-----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, P84pQhpsL/smcmnar2VaEephyDWu18SeKNn2CFV9djhAk7RH51gA7EW/KkHHiEBB yLbHc14gxhayGd91V6L5AQ== 0001140361-10-044373.txt : 20101109 0001140361-10-044373.hdr.sgml : 20101109 20101109105554 ACCESSION NUMBER: 0001140361-10-044373 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 EFFECTIVENESS DATE: 20101109 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: 101174871 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2010 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 & Co., Inc. Address: 19200 VON KARMAN AVE, SUITE 1030 IRVINE, CALIFORNIA 92612 Form 13F File Number: 028-12756 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Benjamin Lau Title: Portfolio Manager Phone: (949)-253-8888 Signature, Place, and Date of Signing: /s/ Benjamin Lau IRVINE, CALIFORNIA 11/8/2010 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 434 Form 13F Information Table Value Total: $ 164,760 -------------- (In 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. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- EXXON MOBIL CORPORATION cs 30231G102 7,221 116,861 92,246 0 24,615 SPDR GOLD TRUST cs 78463V107 6,980 54,570 53,630 0 940 PROSHARES SHORT S&P 500 cs 74347R503 6,858 140,250 70,250 0 70,000 JOHNSON & JOHNSON cs 478160104 5,892 95,100 78,900 0 16,200 QUALCOMM INC cs 747525103 5,647 125,129 124,429 0 700 ISHARES TR BARCLAYS BOND cs 464288638 5,536 51,070 49,370 0 1,700 PFIZER INCORPORATED cs 717081103 5,461 318,062 300,762 0 17,300 A T & T INC NEW cs 00206R102 5,390 188,457 158,737 0 29,720 ABBOTT LABORATORIES cs 002824100 5,321 101,850 101,425 0 425 FLUOR CORPORATION NEW cs 343412102 4,932 99,585 99,385 0 200 KIMBERLY-CLARK CORP cs 494368103 4,744 72,925 72,850 0 75 VANGUARD BOND INDEX FUND cs 921937835 4,271 51,670 49,470 0 2,200 PROSHS ULTRASHRT S&P500 cs 74347R883 3,943 133,250 15,750 0 117,500 EDISON INTERNATIONAL cs 281020107 3,876 112,716 112,516 0 200 GLAXOSMITHKLINE PLC ADRF cs 37733W105 3,676 93,025 92,525 0 500 CONSOLIDATED EDISON INC cs 209115104 3,487 72,305 70,805 0 1,500 UNILEVER N V NY SHS NEWF cs 904784709 3,138 105,025 104,925 0 100 ISHARES TR BARCLAYS TIPS cs 464287176 3,131 28,713 28,713 0 - ENI S P A SPON ADR F cs 26874R108 2,995 69,350 69,250 0 100 GREENHAVEN CONT CMDTY cs 395258106 2,984 105,950 105,950 0 - EXELON CORPORATION cs 30161N101 2,852 66,975 66,575 0 400 PROSH ULTRASHRT REAL NEW cs 74347X583 2,734 127,500 - 0 127,500 RESEARCH IN MOTION LTD F cs 760975102 2,695 55,351 55,076 0 275 PROCTER & GAMBLE cs 742718109 2,584 43,092 39,860 0 3,232 DOMINION RES INC VA NEW cs 25746U109 2,467 56,495 56,495 0 - POWERSHRS DB GOLD DBL F cs 25154H756 2,463 259,500 4,500 0 255,000 GENERAL ELECTRIC COMPANY cs 369604103 2,358 145,122 143,997 0 1,125 PROSHS ULTRASHORT FINLS cs 74347R628 2,096 105,500 500 0 105,000 DIAGEO PLC NEW ADR F cs 25243Q205 1,896 27,480 27,330 0 150 CHEVRON CORPORATION cs 166764100 1,819 22,447 1,399 0 21,048 COHEN & STEERS cs 19248A109 1,773 111,398 110,998 0 400 ISHARES TR BARCLAYS BOND cs 464287432 1,736 16,450 16,250 0 200 PETROLEO BRASILEIRO ADRF cs 71654V408 1,689 46,575 46,375 0 200 NUVEEN INSD CA TAX FREE cs 670651108 1,371 98,445 97,927 0 518 PIMCO CORP INCOME FUND cs 72200U100 1,352 83,400 81,500 0 1,900 VISA INC CL A cs 92826C839 1,253 16,875 16,875 0 - PEPSICO INCORPORATED cs 713448108 1,162 17,493 17,493 0 - BAXTER INTERNATIONAL INC cs 071813109 949 19,884 19,884 0 - GABELLI GLOBAL DEAL FUND cs 36245G103 888 64,100 63,500 0 600 ISHARES TRUST cs 464288513 858 9,570 9,420 0 150 ANADARKO PETROLEUM CORP cs 032511107 840 14,720 - 0 14,720 NUVEEN CA DIV ADV MUN FD cs 67066Y105 833 59,300 58,800 0 500 JP MORGAN EXCH TRADED NT cs 46625H365 764 22,640 22,440 0 200 PROSHARES ULTRASHORT QQQ cs 74347R875 731 49,850 4,850 0 45,000 ENTERPRISE PRD PRTNRS LP oa 293792107 724 18,260 5,860 0 12,400 WISDOMTREE TRUST cs 97717W182 719 28,300 28,300 0 - APPLE INC cs 037833100 686 2,417 2,065 0 352 INTL BUSINESS MACHINES cs 459200101 684 5,099 1,299 0 3,800 PROSHS ULTRASHORT ETF cs 74347X401 682 40,000 - 0 40,000 PROSHS ULTRASHORT ETF cs 74347X807 677 40,400 400 0 40,000 ISHARES TR RUSSELL 2000 cs 464287655 671 9,935 9,935 0 - MARKET VECTORS ETF TRUST cs 57060U100 626 11,200 1,200 0 10,000 FRANKLIN RESOURCES INC cs 354613101 577 5,400 - 0 5,400 AMGEN INCORPORATED cs 031162100 573 10,400 - 0 10,400 ISHARES TR MSCI EAFE FD cs 464287465 561 10,215 10,215 0 - BERKSHIRE HATHAWAY B NEW cs 084670702 546 6,600 6,200 0 400 MC DONALDS CORP cs 580135101 535 7,186 1,386 0 5,800 ISHARES NASDAQ BIO FD cs 464287556 514 5,955 5,855 0 100 ISHARES MSCI EMRG MKT FD cs 464287234 501 11,190 11,140 0 50 DNP SELECT INCOME FUND cs 23325P104 500 50,950 37,650 0 13,300
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- NORTHROP GRUMMAN CORP cs 666807102 473 7,806 7,506 0 300 MICROSOFT CORP cs 594918104 443 18,107 5,307 0 12,800 VERIZON COMMUNICATIONS cs 92343V104 438 13,437 4,498 0 8,939 BRISTOL-MYERS SQUIBB CO cs 110122108 437 16,110 2,664 0 13,446 S P D R S&P 500 ETF TR cs 78462F103 436 3,819 3,819 0 - AVERY DENNISON CORP cs 053611109 371 10,000 - 0 10,000 HOME DEPOT INC cs 437076102 365 11,508 2,508 0 9,000 NUVEEN EQTY PREM INC FD cs 6706ER101 360 27,100 27,100 0 - C V S CAREMARK CORP cs 126650100 354 11,259 7,200 0 4,059 CONOCOPHILLIPS cs 20825C104 327 5,688 800 0 4,888 TEVA PHARM INDS LTD ADRF cs 881624209 318 6,030 4,780 0 1,250 KINDER MORGAN ENERGY LP oa 494550106 317 4,633 4,633 0 - EATON VANCE LTD DURATION cs 27828H105 307 18,727 18,727 0 - COLGATE-PALMOLIVE CO cs 194162103 307 4,000 - 0 4,000 ISHARES TR DJ US HLTHCAR cs 464287762 302 4,780 4,780 0 - GOODRICH CORPORATION cs 382388106 295 4,000 - 0 4,000 INTEL CORP cs 458140100 286 14,918 14,918 0 - MARATHON OIL CORP cs 565849106 271 8,178 - 0 8,178 BOEING CO cs 097023105 261 3,927 1,127 0 2,800 WISDOMTREE INTL MDCP DIV cs 97717W778 257 5,250 - 0 5,250 SECTOR SPDR TR CON STPLS cs 81369Y308 244 8,740 8,590 0 150 HEWLETT-PACKARD COMPANY cs 428236103 234 5,560 5,560 0 - BANK OF AMERICA CORP cs 060505104 228 17,436 15,436 0 2,000 SYSCO CORPORATION cs 871829107 228 8,000 - 0 8,000 BLACKROCK INCM OPPNTY TR cs 092475102 227 21,850 21,850 0 - NUCOR CORP cs 670346105 220 5,750 5,750 0 - BANK OF NY MELLON CP NEW cs 064058100 206 7,880 - 0 7,880 SECTOR SPDR HEALTH FUND cs 81369Y209 194 6,350 6,250 0 100 ISHARES MSCI JPN IDX FD cs 464286848 179 18,125 18,125 0 - PHILIP MORRIS INTL INC cs 718172109 169 3,020 3,020 0 - VODAFONE GROUP NEW ADR F cs 92857W209 162 6,529 2,964 0 3,565 ALTRIA GROUP INC cs 02209S103 162 6,730 5,230 0 1,500 COCA COLA COMPANY cs 191216100 161 2,756 2,756 0 - SECTOR SPDR TECH SELECT cs 81369Y803 160 6,950 6,900 0 50 GOOGLE INC CLASS A cs 38259P508 159 303 266 0 37 CISCO SYSTEMS INC cs 17275R102 152 6,954 6,904 0 50 INVESCO CA INSD MUN INCM cs 46130L109 148 10,000 10,000 0 - ROYAL DUTCH SHELL A ADRF cs 780259206 145 2,400 400 0 2,000 NUVEEN INSD CA PRE FD II cs 67061U108 144 10,177 10,177 0 - BLKRCK MUNIYIELD CA INSD cs 09254N103 141 9,830 9,830 0 - GUGGENHEIM EXCH TRD FD cs 18383M100 134 3,000 3,000 0 - AGILENT TECHNOLOGIES INC cs 00846U101 130 3,906 - 0 3,906 JPMORGAN CHASE & CO cs 46625H100 129 3,399 3,399 0 - ABERDEEN ASIA PAC INCM cs 003009107 126 18,100 18,100 0 - 1/100 BERKSHIRE HTWY CLA cs 084990175 125 1 1 0 - GOLDMAN SACHS GROUP INC cs 38141G104 120 827 27 0 800 CATHAY GENERAL BANCORP cs 149150104 119 10,000 10,000 0 - NUVEEN EQTY PREM OPTY FD cs 6706EM102 118 8,950 8,950 0 - HANOVER INSURANCE GROUP cs 410867105 117 2,481 - 0 2,481 WILLIAMS COMPANIES cs 969457100 117 6,100 100 0 6,000 NUVEEN INSD CA PREM INCM cs 67061X102 111 7,500 7,500 0 - NUVEEN INVT QLTY MUN FD cs 67062E107 107 7,000 7,000 0 - DOW 30 PREM & DIV INCM cs 260582101 106 7,450 6,950 0 500 CITIGROUP INC cs 172967101 106 27,037 24,437 0 2,600 NUVEEN QLTY INCM MUNI FD cs 670977107 106 7,032 7,032 0 - ERICSSON TEL ADR B NEW F cs 294821608 105 9,600 - 0 9,600 DIEBOLD INCORPORATED cs 253651103 105 3,375 - 0 3,375 AMYLIN PHARMACEUTICALS cs 032346108 104 5,000 5,000 0 - NUVEEN MUNI MKT OPPTY FD cs 67062W103 104 7,000 7,000 0 - STARBUCKS CORP cs 855244109 101 3,945 3,920 0 25
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- MONSANTO CO NEW DEL cs 61166W101 96 2,000 - 0 2,000 SONY CORP ADR NEW F cs 835699307 93 3,000 3,000 0 - KRAFT FOODS INC cs 50075N104 93 3,000 2,000 0 1,000 ROYCE VALUE TRUST INC cs 780910105 92 7,600 7,600 0 - XCEL ENERGY INC cs 98389B100 92 4,000 - 0 4,000 DU PONT E I DE NEMOUR&CO cs 263534109 92 2,054 303 0 1,751 EXPRESS SCRIPTS INC cs 302182100 88 1,800 1,800 0 - SECTOR SPDR ENGY SELECT cs 81369Y506 87 1,550 1,550 0 - SEMPRA ENERGY cs 816851109 83 1,534 1,534 0 - POWERSHS DB US DOLLAR TR cs 73936D107 81 3,525 3,525 0 - UNITED PARCEL SERVICE B cs 911312106 80 1,200 1,200 0 - PROSHS ULTRASHORT LEHMAN cs 74347R297 78 2,500 2,500 0 - ALLERGAN INC cs 018490102 78 1,172 972 0 200 NUVEEN SELCT QLTY MUN FD cs 670973106 78 5,000 5,000 0 - AMERIGAS PARTNERS LP oa 030975106 77 1,725 1,725 0 - BARCLAYS BANK IPATH ETN cs 06738C778 76 1,800 1,800 0 - NUSTAR ENERGY LP oa 67058H102 74 1,202 1,202 0 - THE CHARLES SCHWAB CORP cs 808513105 74 5,300 300 0 5,000 SUNOCO INC cs 86764P109 73 2,000 - 0 2,000 POWERSHS EXCH TRAD FD TR cs 73935X856 73 3,750 3,750 0 - PROSH ULTSHRT XINHUA NEW cs 74347X567 72 2,240 2,240 0 - NUVEEN CA SELECT TAX FR cs 67063R103 69 5,000 5,000 0 - DAVITA INC cs 23918K108 69 1,000 1,000 0 - PROSHS ULTRASHRT OIL NEW cs 74347X591 68 1,200 1,200 0 - CABOT CORPORATION cs 127055101 65 2,000 - 0 2,000 COSTCO WHSL CORP NEW cs 22160K105 64 1,000 900 0 100 WASTE MANAGEMENT INC DEL cs 94106L109 64 1,800 1,800 0 - DANAHER CORP DEL cs 235851102 63 1,548 1,548 0 - TELEFON DE MEX L ADR F cs 879403780 63 4,200 4,200 0 - POWERSHS QQQ TRUST SER 1 cs 73935A104 61 1,250 1,250 0 - NUVEEN MUNI ADVTG FUND cs 67062H106 61 4,000 4,000 0 - EQUITY RESIDENTIAL oa 29476L107 59 1,250 1,250 0 - NUVEEN CA QLTY INCM MUN cs 670985100 59 3,904 3,904 0 - INVESCO INSD CA MUN SECS cs 46130W105 57 4,170 4,170 0 - MID AMER APT CMNTYS INC oa 59522J103 55 938 938 0 - NUVEEN AZ DIV ADVNTGE FD cs 67071P107 54 3,750 3,750 0 - NUVEEN INSD TAX FREE ADV cs 670657105 54 3,500 3,500 0 - FIRST TRUST FOUR CORNERS cs 33733Q107 51 3,700 3,700 0 - U S BANCORP DEL NEW cs 902973304 51 2,339 2,339 0 - WALGREEN COMPANY cs 931422109 50 1,500 1,500 0 - WAL-MART STORES INC cs 931142103 50 939 839 0 100 1/10 NUVEEN PREM INCM oa 002822922 50 20 20 0 - LIBERTY STAR URANIUM NEW cs 53123T206 49 616,600 616,600 0 - FORD MOTOR COMPANY NEW cs 345370860 49 4,014 4,014 0 - FREEPORT MCMORAN COPPER cs 35671D857 47 550 550 0 - ISHARES TR DJ US FINL cs 464287788 47 900 900 0 - ISHARES DJ US HOME CONST cs 464288752 47 3,875 3,875 0 - MASSEY ENERGY COMPANY cs 576206106 47 1,500 - 0 1,500 FIRST TRUST/FOUR CORNERS cs 33733U108 46 3,500 3,500 0 - HSBC HLDGS PLC ADR NEW F cs 404280406 46 900 900 0 - VANGUARD EMERGING MARKET cs 922042858 45 1,000 1,000 0 - ISHARES IBOXX INVESTOP cs 464287242 45 400 400 0 - ORACLE CORPORATION cs 68389X105 45 1,677 1,677 0 - SOUTHWEST GAS CORP COM cs 844895102 45 1,337 1,337 0 - WISDOMTREE JAP SMCAP DIV cs 97717W836 45 1,100 1,100 0 - SECTOR SPDR UTIL SELECT cs 81369Y886 44 1,400 1,400 0 - NUVEEN CALIF MUNI MARKET cs 67062U107 43 3,000 3,000 0 - UNITED TECHNOLOGIES CORP cs 913017109 43 600 600 0 - GENERAL MILLS INC cs 370334104 42 1,160 1,160 0 - NUVEEN AZ PREM INCM MUNI cs 67061W104 42 3,000 3,000 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- ZIMMER HOLDINGS INC cs 98956P102 42 801 801 0 - STEELCASE INC CL A cs 858155203 42 5,000 5,000 0 - FRONTIER COMMUNICATIONS cs 35906A108 40 4,955 2,810 0 2,145 INVESCO VAN KAMPEN CA cs 46132H106 40 3,000 3,000 0 - CATERPILLAR INC cs 149123101 39 500 500 0 - LAACO INC LTD PARTNSHIP oa 505346106 39 40 40 0 - ENBRIDGE ENERGY PTNRS LP oa 29250R106 39 695 575 0 120 SOUTHERN COPPER CORP cs 84265V105 39 1,100 1,100 0 - BLACKROCK CA MUN INCM TR cs 09248E105 37 2,507 2,507 0 - THE SOUTHERN COMPANY cs 842587107 37 1,000 1,000 0 - BREITBURN ENERGY PTNR LP oa 106776107 37 2,000 2,000 0 - MASCO CORP cs 574599106 36 3,300 3,300 0 - COHEN & STEERS TOTAL cs 19247R103 36 3,000 3,000 0 - NUVEEN REAL EST INC FD cs 67071B108 35 3,500 3,500 0 - ISHARES TR S&P GLOBAL cs 464287325 35 695 695 0 - GMAC 10,000 FACE 0%12 UT oa 36186CAD5 35 4 4 0 - GENERAL DYNAMICS CORP cs 369550108 35 550 550 0 - P G & E CORP cs 69331C108 34 750 750 0 - PIMCO CALIF MUN INCM FD cs 72200N106 34 2,373 2,373 0 - LILLY ELI & COMPANY cs 532457108 33 900 900 0 - UMH PROPERTIES INC oa 903002103 32 3,000 3,000 0 - NESTLE S A REG B ADR F cs 641069406 32 600 600 0 - VANGUARD TOTAL STOCK MKT cs 922908769 32 550 550 0 - LINN ENERGY oa 536020100 32 1,000 1,000 0 - ARCHER-DANIELS-MIDLND CO cs 039483102 32 1,000 1,000 0 - SECTOR SPDR FINCL SELECT cs 81369Y605 32 2,200 2,200 0 - BLACKROCK INVT QLTY MUNI cs 09247D105 30 2,000 2,000 0 - GABELLI GLOBAL GOLD TR cs 36244N109 30 1,700 1,700 0 - UNILEVER PLC ADR NEW F cs 904767704 29 1,000 1,000 0 - E M C CORP MASS cs 268648102 28 1,400 1,400 0 - DUKE ENERGY CORP NEW cs 26441C105 28 1,600 1,600 0 - MARKET VECTORS ETF TRUST cs 57060U829 28 1,000 1,000 0 - POWERSHS EXCH TRAD FD TR cs 73935X575 25 1,525 1,525 0 - GABELLI EQUITY TRUST INC cs 362397101 25 5,000 5,000 0 - ENPRO INDUSTRIES INC cs 29355X107 25 800 - 0 800 REALTY INCOME CORP oa 756109104 25 734 734 0 - DUKE REALTY CORP oa 264411505 24 2,100 2,100 0 - TOYOTA MOTOR CP ADR NEWF cs 892331307 24 336 336 0 - NETFLIX INC cs 64110L106 24 145 145 0 - OCCIDENTAL PETE CORP cs 674599105 23 300 300 0 - SECTOR SPDR INDL SELECT cs 81369Y704 23 750 750 0 - AMEREN CORPORATION cs 023608102 23 825 825 0 - WELLS FARGO & CO NEW cs 949746101 23 921 921 0 - ISHARES TR S&P GLOBAL cs 464287275 23 400 400 0 - UNITED STATES STEEL CORP cs 912909108 23 517 100 0 417 ARCSIGHT INC cs 039666102 22 500 500 0 - BP PLC ADR F cs 055622104 22 525 525 0 - NUVEEN QUAL PFD INC FD 2 cs 67072C105 22 2,500 2,500 0 - PIMCO CORPORATE OPPTY FD cs 72201B101 21 1,200 1,200 0 - PINNACLE WEST CAPITAL CP cs 723484101 21 500 500 0 - PAYCHEX INC cs 704326107 21 750 750 0 - ECA MARCELLUS TR I cs 26827L109 20 1,000 1,000 0 - WINDSTREAM CORPORATION cs 97381W104 20 1,640 1,640 0 - HUGOTON ROYALTY TR UBI cs 444717102 20 1,000 1,000 0 - WESTAR ENERGY INC cs 95709T100 20 823 823 0 - WEYERHAEUSER CO cs 962166104 19 1,221 1,221 0 - VORNADO REALTY TRUST oa 929042109 19 224 224 0 - MANULIFE FINANCIAL CORPF cs 56501R106 19 1,500 1,500 0 - PROGRESS ENERGY INC cs 743263105 18 416 416 0 - TOTAL S A ADR F cs 89151E113 18 350 350 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- NEW YORK CMNTY BANCORP cs 649445103 18 1,089 1,089 0 - DIAMOND HILL FINL TRENDS cs 25264C101 18 2,000 - 0 2,000 ARES CAPITAL CORP cs 04010L103 18 1,122 1,122 0 - COACH INC cs 189754104 17 400 400 0 - ALLSTATE CORPORATION cs 020002101 17 523 523 0 - WESTERN DIGITAL CORP cs 958102105 16 575 575 0 - ISHARES S&P U S PFD FUND cs 464288687 16 400 400 0 - NSTAR cs 67019E111 16 400 400 0 - KIMCO REALTY CORP oa 49446R109 16 1,000 1,000 0 - ENERGY TRANSFER PARTNERS oa 29273R109 16 325 325 0 - NINTENDO LTD ADR F cs 654445303 16 500 - 0 500 ROCHE HLDG LTD SPON ADRF cs 771195104 15 450 450 0 - DISNEY WALT CO cs 254687106 15 459 459 0 - MERCK & CO INC NEW cs 58933Y105 15 408 408 0 - AEGON NV ORD REG AMER F cs 007924103 15 2,449 - 0 2,449 RAMBUS INC DEL cs 750917106 15 700 700 0 - GENCO SHIPPING & TRDG F cs Y2685T107 14 903 903 0 - NUVEEN DIVERSFD DIVID FD cs 6706EP105 14 1,300 1,300 0 - PIMCO HIGH INCOME FUND cs 722014107 14 1,093 1,093 0 - BLKRCK MUNIHLDGS CA INSD cs 09254L107 14 973 973 0 - BLACKROCK CORE BD TRUST cs 09249E104 14 1,000 1,000 0 - BLACKROCK INTL GROWTH TR cs 092524107 13 1,269 1,269 0 - ORANGE COUNTY BUS BANK cs 684193105 13 3,200 3,200 0 - ISHARES S&P GLOBAL MATLS cs 464288695 13 202 202 0 - NIKE INC CLASS B cs 654106103 13 158 158 0 - N I I HOLDINGS INC NEW cs 62913F201 12 300 300 0 - MOTOROLA INC cs 620076109 12 1,400 1,400 0 - TARGET CORPORATION cs 87612E110 12 223 223 0 - UNITED STS 12 MO OIL FD cs 91288V103 12 300 300 0 - BOARDWALK PIPELINE PTNRS oa 096627104 11 350 350 0 - ISHARES RUSSELL MIDCAP cs 464287499 11 125 125 0 - SPECTRA ENERGY CORP cs 847560109 11 500 500 0 - DASSAULT SYSTEMS SA ADRF cs 237545108 11 150 150 0 - ALEXANDER & BALDWIN INC cs 014482103 10 300 300 0 - EMULEX CORP NEW cs 292475209 10 1,000 1,000 0 - POWERSHS EXCH TRAD FD TR cs 73936T615 10 750 750 0 - MARKET VECTORS ETF TRUST cs 57060U407 10 500 500 0 - ISHARES TR S&P GLOBAL cs 464287341 10 300 300 0 - BLACKROCK STRATEGC DIVID cs 09249Y107 10 1,000 1,000 0 - ANGLO AMERN PLC ADS F cs 03485P201 9 477 477 0 - UNITED STATES NAT GAS FD oa 912318102 9 1,500 1,500 0 - NOVARTIS A G SPON ADR F cs 66987V109 9 150 150 0 - COINSTAR INC cs 19259P300 9 200 200 0 - PNM RESOURCES INC cs 69349H107 9 750 - 0 750 YAHOO INC cs 984332106 9 602 602 0 - BOB EVANS FARMS INC cs 096761101 8 300 300 0 - CONMED CORP cs 207410101 8 375 375 0 - NUVEEN MULTI STRAT INCM cs 67073B106 8 1,000 1,000 0 - MARKET VECTORS ETF TRUST cs 57060U605 8 175 175 0 - AMERICA MOVIL SAB L ADRF cs 02364W105 8 150 150 0 - MANTECH INTL CORP CL A cs 564563104 8 200 200 0 - SIRIUS XM RADIO INC cs 82967N108 8 6,400 6,400 0 - VALLEY NATIONAL BANCORP cs 919794107 8 589 589 0 - STRYKER CORP cs 863667101 8 150 150 0 - INTUITIVE SURGICAL NEW cs 46120E602 7 25 25 0 - PUTNAM PREMIER INC TR cs 746853100 7 1,036 1,036 0 - DEERE & CO cs 244199105 7 100 - 0 100 HILLENBRAND INC cs 431571108 7 313 313 0 - MEDTRONIC INC cs 585055106 7 200 - 0 200 CIMAREX ENERGY CO cs 171798101 7 100 100 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- PUB SVC ENT GROUP INC cs 744573106 7 200 200 0 - RESMED INC cs 761152107 7 200 200 0 - GRILL CONCEPTS INC NEW cs 398502302 6 28,943 28,943 0 - KAYNE ANDERSON ENERGY FD cs 48660P104 6 241 241 0 - ALCOA INC cs 013817101 6 485 485 0 - TASER INTERNATIONAL INC cs 87651B104 6 1,500 1,500 0 - HARLEY DAVIDSON INC cs 412822108 6 200 - 0 200 DOLBY LABORATORIES INC cs 25659T107 6 100 100 0 - ISHARES MSCI CDA IDX FD cs 464286509 6 201 201 0 - SHL TELEMEDICINE ORD F cs M84047105 5 700 700 0 - WATSON PHARMACEUTICALS cs 942683103 5 125 125 0 - SCICLONE PHARM INC cs 80862K104 5 2,000 2,000 0 - MORGAN STANLEY cs 617446448 5 200 200 0 - AMAZON COM INC cs 023135106 5 30 30 0 - ENERSIS S A ADR F cs 29274F104 5 200 200 0 - LIFE TECHNOLOGIES CORP cs 53217V109 5 100 100 0 - PEBBLEBROOK HOTEL TRUST cs 70509V100 5 250 250 0 - GLIMCHER REALTY TRUST oa 379302102 4 707 707 0 - DRYSHIPS INC F cs Y2109Q101 4 900 900 0 - N V E CORPORATION NEW cs 629445206 4 100 100 0 - MYLAN INC cs 628530107 4 225 225 0 - DHT HOLDINGS INC F cs Y2065G105 4 1,000 1,000 0 - MINDSPEED TECH INC NEW cs 602682205 4 527 525 0 2 DIRECTV CL A cs 25490A101 4 90 90 0 - UMPQUA HOLDINGS CORP cs 904214103 4 330 330 0 - QUESTERRE ENERGY CORP F cs 74836K100 4 1,500 1,500 0 - PACTIV CORPORATION cs 695257105 4 112 112 0 - SEAGATE TECHNOLOGY PLC F cs G7945M107 4 300 300 0 - LAZARD LTD F oa G54050102 4 100 100 0 - WEATHERFORD INTL LTD F cs H27013103 3 200 200 0 - JETBLUE AIRWAYS CORP cs 477143101 3 500 500 0 - CALL PROSHS ULTRASHT CH cl 004251151 3 20 20 0 - ATHEROS COMMUNICATIONS cs 04743P108 3 125 125 0 - SECTOR SPDR MATERIALS FD cs 81369Y100 3 100 100 0 - VANCEINFO TECHS INC ADRF cs 921564100 3 100 100 0 - B E AEROSPACE INC cs 073302101 3 106 106 0 - DREAMWORKS ANIMATION INC cs 26153C103 3 100 100 0 - FIRST TR ISE EXCH TRD FD cs 33736M103 3 80 80 0 - GABELLI UTILITY TRUST cs 36240A101 3 485 485 0 - BARCLAYS BANK IPATH ETN cs 06739H743 3 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73935X500 3 300 250 0 50 HENNES & MAURITZ AB ADRF cs 425883105 3 400 - 0 400 GAP INC cs 364760108 3 150 150 0 - WESTERN GAS PARTNERS L P oa 958254104 3 100 100 0 - KOHLS CORP cs 500255104 3 50 50 0 - SOUTHWEST AIRLINES CO cs 844741108 3 200 200 0 - AMERN TOWER CORP CLASS A cs 029912201 3 50 50 0 - APPLIED MATERIALS INC cs 038222105 3 217 217 0 - NVIDIA CORP cs 67066G104 2 200 200 0 - BRINKS CO cs 109696104 2 100 100 0 - ELAN CORP PLC SPON ADR F cs 284131208 2 400 400 0 - T J X COS INC cs 872540109 2 50 50 0 - BT GROUP PLC ADR F cs 05577E104 2 100 100 0 - PRUDENTIAL FINANCIAL INC cs 744320102 2 40 40 0 - PAC MERCANTILE BANCORP cs 694552100 2 700 700 0 - WESTERN ASSET HIGH INCM cs 95766K109 2 325 325 0 - AMERICAN INTL GROUP NEW cs 026874784 2 50 50 0 - GERON CORP cs 374163103 2 350 350 0 - LLOYDS BANKING GP ADR F cs 539439109 2 389 389 0 - AB SVENSK EXPORT 2022F ps 870297603 2 200 - 0 200
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- POWERSHS EXCH TRAD FD TR cs 73935X690 2 100 100 0 - QUIKSILVER INC cs 74838C106 2 440 40 0 400 CLARIENT INC cs 180489106 2 500 500 0 - ACTIVISION BLIZZARD INC cs 00507V109 2 150 150 0 - COVIDIEN PLC F cs G2554F105 2 38 8 0 30 STMICROELECTRONICS NY F cs 861012102 2 200 - 0 200 LEGG MASON INC cs 524901105 2 50 50 0 - TYCO INTL LTD NEW F cs H89128104 1 38 8 0 30 SYNERON MEDICAL LTD F cs M87245102 1 125 125 0 - SINOVAC BIOTECH LTD F cs P8696W104 1 300 300 0 - INTERNATIONAL PAPER CO cs 460146103 1 53 53 0 - KB HOME cs 48666K109 1 100 100 0 - TYCO ELECTRONICS LTD F cs H8912P106 1 38 8 0 30 METROPCS COMMUNICATIONS cs 591708102 1 100 100 0 - SUPERVALU INC cs 868536103 1 85 85 0 - CHINA ARCHITECTURAL ENGR cs 16937S102 1 1,333 1,333 0 - RADIENT PHARMACEUTICALS cs 750341109 1 1,080 1,080 0 - CENTERPOINT ENERGY INC cs 15189T107 1 46 46 0 - BLDRS EMERGING MKTS cs 09348R300 1 15 15 0 - AMERITYRE CORPORATION cs 03073V107 1 2,000 2,000 0 - CRYSTALLEX INTL CORP F cs 22942F101 1 1,590 1,590 0 - ALCATEL LUCENT ADR F cs 013904305 1 170 170 0 - LEVEL 3 COMMUNICATIONS cs 52729N100 0 500 500 0 - EASTMAN KODAK COMPANY cs 277461109 0 106 106 0 - WASHINGTON MUTUAL INC cs 939322103 0 2,150 2,150 0 - BEESTON ENTERPRISES NEW cs 07712Q205 0 90,000 90,000 0 - AVANIR PHARMA INC cs 05348P401 0 125 125 0 - MODUSLINK GLOBAL SOL INC cs 60786L107 0 50 50 0 - ARENA PHARMACEUTICALS cs 040047102 0 200 200 0 - CONEXANT SYSTEMS INC NEW cs 207142308 0 185 140 0 45 OPTIMUMCARE CORP cs 68388V100 0 5,800 5,800 0 - SKYWORKS SOLUTIONS INC cs 83088M102 0 13 - 0 13 VERISIGN INC cs 92343E106 0 8 8 0 - PHOENIX COMPANIES NEW cs 71902E113 0 114 114 0 - COMSTOCK MINING INC cs 205750102 0 100 100 0 - REDHAT INC cs 756577102 0 5 5 0 - TIME WARNER INC NEW cs 887317303 0 6 6 0 - OXYGEN BIOTHERAP NEW cs 69207P209 0 67 67 0 - RRI ENERGY INC cs 74971X107 0 36 36 0 - PENTHOUSE INTL INC cs 709640106 0 140,000 140,000 0 - POWERWAVE TECH INC cs 739363109 0 67 67 0 - PINNACLE ENTERTAINMENT cs 723456109 0 8 8 0 - QWEST COMMUNS INTL INC cs 749121109 0 13 13 0 - T H Q INC NEW cs 872443403 0 20 20 0 - ISHARES TR RUSSELL 3000 cs 464287689 0 1 1 0 - TIME WARNER CABLE cs 88732J207 0 1 1 0 - ARIBA INC NEW cs 04033V203 0 2 2 0 - UNISYS CORP NEW cs 909214306 0 1 1 0 - STRATEGIC RESOURCES LTD cs 862773108 0 5,500 5,500 0 - TRONOX INCORPORATED CL B cs 897051207 0 66 66 0 - SPRINT NEXTEL CORP cs 852061100 0 2 2 0 - COMMERCE ENERGY GROUP cs 20061Q106 0 8,000 8,000 0 - MERISEL INC NEW cs 589849306 0 10 10 0 - IRVINE SENSOR CORP NEW cs 463664607 0 12 12 0 - COMMERCEPLANET INC NEW cs 20084U209 0 250 250 0 - MELTRONIX INC cs 585730104 0 12,000 12,000 0 - FAIRPOINT COMMUN INC cs 305560104 0 24 24 0 - IGNIS PETROLEUM GROUP cs 451725105 0 400 - 0 400 COMPUTRZD THERML IMAGING cs 20557C108 0 45 - 0 45 NORTEL NETWORKS CP NEW F cs 656568508 0 5 5 0 -
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------ -------------- --------- -------- ----------------- ---------- -------- ---------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- GLOBAL NETWORKS CORP cs 379382104 0 5 5 0 - S G I INTERNATIONAL NEW cs 784185209 0 100 100 0 - CITADEL BROADCASTING XXX cs 17285T106 - 7 7 0 - DREAM MARKETING INC cs 261990352 - 10 10 0 - ENERNORTH INDUSTRIES F cs 29275G101 - 150 150 0 - ENRON CORP XXX cs 293561106 - 30,500 30,500 0 - GLOBALSTAR TELECOM ORXXX cs G3930H104 - 180 180 0 - METAWAVE COMMUN NEW XXX cs 591409107 - 100 - 0 100 PREMIER LASER SYS A NXXX cs 740522107 - 500 500 0 - U S A BIOMASS CORP XXX cs 90333F105 - 20,000 20,000 0 - USA URANIUM CORP XXX cs 91154T109 - 400,000 400,000 0 - CENTURY COMMUNI 8.75XXX oa 156ESCAJ4 - 5,000 5,000 0 - MAMMOTH ROCKLIN I LLCXXX oa 002521211 - 1 1 0 - WILLIAMS COMM 10.70%XXX oa 9694559A4 - 750,000 - 0 750,000
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