0001085146-11-000501.txt : 20110428 0001085146-11-000501.hdr.sgml : 20110428 20110427215042 ACCESSION NUMBER: 0001085146-11-000501 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110428 DATE AS OF CHANGE: 20110427 EFFECTIVENESS DATE: 20110428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: National Planning Corp CENTRAL INDEX KEY: 0001492262 IRS NUMBER: 383023534 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13971 FILM NUMBER: 11785251 BUSINESS ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 888-711-6720 MAIL ADDRESS: STREET 1: 401 WILSHIRE BLVD STREET 2: SUITE 1100 CITY: SANTA MONICA STATE: CA ZIP: 90401 13F-HR 1 npc1q11.txt NATIONAL PLANNING CORPORATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 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 Planning Corporation Address: 401 Wilshire Boulevard, Suite 1100 Santa Monica, CA 90401 13F File Number: 028-13971 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: Sean Haley Title: Chief Compliance Officer Phone: (310)-899-7813 Signature, Place, and Date of Signing: /s/ Sean Haley Santa Monica, CA April 12, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 414 Form 13F Information Table Value Total: $566,726 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. 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 SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 2290 24495 SH SOLE 0 0 24495 ABBOTT LABS COM 002824100 694 14158 SH SOLE 0 0 14158 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1248 179022 SH SOLE 0 0 179022 ABERDEEN GLOBAL INCOME FD IN COM 003013109 150 12000 SH SOLE 0 0 12000 ABRAXAS PETE CORP COM 003830106 268 44671 SH SOLE 0 0 44671 ADVISORSHARES TR CAMBRIA GL TAC 00768Y800 369 14153 SH SOLE 0 0 14153 AGIC CONV & INCOME FD COM 001190107 418 38556 SH SOLE 0 0 38556 AGNICO EAGLE MINES LTD COM 008474108 710 10695 SH SOLE 0 0 10695 ALCOA INC COM 013817101 963 54140 SH SOLE 0 0 54140 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1896 126500 SH SOLE 0 0 126500 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 479 61579 SH SOLE 0 0 61579 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 138 10542 SH SOLE 0 0 10542 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 72 10062 SH SOLE 0 0 10062 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 3337 543083 SH SOLE 0 0 543083 ALTRIA GROUP INC COM 02209S103 1698 65051 SH SOLE 0 0 65051 AMERICAN CAPITAL AGENCY CORP COM 02503X105 230 7973 SH SOLE 0 0 7973 AMERICAN EXPRESS CO COM 025816109 241 5345 SH SOLE 0 0 5345 AMERICAN SELECT PORTFOLIO IN COM 029570108 573 56100 SH SOLE 0 0 56100 AMERIGAS PARTNERS L P UNIT L P INT 030975106 320 6696 SH SOLE 0 0 6696 ANNALY CAP MGMT INC COM 035710409 7570 436440 SH SOLE 0 0 436440 ANWORTH MORTGAGE ASSET CP COM 037347101 692 96600 SH SOLE 0 0 96600 APOLLO INVT CORP COM 03761U106 559 46500 SH SOLE 0 0 46500 APPLE INC COM 037833100 1164 3347 SH SOLE 0 0 3347 ARES CAP CORP COM 04010L103 303 18116 SH SOLE 0 0 18116 AT&T INC COM 00206R102 4139 135648 SH SOLE 0 0 135648 ATLANTIC PWR CORP COM NEW 04878Q863 1695 112700 SH SOLE 0 0 112700 AVALONBAY CMNTYS INC COM 053484101 299 2503 SH SOLE 0 0 2503 BANK OF AMERICA CORPORATION COM 060505104 916 68789 SH SOLE 0 0 68789 BAYTEX ENERGY CORP COM 07317Q105 359 6150 SH SOLE 0 0 6150 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 863 10282 SH SOLE 0 0 10282 BHP BILLITON LTD SPONSORED ADR 088606108 209 2150 SH SOLE 0 0 2150 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 75 10200 SH SOLE 0 0 10200 BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 167 11900 SH SOLE 0 0 11900 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1964 105295 SH SOLE 0 0 105295 BLACKROCK KELSO CAPITAL CORP COM 092533108 236 23464 SH SOLE 0 0 23464 BLACKROCK MUNICIPL INC QLTY COM 092479104 268 20750 SH SOLE 0 0 20750 BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 442 36800 SH SOLE 0 0 36800 BLACKROCK STRTGC BOND TR COM 09249G106 560 42868 SH SOLE 0 0 42868 BOEING CO COM 097023105 867 11698 SH SOLE 0 0 11698 BP PLC SPONSORED ADR 055622104 584 13227 SH SOLE 0 0 13227 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 840 6991 SH SOLE 0 0 6991 BRISTOL MYERS SQUIBB CO COM 110122108 345 12969 SH SOLE 0 0 12969 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 402 6306 SH SOLE 0 0 6306 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 123 12630 SH SOLE 0 0 12630 CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 240 11300 SH SOLE 0 0 11300 CAPITAL PRODUCT PARTNERS L P COM UNIT LP Y11082107 562 52800 SH SOLE 0 0 52800 CATERPILLAR INC DEL COM 149123101 1385 12495 SH SOLE 0 0 12495 CENTRAL FD CDA LTD CL A 153501101 12275 549104 SH SOLE 0 0 549104 CHART INDS INC COM PAR $0.01 16115Q308 426 7700 SH SOLE 0 0 7700 CHESAPEAKE ENERGY CORP COM 165167107 579 17241 SH SOLE 0 0 17241 CHEVRON CORP NEW COM 166764100 23867 222170 SH SOLE 0 0 222170 CHIMERA INVT CORP COM 16934Q109 1978 494332 SH SOLE 0 0 494332 CHINA DIRECT INDS INC COM NEW 169384203 14 10000 SH SOLE 0 0 10000 CIRRUS LOGIC INC COM 172755100 279 13300 SH SOLE 0 0 13300 CISCO SYS INC COM 17275R102 2116 123504 SH SOLE 0 0 123504 CITIGROUP INC COM 172967101 368 83989 SH SOLE 0 0 83989 CLAYMORE EXCHANGE-TRADED FD GUGG BRIC ETF 18383M100 1686 35493 SH SOLE 0 0 35493 CLOROX CO DEL COM 189054109 493 7014 SH SOLE 0 0 7014 COHEN & STEERS CLOSED END OP COM 19248P106 203 14943 SH SOLE 0 0 14943 COLGATE PALMOLIVE CO COM 194162103 345 4287 SH SOLE 0 0 4287 CONOCOPHILLIPS COM 20825C104 831 10371 SH SOLE 0 0 10371 CONSOLIDATED EDISON INC COM 209115104 1267 25140 SH SOLE 0 0 25140 CONSTELLATION ENERGY GROUP I COM 210371100 253 8140 SH SOLE 0 0 8140 CORE LABORATORIES N V COM N22717107 336 3300 SH SOLE 0 0 3300 CSX CORP COM 126408103 356 4515 SH SOLE 0 0 4515 CUMMINS INC COM 231021106 335 3065 SH SOLE 0 0 3065 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 4927 47354 SH SOLE 0 0 47354 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 387 3566 SH SOLE 0 0 3566 DEERE & CO COM 244199105 360 3715 SH SOLE 0 0 3715 DIAMOND OFFSHORE DRILLING IN COM 25271C102 478 6160 SH SOLE 0 0 6160 DIGITAL RIV INC COM 25388B104 296 8000 SH SOLE 0 0 8000 DISNEY WALT CO COM DISNEY 254687106 741 17161 SH SOLE 0 0 17161 DNP SELECT INCOME FD COM 23325P104 369 38830 SH SOLE 0 0 38830 DOMINION RES INC VA NEW COM 25746U109 547 12214 SH SOLE 0 0 12214 DOW CHEM CO COM 260543103 1297 34320 SH SOLE 0 0 34320 DU PONT E I DE NEMOURS & CO COM 263534109 508 9292 SH SOLE 0 0 9292 DUKE ENERGY CORP NEW COM 26441C105 521 28763 SH SOLE 0 0 28763 EATON CORP COM 278058102 453 8204 SH SOLE 0 0 8204 EATON VANCE LTD DUR INCOME F COM 27828H105 453 28356 SH SOLE 0 0 28356 EATON VANCE SR FLTNG RTE TR COM 27828Q105 780 47360 SH SOLE 0 0 47360 EATON VANCE SR INCOME TR SH BEN INT 27826S103 156 20900 SH SOLE 0 0 20900 EATON VANCE TAX ADVT DIV INC COM 27828G107 4128 233000 SH SOLE 0 0 233000 EATON VANCE TXMGD GL BUYWR O COM 27829C105 298 24465 SH SOLE 0 0 24465 EDISON INTL COM 281020107 596 16383 SH SOLE 0 0 16383 EGA EMERGING GLOBAL SHS TR DJ TITANS ETF 268461100 344 12542 SH SOLE 0 0 12542 EMERSON ELEC CO COM 291011104 221 3712 SH SOLE 0 0 3712 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 768 11875 SH SOLE 0 0 11875 ENDEAVOUR SILVER CORP COM 29258Y103 5941 603718 SH SOLE 0 0 603718 ENERGY INCOME & GROWTH FD COM 292697109 3030 104600 SH SOLE 0 0 104600 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1074 20698 SH SOLE 0 0 20698 ENERPLUS CORP COM 292766102 386 12160 SH SOLE 0 0 12160 ENTERPRISE PRODS PARTNERS L COM 293792107 2738 63389 SH SOLE 0 0 63389 ETFS GOLD TR SHS 26922Y105 414 2880 SH SOLE 0 0 2880 ETFS WHITE METALS BASKET TR PHY WM BSK SHS 26923B104 313 5060 SH SOLE 0 0 5060 EXCEL MARITIME CARRIERS LTD COM V3267N107 362 83700 SH SOLE 0 0 83700 EXCO RESOURCES INC COM 269279402 623 30800 SH SOLE 0 0 30800 EXELON CORP COM 30161N101 690 16731 SH SOLE 0 0 16731 EXXON MOBIL CORP COM 30231G102 5720 68074 SH SOLE 0 0 68074 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 2066 79568 SH SOLE 0 0 79568 FIFTH STREET FINANCE CORP COM 31678A103 1024 76828 SH SOLE 0 0 76828 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 212 8670 SH SOLE 0 0 8670 FIRST TR S&P REIT INDEX FD COM 33734G108 2051 131971 SH SOLE 0 0 131971 FIRST TR SR FLG RTE INCM FD COM 33733U108 1205 81215 SH SOLE 0 0 81215 FIRST TR VALUE LINE DIVID IN SHS 33734H106 251 15701 SH SOLE 0 0 15701 FIRSTENERGY CORP COM 337932107 415 11175 SH SOLE 0 0 11175 FORD MTR CO DEL COM PAR $0.01 345370860 2344 158021 SH SOLE 0 0 158021 FRANKLIN STREET PPTYS CORP COM 35471R106 208 14829 SH SOLE 0 0 14829 FREEPORT-MCMORAN COPPER & GO COM 35671D857 4041 72766 SH SOLE 0 0 72766 FRONTIER COMMUNICATIONS CORP COM 35906A108 373 47234 SH SOLE 0 0 47234 FULTON FINL CORP PA COM 360271100 264 23827 SH SOLE 0 0 23827 GABELLI EQUITY TR INC COM 362397101 103 17200 SH SOLE 0 0 17200 GABELLI GLB GLD NAT RES & IN COM SHS BN INT 36244N109 645 34584 SH SOLE 0 0 34584 GABELLI UTIL TR COM 36240A101 428 63797 SH SOLE 0 0 63797 GENERAL ELECTRIC CO COM 369604103 4376 218136 SH SOLE 0 0 218136 GENERAL MLS INC COM 370334104 283 7786 SH SOLE 0 0 7786 GENERAL MTRS CO COM 37045V100 707 22617 SH SOLE 0 0 22617 GENERAL MTRS CO JR PFD CNV SRB 37045V209 209 4320 SH SOLE 0 0 4320 GOLDCORP INC NEW COM 380956409 891 17862 SH SOLE 0 0 17862 GOLDMAN SACHS GROUP INC COM 38141G104 295 1832 SH SOLE 0 0 1832 GOOGLE INC CL A 38259P508 306 516 SH SOLE 0 0 516 GRAMERCY CAP CORP COM 384871109 494 123500 SH SOLE 0 0 123500 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 1437 40840 SH SOLE 0 0 40840 HANCOCK JOHN INV TRUST TAX ADV GLB SH 41013P749 185 13850 SH SOLE 0 0 13850 HANCOCK JOHN PFD INCOME FD I COM 41013X106 348 18075 SH SOLE 0 0 18075 HARSCO CORP COM 415864107 266 7546 SH SOLE 0 0 7546 HEALTH CARE REIT INC COM 42217K106 684 13159 SH SOLE 0 0 13159 HEALTHCARE SVCS GRP INC COM 421906108 605 33876 SH SOLE 0 0 33876 HERSHA HOSPITALITY TR SH BEN INT A 427825104 68 11400 SH SOLE 0 0 11400 HITACHI LIMITED ADR 10 COM 433578507 480 9300 SH SOLE 0 0 9300 HOME DEPOT INC COM 437076102 263 7048 SH SOLE 0 0 7048 ING CLARION GLB RE EST INCM COM 44982G104 279 34637 SH SOLE 0 0 34637 ING PRIME RATE TR SH BEN INT 44977W106 558 91917 SH SOLE 0 0 91917 INLAND REAL ESTATE CORP COM NEW 457461200 363 37270 SH SOLE 0 0 37270 INTEL CORP COM 458140100 883 43905 SH SOLE 0 0 43905 INTERDIGITAL INC COM 45867G101 257 5350 SH SOLE 0 0 5350 INTERNATIONAL BUSINESS MACHS COM 459200101 3040 18684 SH SOLE 0 0 18684 INVESCO MORTGAGE CAPITAL INC COM 46131B100 624 28468 SH SOLE 0 0 28468 INVESTORS REAL ESTATE TR SH BEN INT 461730103 2063 216309 SH SOLE 0 0 216309 ISHARES GOLD TRUST ISHARES 464285105 195 13950 SH SOLE 0 0 13950 ISHARES INC MSCI BRAZIL 464286400 1702 21815 SH SOLE 0 0 21815 ISHARES INC MSCI BRIC INDX 464286657 3866 77007 SH SOLE 0 0 77007 ISHARES SILVER TRUST ISHARES 46428Q109 3463 94525 SH SOLE 0 0 94525 ISHARES TR LRGE GRW INDX 464287119 240 3510 SH SOLE 0 0 3510 ISHARES TR DJ SEL DIV INX 464287168 1072 20520 SH SOLE 0 0 20520 ISHARES TR BARCLYS TIPS BD 464287176 14463 132498 SH SOLE 0 0 132498 ISHARES TR TRANSP AVE IDX 464287192 297 3126 SH SOLE 0 0 3126 ISHARES TR S&P 500 INDEX 464287200 905 6777 SH SOLE 0 0 6777 ISHARES TR BARCLY USAGG B 464287226 8008 76143 SH SOLE 0 0 76143 ISHARES TR MSCI EMERG MKT 464287234 3320 68098 SH SOLE 0 0 68098 ISHARES TR IBOXX INV CPBD 464287242 3230 29930 SH SOLE 0 0 29930 ISHARES TR S&P GBL TELCM 464287275 573 9305 SH SOLE 0 0 9305 ISHARES TR S&P GBL INF 464287291 294 4688 SH SOLE 0 0 4688 ISHARES TR S&P500 GRW 464287309 4008 58450 SH SOLE 0 0 58450 ISHARES TR S&P GBL ENER 464287341 216 4876 SH SOLE 0 0 4876 ISHARES TR S&P NA NAT RES 464287374 846 18064 SH SOLE 0 0 18064 ISHARES TR S&P 500 VALUE 464287408 2566 40438 SH SOLE 0 0 40438 ISHARES TR BARCLYS 7-10 YR 464287440 1005 10790 SH SOLE 0 0 10790 ISHARES TR BARCLYS 1-3 YR 464287457 8620 103147 SH SOLE 0 0 103147 ISHARES TR MSCI EAFE INDEX 464287465 3124 51942 SH SOLE 0 0 51942 ISHARES TR RUSSELL MCP GR 464287481 392 6448 SH SOLE 0 0 6448 ISHARES TR RUSSELL MIDCAP 464287499 334 3050 SH SOLE 0 0 3050 ISHARES TR S&P MIDCAP 400 464287507 2551 25869 SH SOLE 0 0 25869 ISHARES TR COHEN&ST RLTY 464287564 1297 18453 SH SOLE 0 0 18453 ISHARES TR CONS SRVC IDX 464287580 325 4620 SH SOLE 0 0 4620 ISHARES TR RUSSELL1000VAL 464287598 302 4405 SH SOLE 0 0 4405 ISHARES TR S&P MC 400 GRW 464287606 1454 13084 SH SOLE 0 0 13084 ISHARES TR RUSSELL1000GRW 464287614 371 6171 SH SOLE 0 0 6171 ISHARES TR RUSSELL 1000 464287622 678 9179 SH SOLE 0 0 9179 ISHARES TR RUSL 2000 VALU 464287630 690 9147 SH SOLE 0 0 9147 ISHARES TR RUSL 2000 GROW 464287648 1458 15328 SH SOLE 0 0 15328 ISHARES TR RUSSELL 2000 464287655 2780 33000 SH SOLE 0 0 33000 ISHARES TR RUSL 3000 VALU 464287663 322 3559 SH SOLE 0 0 3559 ISHARES TR RUSL 3000 GROW 464287671 231 4683 SH SOLE 0 0 4683 ISHARES TR RUSSELL 3000 464287689 541 6861 SH SOLE 0 0 6861 ISHARES TR S&P MIDCP VALU 464287705 310 3606 SH SOLE 0 0 3606 ISHARES TR DJ US TECH SEC 464287721 307 4592 SH SOLE 0 0 4592 ISHARES TR DJ US REAL EST 464287739 590 9893 SH SOLE 0 0 9893 ISHARES TR DJ US ENERGY 464287796 1150 25360 SH SOLE 0 0 25360 ISHARES TR S&P SMLCAP 600 464287804 1414 19211 SH SOLE 0 0 19211 ISHARES TR DJ US BAS MATL 464287838 1067 13085 SH SOLE 0 0 13085 ISHARES TR S&P SMLCP VALU 464287879 756 9972 SH SOLE 0 0 9972 ISHARES TR S&P SMLCP GROW 464287887 2937 37055 SH SOLE 0 0 37055 ISHARES TR LARGE VAL INDX 464288109 2807 43955 SH SOLE 0 0 43955 ISHARES TR S&P CITINT TBD 464288117 287 2673 SH SOLE 0 0 2673 ISHARES TR S&P SH NTL AMTFR 464288158 270 2586 SH SOLE 0 0 2586 ISHARES TR MID CORE INDEX 464288208 360 3963 SH SOLE 0 0 3963 ISHARES TR S&P EMRG INFRS 464288216 247 6885 SH SOLE 0 0 6885 ISHARES TR S&P NUCIDX ETF 464288232 227 5500 SH SOLE 0 0 5500 ISHARES TR JPMORGAN USD 464288281 2981 27969 SH SOLE 0 0 27969 ISHARES TR S&P NTL AMTFREE 464288414 321 3216 SH SOLE 0 0 3216 ISHARES TR HIGH YLD CORP 464288513 10756 117226 SH SOLE 0 0 117226 ISHARES TR BARCLYS MBS BD 464288588 588 5548 SH SOLE 0 0 5548 ISHARES TR BARCLYS 1-3YR CR 464288646 7861 75354 SH SOLE 0 0 75354 ISHARES TR BARCLYS 3-7 YR 464288661 831 7263 SH SOLE 0 0 7263 ISHARES TR US PFD STK IDX 464288687 3810 95968 SH SOLE 0 0 95968 ISHARES TR DJ OIL EQUIP 464288844 372 5564 SH SOLE 0 0 5564 ISHARES TR DJ OIL&GAS EXP 464288851 1459 19726 SH SOLE 0 0 19726 ISHARES TR RSSL MCRCP IDX 464288869 743 13889 SH SOLE 0 0 13889 ISHARES TR MSCI VAL IDX 464288877 398 7536 SH SOLE 0 0 7536 ISHARES TR RUS200 VAL IDX 464289420 1658 56152 SH SOLE 0 0 56152 JOHNSON & JOHNSON COM 478160104 1959 33024 SH SOLE 0 0 33024 JOY GLOBAL INC COM 481165108 383 3861 SH SOLE 0 0 3861 JPMORGAN CHASE & CO COM 46625H100 1111 24079 SH SOLE 0 0 24079 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 9951 261538 SH SOLE 0 0 261538 KEEGAN RES INC COM 487275109 2088 241614 SH SOLE 0 0 241614 KELLOGG CO COM 487836108 408 7565 SH SOLE 0 0 7565 KIMBER RES INC COM 49435N101 5476 3257261 SH SOLE 0 0 3257261 KIMBERLY CLARK CORP COM 494368103 258 3926 SH SOLE 0 0 3926 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2111 28572 SH SOLE 0 0 28572 KINROSS GOLD CORP COM NO PAR 496902404 213 13360 SH SOLE 0 0 13360 KKR FINANCIAL HLDGS LLC COM 48248A306 3567 357850 SH SOLE 0 0 357850 KRAFT FOODS INC CL A 50075N104 376 11953 SH SOLE 0 0 11953 LEGACY RESERVES LP UNIT LP INT 524707304 207 6640 SH SOLE 0 0 6640 LIMELIGHT NETWORKS INC COM 53261M104 315 45000 SH SOLE 0 0 45000 LINN ENERGY LLC UNIT LTD LIAB 536020100 352 9125 SH SOLE 0 0 9125 LOWES COS INC COM 548661107 221 8396 SH SOLE 0 0 8396 LTC PPTYS INC COM 502175102 334 11668 SH SOLE 0 0 11668 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 742 13309 SH SOLE 0 0 13309 MARKET VECTORS ETF TR COAL ETF 57060U837 907 17955 SH SOLE 0 0 17955 MCDONALDS CORP COM 580135101 525 6841 SH SOLE 0 0 6841 MEDTRONIC INC COM 585055106 681 17073 SH SOLE 0 0 17073 MERCK & CO INC NEW COM 58933Y105 2163 65464 SH SOLE 0 0 65464 METALICO INC COM 591176102 62 10200 SH SOLE 0 0 10200 MFS INTER INCOME TR SH BEN INT 55273C107 243 40200 SH SOLE 0 0 40200 MFS MUN INCOME TR SH BEN INT 552738106 621 97700 SH SOLE 0 0 97700 MGM RESORTS INTERNATIONAL COM 552953101 270 20719 SH SOLE 0 0 20719 MICROSOFT CORP COM 594918104 1621 63624 SH SOLE 0 0 63624 MINEFINDERS LTD COM 602900102 1771 134765 SH SOLE 0 0 134765 MONSANTO CO NEW COM 61166W101 310 4362 SH SOLE 0 0 4362 NALCO HOLDING COMPANY COM 62985Q101 270 9925 SH SOLE 0 0 9925 NATIONAL GRID PLC SPON ADR NEW 636274300 201 4150 SH SOLE 0 0 4150 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 462 22781 SH SOLE 0 0 22781 NEUBERGER BERMAN HGH YLD FD COM 64128C106 1084 75607 SH SOLE 0 0 75607 NEW AMER HIGH INCOME FD INC COM NEW 641876800 200 19798 SH SOLE 0 0 19798 NORTHROP GRUMMAN CORP COM 666807102 269 4277 SH SOLE 0 0 4277 NUSTAR ENERGY LP UNIT COM 67058H102 424 6274 SH SOLE 0 0 6274 NUVEEN INSD MUN OPPORTUNITY COM 670984103 316 23370 SH SOLE 0 0 23370 NUVEEN INSD QUALITY MUN FD I COM 67062N103 172 13876 SH SOLE 0 0 13876 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 128 10226 SH SOLE 0 0 10226 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 156 11640 SH SOLE 0 0 11640 NUVEEN PREM INCOME MUN FD COM 67062T100 152 11920 SH SOLE 0 0 11920 NUVEEN QUALITY PFD INCOME FD COM 67072C105 270 32431 SH SOLE 0 0 32431 O REILLY AUTOMOTIVE INC NEW COM 67103H107 2253 39175 SH SOLE 0 0 39175 OCCIDENTAL PETE CORP DEL COM 674599105 370 3536 SH SOLE 0 0 3536 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 528 3300 SH SOLE 0 0 3300 OMEGA HEALTHCARE INVS INC COM 681936100 651 29280 SH SOLE 0 0 29280 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 506 6170 SH SOLE 0 0 6170 ORACLE CORP COM 68389X105 353 10583 SH SOLE 0 0 10583 OSSEN INNOVATION CO LTD SPONSORED ADR 688410109 102 28950 SH SOLE 0 0 28950 PACER INTL INC TENN COM 69373H106 141 25500 SH SOLE 0 0 25500 PARAMOUNT GOLD & SILVER CORP COM 69924P102 108 27000 SH SOLE 0 0 27000 PEABODY ENERGY CORP COM 704549104 491 6807 SH SOLE 0 0 6807 PENGROWTH ENERGY CORP COM 70706P104 1967 140870 SH SOLE 0 0 140870 PENN VA RESOURCES PARTNERS L COM 707884102 857 30856 SH SOLE 0 0 30856 PENN WEST PETE LTD NEW COM 707887105 1612 58261 SH SOLE 0 0 58261 PEPSICO INC COM 713448108 1303 20237 SH SOLE 0 0 20237 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 475 11874 SH SOLE 0 0 11874 PFIZER INC COM 717081103 688 33947 SH SOLE 0 0 33947 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 1032 15600 SH SOLE 0 0 15600 PHILIP MORRIS INTL INC COM 718172109 677 10207 SH SOLE 0 0 10207 PHOENIX COS INC NEW COM 71902E109 409 144100 SH SOLE 0 0 144100 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 1908 98448 SH SOLE 0 0 98448 PIMCO CORPORATE INCOME FD COM 72200U100 336 20400 SH SOLE 0 0 20400 PIMCO CORPORATE OPP FD COM 72201B101 535 25770 SH SOLE 0 0 25770 PIMCO ETF TR BLD AMER BD FD 72201R825 792 16926 SH SOLE 0 0 16926 PIMCO GLOBAL STOCKSPLS INCM COM 722011103 1684 69122 SH SOLE 0 0 69122 PIMCO HIGH INCOME FD COM SHS 722014107 2684 190769 SH SOLE 0 0 190769 PIMCO INCOME OPPORTUNITY FD COM 72202B100 4525 165466 SH SOLE 0 0 165466 PIMCO INCOME STRATEGY FUND COM 72201H108 637 52725 SH SOLE 0 0 52725 PIMCO MUN INCOME FD II COM 72200W106 2668 264388 SH SOLE 0 0 264388 PIONEER HIGH INCOME TR COM 72369H106 269 16150 SH SOLE 0 0 16150 PIONEER MUN HIGH INCOME TR COM SHS 723763108 586 45000 SH SOLE 0 0 45000 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 470 7337 SH SOLE 0 0 7337 POTASH CORP SASK INC COM 73755L107 440 7500 SH SOLE 0 0 7500 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 825 27037 SH SOLE 0 0 27037 POWERSHARES ETF TR II EMRG MKTS INFR 73937B209 207 3872 SH SOLE 0 0 3872 POWERSHARES ETF TR II BUILD AMER ETF 73937B407 1269 50307 SH SOLE 0 0 50307 POWERSHARES ETF TRUST S&P 500 HGH QLTY 73935X682 1671 118966 SH SOLE 0 0 118966 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 326 16593 SH SOLE 0 0 16593 POWERSHARES ETF TRUST DYN NETWKG PRT 73935X815 291 10495 SH SOLE 0 0 10495 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 3462 134250 SH SOLE 0 0 134250 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 13893 749980 SH SOLE 0 0 749980 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 814 57060 SH SOLE 0 0 57060 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 678 25770 SH SOLE 0 0 25770 POWERSHARES GLOBAL ETF TRUST EMER MRKT PORT 73936T763 424 16168 SH SOLE 0 0 16168 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4163 72600 SH SOLE 0 0 72600 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 244 7736 SH SOLE 0 0 7736 POWERSHS DB MULTI SECT COMM DB SILVER FUND 73936B309 292 4413 SH SOLE 0 0 4413 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 2983 87354 SH SOLE 0 0 87354 PPL CORP COM 69351T106 237 9364 SH SOLE 0 0 9364 PROCTER & GAMBLE CO COM 742718109 12431 201995 SH SOLE 0 0 201995 PROSHARES TR PSHS SHTFINL ETF 74347R230 4025 114418 SH SOLE 0 0 114418 PROSHARES TR SHRT 20+YR TRE 74347X849 1861 41955 SH SOLE 0 0 41955 PROSPECT CAPITAL CORPORATION COM 74348T102 2808 231900 SH SOLE 0 0 231900 PROVIDENT ENERGY LTD NEW COM 74386V100 2374 255305 SH SOLE 0 0 255305 PUBLIC STORAGE COM 74460D109 379 3409 SH SOLE 0 0 3409 PUBLIC SVC ENTERPRISE GROUP COM 744573106 338 10762 SH SOLE 0 0 10762 PUDA COAL INC COM PAR $.001 744674300 259 21000 SH SOLE 0 0 21000 PUTNAM MANAGED MUN INCOM TR COM 746823103 120 17517 SH SOLE 0 0 17517 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 252 42405 SH SOLE 0 0 42405 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 476 73824 SH SOLE 0 0 73824 QUALCOMM INC COM 747525103 373 6867 SH SOLE 0 0 6867 QUICKLOGIC CORP COM 74837P108 775 155000 SH SOLE 0 0 155000 QWEST COMMUNICATIONS INTL IN COM 749121109 169 25036 SH SOLE 0 0 25036 RACKSPACE HOSTING INC COM 750086100 462 11000 SH SOLE 0 0 11000 RAYONIER INC COM 754907103 263 4215 SH SOLE 0 0 4215 REALTY INCOME CORP COM 756109104 269 7840 SH SOLE 0 0 7840 ROYAL BK SCOTLAND N V TRENDPILOT ETN 78009L308 831 30470 SH SOLE 0 0 30470 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 308 4198 SH SOLE 0 0 4198 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 758 10388 SH SOLE 0 0 10388 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 1500 29751 SH SOLE 0 0 29751 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 4804 103367 SH SOLE 0 0 103367 RYDEX ETF TRUST MATERIALS ETF 78355W825 448 6736 SH SOLE 0 0 6736 SABINE ROYALTY TR UNIT BEN INT 785688102 641 10585 SH SOLE 0 0 10585 SCHLUMBERGER LTD COM 806857108 776 8302 SH SOLE 0 0 8302 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 740 23193 SH SOLE 0 0 23193 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 3346 89926 SH SOLE 0 0 89926 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 206 6910 SH SOLE 0 0 6910 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 295 7538 SH SOLE 0 0 7538 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2273 28413 SH SOLE 0 0 28413 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 307 18633 SH SOLE 0 0 18633 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 361 13976 SH SOLE 0 0 13976 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 475 14870 SH SOLE 0 0 14870 SEMPRA ENERGY COM 816851109 237 4438 SH SOLE 0 0 4438 SHERWIN WILLIAMS CO COM 824348106 209 2491 SH SOLE 0 0 2491 SIEMENS A G SPONSORED ADR 826197501 581 4210 SH SOLE 0 0 4210 SILVER STD RES INC COM 82823L106 1539 48838 SH SOLE 0 0 48838 SILVER WHEATON CORP COM 828336107 12691 292571 SH SOLE 0 0 292571 SILVERCORP METALS INC COM 82835P103 2586 177819 SH SOLE 0 0 177819 SKYWORKS SOLUTIONS INC COM 83088M102 211 6547 SH SOLE 0 0 6547 SOMAXON PHARMACEUTICALS INC COM 834453102 240 80000 SH SOLE 0 0 80000 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 10432 84791 SH SOLE 0 0 84791 SPDR GOLD TRUST GOLD SHS 78463V107 5655 40377 SH SOLE 0 0 40377 SPDR INDEX SHS FDS S&P BRIC 40ETF 78463X798 438 14885 SH SOLE 0 0 14885 SPDR S&P 500 ETF TR TR UNIT 78462F103 9170 69198 SH SOLE 0 0 69198 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2449 13624 SH SOLE 0 0 13624 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 472 6980 SH SOLE 0 0 6980 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 685 20995 SH SOLE 0 0 20995 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 9364 231280 SH SOLE 0 0 231280 SPDR SERIES TRUST DB INT GVT ETF 78464A490 628 10351 SH SOLE 0 0 10351 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 947 15904 SH SOLE 0 0 15904 SPDR SERIES TRUST DJ REIT ETF 78464A607 336 5274 SH SOLE 0 0 5274 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 565 10242 SH SOLE 0 0 10242 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 315 5863 SH SOLE 0 0 5863 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 999 19696 SH SOLE 0 0 19696 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 303 4726 SH SOLE 0 0 4726 SPDR SERIES TRUST S&P DIVID ETF 78464A763 596 10985 SH SOLE 0 0 10985 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 252 20000 SH SOLE 0 0 20000 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 3815 217198 SH SOLE 0 0 217198 SUN COMMUNITIES INC COM 866674104 395 11090 SH SOLE 0 0 11090 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 381 4359 SH SOLE 0 0 4359 TARGET CORP COM 87612E106 332 6628 SH SOLE 0 0 6628 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN Y8565J101 369 12160 SH SOLE 0 0 12160 TELECOM CORP NEW ZEALAND LTD SPONSORED ADR 879278208 90 12000 SH SOLE 0 0 12000 TEMPLETON EMERG MKTS INCOME COM 880192109 284 17230 SH SOLE 0 0 17230 TEMPLETON GLOBAL INCOME FD COM 880198106 417 40550 SH SOLE 0 0 40550 TEREX CORP NEW COM 880779103 840 22460 SH SOLE 0 0 22460 TERRA NITROGEN CO L P COM UNIT 881005201 210 1800 SH SOLE 0 0 1800 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 716 14172 SH SOLE 0 0 14172 TITANIUM METALS CORP COM NEW 888339207 360 19200 SH SOLE 0 0 19200 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 226 5645 SH SOLE 0 0 5645 TOWERSTREAM CORP COM 892000100 176 44000 SH SOLE 0 0 44000 UNITED PARCEL SERVICE INC CL B 911312106 415 5587 SH SOLE 0 0 5587 UNITED STATES NATL GAS FUND UNIT NEW 912318110 404 35060 SH SOLE 0 0 35060 UNITED STATES OIL FUND LP UNITS 91232N108 680 15884 SH SOLE 0 0 15884 UNITED STS GASOLINE FD LP UNITS 91201T102 213 4168 SH SOLE 0 0 4168 UNITED TECHNOLOGIES CORP COM 913017109 313 3728 SH SOLE 0 0 3728 URANERZ ENERGY CORP COM 91688T104 65 19500 SH SOLE 0 0 19500 US BANCORP DEL COM NEW 902973304 446 16864 SH SOLE 0 0 16864 US GOLD CORPORATION COM PAR $0.10 912023207 110 12200 SH SOLE 0 0 12200 VALE S A ADR 91912E105 333 9985 SH SOLE 0 0 9985 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 4482 54575 SH SOLE 0 0 54575 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 2022 25344 SH SOLE 0 0 25344 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 3796 47600 SH SOLE 0 0 47600 VANGUARD INDEX FDS REIT ETF 922908553 1124 19210 SH SOLE 0 0 19210 VANGUARD INDEX FDS SML CP GRW ETF 922908595 347 4010 SH SOLE 0 0 4010 VANGUARD INDEX FDS SM CP VAL ETF 922908611 413 5757 SH SOLE 0 0 5757 VANGUARD INDEX FDS MID CAP ETF 922908629 533 6577 SH SOLE 0 0 6577 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 361 6110 SH SOLE 0 0 6110 VANGUARD INDEX FDS GROWTH ETF 922908736 1736 26857 SH SOLE 0 0 26857 VANGUARD INDEX FDS VALUE ETF 922908744 341 6003 SH SOLE 0 0 6003 VANGUARD INDEX FDS SMALL CP ETF 922908751 4692 59399 SH SOLE 0 0 59399 VANGUARD INDEX FDS STK MRK ETF 922908769 902 13115 SH SOLE 0 0 13115 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1383 27864 SH SOLE 0 0 27864 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 1195 24411 SH SOLE 0 0 24411 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 1592 20630 SH SOLE 0 0 20630 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1058 18942 SH SOLE 0 0 18942 VANGUARD TAX-MANAGED FD MSCI EAFE ETF 921943858 1016 27085 SH SOLE 0 0 27085 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 287 6550 SH SOLE 0 0 6550 VANGUARD WORLD FD MEGA VALUE 300 921910840 2989 72721 SH SOLE 0 0 72721 VANGUARD WORLD FD MEGA CAP INDEX 921910873 979 21650 SH SOLE 0 0 21650 VANGUARD WORLD FDS ENERGY ETF 92204A306 261 2241 SH SOLE 0 0 2241 VANGUARD WORLD FDS UTILITIES ETF 92204A876 405 5836 SH SOLE 0 0 5836 VECTOR GROUP LTD COM 92240M108 358 20639 SH SOLE 0 0 20639 VERIZON COMMUNICATIONS INC COM 92343V104 3375 87014 SH SOLE 0 0 87014 VISA INC COM CL A 92826C839 206 2798 SH SOLE 0 0 2798 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 475 16440 SH SOLE 0 0 16440 WAL MART STORES INC COM 931142103 692 13319 SH SOLE 0 0 13319 WALGREEN CO COM 931422109 705 17591 SH SOLE 0 0 17591 WALTER INVT MGMT CORP COM 93317W102 2216 138350 SH SOLE 0 0 138350 WELLS FARGO & CO NEW COM 949746101 811 25423 SH SOLE 0 0 25423 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 273 18120 SH SOLE 0 0 18120 WESTERN ASSET CLYM INFL OPP COM 95766R104 171 14100 SH SOLE 0 0 14100 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 150 12000 SH SOLE 0 0 12000 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 552 35000 SH SOLE 0 0 35000 WINDSTREAM CORP COM 97381W104 180 14196 SH SOLE 0 0 14196 WISDOMTREE TRUST FUTRE STRAT FD 97717W125 226 4393 SH SOLE 0 0 4393 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 542 23656 SH SOLE 0 0 23656 WISDOMTREE TRUST LARGECAP DIVID 97717W307 4258 88135 SH SOLE 0 0 88135 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 4186 68492 SH SOLE 0 0 68492 WORLD WRESTLING ENTMT INC CL A 98156Q108 139 11098 SH SOLE 0 0 11098 YAMANA GOLD INC COM 98462Y100 996 81076 SH SOLE 0 0 81076 YINGLI GREEN ENERGY HLDG CO ADR 98584B103 156 12000 SH SOLE 0 0 12000 ZWEIG TOTAL RETURN FD INC COM 989837109 78 22500 SH SOLE 0 0 22500