-----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, EBhNEzu3/bLd9x2yyXj0pL1xzhx73/T3f5x0nVvhY160xLoTlQ3Rpf2MG1HTiCM7 KL/QzfLosn/XGS5MkTiafQ== 0001140361-08-025528.txt : 20081114 0001140361-08-025528.hdr.sgml : 20081114 20081114161409 ACCESSION NUMBER: 0001140361-08-025528 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Iwamoto, Kong & Co., Inc. CENTRAL INDEX KEY: 0001425165 IRS NUMBER: 330188030 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12756 FILM NUMBER: 081191499 BUSINESS ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-253-8888 MAIL ADDRESS: STREET 1: 19200 VON KARMAN AVE STREET 2: #1030 CITY: IRVINE STATE: CA ZIP: 92612 13F-HR 1 form13fhr.txt IWAMOTO KONG 13F-HR 9-30-2008 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2008 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: Iwamoto Kong ----------------------------------------------------- Address: 19200 VON KARMAN AVE IRVINE, CALIFORNIA 92612 ----------------------------------------------------- Form 13F File Number: --- 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: /s/ Benjamin Lau ------------------------- Title: Portfolio Manager ------------------------- Phone: (949)-253-8888 ------------------------- Signature, Place, and Date of Signing: /s/ Benjamin Lau IRVINE, CALIFORNIA 11/06/2008 - -------------------- ------------------ ---------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] 13F File Number Name 28-____________ ________________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 550 ----------- Form 13F Information Table Value Total: $113,197 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] 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 - ------------------------------ ---------------- --------- -------- ------- --- ---- ------- -------- ------ ------ ----- CALL APPLE INC cl 0378339JJ (0) (5) (5) - 0 - CALL APPLE INC cl 0378339KD 27 25 25 - 0 - CALL APACHE CORP cl 0374119JW (0) (6) (6) - 0 - CALL SEMPRA ENERGY cl 8168519JL (1) (25) (25) - 0 - CALL GOOGLE INC CL A cl 38259P9KD 17 5 5 - 0 - 1/100 BERKSHIRE HTWY CLA cs 084990175 261 200 200 0 - 3M COMPANY cs 88579Y101 1508 22077 21827 0 250 A E S CORP cs 00130H105 23 2000 2000 0 - A R C ENERGY TRUST F cs 001986108 4 200 200 0 - A T & T INC NEW cs 00206R102 579 20729 8009 0 12720 ABB LTD ADR F cs 000375204 15 750 750 0 - ABBOTT LABORATORIES cs 002824100 2039 35410 35335 0 75 ABERDEEN ASIA PAC INCM cs 003009107 1769 352450 351350 0 1100 ADV ENERGY INCOME FUND F cs 00762L101 852 92900 71350 0 21550 ADVANCED MED OPTICS INC cs 00763M108 3 166 166 0 - AEGON NV ORD REG AMER F cs 007924103 22 2449 - 0 2449 AGILENT TECHNOLOGIES INC cs 00846U101 121 4081 175 0 3906 AGNICO-EAGLE MINES LTD F cs 008474108 1 25 25 0 - AIR PROD & CHEMICALS INC cs 009158106 7 100 100 0 - ALCATEL LUCENT ADR F cs 013904305 1 199 199 0 - ALCOA INC cs 013817101 18 800 800 0 - ALCON INC F cs H01301102 6 35 35 0 - ALEXANDER & BALDWIN INC cs 014482103 13 300 300 0 - ALLEGHENY TECH INC NEW cs 01741R102 9 300 300 0 - ALLERGAN INC cs 018490102 78 1505 1305 0 200 ALLETE INC NEW cs 018522300 0 5 5 0 - ALLIANCE IMAGING INC NEW cs 018606202 144 14000 14000 0 - ALLSTATE CORPORATION cs 020002101 63 1375 1375 0 - ALTRIA GROUP INC cs 02209S103 30 1530 1530 0 - ALUMINUM CORP CHINA ADRF cs 022276109 2 100 100 0 - AMAZON COM INC cs 023135106 4 50 50 0 - AMDL INC NEW cs 00167K500 22 11100 11100 0 - AMER ELECTRIC PWR CO INC cs 025537101 34 913 913 0 - AMERICA MOVIL SAB L ADRF cs 02364W105 31 661 661 0 - AMERICAN EXPRESS COMPANY cs 025816109 23 652 400 0 252 AMERICAN HOMEPATIENT INC cs 026649103 0 31 31 0 - AMERIPRISE FINANCIAL INC cs 03076C106 5 130 100 0 30 AMGEN INCORPORATED cs 031162100 637 10750 300 0 10450 ANADARKO PETROLEUM CORP cs 032511107 715 14748 28 0 14720 ANGLO AMERN PLC ADS F cs 03485P201 5 295 295 0 - ANHEUSER BUSCH CO INC cs 035229103 59 905 805 0 100 APACHE CORP cs 037411105 104 996 996 0 - APOLLO INVESTMENT CORP cs 03761U106 26 1500 1500 0 - APPLE INC cs 037833100 342 3012 2437 0 575 APPLIED MATERIALS INC cs 038222105 5 313 313 0 - ARCH CAP GROUP LTD NEW F cs G0450A105 7 100 100 0 - ARIBA INC NEW cs 04033V203 0 2 2 0 - ASCENT MEDIA CORP cs 043632108 1 25 25 0 - ASTRAZENECA PLC ADR F cs 046353108 5 122 122 0 - AU OPTRONICS CORP ADR F cs 002255107 4 359 359 0 - AVANIR PHARMA CL A NEW cs 05348P401 0 125 125 0 - AVERY DENNISON CORP cs 053611109 445 10000 - 0 10000 AVON PRODUCTS INC cs 054303102 9 210 210 0 - AZTEC TECHNOLOGY PRTNRS cs 05480L101 0 20 20 0 - BAKER HUGHES INC cs 057224107 20 325 325 0 - BANK OF AMERICA CORP cs 060505104 335 9574 7467 0 2107 BANK OF NY MELLON CP NEW cs 064058100 257 7880 - 0 7880 BARCLAYS BANK IPATH ETN cs 06739H743 210 5275 2275 0 3000 BARCLAYS BANK IPATH ETN cs 06738C778 3364 65270 65070 0 200 BARRICK GOLD CORP F cs 067901108 17 474 474 0 - BAXTER INTERNATIONAL INC cs 071813109 26 401 401 0 - BECTON DICKINSON & CO cs 075887109 2 30 30 0 - BERKLEY W R CORPORATION cs 084423102 2 90 90 0 - BERKSHIRE HATHAWAY CL B cs 084670207 927 211 211 0 - BHP BILLITON LTD ADR F cs 088606108 22 425 375 0 50 BIOTECH HOLDERS TRUST cs 09067D201 55 300 300 0 - BLACKROCK CAL INSD 2008 cs 09247G108 74 5000 5000 0 - BLACKROCK CORE BD TRUST cs 009249104 21 2000 2000 0 - BLACKROCK EHNCD DIV INCM cs 09251A104 6 698 698 0 - BLACKROCK INC cs 09247X101 20 101 101 0 - BLACKROCK INCM OPPNTY TR cs 092475102 137 16250 16250 0 - BLKRCK MUNIYIELD CA INSD cs 09254N103 102 9830 9830 0 - BLKRCK MUNIYIELD CAL FD cs 09254M105 0 1 1 0 - BOB EVANS FARMS INC cs 096761101 8 300 300 0 - BOEING CO cs 097023105 202 3529 729 0 2800 BOEING CO cs 097023105 202 3529 729 0 2800 BOSTON SCIENTIFIC CORP cs 101137107 2 200 200 0 - BP PLC ADR F cs 055622104 275 5482 2836 0 2646 BP PLC ADR F cs 055622104 275 5482 2836 0 2646 BRISTOL-MYERS SQUIBB CO cs 110122108 202 9678 1123 0 8555 BROADVISION INC NEW cs 111412607 0 3 3 0 - BROWN FORMAN CORP CL B cs 115637209 2 25 25 0 - BURLINGTON NTH SANTA FE cs 12189T104 51 548 548 0 - C M G I INC NEW XXX cs 125750307 0 40 40 0 - C V S CAREMARK CORP cs 126650100 783 23270 19211 0 4059 CA WATER SERVICE GROUP cs 130788102 10 250 250 0 - CABOT CORPORATION cs 127055101 64 2000 - 0 2000 CAMECO CORP F cs 13321L108 5 240 240 0 - CANYON BANCORP CA cs 138752100 2 242 242 0 - CATERPILLAR INC cs 149123101 455 7640 7640 0 - CATHAY GENERAL BANCORP cs 149150104 238 10000 10000 0 - CENTERPOINT ENERGY INC cs 15189T107 1 46 46 0 - CENTEX CORPORATION cs 152312104 1 88 88 0 - CENTURYTEL INC cs 156700106 1 35 35 0 - CHEVRON CORPORATION cs 166764100 3081 37355 16307 0 21048 CHINA ARCHITECTURAL ENGR cs 16937S102 21 3000 3000 0 - CHINA MEDICAL TECH ADR F cs 169483104 7 200 200 0 - CHINA RENJI MEDICAL ORDF cs Y1510N103 0 2000 2000 0 - CHUBB CORPORATION cs 171232101 6 102 102 0 - CIMAREX ENERGY CO cs 171798101 5 100 100 0 - CINEMSTR LUX THEATER ^XX cs 17244C202 0 286 286 0 - CISCO SYSTEMS INC cs 17275R102 229 10170 10045 0 125 CITADEL BROADCASTING CP cs 17285T106 0 139 133 0 6 CITIGROUP INC cs 172967101 376 18318 18318 0 - CLEAN ENERGY FUELS CORP cs 184499101 28 2000 2000 0 - COACH INC cs 189754104 10 400 400 0 - COCA COLA COMPANY cs 191216100 58 1100 1100 0 - COEUR D ALENE MINES CP cs 192108108 6 4000 4000 0 - COHEN & STEERS QUALITY cs 19247L106 13 1000 1000 0 - COLGATE-PALMOLIVE CO cs 194162103 310 4120 120 0 4000 COMCAST CORP NEW CL A cs 20030N101 6 325 325 0 - COMMERCE ENERGY GROUP cs 20061Q106 2 8000 8000 0 - COMMERCEPLANET INC cs 20084U100 0 5000 5000 0 - COMPANHIA VALE DO ADR F cs 204412209 2 100 100 0 - COMPUTRZD THERML IMAGING cs 20557C108 0 45 - 0 45 CONAGRA FOODS INC cs 205887102 20 1007 1007 0 - CONEXANT SYSTEMS INC NEW cs 207142308 0 3 - 0 3 CONMED CORP cs 207410101 12 375 375 0 - CONOCOPHILLIPS cs 20825C104 727 9919 5031 0 4888 CONSOLIDATED EDISON INC cs 209115104 1085 25258 24158 0 1100 CONSTELLATION ENERGY CO cs 210371100 24 1000 1000 0 - COSTCO WHSL CORP NEW cs 22160K105 57 884 784 0 100 COVENTRY HEALTH CARE INC cs 222862104 16 490 490 0 - COVIDIEN LTD F cs G2552X108 2 38 8 0 30 COX COMMUN CL A NEW XXX cs 224044107 0 49 49 0 - CREDIT SUISSE GRP ADR F cs 225401108 18 375 375 0 - CRYSTALLEX INTL CORP F cs 22942F101 1 1590 1590 0 - CUMMINS INC cs 231021106 20 460 460 0 - CYTRX CORP NEW cs 232828301 2 3500 3500 0 - DANAHER CORP DEL cs 235851102 83 1200 1200 0 - DASSAULT SYSTEMS SA ADRF cs 237545108 8 150 150 0 - DAVITA INC cs 23918K108 57 1000 1000 0 - DEERE & CO cs 244199105 63 1280 1180 0 100 DEL MONTE FOODS CO cs 24522P103 0 44 44 0 - DESERT COMMERCIAL BANK cs 25038R103 1 150 150 0 - DEVON ENERGY CP NEW cs 25179M103 10 112 112 0 - DHT MARITIME INC F cs Y2065G105 1 100 100 0 - DIAGEO PLC NEW ADR F cs 25243Q205 1386 20125 19950 0 175 DIAMOND HILL FINL TRENDS cs 25264C101 18 2000 - 0 2000 DIAMONDS TRUST SERIES I cs 252787106 57 525 525 0 - DIANA SHIPPING INC F cs Y2066G104 10 500 500 0 - DIEBOLD INCORPORATED cs 253651103 112 3375 - 0 3375 DIRECTV GROUP INC cs 25459L106 13 500 500 0 - DISCOVERY COMMUN SER A cs 25470F104 4 250 250 0 - DISCOVERY COMMUN SER C cs 25470F302 4 250 250 0 - DISNEY WALT CO cs 254687106 29 950 859 0 91 DNP SELECT INCOME FUND cs 23325P104 277 29618 21018 0 8600 DOMINION RES INC VA NEW cs 25746U109 368 8609 8609 0 - DOVER CORPORATION cs 260003108 2 45 45 0 - DOW 30 PREM & DIV INCM cs 260582101 216 15050 14350 0 700 DOW CHEMICAL COMPANY cs 260543103 74 2329 2329 0 - DREAM MARKETING INC cs 26153A107 0 10 10 0 - DU PONT E I DE NEMOUR&CO cs 263534109 106 2626 875 0 1751 DUKE ENERGY CORP NEW cs 26441C105 3 200 200 0 - E M C CORP MASS cs 268648102 44 3660 3660 0 - E.ON AG ADR F cs 268780103 17 350 350 0 - EAGLE MATERIALS INC cs 26969P108 0 6 6 0 - EASTMAN KODAK COMPANY cs 277461109 2 106 106 0 - EATON VANCE LTD DURATION cs 27828H105 200 18140 17940 0 200 EDISON INTERNATIONAL cs 281020107 145 3636 3636 0 - EL CAPITAN PRECIOUS METL cs 282812106 0 150 150 0 - ELAN CORP PLC SPON ADR F cs 284131208 4 400 400 0 - ELETROBRAS ADR F cs 15234Q207 2 105 105 0 - EMERSON ELECTRIC CO cs 291011104 1182 28980 28980 0 - EMULEX CORP NEW cs 292475209 11 1000 1000 0 - ENERNORTH INDUSTRIES F cs 29275G101 0 150 150 0 - ENERPLUS RES FD NEW F cs 29274D604 186 5000 - 0 5000 ENPRO INDUSTRIES INC cs 29355X107 30 800 - 0 800 ENRON CORP XXX cs 293561106 0 30500 30500 0 - ERICSSON TEL ADR B NEW F cs 294821608 91 9600 - 0 9600 E-TRADE FINANCIAL CORP cs 269246104 8 3000 3000 0 - EVEREST RE GROUP LTD F cs G3223R108 2 20 20 0 - EXELON CORPORATION cs 30161N101 45 720 720 0 - EXPEDITORS INTL WASH cs 302130109 17 500 500 0 - EXXON MOBIL CORPORATION cs 30231G102 2308 29722 5482 0 24240 EYE CASH NETWORKS INCXXX cs 30232F103 0 7 7 0 - FEDEX CORPORATION cs 31428X106 34 435 435 0 - FIRST SOLAR INC cs 336433107 28 150 150 0 - FIRST TRUST FOUR CORNERS cs 33733Q107 28 2800 2800 0 - FIRST TRUST/FOUR CORNERS cs 33733U108 29 2800 2800 0 - FIRSTENERGY CORP cs 337932107 1 10 10 0 - FIT AFTER FIFTY INC cs 338126105 0 17500 17500 0 - FIVE STAR QUALITY CARE cs 33832D106 0 2 2 0 - FLIR SYSTEMS INC cs 302445101 15 400 400 0 - FORD MOTOR COMPANY NEW cs 345370860 8 1600 1600 0 - FORTUNE BRANDS INC cs 349631101 2 35 35 0 - FOSTER WHEELER NEW ORD F cs G36535139 4 100 - 0 100 FRANKLIN RESOURCES INC cs 354613101 485 5500 100 0 5400 FREEPORT MCMORAN COPPER cs 35671D857 35 617 617 0 - FRONTIER COMMUNICATIONS cs 35906A108 29 2500 2500 0 - FRONTIER OIL CORP cs 35914P105 2 100 100 0 - GAP INC cs 364760108 5 300 300 0 - GENCO SHIPPING & TRDG F cs Y2685T107 27 802 802 0 - GENENTECH INC NEW cs 368710406 52 581 581 0 - GENERAL DYNAMICS CORP cs 369550108 46 630 630 0 - GENERAL ELECTRIC COMPANY cs 369604103 1180 46263 45935 0 328 GENERAL MILLS INC cs 370334104 404 5878 5878 0 - GENERAL MOTORS CORP cs 370442105 7 700 700 0 - GLADSTONE CAPITAL CORP cs 376535100 3 224 224 0 - GLAXOSMITHKLINE PLC ADRF cs 37733W105 1868 42983 42683 0 300 GLOBAL NETWORKS CORP cs 379382104 0 5 5 0 - GOLDMAN SACHS GROUP INC cs 38141G104 16 123 123 0 - GOLDSPRING INC cs 381536101 0 20000 20000 0 - GOODRICH CORPORATION cs 382388106 166 4000 - 0 4000 GOOGLE INC CLASS A cs 38259P508 3401 8492 8432 0 60 H & Q HEALTHCARE FUND cs 404052102 395 28800 28800 0 - HAIN CELESTIAL GROUP INC cs 405217100 77 2800 2800 0 - HANESBRANDS INC cs 410345102 0 12 12 0 - HANOVER INSURANCE GROUP cs 410867105 113 2481 - 0 2481 HARLEY DAVIDSON INC cs 412822108 7 200 - 0 200 HERSHEY COMPANY cs 427866108 18 443 443 0 - HEWLETT-PACKARD COMPANY cs 428236103 46 1000 1000 0 - HIENERGY TECH INC cs 42952V101 0 25000 25000 0 - HOLLIS EDEN PHARM INC cs 435902101 7 6000 6000 0 - HOME DEPOT INC cs 437076102 2119 81833 72833 0 9000 HONDA MOTOR CO LTD ADR F cs 438128308 15 500 - 0 500 HSBC HLDGS PLC ADR NEW F cs 404280406 809 10010 10010 0 - HUANENG PWR INTL ADR F cs 443304100 5 200 200 0 - HUGOTON ROYALTY TR UBI cs 444717102 16 600 400 0 200 HUGOTON ROYALTY TR UBI cs 444717102 16 600 400 0 200 I T T CORPORATION NEW cs 450911102 11 200 200 0 - ICONIX BRAND GROUP INC cs 451055107 13 1000 1000 0 - IDEARC INC cs 451663108 0 380 149 0 231 IDEARC INC cs 451663108 0 380 149 0 231 IGNIS PETROLEUM GROUP cs 451725105 0 1000 - 0 1000 ILLINOIS TOOL WORKS INC cs 452308109 21 480 480 0 - INFOSPACE INC NEW cs 45678T201 1 80 80 0 - INFOSYS TECH SPON ADR F cs 456788108 220 6600 6600 0 - ING CLARION GLBL RE INCM cs 44982G104 22 2500 2500 0 - INTEGRYS ENERGY GROUP cs 45822P105 365 7300 7300 0 - INTEL CORP cs 458140100 489 26116 26116 0 - INTERNATIONAL PAPER CO cs 460146103 1 53 53 0 - INTL BUSINESS MACHINES cs 459200101 532 4550 750 0 3800 INTRUSION INC NEW cs 046121209 0 300 300 0 - INTUIT INC cs 461202103 13 400 400 0 - IOWA TELECOMMUNICATIONS cs 462594201 37 2000 2000 0 - IRVINE SENSOR CORP NEW cs 463664607 0 12 12 0 - ISHARES DJ SELECT DIV FD cs 464287168 1093 20537 19220 0 1317 ISHARES IBOXX INVESTOP cs 464287242 66 735 735 0 - ISHARES MEDICAL DEVICES cs 464288810 11 200 200 0 - ISHARES MSCI EMRG MKT FD cs 464287234 54 1575 1575 0 - ISHARES MSCI JPN IDX FD cs 464286848 199 18700 18700 0 - ISHARES PHARMACEUTICAL cs 464288836 5 100 - 0 100 ISHARES RUSSELL 1000 VAL cs 464287598 607 9505 9505 0 - ISHARES RUSSELL MIDCAP cs 464287481 2 50 50 0 - ISHARES RUSSELL MIDCAP cs 464287499 10 125 125 0 - ISHARES S&P 500 GROWTH cs 464287309 35 620 620 0 - ISHARES S&P MIDCAP 400 cs 464287705 7 100 100 0 - ISHARES S&P MIDCAP 400 cs 464287606 3 45 - 0 45 ISHARES S&P NORTH AM FD cs 464287374 11 300 300 0 - ISHARES SILVER TRUST cs 46428Q109 89 7500 - 0 7500 ISHARES TR DJ US FINL cs 464287788 1204 17345 17295 0 50 ISHARES TR DJ US HLTHCAR cs 464287762 393 6343 6343 0 - ISHARES TR LEHMAN BD FD cs 464287226 39 400 400 0 - ISHARES TR LEHMAN BD FD cs 464288638 2415 26104 26004 0 100 ISHARES TR LEHMAN BD FD cs 464288596 49 500 500 0 - ISHARES TR LEHMAN TIPS cs 464287176 3226 31848 31848 0 - ISHARES TR MSCI EAFE FD cs 464287465 2316 41132 36382 0 4750 ISHARES TR NASDAQ BIO FD cs 464287556 967 11885 11835 0 50 ISHARES TR RUSSELL 1000 cs 464287622 38 600 600 0 - ISHARES TR RUSSELL 1000 cs 464287614 5 100 - 0 100 ISHARES TR RUSSELL 2000 cs 464287655 5471 80450 80250 0 200 ISHARES TR RUSSELL 2000 cs 464287648 47 660 660 0 - ISHARES TR RUSSELL 3000 cs 464287689 0 1 1 0 - ISHARES TR S&P 100 INDEX cs 464287101 3969 74826 74726 0 100 ISHARES TR S&P GLOBAL cs 464287341 40 1050 1050 0 - ISHARES TR S&P GLOBAL cs 464287333 12 225 225 0 - ISHARES TR S&P GLOBAL cs 464287325 136 2695 2695 0 - ISHARES TR S&P GLOBAL cs 464287275 22 400 400 0 - ISHARES TR S&P MIDCAP cs 464287507 24 327 327 0 - ISHARES TRUST DOW JONES cs 464287721 9 200 200 0 - ISHARES TRUST INDEX FUND cs 464287184 301 8720 8720 0 - J D A SOFTWARE GROUP INC cs 46612K108 4 250 250 0 - JAYHAWK ENERGY INC cs 472100106 2 2000 2000 0 - JDS UNIPHASE CORP NEW cs 46612J507 0 43 24 0 19 JETBLUE AIRWAYS CORP cs 477143101 2 500 500 0 - JOHNSON & JOHNSON cs 478160104 4876 70378 54378 0 16000 JPMORGAN CHASE & CO cs 46625H100 226 4840 4840 0 - KIMBERLY-CLARK CORP cs 494368103 88 1350 1350 0 - KIRIN HOLDINGS CO ADR F cs 497350306 3 250 250 0 - KON PHILIPS ELEC NV NEWF cs 500472303 27 1000 - 0 1000 KOREA ELEC POWER CP ADRF cs 500631106 13 1012 1012 0 - KRAFT FOODS INC cs 50075N104 15 461 461 0 - KROGER COMPANY cs 501044101 1 50 50 0 - L-3 COMMUNICATIONS HLDGS cs 502424104 15 151 151 0 - LEARNING PRIORITY INC cs 052201111 0 3 3 0 - LEGG MASON INC cs 524901105 2 50 50 0 - LEHMAN BROS HOLDING INC cs 524908100 0 1000 1000 0 - LENNAR CORP CL A cs 526057104 38 2500 2500 0 - LEVEL 3 COMMUNICATIONS cs 52729N100 1 500 500 0 - LILLY ELI & COMPANY cs 532457108 587 13329 13329 0 - LINCOLN NATIONAL CORP cs 534187109 9 200 200 0 - LINN ENERGY cs 536020100 2 100 100 0 - LOCKHEED MARTIN CORP cs 539830109 5 45 45 0 - LONGTOP FINL TECH ADR F cs 54318P108 1 100 100 0 - LSI CORPORATION cs 502161102 0 6 6 0 - MARATHON OIL CORP cs 565849106 326 8178 - 0 8178 MARKET VECTORS ETF TRUST cs 57060U100 890 26350 3850 0 22500 MARKET VECTORS ETF TRUST cs 57060U605 18 500 500 0 - MASCO CORP cs 574599106 18 1000 1000 0 - MASSEY ENERGY COMPANY cs 576206106 54 1500 - 0 1500 MATSUSHITA ELEC IND ADRF cs 576879209 17 1000 - 0 1000 MC DONALDS CORP cs 580135101 426 6900 2039 0 4861 MCLEODUSA INC CL A NE^XX cs 582266706 0 234 234 0 - MEDCOHEALTH SOLUTIONS cs 58405U102 32 714 714 0 - MEDTRONIC INC cs 585055106 82 1627 1427 0 200 MELTRONIX INC cs 585730104 0 12000 12000 0 - MERCK & CO INC cs 589331107 14 450 450 0 - MERIDIAN BIOSCIENCE INC cs 589584101 3 101 101 0 - MERISEL INC NEW cs 589849306 0 10 10 0 - METAWAVE COMMUN NEW cs 591409107 0 100 - 0 100 METLIFE INC cs 59156R108 7 123 123 0 - MICROCHANNEL TECH CORP cs 59502G103 0 600 600 0 - MICROCHIP TECHNOLOGY INC cs 595017104 87 2950 2950 0 - MICROSOFT CORP cs 594918104 430 16102 3202 0 12900 MID CAP S P D R TRUST cs 595635103 57 431 431 0 - MINDSPEED TECH INC NEW cs 602682205 0 2 - 0 2 MIV THERAPEUTICS INC NEW cs 55306V205 0 549 549 0 - MOBICLEAR INC NEW cs 60705L204 0 1 1 0 - MONSANTO CO NEW DEL cs 61166W101 383 3873 1873 0 2000 MONTEREY GOURMET FOODS cs 612570101 10 5000 5000 0 - MORGAN STANLEY cs 617446448 5 200 200 0 - MOTOROLA INC cs 620076109 3 400 400 0 - MS CA INSD MUN INCM TR cs 61745P502 108 10000 10000 0 - MS INSURED CA MUN SECS cs 61745P825 51 4170 4170 0 - MUTUAL RISK MGMT ORD F cs 628351108 0 52 52 0 - N I I HOLDINGS INC NEW cs 62913F201 11 300 300 0 - N V E CORPORATION NEW cs 629445206 3 100 100 0 - NATIONAL FUEL GAS CO cs 636180101 863 20455 20455 0 - NEWMONT MINING CORP cs 651639106 11 291 291 0 - NEWS CORP LTD CL A cs 065248108 0 18 18 0 - NORFOLK SOUTHERN CORP cs 655844108 12 182 182 0 - NORTEL NETWORKS CP NEW F cs 656568508 1 422 422 0 - NORTHROP GRUMMAN CORP cs 666807102 339 5606 5306 0 300 NOVARTIS A G SPON ADR F cs 66987V109 35 665 665 0 - NSTAR cs 067019111 26 768 768 0 - NUCOR CORP cs 670346105 6 150 150 0 - NUVEEN AZ DIV ADVNTGE FD cs 67071P107 23 2000 2000 0 - NUVEEN AZ PREM INCM MUNI cs 67061W104 23 2000 2000 0 - NUVEEN CA DIV ADV MUN FD cs 67066Y105 247 22850 22300 0 550 NUVEEN CA QLTY INCM MUN cs 670985100 43 3904 3904 0 - NUVEEN CA SELECT TAX FR cs 67063R103 61 5000 5000 0 - NUVEEN DIVERSFD DIVID FD cs 6706EP105 5 500 500 0 - NUVEEN EQTY PREM INC FD cs 6706ER101 608 47850 47850 0 - NUVEEN EQTY PREM OPTY FD cs 6706EM102 595 45750 45750 0 - NUVEEN INSD CA PRE FD II cs 67061U108 83 8000 8000 0 - NUVEEN INSD CA PREM INCM cs 67061X102 84 7500 7500 0 - NUVEEN INSD CA TAX FREE cs 670651108 796 69304 69054 0 250 NUVEEN INSD TAX FREE ADV cs 670657105 37 3500 3500 0 - NUVEEN INVT QLTY MUN FD cs 067062107 74 7000 7000 0 - NUVEEN MUNI ADVTG FUND cs 67062H106 56 5000 5000 0 - NUVEEN MUNI MKT OPPTY FD cs 67062W103 102 9300 9300 0 - NUVEEN QLTY INCM MUNI FD cs 670977107 77 7032 7032 0 - NUVEEN REAL EST INC FD cs 67071B108 23 2000 2000 0 - NUVEEN SELCT QLTY MUN FD cs 670973106 57 5000 5000 0 - OCCIDENTAL PETE CORP cs 674599105 154 2180 2180 0 - OCTILLION CORP NEW cs 675729206 0 600 600 0 - OLD REPUBLIC INTL CORP cs 680223104 2 155 155 0 - OMNICOM GROUP INC cs 681919106 8 200 200 0 - ONEBEACON INSURANCE GP F cs G67742109 1 65 65 0 - OPEN JOINT STOCK CO ADRF cs 68370R109 10 500 500 0 - OPTIMUMCARE CORP cs 68388V100 1 5800 5800 0 - ORACLE CORPORATION cs 68389X105 88 4350 4350 0 - OXYGEN BIOTHERAP INC cs 69207P100 0 1000 1000 0 - P G & E CORP cs 69331C108 30 795 795 0 - P P G INDUSTRIES INC cs 693506107 1 25 25 0 - PACTIV CORPORATION cs 695257105 3 112 112 0 - PALM INC cs 696643105 0 26 26 0 - PATRIOT COAL CORP cs 70336T104 1 20 20 0 - PEABODY ENERGY CORP cs 704549104 9 200 200 0 - PEAKSOFT MULTINET CORP F cs 704916204 0 125 125 0 - PENN WEST ENERGY TRUST F cs 707885109 481 19950 10950 0 9000 PENTHOUSE INTL INC cs 709640106 1 190000 190000 0 - PEPSI BOTTLING GROUP INC cs 713409100 0 0 0 0 - PEPSICO INCORPORATED cs 713448108 843 11825 11825 0 - PETROLEO BRASILEIRO ADRF cs 71654V408 8 184 184 0 - PFIZER INCORPORATED cs 717081103 128 6918 6818 0 100 PHILIP MORRIS INTL INC cs 718172109 92 1905 1905 0 - PIMCO CORP INCOME FUND cs 72200U100 1453 154600 153500 0 1100 PIMCO CORPORATE OPPTY FD cs 72201B101 12 1200 1200 0 - PINNACLE ENTERTAINMENT cs 723456109 0 8 8 0 - PINNACLE WEST CAPITAL CP cs 723484101 17 500 500 0 - PIPER JAFFRAY COS NEW cs 724078100 0 9 9 0 - PNM RESOURCES INC cs 69349H107 8 750 - 0 750 POTASH CORP SASK INC F cs 73755L107 1 10 10 0 - POWERSHRS DB GOLD F cs 25154H749 271 14000 - 0 14000 POWERSHS EXCH TRAD FD TR cs 73935X856 104 5750 5750 0 - POWERSHS EXCH TRAD FD TR cs 73935X500 25 1675 1625 0 50 POWERSHS EXCH TRAD FD TR cs 73935X401 2 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73935X575 70 3785 3785 0 - POWERSHS EXCH TRAD FD TR cs 73935X690 2 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73935X658 2 100 100 0 - POWERSHS QQQ TRUST SER 1 cs 73935A104 31 794 794 0 - POWERWAVE TECH INC cs 739363109 0 67 67 0 - PRINCIPAL FINANCIAL GRP cs 74251V102 4 100 100 0 - PROCTER & GAMBLE cs 742718109 2276 32661 29625 0 3036 PROSHARES TR ULTRASHORT cs 74347R552 108 1400 1400 0 - PROSHS ULTRASHORT XINHUA cs 74347R321 19 200 200 0 - PRUDENTIAL FINANCIAL INC cs 744320102 8 115 115 0 - PUB SVC ENT GROUP INC cs 744573106 7 200 200 0 - PUGET ENERGY INC cs 745310102 5 200 200 0 - QUALCOMM INC cs 747525103 1840 42818 42518 0 300 QUANTUM FUEL SYS TECH cs 074765113 5 4000 4000 0 - QUEST DIAGNOSTIC INC cs 74834L100 137 2650 2650 0 - QUIKSILVER INC cs 74838C106 3 440 40 0 400 QWEST COMMUNS INTL INC cs 749121109 0 13 13 0 - RAMBUS INC DEL cs 750917106 9 700 700 0 - RAYTHEON COMPANY NEW cs 755111507 10 184 184 0 - RECORDLAB CORP cs 75626L109 0 262 - 0 262 RELIANT ENERGY INC cs 75952B105 0 36 36 0 - RESEARCH IN MOTION LTD F cs 760975102 48 696 696 0 - REYNOLDS AMERICAN INC cs 761713106 12 245 245 0 - RIO TINTO PLC SPON ADR F cs 767204100 12 50 50 0 - ROHM & HAAS CO cs 775371107 4 60 60 0 - ROWE T PRICE GROUP INC cs 74144T108 36 673 673 0 - ROYAL DUTCH SHELL A ADRF cs 780259206 1512 25620 23620 0 2000 ROYAL DUTCH SHELL B ADRF cs 780259107 5 96 96 0 - ROYCE VALUE TRUST INC cs 780910105 346 26000 25300 0 700 RXI PHARMACEUTICALS CORP cs 74978T109 1 174 174 0 - S & P 500 CVRD CALL FUND cs 78381P109 1 100 100 0 - S G I INTERNATIONAL NEW cs 784185209 0 100 100 0 - S P D R TRUST UNIT SR 1 cs 78462F103 499 4298 4298 0 - SAN DIEGO TRUST BANK cs 797483104 5 300 300 0 - SANDISK CORP cs 80004C101 4 200 200 0 - SANGAMO BIOSCIENCES INC cs 800677106 46 6000 6000 0 - SANOFI AVENTIS ADR F cs 80105N105 10 319 319 0 - SARA LEE CORP cs 803111103 1 100 100 0 - SCHERING PLOUGH CORP cs 806605101 14 750 750 0 - SCHLUMBERGER LTD F cs 806857108 94 1201 1201 0 - SCICLONE PHARM INC cs 80862K104 2 1568 1568 0 - SCORE BOARD INC cs 809173206 0 400 400 0 - SEACOAST HOLDING CORPXXX cs 81170X101 0 4 4 0 - SECTOR SPDR ENGY SELECT cs 81369Y506 393 6211 6161 0 50 SECTOR SPDR FINCL SELECT cs 81369Y605 686 34505 34505 0 - SECTOR SPDR HEALTH FUND cs 81369Y209 795 26452 26352 0 100 SECTOR SPDR INDL SELECT cs 81369Y704 23 750 750 0 - SECTOR SPDR MATERIALS FD cs 81369Y100 37 1100 1100 0 - SECTOR SPDR TECH SELECT cs 81369Y803 526 26500 25950 0 550 SECTOR SPDR TR CON STPLS cs 81369Y308 424 15350 15200 0 150 SECTOR SPDR UTIL SELECT cs 81369Y886 125 3750 3750 0 - SEMICONDUCTOR HOLDERS TR cs 816636203 0 10 10 0 - SEMPRA ENERGY cs 816851109 632 12527 12527 0 - SHL TELEMEDICINE ORD F cs M84047105 5 700 700 0 - SIERRA WIRELESS INC F cs 826516106 0 1 1 0 - SILVERADO GLD MINES NEWF cs 827906207 0 6000 6000 0 - SIRIUS XM RADIO INC cs 82967N108 0 500 500 0 - SKYWORKS SOLUTIONS INC cs 83088M102 0 13 - 0 13 SOLARFUN POWER HOLDINGSF cs 83415U108 1 100 100 0 - SONY CORP ADR NEW F cs 835699307 22 700 700 0 - SOUNDBITE COMMUNICATIONS cs 836091108 0 100 100 0 - SOUTHERN COPPER CORP cs 84265V105 53 2800 2800 0 - SOUTHWEST AIRLINES CO cs 844741108 20 1400 1400 0 - SOUTHWEST GAS CORP COM cs 844895102 40 1337 1337 0 - SPDR GOLD TRUST cs 78463V107 9065 106565 105865 0 700 SPDR S&P OIL & GAS EQUIP cs 78464A748 122 3751 3601 0 150 SPRINT NEXTEL CORP cs 852061100 0 2 2 0 - ST JUDE MEDICAL INC cs 790849103 11 250 250 0 - STARBUCKS CORP cs 855244109 58 3900 3900 0 - STRATEGIC RESOURCES LTD cs 862773108 0 6500 6500 0 - STRYKER CORP cs 863667101 103 1650 1650 0 - SUN CAL ENERGY cs 86664Q108 0 100 100 0 - SUN MICROSYSTEMS INC NEW cs 866810203 4 500 500 0 - SUNCOR ENERGY INC F cs 867229106 2 46 46 0 - SUNOCO INC cs 86764P109 71 2000 - 0 2000 SUNTECH POWER HLDGS ADRF cs 86800C104 1 25 25 0 - SUPERVALU INC cs 868536103 2 85 85 0 - SYSCO CORPORATION cs 871829107 247 8000 - 0 8000 T J X COS INC cs 872540109 4 140 140 0 - TARGET CORPORATION cs 087612110 285 5802 5802 0 - TASER INTERNATIONAL INC cs 87651B104 7 1000 1000 0 - TEEKAY CORP F cs Y8564W103 1 45 45 0 - TELECHIPS CORP NEW cs 879269207 0 133 133 0 - TELEFON DE MEX L ADR F cs 879403780 10 400 400 0 - TELMEX INTL SAB DE ADR F cs 879690105 5 400 400 0 - TEVA PHARM INDS LTD ADRF cs 881624209 46 1000 1000 0 - TEXAS INSTRUMENTS INC cs 882508104 25 1180 1180 0 - THE CHARLES SCHWAB CORP cs 808513105 12 450 450 0 - THE SOUTHERN COMPANY cs 842587107 29 763 763 0 - TIME WARNER INC cs 887317105 30 2320 2320 0 - TORONTO DOMINION BANK F cs 891160509 24 400 400 0 - TOYOTA MOTOR CP ADR NEWF cs 892331307 13 150 - 0 150 TRANSOCEAN INC NEW F cs G90073100 5 50 50 0 - TRAVELERS COMPANIES INC cs 089417113 2 46 46 0 - TYCO ELECTRONICS LTD F cs G9144P105 1 38 8 0 30 TYCO INTL LTD NEW F cs G9143X208 1 38 8 0 30 U S A BIOMASS CORP cs 90333F105 0 20000 20000 0 - U S BANCORP DEL NEW cs 902973304 104 2900 2900 0 - UMPQUA HOLDINGS CORP cs 904214103 5 330 330 0 - UNILEVER N V NY SHS NEWF cs 904784709 16 575 575 0 - UNITED STATES STEEL CORP cs 912909108 32 417 - 0 417 UNITED TECHNOLOGIES CORP cs 913017109 141 2352 2352 0 - UNITEDHEALTH GROUP INC cs 91324P102 4 170 170 0 - UPM-KYMMENE CP SPON ADRF cs 915436109 1 87 87 0 - UPSTREAM BIOSCIENCES INC cs 91678P104 0 1500 1500 0 - URANIUM PARTICIPATION F cs 917017105 3 500 500 0 - USINTERNETWORKING INC^XX cs 917311805 0 10000 10000 0 - VANGUARD BOND INDEX FUND cs 921937835 1006 13300 13150 0 150 VANGUARD MID CAP cs 922908629 428 7210 7210 0 - VANGUARD UTILITIES cs 92204A876 5 70 70 0 - VERIGY LTD F cs Y93691106 8 499 21 0 478 VERISIGN INC cs 092343106 0 8 8 0 - VERIZON COMMUNICATIONS cs 92343V104 314 9774 5150 0 4624 VISA INC CL A cs 92826C839 4 60 60 0 - VODAFONE GROUP NEW ADR F cs 92857W209 88 4002 437 0 3565 WACHOVIA CORP NEW cs 929903102 6 1662 1662 0 - WALGREEN COMPANY cs 931422109 688 22223 22223 0 - WAL-MART STORES INC cs 931142103 71 1182 1182 0 - WASHINGTON MUTUAL INC cs 939322103 0 150 150 0 - WASTE MANAGEMENT INC DEL cs 94106L109 50 1600 1600 0 - WATSON PHARMACEUTICALS cs 942683103 57 2000 2000 0 - WELLS FARGO & CO NEW cs 949746101 50 1335 1335 0 - WEYERHAEUSER CO cs 962166104 151 2500 2500 0 - WILLIAMS COMPANIES cs 969457100 144 6100 100 0 6000 WINDSTREAM CORPORATION cs 97381W104 11 1000 1000 0 - WISDOMTREE DIV TOP 100 cs 97717W406 18 400 400 0 - WISDOMTREE INTL LRGCP DV cs 97717W794 184 3650 3650 0 - WISDOMTREE INTL MDCP DIV cs 97717W778 255 5250 - 0 5250 WISDOMTREE TRUST cs 97717W315 1885 43285 42975 0 310 WORLDCOM INC ^XX cs 98157D106 0 10 10 0 - WYETH cs 983024100 668 18087 18087 0 - XCEL ENERGY INC cs 98389B100 81 4060 60 0 4000 XTO ENERGY INC cs 98385X106 1 26 26 0 - YAMANA GOLD INC F cs 98462Y100 3 408 408 0 - YUM BRANDS INC cs 988498101 12 373 373 0 - Z TRIM HOLDINGS cs 988924106 2 15000 15000 0 - ZIMMER HOLDINGS INC cs 98956P102 99 1541 697 0 844 AMERIGAS PARTNERS LP oa 030975106 52 1700 1700 0 - B & G FOODS INC oa 05508R205 13 1000 1000 0 - BREITBURN ENERGY PTNR LP oa 106776107 30 2000 2000 0 - DUKE REALTY CORP oa 264411505 20 800 800 0 - ENBRIDGE ENERGY PTNRS LP oa 29250R106 5 120 - 0 120 EQUITY RESIDENTIAL oa 29476L107 16 350 350 0 - GMAC 10,000 FACE 0%12 UT oa 36186CAD5 8 4 4 0 - H C P INC oa 40414L109 8 200 200 0 - HEALTHCARE REALTY TRUST oa 421946104 12 400 400 0 - HOST HOTELS & RESORTS oa 44107P104 1 45 45 0 - KILROY REALTY CORP oa 49427F108 10 200 200 0 - KINDER MORGAN ENERGY LP oa 494550106 21 400 400 0 - LAACO INC LTD PARTNSHIP oa 505346106 54 40 40 0 - LAZARD LTD F oa G54050102 4 100 100 0 - MV OIL TRUST oa 553859109 1 100 100 0 - NATIONWIDE HEALTH PPTYS oa 638620104 108 3000 3000 0 - ONEOK PARTNERS LP oa 68268N103 8 151 151 0 - PLUM CREEK TIMBER CO oa 729251108 58 1159 1159 0 - REALTY INCOME CORP oa 756109104 11 434 434 0 - SIMON PPTY GROUP NEW oa 828806109 19 200 200 0 - TEPPCO PARTNERS L P oa 872384102 9 350 350 0 - UMH PROPERTIES INC oa 903002103 28 4000 4000 0 - UNITED STATES NAT GAS FD oa 912318102 17 500 500 0 -
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