0000910472-12-000398.txt : 20120216 0000910472-12-000398.hdr.sgml : 20120216 20120216103929 ACCESSION NUMBER: 0000910472-12-000398 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120216 DATE AS OF CHANGE: 20120216 EFFECTIVENESS DATE: 20120216 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: 12618207 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 nam13fq42011.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, 2011 Check here if Amendment [ ]; Amendment Number: ______ This Amendment (Check only one.):[ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: National Asset Management, Inc. Address: 1001 4[th] Avenue, Suite 3750 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 02/15/2012 [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 801-14172 Advisory Research, Inc. 801-65018 Ascentia Wealth Management 801-68620 Emerald Asset Advisors 801-34611 Federated 801-24133 Forward Asset Management 801-71064 Good Harbor 801-61113 Main Management 801-27828 Pacific Income Advisors 801-68580 SFE Investments 801-57131 Sound Asset Management 801-42549 Tom Johnson Investment Management, Inc. 801-65208 Tradewinds Global Investors, LLC 801-46131 Wentworth, Hauser & Violich, Inc. 801-46248 Wood Asset Management, Inc. [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 31 Form 13F Information Table Entry Total: 374 Form 13F Information Table Value Total: 190,430 (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 18 801-14172 Advisory Research, Inc. 19 801-65018 Ascentia Wealth Management 20 801-68620 Emerald Asset Advisors 21 801-34611 Federated 22 801-24133 Forward Asset Management 23 801-71064 Good Harbor 24 801-61113 Main Management 25 801-27828 Pacific Income Advisors 26 801-68580 SFE Investments 27 801-57131 Sound Asset Management 28 801-42549 Tom Johnson Investment Management, Inc. 29 801-65208 Tradewinds Global Investors, LLC 30 801-46131 Wentworth, Hauser & Violich, Inc. 31 801-46248 Wood Asset Management, Inc. [Repeat as necessary.]
Name Of Issuer Title Of Class Cusip Market SHRS OR/ SH/ PUT/ Investment Other Sole Shared None Value PRN AMT PRN CALL Discretion Managers APPLE INC COM 037833100 6445 15913 SH SOLE 0 0 15913 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 6194 161564 SH SOLE 0 0 161564 ISHARES TR BARCLYS 1-3 YR 464287457 5945 70350 SH SOLE 0 0 70350 ISHARES TR BARCLYS 3-7 YR 464288661 3658 29977 SH SOLE 0 0 29977 ISHARES TR BARCLYS TIPS BD 464287176 3348 28690 SH SOLE 0 0 28690 JOHNSON & JOHNSON COM 478160104 2929 44669 SH SOLE 0 0 44669 AT&T INC COM 00206R102 2784 92062 SH SOLE 0 0 92062 ISHARES TR BARCLY USAGG B 464287226 2757 25005 SH SOLE 0 0 25005 CHEVRON CORP NEW COM 166764100 2468 23197 SH SOLE 0 0 23197 ISHARES TR DJ SEL DIV INX 464287168 2424 45086 SH SOLE 0 0 45086 ISHARES TR BARCLYS 3-7 YR 464288661 2409 19743 SH SOLE 801-71064 0 0 19743 ISHARES TR BARCLYS 1-3 YR 464287457 2406 28474 SH SOLE 801-71064 0 0 28474 VERIZON COMMUNICATIONS INC COM 92343V104 2329 58051 SH SOLE 0 0 58051 SPDR GOLD TRUST GOLD SHS 78463V107 2242 14753 SH SOLE 0 0 14753 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 2077 72383 SH SOLE 0 0 72383 GENERAL ELECTRIC CO COM 369604103 2055 114746 SH SOLE 0 0 114746 PROSHARES TR PSHS SHRT S&P500 74347R503 2047 50659 SH SOLE 0 0 50659 INTEROIL CORP COM 460951106 1932 37777 SH SOLE 0 0 37777 PROSHARES TR ULTR 7-10 TREA 74347R180 1890 17759 SH SOLE 0 0 17759 FX ENERGY INC COM 302695101 1872 390093 SH SOLE 0 0 390093 EXXON MOBIL CORP COM 30231G102 1777 20963 SH SOLE 0 0 20963 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1698 47181 SH SOLE 0 0 47181 ENTERPRISE PRODS PARTNERS L COM 293792107 1661 35816 SH SOLE 0 0 35816 PROCTER & GAMBLE CO COM 742718109 1586 23777 SH SOLE 0 0 23777 PHILIP MORRIS INTL INC COM 718172109 1468 18700 SH SOLE 0 0 18700 COCA COLA CO COM 191216100 1462 20894 SH SOLE 0 0 20894 ISHARES TR US PFD STK IDX 464288687 1403 39386 SH SOLE 0 0 39386 SPDR S&P 500 ETF TR TR UNIT 78462F103 1381 11005 SH SOLE 0 0 11005 ISHARES TR IBOXX INV CPBD 464287242 1353 11897 SH SOLE 0 0 11897 CATERPILLAR INC DEL COM 149123101 1307 14426 SH SOLE 0 0 14426 MCDONALDS CORP COM 580135101 1304 12995 SH SOLE 0 0 12995 ALTRIA GROUP INC COM 02209S103 1277 43084 SH SOLE 0 0 43084 PROSHARES TR ULTR 7-10 TREA 74347R180 1237 11621 SH SOLE 801-71064 0 0 11621 PUBLIC SVC ENTERPRISE GROUP COM 744573106 1224 37084 SH SOLE 0 0 37084 MICROSOFT CORP COM 594918104 1215 46785 SH SOLE 0 0 46785 LILLY ELI & CO COM 532457108 1146 27578 SH SOLE 0 0 27578 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1103 12986 SH SOLE 0 0 12986 BANK HAWAII CORP COM 062540109 1100 24725 SH SOLE 0 0 24725 CONOCOPHILLIPS COM 20825C104 1099 15079 SH SOLE 0 0 15079 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1088 20196 SH SOLE 0 0 20196 PEPSICO INC COM 713448108 1077 16230 SH SOLE 0 0 16230 BRISTOL MYERS SQUIBB CO COM 110122108 1056 29968 SH SOLE 0 0 29968 JPMORGAN CHASE & CO COM 46625H100 1006 30254 SH SOLE 0 0 30254 PFIZER INC COM 717081103 978 45206 SH SOLE 0 0 45206 NEXXUS LIGHTING INC COM 65338E105 955 875770 SH SOLE 0 0 875770 AMERICAN CAPITAL AGENCY CORP COM 02503X105 942 33536 SH SOLE 0 0 33536 ARMOUR RESIDENTIAL REIT INC COM 042315101 940 133334 SH SOLE 0 0 133334 NUVEEN BUILD AMER BD FD COM 67074C103 901 43902 SH SOLE 0 0 43902 AG MTG INVT TR INC COM 001228105 895 44455 SH SOLE 0 0 44455 ISHARES TR HIGH YLD CORP 464288513 890 9953 SH SOLE 0 0 9953 HEALTH CARE REIT INC COM 42217K106 890 16323 SH SOLE 0 0 16323 ISHARES TR S&P SMLCP GROW 464287887 887 11911 SH SOLE 0 0 11911 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 880 109044 SH SOLE 0 0 109044 ISHARES GOLD TRUST ISHARES 464285105 836 54915 SH SOLE 0 0 54915 INTEL CORP COM 458140100 815 33607 SH SOLE 0 0 33607 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 812 7232 SH SOLE 0 0 7232 CISCO SYS INC COM 17275R102 805 44517 SH SOLE 0 0 44517 CHUBB CORP COM 171232101 753 10883 SH SOLE 0 0 10883 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 750 13433 SH SOLE 0 0 13433 PROSHARES TR PSHS ULT S&P 500 74347R107 745 16059 SH SOLE 0 0 16059 FIFTH STREET FINANCE CORP COM 31678A103 733 76633 SH SOLE 0 0 76633 FREEPORT-MCMORAN COPPER & GO COM 35671D857 731 19880 SH SOLE 0 0 19880 MFS INTER INCOME TR SH BEN INT 55273C107 730 115884 SH SOLE 0 0 115884 ISHARES TR RESIDENT PLS CAP 464288562 726 16410 SH SOLE 0 0 16410 TRANSOCEAN LTD REG SHS H8817H100 713 18583 SH SOLE 0 0 18583 ACME PACKET INC COM 004764106 688 22250 SH SOLE 0 0 22250 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 679 19603 SH SOLE 0 0 19603 DU PONT E I DE NEMOURS & CO COM 263534109 657 14360 SH SOLE 0 0 14360 EXELON CORP COM 30161N101 657 15145 SH SOLE 0 0 15145 ISHARES TR BARCLYS SH TREA 464288679 654 5934 SH SOLE 0 0 5934 DUKE ENERGY CORP NEW COM 26441C105 626 28459 SH SOLE 0 0 28459 ANNALY CAP MGMT INC COM 035710409 618 38741 SH SOLE 0 0 38741 VANGUARD INDEX FDS REIT ETF 922908553 613 10567 SH SOLE 0 0 10567 RMR REAL ESTATE INCOME FD COM SHS 74964K609 602 21356 SH SOLE 0 0 21356 ISHARES TR S&P MIDCAP 400 464287507 598 6820 SH SOLE 0 0 6820 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 585 17993 SH SOLE 0 0 17993 CBRE CLARION GLOBAL REAL EST COM 12504G100 584 85355 SH SOLE 0 0 85355 PROSPECT CAPITAL CORPORATION COM 74348T102 571 61499 SH SOLE 0 0 61499 PIMCO INCOME STRATEGY FUND I COM 72201J104 564 61654 SH SOLE 0 0 61654 ISHARES TR DJ US ENERGY 464287796 563 14129 SH SOLE 0 0 14129 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 563 15556 SH SOLE 0 0 15556 INTERNATIONAL BUSINESS MACHS COM 459200101 557 3028 SH SOLE 0 0 3028 WELLS FARGO & CO NEW COM 949746101 549 19922 SH SOLE 0 0 19922 HALLIBURTON CO COM 406216101 543 15741 SH SOLE 0 0 15741 MERCK & CO INC NEW COM 58933Y105 540 14322 SH SOLE 0 0 14322 GOOGLE INC CL A 38259P508 539 835 SH SOLE 0 0 835 AMERICAN RLTY CAP PPTYS INC COM 02917T104 538 51754 SH SOLE 0 0 51754 ISHARES TR RUSSELL 2000 464287655 537 7277 SH SOLE 0 0 7277 NEW AMER HIGH INCOME FD INC COM NEW 641876800 535 52423 SH SOLE 0 0 52423 UNITED TECHNOLOGIES CORP COM 913017109 530 7256 SH SOLE 0 0 7256 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 526 16010 SH SOLE 0 0 16010 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 523 17667 SH SOLE 0 0 17667 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 522 7550 SH SOLE 0 0 7550 ADVENT CLAYMORE CV SECS & IN COM 00764C109 508 34496 SH SOLE 0 0 34496 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 508 37829 SH SOLE 0 0 37829 PROSHARES TR PSHS ULTASH DW30 74347R867 503 32875 SH SOLE 0 0 32875 BOEING CO COM 097023105 492 6709 SH SOLE 0 0 6709 HONEYWELL INTL INC COM 438516106 485 8928 SH SOLE 0 0 8928 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 484 12590 SH SOLE 0 0 12590 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 476 6478 SH SOLE 0 0 6478 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 472 7045 SH SOLE 0 0 7045 HOME DEPOT INC COM 437076102 468 11135 SH SOLE 0 0 11135 PUTNAM MANAGED MUN INCOM TR COM 746823103 467 62502 SH SOLE 0 0 62502 CONSOLIDATED EDISON INC COM 209115104 461 7431 SH SOLE 0 0 7431 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 452 3710 SH SOLE 0 0 3710 COHEN & STEERS INFRASTRUCTUR COM 19248A109 448 28364 SH SOLE 0 0 28364 VANGUARD INDEX FDS GROWTH ETF 922908736 438 7100 SH SOLE 0 0 7100 ISHARES TR S&P NA TECH FD 464287549 437 7355 SH SOLE 0 0 7355 ISHARES TR S&P GBL TELCM 464287275 437 7830 SH SOLE 0 0 7830 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 434 5685 SH SOLE 0 0 5685 ISHARES SILVER TRUST ISHARES 46428Q109 433 16064 SH SOLE 0 0 16064 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 430 13315 SH SOLE 0 0 13315 SPDR SERIES TRUST DB INT GVT ETF 78464A490 425 7494 SH SOLE 0 0 7494 VANGUARD INDEX FDS SMALL CP ETF 922908751 421 6041 SH SOLE 0 0 6041 ISHARES TR COHEN&ST RLTY 464287564 419 5966 SH SOLE 0 0 5966 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 419 6552 SH SOLE 0 0 6552 NUVEEN MUN HIGH INCOME OPP F COM 670682103 417 34401 SH SOLE 0 0 34401 WELLS FARGO & CO NEW PERP PFD CNV A 949746804 415 393 SH SOLE 0 0 393 BROADCOM CORP CL A 111320107 414 14092 SH SOLE 0 0 14092 PROSHARES TR PSHS ULSHT SP500 74347R883 414 21475 SH SOLE 0 0 21475 MORGAN STANLEY SHRT EUR ETN20 617480280 413 9050 SH SOLE 0 0 9050 ISHARES TR BARCLYS 1-3YR CR 464288646 410 3933 SH SOLE 0 0 3933 FIRST TR VALUE LINE DIVID IN SHS 33734H106 408 25454 SH SOLE 0 0 25454 CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 400 19537 SH SOLE 0 0 19537 CLAYMORE EXCHANGE TRD FD TR GUGGEN DEFN EQTY 18383M878 396 14490 SH SOLE 0 0 14490 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 396 27078 SH SOLE 0 0 27078 CHIMERA INVT CORP COM 16934Q109 395 157216 SH SOLE 0 0 157216 ISHARES TR MSCI EMERG MKT 464287234 390 10281 SH SOLE 0 0 10281 HAWAIIAN ELEC INDUSTRIES COM 419870100 389 14706 SH SOLE 0 0 14706 AMAZON COM INC COM 023135106 388 2240 SH SOLE 0 0 2240 CHESAPEAKE ENERGY CORP COM 165167107 387 17361 SH SOLE 0 0 17361 ISHARES TR RUSSELL MCP VL 464287473 385 8862 SH SOLE 0 0 8862 W P CAREY & CO LLC COM 92930Y107 381 9300 SH SOLE 0 0 9300 BANK OF AMERICA CORPORATION COM 060505104 377 67835 SH SOLE 0 0 67835 VENTRUS BIOSCIENCES INC COM 922822101 376 46999 SH SOLE 0 0 46999 FORD MTR CO DEL COM PAR $0.01 345370860 370 34353 SH SOLE 0 0 34353 RYDEX ETF TRUST S&PSC600 PURGR 78355W809 357 7110 SH SOLE 0 0 7110 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 355 6905 SH SOLE 0 0 6905 WASTE MGMT INC DEL COM 94106L109 354 10837 SH SOLE 0 0 10837 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 354 15748 SH SOLE 0 0 15748 E M C CORP MASS COM 268648102 353 16398 SH SOLE 0 0 16398 ISHARES TR FTSE CHINA25 IDX 464287184 352 10103 SH SOLE 0 0 10103 DEVON ENERGY CORP NEW COM 25179M103 349 5631 SH SOLE 0 0 5631 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 347 10620 SH SOLE 0 0 10620 WINDSTREAM CORP COM 97381W104 347 29535 SH SOLE 0 0 29535 QUALCOMM INC COM 747525103 345 6301 SH SOLE 0 0 6301 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 343 12245 SH SOLE 0 0 12245 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 342 5809 SH SOLE 0 0 5809 MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 338 7262 SH SOLE 0 0 7262 CVS CAREMARK CORPORATION COM 126650100 334 8190 SH SOLE 0 0 8190 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 333 4240 SH SOLE 0 0 4240 MICROCHIP TECHNOLOGY INC COM 595017104 333 9084 SH SOLE 0 0 9084 UNITEDHEALTH GROUP INC COM 91324P102 332 6555 SH SOLE 0 0 6555 ISHARES TR HIGH YLD CORP 464288513 329 3683 SH SOLE 801-65018 0 0 3683 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 328 11871 SH SOLE 0 0 11871 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 326 24697 SH SOLE 0 0 24697 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 325 12783 SH SOLE 801-65018 0 0 12783 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 324 7976 SH SOLE 0 0 7976 ARM HLDGS PLC SPONSORED ADR 042068106 324 11706 SH SOLE 801-30582 37 0 11669 XCEL ENERGY INC COM 98389B100 322 11641 SH SOLE 0 0 11641 MEDICAL PPTYS TRUST INC COM 58463J304 322 32611 SH SOLE 0 0 32611 TOTAL S A SPONSORED ADR 89151E109 321 6283 SH SOLE 0 0 6283 CREE INC COM 225447101 321 14582 SH SOLE 0 0 14582 CENTRAL FD CDA LTD CL A 153501101 315 16076 SH SOLE 0 0 16076 PIMCO HIGH INCOME FD COM SHS 722014107 313 26049 SH SOLE 0 0 26049 FIRSTENERGY CORP COM 337932107 311 7015 SH SOLE 0 0 7015 INVESCO MORTGAGE CAPITAL INC COM 46131B100 310 22043 SH SOLE 0 0 22043 CENTURYLINK INC COM 156700106 309 8301 SH SOLE 0 0 8301 ISHARES TR S&P LTN AM 40 464287390 308 7237 SH SOLE 0 0 7237 SENIOR HSG PPTYS TR SH BEN INT 81721M109 308 13712 SH SOLE 0 0 13712 VISA INC COM CL A 92826C839 305 3003 SH SOLE 0 0 3003 CELGENE CORP COM 151020104 305 4518 SH SOLE 0 0 4518 STRATASYS INC COM 862685104 305 10033 SH SOLE 0 0 10033 RYDEX ETF TRUST MATERIALS ETF 78355W825 304 5417 SH SOLE 0 0 5417 AMERICAN ELEC PWR INC COM 025537101 304 7353 SH SOLE 0 0 7353 CUSHING MLP TOTAL RETURN FD COM SHS 231631102 303 34028 SH SOLE 0 0 34028 CITIGROUP INC COM NEW 172967424 302 11463 SH SOLE 0 0 11463 ISHARES INC MSCI CDA INDEX 464286509 300 11296 SH SOLE 0 0 11296 NUSTAR GP HOLDINGS LLC UNIT RESTG LLC 67059L102 299 8986 SH SOLE 0 0 8986 ISHARES TR S&P NA NAT RES 464287374 298 7843 SH SOLE 0 0 7843 KRAFT FOODS INC CL A 50075N104 297 7956 SH SOLE 0 0 7956 ISHARES TR BARCLYS MBS BD 464288588 296 2739 SH SOLE 0 0 2739 ISHARES TR NYSE COMP INDX 464287143 293 4280 SH SOLE 0 0 4280 REYNOLDS AMERICAN INC COM 761713106 292 7055 SH SOLE 0 0 7055 BAIDU INC SPON ADR REP A 056752108 291 2499 SH SOLE 0 0 2499 EDISON INTL COM 281020107 290 6994 SH SOLE 0 0 6994 PERMIAN BASIN RTY TR UNIT BEN INT 714236106 289 14172 SH SOLE 0 0 14172 ENI S P A SPONSORED ADR 26874R108 288 6975 SH SOLE 801-24896 0 0 6975 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 287 8262 SH SOLE 0 0 8262 CLEAN HARBORS INC COM 184496107 285 4472 SH SOLE 801-30582 0 0 4472 DOLLAR TREE INC COM 256746108 283 3407 SH SOLE 0 0 3407 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 282 24708 SH SOLE 0 0 24708 RYDEX ETF TRUST UTILITIES ETF 78355W791 280 5037 SH SOLE 0 0 5037 LAS VEGAS SANDS CORP COM 517834107 278 6495 SH SOLE 0 0 6495 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 277 2435 SH SOLE 0 0 2435 ISHARES TR S&P500 GRW 464287309 274 4061 SH SOLE 0 0 4061 MICROSOFT CORP COM 594918104 270 10402 SH SOLE 801-24896 0 0 10402 TOTAL S A SPONSORED ADR 89151E109 269 5271 SH SOLE 801-24896 0 0 5271 PENN VA RESOURCES PARTNERS L COM 707884102 268 10499 SH SOLE 0 0 10499 SPECTRA ENERGY PARTNERS LP COM 84756N109 267 8363 SH SOLE 0 0 8363 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 266 19404 SH SOLE 0 0 19404 TIVO INC COM 888706108 263 29350 SH SOLE 0 0 29350 HEINZ H J CO COM 423074103 262 4842 SH SOLE 0 0 4842 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 260 9492 SH SOLE 0 0 9492 MONSANTO CO NEW COM 61166W101 258 3681 SH SOLE 0 0 3681 VANGUARD WORLD FDS TELCOMM ETF 92204A884 258 4158 SH SOLE 0 0 4158 BP PLC SPONSORED ADR 055622104 258 6031 SH SOLE 0 0 6031 MOSAIC CO NEW COM 61945C103 255 5065 SH SOLE 0 0 5065 UNION PAC CORP COM 907818108 254 2396 SH SOLE 0 0 2396 WALGREEN CO COM 931422109 254 7677 SH SOLE 0 0 7677 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 254 10207 SH SOLE 0 0 10207 PROSHARES TR PSHS ULTSHRT QQQ 74347X237 252 5586 SH SOLE 0 0 5586 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 252 9919 SH SOLE 0 0 9919 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 251 7056 SH SOLE 0 0 7056 FIRST TR STRATEGIC HIGH INC COM SHS NEW 337353304 251 16417 SH SOLE 0 0 16417 COSTCO WHSL CORP NEW COM 22160K105 250 3002 SH SOLE 0 0 3002 CERNER CORP COM 156782104 250 4077 SH SOLE 0 0 4077 SANOFI SPONSORED ADR 80105N105 248 6780 SH SOLE 801-24896 0 0 6780 PROSHARES TR II ULTRASHRT EURO 74347W882 248 12178 SH SOLE 801-65018 0 0 12178 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 247 4116 SH SOLE 0 0 4116 UNILEVER N V N Y SHS NEW 904784709 247 7172 SH SOLE 801-24896 0 0 7172 ALPS ETF TR ALERIAN MLP 00162Q866 247 14849 SH SOLE 0 0 14849 TWO HBRS INVT CORP COM 90187B101 247 26744 SH SOLE 0 0 26744 YONGYE INTL INC COM 98607B106 246 70015 SH SOLE 0 0 70015 ISHARES TR RUSSELL1000VAL 464287598 243 3824 SH SOLE 0 0 3824 KENNAMETAL INC COM 489170100 240 6573 SH SOLE 0 0 6573 NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 240 9490 SH SOLE 801-24896 0 0 9490 ISHARES TR DJ US TECH SEC 464287721 239 3743 SH SOLE 0 0 3743 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 238 3138 SH SOLE 0 0 3138 INTUITIVE SURGICAL INC COM NEW 46120E602 235 507 SH SOLE 0 0 507 TELECOM ITALIA S P A NEW SPON ADR ORD 87927Y102 235 22031 SH SOLE 801-24896 0 0 22031 GOLDMAN SACHS GROUP INC COM 38141G104 233 2574 SH SOLE 0 0 2574 SOUTHERN CO COM 842587107 233 5039 SH SOLE 0 0 5039 ISHARES TR DJ US BAS MATL 464287838 231 3591 SH SOLE 0 0 3591 WAL MART STORES INC COM 931142103 231 3858 SH SOLE 0 0 3858 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 231 12895 SH SOLE 0 0 12895 EXPRESS SCRIPTS INC COM 302182100 230 5141 SH SOLE 0 0 5141 ISHARES TR S&P NTL AMTFREE 464288414 228 2104 SH SOLE 0 0 2104 WHOLE FOODS MKT INC COM 966837106 227 3268 SH SOLE 0 0 3268 PROSHARES TR PSHS SH MSCI EAF 74347R370 227 4411 SH SOLE 0 0 4411 PROSHARES TR ULTSHT OIL NEW 74347X591 227 8860 SH SOLE 0 0 8860 ALCOA INC COM 013817101 227 26195 SH SOLE 0 0 26195 POTASH CORP SASK INC COM 73755L107 226 5477 SH SOLE 0 0 5477 HELIOS TOTAL RETURN FD INC COM 42327V109 226 39566 SH SOLE 0 0 39566 TITANIUM METALS CORP COM NEW 888339207 225 15051 SH SOLE 0 0 15051 TIM HORTONS INC COM 88706M103 223 4610 SH SOLE 801-30582 0 0 4610 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 222 1389 SH SOLE 0 0 1389 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 221 40330 SH SOLE 0 0 40330 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 219 5290 SH SOLE 0 0 5290 NORDIC AMERICAN TANKERS LIMI COM G65773106 219 18242 SH SOLE 0 0 18242 CHIPOTLE MEXICAN GRILL INC COM 169656105 218 644 SH SOLE 0 0 644 VALEANT PHARMACEUTICALS INTL COM 91911K102 217 4643 SH SOLE 801-30582 0 0 4643 PROSHARES TR BASIC MAT NEW 74347X617 217 11638 SH SOLE 0 0 11638 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 216 12809 SH SOLE 0 0 12809 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 216 13000 SH SOLE 0 0 13000 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 215 4710 SH SOLE 801-24896 0 0 4710 NATIONAL RETAIL PROPERTIES I COM 637417106 215 8146 SH SOLE 0 0 8146 MOLYCORP INC DEL COM 608753109 215 8953 SH SOLE 0 0 8953 NUVASIVE INC COM 670704105 215 17100 SH SOLE 0 0 17100 NEUBERGER BERMAN RE ES SEC F COM 64190A103 214 57126 SH SOLE 0 0 57126 ISHARES TR S&P GBL ENER 464287341 213 5575 SH SOLE 0 0 5575 SILVER WHEATON CORP COM 828336107 213 7371 SH SOLE 0 0 7371 PRICELINE COM INC COM NEW 741503403 212 453 SH SOLE 0 0 453 ISHARES INC MSCI BRAZIL 464286400 210 3655 SH SOLE 0 0 3655 DIREXION SHS ETF TR DLY FIN BEAR NEW 25459W144 210 5624 SH SOLE 0 0 5624 LULULEMON ATHLETICA INC COM 550021109 209 4476 SH SOLE 0 0 4476 FRANCE TELECOM SPONSORED ADR 35177Q105 208 13261 SH SOLE 801-24896 0 0 13261 PROSHARES TR PSHS SH MSCI EAF 74347R370 207 4011 SH SOLE 801-65018 0 0 4011 ISHARES TR BARCLYS 7-10 YR 464287440 206 1950 SH SOLE 0 0 1950 BLACKROCK INC COM 09247X101 205 1152 SH SOLE 0 0 1152 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 204 4440 SH SOLE 0 0 4440 WHITESTONE REIT CL B SBI 966084204 204 17148 SH SOLE 0 0 17148 ISHARES TR RUSSELL1000GRW 464287614 203 3511 SH SOLE 0 0 3511 B & G FOODS INC NEW COM 05508R106 203 8440 SH SOLE 0 0 8440 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 203 8975 SH SOLE 0 0 8975 AMERICAN WTR WKS CO INC NEW COM 030420103 201 6308 SH SOLE 0 0 6308 HEWLETT PACKARD CO COM 428236103 201 7797 SH SOLE 0 0 7797 VMWARE INC CL A COM 928563402 200 2399 SH SOLE 0 0 2399 PFIZER INC COM 717081103 200 9251 SH SOLE 801-24896 0 0 9251 PROVIDENT ENERGY LTD NEW COM 74386V100 191 19693 SH SOLE 0 0 19693 RESEARCH IN MOTION LTD COM 760975102 190 13074 SH SOLE 0 0 13074 NUMEREX CORP PA CL A 67053A102 189 23008 SH SOLE 0 0 23008 AKORN INC COM 009728106 185 16612 SH SOLE 801-30582 0 0 16612 NUVEEN MULTI STRAT INC & GR COM 67073B106 185 23054 SH SOLE 0 0 23054 SKYWORKS SOLUTIONS INC COM 83088M102 184 11372 SH SOLE 0 0 11372 HECLA MNG CO COM 422704106 183 34904 SH SOLE 0 0 34904 NEW YORK MTG TR INC COM PAR $.02 649604501 181 25100 SH SOLE 0 0 25100 RENN GLOBAL ENTREPENRS COM 759720105 175 96266 SH SOLE 0 0 96266 HANCOCK JOHN PFD INCOME FD I COM 41021P103 173 10150 SH SOLE 0 0 10150 ISHARES INC MSCI HONG KONG 464286871 167 10768 SH SOLE 0 0 10768 MORGAN STANLEY EM MKTS DM DE COM 617477104 166 11713 SH SOLE 0 0 11713 INCYTE CORP COM 45337C102 164 10926 SH SOLE 0 0 10926 EATON VANCE TAX ADVT DIV INC COM 27828G107 163 11135 SH SOLE 0 0 11135 CORNING INC COM 219350105 160 12328 SH SOLE 0 0 12328 PEOPLES UNITED FINANCIAL INC COM 712704105 160 12451 SH SOLE 0 0 12451 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 160 14278 SH SOLE 0 0 14278 GMX RES INC COM 38011M108 160 127720 SH SOLE 0 0 127720 ZST DIGITAL NETWORKS INC COM NEW 98878T208 158 69723 SH SOLE 0 0 69723 SUREWEST COMMUNICATIONS COM 868733106 156 13008 SH SOLE 0 0 13008 TICC CAPITAL CORP COM 87244T109 156 18092 SH SOLE 801-30582 0 0 18092 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 155 10507 SH SOLE 0 0 10507 BANCROFT FUND LTD COM 059695106 154 10216 SH SOLE 0 0 10216 FRONTIER COMMUNICATIONS CORP COM 35906A108 154 29828 SH SOLE 0 0 29828 BLACKROCK EQUITY DIV TRUST COM 09250N107 142 15650 SH SOLE 0 0 15650 TWO HBRS INVT CORP COM 90187B101 137 14846 SH SOLE 801-30582 0 0 14846 CORNING INC COM 219350105 136 10505 SH SOLE 801-24896 0 0 10505 OXFORD LANE CAP CORP COM 691543102 134 10024 SH SOLE 0 0 10024 PENGROWTH ENERGY CORP COM 70706P104 128 12115 SH SOLE 0 0 12115 ERICSSON L M TEL CO ADR B SEK 10 294821608 127 12565 SH SOLE 801-24896 0 0 12565 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 124 11106 SH SOLE 0 0 11106 PRECISION DRILLING CORP COM 2010 74022D308 122 11916 SH SOLE 0 0 11916 SCHWAB CHARLES CORP NEW COM 808513105 120 10614 SH SOLE 0 0 10614 OVERSEAS SHIPHOLDING GROUP I COM 690368105 120 11000 SH SOLE 0 0 11000 TETRA TECHNOLOGIES INC DEL COM 88162F105 120 12850 SH SOLE 0 0 12850 ING GLOBAL EQTY DIV & PREM O COM 45684E107 118 13614 SH SOLE 0 0 13614 STMICROELECTRONICS N V NY REGISTRY 861012102 117 19740 SH SOLE 801-24896 0 0 19740 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 114 25929 SH SOLE 0 0 25929 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 111 26530 SH SOLE 801-24896 0 0 26530 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 106 10457 SH SOLE 0 0 10457 FORD MTR CO DEL *W EXP 01/01/201 345370134 106 44000 SH SOLE 0 0 44000 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 103 18690 SH SOLE 801-24896 0 0 18690 ZWEIG TOTAL RETURN FD INC COM 989837109 103 34010 SH SOLE 0 0 34010 ATMEL CORP COM 049513104 101 12425 SH SOLE 801-30582 0 0 12425 SWEDISH EXPT CR CORP ROG AGRI ETN22 870297603 99 11090 SH SOLE 0 0 11090 AMARIN CORP PLC SPONS ADR NEW 023111206 94 12500 SH SOLE 0 0 12500 CONCORD MED SVCS HLDGS LTD SPONSORED ADR 206277105 93 28837 SH SOLE 0 0 28837 AEGON N V NY REGISTRY SH 007924103 90 22331 SH SOLE 801-24896 0 0 22331 XEROX CORP COM 984121103 89 11170 SH SOLE 801-24896 0 0 11170 ZAGG INC COM 98884U108 89 12558 SH SOLE 801-30582 0 0 12558 WENDYS CO COM 95058W100 86 16004 SH SOLE 0 0 16004 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 86 32075 SH SOLE 801-24896 0 0 32075 BANK OF AMERICA CORPORATION COM 060505104 76 13711 SH SOLE 801-24896 0 0 13711 BLACKROCK SR HIGH INCOME FD COM 09255T109 75 19508 SH SOLE 0 0 19508 PARK BANCORP INC COM 700164106 73 35703 SH SOLE 0 0 35703 RESOURCE CAP CORP COM 76120W302 72 12853 SH SOLE 0 0 12853 CLAYMORE EXCHANGE TRD FD TR GUGG SOLAR ETF 18383M621 72 29050 SH SOLE 0 0 29050 LOCAL COM CORP COM 53954R105 72 34000 SH SOLE 0 0 34000 BOSTON SCIENTIFIC CORP COM 101137107 71 13230 SH SOLE 801-24896 0 0 13230 GABELLI CONV & INCOME SECS F CONV SECS FD 36240B109 71 13927 SH SOLE 0 0 13927 AUTHENTEC INC COM 052660107 71 22000 SH SOLE 0 0 22000 SIGA TECHNOLOGIES INC COM 826917106 71 28125 SH SOLE 0 0 28125 QIAO XING UNVL RESOURCES INC SHS G7303A109 71 115928 SH SOLE 0 0 115928 GENCO SHIPPING & TRADING LTD SHS Y2685T107 68 10104 SH SOLE 0 0 10104 SIRIUS XM RADIO INC COM 82967N108 68 37175 SH SOLE 0 0 37175 PORTUGAL TELECOM SGPS S A SPONSORED ADR 737273102 66 11361 SH SOLE 801-24896 0 0 11361 HUDSON CITY BANCORP COM 443683107 63 10110 SH SOLE 0 0 10110 WINNER MEDICAL GRP INC COM NEW 97476P204 61 23775 SH SOLE 0 0 23775 OFFICEMAX INC DEL COM 67622P101 59 13000 SH SOLE 0 0 13000 STANDARD PAC CORP NEW COM 85375C101 57 18000 SH SOLE 0 0 18000 MANAGED HIGH YIELD PLUS FD I COM 561911108 55 25817 SH SOLE 0 0 25817 PARAMOUNT GOLD & SILVER CORP COM 69924P102 53 24885 SH SOLE 0 0 24885 OCULUS INNOVATIVE SCIENCES I COM 67575P108 53 50700 SH SOLE 0 0 50700 URANIUM RES INC COM PAR $0.001 916901507 51 70300 SH SOLE 0 0 70300 NOVAVAX INC COM 670002104 43 34247 SH SOLE 0 0 34247 NEOSTEM INC COM NEW 640650305 41 80000 SH SOLE 0 0 80000 NAVIOS MARITIME HOLDINGS INC COM Y62196103 37 10300 SH SOLE 0 0 10300 DENISON MINES CORP COM 248356107 35 28000 SH SOLE 0 0 28000 MOTRICITY INC COM 620107102 35 39046 SH SOLE 0 0 39046 NEWTEK BUSINESS SVCS INC COM 652526104 33 29000 SH SOLE 0 0 29000 PACIFIC ETHANOL INC COM NEW 69423U206 30 27937 SH SOLE 0 0 27937 SAVIENT PHARMACEUTICALS INC COM 80517Q100 29 12800 SH SOLE 0 0 12800 NEURALSTEM INC COM 64127R302 28 28968 SH SOLE 0 0 28968 CLEARWIRE CORP NEW CL A 18538Q105 27 14100 SH SOLE 0 0 14100 PURECYCLE CORP COM NEW 746228303 20 10500 SH SOLE 0 0 10500 DEX ONE CORP COM 25212W100 17 10000 SH SOLE 0 0 10000 EXCEL MARITIME CARRIERS LTD COM V3267N107 15 10000 SH SOLE 0 0 10000 DURECT CORP COM 266605104 14 11491 SH SOLE 0 0 11491 RELIV INTL INC COM 75952R100 13 10562 SH SOLE 0 0 10562 CARDIUM THERAPEUTICS INC COM 141916106 12 41384 SH SOLE 0 0 41384 EASTMAN KODAK CO COM 277461109 11 17500 SH SOLE 0 0 17500 BIODELIVERY SCIENCES INTL IN COM 09060J106 9 11000 SH SOLE 0 0 11000 TRIDENT MICROSYSTEMS INC COM 895919108 7 40000 SH SOLE 0 0 40000 MICROVISION INC DEL COM 594960106 4 10000 SH SOLE 0 0 10000 OILSANDS QUEST INC COM 678046103 3 17000 SH SOLE 0 0 17000