0001085146-11-001168.txt : 20111110 0001085146-11-001168.hdr.sgml : 20111110 20111110170559 ACCESSION NUMBER: 0001085146-11-001168 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111110 DATE AS OF CHANGE: 20111110 EFFECTIVENESS DATE: 20111110 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: 111196209 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 npc3q2011.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: September 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 November 10, 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: 427 Form 13F Information Table Value Total: $1,134,726 (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 511 6251 SH SOLE 0 0 6251 A123 SYS INC COM 03739T108 51 14200 SH SOLE 0 0 14200 ABBOTT LABS COM 002824100 1415 26641 SH SOLE 0 0 26641 ABERDEEN ASIA PACIFIC INCOM COM 003009107 942 132522 SH SOLE 0 0 132522 AGIC CONV & INCOME FD COM 001190107 536 60939 SH SOLE 0 0 60939 AK STL HLDG CORP COM 001547108 251 29205 SH SOLE 0 0 29205 ALCOA INC COM 013817101 344 32429 SH SOLE 0 0 32429 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 303 21300 SH SOLE 0 0 21300 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 162 20964 SH SOLE 0 0 20964 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 207 15074 SH SOLE 0 0 15074 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 93 19587 SH SOLE 0 0 19587 ALPS ETF TR ALERIAN MLP 00162Q866 593 37136 SH SOLE 0 0 37136 ALTRIA GROUP INC COM 02209S103 1028 37611 SH SOLE 0 0 37611 AMEREN CORP COM 023608102 344 10803 SH SOLE 0 0 10803 AMERICAN CAP LTD COM 02503Y103 231 32000 SH SOLE 0 0 32000 AMERICAN CAPITAL AGENCY CORP COM 02503X105 345 12085 SH SOLE 0 0 12085 AMERICAN ELEC PWR INC COM 025537101 414 10548 SH SOLE 0 0 10548 AMERICAN EXPRESS CO COM 025816109 265 5331 SH SOLE 0 0 5331 AMERICAN SELECT PORTFOLIO IN COM 029570108 261 27000 SH SOLE 0 0 27000 AMERIGAS PARTNERS L P UNIT L P INT 030975106 282 6152 SH SOLE 0 0 6152 ANNALY CAP MGMT INC COM 035710409 22520 1373750 SH SOLE 0 0 1373750 ANWORTH MORTGAGE ASSET CP COM 037347101 424 66300 SH SOLE 0 0 66300 APOLLO INVT CORP COM 03761U106 88 11000 SH SOLE 0 0 11000 APPLE INC COM 037833100 5004 12333 SH SOLE 0 0 12333 ARENA PHARMACEUTICALS INC COM 040047102 211 149000 SH SOLE 0 0 149000 AT&T INC COM 00206R102 4489 154806 SH SOLE 0 0 154806 ATLANTIC PWR CORP COM NEW 04878Q863 1725 122856 SH SOLE 0 0 122856 AVALONBAY CMNTYS INC COM 053484101 358 2834 SH SOLE 0 0 2834 BANK OF AMERICA CORPORATION COM 060505104 1299 192157 SH SOLE 0 0 192157 BAYTEX ENERGY CORP COM 07317Q105 295 5550 SH SOLE 0 0 5550 BE AEROSPACE INC COM 073302101 446 12047 SH SOLE 0 0 12047 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 410 5316 SH SOLE 0 0 5316 BIOCRYST PHARMACEUTICALS COM 09058V103 99 33000 SH SOLE 0 0 33000 BIOMED REALTY TRUST INC COM 09063H107 199 11064 SH SOLE 0 0 11064 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 69 10200 SH SOLE 0 0 10200 BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 135 11100 SH SOLE 0 0 11100 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 475 32218 SH SOLE 0 0 32218 BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 78 12000 SH SOLE 0 0 12000 BLACKROCK LTD DURATION INC T COM SHS 09249W101 161 10163 SH SOLE 0 0 10163 BLACKROCK MUNICIPL INC QLTY COM 092479104 315 21750 SH SOLE 0 0 21750 BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 692 52500 SH SOLE 0 0 52500 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 312 22195 SH SOLE 0 0 22195 BOEING CO COM 097023105 1422 22040 SH SOLE 0 0 22040 BOISE INC COM 09746Y105 2230 376350 SH SOLE 0 0 376350 BP PLC SPONSORED ADR 055622104 557 13227 SH SOLE 0 0 13227 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 584 5473 SH SOLE 0 0 5473 BRIGUS GOLD CORP COM 109490102 1059 823000 SH SOLE 0 0 823000 BRISTOL MYERS SQUIBB CO COM 110122108 640 19595 SH SOLE 0 0 19595 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 337 5061 SH SOLE 0 0 5061 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 154 18100 SH SOLE 0 0 18100 CAPSTEAD MTG CORP COM NO PAR 14067E506 260 21700 SH SOLE 0 0 21700 CATERPILLAR INC DEL COM 149123101 3767 41092 SH SOLE 0 0 41092 CBRE CLARION GLOBAL REAL EST COM 12504G100 256 35356 SH SOLE 0 0 35356 CENTRAL FD CDA LTD CL A 153501101 5548 260201 SH SOLE 0 0 260201 CENTURYLINK INC COM 156700106 408 11718 SH SOLE 0 0 11718 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 574 36950 SH SOLE 0 0 36950 CHESAPEAKE ENERGY CORP COM 165167107 206 7224 SH SOLE 0 0 7224 CHEVRON CORP NEW COM 166764100 25383 238858 SH SOLE 0 0 238858 CHIMERA INVT CORP COM 16934Q109 533 178432 SH SOLE 0 0 178432 CISCO SYS INC COM 17275R102 1360 76883 SH SOLE 0 0 76883 CITIGROUP INC COM NEW 172967424 1943 61304 SH SOLE 0 0 61304 CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 208 5482 SH SOLE 0 0 5482 CLOROX CO DEL COM 189054109 418 6174 SH SOLE 0 0 6174 COCA COLA CO COM 191216100 1160 17030 SH SOLE 0 0 17030 COLGATE PALMOLIVE CO COM 194162103 463 5102 SH SOLE 0 0 5102 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 228 6780 SH SOLE 0 0 6780 COMPLETE PRODUCTION SERVICES COM 20453E109 1472 46000 SH SOLE 0 0 46000 CONOCOPHILLIPS COM 20825C104 1850 25657 SH SOLE 0 0 25657 CONSOLIDATED EDISON INC COM 209115104 2156 36216 SH SOLE 0 0 36216 CORE LABORATORIES N V COM N22717107 370 3650 SH SOLE 0 0 3650 COSTCO WHSL CORP NEW COM 22160K105 278 3323 SH SOLE 0 0 3323 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 135 45000 SH SOLE 0 0 45000 CSX CORP COM 126408103 344 15716 SH SOLE 0 0 15716 CUMMINS INC COM 231021106 1239 12472 SH SOLE 0 0 12472 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 4685 44640 SH SOLE 0 0 44640 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 573 5105 SH SOLE 0 0 5105 DEERE & CO COM 244199105 852 11530 SH SOLE 0 0 11530 DELUXE CORP COM 248019101 2240 93800 SH SOLE 0 0 93800 DENDREON CORP COM 24823Q107 351 33300 SH SOLE 0 0 33300 DNP SELECT INCOME FD COM 23325P104 457 42430 SH SOLE 0 0 42430 DOMINION RES INC VA NEW COM 25746U109 750 14567 SH SOLE 0 0 14567 DOW CHEM CO COM 260543103 393 14068 SH SOLE 0 0 14068 DU PONT E I DE NEMOURS & CO COM 263534109 616 13337 SH SOLE 0 0 13337 DUKE ENERGY CORP NEW COM 26441C105 493 24445 SH SOLE 0 0 24445 DWS MULTI MKT INCOME TR SHS 23338L108 242 24200 SH SOLE 0 0 24200 DYNEX CAP INC COM NEW 26817Q506 127 14125 SH SOLE 0 0 14125 EATON CORP COM 278058102 212 4805 SH SOLE 0 0 4805 EATON VANCE ENHANCED EQ INC COM 278274105 180 17400 SH SOLE 0 0 17400 EATON VANCE SH TM DR DIVR IN COM 27828V104 1004 60934 SH SOLE 0 0 60934 EATON VANCE SR FLTNG RTE TR COM 27828Q105 489 34950 SH SOLE 0 0 34950 EATON VANCE SR INCOME TR SH BEN INT 27826S103 108 16800 SH SOLE 0 0 16800 EATON VANCE TXMGD GL BUYWR O COM 27829C105 248 23300 SH SOLE 0 0 23300 EDISON INTL COM 281020107 533 13502 SH SOLE 0 0 13502 EGA EMERGING GLOBAL SHS TR EGS BRAZ INF ETF 268461829 216 9880 SH SOLE 0 0 9880 EMERSON ELEC CO COM 291011104 307 6489 SH SOLE 0 0 6489 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 862 29370 SH SOLE 0 0 29370 ENBRIDGE INC COM 29250N105 271 7700 SH SOLE 0 0 7700 ENDEAVOUR SILVER CORP COM 29258Y103 3996 405786 SH SOLE 0 0 405786 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 751 17058 SH SOLE 0 0 17058 ENERPLUS CORP COM 292766102 386 13640 SH SOLE 0 0 13640 ENTERPRISE PRODS PARTNERS L COM 293792107 4213 95412 SH SOLE 0 0 95412 ENTERTAINMENT PPTYS TR CONV PFD 9% SR E 29380T600 232 8625 SH SOLE 0 0 8625 EOG RES INC COM 26875P101 249 2713 SH SOLE 0 0 2713 ETFS GOLD TR SHS 26922Y105 208 1275 SH SOLE 0 0 1275 ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 430 4600 SH SOLE 0 0 4600 EXCO RESOURCES INC COM 269279402 583 48300 SH SOLE 0 0 48300 EXELON CORP COM 30161N101 564 13124 SH SOLE 0 0 13124 EXETER RES CORP COM 301835104 518 148000 SH SOLE 0 0 148000 EXXON MOBIL CORP COM 30231G102 5994 74883 SH SOLE 0 0 74883 FEDEX CORP COM 31428X106 578 7089 SH SOLE 0 0 7089 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 743 35128 SH SOLE 0 0 35128 FIFTH STREET FINANCE CORP COM 31678A103 678 68334 SH SOLE 0 0 68334 FIRST MAJESTIC SILVER CORP COM 32076V103 2214 135074 SH SOLE 0 0 135074 FIRST TR EXCHANGE TRADED FD NY ARCA BIOTECH 33733E203 227 6349 SH SOLE 0 0 6349 FIRST TR EXCHANGE TRADED FD ENERGY ALPHADX 33734X127 294 14700 SH SOLE 0 0 14700 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 218 8060 SH SOLE 0 0 8060 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 281 13500 SH SOLE 0 0 13500 FIRST TR EXCNGE TRD ALPHADEX MEGA CAP ALPHA 33737M508 252 14000 SH SOLE 0 0 14000 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 321 11662 SH SOLE 0 0 11662 FIRST TR SR FLG RTE INCM FD COM 33733U108 669 49200 SH SOLE 0 0 49200 FIRST TR VALUE LINE DIVID IN SHS 33734H106 806 50758 SH SOLE 0 0 50758 FIRSTENERGY CORP COM 337932107 232 5094 SH SOLE 0 0 5094 FORD MTR CO DEL COM PAR $0.01 345370860 2731 216414 SH SOLE 0 0 216414 FRANKLIN STREET PPTYS CORP COM 35471R106 132 10312 SH SOLE 0 0 10312 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 264 20625 SH SOLE 0 0 20625 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1050 26313 SH SOLE 0 0 26313 FRONTIER COMMUNICATIONS CORP COM 35906A108 171 29143 SH SOLE 0 0 29143 GABELLI GLB GLD NAT RES & IN COM SHS BN INT 36244N109 620 40309 SH SOLE 0 0 40309 GENERAL ELECTRIC CO COM 369604103 4061 247414 SH SOLE 0 0 247414 GENERAL MLS INC COM 370334104 340 8646 SH SOLE 0 0 8646 GENERAL MTRS CO JR PFD CNV SRB 37045V209 243 6070 SH SOLE 0 0 6070 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 254 5761 SH SOLE 0 0 5761 GLOBAL X FDS GLB X URANIUM 37950E754 177 19138 SH SOLE 0 0 19138 GOLDCORP INC NEW COM 380956409 528 11380 SH SOLE 0 0 11380 GOLDEN STAR RES LTD CDA COM 38119T104 188 88000 SH SOLE 0 0 88000 GOLDMAN SACHS GROUP INC COM 38141G104 286 2788 SH SOLE 0 0 2788 GREENBRIER COS INC COM 393657101 378 21085 SH SOLE 0 0 21085 GREENHAVEN CONT CMDTY INDEX UNIT BEN INT 395258106 210 6487 SH SOLE 0 0 6487 HALLIBURTON CO COM 406216101 257 7183 SH SOLE 0 0 7183 HANCOCK JOHN PFD INCOME FD I COM 41013X106 313 14825 SH SOLE 0 0 14825 HAWAIIAN ELEC INDUSTRIES COM 419870100 361 14052 SH SOLE 0 0 14052 HEALTH CARE REIT INC COM 42217K106 429 8490 SH SOLE 0 0 8490 HEALTHCARE SVCS GRP INC COM 421906108 263 14876 SH SOLE 0 0 14876 HEALTHSOUTH CORP COM NEW 421924309 191 10725 SH SOLE 0 0 10725 HESS CORP COM 42809H107 200 3353 SH SOLE 0 0 3353 HEWLETT PACKARD CO COM 428236103 371 14287 SH SOLE 0 0 14287 HOME DEPOT INC COM 437076102 304 8355 SH SOLE 0 0 8355 HUNTSMAN CORP COM 447011107 1281 114900 SH SOLE 0 0 114900 HYPERDYNAMICS CORP COM 448954107 660 132000 SH SOLE 0 0 132000 ING GLOBAL EQTY DIV & PREM O COM 45684E107 201 20094 SH SOLE 0 0 20094 ING PRIME RATE TR SH BEN INT 44977W106 775 151695 SH SOLE 0 0 151695 INLAND REAL ESTATE CORP COM NEW 457461200 273 36240 SH SOLE 0 0 36240 INTEL CORP COM 458140100 1256 51255 SH SOLE 0 0 51255 INTERNATIONAL BUSINESS MACHS COM 459200101 3343 18335 SH SOLE 0 0 18335 INTERNATIONAL TOWER HILL MIN COM 46050R102 70 14000 SH SOLE 0 0 14000 INVESCO MORTGAGE CAPITAL INC COM 46131B100 1197 78450 SH SOLE 0 0 78450 INVESCO VAN KAMPEN SR INC TR COM 46131H107 78 18375 SH SOLE 0 0 18375 INVESTORS REAL ESTATE TR SH BEN INT 461730103 1565 211611 SH SOLE 0 0 211611 ISHARES INC MSCI BRAZIL 464286400 382 6345 SH SOLE 0 0 6345 ISHARES INC MSCI BRIC INDX 464286657 304 7829 SH SOLE 0 0 7829 ISHARES INC MSCI PAC J IDX 464286665 312 7203 SH SOLE 0 0 7203 ISHARES INC MSCI GERMAN 464286806 268 12600 SH SOLE 0 0 12600 ISHARES INC MSCI JAPAN 464286848 263 26825 SH SOLE 0 0 26825 ISHARES SILVER TRUST ISHARES 46428Q109 2520 81704 SH SOLE 0 0 81704 ISHARES TR LRGE GRW INDX 464287119 279 4162 SH SOLE 0 0 4162 ISHARES TR DJ SEL DIV INX 464287168 1538 29396 SH SOLE 0 0 29396 ISHARES TR BARCLYS TIPS BD 464287176 15216 132788 SH SOLE 0 0 132788 ISHARES TR S&P 500 INDEX 464287200 3292 26142 SH SOLE 0 0 26142 ISHARES TR BARCLY USAGG B 464287226 321673 2944327 SH SOLE 0 0 2944327 ISHARES TR MSCI EMERG MKT 464287234 373 9315 SH SOLE 0 0 9315 ISHARES TR IBOXX INV CPBD 464287242 2542 22421 SH SOLE 0 0 22421 ISHARES TR S&P GBL INF 464287291 321 5224 SH SOLE 0 0 5224 ISHARES TR S&P500 GRW 464287309 2373 34867 SH SOLE 0 0 34867 ISHARES TR S&P NA NAT RES 464287374 245 6223 SH SOLE 0 0 6223 ISHARES TR S&P 500 VALUE 464287408 1399 24262 SH SOLE 0 0 24262 ISHARES TR BARCLYS 7-10 YR 464287440 2629 25364 SH SOLE 0 0 25364 ISHARES TR BARCLYS 1-3 YR 464287457 33629 397688 SH SOLE 0 0 397688 ISHARES TR MSCI EAFE INDEX 464287465 994 18813 SH SOLE 0 0 18813 ISHARES TR RUSSELL MCP VL 464287473 254 5894 SH SOLE 0 0 5894 ISHARES TR RUSSELL MIDCAP 464287499 1060 10629 SH SOLE 0 0 10629 ISHARES TR S&P MIDCAP 400 464287507 2707 30577 SH SOLE 0 0 30577 ISHARES TR COHEN&ST RLTY 464287564 916 13305 SH SOLE 0 0 13305 ISHARES TR RUSSELL1000VAL 464287598 492 7812 SH SOLE 0 0 7812 ISHARES TR S&P MC 400 GRW 464287606 657 6482 SH SOLE 0 0 6482 ISHARES TR RUSSELL1000GRW 464287614 1213 20755 SH SOLE 0 0 20755 ISHARES TR RUSSELL 1000 464287622 1182 17068 SH SOLE 0 0 17068 ISHARES TR RUSL 2000 VALU 464287630 690 10542 SH SOLE 0 0 10542 ISHARES TR RUSL 2000 GROW 464287648 1196 14207 SH SOLE 0 0 14207 ISHARES TR RUSSELL 2000 464287655 2492 33913 SH SOLE 0 0 33913 ISHARES TR RUSL 3000 VALU 464287663 588 7118 SH SOLE 0 0 7118 ISHARES TR RUSL 3000 GROW 464287671 506 10630 SH SOLE 0 0 10630 ISHARES TR RUSSELL 3000 464287689 758 10200 SH SOLE 0 0 10200 ISHARES TR DJ US TELECOMM 464287713 235 10924 SH SOLE 0 0 10924 ISHARES TR DJ US TECH SEC 464287721 11551 175088 SH SOLE 0 0 175088 ISHARES TR DJ US HEALTHCR 464287762 278 3999 SH SOLE 0 0 3999 ISHARES TR DJ US ENERGY 464287796 347 8756 SH SOLE 0 0 8756 ISHARES TR S&P SMLCAP 600 464287804 1806 26999 SH SOLE 0 0 26999 ISHARES TR DJ US BAS MATL 464287838 276 4135 SH SOLE 0 0 4135 ISHARES TR S&P SMLCP VALU 464287879 340 4962 SH SOLE 0 0 4962 ISHARES TR S&P SMLCP GROW 464287887 698 9547 SH SOLE 0 0 9547 ISHARES TR LARGE VAL INDX 464288109 2164 37343 SH SOLE 0 0 37343 ISHARES TR S&P CITINT TBD 464288117 237 2193 SH SOLE 0 0 2193 ISHARES TR S&P SH NTL AMTFR 464288158 222 2100 SH SOLE 0 0 2100 ISHARES TR MID CORE INDEX 464288208 1317 15560 SH SOLE 0 0 15560 ISHARES TR JPMORGAN USD 464288281 4213 38244 SH SOLE 0 0 38244 ISHARES TR S&P NTL AMTFREE 464288414 237 2250 SH SOLE 0 0 2250 ISHARES TR SMLL CORE INDX 464288505 845 10146 SH SOLE 0 0 10146 ISHARES TR HIGH YLD CORP 464288513 8926 98939 SH SOLE 0 0 98939 ISHARES TR BARCLYS MBS BD 464288588 46854 437445 SH SOLE 0 0 437445 ISHARES TR BARCLYS INTER GV 464288612 260 2344 SH SOLE 0 0 2344 ISHARES TR BARCLYS CR BD 464288620 37045 341512 SH SOLE 0 0 341512 ISHARES TR BARCLYS 1-3YR CR 464288646 9218 88671 SH SOLE 0 0 88671 ISHARES TR BARCLYS 3-7 YR 464288661 1299 10838 SH SOLE 0 0 10838 ISHARES TR US PFD STK IDX 464288687 2035 55022 SH SOLE 0 0 55022 ISHARES TR RSSL MCRCP IDX 464288869 392 8862 SH SOLE 0 0 8862 ISHARES TR RUS200 VAL IDX 464289420 1972 73113 SH SOLE 0 0 73113 JOHNSON & JOHNSON COM 478160104 2248 34922 SH SOLE 0 0 34922 JPMORGAN CHASE & CO COM 46625H100 727 21085 SH SOLE 0 0 21085 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1401 37940 SH SOLE 0 0 37940 KEEGAN RES INC COM 487275109 719 123429 SH SOLE 0 0 123429 KIMBER RES INC COM 49435N101 1197 912641 SH SOLE 0 0 912641 KIMBERLY CLARK CORP COM 494368103 274 3947 SH SOLE 0 0 3947 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2383 30838 SH SOLE 0 0 30838 KINROSS GOLD CORP COM NO PAR 496902404 538 38360 SH SOLE 0 0 38360 KRAFT FOODS INC CL A 50075N104 388 10726 SH SOLE 0 0 10726 LILLY ELI & CO COM 532457108 600 15737 SH SOLE 0 0 15737 LINN ENERGY LLC UNIT LTD LIAB 536020100 321 8275 SH SOLE 0 0 8275 LOWES COS INC COM 548661107 433 19879 SH SOLE 0 0 19879 LTC PPTYS INC COM 502175102 470 16871 SH SOLE 0 0 16871 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 221 3444 SH SOLE 0 0 3444 MARATHON OIL CORP COM 565849106 2402 91534 SH SOLE 0 0 91534 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 400 6969 SH SOLE 0 0 6969 MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 1774 69470 SH SOLE 0 0 69470 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2769 90580 SH SOLE 0 0 90580 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 2299 77178 SH SOLE 0 0 77178 MCDONALDS CORP COM 580135101 1887 20479 SH SOLE 0 0 20479 MEDLEY CAP CORP COM 58503F106 112 11200 SH SOLE 0 0 11200 MERCK & CO INC NEW COM 58933Y105 1344 40057 SH SOLE 0 0 40057 MFS INTER INCOME TR SH BEN INT 55273C107 132 20739 SH SOLE 0 0 20739 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 351 53069 SH SOLE 0 0 53069 MFS MUN INCOME TR SH BEN INT 552738106 703 101200 SH SOLE 0 0 101200 MICROSOFT CORP COM 594918104 1787 65790 SH SOLE 0 0 65790 MIDWAY GOLD CORP COM 598153104 120 56200 SH SOLE 0 0 56200 MINEFINDERS LTD COM 602900102 1243 89204 SH SOLE 0 0 89204 NATIONAL GRID PLC SPON ADR NEW 636274300 243 4850 SH SOLE 0 0 4850 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 231 13981 SH SOLE 0 0 13981 NEUBERGER BERMAN HGH YLD FD COM 64128C106 729 55089 SH SOLE 0 0 55089 NEW AMER HIGH INCOME FD INC COM NEW 641876800 336 34197 SH SOLE 0 0 34197 NORTHGATE MINERALS CORP COM 666416102 7124 2007000 SH SOLE 0 0 2007000 NUSTAR ENERGY LP UNIT COM 67058H102 327 5872 SH SOLE 0 0 5872 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 126 11550 SH SOLE 0 0 11550 NUVEEN INSD MUN OPPORTUNITY COM 670984103 330 23385 SH SOLE 0 0 23385 NUVEEN INSD QUALITY MUN FD I COM 67062N103 294 20814 SH SOLE 0 0 20814 NUVEEN INVT QUALITY MUN FD I COM 67062E103 198 13650 SH SOLE 0 0 13650 NUVEEN MULT CURR ST GV INCM COM 67090N109 152 11220 SH SOLE 0 0 11220 NUVEEN MULTI STRAT INC & GR COM 67073B106 604 76494 SH SOLE 0 0 76494 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 288 20982 SH SOLE 0 0 20982 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 198 15339 SH SOLE 0 0 15339 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 252 17460 SH SOLE 0 0 17460 NUVEEN PREM INCOME MUN FD COM 67062T100 246 17880 SH SOLE 0 0 17880 NUVEEN QUALITY PFD INCOME FD COM 67072C105 474 59760 SH SOLE 0 0 59760 NUVEEN TAX ADV FLTG RATE FUN COM 6706EV102 24 11700 SH SOLE 0 0 11700 OCCIDENTAL PETE CORP DEL COM 674599105 841 9649 SH SOLE 0 0 9649 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 468 3600 SH SOLE 0 0 3600 OILSANDS QUEST INC COM 678046103 6 36700 SH SOLE 0 0 36700 OMEGA HEALTHCARE INVS INC COM 681936100 835 46425 SH SOLE 0 0 46425 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 1184 23692 SH SOLE 0 0 23692 ORACLE CORP COM 68389X105 1092 33504 SH SOLE 0 0 33504 PARAMOUNT GOLD & SILVER CORP COM 69924P102 136 51000 SH SOLE 0 0 51000 PAYCHEX INC COM 704326107 244 8367 SH SOLE 0 0 8367 PENGROWTH ENERGY CORP COM 70706P104 1097 107810 SH SOLE 0 0 107810 PENN VA RESOURCES PARTNERS L COM 707884102 764 28523 SH SOLE 0 0 28523 PENN WEST PETE LTD NEW COM 707887105 1201 67124 SH SOLE 0 0 67124 PEPSICO INC COM 713448108 925 14968 SH SOLE 0 0 14968 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 303 12553 SH SOLE 0 0 12553 PFIZER INC COM 717081103 966 49934 SH SOLE 0 0 49934 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 975 14300 SH SOLE 0 0 14300 PHILIP MORRIS INTL INC COM 718172109 1093 15691 SH SOLE 0 0 15691 PHOENIX COS INC NEW COM 71902E109 61 46000 SH SOLE 0 0 46000 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 424 24863 SH SOLE 0 0 24863 PIMCO CALIF MUN INCOME FD II COM 72200M108 235 25100 SH SOLE 0 0 25100 PIMCO CORPORATE INCOME FD COM 72200U100 315 20400 SH SOLE 0 0 20400 PIMCO CORPORATE OPP FD COM 72201B101 468 27475 SH SOLE 0 0 27475 PIMCO ETF TR BLD AMER BD FD 72201R825 1065 20028 SH SOLE 0 0 20028 PIMCO HIGH INCOME FD COM SHS 722014107 4558 371939 SH SOLE 0 0 371939 PIMCO INCOME OPPORTUNITY FD COM 72202B100 2846 109743 SH SOLE 0 0 109743 PIMCO INCOME STRATEGY FUND COM 72201H108 491 47559 SH SOLE 0 0 47559 PIMCO INCOME STRATEGY FUND I COM 72201J104 339 37975 SH SOLE 0 0 37975 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 165 14622 SH SOLE 0 0 14622 PIONEER HIGH INCOME TR COM 72369H106 171 10125 SH SOLE 0 0 10125 PIONEER MUN HIGH INCOME TR COM SHS 723763108 648 45300 SH SOLE 0 0 45300 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 400 6117 SH SOLE 0 0 6117 POTASH CORP SASK INC COM 73755L107 554 10975 SH SOLE 0 0 10975 POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 2685 111525 SH SOLE 0 0 111525 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 375 22350 SH SOLE 0 0 22350 POWERSHARES ETF TRUST ENERGY SEC POR 73935X385 4434 115866 SH SOLE 0 0 115866 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 208 10984 SH SOLE 0 0 10984 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 5569 364022 SH SOLE 0 0 364022 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 2920 111023 SH SOLE 0 0 111023 POWERSHARES ETF TRUST DYN BIOT & GEN 73935X856 1031 50600 SH SOLE 0 0 50600 POWERSHARES ETF TRUST II CEF INC COMPST 73936Q843 216 9000 SH SOLE 0 0 9000 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 7080 387749 SH SOLE 0 0 387749 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 498 35520 SH SOLE 0 0 35520 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 644 23823 SH SOLE 0 0 23823 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3425 58536 SH SOLE 0 0 58536 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 259 8383 SH SOLE 0 0 8383 PPL CORP COM 69351T106 367 12604 SH SOLE 0 0 12604 PROCTER & GAMBLE CO COM 742718109 21934 335476 SH SOLE 0 0 335476 PROGRESS ENERGY INC COM 743263105 201 3842 SH SOLE 0 0 3842 PROSPECT CAPITAL CORPORATION COM 74348T102 3126 325950 SH SOLE 0 0 325950 PROVIDENT ENERGY LTD NEW COM 74386V100 1423 154457 SH SOLE 0 0 154457 PUBLIC STORAGE COM 74460D109 295 2387 SH SOLE 0 0 2387 PUBLIC SVC ENTERPRISE GROUP COM 744573106 327 9552 SH SOLE 0 0 9552 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 321 62715 SH SOLE 0 0 62715 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 221 39668 SH SOLE 0 0 39668 QUALCOMM INC COM 747525103 306 5696 SH SOLE 0 0 5696 QUATERRA RES INC COM 747952109 371 416625 SH SOLE 0 0 416625 RAYONIER INC COM 754907103 258 6216 SH SOLE 0 0 6216 REALTY INCOME CORP COM 756109104 670 19890 SH SOLE 0 0 19890 RESOURCE CAP CORP COM 76120W302 56 11100 SH SOLE 0 0 11100 REYNOLDS AMERICAN INC COM 761713106 221 5588 SH SOLE 0 0 5588 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 349 4804 SH SOLE 0 0 4804 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 396 5584 SH SOLE 0 0 5584 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 681 14664 SH SOLE 0 0 14664 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 1702 37938 SH SOLE 0 0 37938 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 446 5468 SH SOLE 0 0 5468 SABINE ROYALTY TR UNIT BEN INT 785688102 459 6874 SH SOLE 0 0 6874 SCHLUMBERGER LTD COM 806857108 809 11598 SH SOLE 0 0 11598 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 295 9826 SH SOLE 0 0 9826 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 2567 77992 SH SOLE 0 0 77992 SEADRILL LIMITED SHS G7945E105 1428 42280 SH SOLE 0 0 42280 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 4671 138815 SH SOLE 0 0 138815 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 7029 224797 SH SOLE 0 0 224797 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 11617 291112 SH SOLE 0 0 291112 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 830 11894 SH SOLE 0 0 11894 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4274 318543 SH SOLE 0 0 318543 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 4394 132322 SH SOLE 0 0 132322 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 262 10152 SH SOLE 0 0 10152 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3161 91068 SH SOLE 0 0 91068 SEMPRA ENERGY COM 816851109 300 5494 SH SOLE 0 0 5494 SENIOR HSG PPTYS TR SH BEN INT 81721M109 386 17100 SH SOLE 0 0 17100 SILVER STD RES INC COM 82823L106 207 11976 SH SOLE 0 0 11976 SILVER WHEATON CORP COM 828336107 5896 188276 SH SOLE 0 0 188276 SILVERCORP METALS INC COM 82835P103 981 101740 SH SOLE 0 0 101740 SIRIUS XM RADIO INC COM 82967N108 43 23500 SH SOLE 0 0 23500 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 10429 87618 SH SOLE 0 0 87618 SPDR GOLD TRUST GOLD SHS 78463V107 18572 115381 SH SOLE 0 0 115381 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 1409 19740 SH SOLE 0 0 19740 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 1731 48350 SH SOLE 0 0 48350 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 448 9059 SH SOLE 0 0 9059 SPDR S&P 500 ETF TR TR UNIT 78462F103 5314 42320 SH SOLE 0 0 42320 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 325 2030 SH SOLE 0 0 2030 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 436 6830 SH SOLE 0 0 6830 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 13726 264990 SH SOLE 0 0 264990 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 420 12597 SH SOLE 0 0 12597 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 4709 118771 SH SOLE 0 0 118771 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 8296 343046 SH SOLE 0 0 343046 SPDR SERIES TRUST DB INT GVT ETF 78464A490 1306 22405 SH SOLE 0 0 22405 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 3072 50197 SH SOLE 0 0 50197 SPDR SERIES TRUST DJ REIT ETF 78464A607 380 6050 SH SOLE 0 0 6050 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 679 11798 SH SOLE 0 0 11798 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 234 4120 SH SOLE 0 0 4120 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 766 14226 SH SOLE 0 0 14226 SPDR SERIES TRUST S&P DIVID ETF 78464A763 3002 56335 SH SOLE 0 0 56335 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 541 37310 SH SOLE 0 0 37310 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 282 19229 SH SOLE 0 0 19229 STARBUCKS CORP COM 855244109 2791 65601 SH SOLE 0 0 65601 SUN COMMUNITIES INC COM 866674104 283 7360 SH SOLE 0 0 7360 TANZANIAN ROYALTY EXPL CORP COM 87600U104 110 30000 SH SOLE 0 0 30000 TARGET CORP COM 87612E106 245 4548 SH SOLE 0 0 4548 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN Y8565J101 441 16917 SH SOLE 0 0 16917 TEMPLETON DRAGON FD INC COM 88018T101 399 15804 SH SOLE 0 0 15804 TEMPLETON GLOBAL INCOME FD COM 880198106 1517 154470 SH SOLE 0 0 154470 TEREX CORP NEW COM 880779103 235 15700 SH SOLE 0 0 15700 TERRA NITROGEN CO L P COM UNIT 881005201 1002 6175 SH SOLE 0 0 6175 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1160 29190 SH SOLE 0 0 29190 TITANIUM METALS CORP COM NEW 888339207 235 14336 SH SOLE 0 0 14336 TOWERSTREAM CORP COM 892000100 664 227500 SH SOLE 0 0 227500 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 205 2965 SH SOLE 0 0 2965 TRANSCANADA CORP COM 89353D107 661 15106 SH SOLE 0 0 15106 TRANSOCEAN LTD REG SHS H8817H100 1082 19421 SH SOLE 0 0 19421 U S G CORP COM NEW 903293405 499 51830 SH SOLE 0 0 51830 UNION PAC CORP COM 907818108 210 2175 SH SOLE 0 0 2175 UNITED PARCEL SERVICE INC CL B 911312106 1473 20774 SH SOLE 0 0 20774 UNITED TECHNOLOGIES CORP COM 913017109 545 7129 SH SOLE 0 0 7129 URANERZ ENERGY CORP COM 91688T104 95 47500 SH SOLE 0 0 47500 US BANCORP DEL COM NEW 902973304 344 13412 SH SOLE 0 0 13412 US GOLD CORPORATION COM PAR $0.10 912023207 2463 585000 SH SOLE 0 0 585000 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 9142 101895 SH SOLE 0 0 101895 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 16756 193926 SH SOLE 0 0 193926 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 27838 342293 SH SOLE 0 0 342293 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 11844 142349 SH SOLE 0 0 142349 VANGUARD INDEX FDS REIT ETF 922908553 534 9455 SH SOLE 0 0 9455 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 362 6905 SH SOLE 0 0 6905 VANGUARD INDEX FDS GROWTH ETF 922908736 12506 199812 SH SOLE 0 0 199812 VANGUARD INDEX FDS VALUE ETF 922908744 12068 232597 SH SOLE 0 0 232597 VANGUARD INDEX FDS SMALL CP ETF 922908751 637 9081 SH SOLE 0 0 9081 VANGUARD INDEX FDS TOTAL STK MKT 922908769 644 10041 SH SOLE 0 0 10041 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 901 19982 SH SOLE 0 0 19982 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 1244 30233 SH SOLE 0 0 30233 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 5898 75919 SH SOLE 0 0 75919 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 21060 407074 SH SOLE 0 0 407074 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 296 3563 SH SOLE 0 0 3563 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 458 8606 SH SOLE 0 0 8606 VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 3627 108751 SH SOLE 0 0 108751 VANGUARD WORLD FD MEGA VALUE 300 921910840 205 5426 SH SOLE 0 0 5426 VANGUARD WORLD FD MEGA CAP INDEX 921910873 828 19344 SH SOLE 0 0 19344 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 357 5540 SH SOLE 0 0 5540 VANGUARD WORLD FDS UTILITIES ETF 92204A876 482 6513 SH SOLE 0 0 6513 VECTOR GROUP LTD COM 92240M108 622 34894 SH SOLE 0 0 34894 VERIZON COMMUNICATIONS INC COM 92343V104 3585 97271 SH SOLE 0 0 97271 VISA INC COM CL A 92826C839 204 2198 SH SOLE 0 0 2198 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 612 21643 SH SOLE 0 0 21643 WAL MART STORES INC COM 931142103 733 12934 SH SOLE 0 0 12934 WALGREEN CO COM 931422109 2488 72464 SH SOLE 0 0 72464 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 480 32090 SH SOLE 0 0 32090 WELLPOINT INC COM 94973V107 573 8403 SH SOLE 0 0 8403 WELLS FARGO & CO NEW COM 949746101 752 28288 SH SOLE 0 0 28288 WESTERN ASSET CLYM INFL OPP COM 95766R104 207 16200 SH SOLE 0 0 16200 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 153 12000 SH SOLE 0 0 12000 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 285 18000 SH SOLE 0 0 18000 WHOLE FOODS MKT INC COM 966837106 339 4616 SH SOLE 0 0 4616 WISDOMTREE TRUST EQTY INC ETF 97717W208 530 12820 SH SOLE 0 0 12820 WISDOMTREE TRUST LARGECAP DIVID 97717W307 2339 49154 SH SOLE 0 0 49154 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 929 17628 SH SOLE 0 0 17628 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 2002 39450 SH SOLE 0 0 39450 YAMANA GOLD INC COM 98462Y100 7736 513553 SH SOLE 0 0 513553