0001140361-12-006886.txt : 20120210 0001140361-12-006886.hdr.sgml : 20120210 20120210151216 ACCESSION NUMBER: 0001140361-12-006886 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 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: 12592348 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 NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2011 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 submission. 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 2/10/2012 --------------------------------- --------------------------------- ---------- [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: 554 Form 13F Information Table Value Total: $ 172,727 -------------- (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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- CALL WALMART STORES cl 004194115 5 3 3 0 - 1/100 BERKSHIRE HTWY CLA cs 084990175 115 1 1 0 - 3 D SYSTEMS CORP cs 88554D205 4 300 300 0 - 3M COMPANY cs 88579Y101 8 100 100 0 - A T & T INC NEW cs 00206R102 6,091 201,409 158,689 0 42,720 ABB LTD ADR F cs 000375204 19 1,000 1,000 0 - ABBOTT LABORATORIES cs 002824100 5,575 99,150 98,725 0 425 ABERDEEN ASIA PAC INCM cs 003009107 18 2,500 2,500 0 - AGILENT TECHNOLOGIES INC cs 00846U101 136 3,906 - 0 3,906 AGRIUM INC F cs 008916108 14 212 212 0 - AKAMAI TECHNOLOGIES cs 00971T101 7 218 178 0 40 ALCATEL LUCENT ADR F cs 013904305 0 34 34 0 - ALCOA INC cs 013817101 9 991 991 0 - ALEXANDER & BALDWIN INC cs 014482103 12 300 300 0 - ALEXION PHARMA INC cs 015351109 29 400 400 0 - ALLERGAN INC cs 018490102 103 1,173 973 0 200 ALLSTATE CORPORATION cs 020002101 15 542 542 0 - ALTRIA GROUP INC cs 02209S103 217 7,319 5,819 0 1,500 AMANDA COMPANY INC NEXXX cs 022885206 - 25,000 25,000 0 - AMAZON COM INC cs 023135106 1,385 8,000 7,960 0 40 AMEDIA NETWORKS INC cs 023434103 0 725 725 0 - AMERICA MOVIL SAB L ADRF cs 02364W105 33 1,474 1,474 0 - AMERICAN EXPRESS COMPANY cs 025816109 5 101 101 0 - AMERITYRE CORPORATION cs 03073V107 1 2,000 2,000 0 - AMGEN INCORPORATED cs 031162100 416 6,472 900 0 5,572 AMTRUST FINANCIAL SVCS cs 032359309 10 400 400 0 - AMYLIN PHARMACEUTICALS cs 032346108 57 5,000 5,000 0 - ANADARKO PETROLEUM CORP cs 032511107 1,154 15,120 400 0 14,720 ANGLO AMERN PLC ADS F cs 03485P201 9 477 477 0 - APOLLO COMM REAL EST FIN cs 03762U105 7 568 568 0 - APPLE INC cs 037833100 1,460 3,606 3,249 0 357 APPLIED MATERIALS INC cs 038222105 2 224 224 0 - ARCELOR MITTAL NY NEW F cs 03938L104 10 561 561 0 - ARCHER-DANIELS-MIDLND CO cs 039483102 43 1,500 1,500 0 - ARES CAPITAL CORP cs 04010L103 2 154 154 0 - ARIBA INC NEW cs 04033V203 0 2 2 0 - ARLINGTON ASSET INVT NEW cs 041356205 21 1,000 1,000 0 - ARM HOLDINGS PLC ADR F cs 042068106 10 350 350 0 - AUTODESK INC cs 052769106 6 200 200 0 - AUTOZONE INC cs 053332102 18 55 55 0 - AVANIR PHARMA INC cs 05348P401 0 125 125 0 - AVERY DENNISON CORP cs 053611109 287 10,000 - 0 10,000 B E AEROSPACE INC cs 073302101 4 106 106 0 - B M C SOFTWARE INC cs 055921100 7 200 200 0 - B P PRUDHOE BAY RLTY TR cs 055630107 14 125 125 0 - BAIDU INC ADR F cs 056752108 57 488 488 0 - BANK OF AMERICA CORP cs 060505104 141 25,315 24,515 0 800 BANK OF NY MELLON CP NEW cs 064058100 157 7,880 - 0 7,880 BARCLAYS BANK IPATH ETN cs 06738C778 249 5,900 5,400 0 500 BARCLAYS BANK IPATH ETN cs 06739H743 3 100 100 0 - BAXTER INTERNATIONAL INC cs 071813109 351 7,100 7,100 0 - BB LIQUIDATING INC CL A cs 05532D107 0 250 250 0 - BEESTON ENTERPRISES NEW cs 07712Q205 1 90,000 90,000 0 - BERKSHIRE HATHAWAY B NEW cs 084670702 385 5,050 4,550 0 500 BLACKROCK CA MUN 2018 FD cs 09249C105 13 787 787 0 - BLACKROCK CA MUN INCM TR cs 09248E105 18 1,250 1,250 0 - BLACKROCK CORE BD TRUST cs 09249E104 9 650 650 0 - BLACKROCK INCM OPPNTY TR cs 092475102 296 29,000 29,000 0 - BLACKROCK INVT QLTY MUNI cs 09247D105 30 2,000 2,000 0 - BLACKROCK STRATEGC EQTY cs 09249Y107 5 500 500 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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- BLDRS EMERGING MKTS cs 09348R300 1 15 15 0 - BLKRCK MUNIHLDGS CA QLTY cs 09254L107 14 973 973 0 - BLKRCK MUNIYIELD CA QLTY cs 09254N103 164 11,442 11,442 0 - BOB EVANS FARMS INC cs 096761101 10 300 300 0 - BOEING CO cs 097023105 312 4,249 1,449 0 2,800 BP PLC ADR F cs 055622104 6 150 150 0 - BRINKS CO cs 109696104 3 101 101 0 - BRISTOL-MYERS SQUIBB CO cs 110122108 520 14,750 1,304 0 13,446 BROADCOM CORP CL A cs 111320107 7 250 250 0 - BROADRIDGE FINL SOLUTION cs 11133T103 9 400 400 0 - C A C I INC CL A cs 127190304 8 150 100 0 50 C S X CORP cs 126408103 2 100 - 0 100 C V S CAREMARK CORP cs 126650100 166 4,059 - 0 4,059 CA WATER SERVICE GROUP cs 130788102 5 300 300 0 - CABOT CORPORATION cs 127055101 64 2,000 - 0 2,000 CATERPILLAR INC cs 149123101 29 325 325 0 - CATHAY GENERAL BANCORP cs 149150104 149 10,000 10,000 0 - CENTERPOINT ENERGY INC cs 15189T107 1 46 46 0 - CENTRAL FD CDA LTD CLA F cs 153501101 14 700 700 0 - CENTURYLINK INC cs 156700106 18 477 477 0 - CHEVRON CORPORATION cs 166764100 2,340 21,993 945 0 21,048 CHINA CGAME INC cs 16946P107 0 334 334 0 - CHINA LIFE INS CO ADR F cs 16939P106 26 700 700 0 - CHINA MOBILE LTD ADR F cs 16941M109 34 700 700 0 - CINCINNATI FINANCIAL CP cs 172062101 15 500 500 0 - CISCO SYSTEMS INC cs 17275R102 2,757 152,494 151,519 0 975 CITADEL BROADCASTING XXX cs 17285T106 - 16 16 0 - CITIGROUP INC NEW cs 172967424 46 1,754 1,504 0 250 COACH INC cs 189754104 40 650 650 0 - COCA COLA COMPANY cs 191216100 18 254 254 0 - COHEN & STEERS cs 19248A109 421 26,675 26,175 0 500 COHEN & STEERS TOTAL cs 19247R103 36 3,000 3,000 0 - COLGATE-PALMOLIVE CO cs 194162103 370 4,000 - 0 4,000 COMMERCE ENERGY GROUP cs 20061Q106 0 8,000 8,000 0 - COMPUTRZD THERML IMAGING cs 20557C108 0 45 - 0 45 COMSTOCK MINING INC cs 205750102 0 100 100 0 - CONCHO RESOURCES INC cs 20605P101 15 165 165 0 - CONMED CORP cs 207410101 10 375 375 0 - CONOCOPHILLIPS cs 20825C104 3,504 48,089 43,101 0 4,988 CONSOLIDATED EDISON INC cs 209115104 3,797 61,206 59,706 0 1,500 CORNING INC cs 219350105 654 50,350 50,250 0 100 COSTCO WHSL CORP NEW cs 22160K105 50 600 - 0 600 COVANTA HOLDING CORP cs 22282E106 7 500 500 0 - COVIDIEN PLC NEW F cs G2554F113 2 38 8 0 30 CRAFT BREWERS ALLIANCE cs 224122101 1 200 - 0 200 CREE INC cs 225447101 7 300 300 0 - CROSS MEDIA MKTING NEXXX cs 22754R201 - 600 600 0 - CRYSTALLEX INTL CORP F cs 22942F101 0 1,590 1,590 0 - DARDEN RESTAURANTS INC cs 237194105 5 101 101 0 - DASSAULT SYSTEMS SA ADRF cs 237545108 12 150 150 0 - DAVITA INC cs 23918K108 76 1,000 1,000 0 - DEERE & CO cs 244199105 12 150 50 0 100 DIEBOLD INCORPORATED cs 253651103 101 3,375 - 0 3,375 DIREXION SHARES ETF NEW cs 25459W144 0 4 4 0 - DISNEY WALT CO cs 254687106 26 689 689 0 - DNP SELECT INCOME FUND cs 23325P104 591 54,150 40,850 0 13,300 DOLLAR TREE INC cs 256746108 16 190 190 0 - DOMINION RES INC VA NEW cs 25746U109 2,917 54,955 54,955 0 - DOVER CORPORATION cs 260003108 16 275 275 0 - DOW 30 PREM & DIV INCM cs 260582101 76 5,800 5,300 0 500
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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- DR REDDYS LABS ADR F cs 256135203 21 700 700 0 - DREAM MARKETING INC cs 261990352 - 10 10 0 - DU PONT E I DE NEMOUR&CO cs 263534109 80 1,751 - 0 1,751 DUKE ENERGY CORP NEW cs 26441C105 35 1,600 1,600 0 - DUNKIN BRANDS GROUP INC cs 265504100 1 37 37 0 - E M C CORP MASS cs 268648102 71 3,275 3,275 0 - EAGLE BROADBAND INC NEW cs 269437208 0 22 22 0 - EASTMAN KODAK COMPANY cs 277461109 0 106 106 0 - EATON CORPORATION cs 278058102 4,033 92,655 92,255 0 400 EATON VANCE LTD DURATION cs 27828H105 261 17,127 17,027 0 100 EBIX INC cs 278715206 8 375 375 0 - ECA MARCELLUS TR I cs 26827L109 26 1,000 1,000 0 - EDISON INTERNATIONAL cs 281020107 4,094 98,900 98,700 0 200 ELAN CORP PLC SPON ADR F cs 284131208 5 400 400 0 - ELDORADO GOLD CORP NEW F cs 284902103 6 425 425 0 - EMBRAER SA ADR F cs 29082A107 10 400 400 0 - EMERSON ELECTRIC CO cs 291011104 44 955 855 0 100 EMULEX CORP NEW cs 292475209 7 1,000 1,000 0 - ENERNORTH INDUSTRIES F cs 29275G101 0 150 150 0 - ENERSIS S A ADR F cs 29274F104 25 1,400 1,400 0 - ENI S P A SPON ADR F cs 26874R108 2,374 57,535 57,435 0 100 ENPRO INDUSTRIES INC cs 29355X107 26 800 - 0 800 ENRON CORP XXX cs 293561106 - 35,647 35,647 0 - ENTERGY CORP NEW cs 29364G103 22 300 300 0 - ENTROPIC COMMUNICATIONS cs 29384R105 8 1,500 1,500 0 - ERICSSON TEL ADR B NEW F cs 294821608 97 9,600 - 0 9,600 EXELON CORPORATION cs 30161N101 3,945 90,970 80,370 0 10,600 EXPRESS SCRIPTS INC cs 302182100 72 1,600 1,600 0 - EXXON MOBIL CORPORATION cs 30231G102 10,457 123,366 98,401 0 24,966 FIRST TR ISE EXCH TRD FD cs 33736M103 3 80 80 0 - FIRST TRUST GLOBAL cs 33736G106 2 300 300 0 - FIRST TRUST SENIOR cs 33733U108 46 3,500 3,500 0 - FLUOR CORPORATION NEW cs 343412102 81 1,610 1,610 0 - FORD MOTOR COMPANY NEW cs 345370860 49 4,550 4,350 0 200 FRANKLIN RESOURCES INC cs 354613101 519 5,400 - 0 5,400 FREEPORT MCMORAN COPPER cs 35671D857 3,681 100,051 99,601 0 450 FRONTIER COMMUNICATIONS cs 35906A108 14 2,771 2,771 0 - GAMCO GLOBAL GLD NATURAL cs 36465A109 1,324 93,850 93,400 0 450 GAP INC cs 364760108 3 150 150 0 - GDL FUND cs 361570104 12 1,000 1,000 0 - GENCO SHIPPING & TRDG F cs Y2685T107 6 903 903 0 - GENERAL ELECTRIC COMPANY cs 369604103 2,790 155,796 154,271 0 1,525 GENERAL MILLS INC cs 370334104 55 1,350 1,150 0 200 GENERAL MOTORS CO cs 37045V100 2 98 98 0 - GENON ENERGY INC cs 37244E111 0 36 36 0 - GERON CORP cs 374163103 0 300 300 0 - GILEAD SCIENCES INC cs 375558103 23 550 550 0 - GLAXOSMITHKLINE PLC ADRF cs 37733W105 75 1,637 1,637 0 - GLOBAL ENERGY HLDGS GXXX cs 37991A100 - 1,600 1,600 0 - GLOBAL NETWORKS CORP cs 379382104 0 5 5 0 - GLOBAL X ETF cs 37950E549 10 500 500 0 - GLOBALSTAR TELECOM ORXXX cs G3930H104 - 80 80 0 - GOLD FIELDS LTD NEW ADRF cs 38059T106 17 1,100 1,100 0 - GOLDMAN SACHS GROUP INC cs 38141G104 91 1,003 203 0 800 GOODRICH CORPORATION cs 382388106 495 4,000 - 0 4,000 GOOGLE INC CLASS A cs 38259P508 196 304 267 0 37 GRAFTECH INTERNATIONAL cs 384313102 7 500 500 0 - GRAN COLOMBIA GOLD NEW F cs 38501D204 103 200,000 - 0 200,000 GRILL CONCEPTS INC NEW cs 398502302 10 28,943 28,943 0 - GRUBB & ELLIS CO NEW cs 400095204 2 14,000 14,000 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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- GSV CAPITAL CORP cs 36191J101 0 14 14 0 - GUGGENHEIM EXCH TRD FD cs 18383Q135 3 150 150 0 - HANOVER INSURANCE GROUP cs 410867105 87 2,481 - 0 2,481 HARLEY DAVIDSON INC cs 412822108 8 200 - 0 200 HASBRO INC cs 418056107 3 101 101 0 - HEALTHCARE PROVIDERS cs 42224V103 0 250 250 0 - HENNES & MAURITZ AB ADRF cs 425883105 3 400 - 0 400 HEWLETT-PACKARD COMPANY cs 428236103 76 2,966 2,966 0 - HOLLYFRONTIER CORP cs 436106108 5 200 200 0 - HOME DEPOT INC cs 437076102 483 11,483 2,483 0 9,000 HONEYWELL INTERNATIONAL cs 438516106 65 1,200 1,000 0 200 HSBC HLDGS PLC ADR NEW F cs 404280406 46 1,200 1,200 0 - HUGOTON ROYALTY TR UBI cs 444717102 19 1,000 1,000 0 - HUNTINGTON INGALLS INDS cs 446413106 38 1,217 1,167 0 50 IDNA INC cs 45169P106 0 5,000 5,000 0 - IGNIS PETROLEUM GROUP cs 451725105 0 400 - 0 400 INFOSYS LTD SPON ADR F cs 456788108 36 700 700 0 - INTEL CORP cs 458140100 342 14,118 14,118 0 - INTERNATIONAL PAPER CO cs 460146103 6 194 154 0 40 INTL BUSINESS MACHINES cs 459200101 791 4,299 499 0 3,800 INVESCO CA INSD MUN INCM cs 46130L109 152 10,000 10,000 0 - INVESCO INSD CA MUN SECS cs 46130W105 60 4,170 4,170 0 - IROBOT CORP cs 462726100 15 500 500 0 - IRVINE SENSOR CORP NEW cs 463664607 0 12 12 0 - ISHARES DJ US HOME CONST cs 464288752 15 1,225 1,225 0 - ISHARES GOLD TRUST cs 464285105 380 24,950 24,050 0 900 ISHARES MSCI AUS IDX FD cs 464286103 21 1,000 1,000 0 - ISHARES MSCI BRAZIL INDX cs 464286400 6 110 110 0 - ISHARES MSCI CDA IDX FD cs 464286509 27 1,000 1,000 0 - ISHARES MSCI EMRG MKT FD cs 464287234 75 1,965 1,865 0 100 ISHARES MSCI JPN IDX FD cs 464286848 75 8,200 8,200 0 - ISHARES NASDAQ BIO FD cs 464287556 656 6,285 6,285 0 - ISHARES RUSSELL 1000 VAL cs 464287598 13 200 - 0 200 ISHARES RUSSELL MICROCAP cs 464288869 1 33 33 0 - ISHARES S&P U S PFD FUND cs 464288687 7 200 200 0 - ISHARES SILVER TRUST cs 46428Q109 5 200 200 0 - ISHARES TR BARCLAYS BOND cs 464287440 6 60 60 0 - ISHARES TR BARCLAYS BOND cs 464288620 13 119 119 0 - ISHARES TR BARCLAYS BOND cs 464288638 4,828 45,043 43,543 0 1,500 ISHARES TR BARCLAYS BOND cs 464288646 1,061 10,180 10,180 0 - ISHARES TR BARCLAYS TIPS cs 464287176 2,571 22,030 22,030 0 - ISHARES TR DJ US FINL cs 464287788 44 900 900 0 - ISHARES TR DJ US HLTHCAR cs 464287762 188 2,630 2,630 0 - ISHARES TR DOW JONES RE cs 464287739 2 35 - 0 35 ISHARES TR MSCI EAFE FD cs 464287465 212 4,273 4,273 0 - ISHARES TR RUSSELL 1000 cs 464287622 32 457 457 0 - ISHARES TR RUSSELL 2000 cs 464287655 544 7,378 7,378 0 - ISHARES TR RUSSELL 3000 cs 464287689 0 1 1 0 - ISHARES TR S&P GLOBAL cs 464287325 39 695 695 0 - ISHARES TR S&P GLOBAL cs 464287341 11 300 300 0 - ISHARES TRUST cs 464288273 5 134 134 0 - ISHARES TRUST cs 464288513 143 1,600 1,600 0 - ISHARES TRUST BARCLAYS cs 464288588 21 197 197 0 - ISTA PHARMACEUTICALS NEW cs 45031X204 49 7,000 7,000 0 - ITAU UNI HOLDING SA ADRF cs 465562106 28 1,500 1,500 0 - JETBLUE AIRWAYS CORP cs 477143101 3 500 500 0 - JOHNSON & JOHNSON cs 478160104 5,865 89,426 73,126 0 16,300 JOHNSON CONTROLS INC cs 478366107 2,475 79,175 78,825 0 350 JP MORGAN EXCH TRADED NT cs 46625H365 62 1,600 1,600 0 - JPMORGAN CHASE & CO cs 46625H100 109 3,275 3,275 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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- KAYNE ANDERSON MLP INVT cs 486606106 4 130 130 0 - KB HOME cs 48666K109 1 100 100 0 - KIMBERLY-CLARK CORP cs 494368103 4,745 64,509 64,384 0 125 KRAFT FOODS INC cs 50075N104 9 235 235 0 - KUBOTA CORP ADR F cs 501173207 2 50 50 0 - L-3 COMMUNICATIONS HLDGS cs 502424104 13 200 200 0 - LEAP WIRELESS INTL IN^XX cs 521863100 - 475 475 0 - LEGG MASON INC cs 524901105 1 50 50 0 - LIBERTY STAR URANIUM NEW cs 53123T206 15 616,600 616,600 0 - LILLY ELI & COMPANY cs 532457108 42 1,000 1,000 0 - LINEAR TECHNOLOGY CORP cs 535678106 3 101 - 0 101 LOGITECH INTL S A NEW F cs H50430232 4 500 - 0 500 LULULEMON ATHLETICA INC cs 550021109 495 10,605 10,580 0 25 MAKO SURGICAL CORP cs 560879108 8 300 300 0 - MANITOWOC COMPANY INC cs 563571108 4 403 - 0 403 MANULIFE FINANCIAL CORPF cs 56501R106 16 1,500 1,500 0 - MARATHON OIL CORP cs 565849106 239 8,178 - 0 8,178 MARATHON PETE CORP cs 56585A102 136 4,089 - 0 4,089 MARKET VECTORS ETF cs 57060U589 2 100 100 0 - MARKET VECTORS ETF TRUST cs 57060U100 175 3,400 2,900 0 500 MARKET VECTORS ETF TRUST cs 57060U407 27 2,500 2,500 0 - MARKET VECTORS ETF TRUST cs 57060U605 8 175 175 0 - MASCO CORP cs 574599106 35 3,300 3,300 0 - MASTERCARD INC cs 57636Q104 7 20 20 0 - MC DONALDS CORP cs 580135101 740 7,373 1,573 0 5,800 MEDTRONIC INC cs 585055106 42 1,100 900 0 200 MELTRONIX INC cs 585730104 0 12,000 12,000 0 - MERCK & CO INC NEW cs 58933Y105 37 985 985 0 - MERISEL INC NEW cs 589849306 0 10 10 0 - MESABI TRUST CTF BEN INT cs 590672101 8 300 300 0 - METAWAVE COMMUN NEW XXX cs 591409107 - 100 - 0 100 MICROSOFT CORP cs 594918104 3,763 144,955 131,555 0 13,400 MICROSTRATEGY INC A NEW cs 594972408 14 125 125 0 - MIDDLESEX WATER CO cs 596680108 13 700 700 0 - MINDSPEED TECH INC NEW cs 602682205 0 2 - 0 2 MONRO MUFFLER BRAKE INC cs 610236101 14 352 352 0 - MONSANTO CO NEW DEL cs 61166W101 140 2,000 - 0 2,000 MORGAN STANLEY cs 617446448 3 200 200 0 - MOTOROLA SOLUTIONS INC cs 620076307 9 200 200 0 - MYLAN INC cs 628530107 4 205 205 0 - NABORS INDUSTRIES LTD F cs G6359F103 4 250 250 0 - NATIONAL OILWELL VARCO cs 637071101 7 100 100 0 - NEAH POWER SYSTEMS NEW cs 63948P206 0 172 172 0 - NESTLE S A REG B ADR F cs 641069406 58 1,012 1,012 0 - NETFLIX INC cs 64110L106 6 81 81 0 - NEWMONT MINING CORP cs 651639106 9 144 144 0 - NIKE INC CLASS B cs 654106103 13 138 138 0 - NOKIA CORP SPON ADR F cs 654902204 6 1,250 700 0 550 NORDSTROM INC cs 655664100 12 250 250 0 - NORTEL NETWORKS CP NEW F cs 656568508 0 5 5 0 - NORTHROP GRUMMAN CORP cs 666807102 286 4,884 4,584 0 300 NOVARTIS A G SPON ADR F cs 66987V109 9 150 150 0 - NSTAR cs 67019E111 72 1,528 1,528 0 - NUCOR CORP cs 670346105 303 7,650 7,650 0 - NUVEEN AZ DIV ADVNTGE FD cs 67071P107 50 3,500 3,500 0 - NUVEEN AZ PREM INCM MUNI cs 67061W104 49 3,500 3,500 0 - NUVEEN CA DIV ADV MUN FD cs 67066Y105 776 54,500 54,000 0 500 NUVEEN CA QLTY INCM MUN cs 670985100 62 3,904 3,904 0 - NUVEEN CA SELECT TAX FR cs 67063R103 70 5,000 5,000 0 - NUVEEN CALIF MUNI MARKET cs 67062U107 44 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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- NUVEEN EQTY PREM INC FD cs 6706ER101 491 43,900 43,900 0 - NUVEEN EQTY PREM OPTY FD cs 6706EM102 263 23,000 23,000 0 - NUVEEN INSD CA PRE FD II cs 67061U108 159 10,177 10,177 0 - NUVEEN INSD CA PREM INCM cs 67061X102 121 7,500 7,500 0 - NUVEEN INSD CA TAX FREE cs 670651108 1,155 79,096 78,596 0 500 NUVEEN INSD QLTY MUN FD cs 67062N103 5 300 300 0 - NUVEEN INSD TAX FREE ADV cs 670657105 51 3,500 3,500 0 - NUVEEN INVT QLTY MUN FD cs 67062E107 62 4,000 4,000 0 - NUVEEN MA DIV AD MUNI FD cs 67069P101 4 300 300 0 - NUVEEN MASS PRE INCM MUN cs 67061E108 4 300 300 0 - NUVEEN MUNI ADVTG FUND cs 67062H106 44 3,000 3,000 0 - NUVEEN MUNI MKT OPPTY FD cs 67062W103 97 7,000 7,000 0 - NUVEEN QLTY INCM MUNI FD cs 670977107 103 7,032 7,032 0 - NUVEEN REAL EST INC FD cs 67071B108 24 2,300 2,300 0 - NUVEEN SELCT QLTY MUN FD cs 670973106 77 5,000 5,000 0 - NVIDIA CORP cs 67066G104 2 150 150 0 - OCCIDENTAL PETE CORP cs 674599105 54 580 580 0 - OPEN TEXT CORP F cs 683715106 6 125 125 0 - ORACLE CORPORATION cs 68389X105 80 3,100 3,100 0 - ORANGE COUNTY BUS BANK cs 684193105 13 3,200 3,200 0 - OXYGEN BIOTHERAP NEW cs 69207P209 0 67 67 0 - P G & E CORP cs 69331C108 39 950 950 0 - P P G INDUSTRIES INC cs 693506107 62 740 740 0 - PAC MERCANTILE BANCORP cs 694552100 7 2,000 2,000 0 - PAYCHEX INC cs 704326107 23 750 750 0 - PEBBLEBROOK HOTEL TRUST cs 70509V100 10 535 475 0 60 PENTHOUSE INTL INC cs 709640106 0 140,000 140,000 0 - PEPSICO INCORPORATED cs 713448108 1,904 28,699 28,699 0 - PETROLEO BRASILEIRO ADRF cs 71654V408 26 1,050 1,050 0 - PFIZER INCORPORATED cs 717081103 5,963 275,559 258,309 0 17,250 PHILIP MORRIS INTL INC cs 718172109 160 2,040 2,040 0 - PIEDMONT OFFICE RLTY TR cs 720190206 3 186 186 0 - PIMCO CALIF MUN INCM FD cs 72200N106 32 2,373 2,373 0 - PIMCO CORP INCOME FUND cs 72200U100 1,169 73,300 71,700 0 1,600 PIMCO CORPORATE OPPTY FD cs 72201B101 21 1,200 1,200 0 - PIMCO HIGH INCOME FUND cs 722014107 13 1,093 1,093 0 - PINNACLE ENTERTAINMENT cs 723456109 0 8 8 0 - PINNACLE WEST CAPITAL CP cs 723484101 24 500 500 0 - PNC FINL SERVICES GP INC cs 693475105 12 215 215 0 - PNM RESOURCES INC cs 69349H107 14 750 - 0 750 POWERLINX INC NEW cs 73933F204 0 10 10 0 - POWERSHS DB COMMDTY INDX cs 73935S105 805 30,000 - 0 30,000 POWERSHS DB MULTI SECTOR cs 73936B408 3 110 110 0 - POWERSHS DB MULTI SECTOR cs 73936B507 3 114 114 0 - POWERSHS DB MULTI SECTOR cs 73936B705 1 72 72 0 - POWERSHS DB US DOLLAR TR cs 73936D107 1 30 - 0 30 POWERSHS EXCH TRAD FD TR cs 73935X500 3 550 500 0 50 POWERSHS EXCH TRAD FD TR cs 73935X575 9 525 525 0 - POWERSHS EXCH TRAD FD TR cs 73935X690 2 101 101 0 - POWERSHS EXCH TRAD FD TR cs 73935X856 2 100 100 0 - POWERSHS EXCH TRAD FD TR cs 73936T615 29 3,500 3,500 0 - POWERSHS QQQ TRUST SER 1 cs 73935A104 112 2,000 2,000 0 - POWERWAVE TECH INC NEW cs 739363307 0 13 13 0 - POZEN INC cs 73941U102 0 52 - 0 52 PPL CORPORATION cs 69351T106 6 221 221 0 - PREMIER LASER SYS A NXXX cs 740522107 - 500 500 0 - PRG GROUP INC cs 693569105 0 750 750 0 - PRICELINE.COM INC NEW cs 741503403 3 6 6 0 - PRICESMART INC cs 741511109 33 475 475 0 - PROCTER & GAMBLE cs 742718109 2,452 36,758 33,526 0 3,232
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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- PROSHARES SHORT ETF cs 74347X849 6 200 200 0 - PROSHARES SHORT S&P 500 cs 74347R503 3,155 78,075 77,875 0 200 PROSHS SHORT RUSSELL2000 cs 74347R826 30 1,000 1,000 0 - PROSHS ULTRASHORT LEHMAN cs 74347R297 58 3,200 3,200 0 - PROSHS ULTRASHRT S&P500 cs 74347R883 310 16,092 16,092 0 - PRUDENTIAL FINANCIAL INC cs 744320102 2 40 40 0 - PUB SVC ENT GROUP INC cs 744573106 7 200 200 0 - QIHOO 360 TECH CO ADR F cs 74734M109 1 34 34 0 - QUALCOMM INC cs 747525103 5,192 94,909 94,159 0 750 QUESTCOR PHARMACEUTICALS cs 74835Y101 1 35 35 0 - QUESTERRE ENERGY CORP F cs 74836K100 1 1,500 1,500 0 - QUIKSILVER INC cs 74838C106 2 440 40 0 400 R F MICRO DEVICES INC cs 749941100 3 500 500 0 - RACKSPACE HOSTING INC cs 750086100 34 800 800 0 - RADIENT PHARMACEUTICALS cs 750341109 0 1,080 1,080 0 - RADIOSHACK CORPORATION cs 750438103 1 100 100 0 - RAMBUS INC DEL cs 750917106 5 700 700 0 - RAYTHEON COMPANY NEW cs 755111507 3,591 74,225 74,075 0 150 REDHAT INC cs 756577102 0 5 5 0 - RESEARCH IN MOTION LTD F cs 760975102 6 400 200 0 200 RESMED INC cs 761152107 5 200 200 0 - RETAIL OPPTY INVESTMENTS cs 76131N101 3 250 250 0 - ROCHE HLDG LTD SPON ADRF cs 771195104 40 950 950 0 - ROCKWOOD HOLDINGS INC cs 774415103 9 240 240 0 - ROSS STORES INC cs 778296103 19 400 400 0 - ROYAL DUTCH SHELL A ADRF cs 780259206 161 2,200 200 0 2,000 ROYCE VALUE TRUST INC cs 780910105 37 3,000 3,000 0 - S G I INTERNATIONAL NXXX cs 784185209 - 100 100 0 - S P D R S&P 500 ETF TR cs 78462F103 730 5,815 5,665 0 150 SAFE BULKERS INC F cs Y7388L103 1 186 186 0 - SANDISK CORP cs 80004C101 5 100 100 0 - SASOL LIMITED SPON ADR F cs 803866300 43 900 900 0 - SCH US AGG BND ETF cs 808524839 0 8 8 0 - SCH US REIT ETF cs 808524847 0 5 5 0 - SCH US TIPS ETF cs 808524870 0 8 8 0 - SCHLUMBERGER LTD F cs 806857108 38 550 550 0 - SCHW EMG MKT EQ ETF cs 808524706 0 7 7 0 - SCHW INTL EQ ETF cs 808524805 0 4 4 0 - SCHW INTL SCAP ETF cs 808524888 0 4 4 0 - SCHW US BRD MKT ETF cs 808524102 1 45 - 0 45 SCHW US LCAP ETF cs 808524201 0 15 15 0 - SCHW US LCAP GRO ETF cs 808524300 0 7 7 0 - SCHW US LCAP VAL ETF cs 808524409 0 7 7 0 - SCHW US SCAP ETF cs 808524607 0 8 8 0 - SCHWEITZER-MAUDUIT INTL cs 808541106 2 29 29 0 - SEADRILL LTD F cs G7945E105 10 300 300 0 - SECTOR SPDR CONSUMER FD cs 81369Y407 68 1,750 1,750 0 - SECTOR SPDR ENGY SELECT cs 81369Y506 111 1,600 1,600 0 - SECTOR SPDR FINCL SELECT cs 81369Y605 49 3,742 3,742 0 - SECTOR SPDR HEALTH FUND cs 81369Y209 92 2,650 2,650 0 - SECTOR SPDR INDL SELECT cs 81369Y704 288 8,525 8,525 0 - SECTOR SPDR MATERIALS FD cs 81369Y100 390 11,650 11,650 0 - SECTOR SPDR TECH SELECT cs 81369Y803 6 250 150 0 100 SECTOR SPDR TR CON STPLS cs 81369Y308 211 6,480 6,480 0 - SECTOR SPDR UTIL SELECT cs 81369Y886 50 1,400 1,400 0 - SEMPRA ENERGY cs 816851109 86 1,556 1,556 0 - SHL TELEMEDICINE ORD F cs M84047105 4 700 700 0 - SIEMENS A G ADR F cs 826197501 1,948 20,375 20,300 0 75 SILVER WHEATON CORP F cs 828336107 15 525 25 0 500 SINA CORPORATION F cs G81477104 6 120 120 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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- SIRIUS XM RADIO INC cs 82967N108 14 7,474 7,474 0 - SKYWORKS SOLUTIONS INC cs 83088M102 0 13 - 0 13 SONY CORP ADR NEW F cs 835699307 13 700 700 0 - SOUTHERN COPPER CORP cs 84265V105 91 3,012 3,012 0 - SOUTHWEST AIRLINES CO cs 844741108 2 200 200 0 - SOUTHWEST GAS CORP COM cs 844895102 57 1,337 1,337 0 - SPDR BARCLAYS CAP INTL cs 78464A516 2 28 28 0 - SPDR BARCLAYS CAPITAL cs 78464A417 5 131 131 0 - SPDR DOW JONES REIT cs 78464A607 9 136 136 0 - SPDR GOLD TRUST cs 78463V107 6,861 45,144 44,178 0 966 SPDR NUVEEN BARCLAYS CAP cs 78464A425 2 66 66 0 - SPDR S&P OIL & GAS EQUIP cs 78464A748 7 200 200 0 - SPECTRUM GROUP INTL cs 84763M102 1 500 500 0 - SPRINT NEXTEL CORP cs 852061100 0 2 2 0 - STARBUCKS CORP cs 855244109 145 3,145 3,120 0 25 STEELCASE INC CL A cs 858155203 37 5,000 5,000 0 - STRATEGIC RESOURCES LTD cs 862773108 0 5,500 5,500 0 - STRYKER CORP cs 863667101 7 150 150 0 - SUNCOR ENERGY INC NEW F cs 867224107 3 100 - 0 100 SUNOCO INC cs 86764P109 82 2,000 - 0 2,000 SUPERVALU INC cs 868536103 1 85 85 0 - SYNERON MEDICAL LTD F cs M87245102 1 125 125 0 - SYNVISTA THERAPEUTICS cs 87164M100 0 1,252 1,252 0 - SYSCO CORPORATION cs 871829107 235 8,000 - 0 8,000 T H Q INC NEW cs 872443403 0 20 20 0 - TARGET CORPORATION cs 87612E110 55 1,070 1,070 0 - TASER INTERNATIONAL INC cs 87651B104 8 1,500 1,500 0 - TE CONNECTIVITY LTD F cs H84989104 1 38 8 0 30 TESLA MOTORS INC cs 88160R101 1 30 30 0 - TEVA PHARM INDS LTD ADRF cs 881624209 2,227 55,185 53,735 0 1,450 TEXTRON INCORPORATED cs 883203101 1 50 - 0 50 THE CHARLES SCHWAB CORP cs 808513105 60 5,300 300 0 5,000 THE SOUTHERN COMPANY cs 842587107 23 500 500 0 - TIME WARNER CABLE cs 88732J207 0 1 1 0 - TIME WARNER INC NEW cs 887317303 0 6 6 0 - TOTAL S A ADR F cs 89151E113 15 300 300 0 - TOYOTA MOTOR CP ADR NEWF cs 892331307 36 551 551 0 - TRANSOCEAN INC NEW F cs H8817H100 8 206 206 0 - TUPPERWARE BRANDS CORP cs 899896104 7 130 130 0 - TYCO INTL LTD NEW F cs H89128104 41 888 858 0 30 U S BANCORP DEL NEW cs 902973304 63 2,339 2,339 0 - U S PLASTIC LUMBER COXXX cs 902948108 - 1,900 1,900 0 - UIL HOLDINGS CO cs 902748102 7 200 200 0 - UNILEVER N V NY SHS NEWF cs 904784709 3,357 97,675 97,475 0 200 UNILEVER PLC ADR NEW F cs 904767704 34 1,000 1,000 0 - UNION PACIFIC CORP cs 907818108 17 163 163 0 - UNISYS CORP NEW cs 909214306 0 1 1 0 - UNITED PARCEL SERVICE B cs 911312106 26 350 350 0 - UNITED STATES STEEL CORP cs 912909108 3 100 100 0 - UNITED STS 12 MO OIL FD cs 91288V103 22 500 500 0 - UNITED TECHNOLOGIES CORP cs 913017109 35 475 475 0 - UPSTREAM BIOSCIENCES INC cs 91678P104 0 2,559 2,559 0 - USA URANIUM CORP XXX cs 91154T109 - 400,000 400,000 0 - VALE SA ADR F cs 91912E109 32 1,500 1,500 0 - VALEANT PHARMA INTL F cs 91911K102 5 100 100 0 - VALLEY NATIONAL BANCORP cs 919794107 8 618 618 0 - VANGUARD BOND INDEX FUND cs 921937835 3,518 42,110 41,560 0 550 VANGUARD MID CAP cs 922908629 162 2,250 2,250 0 - VANGUARD MSCI EMERGING cs 922042858 2,279 59,650 59,350 0 300 VANGUARD REIT cs 922908553 140 2,409 2,184 0 225
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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- VANGUARD TOTAL STOCK MKT cs 922908769 733 11,396 10,746 0 650 VERISIGN INC cs 92343E106 0 8 8 0 - VERIZON COMMUNICATIONS cs 92343V104 849 21,151 12,212 0 8,939 VIRNETX HOLDING CORP cs 92823T108 1 50 - 0 50 VODAFONE GROUP NEW ADR F cs 92857W209 234 8,331 4,766 0 3,565 VULCAN MATERIALS COMPANY cs 929160109 4 100 100 0 - W P P PLC ADR F cs 92933H101 1 22 22 0 - WAL-MART STORES INC cs 931142103 106 1,779 1,479 0 300 WASHINGTON MUTUAL INC cs 939322103 0 150 150 0 - WASTE MANAGEMENT INC DEL cs 94106L109 69 2,100 2,100 0 - WATSON PHARMACEUTICALS cs 942683103 5 76 76 0 - WEATHERFORD INTL LTD F cs H27013103 4 300 300 0 - WELLS FARGO & CO NEW cs 949746101 79 2,880 2,880 0 - WEST CANYON ENERGY NEW cs 951736206 0 25 25 0 - WESTERN ASSET HIGH INCM cs 95766K109 2 325 325 0 - WESTERN DIGITAL CORP cs 958102105 18 575 575 0 - WEYERHAEUSER CO cs 962166104 23 1,221 1,221 0 - WHITING PETROLEUM CORP cs 966387102 7 150 150 0 - WHITING USA TRUST I cs 966389108 9 550 550 0 - WILLIAMS COMPANIES cs 969457100 201 6,100 100 0 6,000 WINDSTREAM CORPORATION cs 97381W104 9 804 804 0 - WISDOMTREE DIVIDEND cs 97717W406 5 98 98 0 - WISDOMTREE DREYFUS ETF cs 97717W133 10 500 500 0 - WISDOMTREE TRUST cs 97717W182 725 28,775 28,775 0 - WISDOMTREE TRUST cs 97717W281 6 150 150 0 - WYNN RESORTS cs 983134107 1 8 8 0 - XCEL ENERGY INC cs 98389B100 111 4,000 - 0 4,000 XPO LOGISTICS INC cs 983793100 1 100 - 0 100 YUM BRANDS INC cs 988498101 56 956 956 0 - ZILLOW INC CL A cs 98954A107 2 100 100 0 - ZYNGA INC cs 98986T108 6 600 600 0 - ALLIANCE RES PARTNERS LP oa 01877R108 15 200 200 0 - AMERIGAS PARTNERS LP oa 030975106 68 1,475 1,475 0 - ANNALY CAPITAL MGMT oa 035710409 140 8,750 8,750 0 - BOARDWALK PIPELINE PTNRS oa 096627104 8 300 - 0 300 DUKE REALTY CORP oa 264411505 25 2,100 2,100 0 - ENBRIDGE ENERGY PTNRS LP oa 29250R106 8 240 - 0 240 ENERGY TRANSFER PARTNERS oa 29273R109 23 510 510 0 - ENTERPRISE PRD PRTNRS LP oa 293792107 580 12,501 101 0 12,400 EQUITY RESIDENTIAL oa 29476L107 9 150 150 0 - H C P INC oa 40414L109 4 90 90 0 - KIMCO REALTY CORP oa 49446R109 16 1,000 1,000 0 - KINDER MORGAN ENERGY LP oa 494550106 161 1,894 1,894 0 - LAACO INC LTD PARTNSHIP oa 505346106 38 40 40 0 - LINN ENERGY oa 536020100 4 100 100 0 - MFA FINANCIAL INC oa 55272X102 7 1,000 1,000 0 - PLUM CREEK TIMBER CO oa 729251108 10 260 260 0 - REALTY INCOME CORP oa 756109104 1,062 30,375 30,125 0 250 STONEMOR PARTNERS oa 86183Q100 5 200 200 0 - UMH PROPERTIES INC oa 903002103 28 3,000 3,000 0 - VORNADO REALTY TRUST oa 929042109 18 234 234 0 - WESTERN GAS PARTNERS L P oa 958254104 4 100 100 0 - A T & T INC 6.375%56 ps 00211G208 27 1,000 1,000 0 - AB SVENSK EXPORT 2022F ps 870297603 12 1,300 - 0 1,300 AEGON NV 7.25% PFD F ps N00927348 22 1,000 1,000 0 - ALLIANZ SE 8.375% PFD F ps 018805200 38 1,500 1,500 0 - BAC CAP TR III 7.00%32 ps 05518E205 68 3,300 3,300 0 - BAC CAPITAL TRUST I 7%31 ps 055187207 56 2,700 2,700 0 - BK OF N Y IV E 6.875%28 ps 09656G201 65 2,500 2,500 0 - BK ONE CAP TR VI 7.20%31 ps 06423W204 1,300 50,975 50,400 0 575
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 ------------------------ -------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ------- CBS CORPORATION 6.75%56 ps 124857400 25 1,000 1,000 0 - COMCAST CORP NTS 7.00%55 ps 20030N408 1,351 52,800 52,500 0 300 COUNTRYWIDE NEW 7.00%66 ps 222388209 61 3,000 3,000 0 - CREDIT SUISSE 7.90% PFDF ps 225448208 46 1,800 1,800 0 - GENERAL ELEC CAP 6.45%46 ps 369622477 527 20,350 20,250 0 100 HARRIS PFD CAP 7.375%PFD ps 414567206 5 200 200 0 - JP MORGAN CAP X 7.00%32 ps 46623D200 281 11,000 11,000 0 - JPMORGAN CHASE 8.625%PFD ps 46625H621 524 18,975 18,975 0 - M L CAP TRUST 7.28% PFD ps 59021K205 2 100 - 0 100 MAGNUM HUNTER 10.25% PFD ps 55973B201 51 2,000 2,000 0 - MAGNUM HUNTER RES 8% PFD ps 55973B300 9 200 200 0 - PUBLIC STORAGE 6.25% PFD ps 74460D521 25 1,000 1,000 0 - ROYCE VALUE TR 5.90% PFD ps 780910402 13 500 500 0 - WELLS FARGO XII 7.875%68 ps 94985V202 2,032 78,175 77,500 0 675