0001085146-11-000746.txt : 20110714
0001085146-11-000746.hdr.sgml : 20110714
20110714132154
ACCESSION NUMBER: 0001085146-11-000746
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110714
DATE AS OF CHANGE: 20110714
EFFECTIVENESS DATE: 20110714
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: 11967499
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
npc2q2011.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: June 30, 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 July 13, 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: 430
Form 13F Information Table Value Total: $1,072,274 (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 566 5841 SH SOLE 0 0 5841
AASTROM BIOSCIENCES INC COM NEW 00253U305 294 105000 SH SOLE 0 0 105000
ABBOTT LABS COM 002824100 1043 19638 SH SOLE 0 0 19638
ABERDEEN ASIA PACIFIC INCOM COM 003009107 1149 156522 SH SOLE 0 0 156522
ABERDEEN GLOBAL INCOME FD IN COM 003013109 162 12000 SH SOLE 0 0 12000
ADVISORSHARES TR CAMBRIA GL TAC 00768Y800 2003 76656 SH SOLE 0 0 76656
AGIC CONV & INCOME FD COM 001190107 718 68973 SH SOLE 0 0 68973
AGNICO EAGLE MINES LTD COM 008474108 518 8223 SH SOLE 0 0 8223
AIR T INC COM 009207101 290 30700 SH SOLE 0 0 30700
ALCOA INC COM 013817101 566 35242 SH SOLE 0 0 35242
ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 8116 534100 SH SOLE 0 0 534100
ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 224 28598 SH SOLE 0 0 28598
ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 158 11542 SH SOLE 0 0 11542
ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 112 18537 SH SOLE 0 0 18537
ALPS ETF TR ALERIAN MLP 00162Q866 183 11565 SH SOLE 0 0 11565
ALTRIA GROUP INC COM 02209S103 1581 59204 SH SOLE 0 0 59204
AMEREN CORP COM 023608102 275 9401 SH SOLE 0 0 9401
AMERICAN CAPITAL AGENCY CORP COM 02503X105 1578 52297 SH SOLE 0 0 52297
AMERICAN ELEC PWR INC COM 025537101 253 6480 SH SOLE 0 0 6480
AMERICAN EXPRESS CO COM 025816109 383 7241 SH SOLE 0 0 7241
AMERICAN SELECT PORTFOLIO IN COM 029570108 340 31700 SH SOLE 0 0 31700
AMERIGAS PARTNERS L P UNIT L P INT 030975106 362 7871 SH SOLE 0 0 7871
ANNALY CAP MGMT INC COM 035710409 10105 549969 SH SOLE 0 0 549969
ANWORTH MORTGAGE ASSET CP COM 037347101 606 77600 SH SOLE 0 0 77600
APOLLO INVT CORP COM 03761U106 234 23400 SH SOLE 0 0 23400
APPLE INC COM 037833100 2333 6634 SH SOLE 0 0 6634
ARENA PHARMACEUTICALS INC COM 040047102 40 27000 SH SOLE 0 0 27000
ARES CAP CORP COM 04010L103 735 46064 SH SOLE 0 0 46064
ARIAD PHARMACEUTICALS INC COM 04033A100 144 12000 SH SOLE 0 0 12000
AT&T INC COM 00206R102 4378 141021 SH SOLE 0 0 141021
ATLANTIC PWR CORP COM NEW 04878Q863 2023 127750 SH SOLE 0 0 127750
AVALONBAY CMNTYS INC COM 053484101 386 2860 SH SOLE 0 0 2860
BAIDU INC SPON ADR REP A 056752108 245 1690 SH SOLE 0 0 1690
BANK OF AMERICA CORPORATION COM 060505104 623 58217 SH SOLE 0 0 58217
BARCLAYS BK PLC 10 YR TREAS BEAR 06740L451 1059 23132 SH SOLE 0 0 23132
BARCLAYS BK PLC US TRES FLATT 06740L485 6125 128049 SH SOLE 0 0 128049
BAYTEX ENERGY CORP COM 07317Q105 411 7350 SH SOLE 0 0 7350
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 493 6432 SH SOLE 0 0 6432
BIOCRYST PHARMACEUTICALS COM 09058V103 62 15350 SH SOLE 0 0 15350
BLACKROCK CORPOR HIGH YLD FD COM 09255L106 75 10200 SH SOLE 0 0 10200
BLACKROCK ENHANCED EQT DIV T COM 09251A104 596 72306 SH SOLE 0 0 72306
BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 163 11600 SH SOLE 0 0 11600
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 770 42468 SH SOLE 0 0 42468
BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 93 13500 SH SOLE 0 0 13500
BLACKROCK MUNICIPL INC QLTY COM 092479104 297 21750 SH SOLE 0 0 21750
BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 687 53500 SH SOLE 0 0 53500
BLACKROCK STRTGC BOND TR COM 09249G106 435 32631 SH SOLE 0 0 32631
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 371 22160 SH SOLE 0 0 22160
BOEING CO COM 097023105 809 10835 SH SOLE 0 0 10835
BP PLC SPONSORED ADR 055622104 568 12895 SH SOLE 0 0 12895
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 658 5876 SH SOLE 0 0 5876
BRISTOL MYERS SQUIBB CO COM 110122108 415 14190 SH SOLE 0 0 14190
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 340 5231 SH SOLE 0 0 5231
CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 123 12600 SH SOLE 0 0 12600
CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 249 11300 SH SOLE 0 0 11300
CATERPILLAR INC DEL COM 149123101 2409 21880 SH SOLE 0 0 21880
CENTRAL FD CDA LTD CL A 153501101 1818 86604 SH SOLE 0 0 86604
CENTURYLINK INC COM 156700106 263 6526 SH SOLE 0 0 6526
CHART INDS INC COM PAR $0.01 16115Q308 227 4000 SH SOLE 0 0 4000
CHESAPEAKE ENERGY CORP COM 165167107 366 12112 SH SOLE 0 0 12112
CHEVRON CORP NEW COM 166764100 19332 184015 SH SOLE 0 0 184015
CHIMERA INVT CORP COM 16934Q109 1475 428332 SH SOLE 0 0 428332
CHINA DIRECT INDS INC COM NEW 169384203 10 10000 SH SOLE 0 0 10000
CISCO SYS INC COM 17275R102 1417 89911 SH SOLE 0 0 89911
CITIGROUP INC COM NEW 172967424 1203 29030 SH SOLE 0 0 29030
CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 234 10881 SH SOLE 0 0 10881
CLIFFS NATURAL RESOURCES INC COM 18683K101 200 2113 SH SOLE 0 0 2113
CLOROX CO DEL COM 189054109 409 6024 SH SOLE 0 0 6024
COCA COLA CO COM 191216100 558 8111 SH SOLE 0 0 8111
COLGATE PALMOLIVE CO COM 194162103 573 6478 SH SOLE 0 0 6478
CONOCOPHILLIPS COM 20825C104 669 8670 SH SOLE 0 0 8670
CONSOLIDATED EDISON INC COM 209115104 789 14573 SH SOLE 0 0 14573
CORE LABORATORIES N V COM N22717107 316 2700 SH SOLE 0 0 2700
COSTCO WHSL CORP NEW COM 22160K105 206 2513 SH SOLE 0 0 2513
CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 760 233000 SH SOLE 0 0 233000
CSX CORP COM 126408103 968 36282 SH SOLE 0 0 36282
CUMMINS INC COM 231021106 335 3150 SH SOLE 0 0 3150
CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 4713 44158 SH SOLE 0 0 44158
DEERE & CO COM 244199105 679 8101 SH SOLE 0 0 8101
DELAWARE ENHANCED GBL DIV & COM 246060107 429 33000 SH SOLE 0 0 33000
DENDREON CORP COM 24823Q107 291 6983 SH SOLE 0 0 6983
DIAMOND OFFSHORE DRILLING IN COM 25271C102 271 3851 SH SOLE 0 0 3851
DNP SELECT INCOME FD COM 23325P104 417 41585 SH SOLE 0 0 41585
DOMINION RES INC VA NEW COM 25746U109 588 11975 SH SOLE 0 0 11975
DOW CHEM CO COM 260543103 593 16274 SH SOLE 0 0 16274
DRAGONWAVE INC COM 26144M103 371 70000 SH SOLE 0 0 70000
DU PONT E I DE NEMOURS & CO COM 263534109 521 9340 SH SOLE 0 0 9340
DUKE ENERGY CORP NEW COM 26441C105 524 27267 SH SOLE 0 0 27267
E M C CORP MASS COM 268648102 252 8983 SH SOLE 0 0 8983
EATON VANCE ENHANCED EQ INC COM 278274105 185 15350 SH SOLE 0 0 15350
EATON VANCE LTD DUR INCOME F COM 27828H105 10272 613946 SH SOLE 0 0 613946
EATON VANCE SH TM DR DIVR IN COM 27828V104 488 27984 SH SOLE 0 0 27984
EATON VANCE SR FLTNG RTE TR COM 27828Q105 615 38805 SH SOLE 0 0 38805
EATON VANCE SR INCOME TR SH BEN INT 27826S103 123 16800 SH SOLE 0 0 16800
EATON VANCE TAX ADVT DIV INC COM 27828G107 538 31000 SH SOLE 0 0 31000
EATON VANCE TXMGD GL BUYWR O COM 27829C105 229 18965 SH SOLE 0 0 18965
EDISON INTL COM 281020107 594 15230 SH SOLE 0 0 15230
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 1294 43220 SH SOLE 0 0 43220
ENBRIDGE INC COM 29250N105 580 17600 SH SOLE 0 0 17600
ENCORE ENERGY PARTNERS LP COM UNIT 29257A106 358 16400 SH SOLE 0 0 16400
ENDEAVOUR SILVER CORP COM 29258Y103 1873 193891 SH SOLE 0 0 193891
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 992 20304 SH SOLE 0 0 20304
ENERPLUS CORP COM 292766102 374 11798 SH SOLE 0 0 11798
ENTERPRISE PRODS PARTNERS L COM 293792107 2503 57998 SH SOLE 0 0 57998
ENTERTAINMENT PPTYS TR CONV PFD 9% SR E 29380T600 332 11350 SH SOLE 0 0 11350
EXCO RESOURCES INC COM 269279402 512 29700 SH SOLE 0 0 29700
EXELON CORP COM 30161N101 668 15524 SH SOLE 0 0 15524
EXXON MOBIL CORP COM 30231G102 5964 73364 SH SOLE 0 0 73364
FEDEX CORP COM 31428X106 446 4619 SH SOLE 0 0 4619
FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 1409 60605 SH SOLE 0 0 60605
FIFTH STREET FINANCE CORP COM 31678A103 1298 108734 SH SOLE 0 0 108734
FIFTH THIRD BANCORP COM 316773100 127 10113 SH SOLE 0 0 10113
FIRST TR S&P REIT INDEX FD COM 33734G108 1380 83624 SH SOLE 0 0 83624
FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 326 9948 SH SOLE 0 0 9948
FIRST TR SR FLG RTE INCM FD COM 33733U108 774 53950 SH SOLE 0 0 53950
FIRST TR VALUE LINE DIVID IN SHS 33734H106 186 11358 SH SOLE 0 0 11358
FIRSTENERGY CORP COM 337932107 223 5054 SH SOLE 0 0 5054
FORD MTR CO DEL COM PAR $0.01 345370860 321 22933 SH SOLE 0 0 22933
FRANKLIN STREET PPTYS CORP COM 35471R106 332 23868 SH SOLE 0 0 23868
FRANKLIN TEMPLETON LTD DUR I COM 35472T101 297 20625 SH SOLE 0 0 20625
FREEPORT-MCMORAN COPPER & GO COM 35671D857 3327 62076 SH SOLE 0 0 62076
FRONTIER COMMUNICATIONS CORP COM 35906A108 354 45352 SH SOLE 0 0 45352
FULTON FINL CORP PA COM 360271100 267 24102 SH SOLE 0 0 24102
GABELLI GLB GLD NAT RES & IN COM SHS BN INT 36244N109 732 40659 SH SOLE 0 0 40659
GABELLI UTIL TR COM 36240A101 201 28797 SH SOLE 0 0 28797
GENERAL ELECTRIC CO COM 369604103 3552 185591 SH SOLE 0 0 185591
GENERAL MLS INC COM 370334104 279 7586 SH SOLE 0 0 7586
GENERAL MTRS CO JR PFD CNV SRB 37045V209 266 5445 SH SOLE 0 0 5445
GOLDCORP INC NEW COM 380956409 681 13591 SH SOLE 0 0 13591
GOLDMAN SACHS GROUP INC COM 38141G104 508 3816 SH SOLE 0 0 3816
GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 554 16126 SH SOLE 0 0 16126
HALLIBURTON CO COM 406216101 287 5410 SH SOLE 0 0 5410
HANCOCK JOHN PFD INCOME FD I COM 41013X106 420 19900 SH SOLE 0 0 19900
HATTERAS FINL CORP COM 41902R103 286 9860 SH SOLE 0 0 9860
HAWAIIAN ELEC INDUSTRIES COM 419870100 250 10135 SH SOLE 0 0 10135
HEALTH CARE REIT INC COM 42217K106 471 8845 SH SOLE 0 0 8845
HEALTHCARE SVCS GRP INC COM 421906108 255 14876 SH SOLE 0 0 14876
HERSHA HOSPITALITY TR SH BEN INT A 427825104 69 11900 SH SOLE 0 0 11900
HEWLETT PACKARD CO COM 428236103 290 7974 SH SOLE 0 0 7974
HOME DEPOT INC COM 437076102 305 8511 SH SOLE 0 0 8511
HONEYWELL INTL INC COM 438516106 414 6908 SH SOLE 0 0 6908
HUMAN GENOME SCIENCES INC COM 444903108 625 25000 SH SOLE 0 0 25000
ICAHN ENTERPRISES LP DEPOSITRY UNIT 451100101 234 5330 SH SOLE 0 0 5330
ING CLARION GLB RE EST INCM COM 44982G104 334 39667 SH SOLE 0 0 39667
ING PRIME RATE TR SH BEN INT 44977W106 555 91017 SH SOLE 0 0 91017
ING RISK MANAGED NAT RES FD COM 449810100 458 30800 SH SOLE 0 0 30800
INLAND REAL ESTATE CORP COM NEW 457461200 423 45840 SH SOLE 0 0 45840
INTEL CORP COM 458140100 1193 52360 SH SOLE 0 0 52360
INTERNATIONAL BUSINESS MACHS COM 459200101 3013 16945 SH SOLE 0 0 16945
INVESCO MORTGAGE CAPITAL INC COM 46131B100 371 17066 SH SOLE 0 0 17066
INVESCO VAN KAMPEN SR INC TR COM 46131H107 93 18375 SH SOLE 0 0 18375
INVESTORS REAL ESTATE TR SH BEN INT 461730103 1839 222062 SH SOLE 0 0 222062
ISHARES GOLD TRUST ISHARES 464285105 335 22000 SH SOLE 0 0 22000
ISHARES INC MSCI BRAZIL 464286400 900 12359 SH SOLE 0 0 12359
ISHARES INC MSCI CDA INDEX 464286509 1035 31696 SH SOLE 0 0 31696
ISHARES INC MSCI BRIC INDX 464286657 2454 51099 SH SOLE 0 0 51099
ISHARES INC MSCI PAC J IDX 464286665 1774 38039 SH SOLE 0 0 38039
ISHARES INC MSCI SPAIN 464286764 382 9300 SH SOLE 0 0 9300
ISHARES INC MSCI GERMAN 464286806 977 36121 SH SOLE 0 0 36121
ISHARES INC MSCI JAPAN 464286848 1753 166261 SH SOLE 0 0 166261
ISHARES SILVER TRUST ISHARES 46428Q109 1511 42953 SH SOLE 0 0 42953
ISHARES TR LRGE GRW INDX 464287119 246 3520 SH SOLE 0 0 3520
ISHARES TR DJ SEL DIV INX 464287168 3670 68479 SH SOLE 0 0 68479
ISHARES TR BARCLYS TIPS BD 464287176 17345 156916 SH SOLE 0 0 156916
ISHARES TR TRANSP AVE IDX 464287192 303 3031 SH SOLE 0 0 3031
ISHARES TR S&P 500 INDEX 464287200 3615 26940 SH SOLE 0 0 26940
ISHARES TR BARCLY USAGG B 464287226 187315 1752983 SH SOLE 0 0 1752983
ISHARES TR MSCI EMERG MKT 464287234 5187 108503 SH SOLE 0 0 108503
ISHARES TR IBOXX INV CPBD 464287242 3214 29130 SH SOLE 0 0 29130
ISHARES TR S&P GBL TELCM 464287275 654 10829 SH SOLE 0 0 10829
ISHARES TR S&P GBL INF 464287291 410 6640 SH SOLE 0 0 6640
ISHARES TR S&P500 GRW 464287309 3828 53911 SH SOLE 0 0 53911
ISHARES TR S&P GBL ENER 464287341 385 9123 SH SOLE 0 0 9123
ISHARES TR S&P NA NAT RES 464287374 544 12233 SH SOLE 0 0 12233
ISHARES TR S&P 500 VALUE 464287408 2935 46843 SH SOLE 0 0 46843
ISHARES TR BARCLYS 7-10 YR 464287440 1987 20710 SH SOLE 0 0 20710
ISHARES TR BARCLYS 1-3 YR 464287457 39942 473806 SH SOLE 0 0 473806
ISHARES TR MSCI EAFE INDEX 464287465 19809 329863 SH SOLE 0 0 329863
ISHARES TR RUSSELL MIDCAP 464287499 494 4464 SH SOLE 0 0 4464
ISHARES TR S&P MIDCAP 400 464287507 3388 33849 SH SOLE 0 0 33849
ISHARES TR COHEN&ST RLTY 464287564 1491 19957 SH SOLE 0 0 19957
ISHARES TR S&P MC 400 GRW 464287606 1357 11939 SH SOLE 0 0 11939
ISHARES TR RUSSELL1000GRW 464287614 466 7537 SH SOLE 0 0 7537
ISHARES TR RUSSELL 2000 464287655 490 5801 SH SOLE 0 0 5801
ISHARES TR RUSL 3000 GROW 464287671 232 4528 SH SOLE 0 0 4528
ISHARES TR DJ US TELECOMM 464287713 5140 202061 SH SOLE 0 0 202061
ISHARES TR DJ US TECH SEC 464287721 18812 282563 SH SOLE 0 0 282563
ISHARES TR DJ US REAL EST 464287739 480 7780 SH SOLE 0 0 7780
ISHARES TR DJ US HEALTHCR 464287762 258 3499 SH SOLE 0 0 3499
ISHARES TR DJ US ENERGY 464287796 484 11116 SH SOLE 0 0 11116
ISHARES TR S&P SMLCAP 600 464287804 1625 21672 SH SOLE 0 0 21672
ISHARES TR DJ US BAS MATL 464287838 855 10698 SH SOLE 0 0 10698
ISHARES TR S&P SMLCP VALU 464287879 578 7622 SH SOLE 0 0 7622
ISHARES TR S&P SMLCP GROW 464287887 1960 23840 SH SOLE 0 0 23840
ISHARES TR LARGE VAL INDX 464288109 2232 35217 SH SOLE 0 0 35217
ISHARES TR S&P CITINT TBD 464288117 249 2298 SH SOLE 0 0 2298
ISHARES TR S&P SH NTL AMTFR 464288158 273 2586 SH SOLE 0 0 2586
ISHARES TR MID CORE INDEX 464288208 334 3610 SH SOLE 0 0 3610
ISHARES TR JPMORGAN USD 464288281 4011 36307 SH SOLE 0 0 36307
ISHARES TR S&P NTL AMTFREE 464288414 240 2331 SH SOLE 0 0 2331
ISHARES TR HIGH YLD CORP 464288513 9286 101790 SH SOLE 0 0 101790
ISHARES TR INDL OFF CAP IDX 464288554 1074 36087 SH SOLE 0 0 36087
ISHARES TR BARCLYS MBS BD 464288588 42350 397567 SH SOLE 0 0 397567
ISHARES TR BARCLYS CR BD 464288620 63412 600112 SH SOLE 0 0 600112
ISHARES TR BARCLYS 1-3YR CR 464288646 8817 84611 SH SOLE 0 0 84611
ISHARES TR BARCLYS 3-7 YR 464288661 1082 9265 SH SOLE 0 0 9265
ISHARES TR US PFD STK IDX 464288687 4027 101933 SH SOLE 0 0 101933
ISHARES TR S&P GLB MTRLS 464288695 466 6303 SH SOLE 0 0 6303
ISHARES TR S&P GL INDUSTR 464288729 283 5000 SH SOLE 0 0 5000
ISHARES TR DJ HEALTH CARE 464288828 1372 20580 SH SOLE 0 0 20580
ISHARES TR DJ OIL EQUIP 464288844 209 3222 SH SOLE 0 0 3222
ISHARES TR DJ OIL&GAS EXP 464288851 610 8760 SH SOLE 0 0 8760
ISHARES TR MSCI VAL IDX 464288877 1314 25264 SH SOLE 0 0 25264
ISHARES TR MSCI GRW IDX 464288885 772 12180 SH SOLE 0 0 12180
ISHARES TR MSCI ACWI X US 464289628 515 8000 SH SOLE 0 0 8000
JOHNSON & JOHNSON COM 478160104 2285 33742 SH SOLE 0 0 33742
JOY GLOBAL INC COM 481165108 239 2461 SH SOLE 0 0 2461
JPMORGAN CHASE & CO COM 46625H100 965 23812 SH SOLE 0 0 23812
JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 7603 203539 SH SOLE 0 0 203539
KEEGAN RES INC COM 487275109 247 30654 SH SOLE 0 0 30654
KIMBER RES INC COM 49435N101 1697 980487 SH SOLE 0 0 980487
KIMBERLY CLARK CORP COM 494368103 247 3730 SH SOLE 0 0 3730
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2309 31522 SH SOLE 0 0 31522
KKR FINANCIAL HLDGS LLC COM 48248A306 1055 105750 SH SOLE 0 0 105750
KRAFT FOODS INC CL A 50075N104 410 11264 SH SOLE 0 0 11264
LINN ENERGY LLC UNIT LTD LIAB 536020100 604 15276 SH SOLE 0 0 15276
LOWES COS INC COM 548661107 459 19674 SH SOLE 0 0 19674
LTC PPTYS INC COM 502175102 367 12821 SH SOLE 0 0 12821
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 314 5253 SH SOLE 0 0 5253
MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 366 13423 SH SOLE 0 0 13423
MARKET VECTORS ETF TR COAL ETF 57060U837 777 16323 SH SOLE 0 0 16323
MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 524 17689 SH SOLE 0 0 17689
MCDONALDS CORP COM 580135101 545 6326 SH SOLE 0 0 6326
MEDTRONIC INC COM 585055106 629 16467 SH SOLE 0 0 16467
MERCK & CO INC NEW COM 58933Y105 675 18817 SH SOLE 0 0 18817
METALICO INC COM 591176102 72 12000 SH SOLE 0 0 12000
MFS INTER INCOME TR SH BEN INT 55273C107 282 43852 SH SOLE 0 0 43852
MFS MULTIMARKET INCOME TR SH BEN INT 552737108 364 52652 SH SOLE 0 0 52652
MFS MUN INCOME TR SH BEN INT 552738106 663 98700 SH SOLE 0 0 98700
MGIC INVT CORP WIS COM 552848103 918 135666 SH SOLE 0 0 135666
MICROSOFT CORP COM 594918104 2014 76539 SH SOLE 0 0 76539
MILLER ENERGY RES INC COM 600527105 2013 297450 SH SOLE 0 0 297450
MINEFINDERS LTD COM 602900102 136 10202 SH SOLE 0 0 10202
MONSANTO CO NEW COM 61166W101 228 3062 SH SOLE 0 0 3062
NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 1209 64741 SH SOLE 0 0 64741
NEUBERGER BERMAN HGH YLD FD COM 64128C106 1165 82973 SH SOLE 0 0 82973
NEW AMER HIGH INCOME FD INC COM NEW 641876800 369 34197 SH SOLE 0 0 34197
NORTHROP GRUMMAN CORP COM 666807102 211 2942 SH SOLE 0 0 2942
NOVARTIS A G SPONSORED ADR 66987V109 577 9405 SH SOLE 0 0 9405
NUSTAR ENERGY LP UNIT COM 67058H102 387 5865 SH SOLE 0 0 5865
NUVEEN INSD MUN OPPORTUNITY COM 670984103 318 23385 SH SOLE 0 0 23385
NUVEEN INSD QUALITY MUN FD I COM 67062N103 285 20814 SH SOLE 0 0 20814
NUVEEN INVT QUALITY MUN FD I COM 67062E103 198 13650 SH SOLE 0 0 13650
NUVEEN MULT STRAT INCM GR FD COM SHS 67073D102 132 14500 SH SOLE 0 0 14500
NUVEEN MULTI STRAT INC & GR COM 67073B106 697 78510 SH SOLE 0 0 78510
NUVEEN MUN ADVANTAGE FD INC COM 67062H106 150 10491 SH SOLE 0 0 10491
NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 198 15339 SH SOLE 0 0 15339
NUVEEN PERFORMANCE PLUS MUN COM 67062P108 246 17460 SH SOLE 0 0 17460
NUVEEN PREM INCOME MUN FD COM 67062T100 240 17880 SH SOLE 0 0 17880
NUVEEN QUALITY PFD INCOME FD COM 67072C105 483 58602 SH SOLE 0 0 58602
OCCIDENTAL PETE CORP DEL COM 674599105 788 7449 SH SOLE 0 0 7449
OCEANEERING INTL INC COM 675232102 228 5400 SH SOLE 0 0 5400
OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 720 4800 SH SOLE 0 0 4800
OMEGA HEALTHCARE INVS INC COM 681936100 628 29149 SH SOLE 0 0 29149
ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 541 6240 SH SOLE 0 0 6240
ORACLE CORP COM 68389X105 509 15315 SH SOLE 0 0 15315
PARAMOUNT GOLD & SILVER CORP COM 69924P102 739 223700 SH SOLE 0 0 223700
PAYCHEX INC COM 704326107 308 9814 SH SOLE 0 0 9814
PEABODY ENERGY CORP COM 704549104 207 3419 SH SOLE 0 0 3419
PENGROWTH ENERGY CORP COM 70706P104 1982 154100 SH SOLE 0 0 154100
PENN VA RESOURCES PARTNERS L COM 707884102 572 21198 SH SOLE 0 0 21198
PENN WEST PETE LTD NEW COM 707887105 1772 76368 SH SOLE 0 0 76368
PEPSICO INC COM 713448108 965 13763 SH SOLE 0 0 13763
PETROHAWK ENERGY CORP COM 716495106 575 23000 SH SOLE 0 0 23000
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 720 21404 SH SOLE 0 0 21404
PFIZER INC COM 717081103 964 46354 SH SOLE 0 0 46354
PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 1027 14300 SH SOLE 0 0 14300
PHILIP MORRIS INTL INC COM 718172109 832 12206 SH SOLE 0 0 12206
PHOENIX COS INC NEW COM 71902E109 69 30000 SH SOLE 0 0 30000
PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 740 35041 SH SOLE 0 0 35041
PIMCO CORPORATE INCOME FD COM 72200U100 363 20400 SH SOLE 0 0 20400
PIMCO CORPORATE OPP FD COM 72201B101 614 29655 SH SOLE 0 0 29655
PIMCO ETF TR BLD AMER BD FD 72201R825 775 15852 SH SOLE 0 0 15852
PIMCO GLOBAL STOCKSPLS INCM COM 722011103 2418 101976 SH SOLE 0 0 101976
PIMCO HIGH INCOME FD COM SHS 722014107 4509 326387 SH SOLE 0 0 326387
PIMCO INCOME OPPORTUNITY FD COM 72202B100 3232 115099 SH SOLE 0 0 115099
PIMCO INCOME STRATEGY FUND COM 72201H108 636 48609 SH SOLE 0 0 48609
PIMCO INCOME STRATEGY FUND I COM 72201J104 168 15975 SH SOLE 0 0 15975
PIMCO MUN INCOME FD II COM 72200W106 1568 147207 SH SOLE 0 0 147207
PIMCO STRATEGIC GBL GOV FD I COM 72200X104 171 14622 SH SOLE 0 0 14622
PIONEER HIGH INCOME TR COM 72369H106 282 16725 SH SOLE 0 0 16725
PIONEER MUN HIGH INCOME TR COM SHS 723763108 624 44100 SH SOLE 0 0 44100
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 419 6507 SH SOLE 0 0 6507
POTASH CORP SASK INC COM 73755L107 638 11050 SH SOLE 0 0 11050
POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 844 28576 SH SOLE 0 0 28576
POWERSHARES ETF TR II BUILD AMER ETF 73937B407 870 33060 SH SOLE 0 0 33060
POWERSHARES ETF TR II S&P500 LOW VOL 73937B779 229 9000 SH SOLE 0 0 9000
POWERSHARES ETF TRUST GBL LSTD PVT EQT 73935X195 344 31945 SH SOLE 0 0 31945
POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 693 38100 SH SOLE 0 0 38100
POWERSHARES ETF TRUST ENERGY SEC POR 73935X385 10417 241221 SH SOLE 0 0 241221
POWERSHARES ETF TRUST DYN BLDG CNSTR 73935X666 134 10100 SH SOLE 0 0 10100
POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 223 10984 SH SOLE 0 0 10984
POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 5553 203067 SH SOLE 0 0 203067
POWERSHARES ETF TRUST II DWA DEVEL MKTS 73936Q108 201 8835 SH SOLE 0 0 8835
POWERSHARES ETF TRUST II DWA EMRG MKTS 73936Q207 491 25800 SH SOLE 0 0 25800
POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 4976 190950 SH SOLE 0 0 190950
POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 8340 449863 SH SOLE 0 0 449863
POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 901 62920 SH SOLE 0 0 62920
POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 618 22872 SH SOLE 0 0 22872
POWERSHARES GLOBAL ETF TRUST GBL WTR PORT 73936T623 271 13711 SH SOLE 0 0 13711
POWERSHARES GLOBAL ETF TRUST EMER MRKT PORT 73936T763 604 23542 SH SOLE 0 0 23542
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5329 91095 SH SOLE 0 0 91095
POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 240 4250 SH SOLE 0 0 4250
POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 423 13019 SH SOLE 0 0 13019
PPL CORP COM 69351T106 940 33607 SH SOLE 0 0 33607
PROCTER & GAMBLE CO COM 742718109 14496 224241 SH SOLE 0 0 224241
PROGRESS ENERGY INC COM 743263105 269 5587 SH SOLE 0 0 5587
PROSPECT CAPITAL CORPORATION COM 74348T102 3139 313450 SH SOLE 0 0 313450
PROVIDENT ENERGY LTD NEW COM 74386V100 1758 193788 SH SOLE 0 0 193788
PUBLIC STORAGE COM 74460D109 448 3793 SH SOLE 0 0 3793
PUBLIC SVC ENTERPRISE GROUP COM 744573106 292 8952 SH SOLE 0 0 8952
PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 467 80485 SH SOLE 0 0 80485
PUTNAM PREMIER INCOME TR SH BEN INT 746853100 619 93168 SH SOLE 0 0 93168
QUALCOMM INC COM 747525103 338 5688 SH SOLE 0 0 5688
REALTY INCOME CORP COM 756109104 471 13620 SH SOLE 0 0 13620
ROCKWELL COLLINS INC COM 774341101 239 3857 SH SOLE 0 0 3857
ROYAL BK SCOTLAND N V TRENDPILOT ETN 78009L308 2439 88649 SH SOLE 0 0 88649
ROYAL DUTCH SHELL PLC SPON ADR B 780259107 260 3579 SH SOLE 0 0 3579
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 404 5600 SH SOLE 0 0 5600
RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 1188 23184 SH SOLE 0 0 23184
RYDEX ETF TRUST S&P500 PUR GRW 78355W403 1790 36639 SH SOLE 0 0 36639
RYDEX ETF TRUST S&PMC400 PURGR 78355W601 302 3317 SH SOLE 0 0 3317
RYDEX ETF TRUST MATERIALS ETF 78355W825 251 3770 SH SOLE 0 0 3770
SABINE ROYALTY TR UNIT BEN INT 785688102 931 14149 SH SOLE 0 0 14149
SANOFI SPONSORED ADR 80105N105 282 7060 SH SOLE 0 0 7060
SCHLUMBERGER LTD COM 806857108 632 7081 SH SOLE 0 0 7081
SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 326 10134 SH SOLE 0 0 10134
SCHWAB STRATEGIC TR US SML CAP ETF 808524607 2380 63297 SH SOLE 0 0 63297
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 13315 371051 SH SOLE 0 0 371051
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 21962 535064 SH SOLE 0 0 535064
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2361 30860 SH SOLE 0 0 30860
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 10122 657337 SH SOLE 0 0 657337
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 15579 410513 SH SOLE 0 0 410513
SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 313 11910 SH SOLE 0 0 11910
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 733 21760 SH SOLE 0 0 21760
SEMPRA ENERGY COM 816851109 311 5844 SH SOLE 0 0 5844
SHERWIN WILLIAMS CO COM 824348106 200 2347 SH SOLE 0 0 2347
SILVER WHEATON CORP COM 828336107 19258 531106 SH SOLE 0 0 531106
SILVERCORP METALS INC COM 82835P103 1016 96372 SH SOLE 0 0 96372
SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 380 6714 SH SOLE 0 0 6714
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 7270 57601 SH SOLE 0 0 57601
SPDR GOLD TRUST GOLD SHS 78463V107 1685 11303 SH SOLE 0 0 11303
SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 1302 14832 SH SOLE 0 0 14832
SPDR INDEX SHS FDS EUROPE ETF 78463X608 352 6805 SH SOLE 0 0 6805
SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 1174 29259 SH SOLE 0 0 29259
SPDR INDEX SHS FDS S&P INTL ETF 78463X772 617 10536 SH SOLE 0 0 10536
SPDR INDEX SHS FDS S&P BRIC 40ETF 78463X798 352 12538 SH SOLE 0 0 12538
SPDR S&P 500 ETF TR TR UNIT 78462F103 12957 96723 SH SOLE 0 0 96723
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5400 29715 SH SOLE 0 0 29715
SPDR SERIES TRUST MORGAN TECH ETF 78464A102 465 6980 SH SOLE 0 0 6980
SPDR SERIES TRUST INTR TRM CORP BD 78464A375 417 12597 SH SOLE 0 0 12597
SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 6202 154394 SH SOLE 0 0 154394
SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 5206 214950 SH SOLE 0 0 214950
SPDR SERIES TRUST DB INT GVT ETF 78464A490 435 7110 SH SOLE 0 0 7110
SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 1596 25975 SH SOLE 0 0 25975
SPDR SERIES TRUST DJ REIT ETF 78464A607 500 7270 SH SOLE 0 0 7270
SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 609 10795 SH SOLE 0 0 10795
SPDR SERIES TRUST BARCL CAP TIPS 78464A656 327 6079 SH SOLE 0 0 6079
SPDR SERIES TRUST S&P RETAIL ETF 78464A714 753 13820 SH SOLE 0 0 13820
SPDR SERIES TRUST S&P DIVID ETF 78464A763 3195 58536 SH SOLE 0 0 58536
SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 3697 223881 SH SOLE 0 0 223881
SUN COMMUNITIES INC COM 866674104 431 11090 SH SOLE 0 0 11090
TARGET CORP COM 87612E106 240 4932 SH SOLE 0 0 4932
TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN Y8565J101 267 8980 SH SOLE 0 0 8980
TELECOMUNICACOES DE SAO PAUL SPON ADR PFD 87929A102 228 7800 SH SOLE 0 0 7800
TELEFONICA S A SPONSORED ADR 879382208 501 21190 SH SOLE 0 0 21190
TEMPLETON EMERG MKTS INCOME COM 880192109 537 30866 SH SOLE 0 0 30866
TEMPLETON GLOBAL INCOME FD COM 880198106 890 80352 SH SOLE 0 0 80352
TERRA NITROGEN CO L P COM UNIT 881005201 248 1775 SH SOLE 0 0 1775
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1699 34838 SH SOLE 0 0 34838
TICC CAPITAL CORP COM 87244T109 984 101175 SH SOLE 0 0 101175
TIMKEN CO COM 887389104 230 4366 SH SOLE 0 0 4366
TOTAL S A SPONSORED ADR 89151E109 482 8429 SH SOLE 0 0 8429
TWO HBRS INVT CORP COM 90187B101 347 30900 SH SOLE 0 0 30900
UNITED PARCEL SERVICE INC CL B 911312106 3459 46560 SH SOLE 0 0 46560
UNITED TECHNOLOGIES CORP COM 913017109 437 4811 SH SOLE 0 0 4811
UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 436 10330 SH SOLE 0 0 10330
URANERZ ENERGY CORP COM 91688T104 28 10000 SH SOLE 0 0 10000
US BANCORP DEL COM NEW 902973304 388 15264 SH SOLE 0 0 15264
US GOLD CORPORATION COM PAR $0.10 912023207 1802 292550 SH SOLE 0 0 292550
VALE S A ADR 91912E105 524 15805 SH SOLE 0 0 15805
VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 7031 87439 SH SOLE 0 0 87439
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 14563 173344 SH SOLE 0 0 173344
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 24157 297573 SH SOLE 0 0 297573
VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 6193 76187 SH SOLE 0 0 76187
VANGUARD INDEX FDS REIT ETF 922908553 2494 40308 SH SOLE 0 0 40308
VANGUARD INDEX FDS MID CAP ETF 922908629 384 4674 SH SOLE 0 0 4674
VANGUARD INDEX FDS GROWTH ETF 922908736 10187 154578 SH SOLE 0 0 154578
VANGUARD INDEX FDS VALUE ETF 922908744 9218 162646 SH SOLE 0 0 162646
VANGUARD INDEX FDS SMALL CP ETF 922908751 2198 27462 SH SOLE 0 0 27462
VANGUARD INDEX FDS STK MRK ETF 922908769 929 13338 SH SOLE 0 0 13338
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1429 28387 SH SOLE 0 0 28387
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2663 54232 SH SOLE 0 0 54232
VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 5096 65091 SH SOLE 0 0 65091
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 17452 340647 SH SOLE 0 0 340647
VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 261 3258 SH SOLE 0 0 3258
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 508 8880 SH SOLE 0 0 8880
VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 2582 67954 SH SOLE 0 0 67954
VANGUARD WORLD FD EXTENDED DUR 921910709 390 4795 SH SOLE 0 0 4795
VANGUARD WORLD FD MEGA VALUE 300 921910840 2309 56382 SH SOLE 0 0 56382
VANGUARD WORLD FD MEGA CAP INDEX 921910873 2035 44577 SH SOLE 0 0 44577
VANGUARD WORLD FDS UTILITIES ETF 92204A876 426 5836 SH SOLE 0 0 5836
VECTOR GROUP LTD COM 92240M108 699 38572 SH SOLE 0 0 38572
VERIZON COMMUNICATIONS INC COM 92343V104 3470 92074 SH SOLE 0 0 92074
VORNADO RLTY TR SH BEN INT 929042109 227 2361 SH SOLE 0 0 2361
WAL MART STORES INC COM 931142103 1358 25276 SH SOLE 0 0 25276
WALGREEN CO COM 931422109 941 21718 SH SOLE 0 0 21718
WELLS FARGO & CO NEW COM 949746101 356 12695 SH SOLE 0 0 12695
WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 542 35088 SH SOLE 0 0 35088
WESTERN ASSET CLYM INFL OPP COM 95766R104 171 14100 SH SOLE 0 0 14100
WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 156 12000 SH SOLE 0 0 12000
WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 288 18000 SH SOLE 0 0 18000
WISDOMTREE TR DREYFUS CMM FD 97717X859 344 12372 SH SOLE 0 0 12372
WISDOMTREE TRUST DRYFS CURR ETF 97717W133 1048 44722 SH SOLE 0 0 44722
WISDOMTREE TRUST EQTY INC ETF 97717W208 417 9890 SH SOLE 0 0 9890
WISDOMTREE TRUST LARGECAP DIVID 97717W307 2157 43423 SH SOLE 0 0 43423
WISDOMTREE TRUST EMERG MKTS ETF 97717W315 4697 76765 SH SOLE 0 0 76765
WISDOMTREE TRUST INTL REAL EST 97717W331 218 7500 SH SOLE 0 0 7500
YAMANA GOLD INC COM 98462Y100 932 74721 SH SOLE 0 0 74721
YUM BRANDS INC COM 988498101 214 3834 SH SOLE 0 0 3834