0001085146-14-000595.txt : 20140213 0001085146-14-000595.hdr.sgml : 20140213 20140213153830 ACCESSION NUMBER: 0001085146-14-000595 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 EFFECTIVENESS DATE: 20140213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SII INVESTMENTS INC/WI CENTRAL INDEX KEY: 0001351903 IRS NUMBER: 000000000 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13970 FILM NUMBER: 14605720 BUSINESS ADDRESS: STREET 1: 5555 GRANDE MARKET DR CITY: APPLETON STATE: WI ZIP: 45912 BUSINESS PHONE: 800-426-5975 MAIL ADDRESS: STREET 1: 5555 GRANDE MARKET DR CITY: APPLETON STATE: WI ZIP: 45912 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001351903 XXXXXXXX 12-31-2013 12-31-2013 SII INVESTMENTS INC/WI

5555 GRANDE MARKET DR APPLETON WI 45912

13F HOLDINGS REPORT 028-13970 0000898419 028-03582 PRUDENTIAL PLC N David Loasby (920) 996-2600 /s/ David Loasby Appleton WI 02-03-2014 0 434 559709 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101375126766SHDFND10026766ABBOTT LABSCOM00282410044211500SHDFND10011500ABBVIE INCCOM00287Y10991217272SHDFND10017272ACACIA RESH CORPACACIA TCH COM00388130739927456SHDFND10027456ADAMS EXPRESS COCOM00621210466650603SHDFND10050603AETNA INC NEWCOM00817Y1082133090SHDFND1003090AFLAC INCCOM00105510282412116SHDFND10012116AGRIUM INCCOM0089161085986521SHDFND1006521AIRGAS INCCOM0093631023172830SHDFND1002830ALCATEL-LUCENTSPONSORED ADR0139043055412247SHDFND10012247ALLEGIANT TRAVEL COCOM01748X1026095765SHDFND1005765ALPS ETF TRALERIAN MLP00162Q86621111821SHDFND10011821ALPS ETF TRSECTR DIV DOGS00162Q8582015884SHDFND1005884ALTRIA GROUP INCCOM02209S103352091431SHDFND10091431AMAZON COM INCCOM0231351066861716SHDFND1001716AMERICAN CAPITAL AGENCY CORPCOM02503X10562332310SHDFND10032310AMERICAN EXPRESS COCOM0258161092883177SHDFND1003177AMERICAN RLTY CAP PPTYS INCCOM02917T1041695132083SHDFND100132083AMGEN INCCOM0311621002301999SHDFND1001999ANNALY CAP MGMT INCCOM03571040927427568SHDFND10027568APPLE INCCOM037833100880115703SHDFND10015703ARBOR RLTY TR INCCOM038923108951143000SHDFND100143000ARCHER DANIELS MIDLAND COCOM039483102368785097SHDFND10085097ARENA PHARMACEUTICALS INCCOM04004710217629453SHDFND10029453ARES CAP CORPCOM04010L103102957929SHDFND10057929ASSOCIATED BANC CORPCOM04548710524614130SHDFND10014130AT&T INCCOM00206R1023774106768SHDFND100106768AUTOMATIC DATA PROCESSING INCOM0530151032613245SHDFND1003245AUTONATION INCCOM05329W1022224433SHDFND1004433BAIDU INCSPON ADR REP A0567521082021142SHDFND1001142BANK MONTREAL QUECOM063671101133319980SHDFND10019980BANK OF AMERICA CORPORATIONCOM060505104124779677SHDFND10079677BARCLAYS BK PLC10 YR TREAS BEAR06740L45179524306SHDFND10024306BARCLAYS BK PLC30 YR TREAS BEAR06740L44439110541SHDFND10010541BARRICK GOLD CORPCOM06790110854831017SHDFND10031017BERKSHIRE HATHAWAY INC DELCL B NEW084670702235419798SHDFND10019798BIOCRYST PHARMACEUTICALSCOM09058V10310012700SHDFND10012700BLACKROCK CORPOR HI YLD FD VCOM09255P10721617768SHDFND10017768BLACKROCK DEBT STRAT FD INCCOM09255R10317644075SHDFND10044075BLACKROCK FLOAT RATE OME STRCOM09255X10016711438SHDFND10011438BLACKROCK INCCOM09247X101236745SHDFND100745BLACKROCK MUNIENHANCED FD INCOM09253Y10017917195SHDFND10017195BOEING COCOM0970231055133738SHDFND1003738BOX SHIPS INCORPORATEDSHSY0967510211634450SHDFND10034450BP PLCSPONSORED ADR055622104125725868SHDFND10025868BRISTOL MYERS SQUIBB COCOM110122108100118785SHDFND10018785BRISTOW GROUP INCCOM11039410383811175SHDFND10011175BUNGE LIMITEDCOMG169621058149908SHDFND1009908CAPSTEAD MTG CORPCOM NO PAR14067E50655846467SHDFND10046467CAPSTONE TURBINE CORPCOM14067D1022719258SHDFND10019258CARDINAL HEALTH INCCOM14149Y1083825720SHDFND1005720CATERPILLAR INC DELCOM149123101113912593SHDFND10012593CELGENE CORPCOM1510201043852276SHDFND1002276CENTRAL FD CDA LTDCL A15350110175856530SHDFND10056530CENTRAL GOLDTRUSTTR UNIT15354610656613854SHDFND10013854CENTRAL SECS CORPCOM15512310229813718SHDFND10013718CHENIERE ENERGY INCCOM NEW16411R2082535855SHDFND1005855CHEVRON CORP NEWCOM166764100793663768SHDFND10063768CHICAGO BRIDGE & IRON CO N VCOM1672501092563097SHDFND1003097CISCO SYS INCCOM17275R10255725227SHDFND10025227CITIGROUP INCCOM NEW172967424154730030SHDFND10030030CLAYMORE EXCHANGE TRD FD TRGUG BLT2018 HY18383M3813925145300SHDFND100145300CLAYMORE EXCHANGE TRD FD TRGUG MULTI ASSET18383M50660824464SHDFND10024464CLAYMORE EXCHANGE TRD FD TRGUGG SPINOFF ETF18383M6053066723SHDFND1006723COCA COLA COCOM191216100332980661SHDFND10080661COLE REAL ESTATE INVTS INCCOM19329V1055475390234SHDFND100390234COLGATE PALMOLIVE COCOM1941621032003084SHDFND1003084COLUMBIA PPTY TR INCCOM NEW198287203200780092SHDFND10080092COMCAST CORP NEWCL A20030N1012394575SHDFND1004575CONAGRA FOODS INCCOM205887102114133858SHDFND10033858CONOCOPHILLIPSCOM20825C10420135285016SHDFND100285016CONSOLIDATED EDISON INCCOM2091151045139049SHDFND1009049COSTCO WHSL CORP NEWCOM22160K1059507942SHDFND1007942CSX CORPCOM1264081032067164SHDFND1007164CUMMINS INCCOM2310211063442432SHDFND1002432CUTWATER SELECT INCOME FDCOM23222910444724430SHDFND10024430CVS CAREMARK CORPORATIONCOM12665010071710062SHDFND10010062CYPRESS SEMICONDUCTOR CORPCOM23280610913312750SHDFND10012750DARDEN RESTAURANTS INCCOM237194105226441538SHDFND10041538DAVITA HEALTHCARE PARTNERS ICOM23918K1084076424SHDFND1006424DCT INDUSTRIAL TRUST INCCOM233153105921128295SHDFND100128295DEERE & COCOM2441991056727380SHDFND1007380DENDREON CORPCOM24823Q1073814350SHDFND10014350DIRECTVCOM25490A3093344789SHDFND1004789DISNEY WALT COCOM DISNEY254687106129016923SHDFND10016923DNP SELECT INCOME FDCOM23325P1041002106527SHDFND100106527DOMINION RES INC VA NEWCOM25746U1092493858SHDFND1003858DOW CHEM COCOM2605431034329769SHDFND1009769DRAGONWAVE INCCOM26144M1032922150SHDFND10022150DREYFUS HIGH YIELD STRATEGIESH BEN INT26200S1014010000SHDFND10010000DU PONT E I DE NEMOURS & COCOM2635341094937618SHDFND1007618DUKE ENERGY CORP NEWCOM NEW26441C2045678215SHDFND1008215DWS GLOBAL HIGH INCOME FDCOM23338W10450062936SHDFND10062936DWS HIGH INCOME OPPORT FD INCOM NEW23339M20426918655SHDFND10018655DWS STRATEGIC INCOME TRSHS23338N10480562172SHDFND10062172E M C CORP MASSCOM26864810248318805SHDFND10018805EARTHLINK INCCOM27032110216833585SHDFND10033585EATON CORP PLCSHSG2918310391311971SHDFND10011971EATON VANCE TAX MNGD GBL DVCOM27829F10812512482SHDFND10012482EMERSON ELEC COCOM2910111042753901SHDFND1003901ENERGY TRANSFER PRTNRS L PUNIT LTD PARTN29273R1095699969SHDFND1009969ENTERPRISE PRODS PARTNERS LCOM293792107170525791SHDFND10025791EOG RES INCCOM26875P10114838858SHDFND1008858EQUINIX INCCOM NEW29444U5022431363SHDFND1001363EXPRESS SCRIPTS HLDG COCOM30219G1082333332SHDFND1003332EXXON MOBIL CORPCOM30231G102650864234SHDFND10064234FACEBOOK INCCL A30303M102129324693SHDFND10024693FASTENAL COCOM3119001043747891SHDFND1007891FIDELITY NATL INFORMATION SVCOM31620M1064297991SHDFND1007991FIRST TR ENERGY INFRASTRCTRCOM33738C103111353340SHDFND10053340FIRST TR EXCHANGE TRADED FDCONSUMR STAPLE33734X11976721467SHDFND10021467FIRST TR EXCHANGE TRADED FDDJ GLBL DIVID33734X20068525291SHDFND10025291FIRST TR EXCHANGE TRADED FDHLTH CARE ALPH33734X143273256927SHDFND10056927FIRST TR EXCHANGE TRADED FDMULTI ASSET DI33738R10046822438SHDFND10022438FIRST TR HIGH INCOME L/S FDCOM33738E10956032606SHDFND10032606FIRST TR LRGE CP CORE ALPHACOM SHS33734K10989521769SHDFND10021769FIRST TR MID CAP CORE ALPHADCOM SHS33735B1084328538SHDFND1008538FIRST TR MLP & ENERGY INCOMECOM33739B10438719270SHDFND10019270FIRST TR NAS100 EQ WEIGHTEDSHS3373441052476822SHDFND1006822FIRST TR SML CP CORE ALPHA FCOM SHS33734Y1094519234SHDFND1009234FIRST TR STRATEGIC HIGH INCCOM SHS NEW33735330491156872SHDFND10056872FISERV INCCOM3377381082023436SHDFND1003436FLAHERTY & CRUMRINE PFD INCCOM33848E10619719715SHDFND10019715FLUOR CORP NEWCOM343412102186123258SHDFND10023258FORD MTR CO DELCOM PAR $0.013453708601875121357SHDFND100121357FREEPORT-MCMORAN COPPER & GOCOM35671D85758415330SHDFND10015330FRONTIER COMMUNICATIONS CORPCOM35906A10826158631SHDFND10058631FTI CONSULTING INCCOM302941109118428929SHDFND10028929GENERAL AMERN INVS INCCOM36880210438510869SHDFND10010869GENERAL DYNAMICS CORPCOM3695501083013141SHDFND1003141GENERAL ELECTRIC COCOM3696041036114218080SHDFND100218080GENERAL MLS INCCOM37033410491518371SHDFND10018371GILEAD SCIENCES INCCOM3755581035146773SHDFND1006773GLAXOSMITHKLINE PLCSPONSORED ADR37733W1053446448SHDFND1006448GOLDMAN SACHS GROUP INCCOM38141G10416159122SHDFND1009122GOOGLE INCCL A38259P50829172606SHDFND1002606GUESS INCCOM4016171052598349SHDFND1008349HAIN CELESTIAL GROUP INCCOM4052171002202429SHDFND1002429HALLIBURTON COCOM4062161013967823SHDFND1007823HANCOCK JOHN PREMUIM DIV FDCOM SH BEN INT41013T10516314047SHDFND10014047HANSEN MEDICAL INCCOM4113071013017500SHDFND10017500HARLEY DAVIDSON INCCOM4128221085147428SHDFND1007428HARTFORD FINL SVCS GROUP INCCOM41651510495026249SHDFND10026249HEALTH CARE REIT INCCOM42217K106165430964SHDFND10030964HEALTHCARE TR AMER INCCL A42225P105999101424SHDFND100101424HEARTLAND FINL USA INCCOM42234Q1022489100SHDFND1009100HELIOS HIGH YIELD FDCOM42328Q10938239610SHDFND10039610HOME DEPOT INCCOM4370761027108649SHDFND1008649HOME PROPERTIES INCCOM4373061034067593SHDFND1007593HONEYWELL INTL INCCOM438516106128914112SHDFND10014112HORMEL FOODS CORPCOM4404521003357416SHDFND1007416ICON PLCSHSG4705A1002967287SHDFND1007287ILLINOIS TOOL WKS INCCOM452308109264031383SHDFND10031383INDEXIQ ETF TRIQ MRGR ARB ETF45409B8002208237SHDFND1008237INTEGRYS ENERGY GROUP INCCOM45822P105124723285SHDFND10023285INTEL CORPCOM458140100104340056SHDFND10040056INTERACTIVE BROKERS GROUP INCOM45841N1072048415SHDFND1008415INTERCLOUD SYS INCCOM NEW45848820223012500SHDFND10012500INTERNATIONAL BUSINESS MACHSCOM459200101324017172SHDFND10017172ISHARES1-3 YR TR BD ETF464287457228226983SHDFND10026983ISHARES15 AMT-FREE ETF4642893394428310SHDFND1008310ISHARES20+ YR TR BD ETF4642874327617421SHDFND1007421ISHARES3-7 YR TR BD ETF464288661234119467SHDFND10019467ISHARES7-10 Y TR BD ETF464287440109511061SHDFND10011061ISHARESCHINA LG-CAP ETF46428718440010366SHDFND10010366ISHARESCORE S&P MCP ETF464287507244918320SHDFND10018320ISHARESCORE S&P SCP ETF464287804189617400SHDFND10017400ISHARESCORE S&P500 ETF464287200685136868SHDFND10036868ISHARESCORE TOTUSBD ETF464287226454042530SHDFND10042530ISHARESCREDIT BD ETF4642886204574266SHDFND1004266ISHARESDOW JONES US ETF4642878462522691SHDFND1002691ISHARESFLTG RATE BD ETF46429B6552995900SHDFND1005900ISHARESGLOBAL ENERG ETF4642873412245179SHDFND1005179ISHARESHIGH DIVIDND ETF46429B6632573662SHDFND1003662ISHARESIBOXX HI YD ETF464288513197921365SHDFND10021365ISHARESIBOXX INV CP ETF4642872428987851SHDFND1007851ISHARESINTL SEL DIV ETF464288448150039489SHDFND10039489ISHARESJP MOR EM MK ETF4642882814243935SHDFND1003935ISHARESMBS ETF464288588128312281SHDFND10012281ISHARESMRNGSTR LG-CP GR4642871192852865SHDFND1002865ISHARESMRNING SM CP ETF4642887032301916SHDFND1001916ISHARESMSCI BRZ CAP ETF4642864003277473SHDFND1007473ISHARESMSCI CDA ETF46428650971324140SHDFND10024140ISHARESMSCI EAFE ETF464287465311046308SHDFND10046308ISHARESMSCI EMG MKT ETF464287234120628939SHDFND10028939ISHARESMSCI JAPAN ETF46428684857647546SHDFND10047546ISHARESNA NAT RES4642873742415555SHDFND1005555ISHARESNASDQ BIOTEC ETF464287556269411837SHDFND10011837ISHARESRUS 1000 ETF4642876229078926SHDFND1008926ISHARESRUS 1000 GRW ETF464287614316536798SHDFND10036798ISHARESRUS 1000 VAL ETF464287598216723050SHDFND10023050ISHARESRUS MD CP GR ETF4642874812322765SHDFND1002765ISHARESRUS MDCP VAL ETF4642874733024567SHDFND1004567ISHARESRUS MID-CAP ETF464287499295419734SHDFND10019734ISHARESRUSSELL 2000 ETF464287655399334461SHDFND10034461ISHARESS&P 500 GRWT ETF464287309225522821SHDFND10022821ISHARESS&P 500 VAL ETF464287408173820353SHDFND10020353ISHARESS&P MC 400GR ETF4642876062161430SHDFND1001430ISHARESS&P MC 400VL ETF4642877055004304SHDFND1004304ISHARESSELECT DIVID ETF464287168184026108SHDFND10026108ISHARESSP SMCP600GR ETF4642878872111791SHDFND1001791ISHARESSP SMCP600VL ETF4642878795925327SHDFND1005327ISHARESTIPS BD ETF464287176378234472SHDFND10034472ISHARESU.S. BAS MTL ETF4642878382923591SHDFND1003591ISHARESU.S. INDS ETF464287754133213121SHDFND10013121ISHARESU.S. PFD STK ETF4642886873148676SHDFND1008676ISHARESU.S. PHARMA ETF4642888368216850SHDFND1006850ISHARESU.S. REAL ES ETF4642877393505561SHDFND1005561ISHARESU.S. TECH ETF464287721127414393SHDFND10014393ISHARESU.S. TELECOM ETF46428771331610695SHDFND10010695ISHARESUS HLTHCARE ETF464287762133711269SHDFND10011269ISHARESUS HOME CONS ETF46428875257222954SHDFND10022954ISHARES GOLD TRUSTISHARES4642851051582133831SHDFND100133831ISHARES INCCORE MSCI EMKT46434G103156931498SHDFND10031498ISHARES SILVER TRUSTISHARES46428Q10960832341SHDFND10032341ISHARES TRCORE MSCI EAFE46432F8422814631SHDFND1004631JOHNSON & JOHNSONCOM478160104567262223SHDFND10062223JOHNSON CTLS INCCOM478366107216642293SHDFND10042293JOS A BANK CLOTHIERS INCCOM4808381013927161SHDFND1007161JPMORGAN CHASE & COCOM46625H100128922050SHDFND10022050KAYNE ANDERSON MLP INVT COCOM4866061062736861SHDFND1006861KELLOGG COCOM4878361082033347SHDFND1003347KENNAMETAL INCCOM4891701002885485SHDFND1005485KEYCORP NEWCOM49326710819014185SHDFND10014185KIMBERLY CLARK CORPCOM494368103164216044SHDFND10016044KINDER MORGAN ENERGY PARTNERUT LTD PARTNER494550106339242108SHDFND10042108KINDER MORGAN INC DELCOM49456B10150914171SHDFND10014171KOHLS CORPCOM500255104165029152SHDFND10029152KRAFT FOODS GROUP INCCOM50076Q10675114585SHDFND10014585KROGER COCOM501044101366892445SHDFND10092445LAKELAND FINL CORPCOM51165610047112065SHDFND10012065LAS VEGAS SANDS CORPCOM5178341075506943SHDFND1006943LIBERTY ALL STAR EQUITY FDSH BEN INT53015810421936745SHDFND10036745LILLY ELI & COCOM5324571083296501SHDFND1006501LINN ENERGY LLCUNIT LTD LIAB53602010079326084SHDFND10026084LOCKHEED MARTIN CORPCOM5398301092371589SHDFND1001589LOWES COS INCCOM5486611073176379SHDFND1006379MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP5590801062684233SHDFND1004233MAIN STREET CAPITAL CORPCOM56035L1042016051SHDFND1006051MANAGED HIGH YIELD PLUS FD ICOM5619111082411780SHDFND10011780MANITOWOC INCCOM56357110838216369SHDFND10016369MARKET VECTORS ETF TRAGRIBUS ETF57060U6052685024SHDFND1005024MARKET VECTORS ETF TRGOLD MINER ETF57060U10034516445SHDFND10016445MARKET VECTORS ETF TRINVT GRD FL RT57060U51454521881SHDFND10021881MASTERCARD INCCL A57636Q104242291SHDFND100291MCDONALDS CORPCOM580135101292129948SHDFND10029948MCGRAW HILL FINL INCCOM5806451092403065SHDFND1003065MEDTRONIC INCCOM5850551063846673SHDFND1006673MERCK & CO INC NEWCOM58933Y105251850128SHDFND10050128METLIFE INCCOM59156R10880915031SHDFND10015031MFS INTERMARKET INCOME TRUSTSH BEN INT59318R10344955830SHDFND10055830MGE ENERGY INCCOM55277P1042754754SHDFND1004754MICROSOFT CORPCOM5949181045107136742SHDFND100136742MONDELEZ INTL INCCL A609207105100928518SHDFND10028518MONTGOMERY STR INCOME SECS ICOM61411510352733960SHDFND10033960MORGAN STANLEYCOM NEW617446448114036334SHDFND10036334MORGAN STANLEY EM MKTS DM DECOM61747710414611200SHDFND10011200MYLAN INCCOM6285301072816468SHDFND1006468NATIONAL PRESTO INDS INCCOM63721510484410555SHDFND10010555NAVIDEA BIOPHARMACEUTICALS ICOM63937X10312560115SHDFND10060115NEW GERMANY FD INCCOM6444651062836142139SHDFND100142139NEW YORK CMNTY BANCORP INCCOM64944510372643240SHDFND10043240NEXTERA ENERGY INCCOM65339F1018559947SHDFND1009947NIKE INCCL B6541061036147821SHDFND1007821NORFOLK SOUTHERN CORPCOM655844108416844899SHDFND10044899NORTHERN LTS ETF TRARROW DJ GLOBL66537H10541515657SHDFND10015657NOVARTIS A GSPONSORED ADR66987V1092362947SHDFND1002947NOVO-NORDISK A SADR67010020515338306SHDFND1008306NUCOR CORPCOM670346105174632824SHDFND10032824NUVEEN MUN OPPORTUNITY FD INCOM67098410313910511SHDFND10010511NUVEEN SELECT TAX FREE INCMSH BEN INT67063C10615912910SHDFND10012910NVIDIA CORPCOM67066G10440525325SHDFND10025325OLIN CORPCOM PAR $16806652052137504SHDFND1007504OMEGA HEALTHCARE INVS INCCOM6819361002598744SHDFND1008744OMNICARE INCCOM681904108103717190SHDFND10017190ORACLE CORPCOM68389X105333086900SHDFND10086900PANERA BREAD COCL A69840W1082281288SHDFND1001288PARAMOUNT GOLD & SILVER CORPCOM69924P1021620675SHDFND10020675PENN WEST PETE LTD NEWCOM70788710510212153SHDFND10012153PEPSICO INCCOM713448108332540064SHDFND10040064PETROLEUM & RES CORPCOM71654910031311440SHDFND10011440PFIZER INCCOM7170811033673119701SHDFND100119701PHILIP MORRIS INTL INCCOM718172109246128190SHDFND10028190PHILLIPS 66COM718546104734595163SHDFND10095163PIEDMONT OFFICE REALTY TR INCOM CL A72019020664539039SHDFND10039039PIMCO DYNAMIC CR INCOME FDCOM SHS72202D106122954875SHDFND10054875PIMCO ETF TRTOTL RETN ETF72201R775262425003SHDFND10025003PIMCO HIGH INCOME FDCOM SHS72201410714212240SHDFND10012240PIMCO STRATEGIC GBL GOV FD ICOM72200X10411711930SHDFND10011930PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN7265031052645133SHDFND1005133PLATINUM GROUP METALS LTDCOM NEW72765Q2052420000SHDFND10020000PNC FINL SVCS GROUP INCCOM6934751054515846SHDFND1005846POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S10526310220SHDFND10010220POWERSHARES ETF TR IIPWRSH S&P500HI73937B6542609202SHDFND1009202POWERSHARES ETF TR IIS&P500 LOW VOL73937B77935810886SHDFND10010886POWERSHARES ETF TRUSTDYNM LRG CP VL73935X7084813169190SHDFND100169190POWERSHARES ETF TRUSTFINL PFD PTFL73935X22930317965SHDFND10017965POWERSHARES ETF TRUSTFTSE RAFI 100073935X5836057297SHDFND1007297POWERSHARES ETF TRUSTFTSE US1500 SM73935X5677998173SHDFND1008173POWERSHARES ETF TRUSTGOLDEN DRG CHINA73935X401156351581SHDFND10051581POWERSHARES ETF TRUST IISENIOR LN PORT73936Q76947719164SHDFND10019164POWERSHARES GLOBAL ETF TRUSTFDM HG YLD RAFI73936T55728614847SHDFND10014847POWERSHARES QQQ TRUSTUNIT SER 173935A104834294471SHDFND10094471POWERSHS DB MULTI SECT COMMDB BASE METALS73936B70547928335SHDFND10028335PRICE T ROWE GROUP INCCOM74144T1083253866SHDFND1003866PROCTER & GAMBLE COCOM742718109254031277SHDFND10031277PROSHARES TRULTRA FNCLS NEW74347X6335774905SHDFND1004905PUBLIC SVC ENTERPRISE GROUPCOM7445731062417516SHDFND1007516PVR PARTNERS L PCOM UNIT REPTG L6936651012208300SHDFND1008300QUALCOMM INCCOM74752510377110363SHDFND10010363QUICKLOGIC CORPCOM74837P10810426050SHDFND10026050RANDGOLD RES LTDADR7523443094076452SHDFND1006452RAYONIER INCCOM7549071032686390SHDFND1006390RAYTHEON COCOM NEW755111507304833625SHDFND10033625REALTY INCOME CORPCOM75610910437310028SHDFND10010028REGAL BELOIT CORPCOM7587501032072800SHDFND1002800RENT A CTR INC NEWCOM76009N10095728445SHDFND10028445RESOURCE CAP CORPCOM76120W30210818250SHDFND10018250RETAIL PPTYS AMER INCCL A76131V20269154299SHDFND10054299RIO TINTO PLCSPONSORED ADR7672041002905168SHDFND1005168ROYAL DUTCH SHELL PLCSPONS ADR A7802592063354712SHDFND1004712RYDER SYS INCCOM7835491086088260SHDFND1008260RYDEX ETF TRUSTGUG S&P MC400 PG78355W60111099034SHDFND1009034RYDEX ETF TRUSTGUG S&P500 EQ WT78355W8333644480SHDFND1004480RYDEX ETF TRUSTGUG S&P500 EWCON78355W874127914100SHDFND10014100RYDEX ETF TRUSTGUG S&P500 PU VA78355W3046953139454SHDFND100139454SCHLUMBERGER LTDCOM8068571085255793SHDFND1005793SCHWAB CHARLES CORP NEWCOM8085131053324127697SHDFND100127697SCHWAB STRATEGIC TRUS LCAP VA ETF80852440940510000SHDFND10010000SEADRILL LIMITEDSHSG7945E105126130663SHDFND10030663SELECT MED HLDGS CORPCOM81619Q10515313200SHDFND10013200SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4075928776SHDFND1008776SELECT SECTOR SPDR TRSBI CONS STPLS81369Y30876517809SHDFND10017809SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209141925601SHDFND10025601SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5067048006SHDFND1008006SELECT SECTOR SPDR TRSBI INT-FINL81369Y60573533552SHDFND10033552SELECT SECTOR SPDR TRSBI INT-INDS81369Y70460411592SHDFND10011592SENSIENT TECHNOLOGIES CORPCOM81725T1002595329SHDFND1005329SEQUENOM INCCOM NEW8173374057432600SHDFND10032600SHIP FINANCE INTERNATIONAL LSHSG8107510697159117SHDFND10059117SIRIUS XM HLDGS INCCOM82968B1033911608SHDFND10011608SM ENERGY COCOM78454L1004525500SHDFND1005500SODASTREAM INTERNATIONAL LTDUSD SHSM9068E1053276760SHDFND1006760SOUTHERN COCOM84258710775318486SHDFND10018486SOUTHERN COPPER CORPCOM84265V10549416875SHDFND10016875SOVRAN SELF STORAGE INCCOM84610H1084156300SHDFND1006300SPDR DOW JONES INDL AVRG ETFUT SER 178467X1092981808SHDFND1001808SPDR GOLD TRUSTGOLD SHS78463V10710298826SHDFND1008826SPDR INDEX SHS FDSINTL HLTH ETF78463X6812575746SHDFND1005746SPDR S&P 500 ETF TRTR UNIT78462F103315517108SHDFND10017108SPDR SERIES TRUSTBRC HGH YLD BD78464A41772517922SHDFND10017922SPDR SERIES TRUSTBRCLYS 1-3MT ETF78464A680331572460SHDFND10072460SPDR SERIES TRUSTDB INT GVT ETF78464A4903616153SHDFND1006153SPDR SERIES TRUSTNUVN BR SHT MUNI78464A42555022636SHDFND10022636SPDR SERIES TRUSTS&P 500 GROWTH78464A4093884547SHDFND1004547SPDR SERIES TRUSTS&P DIVID ETF78464A763164522663SHDFND10022663SPDR SERIES TRUSTWELLS FG PFD ETF78464A2922887200SHDFND1007200SPIRIT RLTY CAP INC NEWCOM84860W1021563158869SHDFND100158869STARBUCKS CORPCOM855244109191824377SHDFND10024377STERLING FINL CORP WASHCOM NEW85931930348014103SHDFND10014103SYSCO CORPCOM87182910774520622SHDFND10020622TARGET CORPCOM87612E10680712809SHDFND10012809TEAM INCCOM87815510094522355SHDFND10022355TELEFLEX INCCOM8793691062782965SHDFND1002965TEMPLETON DRAGON FD INCCOM88018T101149957693SHDFND10057693TEMPLETON GLOBAL INCOME FDCOM88019810613617012SHDFND10017012TEVA PHARMACEUTICAL INDS LTDADR8816242092476162SHDFND1006162TEXAS INSTRS INCCOM8825081042405464SHDFND1005464THERMO FISHER SCIENTIFIC INCCOM8835561023172867SHDFND1002867TORTOISE ENERGY INFRSTRCTR CCOM89147L100112423602SHDFND10023602TORTOISE PWR & ENERGY INFRASCOM89147X10457622447SHDFND10022447TOWERSTREAM CORPCOM8920001003412670SHDFND10012670TRANSALTA CORPCOM89346D10724519442SHDFND10019442TWENTY FIRST CENTY FOX INCCL A90130A101119633854SHDFND10033854UNION PAC CORPCOM9078181087554488SHDFND1004488UNITED PARCEL SERVICE INCCL B9113121063773548SHDFND1003548UNITED RENTALS INCCOM911363109118415165SHDFND10015165UNITED STATES STL CORP NEWCOM91290910836812309SHDFND10012309UNITED TECHNOLOGIES CORPCOM913017109158013874SHDFND10013874UNITEDHEALTH GROUP INCCOM91324P10291512160SHDFND10012160US BANCORP DELCOM NEW902973304113428144SHDFND10028144V F CORPCOM9182041082133421SHDFND1003421VALERO ENERGY CORP NEWCOM91913Y10050610062SHDFND10010062VANGUARD BD INDEX FD INCINTERMED TERM921937819651779839SHDFND10079839VANGUARD BD INDEX FD INCLONG TERM BOND921937793442153965SHDFND10053965VANGUARD BD INDEX FD INCSHORT TRM BOND92193782712768159928SHDFND100159928VANGUARD BD INDEX FD INCTOTAL BND MRKT92193783592711577SHDFND10011577VANGUARD CHARLOTTE FDSINTL BD IDX ETF92203J4075838117700SHDFND100117700VANGUARD INDEX FDSEXTEND MKT ETF922908652106512869SHDFND10012869VANGUARD INDEX FDSGROWTH ETF92290873613957150061SHDFND100150061VANGUARD INDEX FDSMID CAP ETF922908629174015773SHDFND10015773VANGUARD INDEX FDSREIT ETF92290855364410148SHDFND10010148VANGUARD INDEX FDSS&P 500 ETF SHS922908363236513998SHDFND10013998VANGUARD INDEX FDSSM CP VAL ETF9229086112882955SHDFND1002955VANGUARD INDEX FDSSMALL CP ETF922908751530848279SHDFND10048279VANGUARD INDEX FDSSML CP GRW ETF9229085955644625SHDFND1004625VANGUARD INDEX FDSTOTAL STK MKT922908769282929512SHDFND10029512VANGUARD INDEX FDSVALUE ETF92290874416531216431SHDFND100216431VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858361487440SHDFND10087440VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874196333385SHDFND10033385VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF922042718153614759SHDFND10014759VANGUARD INTL EQUITY INDEX FMEGA CAP GRO ETF9220428665358732SHDFND1008732VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427422053444SHDFND1003444VANGUARD SCOTTSDALE FDSMORTG-BACK SEC92206C7716679130928SHDFND100130928VANGUARD SCOTTSDALE FDSSHTRM GVT BD ETF92206C102114818893SHDFND10018893VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844134717860SHDFND10017860VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385810093242206SHDFND100242206VANGUARD WHITEHALL FDS INCHIGH DIV YLD921946406126220220SHDFND10020220VANGUARD WORLD FDSCONSUM DIS ETF92204A1088668015SHDFND1008015VANGUARD WORLD FDSHEALTH CAR ETF92204A5042582538SHDFND1002538VANGUARD WORLD FDSINDUSTRIAL ETF92204A6035515513SHDFND1005513VANGUARD WORLD FDSUTILITIES ETF92204A8764235122SHDFND1005122VERIZON COMMUNICATIONS INCCOM92343V104264253411SHDFND10053411VISA INCCOM CL A92826C8394672098SHDFND1002098VODAFONE GROUP PLC NEWSPONS ADR NEW92857W2094941125194SHDFND100125194WALGREEN COCOM931422109285849878SHDFND10049878WAL-MART STORES INCCOM931142103164020858SHDFND10020858WELLS FARGO & CO NEWCOM9497461015792127485SHDFND100127485WELLS FARGO ADVANTAGE MULTICOM SHS94987D10160543225SHDFND10043225WESTERN ASSET HGH YLD DFNDFDCOM95768B10757632535SHDFND10032535WESTERN ASSET MGD HI INCM FDCOM95766L1078414840SHDFND10014840WEYERHAEUSER COCOM9621661042467806SHDFND1007806WHOLE FOODS MKT INCCOM9668371064587803SHDFND1007803WILEY JOHN & SONS INCCL A9682232062845105SHDFND1005105WILLIAMS COS INC DELCOM96945710064016654SHDFND10016654WINDSTREAM HLDGS INCCOM97382A10121527694SHDFND10027694WISCONSIN ENERGY CORPCOM976657106146135379SHDFND10035379WISDOMTREE TRDIV EX-FINL FD97717W406213031016SHDFND10031016WISDOMTREE TREQTY INC ETF97717W208137724991SHDFND10024991XCEL ENERGY INCCOM98389B10045016088SHDFND10016088YUM BRANDS INCCOM9884981014586058SHDFND1006058ZIMMER HLDGS INCCOM98956P102276829818SHDFND10029818ZIONS BANCORPORATIONCOM98970110780426811SHDFND10026811ZOETIS INCCL A98978V1032046190SHDFND1006190