-----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, G+IuV6xllO1s433cFAsWiYo5bmx0SDSgRPHW7Z0u31gjwogPwfri6xkjlZDtZ+b5 tnOe8Nzg018kSD5cRMFaWA== 0001483964-10-000006.txt : 20100812 0001483964-10-000006.hdr.sgml : 20100812 20100812152112 ACCESSION NUMBER: 0001483964-10-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100812 DATE AS OF CHANGE: 20100812 EFFECTIVENESS DATE: 20100812 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ladenburg Thalmann Asset Management CENTRAL INDEX KEY: 0001483964 IRS NUMBER: 133286023 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13809 FILM NUMBER: 101010976 BUSINESS ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124092021 MAIL ADDRESS: STREET 1: 520 MADISON AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 ltam13f.txt LADENBURG THALMANN ASSET MANAGEMENT 13-F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 06-30-10 ------------ 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: Ladenburg Thalmann Asset Management -------------------------------------- -------------------------------------- Address: 520 Madison Ave, FL 9 -------------------------------------- New York, NY -------------------------------------- Form 13F File Number: 28- 13809 ------------------- 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: Philip Blancato ----------------------------- Title: President ----------------------------- Phone: 2124092682 ----------------------------- Signature, Place, and Date of Signing: /S/ Philip Blancato NEw York, NY 8-10-10 - - ------------------ ---------------- --------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 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).) [ ] 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: Form 13F File Number Name 28- None ------------------ -------------------------- FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------------- Form 13F Information Table Entry Total: 875 ------------------- Form 13F Information Table Value Total: $98,284 (x1000) ------------------- 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. NO. FORM 13F FILE NUMBER NAME NAME 1 28- None ---- ------------------------- --------------------------- FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000)PRN AMT PRN CALL DSCRETN MANAGERS None Sole Shared 1 800 FLOWERS.COM INC CL A 68243Q106 1 725 SH Sole 01 725 3M COMPANY COM 88579Y101 23 295 SH Sole 01 295 57TH STR GEN ACQUISITION CORP COM 316816107 322 33500 SH Sole 01 33500 57TH STR GEN ACQUISITION CORPWT 316816123 6 15000 SH Sole 01 15000 ABB LTD SPONSORED ADR 000375204 15 850 SH Sole 01 850 ABBOTT LABORATORIES COM 002824100 83 1780 SH Sole 01 1780 ABBOTT LABS SR NT 002824AU4 11 10000 SH Sole 01 10000 ABERDEEN ASIA PACIFIC INCOME FD 003009107 42 7000 SH Sole 01 7000 ABRAXIS BIOSCIENCE INC NEW COM 00383Y102 2 31 SH Sole 01 31 ABS LIMITED PARTNERSHIP 003999257 652 651610 SH Sole 01 651610 ACADIA REALTY TRUST COM 004239109 36 2139 SH Sole 01 2139 ACCENTURE PLC CLS A USD0.0000225 G1151C101 24 645 SH Sole 01 645 ADIDAS SALOMON AG SPON ADR 00687A107 1 22 SH Sole 01 22 ADOBE SYS INC COM 00724F101 9 354 SH Sole 01 354 ADVANCED MICRO DEVICES INC 007903107 5 750 SH Sole 01 750 AEGON NV AMER REGD CERT(1 SH EUR0.12) 007924103 8 1420 SH Sole 01 1420 AFFILIATED MANAGERS GROUP 008252108 15 246 SH Sole 01 246 AGRIUM INC ISIN #CA0089161081 008916108 3 65 SH Sole 01 65 AIR PRODUCTS & CHEM COM 009158106 23 350 SH Sole 01 350 AIR TRANS SVCS GROUP INC COM 00922R105 1 200 SH Sole 01 200 AKAMAI TECH COM 00971T101 10 250 SH Sole 01 250 ALABAMA PWR CO SR NT SER AA 010392553 5 200 SH Sole 01 200 ALASKA AIR GROUP INC COM 011659109 2 50 SH Sole 01 50 ALBERTO CULVER CO NEW COM 013078100 7 259 SH Sole 01 259 ALCOA INC ISIN #US0138171014 013817101 8 800 SH Sole 01 800 ALJ REGL HLDGS INC COM 001627108 1 2625 SH Sole 01 2625 ALLIANCEBERNSTEIN INCOME FD INC 01881E101 23 2824 SH Sole 01 2824 ALLIANCEBERNSTEIN GLOBAL HIGH INCOME 01879R106 45 3322 SH Sole 01 3322 ALLIANZ SE ADR EACH REP 1/10 ORD SH 018805101 15 1485 SH Sole 01 1485 ALLOY INC COM NEW COM 019855303 3 300 SH Sole 01 300 ALTRIA GROUP INC COM 02209S103 10 500 SH Sole 01 500 AMDOCS LIMITED ISIN #GB0022569080 G02602103 18 680 SH Sole 01 680 AMERICAN INDEPENDENCE CORP 026760405 2 356 SH Sole 01 356 AMERICAN APPAREL INC COM 023850100 4 1950 SH Sole 01 1950 AMERICAN EXPRESS CO COM 025816109 34 857 SH Sole 01 857 AMERICAN EXPRESS CR CORP MTNBE 0258M0CY3 3 3000 SH Sole 01 3000 AMERICAN INTL GROUP INC COM NEW 026874784 1 25 SH Sole 01 25 AMERICAN SATELLITE NETWORK INC WTS 02937P124 0 100 SH Sole 01 100 AMERICAN TOWER CORP 029912201 6 145 SH Sole 01 145 AMETEK INC NEW COM 031100100 12 308 SH Sole 01 308 AMPHENOL CORP CL A 032095101 14 364 SH Sole 01 364 ANADARKO PETE CORP COM 032511107 32 875 SH Sole 01 875 ANALOG DEVICES INC COM 032654105 30 1061 SH Sole 01 1061 ANGLO AMERICAN ADR EACH REPR 0.5 ORD 03485P201 11 625 SH Sole 01 625 ANHEUSER BUSCH COS INC NT 035229CR2 21 20000 SH Sole 01 20000 ANHUI EXPRESSWAY CO H CNY1 Y01374100 0 1 SH Sole 01 1 ANNALY CAPITAL MANAGEMENT INC COM 035710409 17 1000 SH Sole 01 1000 ANSYS INC COM 03662Q105 15 365 SH Sole 01 365 AOL INC COM USD0.01 COM 00184X105 7 348 SH Sole 01 348 AON CORP COM 037389103 17 461 SH Sole 01 461 APOLLO INVT CORP COM SH BEN INT 03761U106 379 40617 SH Sole 01 40617 APPLE INC COM 037833100 178 710 SH Sole 01 710 APPLIED MATERIALS INC 038222105 18 1480 SH Sole 01 1480 ARCH COAL INC COM 039380100 1 50 SH Sole 01 50 ARCHER DANIELS MIDLAND 039483102 53 2050 SH Sole 01 2050 ARES CAPITAL CORP COM STK USD0.001 04010L103 147 11696 SH Sole 01 11696 ARLINGTON ASSET INVT CORP CL A NEW 041356205 38 2000 SH Sole 01 2000 ARMOUR RESIDENTIAL REIT INC WT EXP 042315119 1 15000 SH Sole 01 15000 ASTRAZENECA ADR EACH REP 1 ORD 046353108 13 275 SH Sole 01 275 AT&T INC NOTES 00206RAM4 11 10000 SH Sole 01 10000 AT&T INC COM 00206R102 52 2152 SH Sole 01 2152 AT&T INC BOND 00206RAJ1 17 15000 SH Sole 01 15000 ATLAS ACQUISITION HLDG CORP WT EXP 049162118 0 4866 SH Sole 01 4866 AUTOMATIC DATA PROCESSING INC 053015103 13 331 SH Sole 01 331 AWARE INC MASS COM 05453N100 2 850 SH Sole 01 850 BAC CAP TR III CAP SECS PFD 05518E202 23 1020 SH Sole 01 1020 BAC CAP TR XII GTD CAP SECS 05633T209 50 2250 SH Sole 01 2250 BAC CAPITAL TR I CAP SECS 055187207 45 2000 SH Sole 01 2000 BAKER HUGHES INC COM 057224107 35 850 SH Sole 01 850 BANCO BILBAO VIZCAYA ARGENTARIA S 05946K101 13 1219 SH Sole 01 1219 BANCO SANTANDER SA ADR EACH 1 REPR 1 05964H105 13 1145 SH Sole 01 1145 BANK AMER CORP DEPOSITARY SH REPSTG 060505765 62 2500 SH Sole 01 2500 BANK AMER CORP DEPOSITARY SH REPSTG 060505831 6 305 SH Sole 01 305 BANK AMER CORP DEP SHS REPSTG 1/1200TH 060505559 12 500 SH Sole 01 500 BANK AMER CORP DEP SH REPSTG 1/1000TH 060505740 21 1000 SH Sole 01 1000 BANK AMER N A CHARLOTTE N C 06050TKN1 50 50000 SH Sole 01 50000 BANK ATLANTIC BANCORP RTS 065908980 0 262 SH Sole 01 262 BANK NEW YORK MELLON CORP 064058100 27 1100 SH Sole 01 1100 BANK NEW YORK MTN BK ENT 06406HBE8 5 5000 SH Sole 01 5000 BANK OF AMERICA CORPORATION 060505AU8 10 10000 SH Sole 01 10000 BANK OF AMERICA CORP 060505104 27 1860 SH Sole 01 1860 BANKATLANTIC BANCORP INC CL A NEW 065908600 1 800 SH Sole 01 800 BARCLAYS ADR-EACH CV INTO 4 ORD STK 06738E204 15 900 SH Sole 01 900 BARD C R INC COM 067383109 8 111 SH Sole 01 111 BARNES AND NOBLE INC COM 067774109 1 50 SH Sole 01 50 BASF SE ADR-EACH REPR 1 ORD NPV LEVEL 055262505 15 280 SH Sole 01 280 BAXTER INTL INC COM 071813109 41 1019 SH Sole 01 1019 BEACON PWR CORP COM 073677106 1 2100 SH Sole 01 2100 BECTON DICKINSON CO COM 075887109 23 340 SH Sole 01 340 BEIJING CAPITAL INT AIRPORT H CNY1 Y07717104 0 100 SH Sole 01 100 BELLSOUTH CORP NOTES 079860AJ1 38 35000 SH Sole 01 35000 BERKELEY TECHNOLOGY LTD SPONSORED ADR 08437M107 0 707 SH Sole 01 707 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 40 500 SH Sole 01 500 BFC FINL CORP CL A COM 055384200 0 1100 SH Sole 01 1100 BHP BILLITON LIMITED ADR EACH REP 2 ORD 088606108 19 300 SH Sole 01 300 BIMINI CAP MGMT INC CL A NEW 090319401 1 550 SH Sole 01 550 BIOMARIN PHARMACEUTICAL INC 09061G101 9 500 SH Sole 01 500 BIOPURE CORP CL A PAR $0.01 09065H402 0 300 SH Sole 01 300 BIOSANTE PHARMACEUTICALS INC 09065V203 0 127 SH Sole 01 127 BIOVAIL CORP INTL COM NPV 09067J109 20 1035 SH Sole 01 1035 BLACKROCK KELSO CAP COORPORATION 092533108 1 100 SH Sole 01 100 BLACKROCK MUNIYIELD CALIF FD INC COM 09254M105 1 100 SH Sole 01 100 BLACKROCK PFD INCOME STRATEGIES FD INC 09255H105 10 1000 SH Sole 01 1000 BLDRS DEVELOPED MKTS 100 ADR INDEX FD 09348R201 2 100 SH Sole 01 100 BNP PARIBAS ADR EACH REPR 1/2 ORD LVL 05565A202 11 400 SH Sole 01 400 BOARDWALK PIPELINE PARTNERS LP COM UNIT 096627104 24 800 SH Sole 01 800 BOEING CAPITAL CORP NOTES 097014AL8 54 50000 SH Sole 01 50000 BOEING CO COM 097023105 13 200 SH Sole 01 200 BORDERS GROUP MICHIGAN INC 099709107 1 400 SH Sole 01 400 BOSTON PPTYS INC COM 101121101 29 400 SH Sole 01 400 BP PLC ADR (CNV INTO 6 ORD USD0.25 SHS) 055622104 1 50 SH Sole 01 50 BRANDYWINE RLTY TR SBI NEW 105368203 7 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144430105 11 1380 SH Sole 01 1380 CARTER INC FORMERLY CARTER HLDG 146229109 26 972 SH Sole 01 972 CATERPILLAR INC NOTES 149123BM2 6 5000 SH Sole 01 5000 CATERPILLAR INC COM 149123101 15 250 SH Sole 01 250 CBS CORP NEW CL B 124857202 14 1075 SH Sole 01 1075 CELGENE CORP COM 151020104 22 430 SH Sole 01 430 CEMEX S A B DE C V SPONS ADR NEW REP 151290889 21 2205 SH Sole 01 2205 CENTURY CASINOS INC COM 156492100 1 400 SH Sole 01 400 CEPHALON INC COM 156708109 6 100 SH Sole 01 100 CERNER CORP COM 156782104 18 233 SH Sole 01 233 CHARLES RIV LABORATORIES INTL 159864107 15 462 SH Sole 01 462 CHART INDS INC COM PAR $0.01 16115Q308 9 620 SH Sole 01 620 CHEVRON CORP NEW COM 166764100 48 700 SH Sole 01 700 CHINA NETWORKS INTERNATIONAL G21125110 1 92913 SH Sole 01 92913 CHINA PETROLEUM & CHEMICAL CORP ADS 16941R108 18 220 SH Sole 01 220 CHINA TOPREACH INC UNITS CONS 1 G21117125 4 1200 SH Sole 01 1200 CHINA UNICOM (HONG KONG) LIMITED ADR 16945R104 7 500 SH Sole 01 500 CHIPOTLE MEXICAN GRILL INC 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SH Sole 01 500 POWERSHARES EXCHANGE TRADED FD TR DYNAMIC 73935X856 7 409 SH Sole 01 409 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936G308 183 9464 SH Sole 01 9464 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T565 341 25135 SH Sole 01 25135 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T573 28 1087 SH Sole 01 1087 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T615 4 365 SH Sole 01 365 POWERSHARES GLOBAL EXCHANGE TRADED FD 73936T755 270 9468 SH Sole 01 9468 POWERSHARES INDIA EXCHANGE TRADED FD 73935L100 11 505 SH Sole 01 505 POWERSHARES MENA FRONTIER COUNTRIES 73936Q603 2 192 SH Sole 01 192 POWERSHARES QQQ TR UNIT SER 1 73935A104 256 5984 SH Sole 01 5984 PRAXAIR INC COM 74005P104 25 320 SH Sole 01 320 PRESIDENTIAL RLTY CORP NEW CL A 741004105 0 200 SH Sole 01 200 PRIVATE MEDIA GROUP INC COM NEW 74266R302 1 817 SH Sole 01 817 PROCTER & GAMBLE CO COM 742718109 36 595 SH Sole 01 595 PROSHARES ULTRASHORT RUSSELL 74347R834 3 150 SH Sole 01 150 PROSHARES TR PROSHARES ULTRASHORT 74347R883 5 125 SH Sole 01 125 PROSHARES TR ULTRASHORT REAL 74347X583 1 40 SH Sole 01 40 PROSHARES TRUST SHORT DOW 30 74347R701 4 75 SH Sole 01 75 PROSHARES ULTRA S&P 500 PROSHARES 74347R107 0 0 SH Sole 01 0 PROSHARES ULTRA DOW 30 PROSHARES 74347R305 4 100 SH Sole 01 100 PROSHARES ULTRA SHORT FINLS 74347R628 4 175 SH Sole 01 175 PROSHARES ULTRA SHORT 30 FD 74347R867 4 125 SH Sole 01 125 PROSHARES ULTRA SHORT 100 FD 74347R875 3 125 SH Sole 01 125 PROVIDENT NEW YORK BANCORP COM 744028101 1 100 SH Sole 01 100 PUBLIC STORAGE MARYLAND 74460D380 23 1000 SH Sole 01 1000 PURPLE COMMUNICATIONS INC 746389105 0 400 SH Sole 01 400 PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 16 2554 SH Sole 01 2554 PUTNAM PREMIER INC TR SH BEN INT 746853100 32 5011 SH Sole 01 5011 QUALCOMM INC COM 747525103 61 1881 SH Sole 01 1881 QWEST COMM INTL INC COM 749121109 1 150 SH Sole 01 150 RADIOSHACK CORP COM 750438103 11 550 SH Sole 01 550 RANGE RESOURCES CORP 75281A109 10 241 SH Sole 01 241 RAYONIER INC COM 754907103 31 700 SH Sole 01 700 RAYTHEON CO COM NEW ISIN #US7551115071 755111507 24 500 SH Sole 01 500 REALNETWORKS INC COM 75605L104 3 1000 SH Sole 01 1000 RELIANCE STEEL AND ALUMINUM CO 759509102 11 303 SH Sole 01 303 RESEARCH IN MOTION LTD 760975102 5 100 SH Sole 01 100 RESMED INC COM 761152107 16 258 SH Sole 01 258 RHODE ISLAND HSG & MTG FIN CORP 7622123H9 128 125000 SH Sole 01 125000 RHODE ISLAND HSG & MTG FIN CORP HOME 76221RGB3 96 95000 SH Sole 01 95000 RICHLAND TWP PA GO BDS SER. 2010 764210GH7 154 150000 SH Sole 01 150000 RIO TINTO ADR EACH REP 1 ORD 767204100 9 200 SH Sole 01 200 RITE AID CORP COM 767754104 1 1100 SH Sole 01 1100 RIVIERA HOLDINGS CORP 769627100 0 1200 SH Sole 01 1200 ROPER INDS INC COM 776696106 30 545 SH Sole 01 545 ROSS STORES INC COM 778296103 27 497 SH Sole 01 497 ROYAL CARIBBEAN CRUISES COM STK V7780T103 23 1000 SH Sole 01 1000 ROYAL DUTCH SHELL ADR EA REP 2 CL A 780259206 16 310 SH Sole 01 310 RRI ENERGY INC COM N/C FROM 75952B105 74971X107 1 300 SH Sole 01 300 RUBICON MINERALS CORP COM NPV 780911103 8 2350 SH Sole 01 2350 RXI PHARMACEUTICALS CORP COM 74978T109 9 3298 SH Sole 01 3298 RYDER SYSTEM INC COM 783549108 2 50 SH Sole 01 50 S1 CORP COM 78463B101 1 200 SH Sole 01 200 SAFEGUARD SCIENTIFICS INC COM 786449207 2 200 SH Sole 01 200 SANDISK CORP COM 80004C101 4 100 SH Sole 01 100 SANOFI-AVENTIS SPON ADR ECH REP 1/2 ORD 80105N105 15 525 SH Sole 01 525 SAPPHIRE IND CORP UTS 803ESC995 0 10951 SH Sole 01 10951 SARA LEE CORP COM 803111103 1 50 SH Sole 01 50 SCHLUMBERGER LTD ISIN #AN8068571086 806857108 168 3035 SH Sole 01 3035 SCHWAB CHARLES CORP NEW 808513105 4 309 SH Sole 01 309 SCIENT INC COM NEW 808649305 0 28 SH Sole 01 28 SECTOR SPDR TR SHS BEN INT ENERGY 81369Y506 25 500 SH Sole 01 500 SECTOR SPDR TR SHS BEN INT FINANCIAL 81369Y605 8 550 SH Sole 01 550 SEI INVESTMENT CO FRMLY SEI CORP 784117103 25 1244 SH Sole 01 1244 SELECT SECTOR SPDR TR HEALTH CARE 81369Y209 304 10771 SH Sole 01 10771 SEMPRA ENERGY COM 816851109 23 500 SH Sole 01 500 SHELL INTERNATIONAL FIN NOTE 822582AQ5 5 5000 SH Sole 01 5000 SICHUAN EXPRESSWAY CO H CNY1 Y79325109 0 1 SH Sole 01 1 SIEMENS AG ADR-EACH CNV INTO 1 ORD NPV 826197501 15 170 SH Sole 01 170 SIERRA WIRELESS INC COM STK NPV 826516106 1 100 SH Sole 01 100 SIGMA ALDRICH CORP COM 826552101 8 159 SH Sole 01 159 SIGNATURE BK NEW YORK N Y 82669G104 6 150 SH Sole 01 150 SIMON PROPERTY GROUP LP NOTE 828807CD7 5 5000 SH Sole 01 5000 SINGAPORE EXCHANGE NPV Y79946102 5 900 SH Sole 01 900 SIRIUS XM RADIO INC COM 82967N108 11 11550 SH Sole 01 11550 SMART MODULAR TECHNOLOGIES WWH INC G82245104 1 250 SH Sole 01 250 SMUCKER J M CO NEW COM 832696405 26 435 SH Sole 01 435 SOAPSTONE NETWORKS INC COM 833570104 0 950 SH Sole 01 950 SOCIETE GENERALE SPON ADR-EACH 5 CNV 83364L109 11 1330 SH Sole 01 1330 SOLAR CAP LTD COM COM 83413U100 842 43700 SH Sole 01 43700 SONUS NETWORKS INC COM 835916107 2 800 SH Sole 01 800 SONY CORP ADR-EACH CNV INTO 1 ORD NPV 835699307 10 390 SH Sole 01 390 SOUTH CAROLINA ST HSG FIN & DEV 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TREAS BD ETF 78464A516 2725 50254 SH Sole 01 50254 SPECTRA ENERGY CORP COM 847560109 10 500 SH Sole 01 500 SPORTS PPTYS ACQUISITION CORP COM 84920F990 0 49500 SH Sole 01 49500 STARBUCKS CORP COM 855244109 22 890 SH Sole 01 890 STATE BANCORP INC NY COM 855716106 1 150 SH Sole 01 150 STERICYCLE INC COM 858912108 14 212 SH Sole 01 212 STMICROELECTRONICS NY SHS-EACH REPR 1 861012102 12 1454 SH Sole 01 1454 STONELEIGH PARTNERS ACQUISITION CORP 861923126 0 46456 SH Sole 01 46456 STORA ENSO OYJ ADR EACH REP 1 SER R SHS 86210M106 8 1040 SH Sole 01 1040 STRAYER EDUCATION INC 863236105 12 56 SH Sole 01 56 SWIFT ENERGY CO COM 870738101 1 50 SH Sole 01 50 SWISS REINSURANCE COMPANY ADR-EACH 870887205 8 185 SH Sole 01 185 SYSTEMAX INC COM 871851101 2 150 SH Sole 01 150 T ROWE PRICE GROUP INC 74144T108 21 481 SH Sole 01 481 TAKE-TWO INTERACTIVE SOFTWRE 874054109 0 8 SH Sole 01 8 TARGET CORP COM 87612E106 22 445 SH Sole 01 445 TARGET CORP NT 87612EAP1 34 30000 SH Sole 01 30000 TARGETED GENETICS CORP COM NEW 87612M306 0 1000 SH Sole 01 1000 TARRAGON CORP NEV FORMERLY TARRAGON 876287103 0 2475 SH Sole 01 2475 TAX EXEMPT SECS TR UT SER 330 NY TR 105 876919390 3 45 SH Sole 01 45 TECH DATA CORP COM 878237106 2 60 SH Sole 01 60 TECHNICOLOR SPON ADR EACH REP 1 ORD 878520105 1 1000 SH Sole 01 1000 TELENOR AS SHS ISIN #NO0010063308 R21882106 25 2000 SH Sole 01 2000 TENNESSEE HSG DEV AGY HOMEOWNERSHIP 88045RHV7 127 125000 SH Sole 01 125000 TENNESSEE HSG DEV AGY REV BDS SER. 88045RPE6 160 150000 SH Sole 01 150000 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 13 250 SH Sole 01 250 TEXAS INSTRUMENTS INC 882508104 1 50 SH Sole 01 50 THERMO FISHER SCIENTIFIC INC 883556102 28 580 SH Sole 01 580 THERMOVIEW INDUSTRIES INC 883671505 0 400 SH Sole 01 400 THOMAS WEISEL PARTNERS GROUP INC 884481102 5 900 SH Sole 01 900 TIANJIN PORT DEVELOPMENT HDGS. G88680106 0 1 SH Sole 01 1 TIME WARNER CABLE INC COM 88732J207 50 956 SH Sole 01 956 TIME WARNER INC NEW COM NEW 887317303 129 4461 SH Sole 01 4461 TIVO INC COM 888706108 3 450 SH Sole 01 450 TJX COMPANIES INC COM 872540109 24 555 SH Sole 01 555 TNT NV SPONS ADR EACH REP 1ORD NLG1 87260W101 12 452 SH Sole 01 452 TORONTO-DOMINION BANK COM NPV 891160509 11 170 SH Sole 01 170 TOTAL ADR EACH REP 1 ORD SHS EUR10 89151E109 16 353 SH Sole 01 353 TRACTOR SUPPLY CO COM 892356106 16 254 SH Sole 01 254 TRANSCANADA CORP SR NT 893526DH3 5 5000 SH Sole 01 5000 TRANSOCEAN LTD ZUG NAMEN -AKT H8817H100 5 102 SH Sole 01 102 TRIAN ACQUISITION I U 895ESC994 0 113808 SH Sole 01 113808 TRIMBLE NAV LTD COM 896239100 11 396 SH Sole 01 396 TSR INC COM 872885108 0 100 SH Sole 01 100 TWO HBRS INVT CORP WT EXP 11/07/2013 90187B119 4 18208 SH Sole 01 18208 TYCO INTERNATIONAL LTD(SWITZERLAND) COM H89128104 33 935 SH Sole 01 935 U S TREAS SEC STRIPPED INT PMT 912833CY4 15 15000 SH Sole 01 15000 U S TREAS SEC STRIPPED INT PMT 912833DA5 50 50000 SH Sole 01 50000 U S TREAS SEC STRIPPED INT PMT 912833JV3 70 70000 SH Sole 01 70000 U S TREAS SEC STRIPPED INT PMT 912833KH2 9 10000 SH Sole 01 10000 UAL CORP COM PAR $0.01 902549500 0 100 SH Sole 01 100 UIB GROUP LIMITED UNITS CONS OF 1 ORD G91705122 0 1200 SH Sole 01 1200 ULTIMATE ESCAPES INC WT EXP 10/23/2011 90385N113 0 3200 SH Sole 01 3200 UNILEVER N V ISIN #US9047847093 904784709 25 900 SH Sole 01 900 UNILEVER PLC ADS-EA REPR 1 ORD 904767704 15 580 SH Sole 01 580 UNION PACIFIC CORP COM 907818108 5 70 SH Sole 01 70 UNITED PARCEL SVC INC CL B 911312106 7 120 SH Sole 01 120 UNITED STATES STEEL CORP 912909108 8 200 SH Sole 01 200 UNITED STATES TREAS NTS 912828CA6 5 5000 SH Sole 01 5000 UNITED STATES TREAS NTS 912828EN6 45 40000 SH Sole 01 40000 UNITED STATES TREAS NTS 912828FF2 47 40000 SH Sole 01 40000 UNITED STATES TREAS NTS 912828HZ6 44 40000 SH Sole 01 40000 UNITED STATES TREAS NTS 912828JH4 11 10000 SH Sole 01 10000 UNITED STATES TREAS NTS 912828KQ2 51 50000 SH Sole 01 50000 UNITED STATES TREAS NTS 912828LP3 31 30000 SH Sole 01 30000 UNITED STATES TREAS NTS 912828LY4 103 100000 SH Sole 01 100000 UNITED STATES TREAS NTS 912828MA5 41 40000 SH Sole 01 40000 UNITED STATES TREAS NTS 912828ML1 50 50000 SH Sole 01 50000 UNITED STATES TREAS NTS 912828MM9 75 75000 SH Sole 01 75000 UNITED STATES TREAS NTS 912828MQ0 126 125000 SH Sole 01 125000 UNITED STATES TREAS NTS 912828MV9 105 100000 SH Sole 01 100000 UNITED STATES TREAS NTS TIPS 912828BD1 94 75000 SH Sole 01 75000 UNITED STATES TREAS NTS 912828BW9 94 75000 SH Sole 01 75000 UNITED STATES TREAS TIPS 912828CP3 62 50000 SH Sole 01 50000 UNITED STATES TREAS NTS TIPS 912828DH0 60 50000 SH Sole 01 50000 UNITED STATES TREAS NTS 912828GN4 28 25000 SH Sole 01 25000 UNITED STATES TREAS NTS 912828KM1 349 325000 SH Sole 01 325000 UNITED STATES TREAS NTS 912828MY3 127 125000 SH Sole 01 125000 UNITED TECHNOLOGIES CORP 913017109 33 505 SH Sole 01 505 UNITEDHEALTH GROUP COM 91324P102 14 480 SH Sole 01 480 UPHONIA INC COM COM 91531B102 0 41 SH Sole 01 41 URBAN OUTFITTERS INC COM 917047102 9 271 SH Sole 01 271 USB CAPITAL VIII PFD 6.35% 903307205 24 1000 SH Sole 01 1000 UTAH HSG CORP SINGLE FAMILY MTG REV 917436N60 96 95000 SH Sole 01 95000 VAALCO ENERGY INC COM NEW 91851C201 4 800 SH Sole 01 800 VAIL RESORTS INC COM 91879Q109 11 325 SH Sole 01 325 VALEANT PHARMACEUTICALS 91911X104 37 718 SH Sole 01 718 VALLEY NATL BANCORP COM 919794107 0 5 SH Sole 01 5 VALUE PARTNERS GROUP LTD HKD0.10 G93175100 0 1 SH Sole 01 1 VANGUARD EMERGING MKTS VIPERS 922042858 184 4844 SH Sole 01 4844 VANGUARD INDEX FDS VANGUARD LARGE CAP 922908637 1645 35079 SH Sole 01 35079 VANGUARD INDEX FDS VANGUARD TOTAL STK 922908769 17 325 SH Sole 01 325 VANGUARD INTL EQUITY INDEX FD INC 922042866 303 6374 SH Sole 01 6374 VANGUARD SECTOR INDEX FDS VANGUARD 92204A504 29 583 SH Sole 01 583 VARIAN MEDICAL SYS INC 92220P105 15 298 SH Sole 01 298 VERIZON COMMUNICATIONS 92343VAV6 6 5000 SH Sole 01 5000 VERIZON COMMUNICATIONS 92343V104 87 3120 SH Sole 01 3120 VERIZON GLOBAL FDG CORP 92344GAW6 5 5000 SH Sole 01 5000 VERIZON PENN NOTES 92344TAA6 37 35000 SH Sole 01 35000 VERSAR INC COM 925297103 2 500 SH Sole 01 500 VERSO TECHNOLOGIES INC COM NEW 925317208 0 2600 SH Sole 01 2600 VERTEX PHARMACEUTCLS INC 92532F100 26 800 SH Sole 01 800 VIACOM INC NEW CL B 92553P201 33 1050 SH Sole 01 1050 VICON INDS INC COM 925811101 2 500 SH Sole 01 500 VINCI ADR EACH REPR 0.25 ORD EUR2.5 927320101 11 1075 SH Sole 01 1075 VISA INC COM CL A COM 92826C839 25 335 SH Sole 01 335 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W209 26 1270 SH Sole 01 1270 WABTEC COM 929740108 20 515 SH Sole 01 515 WADDELL & REED FINL CL A 930059100 21 950 SH Sole 01 950 WAL MART STORES INC NT 931142BZ5 35 35000 SH Sole 01 35000 WASHINGTON ST HSG FIN COMMN 93978XCB4 32 30000 SH Sole 01 30000 WATSCO INC COMMON CL A RECLASSIFIED AS 942622200 3 60 SH Sole 01 60 WEATHERFORD INTERNATIONAL H27013103 17 1276 SH Sole 01 1276 WEBMD HEALTH CORP CL A 94770V102 2 44 SH Sole 01 44 WELLS FARGO & CO NEW 949746101 31 1200 SH Sole 01 1200 WELLS FARGO CAPTL XV NOTES 949801AA2 706 660000 SH Sole 01 660000 WELLS FARGO COMPANY BOND 949746NX5 11 10000 SH Sole 01 10000 WENDYS ARBYS GROUP INC COM 950587105 6 1551 SH Sole 01 1551 WEST MARINE INC COM 954235107 10 900 SH Sole 01 900 WESTERN INTER MUNI FD INC COM 958435109 9 925 SH Sole 01 925 WESTERN UNION CO COM 959802109 18 1194 SH Sole 01 1194 WILLIAMS COS INC COM 969457100 1 50 SH Sole 01 50 WISDOMTREE EMERG MKTS EQUITY INCOME 97717W315 3905 84819 SH Sole 01 84819 WISDOMTREE TR DEFA FD 97717W703 4598 119199 SH Sole 01 119199 WLG INC COM N/C FROM 931121107 92933F105 0 500 SH Sole 01 500 WORLDCOM INC GA (MCI GROUP) 98157D304 0 8 SH Sole 01 8 WORLDCOM INC GA NEW WORLDCOM GROUP COM 98157D106 0 4450 SH Sole 01 4450 WYOMING CMNTY DEV AUTH HSG REV HSG REV 98322PZG7 104 100000 SH Sole 01 100000 XOMA LTD COM STK USD0.0005 G9825R107 4 10000 SH Sole 01 10000 YAHOO INC COM 984332106 6 450 SH Sole 01 450 ZAP.COM CORP COM 989063102 0 10 SH Sole 01 10 ZHEJIANG EXPRESSWAY CO ADR EACH REPR 10 98951A100 0 3 SH Sole 01 3
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