-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, T+RyXBRNwE+Clfyz2B4jnkod3rOdMF6y6UzwFu0v8+T/mW30fm+w/u2oC27J9UuT 6BRVPPgLQt9DY1it66AHqg== 0000910472-10-000109.txt : 20100212 0000910472-10-000109.hdr.sgml : 20100212 20100212171704 ACCESSION NUMBER: 0000910472-10-000109 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Asset Management, Inc. CENTRAL INDEX KEY: 0001464811 IRS NUMBER: 911648671 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13634 FILM NUMBER: 10601014 BUSINESS ADDRESS: STREET 1: 1001 4TH AVENUE STREET 2: SUITE 2200 CITY: SEATTLE STATE: WA ZIP: 98154 BUSINESS PHONE: 206-343-8092 MAIL ADDRESS: STREET 1: 1001 4TH AVENUE STREET 2: SUITE 2200 CITY: SEATTLE STATE: WA ZIP: 98154 13F-HR 1 form13f.txt NATIONAL ASSET MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.):[ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: National Asset Management, Inc. Address: 1001 4[th] Avenue, Suite 2200 Seattle, WA 98154 Form 13F File Number: 28-13634 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Alicia Guagliardo Title: Chief Compliance Officer Phone: 206-343-8092 Signature, Place, and Date of Signing: Alicia Guagliardo Seattle, WA 02/11/2010 [Signature] City, State] [Date] Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 801-60673 Atlanta Capital LLC 801-24896 Brandes Investment Partners, LP 801-60927 C.S. McKee, LP 801-26539 Cambridge Financial Group 801-23386 Congress Asset Management Company 801-9168 Contravisory Investment Management 801-54255 Dreman Value Management, LLC 801-62452 Estabrook Capital Management, LLC 801-06709 Fred Alger Management 801-60453 Hays Advisory 801-67624 Institute for WealthManagement 801-57934 Invesco AIM Private Asset Management 801-61701 Lazard Asset Management, LLC 801-43315 Mastrapasqua Asset Management 801-30582 Navellier & Associates 801-57432 Riverbridge Partners, LLC 801-55521 Roxbury Capital Management [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 18 Form 13F Information Table Entry Total: 278 Form 13F Information Table Value Total: 120,359,000 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File NumberName 1 801-60673 Atlanta Capital LLC 2 801-24896 Brandes Investment Partners, LP 3 801-60927 C.S. McKee, LP 4 801-26539 Cambridge Financial Group 5 801-23386 Congress Asset Management Company 6 801-9168 Contravisory Investment Management 7 801-54255 Dreman Value Management, LLC 8 801-62452 Estabrook Capital Management, LLC 9 801-06709 Fred Alger Management 10 801-60453 Hays Advisory 11 801-67624 Institute for WealthManagement 12 801-57934 Invesco AIM Private Asset Management 13 801-61701 Lazard Asset Management, LLC 14 801-43315 Mastrapasqua Asset Management 15 801-30582 Navellier & Associates 16 801-57432 Riverbridge Partners, LLC 17 801-55521 Roxbury Capital Management 18 801-57131 Sound Asset Management [Repeat as necessary.]
Name Of Issuer Title Of Cusip Market SHRS OR SH PUT Investment Other Sole Shared None Class Value PRN AMT PRN CALL Discretion Managers FOSTER WHEELER AG PUT H27178954 35 3,400 SH PUT SOLE 0 0 3400 MONSANTO CO NEW PUT 61166W951 27 24,500 SH PUT SOLE 0 0 24500 VISA INC PUT 92826C959 26 1,700 SH PUT SOLE 0 0 1700 TRANSOCEAN LTD PUT H8817H950 17 1,200 SH PUT SOLE 0 0 1200 TRANSOCEAN LTD PUT H8817H950 8 1,980 SH PUT SOLE 0 0 1980 VANCEINFO PUT 921564950 5 25,500 SH PUT SOLE 0 0 25500 TECHNOLOGIES INC MOSAIC CO PUT 61945A957 3 1,000 SH PUT SOLE 0 0 1000 E M C CORP MASS PUT 268648952 2 3,500 SH PUT SOLE 0 0 3500 INTEL CORP PUT 458140950 1 1,300 SH PUT SOLE 0 0 1300 MICROSOFT CORP PUT 594918954 1 700 SH PUT SOLE 0 0 700 APPLE INC PUT 037833950 0 1,900 SH PUT SOLE 0 0 1900 AUXILIUM PUT 05334D957 0 200 SH PUT SOLE 0 0 200 PHARMACEUTICALS INC MARKET VECTORS ETF CALL 57060U837 234 20,000 SH CALL SOLE 0 0 20000 TR APPLE INC CALL 037833100 56 1,700 SH CALL SOLE 0 0 1700 HALLIBURTON CO CALL 406216101 30 5,000 SH CALL SOLE 0 0 5000 JAMES RIVER COAL CO CALL 470355207 22 5,000 SH CALL SOLE 0 0 5000 MEDCO HEALTH CALL 58405U102 13 2,500 SH CALL SOLE 0 0 2500 SOLUTIONS INC FREEPORT-MCMORAN CALL 35671D857 11 500 SH CALL SOLE 0 0 500 COPPER & GO TRANSOCEAN LTD CALL H8817H100 8 400 SH CALL SOLE 0 0 400 PROSHARES TR CALL 74347X880 6 1,400 SH CALL SOLE 0 0 1400 MOSAIC CO CALL 61945A107 6 1,000 SH CALL SOLE 0 0 1000 VMWARE INC CALL 928563402 5 500 SH CALL SOLE 0 0 500 CNOOC LTD CALL 126132109 4 200 SH CALL SOLE 0 0 200 MASSEY ENERGY CORP CALL 576206106 3 2,000 SH CALL SOLE 0 0 2000 ARIAD CALL 04033A100 1 5,000 SH CALL SOLE 0 0 5000 PHARMACEUTICALS INC APPLE INC CALL 037833100 1 100 SH CALL SOLE 0 0 100 E M C CORP MASS CALL 268648102 0 20,000 SH CALL SOLE 0 0 20000 CATERPILLAR INC DEL CALL 149123101 0 4,000 SH CALL SOLE 0 0 4000 PETROLEO BRASILEIRO CALL 71654V408 0 4,000 SH CALL SOLE 0 0 4000 SA PETRO MCDERMOTT INTL INC CALL 580037109 0 2,000 SH CALL SOLE 0 0 2000 FOSTER WHEELER AG CALL H27178104 0 1,000 SH CALL SOLE 0 0 1000 MCDERMOTT INTL INC CALL 580037109 0 1,000 SH CALL SOLE 0 0 1000 PAN AMERICAN SILVER CALL 697900108 0 1,000 SH CALL SOLE 0 0 1000 CORP TRANSOCEAN LTD CALL H8817H100 0 1,000 SH CALL SOLE 0 0 1000 ISHARES TR INDEX S&P MIDCP 464287705 4144 61,970 SH SOLE 0 0 61970 VALU ISHARES TR INDEX S&P SMLCP 464287879 4003 67,516 SH SOLE 0 0 67516 VALU ISHARES TR INDEX S&P SMLCP 464287887 3978 68,653 SH SOLE 0 0 68653 GROW ISHARES TR INDEX S&P 500 464287408 3921 73,343 SH SOLE 0 0 73343 VALUE ISHARES TR INDEX S&P500 GRW 464287309 3917 66,904 SH SOLE 0 0 66904 ISHARES TR INDEX S&P MC 400 464287606 3857 49,050 SH SOLE 0 0 49050 GRW APPLE INC COM 037833100 2448 11,564 SH SOLE 0 0 11564 JOHNSON & JOHNSON COM 478160104 2185 33,660 SH SOLE 0 0 33660 GENERAL ELECTRIC CO COM 369604103 2184 142,261 SH SOLE 0 0 142261 EXXON MOBIL CORP COM 30231G102 2178 31,664 SH SOLE 0 0 31664 ISHARES TR INDEX IBOXX INV 464287242 2098 20,116 SH SOLE 0 0 20116 CPBD TIVO INC COM 888706108 1916 185,266 SH SOLE 0 0 185266 ISHARES TR INDEX BARCLYS TIPS 464287176 1800 17,306 SH SOLE 0 0 17306 BD MICROSOFT CORP COM 594918104 1792 57,881 SH SOLE 0 0 57881 AT&T INC COM 00206R102 1669 58,951 SH SOLE 0 0 58951 CHEVRON CORP NEW COM 166764100 1603 20,648 SH SOLE 0 0 20648 FX ENERGY INC COM 302695101 1434 492,708 SH SOLE 0 0 492708 JPMORGAN CHASE & CO COM 46625H100 1289 31,044 SH SOLE 0 0 31044 CONCEPTUS INC COM 206016107 1287 66,900 SH SOLE 0 0 66900 PHILIP MORRIS INTL COM 718172109 1222 25,116 SH SOLE 0 0 25116 INC COCA COLA CO COM 191216100 1200 20,811 SH SOLE 0 0 20811 E M C CORP MASS COM 268648102 1187 67,150 SH SOLE 0 0 67150 BANK OF AMERICA COM 060505104 1160 77,001 SH SOLE 0 0 77001 CORPORATION ISHARES TR BARCLYS SH 464288679 1121 10,170 SH SOLE 0 0 10170 TREA NEXXUS LIGHTING INC COM 65338E105 1098 322,886 SH SOLE 0 0 322886 VERIZON COM 92343V104 1028 30,759 SH SOLE 0 0 30759 COMMUNICATIONS INC PFIZER INC COM 717081103 988 53,402 SH SOLE 0 0 53402 CISCO SYS INC COM 17275R102 986 40,777 SH SOLE 0 0 40777 HEWLETT PACKARD CO COM 428236103 979 18,494 SH SOLE 0 0 18494 GOOGLE INC CL A 38259P508 936 1,503 SH SOLE 0 0 1503 ULTRALIFE CORP COM 903899102 926 207,070 SH SOLE 0 0 207070 PROCTER & GAMBLE CO COM 742718109 923 15,046 SH SOLE 0 0 15046 AMERICAN TOWER CORP CL A 029912201 840 19,393 SH SOLE 0 0 19393 ENTERPRISE PRODS COM 293792107 807 25,549 SH SOLE 0 0 25549 PARTNERS L INTEL CORP COM 458140100 804 39,055 SH SOLE 0 0 39055 ISHARES TR INDEX BARCLYS 1-3 464287457 765 9,212 SH SOLE 0 0 9212 YR ISHARES INC MSCI BRAZIL 464286400 743 9,973 SH SOLE 0 0 9973 SPDR SERIES TRUST BRCLYS YLD 78464A417 694 17,835 SH SOLE 0 0 17835 ETF SPDR GOLD TRUST GOLD SHS 78463V107 681 6,365 SH SOLE 0 0 6365 WELLS FARGO & CO COM 949746101 664 24,749 SH SOLE 0 0 24749 NEW PEPSICO INC COM 713448108 663 10,816 SH SOLE 0 0 10816 ISHARES TR BARCLYS 1- 464288646 647 6,225 SH SOLE 0 0 6225 3YR CR BP PLC SPONSORED 055622104 644 11,066 SH SOLE 0 0 11066 ADR ISHARES TR INDEX RUSSELL 1000 464287622 636 10,271 SH SOLE 0 0 10271 ALTRIA GROUP INC COM 02209S103 632 31,911 SH SOLE 0 0 31911 CITIGROUP INC COM 172967101 610 183,790 SH SOLE 0 0 183790 VISA INC COM CL A 92826C839 592 6,722 SH SOLE 0 0 6722 CVS CAREMARK COM 126650100 588 17,978 SH SOLE 0 0 17978 CORPORATION CATERPILLAR INC DEL COM 149123101 581 10,013 SH SOLE 0 0 10013 INTERNATIONAL COM 459200101 562 4,243 SH SOLE 0 0 4243 BUSINESS MACHS UNITED TECHNOLOGIES COM 913017109 552 7,838 SH SOLE 0 0 7838 CORP BLACKROCK GLOBAL COM 092501105 540 28,294 SH SOLE 0 0 28294 OPP EQTY TR FREEPORT-MCMORAN COM 35671D857 523 6,472 SH SOLE 0 0 6472 COPPER & GO CURRENCYSHARES AUSTRALIAN 23129U101 517 5,771 SH SOLE 0 0 5771 AUSTRALIAN DL DOL CONOCOPHILLIPS COM 20825C104 513 10,061 SH SOLE 0 0 10061 MONSANTO CO NEW COM 61166W101 513 6,209 SH SOLE 0 0 6209 EXELON CORP COM 30161N101 509 10,310 SH SOLE 0 0 10310 ISHARES TR HIGH YLD 464288513 509 5,800 SH SOLE 0 0 5800 CORP ING CLARION GLB RE COM 44982G104 506 79,480 SH SOLE 0 0 79480 EST INCM V F CORP COM 918204108 477 6,420 SH SOLE 0 0 6420 ISHARES TR INDEX BARCLYS 7-10 464287440 473 5,308 SH SOLE 0 0 5308 YR EDISON INTL COM 281020107 472 13,353 SH SOLE 0 0 13353 RANDGOLD RES LTD ADR 752344309 469 5,899 SH SOLE 0 0 5899 SIGMA ALDRICH CORP COM 826552101 464 9,023 SH SOLE 0 0 9023 COMPANHIA SPONSORED 20440W105 463 14,232 SH SOLE 0 0 14232 SIDERURGICA NACION ADR BRISTOL MYERS COM 110122108 460 17,947 SH SOLE 0 0 17947 SQUIBB CO RESEARCH IN MOTION COM 760975102 457 6,797 SH SOLE 0 0 6797 LTD MONRO MUFFLER BRAKE COM 610236101 455 13,503 SH SOLE 0 0 13503 INC GEO GROUP INC COM 36159R103 454 20,697 SH SOLE 0 0 20697 HELIOS TOTAL RETURN COM 42327V109 450 87,027 SH SOLE 0 0 87027 FD INC ISHARES TR S&P NTL 464288414 450 4,381 SH SOLE 0 0 4381 AMTFREE ISHARES TR INDEX BARCLY USAGG 464287226 445 4,305 SH SOLE 0 0 4305 B ISHARES SILVER ISHARES 46428Q109 443 26,795 SH SOLE 0 0 26795 TRUST HOME DEPOT INC COM 437076102 440 15,112 SH SOLE 0 0 15112 DEVON ENERGY CORP COM 25179M103 425 5,732 SH SOLE 0 0 5732 NEW BOEING CO COM 097023105 423 7,693 SH SOLE 0 0 7693 PROSHARES TR PSHS ULTSH 74347R297 422 8,534 SH SOLE 0 0 8534 20YRS NAVIOS MARITIME UNIT LPI Y62267102 421 28,728 SH SOLE 0 0 28728 PARTNERS L P WILEY JOHN & SONS CL A 968223206 419 9,923 SH SOLE 0 0 9923 INC PROSHARES TR PSHS ULT S&P 74347R107 417 10,693 SH SOLE 0 0 10693 500 BALLY TECHNOLOGIES COM 05874B107 412 10,061 SH SOLE 0 0 10061 INC NEWSTAR FINANCIAL COM 65251F105 403 101,759 SH SOLE 0 0 101759 INC ISHARES TR INDEX DJ US ENERGY 464287796 398 11,865 SH SOLE 0 0 11865 GOLDMAN SACHS GROUP COM 38141G104 394 2,361 SH SOLE 0 0 2361 INC ISHARES TR INDEX FTSE XNHUA 464287184 387 9,203 SH SOLE 0 0 9203 IDX WAL MART STORES INC COM 931142103 387 7,126 SH SOLE 0 0 7126 ISHARES TR INDEX RUSSELL MCP 464287473 383 10,250 SH SOLE 0 0 10250 VL ISHARES TR INDEX S&P NA TECH 464287549 367 6,695 SH SOLE 0 0 6695 FD FORD MTR CO DEL COM PAR 345370860 354 35,460 SH SOLE 0 0 35460 $0.01 HALLIBURTON CO COM 406216101 354 11,810 SH SOLE 0 0 11810 VANGUARD INDEX FDS GROWTH ETF 922908736 352 6,561 SH SOLE 0 0 6561 SPDR SERIES TRUST BRCLYS MUNI 78464A458 342 15,098 SH SOLE 0 0 15098 ETF GMX RES INC COM 38011M108 340 24,015 SH SOLE 0 0 24015 POWERSHARES GLOBAL INSUR NATL 73936T474 340 14,302 SH SOLE 0 0 14302 ETF TRUST MUN ISHARES TR INDEX NYSE COMP 464287143 327 4,945 SH SOLE 0 0 4945 INDX ALCOA INC COM 013817101 324 19,888 SH SOLE 0 0 19888 ISHARES TR INDEX MSCI EAFE 464287465 324 5,814 SH SOLE 0 0 5814 IDX KINDER MORGAN UT LTD 494550106 321 5,261 SH SOLE 0 0 5261 ENERGY PARTNER PARTNER ORACLE CORP COM 68389X105 319 12,784 SH SOLE 0 0 12784 FIRST TR NASDAQ100 SHS 337345102 318 14,840 SH SOLE 0 0 14840 TECH INDE SELECT SECTOR SPDR SBI INT- 81369Y506 316 5,495 SH SOLE 0 0 5495 TR ENERGY UNITED STATES NATL UNIT 912318102 315 30,438 SH SOLE 0 0 30438 GAS FUND WINDSTREAM CORP COM 97381W104 304 27,489 SH SOLE 0 0 27489 VANGUARD INDEX FDS REIT ETF 922908553 304 6,687 SH SOLE 0 0 6687 ISHARES TR S&P GL 464288711 297 6,136 SH SOLE 0 0 6136 UTILITI INCYTE CORP COM 45337C102 296 31,851 SH SOLE 0 0 31851 PROVIDENT ENERGY TR TR UNIT 74386K104 293 43,187 SH SOLE 0 0 43187 SPDR SERIES TRUST BRCLYS SHRT 78464A425 293 12,192 SH SOLE 0 0 12192 ETF VANGUARD INDEX FDS SMALL CP ETF 922908751 291 5,013 SH SOLE 0 0 5013 ABBOTT LABS COM 002824100 290 5,319 SH SOLE 0 0 5319 COVIDIEN PLC SHS G2554F105 288 5,962 SH SOLE 0 0 5962 VALERO ENERGY CORP COM 91913Y100 287 17,038 SH SOLE 0 0 17038 NEW SOUTHERN COPPER COM 84265V105 287 8,698 SH SOLE 0 0 8698 CORP DISNEY WALT CO COM DISNEY 254687106 282 8,749 SH SOLE 0 0 8749 HONEYWELL INTL INC COM 438516106 274 6,892 SH SOLE 0 0 6892 CELGENE CORP COM 151020104 274 4,852 SH SOLE 0 0 4852 FIVE STAR QUALITY COM 33832D106 273 78,175 SH SOLE 0 0 78175 CARE INC POWERSHARES QQQ UNIT SER 1 73935A104 270 5,844 SH SOLE 0 0 5844 TRUST OCCIDENTAL PETE COM 674599105 269 3,264 SH SOLE 0 0 3264 CORP DEL ISHARES TR JPMORGAN USD 464288281 268 2,641 SH SOLE 0 0 2641 ARES CAP CORP COM 04010L103 267 21,243 SH SOLE 0 0 21243 WESTERN UN CO COM 959802109 263 13,833 SH SOLE 0 0 13833 HIGHLAND CR COM 43005Q107 256 40,424 SH SOLE 0 0 40424 STRATEGIES FD CURRENCYSHARES SWEDISH 23129R108 255 1,830 SH SOLE 0 0 1830 SWEDISH KRONA KRONA SCHLUMBERGER LTD COM 806857108 254 3,875 SH SOLE 0 0 3875 WISDOMTREE TRUST INTL ENERGY 97717W711 252 9,855 SH SOLE 0 0 9855 SELECT SECTOR SPDR SBI INT- 81369Y886 248 7,880 SH SOLE 0 0 7880 TR UTILS AMERICA MOVIL SAB SPON ADR L 02364W105 248 5,280 SH SOLE 0 0 5280 DE CV SHS MERCADOLIBRE INC COM 58733R102 247 4,750 SH SOLE 0 0 4750 ARCELORMITTAL SA NY REGISTRY 03938L104 246 5,318 SH SOLE 0 0 5318 LUXEMBOURG SH GENERAL MLS INC COM 370334104 246 3,425 SH SOLE 0 0 3425 PROGRESS ENERGY INC COM 743263105 244 5,863 SH SOLE 0 0 5863 ISHARES TR INDEX RUSSELL 2000 464287655 243 3,840 SH SOLE 0 0 3840 BARCLAYS BANK PLC ETN 06739H255 242 6,382 SH SOLE 0 0 6382 DJUBSPLATM38 ISHARES TR INDEX NASDQ BIO 464287556 242 2,934 SH SOLE 0 0 2934 INDX ISHARES TR INDEX MSCI EMERG 464287234 240 5,805 SH SOLE 0 0 5805 MKT POWERSHARES ETF WATER 73935X575 239 14,068 SH SOLE 0 0 14068 TRUST RESOURCE MOLECULAR INSIGHT COM 60852M104 238 98,950 SH SOLE 0 0 98950 PHARM INC BARRICK GOLD CORP COM 067901108 238 6,008 SH SOLE 0 0 6008 ISHARES TR BARCLYS MBS 464288588 237 2,234 SH SOLE 0 0 2234 BD WISDOMTREE TRUST INTL MIDCAP 97717W778 234 4,875 SH SOLE 0 0 4875 DV KRAFT FOODS INC CL A 50075N104 233 8,462 SH SOLE 0 0 8462 PANERA BREAD CO CL A 69840W108 232 3,413 SH SOLE 0 0 3413 CHINA YUCHAI INTL COM G21082105 230 15,500 SH SOLE 0 0 15500 LTD ENERPLUS RES FD UNIT TR G 29274D604 230 10,005 SH SOLE 0 0 10005 NEW BLACKROCK DIVID COM 09250N107 228 24,700 SH SOLE 0 0 24700 ACHIEVRS TM FOSTER WHEELER AG COM H27178104 228 7,600 SH SOLE 0 0 7600 TEXAS INSTRS INC COM 882508104 226 8,687 SH SOLE 0 0 8687 EVERGREEN MULTI COM SHS 30024Y104 224 15,903 SH SOLE 0 0 15903 SECT INC FUN DUKE ENERGY CORP COM 26441C105 224 12,860 SH SOLE 0 0 12860 NEW EMERSON ELEC CO COM 291011104 224 5,176 SH SOLE 0 0 5176 PETROLEO BRASILEIRO SPONSORED 71654V408 224 4,694 SH SOLE 0 0 4694 SA PETRO ADR VANGUARD WORLD FDS INF TECH ETF 92204A702 224 4,030 SH SOLE 0 0 4030 NEW AMER HIGH COM NEW 641876800 220 24,444 SH SOLE 0 0 24444 INCOME FD INC MOSAIC CO COM 61945A107 217 3,623 SH SOLE 0 0 3623 ORBITZ WORLDWIDE COM 68557K109 216 30,750 SH SOLE 0 0 30750 INC VANGUARD WORLD FDS HEALTH CAR 92204A504 215 3,920 SH SOLE 0 0 3920 ETF BE AEROSPACE INC COM 073302101 212 8,940 SH SOLE 0 0 8940 NEWMONT MINING CORP COM 651639106 212 4,454 SH SOLE 0 0 4454 ISHARES TR INDEX S&P GBL 464287325 212 4,069 SH SOLE 0 0 4069 HLTHCR ISHARES TR INDEX S&P NA NAT 464287374 211 6,112 SH SOLE 0 0 6112 RES MFS INTER INCOME TR SH BEN INT 55273C107 210 31,418 SH SOLE 0 0 31418 CHESAPEAKE ENERGY COM 165167107 210 7,974 SH SOLE 0 0 7974 CORP CAPITAL PRODUCT COM UNIT LP Y11082107 207 22,689 SH SOLE 0 0 22689 PARTNERS L P ISHARES TR INDL OFF CAP 464288554 206 8,518 SH SOLE 0 0 8518 IDX ALLIANCEBERNSTEIN COM 01881E101 204 24,669 SH SOLE 0 0 24669 INCOME FUN ZWEIG TOTAL RETURN COM 989837109 203 52,166 SH SOLE 0 0 52166 FD INC NATIONAL RETAIL COM 637417106 203 9,519 SH SOLE 0 0 9519 PROPERTIES I PENN WEST ENERGY TR TR UNIT 707885109 201 11,276 SH SOLE 0 0 11276 DNP SELECT INCOME COM 23325P104 194 21,550 SH SOLE 0 0 21550 FD PROSHARES TR PSHS ULTSHRT 74347R875 189 10,095 SH SOLE 0 0 10095 QQQ WESTERN ASST MNG COM 95766M105 188 15,360 SH SOLE 0 0 15360 MUN FD INC ALPINE TOTAL COM SBI 021060108 187 20,784 SH SOLE 0 0 20784 DYNAMIC DIVID F FIRST TR EXCHANGE CONSUMR 33734X101 187 12,275 SH SOLE 0 0 12275 TRADED FD DISCRE PUTNAM PREMIER SH BEN INT 746853100 185 30,350 SH SOLE 0 0 30350 INCOME TR NUVEEN EQTY PRM COM 6706EM102 181 13,732 SH SOLE 0 0 13732 OPPORTUNITYF PIMCO HIGH INCOME COM SHS 722014107 178 15,740 SH SOLE 0 0 15740 FD SPRINT NEXTEL CORP COM SER 1 852061100 172 45,505 SH SOLE 0 0 45505 PIMCO CORPORATE OPP COM 72201B101 165 11,380 SH SOLE 0 0 11380 FD NUVEEN PERFORMANCE COM 67062P108 163 11,645 SH SOLE 0 0 11645 PLUS MUN NICHOLAS APPLEGATE COM 65370G109 161 18,997 SH SOLE 0 0 18997 CV&INC FD PENGROWTH ENERGY TR TR UNIT NEW 706902509 161 16,589 SH SOLE 0 0 16589 SELECT SECTOR SPDR SBI INT-FINL 81369Y605 161 11,155 SH SOLE 0 0 11155 TR BLACKROCK HIGH SH BEN INT 09248N102 160 26,420 SH SOLE 0 0 26420 YIELD TR VAN KAMPEN DYNAMIC COM 921166104 160 13,506 SH SOLE 0 0 13506 CR OPPORT PROSHARES TR PSHS ULTRA 74347R743 158 27,804 SH SOLE 0 0 27804 FINL ISHARES INC MSCI HONG 464286871 158 10,076 SH SOLE 0 0 10076 KONG NUVEEN TAX ADV FLTG COM 6706EV102 154 74,658 SH SOLE 0 0 74658 RATE FUN BLACKROCK MUNIYIELD COM 09254F100 152 11,054 SH SOLE 0 0 11054 QUALITY PIMCO STRATEGIC GBL COM 72200X104 150 14,256 SH SOLE 0 0 14256 GOV FD I BLACKROCK CORE BD SHS BEN INT 09249E101 145 12,198 SH SOLE 0 0 12198 TR BLACKROCK MUNIHLDGS COM 09254P108 143 11,000 SH SOLE 0 0 11000 INS INV PURECYCLE CORP COM NEW 746228303 142 50,790 SH SOLE 0 0 50790 ATHERSYS INC COM 04744L106 142 32,500 SH SOLE 0 0 32500 ING PRIME RATE TR SH BEN INT 44977W106 137 26,248 SH SOLE 0 0 26248 EVERGREEN INCOME COM SHS 30023Y105 137 14,220 SH SOLE 0 0 14220 ADVANTAGE F PROSHARES TR PSHS UL XIN 74347R321 134 15,750 SH SOLE 0 0 15750 CH25 MFS CHARTER INCOME SH BEN INT 552727109 133 14,464 SH SOLE 0 0 14464 TR DANVERS BANCORP INC COM 236442109 133 10,200 SH SOLE 0 0 10200 BLUE CHIP VALUE FD COM 095333100 129 41,009 SH SOLE 0 0 41009 INC ANWORTH MORTGAGE COM 037347101 124 17,618 SH SOLE 0 0 17618 ASSET CP ING GLOBAL EQTY DIV COM 45684E107 124 10,065 SH SOLE 0 0 10065 & PREM O JAVELIN COM 471894105 118 90,026 SH SOLE 0 0 90026 PHARMACEUTICALS INC MANAGED HIGH YIELD COM 561911108 112 56,657 SH SOLE 0 0 56657 PLUS FD I HESKA CORP COM 42805E108 111 198,000 SH SOLE 0 0 198000 CYPRESS COM 232806109 111 10,294 SH SOLE 0 0 10294 SEMICONDUCTOR CORP MFS HIGH INCOME MUN SH BEN INT 59318D104 106 22,244 SH SOLE 0 0 22244 TR FLAMEL TECHNOLOGIES SPONSORED 338488109 105 14,000 SH SOLE 0 0 14000 SA ADR CLEAR CHANNEL CL A 18451C109 105 10,000 SH SOLE 0 0 10000 OUTDOOR HLDGS RENESOLA LTD SPONS ADS 75971T103 102 21,264 SH SOLE 0 0 21264 PROSHARES TR PSHS BASIC 74347R651 101 12,210 SH SOLE 0 0 12210 MTRL B & G FOODS INC NEW CL A 05508R106 100 10,640 SH SOLE 0 0 10640 BLACKROCK INCOME COM 092475102 93 10,079 SH SOLE 0 0 10079 OPP TRUST I REDIFF COM INDIA SPONSORED 757479100 86 33,698 SH SOLE 0 0 33698 LTD ADR NUVEEN MULTI STRAT COM 67073B106 86 11,637 SH SOLE 0 0 11637 INC & GR HELIOS HIGH YIELD COM 42328Q109 82 10,548 SH SOLE 0 0 10548 FD FORTRESS INVESTMENT CL A 34958B106 81 17,700 SH SOLE 0 0 17700 GROUP LL WESTERN ASSET HIGH COM 95766K109 80 13,380 SH SOLE 0 0 13380 INCM OPP KINGSWAY FINL SVCS COM 496904103 79 45,000 SH SOLE 0 0 45000 INC CHIMERA INVT CORP COM 16934Q109 79 20,250 SH SOLE 0 0 20250 TBS INTERNATIONAL COM CL A G86975151 74 10,125 SH SOLE 0 0 10125 LIMITED MUELLER WTR PRODS COM SER A 624758108 73 14,070 SH SOLE 0 0 14070 INC BLACKROCK CORPOR HI COM 09255M104 70 10,986 SH 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