0001140361-16-076154.txt : 20160812
0001140361-16-076154.hdr.sgml : 20160812
20160812152701
ACCESSION NUMBER: 0001140361-16-076154
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160812
DATE AS OF CHANGE: 20160812
EFFECTIVENESS DATE: 20160812
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: 161827995
BUSINESS ADDRESS:
STREET 1: 19200 VON KARMAN AVE
STREET 2: #1050
CITY: IRVINE
STATE: CA
ZIP: 92612
BUSINESS PHONE: 949-253-8888
MAIL ADDRESS:
STREET 1: 19200 VON KARMAN AVE
STREET 2: #1050
CITY: IRVINE
STATE: CA
ZIP: 92612
FORMER COMPANY:
FORMER CONFORMED NAME: Iwamoto, Kong & Co., Inc.
DATE OF NAME CHANGE: 20080125
13F-HR
1
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13F-HR
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true
false
0001425165
XXXXXXXX
06-30-2016
06-30-2016
Apriem Advisors
19200 VON KARMAN AVE
#1050
IRVINE
CA
92612
13F HOLDINGS REPORT
028-12756
N
Benjamin Lau
Chief Investment Officer
949-253-8888
/s/ Benjamin Lau
IRVINE
CA
08-12-2016
0
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EXXON MOBIL CORP
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30231G102
9980
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3930
FACEBOOK INC
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30303M102
4431
38769
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2420
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40
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2
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1500
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70
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1022
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215
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33733E203
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1125
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2500
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132
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501
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135
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100
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38
1200
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FREDDIE MAC
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1500
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35671D857
26
2327
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1800
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1800
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25
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44
6775
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364760108
4
178
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178
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26
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Y2685T115
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12756
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369385109
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1200
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16
114
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107
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7
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369604103
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15408
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370334104
264
3701
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11
405
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68
675
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675
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GENVEC INC
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100
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100
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GILEAD SCIENCES INC
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375558103
2332
27956
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25326
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2630
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37733W105
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0
950
GLOBAL NETWORKS CORP
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379382104
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5
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GLOBAL PAYMENTS INC
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37940X102
29
400
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GLOBAL X SUPERDIVIDEND
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37950E549
21
1000
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GOLDMAN SACHS GROUP
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38141G104
84
568
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568
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0
GUGGENHEIM BLLSHS 2016
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18383M555
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108195
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3600
GUGGENHEIM BLLSHS 2017
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18383M548
19056
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774519
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18383M530
21
1000
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18383M514
22
1000
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1000
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18383M506
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75
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75
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0
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78355W106
1
14
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14
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0
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78355W817
19
200
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200
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78355W866
56
1000
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1000
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HAIN CELESTIAL GROUP
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405217100
25
500
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500
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HALLIBURTON CO HLDG
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406216101
38
844
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HALYARD HEALTH INC
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40650V100
4
124
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124
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HARLEY DAVIDSON INC
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412822108
9
200
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200
0
0
HARSCO CORPORATION
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415864107
0
16
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16
0
0
HDFC BANK LIMITD F
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40415F101
27
400
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400
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HELIX ENERGY SOLUTN
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42330P107
7
1000
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1000
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HENNES & MAURITZ AB F
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425883105
2
400
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400
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HERCULES OFFSHORE
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427093307
0
75
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75
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HEWLETT PACKARD ENTE
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42824C109
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282
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282
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HOME DEPOT INC
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437076102
361
2826
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HONEYWELL INTL INC
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438516106
253
2175
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2175
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0
HP INC.
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40434L105
4
289
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289
0
0
HSBC HLDGS PLC F
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404280406
88
2800
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2500
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300
HUDBAY MINERALS INC F
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443628102
2
315
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315
0
0
HUNTINGTON INGALLS
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446413106
8
50
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50
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0
IBM CORP
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459200101
158
1042
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1042
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0
IDENTIVE INC
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45170X205
9
5000
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5000
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IDNA INC XXX
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45169P106
0
5000
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5000
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INOVIO PHARMA
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45773H201
13
1400
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1400
0
0
INTEL CORP
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458140100
394
12007
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12007
0
0
INTERDIGITAL INC
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45867G101
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105
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105
0
0
INTERNATIONAL PAPER
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460146103
131
3093
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3093
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INVESCO CALIFORNIA VALUE
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46132H106
155
10655
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10655
0
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IONIS PHARMACEUTICAL
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462222100
23
1000
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1000
0
0
ISHARES 1-3 YEAR CREDIT
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464288646
925
8721
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7071
0
1650
ISHARES 20 PLS YEAR
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464287432
90
650
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650
0
0
ISHARES CHINA LARGE CAP
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464287184
64
1875
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1875
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ISHARES CORE S&P 500
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464287200
5
24
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24
0
0
ISHARES CORE S&P MID CAP
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464287507
5
33
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33
0
0
ISHARES CORE S&P SMALL
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464287804
4
33
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33
0
0
ISHARES CORE US AGGRGT
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464287226
46
411
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411
0
0
ISHARES GLOBAL
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464287325
50
500
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SOLE
500
0
0
ISHARES GOLD ETF
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464285105
126
9889
SH
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9489
0
400
ISHARES IBOXX INVT GRADE
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464287242
11
86
SH
SOLE
50
0
36
ISHARES INTERM CREDIT
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464288638
5726
51466
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46631
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4835
ISHARES MSCI EAFE ETF
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464287465
153
2733
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2733
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ISHARES MSCI GERMANY
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464286806
24
1000
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SOLE
1000
0
0
ISHARES MSCI INDIA INDEX
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46429B598
28
1000
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SOLE
1000
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0
ISHARES MSCI JAPAN ETF
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464286848
43
3700
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3700
0
0
ISHARES MSCI MEXICO
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464286822
10
200
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200
0
0
ISHARES MSCI PACIFIC EX
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464286665
4
100
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100
0
0
ISHARES MSCI SPAIN
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464286764
10
400
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400
0
0
ISHARES NASDAQ
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464287556
149
580
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580
0
0
ISHARES RUSSELL 2000
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464287655
310
2700
SH
SOLE
2700
0
0
ISHARES RUSSELL 3000
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464287689
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1
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SOLE
0
0
1
ISHARES SELECT DIVIDEND
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464287168
43
500
SH
SOLE
500
0
0
ISHARES SILVER TRUST
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46428Q109
71
4000
SH
SOLE
4000
0
0
ISHARES TIPS BOND ETF
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464287176
1
11
SH
SOLE
11
0
0
ISHARES U.S. PREFERRED
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464288687
191
4800
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4800
0
0
ISHARES US FINANCIALS
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464287788
86
1000
SH
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1000
0
0
ISHARES US HEALTHCARE
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464287762
218
1470
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1070
0
400
ISHARES US HOME
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464288752
6
200
SH
SOLE
200
0
0
ISHARES US REAL ESTATE
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464287739
3
35
SH
SOLE
35
0
0
ITOCHU CORPORATION ORDF
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J2501P104
26
2200
SH
SOLE
2200
0
0
JETBLUE AIRWAYS CORP
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477143101
4
225
SH
SOLE
225
0
0
JOHNSON & JOHNSON
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478160104
267
2201
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SOLE
2201
0
0
JOHNSON CONTROLS INC
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478366107
647
14616
SH
SOLE
14416
0
200
JP MORGAN CHASE ALERIAN
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46625H365
876
27523
SH
SOLE
26923
0
600
JPMORGAN CHASE & CO
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46625H100
4195
67507
SH
SOLE
62512
0
4995
JUNO THERAPEUTICS
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48205A109
12
300
SH
SOLE
300
0
0
KELLOGG COMPANY
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487836108
16
200
SH
SOLE
200
0
0
KEYSIGHT TECH INC
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49338L103
1
50
SH
SOLE
50
0
0
KIMBERLY-CLARK CORP
cs
494368103
5170
37606
SH
SOLE
34751
0
2855
KINDER MORGAN INC
cs
49456B101
32
1700
SH
SOLE
1700
0
0
KITE PHARMA INC
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49803L109
15
300
SH
SOLE
300
0
0
KLX INC
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482539103
2
53
SH
SOLE
53
0
0
KONINKLIJKE PHILIPS F
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500472303
13
517
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517
0
0
KRAFT HEINZ COMPANY
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500754106
126
1423
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1423
0
0
KROGER COMPANY
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501044101
31
850
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850
0
0
L V M H MOET F
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502441306
3
91
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91
0
0
L-3 COMMUNICATIONS
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502424104
3
19
SH
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12
0
7
LAS VEGAS SANDS CORP
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517834107
26
601
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601
0
0
LEAR CORPORATION
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521865204
15
150
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SOLE
150
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LEGG MASON INC
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524901105
1
50
SH
SOLE
50
0
0
LENNAR CORP
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526057104
46
1000
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0
1000
LIBERTY GLOBAL INC F
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G5480U120
5
180
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180
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LIBERTY STAR URANIUM
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53123T206
2
616600
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616600
0
0
LIFEVANTAGE CORP
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53222K205
5
358
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358
0
0
LINKEDIN CORP
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53578A108
57
300
SH
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300
0
0
LITHIUM AMERS CORP F
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53680Q108
8
10000
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SOLE
10000
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0
LOCKHEED MARTIN CORP
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539830109
76
307
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300
0
7
LOEWS CORPORATION
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540424108
31
750
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750
0
0
LOWES COMPANIES INC
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548661107
267
3375
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3075
0
300
LPATH INC
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548910405
0
143
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143
0
0
LULULEMON ATHLETICA
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550021109
249
3375
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3075
0
300
LUMBER LIQUIDATORS
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55003T107
19
1200
SH
SOLE
1000
0
200
MALLINCKRODT PUB F
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G5785G107
5
77
SH
SOLE
74
0
3
MARATHON OIL CORP
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565849106
5
300
SH
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300
0
0
MARKETO INC
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57063L107
3
100
SH
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100
0
0
MARSH & MC LENNAN CO
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571748102
14
200
SH
SOLE
200
0
0
MARVELL TECH GROUP F
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G5876H105
14
1500
SH
SOLE
1500
0
0
MASTERCARD INC
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57636Q104
98
1116
SH
SOLE
1116
0
0
MATSON INC
cs
57686G105
10
300
SH
SOLE
300
0
0
MC DONALDS CORP
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580135101
184
1533
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1533
0
0
MCKESSON CORPORATION
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58155Q103
140
750
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750
0
0
MEDTRONIC PLC F
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G5960L103
25
292
SH
SOLE
264
0
28
MELCO CROWN ENTMT F
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585464100
3
225
SH
SOLE
225
0
0
MERCK & CO INC
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58933Y105
419
7267
SH
SOLE
7267
0
0
METLIFE INC
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59156R108
2124
53320
SH
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49490
0
3830
MICRON TECHNOLOGY
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595112103
144
10500
SH
SOLE
10500
0
0
MICROSOFT CORP
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594918104
244
4774
SH
SOLE
4774
0
0
MICROSTRATEGY INC
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594972408
13
75
SH
SOLE
75
0
0
MOBILEYE NV F
cs
N51488117
28
600
SH
SOLE
600
0
0
MONDELEZ INTL
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609207105
5
104
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SOLE
104
0
0
MORGAN STANLEY
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617446448
34
1316
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SOLE
1316
0
0
MOSAIC CO
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61945C103
3
100
SH
SOLE
100
0
0
MOTORS LIQ CO GUC TR
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62010U101
0
25
SH
SOLE
25
0
0
MS CHINA A SHARES CF
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617468103
23
1300
SH
SOLE
1300
0
0
N I I HOLDINGS INC
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62913F508
42
13171
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SOLE
13171
0
0
NANOTECH ENTMT INC
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63009Y104
6
1500000
SH
SOLE
1500000
0
0
NATIONAL HEALTHCARE
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635906100
23
350
SH
SOLE
350
0
0
NAVIOS MARITIME F
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Y62196103
45
55000
SH
SOLE
55000
0
0
NEFF CORPORATION
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640094207
8
700
SH
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700
0
0
NESTLE SA F
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641069406
47
602
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SOLE
602
0
0
NETFLIX INC
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64110L106
131
1432
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SOLE
1282
0
150
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64126X201
5
200
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SOLE
200
0
0
NEWMONT MINING CORP
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651639106
59
1500
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SOLE
1500
0
0
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65336K103
19
400
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SOLE
400
0
0
NEXTERA ENERGY INC
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65339F101
23
173
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SOLE
173
0
0
NIKE INC
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654106103
319
5787
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SOLE
5787
0
0
NIMBLE STORAGE INC
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65440R101
1
150
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150
0
0
NOKIA CORP SPON F
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654902204
1
150
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150
0
0
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655664100
15
400
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400
0
0
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666807102
373
1677
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1670
0
7
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66987V109
51
614
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SOLE
614
0
0
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670100205
42
785
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785
0
0
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67020Y100
2
100
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0
0
100
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670346105
101
2050
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SOLE
2050
0
0
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67075E108
94
10075
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SOLE
10075
0
0
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67069X104
75
4500
SH
SOLE
4500
0
0
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67063R103
117
7000
SH
SOLE
7000
0
0
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67066Y105
1200
70797
SH
SOLE
66247
0
4550
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67070X101
31
1923
SH
SOLE
0
0
1923
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67071L106
72
4439
SH
SOLE
2237
0
2202
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67072T108
49
4693
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SOLE
4693
0
0
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67075G103
15
1025
SH
SOLE
1025
0
0
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67061E104
35
2200
SH
SOLE
0
0
2200
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670651108
1744
102359
SH
SOLE
97609
0
4750
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67062E103
25
1500
SH
SOLE
1500
0
0
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67062W103
30
2000
SH
SOLE
0
0
2000
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67062T100
5
300
SH
SOLE
300
0
0
NUVEEN PREMIUM INCOME MU
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67063W102
4
263
SH
SOLE
263
0
0
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6706ER101
801
61483
SH
SOLE
59526
0
1957
NUVEEN SELECT QUALITY MU
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670973106
31
2000
SH
SOLE
2000
0
0
NVIDIA CORP
cs
67066G104
382
8116
SH
SOLE
8116
0
0
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N6596X109
28
352
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SOLE
352
0
0
OCCIDENTAL PETROL CO
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674599105
92
1220
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SOLE
1220
0
0
OCLARO INC
cs
67555N206
5
1000
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SOLE
1000
0
0
OLD DOMINION FREIGHT
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679580100
12
200
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SOLE
200
0
0
OLIN CORP
cs
680665205
18
710
SH
SOLE
710
0
0
OPKO HEALTH INC
cs
68375N103
19
2000
SH
SOLE
2000
0
0
ORACLE CORPORATION
cs
68389X105
60
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ORBITAL ATK INC
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68557N103
35
415
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415
0
0
P G & E CORP
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69331C108
32
500
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500
0
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PALO ALTO NETWORKS
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697435105
307
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225
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698477106
2
130
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130
0
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PAYPAL HOLDINGS INCO
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70450Y103
37
1000
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1000
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PBF ENERGY INC
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69318G106
18
750
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750
0
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PENTAIR PLC F
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G7S00T104
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8
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PENTHOUSE INTL INC
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709640106
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125000
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PEPSICO INCORPORATED
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713448108
22
206
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206
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PETROLEO BRASILEIRO F
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500
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PFIZER INCORPORATED
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PHILLIPS 66
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718546104
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PIMCO 0-5 YEAR HIGH YLD
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PIMCO CALIFORNIA MUNICIP
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72200N106
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PIMCO CORPORATE OPPORTUN
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72201B101
11
750
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PIMCO DYNAMIC CREDIT INC
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72202D106
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PIMCO DYNAMIC INCOME CF
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72201Y101
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PIMCO HIGH INCOME CF
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PIMCO TOTAL RETURN
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PINNACLE ENTERTAINMT
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PINNACLE WEST CAP
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600
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PIONEER NATURAL RES
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723787107
11
70
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POTASH CORP SASK INC F
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73755L107
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700
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700
0
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POWELL INDUSTRIES
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739128106
63
1600
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1600
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POWERLINX INC
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73933F204
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10
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POWERSH CALIFOR AMT FRE
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435
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POWERSHARES GLOBAL WATER
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POWERSHARES QQQ TRUST
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73935A104
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POWERSHARES S&P 500 LOW
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POWERSHARES WILDER CLEAN
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73935X500
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POWERWAVE TECH INC
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739363307
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13
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PPG INDUSTRIES INC
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693506107
229
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PREMIER LASER SYS A NXXX
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740522107
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500
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PROCTER & GAMBLE
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742718109
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PROSHARES ULTRA
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PROSHARES ULTRA HEALTH
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PRUDENTIAL FINANCIAL
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PUB SVC ENTERPISE GP
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744573106
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100
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PURE STORAGE INC
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74624M102
35
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QORVO INC
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74736K101
405
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QUALCOMM INC
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747525103
1229
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360
QUEST DIAGNOSTIC INC
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74834L100
1
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18
0
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RACKSPACE HOSTING
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750086100
42
2000
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2000
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RAMBUS INC DEL
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750917106
2
200
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200
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RANDGOLD RES LTD F
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752344309
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650
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RAVE RESTAURANT GRP
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754198109
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175
RAYTHEON COMPANY
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755111507
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450
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REDHAT INC
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756577102
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REGENERON PHARMS INC
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75886F107
16
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45
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REGIONS FINANCIAL CO
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7591EP100
89
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RESTORATION HARDWARE
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761283100
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500
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T79823158
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771195104
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500
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500
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ROYAL CARIBBEAN CRUI F
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V7780T103
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150
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150
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ROYAL DUTCH SHELL F
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780259107
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250
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ROYAL DUTCH SHELL F
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780259206
21
375
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375
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RUSH ENTERPRISES
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781846209
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100
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100
0
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S P X CORP
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784635104
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410
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410
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SALESFORCE COM
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79466L302
345
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4350
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SANBORN RESOURCE LTD
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799689104
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5000
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SANDRIDGE ENERGY INC
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80007P307
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567
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SANOFI SPOND F
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21
500
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SAP SPONSORED F
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SAREPTA THERAPEUTICS
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803607100
111
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SASOL LIMITED F
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803866300
14
500
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500
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SCHLUMBERGER LTD F
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806857108
24
308
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308
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SCHWAB EMERGING MARKETS
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SCHWAB INTERMEDIATE TERM
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808524854
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SCHWAB INTERNATIONAL
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808524805
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100
SCHWAB INTERNATNAL SMALL
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808524888
20
700
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700
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SCHWAB US AGGREGATE BOND
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808524839
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SCHWAB US BROAD MARKET
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SCHWAB US DIVIDEND
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808524797
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SCHWAB US LARGE CAP
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SCHWAB US LARGE CAP
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SCHWAB US LARGE CAP ETF
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712
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SCHWAB US SMALL CAP ETF
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239
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SCHWAB US TIPS ETF
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808524870
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SEATTLE GENETICS INC
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812578102
24
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SOLE
550
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50
SEAWORLD ENTERTAINMT
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SELECT SECTOR HEALTH
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250
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36475
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2400
SELECT STR FINANCIAL
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5925
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175
SEMPRA ENERGY
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816851109
191
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1675
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SHINSEI BANK LTD ORDF
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J7385L103
23
16000
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16000
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SHL TELEMEDICINE ORDF
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700
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SOLE
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0
700
SIEMENS A G F
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200
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SOLE
200
0
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SINA CORPORATION F
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G81477104
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100
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100
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SIRIUS XM HLDGS INC
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82968B103
161
40790
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40790
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83088M102
252
3975
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3825
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150
SMITH & WESSON HLDG
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2580
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500
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0
51
SODASTREAM INTL F
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M9068E105
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36
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36
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SOLARCITY CORP
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83416T100
5
200
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200
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SOLARIS PWR CELLS
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83416X101
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20000
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20000
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SONY CORPORATION F
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475
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375
0
100
SOUTHERN COMPANY
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41
758
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SOUTHERN COPPER CORP
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37
1378
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SOUTHWEST GAS CORP
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SPDR BARCLAYS CNV
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SPDR GOLD SHARES ETF
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78463V107
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2420
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SPDR MSCI JAPAN QUALITY
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SPDR NUVEEN BARCLAYS
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SPDR NUVEEN BARCLAYS MUN
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SPDR S&P DIVIDEND ETF IV
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54
1000
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SPROTT PHYSICAL GOLD ETV
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STARBUCKS CORP
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STEELCASE INC
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858155203
68
5000
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5000
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STRATEGIC RESOURCES LXXX
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5500
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5500
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STRYKER CORP
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12
100
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100
0
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STURM RUGER & CO INC
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45
700
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700
0
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SUPERVALU INC
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868536103
0
85
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85
0
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SYNERGY PHARMA
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12
3150
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3150
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SYNTHETIC BIOLOGICS
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87164U102
4
2000
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2000
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SYSCO CORPORATION
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6
125
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125
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T H Q INC NEW XXX
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2
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TARGET CORPORATION
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87612E106
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5155
TASER INTERNATIONAL
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87651B104
56
2250
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2250
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38
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8
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4
100
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100
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TENCENT HOLDINGS F
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88032Q109
184
8000
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8000
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TESCO PLC F
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18
2600
SH
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2600
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TESLA MOTORS INC
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88160R101
818
3852
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3030
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822
THERMO FISHER SCNTFC
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1
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8
0
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TIME INC
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8
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8
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TIME WARNER INC
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887317303
221
3003
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3003
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TJX COMPANIES INC
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23
300
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TOOTSIE ROLL INDS
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334
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TOOTSIE ROLL INDS B XXX
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334
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TOTAL SYSTEMS SERVIC
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TOYOTA MOTOR CORP F
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300
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TRACTOR SUPPLY COMP
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36
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TRANSOCEAN INC NEW F
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239
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239
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TRAVELERS COMPANIES
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32
265
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TWITTER INC
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75
4450
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4450
0
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TYCO INTL PLC F
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38
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30
U S BANCORP
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124
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3067
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UBS GROUP AG F
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H42097107
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1250
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1250
0
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UNDER ARMOUR INC
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904311107
395
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0
400
UNDER ARMOUR INC
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904311206
69
1898
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1898
0
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UNION PACIFIC CORP
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907818108
502
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200
UNISYS CORP
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UNITED STATES STEEL
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200
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0
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UNITED TECHNOLOGIES
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913017109
453
4415
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407
UNITEDHEALTH GRP INC
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91324P102
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28
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0
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URBAN EDGE PPTYS
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91704F104
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USA URANIUM CORP XXX
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400000
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400000
VALEANT PHARMA INTL F
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91911K102
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775
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VANECK VECTORS GOLD
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VANECK VECTORS PFD SEC
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15300
VANGUARD FTSE ALL WORLD
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43
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1000
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VANGUARD FTSE EMERGING
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VANGUARD FTSE EUROPE
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21
450
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VANGUARD FTSE PACIFIC
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200
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VANGUARD INTERMEDIATE
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56
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VANGUARD MID CAP ETF IV
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922908629
37
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3550
VANGUARD TOTAL STOCK
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922908769
462
4310
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4310
0
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VANGUARD UTILITIES ETF
cs
92204A876
46
400
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400
0
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VAPE HLDGS INC
cs
91912N105
0
500
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500
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VARIAN MEDICAL SYSTM
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92220P105
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40
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VASCO DATA SECURITY
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92230Y104
25
1500
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1500
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VERITIV CORPORATION
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1
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1
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VERIZON COMMUNICATN
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92343V104
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70951
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1475
VISA INC
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92826C839
258
3474
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3474
0
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VISTA OUTDOOR INC
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928377100
40
830
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SOLE
830
0
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VIVUS INC
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100
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SOLE
100
0
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VODAFONE GROUP F
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128
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4149
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VOLKSWAGEN AG PFD F
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D94523103
12
100
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0
100
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931427108
440
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200
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931142103
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cs
254687106
391
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WASTE MANAGEMENT INC
cs
94106L109
66
1000
SH
SOLE
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300
SH
SOLE
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0
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WELLS FARGO BK N A
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949746101
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8
250
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777
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15699
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750
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19
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WHOLE FOODS MARKET
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67
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55
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1050
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WINDSTREAM HLDGS INC
cs
97382A200
1
134
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134
0
0
WISDOMTREE INTL LARGECP
cs
97717W794
17
400
SH
SOLE
400
0
0
WISDOMTREE INTL SMALLCP
cs
97717W760
56
1000
SH
SOLE
1000
0
0
XENONICS HOLDINGS
cs
984117101
0
16553
SH
SOLE
16553
0
0
YAMANA GOLD INC F
cs
98462Y100
0
50
SH
SOLE
50
0
0
YELP INC
cs
985817105
38
1250
SH
SOLE
1250
0
0
YUM BRANDS INC
cs
988498101
204
2462
SH
SOLE
2393
0
69
ZAFGEN INC
cs
98885E103
6
1000
SH
SOLE
1000
0
0
ZILLOW GROUP INC
cs
98954M101
4
100
SH
SOLE
100
0
0
ZILLOW GROUP INC
cs
98954M200
7
200
SH
SOLE
200
0
0
ZIMMER BIOMET HLDGS
cs
98956P102
2
20
SH
SOLE
20
0
0
ZOETIS INC
cs
98978V103
104
2200
SH
SOLE
2200
0
0
MIRANT CORPORATION XXX
dl
604675991
0
2156
SH
SOLE
2156
0
0
AMERICAN TOWER CORP
oa
03027X100
119
1050
SH
SOLE
1050
0
0
AMERIGAS PARTNERS, L LP
oa
030975106
47
1000
SH
SOLE
1000
0
0
AMERN CAP AGY CRP
oa
02503X105
51
2570
SH
SOLE
2570
0
0
ANNALY CAPITAL MGMT
oa
035710409
877
79243
SH
SOLE
75243
0
4000
BROOKFIELD BUS PTNRS LP
oa
G16234109
0
3
SH
SOLE
3
0
0
DIGITAL REALTY TRUST
oa
253868103
9
80
SH
SOLE
80
0
0
DUKE REALTY CORP
oa
264411505
53
2000
SH
SOLE
2000
0
0
ENTERPRISE PRODUCTS LP
oa
293792107
28
962
SH
SOLE
962
0
0
GAMING & LEISURE PPT
oa
36467J108
0
6
SH
SOLE
6
0
0
HLTHCARE TR OF AMER
oa
42225P501
73
2255
SH
SOLE
2255
0
0
IRON MOUNTAIN US HOL
oa
46284V101
2
42
SH
SOLE
42
0
0
LAACO INC LTD PARTNS LP
oa
505346106
80
40
SH
SOLE
40
0
0
MFA FINANCIAL, INC.
oa
55272X102
7
1000
SH
SOLE
1000
0
0
NATIONAL HEALTH INVE
oa
63633D104
32
423
SH
SOLE
423
0
0
NORTHSTAR REALTY EUR
oa
66706L101
0
26
SH
SOLE
26
0
0
NORTHSTAR REALTY FIN
oa
66704R803
1
78
SH
SOLE
78
0
0
PEBBLEBROOK HOTEL TR
oa
70509V100
2
75
SH
SOLE
0
0
75
REALTY INCM CORP
oa
756109104
144
2075
SH
SOLE
2075
0
0
TIER REIT INC
oa
88650V208
14
944
SH
SOLE
944
0
0
UMH PROPERTIES INC.
oa
903002103
34
3000
SH
SOLE
3000
0
0
VENTAS INC
oa
92276F100
927
12725
SH
SOLE
12275
0
450
WEYERHAEUSER CO
oa
962166104
29
988
SH
SOLE
988
0
0
WSTN GAS PARTNERS LP LP
oa
958254104
5
90
SH
SOLE
90
0
0
AEGON NV 4% PFD
ps
007924509
19
775
SH
SOLE
775
0
0
ALLSTATE CORPORA 5.1%PFD
ps
020002309
24
900
SH
SOLE
900
0
0
AMERN CAP AGY CR 8% PFD
ps
02503X204
118
4500
SH
SOLE
4500
0
0
ASPEN INSURAN 5.95% PFD
ps
G05384154
6
200
SH
SOLE
200
0
0
BROOKFIELD ASS 5.4% PFD
ps
112585740
1
125
SH
SOLE
125
0
0
COMCAST CORPORATIO 5%PFD
ps
20030N606
3
100
SH
SOLE
100
0
0
COUNTRYWIDE CAP V 7%PFD
ps
222388209
52
2000
SH
SOLE
2000
0
0
CYS INVESTMEN 7.75% PFD
ps
12673A207
24
1000
SH
SOLE
1000
0
0
DYNEX CAPITAL, 8.5% PFD
ps
26817Q704
44
1750
SH
SOLE
1750
0
0
ENRON CORP DISC 00 8%PFD
ps
P37307108
0
400
SH
SOLE
400
0
0
FAIRFAX FINANCIA 5% PFD
ps
303901847
7
550
SH
SOLE
550
0
0
GENERAL FINANC 8.125%PFD
ps
369822705
7
300
SH
SOLE
300
0
0
GOLDMAN SACHS GR 4% PFD
ps
38144G804
47
2275
SH
SOLE
2275
0
0
HATTERAS FIN 7.625% PFD
ps
41902R400
25
1000
SH
SOLE
1000
0
0
HSBC HLDGS P 8.125% PFD
ps
404280703
11
400
SH
SOLE
200
0
200
INTL SHIPHOLDI 9.5% PFD
ps
460321409
1
100
SH
SOLE
100
0
0
INTL SHIPHOLDING 9% PFD
ps
460321508
1
100
SH
SOLE
100
0
0
MORGAN STANLEY 5.75%PFD
ps
617466206
13
500
SH
SOLE
500
0
0
NORTHSTAR REA 8.25% PFD
ps
66704R308
15
600
SH
SOLE
600
0
0
PRUDENTIAL FINA 5.75%PFD
ps
744320607
27
1000
SH
SOLE
1000
0
0
PUBLIC STORAGE 5.4% PFD
ps
74460W776
64
2400
SH
SOLE
2400
0
0
SANDRIDGE ENERGY 7% PFD
ps
80007P877
0
513
SH
SOLE
513
0
0
STATE STREET 5.25% PFD
ps
857477509
35
1324
SH
SOLE
1324
0
0
TENNESSEE VLY A 6.75%PFD
ps
880591300
4
150
SH
SOLE
150
0
0
U S BANCORP 5.56% PFD
ps
902973155
42
1725
SH
SOLE
1725
0
0
U S BANCORP 7.189% PFD
ps
902973866
3
3
SH
SOLE
3
0
0
WELLS FARGO & 5.7% PFD
ps
94988U714
53
2000
SH
SOLE
2000
0
0
WELLS FARGO BK 5.2% PFD
ps
949746747
46
1770
SH
SOLE
1500
0
270
ASTERIAS BIOTHERA 16 WTS
wt
04624N115
0
2
SH
SOLE
2
0
0
BIOTIME INC 18 WTS
wt
09066L162
0
14
SH
SOLE
14
0
0
EAGLE BULK SHIPPI 21 WTS
wt
Y2187A135
0
105
SH
SOLE
105
0
0
HERCULES OFFSHORE 21 WTS
wt
427093117
0
635
SH
SOLE
635
0
0
HUDBAY MINERALS I 18 WTF
wt
443628136
0
170
SH
SOLE
170
0
0
SAFEWAY CASA LEY CVR RTS
wt
786CVR209
0
750
SH
SOLE
750
0
0
SAFEWAY PDC LLC CVR RTS
wt
786CVR308
0
750
SH
SOLE
750
0
0