SH Sole X Techresearch Corp New COM 878727304 945 288872 SH Sole X Teppco Partners Limitedpartner COM 872384102 14 400 SH Sole X Ticketmaster COM 88633p302 3 235 SH Sole X Tiffany& Co New COM 886547108 12 300 SH Sole X Time Warner Cable Inc. COM 88732j207 3 66 SH Sole X Time Warner Inc Common Stock COM 887317303 8 266 SH Sole X Tivoinc COM 888706108 16 1500 SH Sole X Toyota Mtrs Corp Spon Adr COM 892331307 33 420 SH Sole X Travel Centers Of Amer. Inc. COM 894174101 1 135 SH Sole X Trinityinds Inc Del Frmly Texa COM 896522109 740 43045 SH Sole X Ualcorp Com New COM 902549807 8 912 SH Sole X Ultra Financials Pro Shares COM 74347r743 9 1500 SH Sole X Under Armour Inc. COM 904311107 2 59 SH Sole X Unilever Nv N Y Shs COM 904784709 115 4000 SH Sole X Union Pacific Corp COM 907818108 146 2496 SH Sole X Unitedparcel Svc Inc Cl B COM 911312106 181 3200 SH Sole X Unitedtechnologies Corp COM 913017109 250 4100 SH Sole X Universal Sec Instrs Inc Commo COM 913821302 746 125334 SH Sole X U Store It Tr COM 91274f104 2 275 SH Sole X Usbancorp Del Com New COM 902973304 334 15264 SH Sole X Vale S.A. Ads COM 91912e105 23 1000 SH Sole X Valence Tech Inc COM 918914102 9 5000 SH Sole X Valueclickinc COM 92046n102 9 658 SH Sole X Verizon Communications Common COM 92343v104 176 5822 SH Sole X Vermontpure Holding S Ltd New COM 924237100 367 564583 SH Sole X Visa Inc. COM 92826c839 6 89 SH Sole X Vivendi Ord COM f97982106 3 85 SH Sole X Wal-Martstores Inc COM 931142103 59 1200 SH Sole X Walgreen Co Com COM 931422109 950 25358 SH Sole X Wastemanagement Inc COM 94106l109 155 5200 SH Sole X Wells Fargo COM 949746101 19 667 SH Sole X Wells Reit Ii Estimated Value COM 95000s108 18 1816 SH Sole X Wells-Gardner Elec. Corp COM 949765101 4 2172 SH Sole X Wendys Arbys Group Inccom COM 950587105 5 996 SH Sole X Whole Foods Market Inc COM 966837106 30 1000 SH Sole X Wisconsinenergy Cp COM 976657106 7 150 SH Sole X World Wrestling Enter. Inc. (u COM 98156q108 34 2400 SH Sole X Currencyshares Euro Trust IDX FD 23130c108 823 5625 SH Sole X Currencyshares Japanese Yen Tr IDX FD 23130a102 315 2850 SH Sole X Dj Wilshire Reit Etf IDX FD 78464a607 5 107 SH Sole X First Trust Enhanced Eq Inc Fd IDX FD 337318109 2703 263925 SH Sole X I Shares Mrng Lrg Growth IDX FD 464287119 20 378 SH Sole X Ishare Russell 1000 Growth IDX FD 464287614 4 77 SH Sole X Ishare Russell 1000 Value IDX FD 464287598 3 49 SH Sole X Ishares Dj Trans Avg IDX FD 464287192 26 375 SH Sole X Ishares S & P 500/Barra Growth IDX FD 464287309 4113 76178 SH Sole X Ishares S&p Global Energy Sect IDX FD 464287341 13 375 SH Sole X Ishares Tr Russell Midcap Inde IDX FD 464287499 11 142 SH Sole X Ishares Tr Sp Us Pfd IDX FD 464288687 73 2000 SH Sole X Ishares Trust S & P 500/Bar Va IDX FD 464287408 4468 87290 SH Sole X Ishares Trust S&p Smallcap 600 IDX FD 464287804 1609 30736 SH Sole X Isharestr Dow Jones Select Div IDX FD 464287168 21 500 SH Sole X Isharestr Ftse Xinhua Hk China IDX FD 464287184 120 2934 SH Sole X Isharestr Msci Eafe Index Fd IDX FD 464287465 2567 46941 SH Sole X Isharestr Msci Emerging Mkts I IDX FD 464287234 213 5476 SH Sole X Isharestr Russell 2000 Index F IDX FD 464287655 6 99 SH Sole X Isharestr S&p 100 Index Fund IDX FD 464287101 18 373 SH Sole X Mfc Powershares Exchange-Trade IDX FD 73935X575 39 2305 SH Sole X Mfc Powershares Exchange-Trade IDX FD 73935X500 586 53930 SH Sole X Midcap Spdr Trust Series 1 Fun IDX FD 595635103 222 1775 SH Sole X Powershares Exchg Traded Fincl IDX FD 73935x229 563 35545 SH Sole X Powersharesqqq Tr Unit Ser 1 IDX FD 73935a104 57 1342 SH Sole X S & P 500 Trust Series 1 Depos IDX FD 78462f103 3710 35139 SH Sole X Sectorspdr Tr Shs Ben Int Indu IDX FD 81369y704 2 75 SH Sole X S&p Basic Industries Spdr IDX FD 81369Y100 24 775 SH Sole X Spdr Gold Trust Gold Shares IDX FD 78463v107 110 1117 SH Sole X Spdr S&p Biotech Etf IDX FD 78464a870 3 50 SH Sole X Technology Select Sector Spdr IDX FD 81369y803 162 7765 SH Sole X Vanguard Eur Pac Etf IDX FD 921943858 2756 80350 SH Sole X Vanguard Pacific Etf IDX FD 922042866 28 528 SH Sole X Vanguardindex Fds Vanguard Tot IDX FD 922908769 8518 158945 SH Sole X Wisdomtree Int'l Energy Sect. IDX FD 97717w711 93 3700 SH Sole X Gerdau Sa Spons Adr Eachrep 1 PFD 373737105 13 1000 SH Sole X Royal Bank Scotland Adr Ser F, PFD 780097804 7 600 SH Sole X Royal Bank Scotland Grp Adr Se PFD 780097796 3 250 SH Sole X Bb& T Corp EQ CL END 054937107 33 1214 SH Sole X Blackrock Int Re Fund EQ CL END 092524107 9 750 SH Sole X Blackrock Pfd & Eq EQ CL END 092508100 111 9800 SH Sole X Eaton Vance Tax Managedbuy Wri EQ CL END 27828y108 8 547 SH Sole X European Equity Fd Inc Com EQ CL END 298768102 7 1015 SH Sole X Flaherty& Crumrine Pfd Income EQ CL END 338480106 24 2600 SH Sole X Gabelli Div & Income Tr EQ CL END 36242h104 915 73832 SH Sole X Indiafd Inc EQ CL END 454089103 18 610 SH Sole X John Hancock Bk & Thrift Oppot EQ CL END 409735206 329 23296 SH Sole X Nuveen Tax Advantageddivid Gro EQ CL END 67073g105 13 1200 SH Sole X Blackrock Pfd Inc Strat Fd Inc FX CL END 09255h105 50 5500 SH Sole X Dnpselect Income Fd Inc FX CL END 23325p104 5 600 SH Sole X Dtf Tax Free Income Inc Com FX CL END 23334j107 22 1492 SH Sole X Ishares Lehman Us Tips Fd Inde FX CL END 464287176 39 375 SH Sole X Isharesiboxx $ Investop Invest FX CL END 464287242 1 11 SH Sole X Mfc Van Kampen Sr Income Tr FX CL END 920961109 16 4000 SH Sole X Medical Pptys Tr Inc EQ CL END 58463j304 12 1500 SH Sole X Nicholas Applegate Conv& Incom FX CL END 65370f101 7 800 SH Sole X Nuveen Select Maturities Munic FX CL END 67061T101 26 2500 SH Sole X Nuveenquality Pfd Income Fd 2 FX CL END 67072c105 29 4000 SH Sole X Tcw Strategic Income Fd Inc FX CL END 872340104 124 29312 SH Sole X Van Kampen Amrican Capitaladva FX CL END 92112k107 12 1032 SH Sole X Buckeyepartners L P Unit Ltd P 118230101 15 300 SH Sole X FINAL TOTALS $ 112,293,000 FORM F INFORMATION TABLE ENTRY TOTAL 341
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