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
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NUVEEN INSD MUN OPPORTUNITY COM 670984103 580 38975 SH SOLE 0 0 38975
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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
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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