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 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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