0001085146-12-000026.txt : 20120113 0001085146-12-000026.hdr.sgml : 20120113 20120112211808 ACCESSION NUMBER: 0001085146-12-000026 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120113 DATE AS OF CHANGE: 20120112 EFFECTIVENESS DATE: 20120113 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: 12525151 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 npc_npc4q2011.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: December 31, 2011 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: National Planning Corporation Address: 401 Wilshire Boulevard, Suite 1100 Santa Monica, CA 90401 13F File Number: 028-13971 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Sean Haley Title: Chief Compliance Officer Phone: (310)-899-7813 Signature, Place, and Date of Signing: /s/ Sean Haley Santa Monica, CA January 12, 2012 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: 2 Form 13F Information Table Entry Total: 477 Form 13F Information Table Value Total: $1,159,006 (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. No. 13F File Number Name 01 028-12345 XYZ Investment Advisors 02 028-67899 ACN Asset Management 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 604 7420 SH SOLE 0 0 7420 ABB LTD SPONSORED ADR 000375204 197 10680 SH SOLE 0 0 10680 ABBOTT LABS COM 002824100 1099 19429 SH SOLE 0 0 19429 ABERDEEN ASIA PACIFIC INCOM COM 003009107 1137 153496 SH SOLE 0 0 153496 ADVISORSHARES TR ACTIV BEAR ETF 00768Y883 2169 86521 SH SOLE 0 0 86521 AGIC CONV & INCOME FD COM 001190107 184 21939 SH SOLE 0 0 21939 ALCOA INC COM 013817101 625 72074 SH SOLE 0 0 72074 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 1197 85000 SH SOLE 0 0 85000 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 171 21108 SH SOLE 0 0 21108 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 201 13542 SH SOLE 0 0 13542 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 78 18087 SH SOLE 0 0 18087 ALPS ETF TR ALERIAN MLP 00162Q866 463 28183 SH SOLE 0 0 28183 ALTRIA GROUP INC COM 02209S103 1196 40176 SH SOLE 0 0 40176 AMAZON COM INC COM 023135106 223 1260 SH SOLE 0 0 1260 AMEREN CORP COM 023608102 226 6827 SH SOLE 0 0 6827 AMERICAN CAPITAL AGENCY CORP COM 02503X105 558 19920 SH SOLE 0 0 19920 AMERICAN ELEC PWR INC COM 025537101 253 6130 SH SOLE 0 0 6130 AMERICAN EXPRESS CO COM 025816109 255 5466 SH SOLE 0 0 5466 AMERICAN INTL GROUP INC COM NEW 026874784 335 14521 SH SOLE 0 0 14521 AMERICAN SELECT PORTFOLIO IN COM 029570108 240 24000 SH SOLE 0 0 24000 AMERIGAS PARTNERS L P UNIT L P INT 030975106 527 11385 SH SOLE 0 0 11385 ANNALY CAP MGMT INC COM 035710409 8050 504060 SH SOLE 0 0 504060 ANWORTH MORTGAGE ASSET CP COM 037347101 104 16900 SH SOLE 0 0 16900 APOLLO INVT CORP COM 03761U106 1397 219100 SH SOLE 0 0 219100 APPLE INC COM 037833100 1980 4884 SH SOLE 0 0 4884 ARENA PHARMACEUTICALS INC COM 040047102 24 12000 SH SOLE 0 0 12000 ARMOUR RESIDENTIAL REIT INC COM 042315101 479 68600 SH SOLE 0 0 68600 AT&T INC COM 00206R102 4385 145479 SH SOLE 0 0 145479 ATLANTIC PWR CORP COM NEW 04878Q863 2333 163068 SH SOLE 0 0 163068 AURICO GOLD INC COM 05155C105 149 18621 SH SOLE 0 0 18621 AVALONBAY CMNTYS INC COM 053484101 270 2051 SH SOLE 0 0 2051 B & G FOODS INC NEW COM 05508R106 229 9552 SH SOLE 0 0 9552 BAIDU INC SPON ADR REP A 056752108 263 2248 SH SOLE 0 0 2248 BANK MONTREAL QUE COM 063671101 623 11482 SH SOLE 0 0 11482 BANK OF AMERICA CORPORATION COM 060505104 775 137092 SH SOLE 0 0 137092 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 206 5778 SH SOLE 0 0 5778 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 864 11441 SH SOLE 0 0 11441 BLACKROCK FL RATE OME STRA I COM SHS 09255Y108 135 11100 SH SOLE 0 0 11100 BLACKROCK GLOBAL OPP EQTY TR COM 092501105 401 30418 SH SOLE 0 0 30418 BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 135 20000 SH SOLE 0 0 20000 BLACKROCK KELSO CAPITAL CORP COM 092533108 196 24466 SH SOLE 0 0 24466 BLACKROCK MUNIASSETS FD INC COM 09254J102 205 16150 SH SOLE 0 0 16150 BLACKROCK MUNICIPL INC QLTY COM 092479104 428 29000 SH SOLE 0 0 29000 BLACKROCK MUNIYIELD ARIZ FD COM 09254K109 1012 71600 SH SOLE 0 0 71600 BLDRS INDEX FDS TR EMER MK 50 ADR 09348R300 215 5596 SH SOLE 0 0 5596 BOEING CO COM 097023105 1115 15162 SH SOLE 0 0 15162 BP PLC SPONSORED ADR 055622104 531 12444 SH SOLE 0 0 12444 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 604 5321 SH SOLE 0 0 5321 BRIGUS GOLD CORP COM 109490102 252 252000 SH SOLE 0 0 252000 BRISTOL MYERS SQUIBB CO COM 110122108 857 24078 SH SOLE 0 0 24078 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 342 5361 SH SOLE 0 0 5361 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 283 24788 SH SOLE 0 0 24788 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 86 10100 SH SOLE 0 0 10100 CATERPILLAR INC DEL COM 149123101 2761 30578 SH SOLE 0 0 30578 CBRE CLARION GLOBAL REAL EST COM 12504G100 177 26517 SH SOLE 0 0 26517 CENTRAL FD CDA LTD CL A 153501101 26102 1333235 SH SOLE 0 0 1333235 CENTURYLINK INC COM 156700106 751 20114 SH SOLE 0 0 20114 CHEVRON CORP NEW COM 166764100 22990 216055 SH SOLE 0 0 216055 CHIMERA INVT CORP COM 16934Q109 460 179432 SH SOLE 0 0 179432 CISCO SYS INC COM 17275R102 1134 62469 SH SOLE 0 0 62469 CITIGROUP INC COM NEW 172967424 505 19121 SH SOLE 0 0 19121 CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 1425 40675 SH SOLE 0 0 40675 CLAYMORE EXCHANGE TRD FD TR WLSHR US REIT 18383M472 350 10834 SH SOLE 0 0 10834 CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 252 12513 SH SOLE 0 0 12513 CLOROX CO DEL COM 189054109 469 7017 SH SOLE 0 0 7017 COCA COLA CO COM 191216100 1468 21074 SH SOLE 0 0 21074 COEUR D ALENE MINES CORP IDA COM NEW 192108504 948 39533 SH SOLE 0 0 39533 COLGATE PALMOLIVE CO COM 194162103 476 5182 SH SOLE 0 0 5182 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 274 7620 SH SOLE 0 0 7620 CONOCOPHILLIPS COM 20825C104 1196 16405 SH SOLE 0 0 16405 CONSOLIDATED EDISON INC COM 209115104 1246 20189 SH SOLE 0 0 20189 COOPER COS INC COM NEW 216648402 284 4000 SH SOLE 0 0 4000 CORE LABORATORIES N V COM N22717107 517 4600 SH SOLE 0 0 4600 CORPORATE EXECUTIVE BRD CO COM 21988R102 430 11250 SH SOLE 0 0 11250 COSTCO WHSL CORP NEW COM 22160K105 369 4472 SH SOLE 0 0 4472 CPFL ENERGIA S A SPONSORED ADR 126153105 323 11545 SH SOLE 0 0 11545 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 87 30000 SH SOLE 0 0 30000 CREDIT SUISSE NASSAU BRH ETN LKD 30MLP 22542D852 200 8000 SH SOLE 0 0 8000 CSX CORP COM 126408103 368 17528 SH SOLE 0 0 17528 CUMMINS INC COM 231021106 854 9631 SH SOLE 0 0 9631 CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 4896 47591 SH SOLE 0 0 47591 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 311 2962 SH SOLE 0 0 2962 DEERE & CO COM 244199105 830 10697 SH SOLE 0 0 10697 DEJOUR ENERGY INC COM 24486R103 5 10000 SH SOLE 0 0 10000 DELUXE CORP COM 248019101 412 18000 SH SOLE 0 0 18000 DENDREON CORP COM 24823Q107 114 14950 SH SOLE 0 0 14950 DIAGEO P L C SPON ADR NEW 25243Q205 210 2397 SH SOLE 0 0 2397 DNP SELECT INCOME FD COM 23325P104 465 42570 SH SOLE 0 0 42570 DOMINION RES INC VA NEW COM 25746U109 540 10182 SH SOLE 0 0 10182 DOW CHEM CO COM 260543103 403 13967 SH SOLE 0 0 13967 DU PONT E I DE NEMOURS & CO COM 263534109 874 19104 SH SOLE 0 0 19104 DUKE ENERGY CORP NEW COM 26441C105 568 25890 SH SOLE 0 0 25890 DWS MULTI MKT INCOME TR SHS 23338L108 102 10200 SH SOLE 0 0 10200 EATON CORP COM 278058102 209 4778 SH SOLE 0 0 4778 EATON VANCE ENHANCED EQ INC COM 278274105 177 17400 SH SOLE 0 0 17400 EATON VANCE SH TM DR DIVR IN COM 27828V104 806 49952 SH SOLE 0 0 49952 EATON VANCE SR FLTNG RTE TR COM 27828Q105 196 13600 SH SOLE 0 0 13600 EATON VANCE SR INCOME TR SH BEN INT 27826S103 108 16800 SH SOLE 0 0 16800 EDISON INTL COM 281020107 560 13592 SH SOLE 0 0 13592 EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 332 9600 SH SOLE 0 0 9600 ELDORADO GOLD CORP NEW COM 284902103 355 25972 SH SOLE 0 0 25972 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 995 29870 SH SOLE 0 0 29870 ENBRIDGE INC COM 29250N105 280 7550 SH SOLE 0 0 7550 ENDEAVOUR SILVER CORP COM 29258Y103 16318 1675486 SH SOLE 0 0 1675486 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 1055 22798 SH SOLE 0 0 22798 ENERPLUS CORP COM 292766102 342 13290 SH SOLE 0 0 13290 ENTERPRISE PRODS PARTNERS L COM 293792107 3008 64952 SH SOLE 0 0 64952 ENTERTAINMENT PPTYS TR CONV PFD 9% SR E 29380T600 225 8425 SH SOLE 0 0 8425 EOG RES INC COM 26875P101 288 2938 SH SOLE 0 0 2938 ETFS PRECIOUS METALS BASKET PHYS PM BSKT 26922W109 396 4600 SH SOLE 0 0 4600 EXCO RESOURCES INC COM 269279402 3126 302300 SH SOLE 0 0 302300 EXELON CORP COM 30161N101 588 13572 SH SOLE 0 0 13572 EXETER RES CORP COM 301835104 60 24000 SH SOLE 0 0 24000 EXXON MOBIL CORP COM 30231G102 5129 60696 SH SOLE 0 0 60696 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 578 30793 SH SOLE 0 0 30793 FIFTH STREET FINANCE CORP COM 31678A103 657 68334 SH SOLE 0 0 68334 FIRST MAJESTIC SILVER CORP COM 32076V103 2107 126156 SH SOLE 0 0 126156 FIRST TR EXCHANGE TRADED FD CONSUMR DISCRE 33734X101 277 14131 SH SOLE 0 0 14131 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 2749 116456 SH SOLE 0 0 116456 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 921 42158 SH SOLE 0 0 42158 FIRST TR LRGE CP CORE ALPHA COM SHS 33734K109 239 8789 SH SOLE 0 0 8789 FIRST TR MORNINGSTAR DIV LEA SHS 336917109 2219 126569 SH SOLE 0 0 126569 FIRST TR S&P REIT INDEX FD COM 33734G108 1101 71622 SH SOLE 0 0 71622 FIRST TR SR FLG RTE INCM FD COM 33733U108 648 49200 SH SOLE 0 0 49200 FIRSTENERGY CORP COM 337932107 309 6971 SH SOLE 0 0 6971 FLAHERTY & CRMN/CLYMR PFD SE COM SHS 338478100 241 14400 SH SOLE 0 0 14400 FLAHERTY & CRUMRINE PFD INC COM 33848E106 207 19350 SH SOLE 0 0 19350 FORD MTR CO DEL COM PAR $0.01 345370860 244 22744 SH SOLE 0 0 22744 FRANKLIN STREET PPTYS CORP COM 35471R106 103 10312 SH SOLE 0 0 10312 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 273 20625 SH SOLE 0 0 20625 FRANKLIN UNVL TR SH BEN INT 355145103 242 36465 SH SOLE 0 0 36465 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1085 29338 SH SOLE 0 0 29338 FRONTIER COMMUNICATIONS CORP COM 35906A108 73 16201 SH SOLE 0 0 16201 GENERAL ELECTRIC CO COM 369604103 3587 199838 SH SOLE 0 0 199838 GENERAL MLS INC COM 370334104 405 10162 SH SOLE 0 0 10162 GENERAL MTRS CO JR PFD CNV SRB 37045V209 249 7210 SH SOLE 0 0 7210 GENESCO INC COM 371532102 328 5300 SH SOLE 0 0 5300 GLOBAL X FDS GLB X URANIUM 37950E754 403 49005 SH SOLE 0 0 49005 GOLDCORP INC NEW COM 380956409 839 18982 SH SOLE 0 0 18982 GOLDEN STAR RES LTD CDA COM 38119T104 71 42000 SH SOLE 0 0 42000 GOLDMAN SACHS GROUP INC COM 38141G104 202 2206 SH SOLE 0 0 2206 GT ADVANCED TECHNOLOGIES INC COM 36191U106 216 29700 SH SOLE 0 0 29700 HALLIBURTON CO COM 406216101 388 11264 SH SOLE 0 0 11264 HANCOCK JOHN PFD INCOME FD I COM 41013X106 321 15225 SH SOLE 0 0 15225 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 910 67000 SH SOLE 0 0 67000 HEALTH CARE REIT INC COM 42217K106 303 5590 SH SOLE 0 0 5590 HEALTHCARE SVCS GRP INC COM 421906108 263 14876 SH SOLE 0 0 14876 HERSHEY CO COM 427866108 679 10964 SH SOLE 0 0 10964 HEWLETT PACKARD CO COM 428236103 334 12853 SH SOLE 0 0 12853 HOME DEPOT INC COM 437076102 494 11878 SH SOLE 0 0 11878 HONEYWELL INTL INC COM 438516106 484 8938 SH SOLE 0 0 8938 HUNTSMAN CORP COM 447011107 553 55300 SH SOLE 0 0 55300 ING GLOBAL EQTY DIV & PREM O COM 45684E107 170 19094 SH SOLE 0 0 19094 ING PRIME RATE TR SH BEN INT 44977W106 465 91017 SH SOLE 0 0 91017 INLAND REAL ESTATE CORP COM NEW 457461200 258 33840 SH SOLE 0 0 33840 INTEL CORP COM 458140100 1218 50571 SH SOLE 0 0 50571 INTERDIGITAL INC COM 45867G101 314 7150 SH SOLE 0 0 7150 INTERNATIONAL BUSINESS MACHS COM 459200101 2582 14047 SH SOLE 0 0 14047 INTERNATIONAL TOWER HILL MIN COM 46050R102 54 12000 SH SOLE 0 0 12000 INVESCO MORTGAGE CAPITAL INC COM 46131B100 153 10950 SH SOLE 0 0 10950 INVESTORS REAL ESTATE TR SH BEN INT 461730103 79 11092 SH SOLE 0 0 11092 ISHARES GOLD TRUST ISHARES 464285105 3507 229978 SH SOLE 0 0 229978 ISHARES INC MSCI BRAZIL 464286400 886 15400 SH SOLE 0 0 15400 ISHARES INC MSCI CDA INDEX 464286509 336 12016 SH SOLE 0 0 12016 ISHARES INC MSCI PAC J IDX 464286665 960 24789 SH SOLE 0 0 24789 ISHARES INC MSCI JAPAN 464286848 809 88427 SH SOLE 0 0 88427 ISHARES SILVER TRUST ISHARES 46428Q109 3361 125206 SH SOLE 0 0 125206 ISHARES TR LRGE GRW INDX 464287119 290 4395 SH SOLE 0 0 4395 ISHARES TR S&P 1500 INDEX 464287150 511 8920 SH SOLE 0 0 8920 ISHARES TR DJ SEL DIV INX 464287168 4835 90264 SH SOLE 0 0 90264 ISHARES TR BARCLYS TIPS BD 464287176 19728 168939 SH SOLE 0 0 168939 ISHARES TR S&P 500 INDEX 464287200 5750 45721 SH SOLE 0 0 45721 ISHARES TR BARCLY USAGG B 464287226 158879 1441190 SH SOLE 0 0 1441190 ISHARES TR MSCI EMERG MKT 464287234 3268 86095 SH SOLE 0 0 86095 ISHARES TR IBOXX INV CPBD 464287242 14557 127957 SH SOLE 0 0 127957 ISHARES TR S&P GBL INF 464287291 259 4398 SH SOLE 0 0 4398 ISHARES TR S&P500 GRW 464287309 2852 42255 SH SOLE 0 0 42255 ISHARES TR S&P GBL ENER 464287341 314 8256 SH SOLE 0 0 8256 ISHARES TR S&P NA NAT RES 464287374 239 6223 SH SOLE 0 0 6223 ISHARES TR S&P 500 VALUE 464287408 2486 42943 SH SOLE 0 0 42943 ISHARES TR BARCLYS 20+ YR 464287432 2755 22803 SH SOLE 0 0 22803 ISHARES TR BARCLYS 7-10 YR 464287440 2262 21199 SH SOLE 0 0 21199 ISHARES TR BARCLYS 1-3 YR 464287457 6515 76947 SH SOLE 0 0 76947 ISHARES TR MSCI EAFE INDEX 464287465 9006 181940 SH SOLE 0 0 181940 ISHARES TR RUSSELL MIDCAP 464287499 740 7464 SH SOLE 0 0 7464 ISHARES TR S&P MIDCAP 400 464287507 2037 23214 SH SOLE 0 0 23214 ISHARES TR COHEN&ST RLTY 464287564 959 13613 SH SOLE 0 0 13613 ISHARES TR RUSSELL1000VAL 464287598 280 4375 SH SOLE 0 0 4375 ISHARES TR S&P MC 400 GRW 464287606 1227 12390 SH SOLE 0 0 12390 ISHARES TR RUSSELL1000GRW 464287614 782 13514 SH SOLE 0 0 13514 ISHARES TR RUSSELL 1000 464287622 563 8126 SH SOLE 0 0 8126 ISHARES TR RUSL 2000 VALU 464287630 415 6208 SH SOLE 0 0 6208 ISHARES TR RUSL 2000 GROW 464287648 636 7556 SH SOLE 0 0 7556 ISHARES TR RUSSELL 2000 464287655 2727 37000 SH SOLE 0 0 37000 ISHARES TR RUSL 3000 GROW 464287671 250 5315 SH SOLE 0 0 5315 ISHARES TR RUSSELL 3000 464287689 387 5212 SH SOLE 0 0 5212 ISHARES TR DJ US TECH SEC 464287721 10583 165595 SH SOLE 0 0 165595 ISHARES TR DJ US REAL EST 464287739 245 4307 SH SOLE 0 0 4307 ISHARES TR DJ US HEALTHCR 464287762 210 2952 SH SOLE 0 0 2952 ISHARES TR DJ US ENERGY 464287796 356 8960 SH SOLE 0 0 8960 ISHARES TR S&P SMLCAP 600 464287804 2415 35314 SH SOLE 0 0 35314 ISHARES TR DJ US BAS MATL 464287838 254 3955 SH SOLE 0 0 3955 ISHARES TR S&P EURO PLUS 464287861 1693 50046 SH SOLE 0 0 50046 ISHARES TR S&P SMLCP VALU 464287879 429 6149 SH SOLE 0 0 6149 ISHARES TR S&P SMLCP GROW 464287887 789 10647 SH SOLE 0 0 10647 ISHARES TR LARGE VAL INDX 464288109 2159 36608 SH SOLE 0 0 36608 ISHARES TR S&P CITINT TBD 464288117 210 2193 SH SOLE 0 0 2193 ISHARES TR S&P SH NTL AMTFR 464288158 225 2100 SH SOLE 0 0 2100 ISHARES TR MID CORE INDEX 464288208 811 9506 SH SOLE 0 0 9506 ISHARES TR JPMORGAN USD 464288281 4241 38395 SH SOLE 0 0 38395 ISHARES TR S&P NTL AMTFREE 464288414 245 2268 SH SOLE 0 0 2268 ISHARES TR SMLL CORE INDX 464288505 500 5984 SH SOLE 0 0 5984 ISHARES TR HIGH YLD CORP 464288513 9461 105936 SH SOLE 0 0 105936 ISHARES TR BARCLYS MBS BD 464288588 50272 465290 SH SOLE 0 0 465290 ISHARES TR BARCLYS INTER GV 464288612 318 2835 SH SOLE 0 0 2835 ISHARES TR BARCLYS CR BD 464288620 51685 473840 SH SOLE 0 0 473840 ISHARES TR BARCLYS 1-3YR CR 464288646 8761 84139 SH SOLE 0 0 84139 ISHARES TR BARCLYS 10-20YR 464288653 321 2404 SH SOLE 0 0 2404 ISHARES TR BARCLYS 3-7 YR 464288661 111618 914743 SH SOLE 0 0 914743 ISHARES TR US PFD STK IDX 464288687 1603 44721 SH SOLE 0 0 44721 ISHARES TR S&P GL INDUSTR 464288729 276 5800 SH SOLE 0 0 5800 ISHARES TR S&P GL CONSUME 464288745 863 17690 SH SOLE 0 0 17690 ISHARES TR DJ PHARMA INDX 464288836 289 3781 SH SOLE 0 0 3781 ISHARES TR DJ OIL EQUIP 464288844 320 6135 SH SOLE 0 0 6135 ISHARES TR DJ OIL&GAS EXP 464288851 410 6760 SH SOLE 0 0 6760 ISHARES TR MSCI VAL IDX 464288877 846 19680 SH SOLE 0 0 19680 ISHARES TR MSCI GRW IDX 464288885 553 10633 SH SOLE 0 0 10633 ISHARES TR RUS200 VAL IDX 464289420 1085 39243 SH SOLE 0 0 39243 ISHARES TR S&P MODERATE 464289875 342 11450 SH SOLE 0 0 11450 JAGUAR MNG INC COM 47009M103 11951 1866216 SH SOLE 0 0 1866216 JOHNSON & JOHNSON COM 478160104 2658 40465 SH SOLE 0 0 40465 JPMORGAN CHASE & CO COM 46625H100 1783 53610 SH SOLE 0 0 53610 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 3391 87734 SH SOLE 0 0 87734 KAYNE ANDERSON MLP INVSMNT C COM 486606106 357 11860 SH SOLE 0 0 11860 KEEGAN RES INC COM 487275109 1577 405650 SH SOLE 0 0 405650 KIMBER RES INC COM 49435N101 10616 12433491 SH SOLE 0 0 12433491 KIMBERLY CLARK CORP COM 494368103 287 3904 SH SOLE 0 0 3904 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 2561 30531 SH SOLE 0 0 30531 KINROSS GOLD CORP COM NO PAR 496902404 288 25000 SH SOLE 0 0 25000 KODIAK OIL & GAS CORP COM 50015Q100 171 17800 SH SOLE 0 0 17800 KRAFT FOODS INC CL A 50075N104 346 9170 SH SOLE 0 0 9170 LILLY ELI & CO COM 532457108 390 9394 SH SOLE 0 0 9394 LINN ENERGY LLC UNIT LTD LIAB 536020100 299 7870 SH SOLE 0 0 7870 LOWES COS INC COM 548661107 500 19641 SH SOLE 0 0 19641 LTC PPTYS INC COM 502175102 564 18161 SH SOLE 0 0 18161 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 225 3247 SH SOLE 0 0 3247 MARATHON OIL CORP COM 565849106 258 8773 SH SOLE 0 0 8773 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 304 6047 SH SOLE 0 0 6047 MARKET VECTORS ETF TR MUN BD CLOSED 57060U332 200 7500 SH SOLE 0 0 7500 MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 955 38926 SH SOLE 0 0 38926 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 2963 120427 SH SOLE 0 0 120427 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 457 9579 SH SOLE 0 0 9579 MARKET VECTORS ETF TR HG YLD MUN ETF 57060U878 13058 438370 SH SOLE 0 0 438370 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 244 4340 SH SOLE 0 0 4340 MASTERCARD INC CL A 57636Q104 227 611 SH SOLE 0 0 611 MCDONALDS CORP COM 580135101 1167 11589 SH SOLE 0 0 11589 MERCK & CO INC NEW COM 58933Y105 859 22509 SH SOLE 0 0 22509 METALICO INC COM 591176102 60 18000 SH SOLE 0 0 18000 MFS INTER INCOME TR SH BEN INT 55273C107 75 11739 SH SOLE 0 0 11739 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 297 44439 SH SOLE 0 0 44439 MFS MUN INCOME TR SH BEN INT 552738106 717 101800 SH SOLE 0 0 101800 MICROSOFT CORP COM 594918104 1579 60937 SH SOLE 0 0 60937 MIDWAY GOLD CORP COM 598153104 65 30500 SH SOLE 0 0 30500 MINEFINDERS CORP LTD COM 602900102 1688 157309 SH SOLE 0 0 157309 NATIONAL GRID PLC SPON ADR NEW 636274300 272 5600 SH SOLE 0 0 5600 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 247 16981 SH SOLE 0 0 16981 NEUBERGER BERMAN HGH YLD FD COM 64128C106 627 46173 SH SOLE 0 0 46173 NEW AMER HIGH INCOME FD INC COM NEW 641876800 345 34197 SH SOLE 0 0 34197 NEWMONT MINING CORP COM 651639106 410 6902 SH SOLE 0 0 6902 NEXTERA ENERGY INC COM 65339F101 218 3609 SH SOLE 0 0 3609 NORFOLK SOUTHERN CORP COM 655844108 245 3343 SH SOLE 0 0 3343 NOVAGOLD RES INC COM NEW 66987E206 288 34708 SH SOLE 0 0 34708 NUSTAR ENERGY LP UNIT COM 67058H102 435 7744 SH SOLE 0 0 7744 NUVEEN CA INVT QUALITY MUN F COM 67062A101 212 14608 SH SOLE 0 0 14608 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 140 13400 SH SOLE 0 0 13400 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 420 38055 SH SOLE 0 0 38055 NUVEEN GLB GOVT ENHANCED IN COM 67073C104 164 11600 SH SOLE 0 0 11600 NUVEEN INSD CALIF DIVID COM 67071M104 160 10370 SH SOLE 0 0 10370 NUVEEN INSD MUN OPPORTUNITY COM 670984103 580 38975 SH SOLE 0 0 38975 NUVEEN INSD QUALITY MUN FD I COM 67062N103 425 28350 SH SOLE 0 0 28350 NUVEEN INVT QUALITY MUN FD I COM 67062E103 288 18200 SH SOLE 0 0 18200 NUVEEN MULTI STRAT INC & GR COM 67073B106 1344 167960 SH SOLE 0 0 167960 NUVEEN MUN ADVANTAGE FD INC COM 67062H106 192 13260 SH SOLE 0 0 13260 NUVEEN MUN MKT OPPORTUNITY F COM 67062W103 288 20452 SH SOLE 0 0 20452 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 360 23280 SH SOLE 0 0 23280 NUVEEN PREM INCOME MUN FD COM 67062T100 344 23840 SH SOLE 0 0 23840 NUVEEN PREM INCOME MUN FD 2 COM 67063W102 605 40493 SH SOLE 0 0 40493 NUVEEN PREMIER INSD MUN INCO COM 670987106 205 12500 SH SOLE 0 0 12500 NUVEEN QUALITY INCOME MUN FD COM 670977107 160 10950 SH SOLE 0 0 10950 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 133 16625 SH SOLE 0 0 16625 NUVEEN QUALITY PFD INCOME FD COM 67071S101 138 18148 SH SOLE 0 0 18148 NUVEEN QUALITY PFD INCOME FD COM 67072C105 1598 205509 SH SOLE 0 0 205509 NUVEEN SELECT QUALITY MUN FD COM 670973106 185 12050 SH SOLE 0 0 12050 NVIDIA CORP COM 67066G104 951 68700 SH SOLE 0 0 68700 OCCIDENTAL PETE CORP DEL COM 674599105 906 9649 SH SOLE 0 0 9649 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 330 3000 SH SOLE 0 0 3000 OILSANDS QUEST INC COM 678046103 2 10200 SH SOLE 0 0 10200 OMEGA HEALTHCARE INVS INC COM 681936100 831 42879 SH SOLE 0 0 42879 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 751 12946 SH SOLE 0 0 12946 ORACLE CORP COM 68389X105 418 16278 SH SOLE 0 0 16278 PARAMOUNT GOLD & SILVER CORP COM 69924P102 301 145000 SH SOLE 0 0 145000 PAYCHEX INC COM 704326107 244 8050 SH SOLE 0 0 8050 PENGROWTH ENERGY CORP COM 70706P104 884 84820 SH SOLE 0 0 84820 PENN VA RESOURCES PARTNERS L COM 707884102 578 22522 SH SOLE 0 0 22522 PENN WEST PETE LTD NEW COM 707887105 1256 63188 SH SOLE 0 0 63188 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 261 10475 SH SOLE 0 0 10475 PFIZER INC COM 717081103 1089 50836 SH SOLE 0 0 50836 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 675 9900 SH SOLE 0 0 9900 PHILIP MORRIS INTL INC COM 718172109 1217 15443 SH SOLE 0 0 15443 PHOENIX COS INC NEW COM 71902E109 421 248000 SH SOLE 0 0 248000 PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 1933 112751 SH SOLE 0 0 112751 PIMCO CALIF MUN INCOME FD II COM 72200M108 119 12800 SH SOLE 0 0 12800 PIMCO CORPORATE INCOME FD COM 72200U100 327 20400 SH SOLE 0 0 20400 PIMCO CORPORATE OPP FD COM 72201B101 413 23875 SH SOLE 0 0 23875 PIMCO ETF TR 1-5 US TIP IDX 72201R205 444 8250 SH SOLE 0 0 8250 PIMCO HIGH INCOME FD COM SHS 722014107 4144 345975 SH SOLE 0 0 345975 PIMCO INCOME OPPORTUNITY FD COM 72202B100 1652 64973 SH SOLE 0 0 64973 PIMCO INCOME STRATEGY FUND COM 72201H108 643 62059 SH SOLE 0 0 62059 PIMCO INCOME STRATEGY FUND I COM 72201J104 204 21975 SH SOLE 0 0 21975 PIMCO STRATEGIC GBL GOV FD I COM 72200X104 214 19222 SH SOLE 0 0 19222 PIONEER HIGH INCOME TR COM 72369H106 174 10125 SH SOLE 0 0 10125 PIONEER MUN HIGH INCOME TR COM SHS 723763108 896 60400 SH SOLE 0 0 60400 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 493 6682 SH SOLE 0 0 6682 POTASH CORP SASK INC COM 73755L107 388 9465 SH SOLE 0 0 9465 POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 1347 56471 SH SOLE 0 0 56471 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 357 22350 SH SOLE 0 0 22350 POWERSHARES ETF TRUST ENERGY SEC POR 73935X385 936 24538 SH SOLE 0 0 24538 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 213 10984 SH SOLE 0 0 10984 POWERSHARES ETF TRUST INTL DIV ACHV 73935X716 1991 136424 SH SOLE 0 0 136424 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 1786 63432 SH SOLE 0 0 63432 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 455 19066 SH SOLE 0 0 19066 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 7190 389921 SH SOLE 0 0 389921 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 186 13322 SH SOLE 0 0 13322 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 667 24537 SH SOLE 0 0 24537 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 8467 151971 SH SOLE 0 0 151971 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 23950 1066512 SH SOLE 0 0 1066512 PPL CORP COM 69351T106 354 12000 SH SOLE 0 0 12000 PROCTER & GAMBLE CO COM 742718109 13834 207385 SH SOLE 0 0 207385 PROGRESS ENERGY INC COM 743263105 216 3842 SH SOLE 0 0 3842 PROSHARES TR PSHS SH MSCI EAF 74347R370 429 8265 SH SOLE 0 0 8265 PROSHARES TR PSHS SHRT S&P500 74347R503 783 19318 SH SOLE 0 0 19318 PROSPECT CAPITAL CORPORATION COM 74348T102 1551 167150 SH SOLE 0 0 167150 PROVIDENT ENERGY LTD NEW COM 74386V100 1741 180240 SH SOLE 0 0 180240 PUBLIC STORAGE COM 74460D109 320 2387 SH SOLE 0 0 2387 PUBLIC SVC ENTERPRISE GROUP COM 744573106 300 9102 SH SOLE 0 0 9102 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 195 38190 SH SOLE 0 0 38190 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 153 12776 SH SOLE 0 0 12776 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 78 14898 SH SOLE 0 0 14898 QUALCOMM INC COM 747525103 232 4256 SH SOLE 0 0 4256 QUATERRA RES INC COM 747952109 287 533500 SH SOLE 0 0 533500 REALTY INCOME CORP COM 756109104 378 10830 SH SOLE 0 0 10830 REYNOLDS AMERICAN INC COM 761713106 416 10084 SH SOLE 0 0 10084 ROGERS CORP COM 775133101 222 6000 SH SOLE 0 0 6000 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 424 5524 SH SOLE 0 0 5524 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 483 6634 SH SOLE 0 0 6634 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 982 21216 SH SOLE 0 0 21216 RYDEX ETF TRUST S&P500 PUR GRW 78355W403 1507 34786 SH SOLE 0 0 34786 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 1586 20220 SH SOLE 0 0 20220 SABINE ROYALTY TR UNIT BEN INT 785688102 411 6572 SH SOLE 0 0 6572 SCHLUMBERGER LTD COM 806857108 622 9058 SH SOLE 0 0 9058 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 326 10873 SH SOLE 0 0 10873 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 2044 62106 SH SOLE 0 0 62106 SEADRILL LIMITED SHS G7945E105 578 17246 SH SOLE 0 0 17246 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1990 57180 SH SOLE 0 0 57180 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3789 116256 SH SOLE 0 0 116256 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 12735 325860 SH SOLE 0 0 325860 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 4222 60927 SH SOLE 0 0 60927 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5366 411938 SH SOLE 0 0 411938 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 464 13722 SH SOLE 0 0 13722 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 224 8779 SH SOLE 0 0 8779 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5090 141704 SH SOLE 0 0 141704 SEMPRA ENERGY COM 816851109 264 4804 SH SOLE 0 0 4804 SENIOR HSG PPTYS TR SH BEN INT 81721M109 1120 50100 SH SOLE 0 0 50100 SILVER STD RES INC COM 82823L106 1355 98870 SH SOLE 0 0 98870 SILVER WHEATON CORP COM 828336107 5967 207213 SH SOLE 0 0 207213 SILVERCORP METALS INC COM 82835P103 108 16912 SH SOLE 0 0 16912 SIRIUS XM RADIO INC COM 82967N108 46 24950 SH SOLE 0 0 24950 SMITH & NEPHEW PLC SPDN ADR NEW 83175M205 264 5421 SH SOLE 0 0 5421 SOMAXON PHARMACEUTICALS INC COM 834453102 12 24000 SH SOLE 0 0 24000 SOUTHERN CO COM 842587107 348 7569 SH SOLE 0 0 7569 SOUTHERN COPPER CORP COM 84265V105 383 12665 SH SOLE 0 0 12665 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 10909 89720 SH SOLE 0 0 89720 SPDR GOLD TRUST GOLD SHS 78463V107 5205 34205 SH SOLE 0 0 34205 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 7313 110683 SH SOLE 0 0 110683 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 762 21754 SH SOLE 0 0 21754 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 300 6463 SH SOLE 0 0 6463 SPDR INDEX SHS FDS S&P BRIC 40ETF 78463X798 286 12941 SH SOLE 0 0 12941 SPDR S&P 500 ETF TR TR UNIT 78462F103 9671 76993 SH SOLE 0 0 76993 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 247 1536 SH SOLE 0 0 1536 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 406 6830 SH SOLE 0 0 6830 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 4542 86098 SH SOLE 0 0 86098 SPDR SERIES TRUST LNG TRM CORP BD 78464A367 9072 229921 SH SOLE 0 0 229921 SPDR SERIES TRUST INTR TRM CORP BD 78464A375 417 12597 SH SOLE 0 0 12597 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 5140 133563 SH SOLE 0 0 133563 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 770 31541 SH SOLE 0 0 31541 SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 264 11055 SH SOLE 0 0 11055 SPDR SERIES TRUST DB INT GVT ETF 78464A490 1751 30448 SH SOLE 0 0 30448 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 5737 97313 SH SOLE 0 0 97313 SPDR SERIES TRUST BRCLYS AGG ETF 78464A649 673 11693 SH SOLE 0 0 11693 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 381 6549 SH SOLE 0 0 6549 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 712 13420 SH SOLE 0 0 13420 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2689 49779 SH SOLE 0 0 49779 SPDR SERIES TRUST S&P BIOTECH 78464A870 1099 16495 SH SOLE 0 0 16495 STARBUCKS CORP COM 855244109 1243 26961 SH SOLE 0 0 26961 STILLWATER MNG CO COM 86074Q102 4733 455463 SH SOLE 0 0 455463 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 276 7005 SH SOLE 0 0 7005 TALISMAN ENERGY INC COM 87425E103 748 59078 SH SOLE 0 0 59078 TARGET CORP COM 87612E106 216 4234 SH SOLE 0 0 4234 TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 319 9485 SH SOLE 0 0 9485 TEEKAY OFFSHORE PARTNERS L P PARTNERSHIP UN Y8565J101 259 9697 SH SOLE 0 0 9697 TELEFONICA S A SPONSORED ADR 879382208 567 33100 SH SOLE 0 0 33100 TEMPLETON DRAGON FD INC COM 88018T101 270 10682 SH SOLE 0 0 10682 TEMPLETON EMERG MKTS INCOME COM 880192109 395 25185 SH SOLE 0 0 25185 TEMPLETON GLOBAL INCOME FD COM 880198106 1446 152628 SH SOLE 0 0 152628 TERRA NITROGEN CO L P COM UNIT 881005201 470 2790 SH SOLE 0 0 2790 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1094 27326 SH SOLE 0 0 27326 TIBCO SOFTWARE INC COM 88632Q103 429 17900 SH SOLE 0 0 17900 TOWERSTREAM CORP COM 892000100 30 15000 SH SOLE 0 0 15000 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 1175 17672 SH SOLE 0 0 17672 TRANSCANADA CORP COM 89353D107 639 14660 SH SOLE 0 0 14660 TRANSOCEAN LTD REG SHS H8817H100 488 12708 SH SOLE 0 0 12708 U S G CORP COM NEW 903293405 497 49300 SH SOLE 0 0 49300 UNION PAC CORP COM 907818108 329 3075 SH SOLE 0 0 3075 UNITED PARCEL SERVICE INC CL B 911312106 399 5439 SH SOLE 0 0 5439 UNITED TECHNOLOGIES CORP COM 913017109 736 10109 SH SOLE 0 0 10109 URANERZ ENERGY CORP COM 91688T104 30 15000 SH SOLE 0 0 15000 US BANCORP DEL COM NEW 902973304 368 13712 SH SOLE 0 0 13712 US GOLD CORPORATION COM PAR $0.10 912023207 406 118300 SH SOLE 0 0 118300 VALE S A ADR 91912E105 260 12718 SH SOLE 0 0 12718 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 7387 80036 SH SOLE 0 0 80036 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 16016 184761 SH SOLE 0 0 184761 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 27665 341912 SH SOLE 0 0 341912 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 16287 194712 SH SOLE 0 0 194712 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 384 7488 SH SOLE 0 0 7488 VANGUARD INDEX FDS REIT ETF 922908553 806 13893 SH SOLE 0 0 13893 VANGUARD INDEX FDS MID CAP ETF 922908629 509 7076 SH SOLE 0 0 7076 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 459 8825 SH SOLE 0 0 8825 VANGUARD INDEX FDS GROWTH ETF 922908736 8506 137707 SH SOLE 0 0 137707 VANGUARD INDEX FDS VALUE ETF 922908744 7249 138313 SH SOLE 0 0 138313 VANGUARD INDEX FDS SMALL CP ETF 922908751 2081 29729 SH SOLE 0 0 29729 VANGUARD INDEX FDS TOTAL STK MKT 922908769 416 6431 SH SOLE 0 0 6431 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 520 6730 SH SOLE 0 0 6730 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 2719 62982 SH SOLE 0 0 62982 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 3568 93458 SH SOLE 0 0 93458 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 5481 70357 SH SOLE 0 0 70357 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 15654 301814 SH SOLE 0 0 301814 VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 1921 22048 SH SOLE 0 0 22048 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 500 6044 SH SOLE 0 0 6044 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1874 34472 SH SOLE 0 0 34472 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 5338 174255 SH SOLE 0 0 174255 VANGUARD WORLD FD EXTENDED DUR 921910709 285 2340 SH SOLE 0 0 2340 VANGUARD WORLD FD MEGA CAP INDEX 921910873 911 21145 SH SOLE 0 0 21145 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 1007 16320 SH SOLE 0 0 16320 VANGUARD WORLD FDS MATERIALS ETF 92204A801 685 9427 SH SOLE 0 0 9427 VANGUARD WORLD FDS UTILITIES ETF 92204A876 715 9326 SH SOLE 0 0 9326 VECTOR GROUP LTD COM 92240M108 301 16727 SH SOLE 0 0 16727 VERIZON COMMUNICATIONS INC COM 92343V104 3876 96881 SH SOLE 0 0 96881 VISA INC COM CL A 92826C839 286 2808 SH SOLE 0 0 2808 W P CAREY & CO LLC COM 92930Y107 215 5307 SH SOLE 0 0 5307 WALGREEN CO COM 931422109 476 14381 SH SOLE 0 0 14381 WASTE MGMT INC DEL COM 94106L109 263 8092 SH SOLE 0 0 8092 WELLS FARGO & CO NEW COM 949746101 372 13421 SH SOLE 0 0 13421 WELLS FARGO ADV GLB DIV OPP COM 94987C103 194 25595 SH SOLE 0 0 25595 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 220 22000 SH SOLE 0 0 22000 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 749 50654 SH SOLE 0 0 50654 WESTERN ASSET CLYM INFL OPP COM 95766R104 276 21600 SH SOLE 0 0 21600 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 204 16000 SH SOLE 0 0 16000 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 384 24000 SH SOLE 0 0 24000 WINDSTREAM CORP COM 97381W104 179 15093 SH SOLE 0 0 15093 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 704 35728 SH SOLE 0 0 35728 WISDOMTREE TRUST EQTY INC ETF 97717W208 498 11627 SH SOLE 0 0 11627 WISDOMTREE TRUST LARGECAP DIVID 97717W307 2284 46592 SH SOLE 0 0 46592 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 2178 42682 SH SOLE 0 0 42682 WISDOMTREE TRUST DIV EX-FINL FD 97717W406 994 19130 SH SOLE 0 0 19130 WISDOMTREE TRUST MIDCAP DIVI FD 97717W505 1587 30479 SH SOLE 0 0 30479 WISDOMTREE TRUST ASIA PAC EXJP FD 97717W828 4417 75708 SH SOLE 0 0 75708 YAMANA GOLD INC COM 98462Y100 2254 155561 SH SOLE 0 0 155561