0001140361-14-007663.txt : 20140214
0001140361-14-007663.hdr.sgml : 20140214
20140214142819
ACCESSION NUMBER: 0001140361-14-007663
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
EFFECTIVENESS DATE: 20140214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Apriem Advisors
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: 14614809
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
FORMER COMPANY:
FORMER CONFORMED NAME: Iwamoto, Kong & Co., Inc.
DATE OF NAME CHANGE: 20080125
13F-HR
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0001425165
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12-31-2013
12-31-2013
Apriem Advisors
19200 VON KARMAN AVE
#1030
IRVINE
CA
92612
13F HOLDINGS REPORT
028-12756
N
Benjamin Lau
Portfolio Manager
(949) 253-8888
/s/ Benjamin Lau
IRVINE
CA
02-14-2014
0
546
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INFORMATION TABLE
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form13fInfoTable.xml
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004153676
1
10
SH
Call
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0
10
CALL EDWARDS LIFESCIENCE
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6
SH
Call
SOLE
4
0
2
1/100 BERKSHIRE HTWY CLA
cs
084990175
178
1
SH
SOLE
1
0
0
3 D SYSTEMS CORP
cs
88554D205
79
850
SH
SOLE
850
0
0
3M COMPANY
cs
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379
2700
SH
SOLE
100
0
2600
A F L A C INC
cs
001055102
67
1000
SH
SOLE
1000
0
0
A T & T INC NEW
cs
00206R102
7175
204079
SH
SOLE
194804
0
9275
ABB LTD ADR F
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82
3100
SH
SOLE
2100
0
1000
ABBOTT LABORATORIES
cs
002824100
138
3600
SH
SOLE
3600
0
0
ABBVIE INC
cs
00287Y109
5305
100450
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SOLE
94550
0
5900
ABERDEEN ASIA PAC INCM
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92
16000
SH
SOLE
16000
0
0
ADT CORP
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19
SH
SOLE
4
0
15
ADVANCED MICRO DEVICES
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1
200
SH
SOLE
200
0
0
AGILENT TECHNOLOGIES INC
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223
3906
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SOLE
3906
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0
ALCATEL LUCENT ADR F
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34
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SOLE
34
0
0
ALCOA INC
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2808
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2808
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0
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300
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SOLE
300
0
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100
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SOLE
100
0
0
ALLERGAN INC
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758
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SOLE
758
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568
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545
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4650
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100
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67
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250
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0
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250
AMERICA MOVIL SAB L ADRF
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1000
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1000
0
0
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150
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SOLE
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AMERITYRE CORPORATION
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2000
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2000
AMGEN INCORPORATED
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704
6172
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600
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5572
ANADARKO PETROLEUM CORP
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14720
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0
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14720
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1000
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1000
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100
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APPLE INC
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13106
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204
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204
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ARCHER-DANIELS-MIDLND CO
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ARENA PHARMACEUTICALS
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SOLE
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10000
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cs
073302101
9
106
SH
SOLE
106
0
0
BAIDU INC ADR F
cs
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150
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SOLE
150
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BANC CALIF INC
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900
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SOLE
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BANK OF AMERICA CORP
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BANK OF HAWAII CORP
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101
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101
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BANK OF NY MELLON CP NEW
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275
7880
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SOLE
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12405
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SOLE
11055
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1350
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90000
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650
BERRY PLASTICS GROUP INC
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100
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89
1300
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SOLE
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BLACKBERRY LTD F
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BLACKROCK CA MUN INCM TR
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4400
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4400
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SH
SOLE
0
0
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552
4044
SH
SOLE
1244
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BP PLC ADR F
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180
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SOLE
180
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86722
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SOLE
66826
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300
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SOLE
300
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CALAMP CORP
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CITADEL BROADCASTING ^XX
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41
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cs
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cs
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cs
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HARLEY DAVIDSON INC
cs
412822108
14
200
SH
SOLE
200
0
0
HASBRO INC
cs
418056107
6
108
SH
SOLE
108
0
0
HDFC BANK LIMITED ADR F
cs
40415F101
17
500
SH
SOLE
500
0
0
HEALTHCARE TR OF AMERICA
cs
42225P105
44
4510
SH
SOLE
4510
0
0
HENNES & MAURITZ AB ADRF
cs
425883105
4
400
SH
SOLE
400
0
0
HEWLETT-PACKARD COMPANY
cs
428236103
18
632
SH
SOLE
632
0
0
HIMAX TECHNOLOGIES ADR F
cs
43289P106
1
100
SH
SOLE
100
0
0
HOME DEPOT INC
cs
437076102
890
10804
SH
SOLE
1804
0
9000
HORMEL FOODS CORP
cs
440452100
14
302
SH
SOLE
302
0
0
HSBC HLDGS PLC ADR NEW F
cs
404280406
55
1000
SH
SOLE
500
0
500
HUNTINGTON INGALLS INDS
cs
446413106
5
50
SH
SOLE
50
0
0
IDNA INC XXX
cs
45169P106
0
5000
SH
SOLE
5000
0
0
INFOSYS LTD SPON ADR F
cs
456788108
49
862
SH
SOLE
362
0
500
INTEL CORP
cs
458140100
281
10832
SH
SOLE
10732
0
100
INTERDIGITAL INC
cs
45867G101
3
101
SH
SOLE
101
0
0
INTERNATIONAL PAPER CO
cs
460146103
20
417
SH
SOLE
417
0
0
INTL BUSINESS MACHINES
cs
459200101
929
4954
SH
SOLE
1154
0
3800
INVESCO CALIFORNIA VALUE
cs
46132H106
121
10655
SH
SOLE
10655
0
0
ISC8 INC
cs
450098108
0
12
SH
SOLE
12
0
0
ISHARES CORE S&P ETF
cs
464287804
61
562
SH
SOLE
562
0
0
ISHARES GLOBAL MATLS
cs
464288695
14
218
SH
SOLE
218
0
0
ISHARES GOLD TRUST
cs
464285105
124
10650
SH
SOLE
10250
0
400
ISHARES IBOXX INVESTMENT
cs
464287242
6
50
SH
SOLE
50
0
0
ISHARES MSCI BRAZIL ETF
cs
464286400
27
600
SH
SOLE
600
0
0
ISHARES MSCI CDA ETF
cs
464286509
36
1217
SH
SOLE
1217
0
0
ISHARES MSCI EMRG MKT FD
cs
464287234
89
2120
SH
SOLE
1146
0
974
ISHARES MSCI ETF
cs
464286103
41
1700
SH
SOLE
1700
0
0
ISHARES MSCI ETF
cs
46429B622
5
89
SH
SOLE
89
0
0
ISHARES MSCI GRMNY
cs
464286806
16
500
SH
SOLE
500
0
0
ISHARES MSCI HK ETF
cs
464286871
16
800
SH
SOLE
800
0
0
ISHARES MSCI JPN ETF
cs
464286848
75
6200
SH
SOLE
6200
0
0
ISHARES MSCI MEXICO ETF
cs
464286822
143
2098
SH
SOLE
2098
0
0
ISHARES MSCI PAC EX JAPN
cs
464286665
4
76
SH
SOLE
76
0
0
ISHARES MSCI SINGAPORE
cs
464286673
13
1000
SH
SOLE
1000
0
0
ISHARES NASDAQ BIO ETF
cs
464287556
11
50
SH
SOLE
50
0
0
ISHARES RESIDENTIAL
cs
464288562
4
88
SH
SOLE
88
0
0
ISHARES RUSSELL ETF
cs
464287499
32
213
SH
SOLE
213
0
0
ISHARES S&P MIDCAP 400
cs
464287606
38
250
SH
SOLE
250
0
0
ISHARES SILVER TRUST
cs
46428Q109
6
300
SH
SOLE
300
0
0
ISHARES TR BOND
cs
464288620
13
119
SH
SOLE
119
0
0
ISHARES TR BOND
cs
464288638
5379
49865
SH
SOLE
44990
0
4875
ISHARES TR BOND
cs
464288646
2167
20545
SH
SOLE
18420
0
2125
ISHARES TR GLOBAL ETF
cs
464287325
60
695
SH
SOLE
695
0
0
ISHARES TR LATIN AMER
cs
464287390
11
300
SH
SOLE
300
0
0
ISHARES TR MSCI EAFE
cs
464287465
310
4619
SH
SOLE
4219
0
400
ISHARES TR REAL ESTATE
cs
464287739
2
35
SH
SOLE
35
0
0
ISHARES TR RUSSELL 2000
cs
464287655
923
8000
SH
SOLE
0
0
8000
ISHARES TR RUSSELL 3000
cs
464287689
0
1
SH
SOLE
0
0
1
ISHARES TR TIPS
cs
464287176
551
5015
SH
SOLE
4615
0
400
ISHARES TR US FINANCIALS
cs
464287788
80
1000
SH
SOLE
1000
0
0
ISHARES TR US HEALTHCARE
cs
464287762
299
2570
SH
SOLE
1950
0
620
ISHARES TRUST
cs
464288513
183
1975
SH
SOLE
1825
0
150
ISHARES TRUST
cs
464288588
10
100
SH
SOLE
100
0
0
ISHARES U S PFD ETF
cs
464288687
107
2910
SH
SOLE
2910
0
0
ISHARES US HOME CONST
cs
464288752
5
200
SH
SOLE
200
0
0
ITAU UNI HOLDING SA ADRF
cs
465562106
35
2600
SH
SOLE
2600
0
0
JETBLUE AIRWAYS CORP
cs
477143101
2
225
SH
SOLE
225
0
0
JOHNSON & JOHNSON
cs
478160104
4908
53592
SH
SOLE
35897
0
17695
JOHNSON CONTROLS INC
cs
478366107
5146
100321
SH
SOLE
96271
0
4050
JP MORGAN EXCH TRADED NT
cs
46625H365
545
11750
SH
SOLE
11300
0
450
JPMORGAN CHASE & CO
cs
46625H100
182
3115
SH
SOLE
2660
0
455
KIMBERLY-CLARK CORP
cs
494368103
122
1167
SH
SOLE
1167
0
0
KRAFT FOODS GROUP
cs
50076Q106
1
11
SH
SOLE
11
0
0
LAB CP OF AMER HLDG NEW
cs
50540R409
183
2000
SH
SOLE
0
0
2000
LAS VEGAS SANDS CORP
cs
517834107
8
100
SH
SOLE
0
0
100
LEGG MASON INC
cs
524901105
2
50
SH
SOLE
50
0
0
LENNAR CORP CL A
cs
526057104
10
250
SH
SOLE
250
0
0
LEVEL 3 COMMUN NEW
cs
52729N308
1
33
SH
SOLE
33
0
0
LIBERTY STAR URANIUM NEW
cs
53123T206
14
616600
SH
SOLE
616600
0
0
LIFE TECHNOLOGIES CORP
cs
53217V109
8
100
SH
SOLE
100
0
0
LIFEVANTAGE CORP
cs
53222K106
2
1500
SH
SOLE
1500
0
0
LILLY ELI & COMPANY
cs
532457108
61
1200
SH
SOLE
1200
0
0
LINKEDIN CORP
cs
53578A108
65
300
SH
SOLE
300
0
0
LINNCO LLC
cs
535782106
31
1000
SH
SOLE
1000
0
0
LOGITECH INTL S A NEW F
cs
H50430232
7
500
SH
SOLE
0
0
500
LOWES COMPANIES INC
cs
548661107
10
200
SH
SOLE
0
0
200
LULULEMON ATHLETICA INC
cs
550021109
508
8600
SH
SOLE
7475
0
1125
MAGNUM HUNTER RESOURCES
cs
55973B102
4
513
SH
SOLE
513
0
0
MALLINCKRODT PUB F
cs
G5785G107
0
4
SH
SOLE
1
0
3
MANULIFE FINANCIAL CORPF
cs
56501R106
30
1500
SH
SOLE
1500
0
0
MARATHON OIL CORP
cs
565849106
500
14178
SH
SOLE
0
0
14178
MARATHON PETE CORP
cs
56585A102
650
7089
SH
SOLE
0
0
7089
MARKET VECTORS ETF
cs
57061R791
3492
185244
SH
SOLE
170294
0
14950
MARKET VECTORS ETF TRUST
cs
57060U100
1809
85590
SH
SOLE
81315
0
4275
MARKET VECTORS ETF TRUST
cs
57060U308
40
800
SH
SOLE
800
0
0
MARKET VECTORS ETF TRUST
cs
57060U605
10
175
SH
SOLE
75
0
100
MARKET VECTORS NEW ETF
cs
57061R544
25
800
SH
SOLE
800
0
0
MARKETO INC
cs
57063L107
4
100
SH
SOLE
100
0
0
MASCO CORP
cs
574599106
57
2500
SH
SOLE
2500
0
0
MASTERCARD INC
cs
57636Q104
8
10
SH
SOLE
10
0
0
MATSON INC
cs
57686G105
8
300
SH
SOLE
300
0
0
MC DONALDS CORP
cs
580135101
761
7839
SH
SOLE
3039
0
4800
MEDIDATA SOLUTIONS INC
cs
58471A105
19
310
SH
SOLE
310
0
0
MEDTRONIC INC
cs
585055106
46
800
SH
SOLE
800
0
0
MELTRONIX INC
cs
585730104
0
12000
SH
SOLE
12000
0
0
MERCK & CO INC NEW
cs
58933Y105
1308
26138
SH
SOLE
1138
0
25000
METLIFE INC
cs
59156R108
15
275
SH
SOLE
275
0
0
MICHAEL KORS HLDGS F
cs
G60754101
2
20
SH
SOLE
20
0
0
MICROCHIP TECHNOLOGY INC
cs
595017104
3
57
SH
SOLE
57
0
0
MICROSOFT CORP
cs
594918104
5812
155364
SH
SOLE
135289
0
20075
MICROSTRATEGY INC A NEW
cs
594972408
16
125
SH
SOLE
125
0
0
MIDDLESEX WATER CO
cs
596680108
15
700
SH
SOLE
700
0
0
MOLYCORP INC
cs
608753109
6
1000
SH
SOLE
1000
0
0
MONDELEZ INTL INC CL A
cs
609207105
1
35
SH
SOLE
35
0
0
MONSANTO CO NEW DEL
cs
61166W101
9
80
SH
SOLE
80
0
0
MORGAN STANLEY
cs
617446448
6
200
SH
SOLE
200
0
0
MOSAIC CO NEW
cs
61945C103
1715
36284
SH
SOLE
34334
0
1950
MOTOROLA SOLUTIONS INC
cs
620076307
24
350
SH
SOLE
350
0
0
MOTORS LIQ CO GUC TRUST
cs
62010U101
1
25
SH
SOLE
25
0
0
NESTLE S A REG B ADR F
cs
641069406
29
400
SH
SOLE
400
0
0
NETFLIX INC
cs
64110L106
64
175
SH
SOLE
175
0
0
NEWMONT MINING CORP
cs
651639106
28
1200
SH
SOLE
1200
0
0
NEXTWAVE WIRELESS CVR
cs
653CVR993
0
47
SH
SOLE
47
0
0
NIKE INC CLASS B
cs
654106103
22
276
SH
SOLE
276
0
0
NOKIA CORP SPON ADR F
cs
654902204
4
500
SH
SOLE
500
0
0
NORTEL NETWORKS CP NEW F
cs
656568508
0
5
SH
SOLE
5
0
0
NORTHEAST UTILITIES
cs
664397106
85
2004
SH
SOLE
2004
0
0
NORTHROP GRUMMAN CORP
cs
666807102
34
300
SH
SOLE
300
0
0
NOVO-NORDISK A-S ADR F
cs
670100205
68
367
SH
SOLE
367
0
0
NQ MOBILE INC ADR F
cs
64118U108
0
30
SH
SOLE
30
0
0
NRG ENERGY INC NEW
cs
629377508
0
4
SH
SOLE
4
0
0
NU SKIN ENTERPRISES CL A
cs
67018T105
12
90
SH
SOLE
25
0
65
NUANCE COMMUN INC
cs
67020Y100
3
200
SH
SOLE
0
0
200
NUCOR CORP
cs
670346105
222
4150
SH
SOLE
4150
0
0
NUVEEN CA AMT FREE MUNI
cs
670651108
1076
88393
SH
SOLE
82943
0
5450
NUVEEN CA DIV ADV MUN FD
cs
67066Y105
711
55350
SH
SOLE
50350
0
5000
NUVEEN CA QLTY INCM MUN
cs
670985100
56
3904
SH
SOLE
3904
0
0
NUVEEN CA SELECT TAX FR
cs
67063R103
68
5000
SH
SOLE
5000
0
0
NUVEEN CALIF MUNI MARKET
cs
67062U107
41
3000
SH
SOLE
3000
0
0
NUVEEN EQTY PREM INC FD
cs
6706ER101
507
40400
SH
SOLE
37900
0
2500
NUVEEN EQTY PREM OPTY FD
cs
6706EM102
287
22700
SH
SOLE
20200
0
2500
NUVEEN FLTG RATE INCM FD
cs
67072T108
110
9216
SH
SOLE
9216
0
0
NUVEEN INVT QLTY MUN FD
cs
67062E107
54
4000
SH
SOLE
4000
0
0
NUVEEN MA DIV AD MUNI FD
cs
67069P101
7
600
SH
SOLE
0
0
600
NUVEEN MASS PRE INCM MUN
cs
67061E108
7
600
SH
SOLE
0
0
600
NUVEEN MUNI ADVTG FUND
cs
67062H106
36
3000
SH
SOLE
0
0
3000
NUVEEN MUNI MKT OPPTY FD
cs
67062W103
84
7000
SH
SOLE
3000
0
4000
NUVEEN QLTY INCM MUNI FD
cs
670977107
86
7032
SH
SOLE
4032
0
3000
NUVEEN QUALITY MUNI FD
cs
67062N103
4
300
SH
SOLE
300
0
0
NUVEEN SELCT QLTY MUN FD
cs
670973106
62
5000
SH
SOLE
5000
0
0
NVIDIA CORP
cs
67066G104
0
20
SH
SOLE
20
0
0
OCCIDENTAL PETE CORP
cs
674599105
3274
34426
SH
SOLE
32576
0
1850
OLD DOMINION FREIGHT LNS
cs
679580100
11
200
SH
SOLE
200
0
0
OLIN CORP
cs
680665205
44
1510
SH
SOLE
1510
0
0
OPKO HEALTH INC
cs
68375N103
12
1400
SH
SOLE
1400
0
0
ORACLE CORPORATION
cs
68389X105
100
2619
SH
SOLE
2619
0
0
ORANGE COUNTY BUS BANK
cs
684193105
16
2200
SH
SOLE
2200
0
0
ORGANOVO HLDGS INC
cs
68620A104
2
196
SH
SOLE
196
0
0
P G & E CORP
cs
69331C108
22
550
SH
SOLE
550
0
0
P P G INDUSTRIES INC
cs
693506107
76
400
SH
SOLE
400
0
0
PACTERA TECH INTL ADR F
cs
695255109
1
100
SH
SOLE
100
0
0
PENTAIR LTD F
cs
H6169Q108
1
8
SH
SOLE
1
0
7
PENTHOUSE INTL INC
cs
709640106
0
125000
SH
SOLE
125000
0
0
PEOPLESTRING CORP
cs
71272D103
3
20000
SH
SOLE
20000
0
0
PEPSICO INCORPORATED
cs
713448108
9
104
SH
SOLE
104
0
0
PETROCHINA CO ADR F
cs
71646E104
49
450
SH
SOLE
350
0
100
PETROLEO BRASILEIRO ADRF
cs
71654V408
7
500
SH
SOLE
500
0
0
PFIZER INCORPORATED
cs
717081103
7074
230949
SH
SOLE
202399
0
28550
PHILIP MORRIS INTL INC
cs
718172109
173
1983
SH
SOLE
1815
0
168
PHILLIPS 66
cs
718546104
680
8810
SH
SOLE
366
0
8444
PIMCO CALIF MUN INCM FD
cs
72200N106
31
2373
SH
SOLE
2373
0
0
PIMCO CORP & INC OPPTY
cs
72201B101
79
4550
SH
SOLE
4350
0
200
PIMCO DYNAMIC INCOME FD
cs
72201Y101
354
12160
SH
SOLE
11910
0
250
PIMCO EXCH TRADED FUND
cs
72201R775
432
4120
SH
SOLE
3520
0
600
PIMCO HIGH INCOME FUND
cs
722014107
222
19077
SH
SOLE
19077
0
0
PINNACLE ENTERTAINMENT
cs
723456109
0
8
SH
SOLE
8
0
0
PINNACLE WEST CAPITAL CP
cs
723484101
26
500
SH
SOLE
500
0
0
PIONEER NATURAL RES CO
cs
723787107
13
70
SH
SOLE
70
0
0
PNM RESOURCES INC
cs
69349H107
18
750
SH
SOLE
0
0
750
POTASH CORP SASK INC F
cs
73755L107
36
1100
SH
SOLE
1100
0
0
POWERLINX INC NEW
cs
73933F204
0
10
SH
SOLE
10
0
0
POWERSHS DB US DOLLAR TR
cs
73936D107
11
500
SH
SOLE
500
0
0
POWERSHS EXCH TRAD FD TR
cs
73935X500
6
900
SH
SOLE
500
0
400
POWERSHS EXCH TRAD FD TR
cs
73935X575
14
525
SH
SOLE
525
0
0
POWERSHS EXCH TRAD FD TR
cs
73935X856
4
100
SH
SOLE
100
0
0
POWERSHS EXCH TRAD FD TR
cs
73936T441
108
4648
SH
SOLE
3889
0
759
POWERSHS EXCH TRAD FD TR
cs
73936T565
38
2856
SH
SOLE
2856
0
0
POWERSHS QQQ TRUST SER 1
cs
73935A104
402
4568
SH
SOLE
4568
0
0
POWERWAVE TECH INC NEW
cs
739363307
0
13
SH
SOLE
13
0
0
PREMIER LASER SYS A NXXX
cs
740522107
0
500
SH
SOLE
500
0
0
PRICELINE.COM INC NEW
cs
741503403
31
27
SH
SOLE
0
0
27
PRICESMART INC
cs
741511109
23
200
SH
SOLE
200
0
0
PROCTER & GAMBLE
cs
742718109
363
4457
SH
SOLE
1375
0
3082
PROSHARES SHORT ETF
cs
74347X849
7
200
SH
SOLE
200
0
0
PROSHARES SHORT S&P 500
cs
74347R503
50
2000
SH
SOLE
2000
0
0
PRUDENTIAL FINANCIAL INC
cs
744320102
4
40
SH
SOLE
40
0
0
PUB SVC ENT GROUP INC
cs
744573106
327
10200
SH
SOLE
200
0
10000
QIHOO 360 TECH CO ADR F
cs
74734M109
1
15
SH
SOLE
0
0
15
QUALCOMM INC
cs
747525103
6403
86229
SH
SOLE
80284
0
5945
QUIKSILVER INC
cs
74838C106
4
440
SH
SOLE
440
0
0
RACKSPACE HOSTING INC
cs
750086100
4
100
SH
SOLE
0
0
100
RAMBUS INC DEL
cs
750917106
7
700
SH
SOLE
700
0
0
RAYTHEON COMPANY NEW
cs
755111507
18
200
SH
SOLE
200
0
0
REDHAT INC
cs
756577102
0
5
SH
SOLE
0
0
5
ROCHE HLDG LTD SPON ADRF
cs
771195104
35
500
SH
SOLE
500
0
0
ROSS STORES INC
cs
778296103
15
200
SH
SOLE
200
0
0
ROYAL DUTCH SHELL A ADRF
cs
780259206
187
2619
SH
SOLE
619
0
2000
ROYCE GLOBAL VALUE TR
cs
78081T104
2
214
SH
SOLE
214
0
0
ROYCE VALUE TRUST INC
cs
780910105
24
1500
SH
SOLE
1500
0
0
S G I INTERNATIONAL NXXX
cs
784185209
0
100
SH
SOLE
100
0
0
S P D R S&P 500 ETF TR
cs
78462F103
1184
6410
SH
SOLE
5703
0
707
SALESFORCE COM
cs
79466L302
44
800
SH
SOLE
800
0
0
SANBORN RESOURCES LTD
cs
799689104
0
5000
SH
SOLE
5000
0
0
SANDISK CORP
cs
80004C101
7
100
SH
SOLE
100
0
0
SASOL LIMITED SPON ADR F
cs
803866300
54
1100
SH
SOLE
900
0
200
SCH INTM US TRSR ETF
cs
808524854
0
5
SH
SOLE
5
0
0
SCH ST US TRSR ETF
cs
808524862
0
5
SH
SOLE
5
0
0
SCH US AGG BND ETF
cs
808524839
54
1065
SH
SOLE
865
0
200
SCH US DIV EQUITY ETF
cs
808524797
4742
129363
SH
SOLE
117933
0
11430
SCH US MID-CAP ETF
cs
808524508
1
33
SH
SOLE
33
0
0
SCH US REIT ETF
cs
808524847
12
411
SH
SOLE
411
0
0
SCH US TIPS ETF
cs
808524870
12
221
SH
SOLE
221
0
0
SCHLUMBERGER LTD F
cs
806857108
45
500
SH
SOLE
500
0
0
SCHW EMG MKT EQ ETF
cs
808524706
4054
164789
SH
SOLE
154429
0
10360
SCHW INTL EQ ETF
cs
808524805
10174
322661
SH
SOLE
298936
0
23725
SCHW INTL SCAP ETF
cs
808524888
16
516
SH
SOLE
516
0
0
SCHW US BRD MKT ETF
cs
808524102
9681
215076
SH
SOLE
198259
0
16817
SCHW US LCAP ETF
cs
808524201
75
1703
SH
SOLE
1703
0
0
SCHW US SCAP ETF
cs
808524607
4206
80112
SH
SOLE
73387
0
6725
SEADRILL LTD F
cs
G7945E105
76
1845
SH
SOLE
1845
0
0
SEAGATE TECHNOLOGY PLC F
cs
G7945M107
17
300
SH
SOLE
300
0
0
SEATTLE GENETICS INC
cs
812578102
4
100
SH
SOLE
100
0
0
SEAWORLD ENTERTAINMENT
cs
81282V100
1
50
SH
SOLE
50
0
0
SECTOR SPDR CONSUMER FD
cs
81369Y407
94
1400
SH
SOLE
1400
0
0
SECTOR SPDR ENGY SELECT
cs
81369Y506
157
1775
SH
SOLE
1475
0
300
SECTOR SPDR FINCL SELECT
cs
81369Y605
99
4542
SH
SOLE
4542
0
0
SECTOR SPDR HEALTH FUND
cs
81369Y209
69
1250
SH
SOLE
1150
0
100
SECTOR SPDR INDL SELECT
cs
81369Y704
204
3900
SH
SOLE
3250
0
650
SECTOR SPDR MATERIALS FD
cs
81369Y100
91
1963
SH
SOLE
1963
0
0
SECTOR SPDR TECH SELECT
cs
81369Y803
7
200
SH
SOLE
200
0
0
SECTOR SPDR TR CON STPLS
cs
81369Y308
266
6180
SH
SOLE
5050
0
1130
SECTOR SPDR UTIL SELECT
cs
81369Y886
57
1500
SH
SOLE
1300
0
200
SEMPRA ENERGY
cs
816851109
167
1864
SH
SOLE
1864
0
0
SHL TELEMEDICINE ORD F
cs
M84047105
5
700
SH
SOLE
0
0
700
SIEMENS A G ADR F
cs
826197501
4079
29450
SH
SOLE
27975
0
1475
SINA CORPORATION F
cs
G81477104
8
100
SH
SOLE
100
0
0
SINOVAC BIOTECH LTD F
cs
P8696W104
2
300
SH
SOLE
300
0
0
SIRIUS XM HLDGS INC
cs
82968B103
31
8890
SH
SOLE
8890
0
0
SMITH & WESSON HLDG CORP
cs
831756101
19
1400
SH
SOLE
1400
0
0
SONY CORP ADR NEW F
cs
835699307
3
200
SH
SOLE
200
0
0
SOUTHERN COPPER CORP
cs
84265V105
80
2782
SH
SOLE
2681
0
101
SOUTHWEST AIRLINES CO
cs
844741108
4
200
SH
SOLE
200
0
0
SOUTHWEST GAS CORP COM
cs
844895102
75
1337
SH
SOLE
1337
0
0
SPDR BARCLAYS ETF
cs
78464A359
5
100
SH
SOLE
100
0
0
SPDR BARCLAYS ETF
cs
78464A664
18
300
SH
SOLE
300
0
0
SPDR DOW JONES INDL AVG
cs
78467X109
213
1288
SH
SOLE
1288
0
0
SPDR GOLD TRUST
cs
78463V107
163
1400
SH
SOLE
1400
0
0
SPDR S&P CHINA ETF
cs
78463X400
23
300
SH
SOLE
300
0
0
SPDR S&P DIVIDEND ETF
cs
78464A763
48
665
SH
SOLE
0
0
665
SPDR S&P EMERGING MKTS
cs
78463X533
23
600
SH
SOLE
600
0
0
SPDR S&P MIDCAP 400 ETF
cs
78467Y107
49
200
SH
SOLE
200
0
0
SPECTRA ENERGY CORP
cs
847560109
2
64
SH
SOLE
64
0
0
STARBUCKS CORP
cs
855244109
3202
40853
SH
SOLE
37653
0
3200
STARWOOD HTLS & RSTS NEW
cs
85590A401
6
80
SH
SOLE
0
0
80
STEELCASE INC CL A
cs
858155203
79
5000
SH
SOLE
5000
0
0
STRATASYS LTD F
cs
M85548101
2
16
SH
SOLE
16
0
0
STRATEGIC RESOURCES LXXX
cs
862773108
0
5500
SH
SOLE
5500
0
0
SUN LIFE FINANCIAL INC F
cs
866796105
35
1000
SH
SOLE
1000
0
0
SUPERVALU INC
cs
868536103
1
85
SH
SOLE
85
0
0
SYSCO CORPORATION
cs
871829107
289
8000
SH
SOLE
0
0
8000
T H Q INC NEW XXX
cs
872443601
0
2
SH
SOLE
0
0
2
T J X COS INC
cs
872540109
10
150
SH
SOLE
150
0
0
TABLEAU SOFTWARE INC
cs
87336U105
770
11170
SH
SOLE
10495
0
675
TAKE TWO INTERACTV SFTWR
cs
874054109
1
30
SH
SOLE
30
0
0
TARGET CORPORATION
cs
87612E110
2683
42400
SH
SOLE
39220
0
3180
TASER INTERNATIONAL INC
cs
87651B104
24
1500
SH
SOLE
1500
0
0
TE CONNECTIVITY LTD F
cs
H84989104
2
38
SH
SOLE
8
0
30
TEEKAY TANKERS LTD CL AF
cs
Y8565N102
2
621
SH
SOLE
621
0
0
TESLA MOTORS INC
cs
88160R101
213
1416
SH
SOLE
1210
0
206
TEVA PHARM INDS LTD ADRF
cs
881624209
2161
53915
SH
SOLE
51165
0
2750
THE CHARLES SCHWAB CORP
cs
808513105
3
100
SH
SOLE
100
0
0
THE SOUTHERN COMPANY
cs
842587107
21
500
SH
SOLE
200
0
300
THE WHITEWAVE FOODS CO
cs
966244105
1
25
SH
SOLE
25
0
0
TIBCO SOFTWARE INC
cs
88632Q103
1155
51375
SH
SOLE
48325
0
3050
TIME WARNER CABLE
cs
88732J207
0
1
SH
SOLE
0
0
1
TIME WARNER INC NEW
cs
887317303
0
6
SH
SOLE
0
0
6
TORONTO DOMINION BANK F
cs
891160509
2613
27730
SH
SOLE
20980
0
6750
TOTAL S A ADR F
cs
89151E113
8
125
SH
SOLE
125
0
0
TRANSOCEAN INC NEW F
cs
H8817H100
5
103
SH
SOLE
103
0
0
TRULIA INC
cs
897888103
26
750
SH
SOLE
600
0
150
TWITTER INC
cs
90184L102
81
1270
SH
SOLE
1090
0
180
TYCO INTL LTD NEW F
cs
H89128104
2
38
SH
SOLE
8
0
30
U S BANCORP DEL NEW
cs
902973304
105
2589
SH
SOLE
2589
0
0
UNDER ARMOUR INC CL A
cs
904311107
24
270
SH
SOLE
170
0
100
UNISYS CORP NEW
cs
909214306
0
1
SH
SOLE
1
0
0
UNITED STATES STEEL CORP
cs
912909108
3
100
SH
SOLE
100
0
0
UNITED STS 12 MO OIL FD
cs
91288V103
21
500
SH
SOLE
500
0
0
UNITED TECHNOLOGIES CORP
cs
913017109
46
402
SH
SOLE
402
0
0
UNITEDHEALTH GROUP INC
cs
91324P102
6
75
SH
SOLE
75
0
0
USA URANIUM CORP XXX
cs
91154T109
0
400000
SH
SOLE
0
0
400000
VALE SA ADR F
cs
91912E109
67
4400
SH
SOLE
1900
0
2500
VALEANT PHARMA INTL F
cs
91911K102
12
100
SH
SOLE
100
0
0
VANGUARD BOND INDEX FUND
cs
921937835
2374
29663
SH
SOLE
26513
0
3150
VANGUARD FTSE EMERGING
cs
922042858
3913
95125
SH
SOLE
88525
0
6600
VANGUARD INTL EQTY INDEX
cs
922042775
51
1000
SH
SOLE
1000
0
0
VANGUARD MID CAP
cs
922908629
154
1400
SH
SOLE
1400
0
0
VANGUARD REIT
cs
922908553
34
534
SH
SOLE
534
0
0
VANGUARD S&P 500 ETF NEW
cs
922908363
59
351
SH
SOLE
351
0
0
VANGUARD SMALL CAP
cs
922908751
55
500
SH
SOLE
500
0
0
VANGUARD TOTAL STOCK MKT
cs
922908769
843
8786
SH
SOLE
8569
0
217
VERISIGN INC
cs
92343E106
0
8
SH
SOLE
0
0
8
VERIZON COMMUNICATIONS
cs
92343V104
1828
37200
SH
SOLE
27176
0
10024
VISA INC CL A
cs
92826C839
22
100
SH
SOLE
0
0
100
VIVUS INC
cs
928551100
1
100
SH
SOLE
100
0
0
VODAFONE GROUP NEW ADR F
cs
92857W209
264
6726
SH
SOLE
6726
0
0
VOXELJET AG ADR F
cs
92912L107
1
26
SH
SOLE
26
0
0
VULCAN MATERIALS COMPANY
cs
929160109
3
50
SH
SOLE
50
0
0
WAL-MART STORES INC
cs
931142103
42
532
SH
SOLE
532
0
0
WASTE MANAGEMENT INC DEL
cs
94106L109
117
2600
SH
SOLE
2600
0
0
WEATHERFORD INTL LTD F
cs
H27013103
5
300
SH
SOLE
300
0
0
WELLS FARGO & CO NEW
cs
949746101
3592
79121
SH
SOLE
74621
0
4500
WHOLE FOODS MARKET INC
cs
966837106
82
1422
SH
SOLE
1322
0
100
WILLIAMS COMPANIES
cs
969457100
235
6100
SH
SOLE
100
0
6000
WINDSTREAM HLDGS INC
cs
97382A101
9
1104
SH
SOLE
1104
0
0
WISDOMTREE EMERGING MKTS
cs
97717W315
2
30
SH
SOLE
30
0
0
WPX ENERGY INC
cs
98212B103
41
2033
SH
SOLE
2033
0
0
XCEL ENERGY INC
cs
98389B100
112
4000
SH
SOLE
0
0
4000
XINYUAN REAL ESTATE ADRF
cs
98417P105
1
100
SH
SOLE
100
0
0
YAHOO INC
cs
984332106
8
187
SH
SOLE
187
0
0
YAMANA GOLD INC F
cs
98462Y100
17
2000
SH
SOLE
2000
0
0
YELP INC CLASS A
cs
985817105
41
600
SH
SOLE
500
0
100
YUM BRANDS INC
cs
988498101
179
2372
SH
SOLE
2372
0
0
ZILLOW INC CL A
cs
98954A107
8
100
SH
SOLE
100
0
0
ZOETIS INC
cs
98978V103
3
77
SH
SOLE
77
0
0
ZYNGA INC
cs
98986T108
2
500
SH
SOLE
100
0
400
ALLIANCE RES PARTNERS LP
oa
01877R108
15
200
SH
SOLE
200
0
0
ALON USA PARTNERS LP
oa
02052T109
6
350
SH
SOLE
350
0
0
AMERICAN CAPITAL AGENCY
oa
02503X105
59
3070
SH
SOLE
3070
0
0
AMERIGAS PARTNERS LP
oa
030975106
45
1000
SH
SOLE
1000
0
0
ANNALY CAPITAL MGMT
oa
035710409
80
8000
SH
SOLE
7550
0
450
BLACKSTONE GROUP LP
oa
09253U108
6
200
SH
SOLE
200
0
0
CALUMET SPECIALTY PROD
oa
131476103
26
1000
SH
SOLE
1000
0
0
CVR PARTNERS
oa
126633106
16
1000
SH
SOLE
1000
0
0
DIGITAL REALTY TRUST INC
oa
253868103
4
80
SH
SOLE
80
0
0
DUKE REALTY CORP
oa
264411505
57
3800
SH
SOLE
3500
0
300
ENBRIDGE ENERGY PTNRS LP
oa
29250R106
31
1040
SH
SOLE
926
0
114
ENERGY TRANSFER PARTNERS
oa
29273R109
134
2333
SH
SOLE
2333
0
0
ENTERPRISE PRD PRTNRS LP
oa
293792107
1672
25218
SH
SOLE
25218
0
0
EQUITY RESIDENTIAL
oa
29476L107
8
150
SH
SOLE
150
0
0
H C P INC
oa
40414L109
3
90
SH
SOLE
0
0
90
KINDER MORGAN ENERGY LP
oa
494550106
268
3325
SH
SOLE
3300
0
25
MFA FINANCIAL INC
oa
55272X102
7
1000
SH
SOLE
1000
0
0
ONEOK PARTNERS LP
oa
68268N103
126
2399
SH
SOLE
2399
0
0
PEBBLEBROOK HOTEL TRUST
oa
70509V100
2
75
SH
SOLE
0
0
75
PLUM CREEK TIMBER CO
oa
729251108
12
260
SH
SOLE
260
0
0
RAYONIER INC
oa
754907103
1582
37575
SH
SOLE
35325
0
2250
REALTY INCOME CORP
oa
756109104
3649
97753
SH
SOLE
93078
0
4675
T C PIPELINES LP
oa
87233Q108
15
300
SH
SOLE
300
0
0
UMH PROPERTIES INC
oa
903002103
28
3000
SH
SOLE
3000
0
0
VORNADO REALTY TRUST
oa
929042109
0
3
SH
SOLE
3
0
0
WESTERN GAS PARTNERS L P
oa
958254104
6
100
SH
SOLE
100
0
0
AB SVENSK EXPORT 2022F
ps
870297603
2
200
SH
SOLE
200
0
0
AMERN CAP AGY CO 8% PFD
ps
02503X204
108
4250
SH
SOLE
4250
0
0
COUNTRYWIDE CAP 7% PFD
ps
222388209
51
2000
SH
SOLE
2000
0
0
CYS INVESTMEN 7.75% PFD
ps
12673A207
21
1000
SH
SOLE
1000
0
0
DYNEX CAPITAL, 8.5% PFD
ps
26817Q704
40
1750
SH
SOLE
1750
0
0
HATTERAS FIN 7.625% PFD
ps
41902R400
21
1000
SH
SOLE
1000
0
0
HSBC HOLDING 8.125% PFD
ps
404280703
10
400
SH
SOLE
200
0
200
MAGNUM HUNTER RE 8% PFD
ps
55973B300
43
900
SH
SOLE
900
0
0
MERRILL LYNCH 7.28% PFD
ps
59021K205
3
100
SH
SOLE
100
0
0
MORGAN STANLE 5.75% PFD
ps
617466206
11
500
SH
SOLE
500
0
0
PRUDENTIAL FI 5.75% PFD
ps
744320607
11
500
SH
SOLE
500
0
0
WELLS FARGO BA 5.2% PFD
ps
949746747
54
2675
SH
SOLE
2500
0
175