0001507971-11-000002.txt : 20110510 0001507971-11-000002.hdr.sgml : 20110510 20110510111149 ACCESSION NUMBER: 0001507971-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110510 DATE AS OF CHANGE: 20110510 EFFECTIVENESS DATE: 20110510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wall Street Access Asset Management, LLC CENTRAL INDEX KEY: 0001507971 IRS NUMBER: 134152843 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14077 FILM NUMBER: 11826322 BUSINESS ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 212 709-9400 MAIL ADDRESS: STREET 1: 17 BATTERY PLACE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10004 13F-HR 1 wsaam13f051011.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: March 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: Wall Street Access Asset Management Address: 17 Battery Place New York, NY 10004 13F File Number: 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. Signing of Person Duly Authorized to Submit this Report: Name: Arthur Goetchius Title: Authorized Signatory Phone: 212 709-9400 Signature, Place, and Date of Signing: Arthur Goetchius New York, NY May 9,2011 Report Type (Check only one.); [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 97 Form 13F Information Table Value Total: 146,129 (THOUSANDS) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- ------- ---- 3D SYS CORP DEL COM NEW COM 88554D205 16,581.09 341,526 SH Sole 341,526 AERCAP HOLDING N V SHS COM N00985106 486.46 38,700 SH Sole 38,700 AES TR III TR PFD CONV SECS PFD 00808N202 1,663.47 33,900 SH Sole 33,900 ALTRIA GROUP INC COM COM 02209S103 454.22 17,450 SH Sole 17,450 AMCOL INTL CORP NEW COM 02341W103 3,554.82 98,800 SH Sole 98,800 AMERICAN INTL GROUP INC 7.7% E PFD 026874859 248.48 9,967 SH Sole 9,967 AMERIGAS PARTNERS LTD PARTSHP COM 030975106 424.51 8,833 SH Sole 8,833 APPLE INC COM COM 037833100 367.96 1,056 SH Sole 1,056 AT&T INC COM COM 00206R102 332.61 10,866 SH Sole 10,866 AVNET INC COM 053807103 1,891.99 55,500 SH Sole 55,500 BANK AMER CORP 7.25% DEPOSITAR PFD 060505724 471.57 18,500 SH Sole 18,500 BANK AMER CORP COM COM 060505104 186.66 14,003 SH Sole 14,003 BERKSHIRE HATHAWAY INC DEL CL COM 084670108 1,253.00 10 SH Sole 10 BERKSHIRE HATHAWAY INC DEL CL COM 084670702 1,125.41 13,457 SH Sole 13,457 BOEING CO COM COM 097023105 306.81 4,150 SH Sole 4,150 BP PLC SPONS ADR COM ADR 055622104 346.50 7,850 SH Sole 7,850 BPZ RES INC COM COM 055639108 165.89 31,300 SH Sole 31,300 BRISTOL MYERS SQUIBB CO COM COM 110122108 285.79 10,813 SH Sole 10,813 CAMECO CORP COM ISIN#CA13321L1 COM 13321L108 1,660.94 55,291 SH Sole 55,291 CANADIAN NATURAL RES LTD ISIN# COM 136385101 5,177.00 104,734 SH Sole 104,734 CENTRAL EUROPEAN DISTR CORP CO COM 153435102 1,591.84 140,250 SH Sole 140,250 CHESAPEAKE ENERGY CORP COM 165167107 3,734.12 111,400 SH Sole 111,400 CHEVRON CORP NEW COM COM 166764100 1,632.87 15,192 SH Sole 15,192 CHUBB CORP COM 171232101 2,452.40 40,000 SH Sole 40,000 CINCINNATI FINL CORP COM COM 172062101 2,150.40 65,561 SH Sole 65,561 CISCO SYSTEMS INC COM 17275R102 288.65 16,831 SH Sole 16,831 CITIGROUP INC COM COM 172967101 302.09 68,347 SH Sole 68,347 COMPTON PETE CORP COM ISIN#CA2 COM 204940100 29.70 83,912 SH Sole 83,912 CONOCOPHILLIPS COM COM 20825C104 3,284.24 41,125 SH Sole 41,125 CONTINUCARE CORP COM COM 212172100 545.74 102,007 SH Sole 102,007 CREDIT SUISSE HIGH YIELD BD FD COM 22544F103 46.65 15,000 SH Sole 15,000 CYBERONICS INC COM COM 23251P102 569.40 17,900 SH Sole 17,900 DISNEY WALT CO DISNEY COM COM 254687106 661.25 15,345 SH Sole 15,345 DU PONT E I DE NEMOURS & COMPA COM 263534109 3,235.42 61,358 SH Sole 61,358 EAGLE MATERIALS INC COM COM 26969P108 5,449.83 180,100 SH Sole 180,100 EL PASO CORP COM COM 28336L109 4,266.00 237,000 SH Sole 237,000 EOG RES INC COM COM 26875P101 331.83 2,800 SH Sole 2,800 EXXON MOBIL CORP COM COM 30231G102 6,418.45 76,292 SH Sole 76,292 FIDELITY NATL FINL INC CL A CO COM 31620R105 3,632.37 257,068 SH Sole 257,068 FIDELITY NATL INFORMATION SVCS COM 31620M106 2,985.42 91,325 SH Sole 91,325 FIRSTMERIT CORP COM COM 337915102 1,394.16 81,721 SH Sole 81,721 GENERAL ELECTRIC CO COM COM 369604103 488.30 24,354 SH Sole 24,354 GLOBAL SHIP LEASE INC NEW COM COM Y27183105 1,041.42 147,500 SH Sole 147,500 HDFC BK LTD ADR REPSTG 3 SHS COM ADR 40415F101 339.88 2,000 SH Sole 2,000 HEMISPHERE GPS INC COM ISIN#CA COM 423633106 14.59 12,000 SH Sole 12,000 HSBC HLDGS PLC 8.125% PERPETUA PFD 404280703 341.50 12,500 SH Sole 12,500 HUDSON CITY BANCORP INC COM 443683107 1,419.09 146,600 SH Sole 146,600 INTEL CORP COM COM 458140100 245.29 12,161 SH Sole 12,161 INTERNATIONAL BUSINESS MACHS C COM 459200101 599.77 3,678 SH Sole 3,678 IRELAND BK SPONSORED ADR COM ADR 46267Q103 19.60 11,200 SH Sole 11,200 ISHARES TR BARCLAYS 1-3 YR CR COM 464288646 715.83 6,854 SH Sole 6,854 ISHARES TR BARCLAYS TIPS BD FD COM 464287176 2,075.74 19,015 SH Sole 19,015 ISHARES TR RUSSELL 2000 VALUE COM 464287630 996.67 13,222 SH Sole 13,222 ISHARES TR S&P GLOBAL 100 INDE COM 464287572 839.75 12,850 SH Sole 12,850 ISHARES TR S&P MIDCAP 400 GROW COM 464287606 504.85 4,575 SH Sole 4,575 JOHNSON & JOHNSON COM COM 478160104 902.44 15,231 SH Sole 15,231 JP MORGAN CHASE & CO COM ISIN# COM 46625H100 246.63 5,350 SH Sole 5,350 KRAFT FOODS INC CL A COM 50075N104 217.01 6,920 SH Sole 6,920 LENDER PROCESSING SVCS INC COM COM 52602E102 1,499.99 46,598 SH Sole 46,598 LUMINEX CORP DEL COM COM 55027E102 4,376.71 233,300 SH Sole 233,300 MAIN STR CAP CORP COM COM 56035L104 2,625.43 142,300 SH Sole 142,300 MANULIFE FINL CORP COM ISIN#CA COM 56501R106 1,202.92 68,000 SH Sole 68,000 MARKET VECTORS ETF TR STEEL ET COM 57060U308 445.92 6,000 SH Sole 6,000 MARSH & MCLENNAN COS INC COM COM 571748102 208.49 6,994 SH Sole 6,994 MERCK & CO INC NEW COM COM 58933Y105 314.85 9,538 SH Sole 9,538 MICROSOFT CORP COM COM 594918104 1,225.79 48,335 SH Sole 48,335 NORTHEAST UTILITIES COM 664397106 2,829.41 81,775 SH Sole 81,775 NYSE EURONEXT COM COM 629491101 1,231.27 35,009 SH Sole 35,009 OXFORD LANE CAP CORP COM COM 691543102 2,787.19 148,650 SH Sole 148,650 PARK-OHIO HLDGS CORP COM COM 700666100 5,344.74 258,700 SH Sole 258,700 PARTNERRE LTD SHS ISIN#BMG6852 COM G6852T105 1,283.69 16,200 SH Sole 16,200 PEOPLES UTD FINL INC COM COM 712704105 390.61 31,050 SH Sole 31,050 PERMIAN BASIN RTY TR UNIT BEN COM 714236106 220.38 10,100 SH Sole 10,100 PFIZER INC COM COM 717081103 1,748.12 86,072 SH Sole 86,072 PHILIP MORRIS INTL INC COM COM 718172109 842.03 12,830 SH Sole 12,830 PLUM CREEK TIMBER CO INC COM COM 729251108 3,732.32 85,584 SH Sole 85,584 PMI GROUP INC COM COM 69344M101 45.90 17,000 SH Sole 17,000 PROSHARES TR II PROSHARES ULTR COM 74347W858 569.45 35,000 SH Sole 35,000 PSYCHEMEDICS CORP COM NEW COM 744375205 1,961.38 177,500 SH Sole 177,500 PURE CYCLE CORP COM COM 746228303 908.68 230,630 SH Sole 230,630 REDWOOD TR INC COM COM 758075402 437.48 28,134 SH Sole 28,134 ROYAL DUTCH SHELL PLC SPONSORE COM ADR 780259206 386.16 5,300 SH Sole 5,300 SPDR S&P 500 ETF TR TR UNIT COM 78462F103 210.55 1,588 SH Sole 1,588 SPDR SER TR S&P SEMICONDUCTOR COM 78464A862 251.85 4,300 SH Sole 4,300 SPECTRA ENERGY CORP COM COM 847560109 2,447.56 90,050 SH Sole 90,050 SPRINT NEXTEL CORP FON SHS COM 852061100 51.04 11,000 SH Sole 11,000 STATE AUTO FINANCIAL CORP COM 855707105 1,521.37 83,500 SH Sole 83,500 SUBURBAN PROPANE PARTNERS L P COM 864482104 1,584.55 28,080 SH Sole 28,080 TEVA PHARMACEUTICAL INDUSTRIES COM ADR 881624209 1,753.45 34,950 SH Sole 34,950 THERMO FISHER SCIENTIFIC INC COM 883556102 279.81 5,037 SH Sole 5,037 TICC CAP CORP COM COM 87244T109 4,672.47 429,850 SH Sole 429,850 TIME WARNER CABLE INC COM COM 88732J207 270.95 3,798 SH Sole 3,798 TIME WARNER INC NEW COM NEW COM 887317303 510.62 14,303 SH Sole 14,303 VERIZON COMMUNICATIONS COM COM 92343V104 401.28 10,412 SH Sole 10,412 VODAFONE GROUP PLC SPON ADR NE COM ADR 92857W209 288.13 10,022 SH Sole 10,022 WATTS WATER TECHNOLOGIES INC C COM 942749102 2,054.62 53,800 SH Sole 53,800 WELLS FARGO & CO NEW COM COM 949746101 215.60 6,799 SH Sole 6,799