RIA Chief Compliance Officer

0001456510-14-000007.txt : 20141112 0001456510-14-000007.hdr.sgml : 20141111 20141112135919 ACCESSION NUMBER: 0001456510-14-000007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141112 DATE AS OF CHANGE: 20141112 EFFECTIVENESS DATE: 20141112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: First Allied Asset Management, Inc. CENTRAL INDEX KEY: 0001456510 IRS NUMBER: 205772925 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13473 FILM NUMBER: 141213139 BUSINESS ADDRESS: STREET 1: 655 W. BROADWAY STREET 2: 12TH FLOOR CITY: SAN DIEGO STATE: CA ZIP: 92101 BUSINESS PHONE: 866-299-4864 MAIL ADDRESS: STREET 1: PO BOX 85549 CITY: SAN DIEGO STATE: CA ZIP: 92186-5549 FORMER COMPANY: FORMER CONFORMED NAME: Advanced Equities Asset Management, Inc. DATE OF NAME CHANGE: 20090217 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001456510 XXXXXXXX 09-30-2014 09-30-2014 First Allied Asset Management, Inc.

PO BOX 85549 SAN DIEGO CA 92186-5549

13F HOLDINGS REPORT 028-13473 N Luanne Borowski RIA Chief Compliance Officer 619-881-5148 /s/Luanne Borowski San Diego CA 11-12-2014 0 217 743699 false INFORMATION TABLE 2 faam3q14.inftabedit.xml FAAM 3Q14 3M COCOM88579Y10112818994SHSOLE 008994ABBOTT LABSCOM00282410099624182SHSOLE 0024182ABBVIE INCCOM00287Y109125821743SHSOLE 0021743ACCENTURE PLC IRELANDSHS CLASS AG1151C101715087756SHSOLE 0087756ADVISORSHARES TRRANGER EQUITY BE00768Y8831846155058SHSOLE 00155058AETNA INC NEWCOM00817Y108322740275SHSOLE 0040275ALTERA CORPCOM0214411007411204933SHSOLE 00204933ALTRIA GROUP INCCOM02209S1032485426SHSOLE 005426ANALOG DEVICES INCCOM032654105254851034SHSOLE 0051034APPLE INCCOM03783310010323101743SHSOLE 00101743ARES CAP CORPCOM04010L1036100372474SHSOLE 00372474ARES CAP CORPNOTE 5.125% 6/004010LAD54746000PRNSOLE 0046000AT&T INCCOM00206R1027384207448SHSOLE 00207448BANCO BILBAO VIZCAYA ARGENTASPONSORED ADR05946K10113111060SHSOLE 0011060BANK MONTREAL QUECOM063671101707694632SHSOLE 0094632BANK N S HALIFAXCOM0641491076574105564SHSOLE 00105564BED BATH & BEYOND INCCOM075896100318847201SHSOLE 0047201BERKSHIRE HATHAWAY INC DELCL B NEW0846707022031455SHSOLE 001455BLACKROCK CORPOR HI YLD FD ICOM09255P10712010137SHSOLE 0010137BLACKROCK ENERGY & RES TRCOM09250U1016493266786SHSOLE 00266786BOEING COCOM097023105795661563SHSOLE 0061563C H ROBINSON WORLDWIDE INCCOM NEW12541W209630493325SHSOLE 0093325CA INCCOM12673P1056692236216SHSOLE 00236216CALAMOS CONV OPP AND INC FDSH BEN INT1281171083301248735SHSOLE 00248735CF INDS HLDGS INCCOM12526910010533766SHSOLE 003766CHEVRON CORP NEWCOM166764100880573591SHSOLE 0073591CHUBB CORPCOM171232101151516712SHSOLE 0016712CISCO SYS INCCOM17275R102168366859SHSOLE 0066859CITIGROUP INCCOM NEW172967424346667429SHSOLE 0067429COHEN & STEERS INFRASTRUCTURCOM19248A10910083433850SHSOLE 00433850COLONY FINL INCNOTE 3.875% 1/119624RAB24848000PRNSOLE 0048000CONAGRA FOODS INCCOM2058871026544195397SHSOLE 00195397CONOCOPHILLIPSCOM20825C1042703588SHSOLE 003588CORRECTIONS CORP 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INCCOM747525103111514859SHSOLE 0014859QUEST DIAGNOSTICS INCCOM74834L1005118417SHSOLE 008417RAYTHEON COCOM NEW7551115073062986SHSOLE 002986REALTY INCOME CORPCOM7561091047556184068SHSOLE 00184068ROCK-TENN COCL A772739207111223410SHSOLE 0023410ROGERS COMMUNICATIONS INCCL B7751092006230165590SHSOLE 00165590ROYAL DUTCH SHELL PLCSPON ADR B7802591073073852SHSOLE 003852SANOFISPONSORED ADR80105N105371965264SHSOLE 0065264SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2093615661SHSOLE 005661SELECT SECTOR SPDR TRSBI CONS STPLS81369Y3083728232SHSOLE 008232SELECT SECTOR SPDR TRSBI CONS DISCR81369Y4073915870SHSOLE 005870SELECT SECTOR SPDR TRSBI INT-FINL81369Y60536715945SHSOLE 0015945SELECT SECTOR SPDR TRSBI INT-INDS81369Y7043957393SHSOLE 007393SELECT SECTOR SPDR TRTECHNOLOGY81369Y8038975224818SHSOLE 00224818SHIRE PLCSPONSORED ADR82481R106242908SHSOLE 00908SPDR GOLD TRUSTGOLD SHS78463V107837072450SHSOLE 0072450SPDR INDEX SHS FDSS&P INTL ETF78463X7723708000SHSOLE 008000SPDR S&P 500 ETF TRTR UNIT78462F103226611477SHSOLE 0011477SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107250410044SHSOLE 0010044SPDR SER TRSHT TRM HGH YLD78468R4089477316976SHSOLE 00316976SPDR SERIES TRUSTBRC CNV SECS ETF78464A3597272146351SHSOLE 00146351SPDR SERIES TRUSTBRC HGH YLD BD78464A417111727849SHSOLE 0027849SPDR SERIES TRUSTNUVN BRCLY MUNI78464A4582078652SHSOLE 008652SPDR SERIES TRUSTBARC SHT TR CP78464A4748686282337SHSOLE 00282337SPDR SERIES TRUSTBRCLYS INTL ETF78464A516130422557SHSOLE 0022557SSGA ACTIVE ETF TRBLKSTN GSOSRLN78467V6084889974SHSOLE 009974STAPLES INCCOM8550301026664543232SHSOLE 00543232STATE STR CORPCOM85747710391512293SHSOLE 0012293SYMANTEC CORPCOM8715031087771327513SHSOLE 00327513SYSCO CORPCOM871829107343489537SHSOLE 0089537TARGET CORPCOM87612E1067781122208SHSOLE 00122208TORONTO DOMINION BK ONTCOM NEW8911605096453130019SHSOLE 00130019TORTOISE ENERGY INFRSTRCTR CCOM89147L10011147231431SHSOLE 00231431UNITED TECHNOLOGIES CORPCOM913017109709066464SHSOLE 0066464VALERO ENERGY CORP NEWCOM91913Y100138329976SHSOLE 0029976VANGUARD BD INDEX FD INCINTERMED TERM9219378192432884SHSOLE 002884VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378355646923SHSOLE 006923VANGUARD INDEX FDSREIT ETF92290855310316143400SHSOLE 00143400VANGUARD INDEX FDSGROWTH ETF922908736337434029SHSOLE 0034029VANGUARD INDEX FDSVALUE ETF92290874485310509SHSOLE 0010509VANGUARD INTL EQUITY INDEX FGLB EX US ETF922042676383470315SHSOLE 0070315VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428589079217384SHSOLE 00217384VANGUARD INTL EQUITY INDEX FFTSE PACIFIC ETF922042866497584033SHSOLE 0084033VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874116821222SHSOLE 0021222VANGUARD MALVERN FDSSTRM INFPROIDX92202080511090225692SHSOLE 00225692VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409710188102SHSOLE 0088102VANGUARD SCOTTSDALE FDSINT-TERM CORP92206C8702102460SHSOLE 002460VANGUARD SPECIALIZED PORTFOLDIV APP ETF9219088442092708SHSOLE 002708VANGUARD TAX MANAGED INTL FDFTSE DEV MKT ETF92194385811480288599SHSOLE 00288599VERIZON COMMUNICATIONS INCCOM92343V1049280186388SHSOLE 00186388VIPSHOP HLDGS LTDNOTE 1.500% 3/192763WAA11815000SHSOLE 0015000VODAFONE GROUP PLC NEWSPNSR ADR NO PAR92857W3082166547SHSOLE 006547WALGREEN COCOM9314221092063515SHSOLE 003515WAL-MART STORES INCCOM931142103129716801SHSOLE 0016801WISDOMTREE TRFUTRE STRAT FD97717W125141532270SHSOLE 0032270WISDOMTREE TRLARGECAP DIVID97717W307365651455SHSOLE 0051455WISDOMTREE TREMERG MKTS ETF97717W3154901102455SHSOLE 00102455WISDOMTREE TRWSDM EMKTBD FD97717X784198726047SHSOLE 0026047WISDOMTREE TREM LCL DEBT FD97717X86711263252789SHSOLE 00252789