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