0001502149-12-000011.txt : 20120731
0001502149-12-000011.hdr.sgml : 20120731
20120731094729
ACCESSION NUMBER: 0001502149-12-000011
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120731
DATE AS OF CHANGE: 20120731
EFFECTIVENESS DATE: 20120731
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Transamerica Financial Advisors, Inc.
CENTRAL INDEX KEY: 0001502149
IRS NUMBER: 592476008
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14018
FILM NUMBER: 12995510
BUSINESS ADDRESS:
STREET 1: 570 CARILLON PARKWAY
CITY: ST. PETERSBURG
STATE: FL
ZIP: 33716
BUSINESS PHONE: 727-299-1800
MAIL ADDRESS:
STREET 1: P.O. BOX 9053
CITY: CLEARWATER
STATE: FL
ZIP: 33758-9053
13F-HR
1
tfasummary2012q2.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 06/30/12
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: Transamerica Financial Advisors, Inc
Address: 570 Carillon Parkway
St Petersburg, FL 33716
Form 13F File Number: 028-14018
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.
Persons Signing this Report on Behalf of Reporting Manager:
Name: George Chuang
Title: Vice President
Phone: 727-577-2754
Signature, Place, and Date of Signing:
/s/George Chuang St. Petersburg, FL 33716 07/31/12
------------------------ --------------------------------- ----------
[Signature] [City, State] [Date]
Report Type (Check only one):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 391
Form 13F Information Table Value Total: $ 222,820
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. Form 13F File Number Name
1 028-00136 Transamerica Corporation
---- -------------------- -------------------------------------------------
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS or SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000)PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
3M CO COM 88579Y101 1 50 SHS SOLE 0 0 50
ABB LTD SPONSORED ADR 000375204 1 100 SHS SOLE 0 0 100
ABBOTT LABS COM 002824100 6 5726 SHS SOLE 0 0 5726
ADVANTAGE OIL & GAS LTD COM 00765F101 3 2500 SHS SOLE 0 0 2500
AEGON N V NY REGISTRY SH 007924103 8 7830 SHS SOLE 0 0 7830
ALCATEL-LUCENT SPONSORED ADR 013904305 1 108 SHS SOLE 0 0 108
ALCOA INC COM 013817101 3 2500 SHS SOLE 0 0 2500
ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 3 2800 SHS SOLE 0 0 2800
ALLSTATE CORP COM 020002101 1 320 SHS SOLE 0 0 320
ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1 777 SHS SOLE 0 0 777
ALPS ETF TR ALERIAN MLP 00162Q866 2774 174792 SHS SOLE 173492 0 1300
ALTRIA GROUP INC COM 02209S103 1 300 SHS SOLE 0 0 300
AMAZON COM INC COM 023135106 1 10 SHS SOLE 0 0 10
AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1 600 SHS SOLE 0 0 600
AMERICAN CAPITAL AGENCY CORP COM 02503X105 2 1200 SHS SOLE 0 0 1200
AMERICAN EXPRESS CO COM 025816109 1 760 SHS SOLE 0 0 760
AMERICAN RLTY CAP TR INC COM 02917L101 90 89317 SHS SOLE 0 0 89317
AMERICAN TOWER CORP NEW COM 03027X100 1 150 SHS SOLE 0 0 150
AMERIPRISE FINL INC COM 03076C106 1 101 SHS SOLE 0 0 101
AMGEN INC COM 031162100 1 100 SHS SOLE 0 0 100
ANADIGICS INC COM 032515108 1 100 SHS SOLE 0 0 100
ANNALY CAP MGMT INC COM 035710409 16 15667 SHS SOLE 0 0 15667
APPLE INC COM 037833100 3 2486 SHS SOLE 0 0 2486
ARCHER DANIELS MIDLAND CO COM 039483102 1 428 SHS SOLE 0 0 428
ARENA PHARMACEUTICALS INC COM 040047102 1 250 SHS SOLE 0 0 250
ARES CAP CORP COM 04010L103 10 9922 SHS SOLE 0 0 9922
ASTRAZENECA PLC SPONSORED ADR 046353108 4 3492 SHS SOLE 0 0 3492
AT&T INC COM 00206R102 29 28571 SHS SOLE 0 0 28571
AVISTA CORP COM 05379B107 6 5799 SHS SOLE 0 0 5799
AVON PRODS INC COM 054303102 4 3726 SHS SOLE 0 0 3726
BANK OF AMERICA CORPORATION COM 060505104 7 7000 SHS SOLE 0 0 7000
BARCLAYS BANK PLC ETN DJUBS GRNS3706739H305 1 100 SHS SOLE 0 0 100
BAXTER INTL INC COM 071813109 1 35 SHS SOLE 0 0 35
BCE INC COM NEW 05534B760 1 58 SHS SOLE 0 0 58
BED BATH & BEYOND INC COM 075896100 1 85 SHS SOLE 0 0 85
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6 5809 SHS SOLE 0 0 5809
BLACKROCK CORE BD TR SHS BEN INT 09249E101 1 101 SHS SOLE 0 0 101
BLACKROCK GLOBAL OPP EQTY TR COM 092501105 1 307 SHS SOLE 0 0 307
BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 3 3000 SHS SOLE 0 0 3000
BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 1 507 SHS SOLE 0 0 507
BLACKROCK MUN INCOME TR SH BEN INT 09248F109 1 200 SHS SOLE 0 0 200
BLACKROCK MUNIYIELD PA QLTY COM 09255G107 12 11539 SHS SOLE 0 0 11539
BLACKROCK PA STRATEGIC MUN T COM 09248R103 4 3125 SHS SOLE 0 0 3125
BLOCK H & R INC COM 093671105 1 400 SHS SOLE 0 0 400
BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 1 400 SHS SOLE 0 0 400
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 1 305 SHS SOLE 0 0 305
BRISTOL MYERS SQUIBB CO COM 110122108 1 73 SHS SOLE 0 0 73
BROADCOM CORP CL A 111320107 8 7365 SHS SOLE 0 0 7365
BROADCOM CORP CALL 111320907 1 1 CALL SOLE 0 0 1
CAMPBELL SOUP CO COM 134429109 1 100 SHS SOLE 0 0 100
CATERPILLAR INC DEL COM 149123101 1 30 SHS SOLE 0 0 30
CENTERPOINT ENERGY INC COM 15189T107 1 126 SHS SOLE 0 0 126
CENTURYLINK INC COM 156700106 5 4022 SHS SOLE 0 0 4022
CF INDS HLDGS INC COM 125269100 2 1754 SHS SOLE 0 0 1754
CHESAPEAKE ENERGY CORP COM 165167107 4 3365 SHS SOLE 0 0 3365
CHEVRON CORP NEW COM 166764100 5 4636 SHS SOLE 0 0 4636
CHIPOTLE MEXICAN GRILL INC COM 169656105 2 1351 SHS SOLE 0 0 1351
CISCO SYS INC COM 17275R102 7 6070 SHS SOLE 0 0 6070
CITIGROUP INC COM NEW 172967424 1 62 SHS SOLE 0 0 62
CLAYMORE EXCHANGE TRD FD TR GUGG BULL 2014 18383M431 964 36998 SHS SOLE 36998 0 0
CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 1 500 SHS SOLE 0 0 500
CLEAN ENERGY FUELS CORP COM 184499101 1 800 SHS SOLE 0 0 800
CLIFFS NATURAL RESOURCES INC COM 18683K101 3 2230 SHS SOLE 0 0 2230
CLOROX CO DEL COM 189054109 3 2167 SHS SOLE 0 0 2167
COCA COLA CO COM 191216100 1 314 SHS SOLE 0 0 314
COMCAST CORP NEW CL A 20030N101 1 248 SHS SOLE 0 0 248
CONAGRA FOODS INC COM 205887102 1 300 SHS SOLE 0 0 300
CONOCOPHILLIPS COM 20825C104 8 7491 SHS SOLE 0 0 7491
CONSOLIDATED EDISON INC COM 209115104 5 4191 SHS SOLE 0 0 4191
CORNERSTONE PROGRESSIVE RTN COM 21925C101 15 14559 SHS SOLE 0 0 14559
COSTCO WHSL CORP NEW COM 22160K105 4 3444 SHS SOLE 0 0 3444
COVIDIEN PLC SHS G2554F113 1 75 SHS SOLE 0 0 75
CROWN CASTLE INTL CORP COM 228227104 1 100 SHS SOLE 0 0 100
CURRENCYSHARES AUSTRALIAN DL AUSTRALIAN DOL 23129U101 1 406 SHS SOLE 0 0 406
CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 1 100 SHS SOLE 0 0 100
CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 89 855 SHS SOLE 855 0 0
CVS CAREMARK CORPORATION COM 126650100 1 500 SHS SOLE 0 0 500
DELL INC COM 24702R101 1 100 SHS SOLE 0 0 100
DEVON ENERGY CORP NEW COM 25179M103 1 110 SHS SOLE 0 0 110
DIAGEO P L C SPON ADR NEW 25243Q205 1 55 SHS SOLE 0 0 55
DISNEY WALT CO COM DISNEY 254687106 1 129 SHS SOLE 0 0 129
DOLLAR GEN CORP NEW COM 256677105 1 100 SHS SOLE 0 0 100
DOLLAR TREE INC COM 256746108 38 37378 SHS SOLE 0 0 37378
DU PONT E I DE NEMOURS & CO COM 263534109 3 2185 SHS SOLE 0 0 2185
EATON CORP COM 278058102 3 2285 SHS SOLE 0 0 2285
EATON VANCE LTD DUR INCOME F COM 27828H105 3 2350 SHS SOLE 0 0 2350
EATON VANCE MUNI INCOME TRUS SH BEN INT 27826U108 2 1011 SHS SOLE 0 0 1011
EATON VANCE PA MUNI INCOME T SH BEN INT 27826T101 1 200 SHS SOLE 0 0 200
EATON VANCE TAX ADVT DIV INC COM 27828G107 3 2902 SHS SOLE 0 0 2902
EBAY INC COM 278642103 1 200 SHS SOLE 0 0 200
EL PASO PIPELINE PARTNERS L COM UNIT LPI 283702108 1 500 SHS SOLE 0 0 500
ELDORADO GOLD CORP NEW COM 284902103 3 2912 SHS SOLE 0 0 2912
ENBRIDGE ENERGY PARTNERS L P COM 29250R106 1 300 SHS SOLE 0 0 300
ENSCO PLC SHS CLASS A G3157S106 5 4824 SHS SOLE 0 0 4824
ENTERPRISE PRODS PARTNERS L COM 293792107 1 150 SHS SOLE 0 0 150
EOG RES INC COM 26875P101 1 100 SHS SOLE 0 0 100
EXELON CORP COM 30161N101 1 344 SHS SOLE 0 0 344
EXXON MOBIL CORP COM 30231G102 3 2288 SHS SOLE 0 0 2288
F M C CORP COM NEW 302491303 9 8374 SHS SOLE 0 0 8374
FACEBOOK INC CL A 30303M102 1 410 SHS SOLE 0 0 410
FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 1 300 SHS SOLE 0 0 300
FIRST TR EXCHANGE TRADED FD STRAT VAL IDX FD33733E104 1 902 SHS SOLE 0 0 902
FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 14 13859 SHS SOLE 0 0 13859
FIRST TR VALUE LINE DIVID IN SHS 33734H106 20 19086 SHS SOLE 0 0 19086
FISERV INC COM 337738108 1 50 SHS SOLE 0 0 50
FIVE STAR QUALITY CARE INC COM 33832D106 1 50 SHS SOLE 0 0 50
FORD MTR CO DEL COM PAR $0.01 345370860 3 2927 SHS SOLE 0 0 2927
FRANCO NEVADA CORP COM 351858105 2 1073 SHS SOLE 0 0 1073
FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 1 314 SHS SOLE 0 0 314
FULTON FINL CORP PA COM 360271100 1 600 SHS SOLE 0 0 600
GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 1 400 SHS SOLE 0 0 400
GENCORP INC COM 368682100 2 1400 SHS SOLE 0 0 1400
GENERAL ELECTRIC CO COM 369604103 8 7306 SHS SOLE 0 0 7306
GENON ENERGY INC COM 37244E107 2 1188 SHS SOLE 0 0 1188
GOLD RESOURCE CORP COM 38068T105 2 1863 SHS SOLE 0 0 1863
GOLDCORP INC NEW COM 380956409 2 1588 SHS SOLE 0 0 1588
GOOGLE INC CL A 38259P508 1 8 SHS SOLE 0 0 8
GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 1 300 SHS SOLE 0 0 300
GT ADVANCED TECHNOLOGIES INC COM 36191U106 1 450 SHS SOLE 0 0 450
H & Q LIFE SCIENCES INVS SH BEN INT 404053100 1 1 SHS SOLE 0 0 1
HATTERAS FINL CORP COM 41902R103 6 5751 SHS SOLE 0 0 5751
HEARTLAND EXPRESS INC COM 422347104 1 393 SHS SOLE 0 0 393
HERBALIFE LTD COM USD SHS G4412G101 5 4142 SHS SOLE 0 0 4142
HERSHEY CO COM 427866108 1 613 SHS SOLE 0 0 613
HEWLETT PACKARD CO COM 428236103 1 126 SHS SOLE 0 0 126
HNI CORP COM 404251100 1 200 SHS SOLE 0 0 200
HOLLYFRONTIER CORP COM 436106108 9 8118 SHS SOLE 0 0 8118
HONEYWELL INTL INC COM 438516106 1 200 SHS SOLE 0 0 200
HUNT J B TRANS SVCS INC COM 445658107 11 10043 SHS SOLE 0 0 10043
ILLINOIS TOOL WKS INC COM 452308109 1 868 SHS SOLE 0 0 868
IMRIS INC COM 45322N105 1 200 SHS SOLE 0 0 200
INDEXIQ ETF TR GLB AGRI SM CP 45409B834 4 3400 SHS SOLE 0 0 3400
ING GROEP N V SPONSORED ADR 456837103 8 7200 SHS SOLE 0 0 7200
INTEGRA LIFESCIENCES HLDGS C COM NEW 457985208 1 250 SHS SOLE 0 0 250
INTEL CORP COM 458140100 25 24626 SHS SOLE 0 0 24626
INTERNATIONAL BUSINESS MACHS COM 459200101 1 696 SHS SOLE 0 0 696
INTL PAPER CO COM 460146103 1 600 SHS SOLE 0 0 600
INTUITIVE SURGICAL INC COM NEW 46120E602 2 1745 SHS SOLE 0 0 1745
IRON MTN INC COM 462846106 1 200 SHS SOLE 0 0 200
ISHARES GOLD TRUST ISHARES 464285105 6 5800 SHS SOLE 0 0 5800
ISHARES INC MSCI AUSTRALIA 464286103 1 1000 SHS SOLE 0 0 1000
ISHARES INC MSCI THAILAND 464286624 1 200 SHS SOLE 0 0 200
ISHARES INC MSCI BRAZIL 464286400 1 60 SHS SOLE 0 0 60
ISHARES SILVER TRUST ISHARES 46428Q109 45 5382 SHS SOLE 1524 0 3858
ISHARES TR RUSSELL1000GRW 464287614 18860 298565 SHS SOLE 298258 0 307
ISHARES TR BARCLYS SH TREA 464288679 11920 110200 SHS SOLE 108131 0 2069
ISHARES TR BARCLYS TIPS BD 464287176 10798 96533 SHS SOLE 90155 0 6378
ISHARES TR S&P SMLCAP 600 464287804 8975 122518 SHS SOLE 122489 0 29
ISHARES TR RUSSELL MIDCAP 464287499 8854 84045 SHS SOLE 84027 0 18
ISHARES TR IBOXX INV CPBD 464287242 2381 20647 SHS SOLE 20238 0 409
ISHARES TR BARCLYS 7-10 YR 464287440 2184 22546 SHS SOLE 20214 0 2332
ISHARES TR BARCLYS 20+ YR 464287432 1192 12081 SHS SOLE 9497 0 2584
ISHARES TR DJ SEL DIV INX 464287168 7 6398 SHS SOLE 0 0 6398
ISHARES TR US PFD STK IDX 464288687 6 5118 SHS SOLE 0 0 5118
ISHARES TR RUSSELL MCP GR 464287481 1 978 SHS SOLE 0 0 978
ISHARES TR BARCLY USAGG B 464287226 1 893 SHS SOLE 0 0 893
ISHARES TR BARCLYS 1-3 YR 464287457 1 600 SHS SOLE 0 0 600
ISHARES TR BARCLYS INTER CR464288638 1 590 SHS SOLE 0 0 590
ISHARES TR MSCI GRW IDX 464288885 1 408 SHS SOLE 0 0 408
ISHARES TR SMLL CORE INDX 464288505 1 228 SHS SOLE 0 0 228
ISHARES TR MSCI EAFE INDEX 464287465 1 175 SHS SOLE 0 0 175
ISHARES TR AGENCY BD FD 464288166 1 150 SHS SOLE 0 0 150
ISHARES TR HGH DIV EQT FD 46429B663 1 101 SHS SOLE 0 0 101
ISHARES TR S&P NA NAT RES 464287374 1 100 SHS SOLE 0 0 100
ISHARES TR MID VAL INDEX 464288406 1 100 SHS SOLE 0 0 100
ISHARES TR HIGH YLD CORP 464288513 1 100 SHS SOLE 0 0 100
ISHARES TR RESIDENT PLS CAP464288562 1 100 SHS SOLE 0 0 100
ISHARES TR MID CORE INDEX 464288208 1 85 SHS SOLE 0 0 85
ISHARES TR COHEN&ST RLTY 464287564 1 52 SHS SOLE 0 0 52
ISHARES TR DJ US REAL EST 464287739 1 31 SHS SOLE 0 0 31
ISHARES TR RUSSELL 2000 464287655 1 26 SHS SOLE 0 0 26
ISHARES TR S&P 500 INDEX 464287200 1 24 SHS SOLE 0 0 24
JOHNSON & JOHNSON COM 478160104 8 7922 SHS SOLE 0 0 7922
JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 3 2725 SHS SOLE 0 0 2725
JPMORGAN CHASE & CO COM 46625H100 1 477 SHS SOLE 0 0 477
KEYCORP NEW COM 493267108 1 963 SHS SOLE 0 0 963
KIMBERLY CLARK CORP COM 494368103 12 11500 SHS SOLE 0 0 11500
KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 1 275 SHS SOLE 0 0 275
KKR & CO L P DEL COM UNITS 48248M102 2 1600 SHS SOLE 0 0 1600
KKR FINANCIAL HLDGS LLC COM 48248A306 17 16200 SHS SOLE 0 0 16200
KRAFT FOODS INC CL A 50075N104 3 2223 SHS SOLE 0 0 2223
LAUDER ESTEE COS INC CL A 518439104 1 200 SHS SOLE 0 0 200
LIGHTBRIDGE CORP COM 53224K104 1 200 SHS SOLE 0 0 200
LILLY ELI & CO COM 532457108 4 3794 SHS SOLE 0 0 3794
LINCOLN ELEC HLDGS INC COM 533900106 1 460 SHS SOLE 0 0 460
LINN ENERGY LLC UNIT LTD LIAB 536020100 5 4119 SHS SOLE 0 0 4119
LOCKHEED MARTIN CORP COM 539830109 3 2074 SHS SOLE 0 0 2074
LOEWS CORP COM 540424108 1 170 SHS SOLE 0 0 170
LRAD CORP COM 50213V109 143 142330 SHS SOLE 0 0 142330
LSI CORPORATION COM 502161102 1 12 SHS SOLE 0 0 12
LTC PPTYS INC COM 502175102 1 200 SHS SOLE 0 0 200
LULULEMON ATHLETICA INC COM 550021109 5 4598 SHS SOLE 0 0 4598
MARATHON OIL CORP COM 565849106 1 400 SHS SOLE 0 0 400
MARKET VECTORS ETF TR EM LC CURR DBT 57060U522 351 13707 SHS SOLE 13707 0 0
MARKET VECTORS ETF TR MV ENVIR SVCS 57060U209 1 200 SHS SOLE 0 0 200
MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 1 100 SHS SOLE 0 0 100
MARKET VECTORS ETF TR VIETNAM ETF 57060U761 1 100 SHS SOLE 0 0 100
MASTERCARD INC CL A 57636Q104 2 1014 SHS SOLE 0 0 1014
MATTEL INC COM 577081102 1 70 SHS SOLE 0 0 70
MCDONALDS CORP COM 580135101 1 688 SHS SOLE 0 0 688
MERCK & CO INC NEW COM 58933Y105 1 284 SHS SOLE 0 0 284
MICROSOFT CORP COM 594918104 7 6282 SHS SOLE 0 0 6282
MID PENN BANCORP INC COM 59540G107 1 604 SHS SOLE 0 0 604
MONSTER BEVERAGE CORP COM 611740101 18 17250 SHS SOLE 0 0 17250
MORGAN STANLEY COM NEW 617446448 2 1468 SHS SOLE 0 0 1468
MORGANS HOTEL GROUP CO COM 61748W108 1 500 SHS SOLE 0 0 500
MOSAIC CO NEW COM 61945C103 2 1250 SHS SOLE 0 0 1250
MYLAN INC COM 628530107 1 562 SHS SOLE 0 0 562
NEW GOLD INC CDA COM 644535106 5 4069 SHS SOLE 0 0 4069
NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 3 2500 SHS SOLE 0 0 2500
NORFOLK SOUTHERN CORP COM 655844108 1 226 SHS SOLE 0 0 226
NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 1 500 SHS SOLE 0 0 500
NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 1 800 SHS SOLE 0 0 800
NUVEEN MD DIVID ADVANTAGE MU COM SH BEN INT 67069R107 3 2146 SHS SOLE 0 0 2146
NUVEEN TX ADV TOTAL RET STRG COM 67090H102 1 100 SHS SOLE 0 0 100
O REILLY AUTOMOTIVE INC NEW COM 67103H107 11 10265 SHS SOLE 0 0 10265
OCCIDENTAL PETE CORP DEL COM 674599105 1 150 SHS SOLE 0 0 150
OLIN CORP COM PAR $1 680665205 8 7544 SHS SOLE 0 0 7544
OPENTABLE INC COM 68372A104 1 40 SHS SOLE 0 0 40
ORACLE CORP COM 68389X105 1 100 SHS SOLE 0 0 100
PANERA BREAD CO CL A 69840W108 5 4465 SHS SOLE 0 0 4465
PARAMETRIC SOUND CORP COM NEW 699172201 54 53314 SHS SOLE 0 0 53314
PARKER HANNIFIN CORP COM 701094104 1 375 SHS SOLE 0 0 375
PEABODY ENERGY CORP COM 704549104 1 100 SHS SOLE 0 0 100
PEMBINA PIPELINE CORP COM 706327103 4 3186 SHS SOLE 0 0 3186
PENN VA RESOURCES PARTNERS L COM 707884102 1 392 SHS SOLE 0 0 392
PENN WEST PETE LTD NEW COM 707887105 1 500 SHS SOLE 0 0 500
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1 500 SHS SOLE 0 0 500
PETSMART INC COM 716768106 18 17916 SHS SOLE 0 0 17916
PFIZER INC COM 717081103 1 440 SHS SOLE 0 0 440
PHILIP MORRIS INTL INC COM 718172109 6 5390 SHS SOLE 0 0 5390
PHILLIPS 66 COM 718546104 2 1050 SHS SOLE 0 0 1050
PIEDMONT OFFICE REALTY TR IN COM CL A 720190206 4 3039 SHS SOLE 0 0 3039
PIMCO CALIF MUN INCOME FD II COM 72200M108 4 3050 SHS SOLE 0 0 3050
PIMCO CORPORATE & INCOME OPP COM 72201B101 5 4775 SHS SOLE 0 0 4775
PIMCO CORPORATE INCOME STRAT COM 72200U100 3 2025 SHS SOLE 0 0 2025
PIMCO ETF TR 1-3YR USTREIDX 72201R106 2 1291 SHS SOLE 0 0 1291
PIMCO HIGH INCOME FD COM SHS 722014107 2 1500 SHS SOLE 0 0 1500
PIMCO INCOME OPPORTUNITY FD COM 72202B100 1 1000 SHS SOLE 0 0 1000
PIMCO INCOME STRATEGY FUND COM 72201H108 8 7700 SHS SOLE 0 0 7700
PIMCO MUN INCOME FD II COM 72200W106 2 2000 SHS SOLE 0 0 2000
PIMCO MUNICIPAL INCOME FD COM 72200R107 2 1717 SHS SOLE 0 0 1717
PIONEER HIGH INCOME TR COM 72369H106 1 800 SHS SOLE 0 0 800
PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1 830 SHS SOLE 0 0 830
PLUM CREEK TIMBER CO INC COM 729251108 1 550 SHS SOLE 0 0 550
POLARIS INDS INC COM 731068102 5 4661 SHS SOLE 0 0 4661
POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 2 1200 SHS SOLE 0 0 1200
POWERSHARES ETF TRUST WATER RESOURCE 73935X575 8 7100 SHS SOLE 0 0 7100
POWERSHARES ETF TRUST GBL LSTD PVT EQT73935X195 4 3900 SHS SOLE 0 0 3900
POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 2 1500 SHS SOLE 0 0 1500
POWERSHARES ETF TRUST DIV ACHV PRTF 73935X732 1 750 SHS SOLE 0 0 750
POWERSHARES ETF TRUST DYN OIL SVCS 73935X625 1 200 SHS SOLE 0 0 200
POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 1 200 SHS SOLE 0 0 200
POWERSHARES ETF TRUST CLEANTECH PORT 73935X278 1 180 SHS SOLE 0 0 180
POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 2662 105569 SHS SOLE 105569 0 0
POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 1 500 SHS SOLE 0 0 500
POWERSHARES GLOBAL ETF TRUST GBL WTR PORT 73936T623 1 350 SHS SOLE 0 0 350
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2 1546 SHS SOLE 0 0 1546
POWERSHARES QQQ TRUST CALL 73935A904 1 2 CALL SOLE 0 0 2
POWERSHS DB MULTI SECT COMMDB AGRICULT FD73936B408 15 14114 SHS SOLE 0 0 14114
POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 12 11133 SHS SOLE 0 0 11133
PPL CORP COM 69351T106 1 700 SHS SOLE 0 0 700
PROCTER & GAMBLE CO COM 742718109 7 6118 SHS SOLE 0 0 6118
PROGRESS ENERGY INC COM 743263105 1 300 SHS SOLE 0 0 300
PROSHARES TR PSHS ULTSH 20YRS74347R297 3 2650 SHS SOLE 0 0 2650
PROSHARES TR PSHS ULT S&P 50074347R107 1 200 SHS SOLE 0 0 200
PROSPECT CAPITAL CORPORATION COM 74348T102 1 500 SHS SOLE 0 0 500
QUALCOMM INC COM 747525103 2 1235 SHS SOLE 0 0 1235
QUALCOMM INC CALL 747525903 1 3 CALL SOLE 0 0 3
REALTY INCOME CORP COM 756109104 2 1876 SHS SOLE 0 0 1876
RETAIL PPTYS AMER INC CL A 76131V202 1 21 SHS SOLE 0 0 21
REYNOLDS AMERICAN INC COM 761713106 4 3758 SHS SOLE 0 0 3758
ROCHESTER MED CORP COM 771497104 1 600 SHS SOLE 0 0 600
ROCKWELL AUTOMATION INC COM 773903109 1 75 SHS SOLE 0 0 75
ROCKWELL COLLINS INC COM 774341101 1 75 SHS SOLE 0 0 75
ROSS STORES INC COM 778296103 17 16381 SHS SOLE 0 0 16381
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1 900 SHS SOLE 0 0 900
ROYAL GOLD INC COM 780287108 1 606 SHS SOLE 0 0 606
ROYCE VALUE TR INC COM 780910105 1 209 SHS SOLE 0 0 209
RUBICON MINERALS CORP COM 780911103 12 11485 SHS SOLE 0 0 11485
RYDEX ETF TRUST GUG S&P MC400 PG78355W601 1 100 SHS SOLE 0 0 100
RYDEX ETF TRUST GUG S&P500 EQ WT78355W106 1 41 SHS SOLE 0 0 41
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5473 156092 SHS SOLE 147720 0 8372
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 5461 157640 SHS SOLE 157040 0 600
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5417 143000 SHS SOLE 142500 0 500
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 5282 120636 SHS SOLE 120636 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 5290 184698 SHS SOLE 184098 0 600
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 62 932 SHS SOLE 932 0 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2 1500 SHS SOLE 0 0 1500
SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1 52 SHS SOLE 0 0 52
SENIOR HSG PPTYS TR SH BEN INT 81721M109 1 500 SHS SOLE 0 0 500
SHUFFLE MASTER INC COM 825549108 1 500 SHS SOLE 0 0 500
SHUFFLE MASTER INC CALL 825549908 1 5 CALL SOLE 0 0 5
SKYWORKS SOLUTIONS INC COM 83088M102 1 25 SHS SOLE 0 0 25
SOUTHERN CO COM 842587107 2 1082 SHS SOLE 0 0 1082
SOUTHERN COPPER CORP COM 84265V105 5 4966 SHS SOLE 0 0 4966
SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1 866 SHS SOLE 0 0 866
SPDR DOW JONES INDL AVRG ETF CALL 78467X909 1 2 CALL SOLE 0 0 2
SPDR GOLD TRUST GOLD SHS 78463V107 219 19358 SHS SOLE 1291 0 18067
SPDR GOLD TRUST CALL 78463V907 2 8 CALL SOLE 0 0 8
SPDR INDEX SHS FDS S&P INTL SMLCP 78463X871 3512 138372 SHS SOLE 135950 0 2422
SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 2564 62369 SHS SOLE 61497 0 872
SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 1487 41192 SHS SOLE 40393 0 799
SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 337 4878 SHS SOLE 4878 0 0
SPDR INDEX SHS FDS S&P INTL ETF 78463X772 3 2050 SHS SOLE 0 0 2050
SPDR S&P 500 ETF TR TR UNIT 78462F103 3 2898 SHS SOLE 0 0 2898
SPDR S&P 500 ETF TR CALL 78462F903 2 6 CALL SOLE 0 0 6
SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 8622 218485 SHS SOLE 218485 0 0
SPDR SERIES TRUST NUVN BR SHT MUNI78464A425 4223 173751 SHS SOLE 172799 0 952
SPDR SERIES TRUST BARCL CAP TIPS 78464A656 924 20162 SHS SOLE 15408 0 4754
SPDR SERIES TRUST NUVN BRCLY MUNI 78464A458 464 19217 SHS SOLE 19217 0 0
SPDR SERIES TRUST BRCLYS 1-3MT ETF78464A680 44 941 SHS SOLE 941 0 0
SPDR SERIES TRUST S&P DIVID ETF 78464A763 3 2811 SHS SOLE 0 0 2811
SPDR SERIES TRUST S&P 600 SMCP GRW78464A201 1 701 SHS SOLE 0 0 701
SPDR SERIES TRUST BARC CAPTL ETF 78464A474 1 175 SHS SOLE 0 0 175
SPRINT NEXTEL CORP COM SER 1 852061100 1 633 SHS SOLE 0 0 633
STARBUCKS CORP COM 855244109 9 8298 SHS SOLE 0 0 8298
SUN HYDRAULICS CORP COM 866942105 1 150 SHS SOLE 0 0 150
SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 2644 339167 SHS SOLE 327835 0 11332
SXC HEALTH SOLUTIONS CORP COM 78505P100 12 11670 SHS SOLE 0 0 11670
SYSCO CORP COM 871829107 6 5337 SHS SOLE 0 0 5337
TARGET CORP COM 87612E106 1 530 SHS SOLE 0 0 530
TARGET CORP CALL 87612E906 1 5 CALL SOLE 0 0 5
TC PIPELINES LP UT COM LTD PRT 87233Q108 1 600 SHS SOLE 0 0 600
TE CONNECTIVITY LTD REG SHS H84989104 1 75 SHS SOLE 0 0 75
TEEKAY LNG PARTNERS L P PRTNRSP UNITS Y8564M105 1 700 SHS SOLE 0 0 700
TEEKAY OFFSHORE PARTNERS L P CALL Y8565J901 1 2 CALL SOLE 0 0 2
TEMPLETON EMERG MKTS INCOME COM 880192109 2 1150 SHS SOLE 0 0 1150
TEMPLETON GLOBAL INCOME FD COM 880198106 1 480 SHS SOLE 0 0 480
TICC CAPITAL CORP COM 87244T109 1 300 SHS SOLE 0 0 300
TIVO INC COM 888706108 1 1000 SHS SOLE 0 0 1000
TRACTOR SUPPLY CO COM 892356106 9 8937 SHS SOLE 0 0 8937
TRANSDIGM GROUP INC COM 893641100 4 3645 SHS SOLE 0 0 3645
TRAVELERS COMPANIES INC COM 89417E109 1 26 SHS SOLE 0 0 26
TYCO INTERNATIONAL LTD SHS H89128104 1 75 SHS SOLE 0 0 75
ULTA SALON COSMETCS & FRAG I COM 90384S303 4 3908 SHS SOLE 0 0 3908
ULTIMATE SOFTWARE GROUP INC COM 90385D107 8 7091 SHS SOLE 0 0 7091
UNDER ARMOUR INC CL A 904311107 1 900 SHS SOLE 0 0 900
UNION PAC CORP COM 907818108 1 50 SHS SOLE 0 0 50
UNITED PARCEL SERVICE INC CL B 911312106 1 63 SHS SOLE 0 0 63
UNS ENERGY CORP COM 903119105 8 7753 SHS SOLE 0 0 7753
UNUM GROUP COM 91529Y106 1 400 SHS SOLE 0 0 400
VALERO ENERGY CORP NEW COM 91913Y100 2 1500 SHS SOLE 0 0 1500
VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 41299 489448 SHS SOLE 489439 0 9
VANGUARD BD INDEX FD INC INTERMED TERM 921937819 2857 42893 SHS SOLE 32043 0 10850
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 2336 37102 SHS SOLE 28688 0 8414
VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 849 8935 SHS SOLE 8935 0 0
VANGUARD INDEX FDS VALUE ETF 922908744 20224 361714 SHS SOLE 361514 0 200
VANGUARD INDEX FDS REIT ETF 922908553 5998 92162 SHS SOLE 91648 0 514
VANGUARD INDEX FDS GROWTH ETF 922908736 1404 20733 SHS SOLE 20633 0 100
VANGUARD INDEX FDS TOTAL STK MKT 922908769 887 12720 SHS SOLE 12720 0 0
VANGUARD INDEX FDS S&P 500 ETF SH 922908413 712 11419 SHS SOLE 11419 0 0
VANGUARD INDEX FDS SMALL CP ETF 922908751 314 4122 SHS SOLE 4122 0 0
VANGUARD INDEX FDS EXTEND MKT ETF 922908652 304 5377 SHS SOLE 5377 0 0
VANGUARD INDEX FDS SML CP GRW ETF 922908595 1 260 SHS SOLE 0 0 260
VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 1 200 SHS SOLE 0 0 200
VANGUARD INDEX FDS SM CP VAL ETF 922908611 1 200 SHS SOLE 0 0 200
VANGUARD INDEX FDS LARGE CAP ETF 922908637 1 200 SHS SOLE 0 0 200
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF922042858 6165 155019 SHS SOLE 154375 0 644
VANGUARD INTL EQUITY INDEX F MSCI PAC ETF 922042866 334 6657 SHS SOLE 6657 0 0
VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 120 2799 SHS SOLE 2799 0 0
VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 2073 31320 SHS SOLE 31320 0 0
VANGUARD SCOTTSDALE FDS LG-TERM COR BD 92206C813 817 17309 SHS SOLE 9060 0 8249
VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 553 10560 SHS SOLE 10560 0 0
VANGUARD SCOTTSDALE FDS LONG-TERM GOV 92206C847 342 4417 SHS SOLE 4417 0 0
VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 139 1747 SHS SOLE 1747 0 0
VANGUARD SCOTTSDALE FDS SHTRM GVT BD ETF92206C102 137 2246 SHS SOLE 2246 0 0
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 6 5757 SHS SOLE 0 0 5757
VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 9514 301364 SHS SOLE 301331 0 33
VANGUARD WORLD FD MEGA VALUE 300 921910840 1 250 SHS SOLE 0 0 250
VANGUARD WORLD FDS UTILITIES ETF 92204A876 10 9783 SHS SOLE 0 0 9783
VANGUARD WORLD FDS ENERGY ETF 92204A306 1 100 SHS SOLE 0 0 100
VANGUARD WORLD FDS MATERIALS ETF 92204A801 1 100 SHS SOLE 0 0 100
VERIZON COMMUNICATIONS INC COM 92343V104 3 2828 SHS SOLE 0 0 2828
VISA INC COM CL A 92826C839 7 6245 SHS SOLE 0 0 6245
VITESSE SEMICONDUCTOR CORP COM NEW 928497304 46 45350 SHS SOLE 0 0 45350
VIVUS INC COM 928551100 1 150 SHS SOLE 0 0 150
VMWARE INC CL A COM 928563402 1 100 SHS SOLE 0 0 100
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 12 11998 SHS SOLE 0 0 11998
WAL MART STORES INC COM 931142103 1 381 SHS SOLE 0 0 381
WELLS FARGO & CO NEW COM 949746101 1 721 SHS SOLE 0 0 721
WESTPORT INNOVATIONS INC CALL 960908909 1 2 CALL SOLE 0 0 2
WESTPORT INNOVATIONS INC COM NEW 960908309 1 200 SHS SOLE 0 0 200
WHITING USA TR I TR UNIT 966389108 2 1300 SHS SOLE 0 0 1300
WILLIAMS PARTNERS L P COM UNIT L P 96950F104 1 550 SHS SOLE 0 0 550
WISDOMTREE TRUST LARGECAP DIVID 97717W307 2 1400 SHS SOLE 0 0 1400
WIZZARD SOFTWARE CORP NEW COM NEW 97750V307 3 2125 SHS SOLE 0 0 2125
WOODWARD INC COM 980745103 1 150 SHS SOLE 0 0 150
YAHOO INC COM 984332106 1 120 SHS SOLE 0 0 120
YAMANA GOLD INC COM 98462Y100 3 2794 SHS SOLE 0 0 2794
ZIMMER HLDGS INC COM 98956P102 1 192 SHS SOLE 0 0 192