Advisory Compliance Manager

0001085146-14-000502.txt : 20140212 0001085146-14-000502.hdr.sgml : 20140212 20140211194758 ACCESSION NUMBER: 0001085146-14-000502 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140212 DATE AS OF CHANGE: 20140211 EFFECTIVENESS DATE: 20140212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cetera Advisors LLC CENTRAL INDEX KEY: 0001534400 IRS NUMBER: 840858799 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14617 FILM NUMBER: 14596073 BUSINESS ADDRESS: STREET 1: 4600 S. SYRACUSE ST. STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 BUSINESS PHONE: 720-509-2446 MAIL ADDRESS: STREET 1: 4600 S. SYRACUSE ST. STREET 2: SUITE 600 CITY: DENVER STATE: CO ZIP: 80237 FORMER COMPANY: FORMER CONFORMED NAME: Multi-Financial Securities Corp DATE OF NAME CHANGE: 20111107 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001534400 XXXXXXXX 12-31-2013 12-31-2013 Cetera Advisors LLC

4600 S. SYRACUSE ST. SUITE 600 DENVER CO 80237

13F HOLDINGS REPORT 028-14617 Y CETERA ADVISORS LLC WAS FORMERLEY KNOWN AS MULTI-FINANCIAL SECURITIES CORP Francine Eaves-Ranft Advisory Compliance Manager 720-509-2446 /s/ Francine Eaves-Ranft Denver CO 02-11-2014 0 503 676287 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3-D SYS CORP DELCOM NEW88554d205100110767SHSOLE 00107673M COCOM88579y10111948517SHSOLE 008517ABBOTT LABSCOM002824100150339090SHSOLE 0039090ABBVIE INCCOM00287Y109106220163SHSOLE 0020163ABERDEEN ASIA PACIFIC INCOMCOM0030091077312507SHSOLE 0012507ACTAVIS PLCSHSG0083B1085653363SHSOLE 003363ADVANCE AUTO PARTS INCCOM00751y1065795231SHSOLE 005231AFLAC INCCOM00105510270310513SHSOLE 0010513AGCO CORPCOM0010841022584343SHSOLE 004343AGILENT TECHNOLOGIES INCCOM00846u10198817281SHSOLE 0017281ALCOA INCCOM01381710111610933SHSOLE 0010933ALLIANZGI CONV & INCOME FDCOM0188281039910204SHSOLE 0010204ALLIANZGI CONV & INCOME FD ICOM01882510934238300SHSOLE 0038300ALNYLAM PHARMACEUTICALS INCCOM02043q1072033145SHSOLE 003145ALPHA NATURAL RESOURCES INCCOM02076X10213819464SHSOLE 0019464ALPS ETF TRALERIAN MLP00162Q86676943147SHSOLE 0043147ALPS ETF TRC&S GLOBL ETF00162q106254164951SHSOLE 0064951ALPS ETF TRSECTR DIV DOGS00162Q85837911017SHSOLE 0011017ALTRIA GROUP INCCOM02209s103200552087SHSOLE 0052087AMAZON COM INCCOM0231351066871717SHSOLE 001717AMERICAN CAPITAL AGENCY CORPCOM02503X10551626713SHSOLE 0026713AMERICAN EXPRESS COCOM0258161092983291SHSOLE 003291AMERICAN RLTY CAP PPTYS INCCOM02917T10410343804828SHSOLE 00804828AMERICAN TOWER CORP NEWCOM03027X1003344193SHSOLE 004193AMERIGAS PARTNERS L PUNIT L P INT0309751062866430SHSOLE 006430AMGEN INCCOM031162100148412971SHSOLE 0012971ANNALY CAP MGMT INCCOM0357104093064307610SHSOLE 00307610ANWORTH MORTGAGE ASSET CPCOM0373471017918700SHSOLE 0018700APOLLO ED GROUP INCCL A03760410530711178SHSOLE 0011178APOLLO INVT CORPNOTE 5.750% 1/103761uae6538493000PRNSOLE 00493000APPLE INCCOM0378331001513726980SHSOLE 0026980APPLIED MICRO CIRCUITS CORPCOM NEW03822W40625218900SHSOLE 0018900ARCELORMITTAL SA LUXEMBOURGNY REGISTRY SH03938L10410495588326SHSOLE 00588326ARMOUR RESIDENTIAL REIT INCCOM04231510110526181SHSOLE 0026181ARRIS GROUP INC NEWCOM04270V10631012752SHSOLE 0012752ASSURANT INCCOM04621x1085067636SHSOLE 007636AT&T INCCOM00206r102321491149SHSOLE 0091149ATLAS PIPELINE PARTNERS LPUNIT L P INT0493921032497100SHSOLE 007100AUTOMATIC DATA PROCESSING INCOM0530151035697055SHSOLE 007055BANK NEW YORK MELLON CORPCOM06405810042112083SHSOLE 0012083BANK OF AMERICA CORPORATIONCOM060505104117474912SHSOLE 0074912BARCLAYS BK PLC10 YR TREAS BEAR06740L4512076252SHSOLE 006252BARCLAYS BK PLCDJUBS CMDT ETN3606738C77867018214SHSOLE 0018214BARCLAYS BK PLCUS TRES STEEP06740L47758513890SHSOLE 0013890BERKSHIRE HATHAWAY INC DELCL A0846701087124SHSOLE 004BERKSHIRE HATHAWAY INC DELCL B NEW084670702265122331SHSOLE 0022331BEST BUY INCCOM0865161012035090SHSOLE 005090BLACKBERRY LTDCOM09228F1038511523SHSOLE 0011523BLACKSTONE GSO FLTING RTE FUCOM09256U10542322455SHSOLE 0022455BOARDWALK PIPELINE PARTNERSUT LTD PARTNER09662710496137670SHSOLE 0037670BOEING COCOM097023105242017724SHSOLE 0017724BP PLCSPONSORED ADR05562210489718443SHSOLE 0018443BP PRUDHOE BAY RTY TRUNIT BEN INT0556301077629539SHSOLE 009539BRINKER INTL INCCOM1096411002104516SHSOLE 004516BRISTOL MYERS SQUIBB COCOM110122108220341423SHSOLE 0041423BUCKEYE PARTNERS L PUNIT LTD PARTN1182301014586449SHSOLE 006449C H ROBINSON WORLDWIDE INCCOM NEW12541W2092804797SHSOLE 004797CA INCCOM12673p1052607714SHSOLE 007714CALAMOS CONV & HIGH INCOME FCOM SHS12811p10830623870SHSOLE 0023870CALAMOS STRATEGIC TOTL RETNCOM SH BEN INT12812510117515971SHSOLE 0015971CALLIDUS SOFTWARE INCCOM13123E50030622253SHSOLE 0022253CANADIAN NATL RY COCOM136375102165929141SHSOLE 0029141CATERPILLAR INC DELCOM149123101127113940SHSOLE 0013940CBRE CLARION GLOBAL REAL ESTCOM12504G10013016331SHSOLE 0016331CBRE GROUP INCCL A12504L10943216393SHSOLE 0016393CELGENE CORPCOM151020104206912248SHSOLE 0012248CENTRAL FD CDA LTDCL A1535011013172239307SHSOLE 00239307CERNER CORPCOM156782104208637346SHSOLE 0037346CF INDS HLDGS INCCOM1252691005612394SHSOLE 002394CHAMBERS STR PPTYSCOM157842105864113397SHSOLE 00113397CHEVRON CORP NEWCOM166764100661853055SHSOLE 0053055CHIMERA INVT CORPCOM16934Q1093611600SHSOLE 0011600CHIQUITA BRANDS INTL INCNOTE 4.250% 8/1170032at3510512000PRNSOLE 00512000CHURCH & DWIGHT INCCOM1713401025638498SHSOLE 008498CIGNA CORPORATIONCOM1255091094304919SHSOLE 004919CISCO SYS INCCOM17275r10251923361SHSOLE 0023361CLAYMORE EXCHANGE TRD FD TRWLSHR US REIT18383M47284523772SHSOLE 0023772CLIFFS NAT RES INCCOM18683K1017169273482SHSOLE 00273482CME GROUP INCCOM12572Q1055507011SHSOLE 007011COCA COLA COCOM191216100231856098SHSOLE 0056098COHEN & STEERS QUALITY RLTYCOM19247l1062137225409SHSOLE 00225409COHEN & STEERS REIT & PFD INCOM19247x10021413630SHSOLE 0013630COLE REAL ESTATE INVTS INCCOM19329V105107776690SHSOLE 0076690COLGATE PALMOLIVE COCOM194162103227534886SHSOLE 0034886COLUMBIA PPTY TR INCCOM NEW19828720391836842SHSOLE 0036842COMCAST CORP NEWCL A20030n1012574928SHSOLE 004928COMERICA INCCOM2003401073627580SHSOLE 007580CONOCOPHILLIPSCOM20825c104109415496SHSOLE 0015496CONSOLIDATED EDISON INCCOM2091151042083722SHSOLE 003722CORNERSTONE PROGRESSIVE RTNCOM21925C1018015500SHSOLE 0015500CORNERSTONE STRATEGIC VALUECOM NEW21924B2039714667SHSOLE 0014667CORNERSTONE TOTAL RTRN FD INCOM NEW21924U2019415600SHSOLE 0015600CORNING INCCOM21935010571239940SHSOLE 0039940COSTCO WHSL CORP NEWCOM22160k1057906657SHSOLE 006657COURIER CORPCOM22266010225814232SHSOLE 0014232CREDIT SUISSE NASSAU BRHEQL WGT MLP LKD22542D8522548075SHSOLE 008075CREE INCCOM22544710168710927SHSOLE 0010927CSX CORPCOM12640810332211111SHSOLE 0011111CUBIST PHARMACEUTICALS INCCOM2296781073364837SHSOLE 004837CUMMINS INCCOM2310211069816966SHSOLE 006966CURRENCYSHARES AUSTRALIAN DLAUSTRALIAN DOL23129U1013313718SHSOLE 003718CVS CAREMARK CORPORATIONCOM1266501003855394SHSOLE 005394DANAHER CORP DELCOM2358511022573350SHSOLE 003350DCP MIDSTREAM PARTNERS LPCOM UT LTD PTN23311P10072914470SHSOLE 0014470DEERE & COCOM244199105264428943SHSOLE 0028943DIAMONDBACK ENERGY INCCOM25278X1092073930SHSOLE 003930DIGITAL RLTY TR INCCOM2538681033406924SHSOLE 006924DISNEY WALT COCOM DISNEY254687106186224325SHSOLE 0024325DNP SELECT INCOME FDCOM23325p1041314139343SHSOLE 00139343DOMINION RES INC VA NEWCOM25746u1092473822SHSOLE 003822DU PONT E I DE NEMOURS & COCOM2635341093585531SHSOLE 005531DUFF & PHELPS UTIL CORP BD TCOM26432k10865364870SHSOLE 0064870DUKE ENERGY CORP NEWCOM NEW26441C2046259003SHSOLE 009003DUKE REALTY CORPCOM NEW2644115052173751SHSOLE 003751E M C CORP MASSCOM26864810244917577SHSOLE 0017577EATON VANCE OHIO MUN BD FDCOM27828l10615614214SHSOLE 0014214EATON VANCE TAX MNGD GBL DVCOM27829F10821721525SHSOLE 0021525ECOLAB INCCOM278865100107610345SHSOLE 0010345E-COMMERCE CHINA DANGDANG INSPN ADS COM A26833A1059610000SHSOLE 0010000EDISON INTLCOM2810201072465295SHSOLE 005295EMERSON ELEC COCOM2910111042403399SHSOLE 003399ENBRIDGE ENERGY PARTNERS L PCOM29250r1062267570SHSOLE 007570ENERGY TRANSFER PRTNRS L PUNIT LTD PARTN29273R109113119803SHSOLE 0019803ENTERPRISE BANCORP INC MASSCOM29366810968432285SHSOLE 0032285ENTERPRISE PRODS PARTNERS LCOM293792107118717862SHSOLE 0017862ESSEX PPTY TR INCCOM2971781058616000SHSOLE 006000ETFS PALLADIUM TRSH BEN INT26923A1062503585SHSOLE 003585EXELON CORPCOM30161n10148217650SHSOLE 0017650EXPRESS SCRIPTS HLDG COCOM30219G1085027150SHSOLE 007150EXXON MOBIL CORPCOM30231g10211821116798SHSOLE 00116798FACEBOOK INCCL A30303M10288316198SHSOLE 0016198FAMILY DLR STORES INCCOM30700010965010007SHSOLE 0010007FASTENAL COCOM311900104156532962SHSOLE 0032962FIFTH STREET FINANCE CORPCOM31678A10311612490SHSOLE 0012490FIRST TR ABERDEEN GLBL OPP FCOM SHS33731910714110014SHSOLE 0010014FIRST TR DJS MICROCAP INDEXCOM SHS ANNUAL33718M10557617681SHSOLE 0017681FIRST TR EXCHANGE TRADED FDAUTO INDEX FD33734X30959014870SHSOLE 0014870FIRST TR EXCHANGE TRADED FDCAP STRENGTH ETF33733E10469920741SHSOLE 0020741FIRST TR EXCHANGE TRADED FDCONSUMR DISCRE33734X10160418714SHSOLE 0018714FIRST TR EXCHANGE TRADED FDDJ GLBL DIVID33734X2002047473SHSOLE 007473FIRST TR LRG CP GRWTH ALPHADCOM SHS33735K108224454736SHSOLE 0054736FIRST TR LRG CP VL ALPHADEXCOM SHS33735J10111825293605SHSOLE 00293605FIRST TR LRGE CP CORE ALPHACOM SHS33734K109280568097SHSOLE 0068097FIRST TR MID CAP CORE ALPHADCOM SHS33735B108191437931SHSOLE 0037931FIRST TR MORNINGSTAR DIV LEASHS33691710927612593SHSOLE 0012593FIRST TR MULTI CP VAL ALPHACOM SHS33733C108118926791SHSOLE 0026791FIRST TR SML CP CORE ALPHA FCOM SHS33734Y109155231950SHSOLE 0031950FIRST TR STRATEGIC HIGH INCCOM SHS NEW33735330423314560SHSOLE 0014560FIRST TR VALUE LINE DIVID INSHS33734h10673334262SHSOLE 0034262FLEXSHARES TRQLT DIV DEF IDX33939L84535010842SHSOLE 0010842FLEXSHARES TRQUALT DIVD IDX33939L86093027940SHSOLE 0027940FLUOR CORP NEWCOM3434121022012509SHSOLE 002509FOOT LOCKER INCCOM34484910480719474SHSOLE 0019474FORD MTR CO DELCOM PAR $0.013453708602025131489SHSOLE 00131489FOREST LABS INCCOM3458381063786281SHSOLE 006281FRANKLIN UNVL TRSH BEN INT35514510310014324SHSOLE 0014324FREEPORT-MCMORAN COPPER & GOCOM35671D8577607201472SHSOLE 00201472FRONTIER COMMUNICATIONS CORPCOM35906A10822248728SHSOLE 0048728FULTON FINL CORP PACOM36027110028521902SHSOLE 0021902GAMCO GLOBAL GOLD NAT RES &COM SH BEN INT36465A10922324707SHSOLE 0024707GENERAL ELECTRIC COCOM3696041034740169329SHSOLE 00169329GENERAL MLS INCCOM37033410459812016SHSOLE 0012016GENERAL MTRS CO*W EXP 07/10/20137045V118158550887SHSOLE 0050887GENERAL MTRS COCOM37045V100222354420SHSOLE 0054420GENUINE PARTS COCOM3724601057088547SHSOLE 008547GIANT INTERACTIVE GROUP INCADR37451110320117940SHSOLE 0017940GILEAD SCIENCES INCCOM375558103201026706SHSOLE 0026706GLOWPOINT INCCOM NEW379887201176127250SHSOLE 00127250GOLAR LNG LTD BERMUDASHSG9456A10036410043SHSOLE 0010043GOOGLE INCCL A38259p50840433617SHSOLE 003617GOVERNMENT PPTYS INCOME TRCOM SHS BEN INT38376A10329912004SHSOLE 0012004GUANGSHEN RY LTDSPONSORED ADR40065W1072249740SHSOLE 009740HALCON RES CORPCOM NEW40537Q2095815000SHSOLE 0015000HALLIBURTON COCOM4062161012214371SHSOLE 004371HCP INCCOM40414L10936610090SHSOLE 0010090HEALTH CARE REIT INCCOM42217k106118822292SHSOLE 0022292HEALTHCARE TR AMER INCCL A42225P1053238329257SHSOLE 00329257HERCULES TECH GROWTH CAP INCCOM42709650840224495SHSOLE 0024495HERSHEY COCOM4278661089089345SHSOLE 009345HEWLETT PACKARD COCOM42823610362922427SHSOLE 0022427HIGHLAND FDS IHI LD IBOXX SRLN4301017742646132395SHSOLE 00132395HOME DEPOT INCCOM4370761026928433SHSOLE 008433HONEYWELL INTL INCCOM4385161066877509SHSOLE 007509HORMEL FOODS CORPCOM4404521004419771SHSOLE 009771HUMANA INCCOM4448591023883764SHSOLE 003764ING PRIME RATE TRSH BEN INT44977w10628849561SHSOLE 0049561INTEL CORPCOM4581401003414131655SHSOLE 00131655INTERNATIONAL BUSINESS MACHSCOM459200101410721888SHSOLE 0021888INTL PAPER COCOM4601461032695481SHSOLE 005481INVESCO QUALITY MUNI INC TRSCOM46133G10711810653SHSOLE 0010653INVESCO VALUE MUN INCOME TRCOM46132P10813710146SHSOLE 0010146INVESTORS REAL ESTATE TRSH BEN INT46173010319322489SHSOLE 0022489ISHARES1-3 YR CR BD ETF464288646173616459SHSOLE 0016459ISHARES1-3 YR TR BD ETF4642874576637886SHSOLE 007886ISHARES3-7 YR TR BD ETF4642886615344448SHSOLE 004448ISHARESCHINA LG-CAP ETF4642871844886127311SHSOLE 00127311ISHARESCNTRY MIN VL ETF4642865252183416SHSOLE 003416ISHARESCOHEN&STEER REIT46428756496812986SHSOLE 0012986ISHARESCORE S&P MCP ETF464287507343525731SHSOLE 0025731ISHARESCORE S&P SCP ETF464287804316029015SHSOLE 0029015ISHARESCORE S&P500 ETF464287200656135351SHSOLE 0035351ISHARESCORE TOTUSBD ETF464287226161015087SHSOLE 0015087ISHARESEAFE VALUE ETF464288877107818777SHSOLE 0018777ISHARESEM MK MINVOL ETF4642865335258989SHSOLE 008989ISHARESEMU ETF46428660892022270SHSOLE 0022270ISHARESEUROPE ETF4642878612435095SHSOLE 005095ISHARESGLB CNSM STP ETF464288737138316039SHSOLE 0016039ISHARESGLOB HLTHCRE ETF4642873256167149SHSOLE 007149ISHARESGLOBAL 100 ETF4642875724666033SHSOLE 006033ISHARESGLOBAL ENERG ETF4642873414209678SHSOLE 009678ISHARESGOV/CRED BD ETF4642885963613274SHSOLE 003274ISHARESGRWT ALLOCAT ETF4642898672797215SHSOLE 007215ISHARESHIGH DIVIDND ETF46429B6639389133691SHSOLE 00133691ISHARESIBOXX HI YD ETF464288513149116096SHSOLE 0016096ISHARESIBOXX INV CP ETF4642872428557515SHSOLE 007515ISHARESINTERM CR BD ETF4642886389518792SHSOLE 008792ISHARESMBS ETF4642885882582456SHSOLE 002456ISHARESMICRO-CAP ETF46428886997612970SHSOLE 0012970ISHARESMRG RL ES CP ETF46428853963555062SHSOLE 0055062ISHARESMRGSTR MD CP ETF4642882083482688SHSOLE 002688ISHARESMRGSTR SM CP ETF4642885056184788SHSOLE 004788ISHARESMRNGSTR LG-CP ET4642871274384036SHSOLE 004036ISHARESMRNGSTR LG-CP GR4642871192072071SHSOLE 002071ISHARESMSCI ACWI US ETF4642882402054410SHSOLE 004410ISHARESMSCI EAFE ETF464287465615691787SHSOLE 0091787ISHARESMSCI EMG MKT ETF464287234309873988SHSOLE 0073988ISHARESMSCI GERMANY ETF4642868062979335SHSOLE 009335ISHARESMSCI JAPAN ETF46428684833227266SHSOLE 0027266ISHARESMSCI PAC JP ETF46428666548310372SHSOLE 0010372ISHARESMSCI SPAN CP ETF4642867642737085SHSOLE 007085ISHARESMSCI STH KOR ETF46428677283012826SHSOLE 0012826ISHARESMSCI WORLD ETF4642863925347590SHSOLE 007590ISHARESN AMER TECH ETF4642875497338172SHSOLE 008172ISHARESNA NAT RES4642873743678459SHSOLE 008459ISHARESNASDQ BIOTEC ETF46428755619988805SHSOLE 008805ISHARESNAT AMT FREE BD4642884144984778SHSOLE 004778ISHARESRUS 1000 ETF4642876228318056SHSOLE 008056ISHARESRUS 1000 GRW ETF46428761413080152176SHSOLE 00152176ISHARESRUS 1000 VAL ETF464287598646068587SHSOLE 0068587ISHARESRUS 2000 GRW ETF464287648983772534SHSOLE 0072534ISHARESRUS 2000 VAL ETF464287630190519238SHSOLE 0019238ISHARESRUS 3000 GRW ETF4642876718430119407SHSOLE 00119407ISHARESRUS MD CP GR ETF464287481411248749SHSOLE 0048749ISHARESRUS MDCP VAL ETF4642874735087694SHSOLE 007694ISHARESRUS MID-CAP ETF46428749910406969SHSOLE 006969ISHARESRUS TOP 200 ETF46428944642010000SHSOLE 0010000ISHARESRUSSELL 2000 ETF464287655215818652SHSOLE 0018652ISHARESS&P 100 ETF464287101137816728SHSOLE 0016728ISHARESS&P 500 GRWT ETF464287309124812630SHSOLE 0012630ISHARESS&P 500 VAL ETF4642874084955809SHSOLE 005809ISHARESS&P MC 400GR ETF464287606458830584SHSOLE 0030584ISHARESS&P MC 400VL ETF4642877055774961SHSOLE 004961ISHARESSELECT DIVID ETF46428716816092225547SHSOLE 00225547ISHARESSP SMCP600GR ETF4642878874553848SHSOLE 003848ISHARESSP SMCP600VL ETF464287879384834590SHSOLE 0034590ISHARESTIPS BD ETF464287176227020621SHSOLE 0020621ISHARESU.S. FIN SVC ETF4642877707378792SHSOLE 008792ISHARESU.S. INDS ETF4642877542722700SHSOLE 002700ISHARESU.S. INSRNCE ETF4642887862435136SHSOLE 005136ISHARESU.S. PFD STK ETF464288687238364687SHSOLE 0064687ISHARESU.S. REAL ES ETF46428773995015180SHSOLE 0015180ISHARESU.S. TECH ETF4642877213874401SHSOLE 004401ISHARESU.S. UTILITS ETF4642876974104257SHSOLE 004257ISHARESUS HLTHCARE ETF4642877627476387SHSOLE 006387ISHARESUS HOME CONS ETF464288752222989883SHSOLE 0089883ISHARESUSA ESG SLCT ETF4642888022733560SHSOLE 003560ISHARES GOLD TRUSTISHARES4642851053041260642SHSOLE 00260642ISHARES SILVER TRUSTISHARES46428Q109117062619SHSOLE 0062619ISHARES TRCORE MSCI EAFE46432F84289814780SHSOLE 0014780ITT CORP NEWCOM NEW4509112013467977SHSOLE 007977JOHNSON & JOHNSONCOM478160104374740957SHSOLE 0040957JPMORGAN CHASE & COALERIAN ML ETN46625H365276259392SHSOLE 0059392JPMORGAN CHASE & COCOM46625h100170529147SHSOLE 0029147KANSAS CITY SOUTHERNCOM NEW4851703023492822SHSOLE 002822KAYNE ANDERSON MLP INVT COCOM486606106121730501SHSOLE 0030501KIMBERLY CLARK CORPCOM494368103118311364SHSOLE 0011364KINDER MORGAN ENERGY PARTNERUT LTD PARTNER4945501064405481SHSOLE 005481KINDER MORGAN INC DELCOM49456B10141111408SHSOLE 0011408KKR & CO L P DELCOM UNITS48248M10225910708SHSOLE 0010708KOPIN CORPCOM5006001016715800SHSOLE 0015800KRAFT FOODS GROUP INCCOM50076Q1064718736SHSOLE 008736LAS VEGAS SANDS CORPCOM517834107148618836SHSOLE 0018836LIFE TECHNOLOGIES CORPCOM53217V1092593382SHSOLE 003382LILLY ELI & COCOM5324571082514928SHSOLE 004928LINN ENERGY LLCUNIT LTD LIAB53602010041513488SHSOLE 0013488LITHIA MTRS INCCL A5367971032153090SHSOLE 003090LOCKHEED MARTIN CORPCOM5398301098345602SHSOLE 005602LOWES COS INCCOM5486611072034099SHSOLE 004099MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP5590801065468609SHSOLE 008609MAINSTAY DEFINEDTERM MN OPPCOM56064K100120376178SHSOLE 0076178MANAGED HIGH YIELD PLUS FD ICOM5619111083718468SHSOLE 0018468MARATHON PETE CORPCOM56585A1022232457SHSOLE 002457MARKET VECTORS ETF TRINVT GRD FL RT57060U51432913200SHSOLE 0013200MARKWEST ENERGY PARTNERS L PUNIT LTD PARTN5707591004236379SHSOLE 006379MARTIN MIDSTREAM PRTNRS L PUNIT L P INT5733311052245154SHSOLE 005154MASTERCARD INCCL A57636q104372445SHSOLE 00445MATTEL INCCOM5770811023246818SHSOLE 006818MCDONALDS CORPCOM580135101171317616SHSOLE 0017616MDU RES GROUP INCCOM55269010938512560SHSOLE 0012560MEDTRONIC INCCOM5850551064587979SHSOLE 007979MERCK & CO INC NEWCOM58933Y105150129930SHSOLE 0029930MERCURY GENL CORP NEWCOM5894001004198400SHSOLE 008400METLIFE INCCOM59156r1083887175SHSOLE 007175MFA FINL INCCOM55272X1025339756217SHSOLE 00756217MICROSOFT CORPCOM594918104223359806SHSOLE 0059806MONDELEZ INTL INCCL A60920710558916625SHSOLE 0016625MYLAN INCCOM6285301074229703SHSOLE 009703NAVIOS MARITIME PARTNERS L PUNIT LPIY6226710227614350SHSOLE 0014350NETFLIX INCCOM64110l1066091655SHSOLE 001655NEW YORK CMNTY BANCORP INCCOM64944510357033905SHSOLE 0033905NEW YORK MTG TR INCCOM PAR $.0264960450119628086SHSOLE 0028086NEXTERA ENERGY INCCOM65339F1015896874SHSOLE 006874NIKE INCCL B6541061036678483SHSOLE 008483NORDSTROM INCCOM6556641004236878SHSOLE 006878NORFOLK SOUTHERN CORPCOM6558441084354681SHSOLE 004681NORTHEAST UTILSCOM6643971062776520SHSOLE 006520NORTHERN LTS ETF TRARROW DJ GLOBL66537H10528610848SHSOLE 0010848NORTHROP GRUMMAN CORPCOM6668071022332042SHSOLE 002042NORTHSTAR RLTY FIN CORPCOM66704R10066249229SHSOLE 0049229NORTHWEST NAT GAS COCOM6676551042175063SHSOLE 005063NOVARTIS A GSPONSORED ADR66987v1097078826SHSOLE 008826NUVEEN CAL AMT-FREE MUN INCCOM67065110814211658SHSOLE 0011658NUVEEN EQUITY PREM ADV FDCOM6706ET10733026115SHSOLE 0026115NUVEEN FLTNG RTE INCM OPP FDCOM SHS6706EN100104185482SHSOLE 0085482OI S.A.SPN ADR REP PFD6708512031610000SHSOLE 0010000OI S.A.SPONSORED ADR6708511042012408SHSOLE 0012408ONEOK INC NEWCOM68268010381613118SHSOLE 0013118ONEOK PARTNERS LPUNIT LTD PARTN68268N10359611319SHSOLE 0011319ORACLE CORPCOM68389x10588923225SHSOLE 0023225ORGANOVO HLDGS INCCOM68620A10425122610SHSOLE 0022610PAYCHEX INCCOM70432610752811587SHSOLE 0011587PEABODY ENERGY CORPCOM70454910425613110SHSOLE 0013110PENN WEST PETE LTD NEWCOM70788710512815346SHSOLE 0015346PEPSICO INCCOM713448108155718786SHSOLE 0018786PFIZER INCCOM717081103238277793SHSOLE 0077793PG&E CORPCOM69331C10866416511SHSOLE 0016511PHILIP MORRIS INTL INCCOM718172109112712941SHSOLE 0012941PHILLIPS 66COM7185461042613368SHSOLE 003368PIEDMONT OFFICE REALTY TR INCOM CL A72019020646227952SHSOLE 0027952PIMCO ETF TRENHAN SHRT MAT72201R833216721384SHSOLE 0021384PIMCO ETF TRTOTL RETN ETF72201R775110910590SHSOLE 0010590PIMCO INCOME STRATEGY FUNDCOM72201h10811710293SHSOLE 0010293PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN72650310595218407SHSOLE 0018407PLUM CREEK TIMBER CO INCCOM7292511082555473SHSOLE 005473POLARIS INDS INCCOM7310681024863332SHSOLE 003332POTASH CORP SASK INCCOM73755l1075569169069SHSOLE 00169069POWERSHARES DB CMDTY IDX TRAUNIT BEN INT73935S105114444706SHSOLE 0044706POWERSHARES ETF TR IIS&P500 LOW VOL73937B77943613064SHSOLE 0013064POWERSHARES ETF TRUSTDWA MOMENTUM PTF73935X1532045553SHSOLE 005553POWERSHARES ETF TRUSTDYN FD & BEV73935X849114443500SHSOLE 0043500POWERSHARES ETF TRUSTDYN LSR & ENT73935X75742612567SHSOLE 0012567POWERSHARES ETF TRUSTDYNA BUYBK ACH73935X286183442516SHSOLE 0042516POWERSHARES ETF TRUSTFTSE RAFI 100073935X583126015236SHSOLE 0015236POWERSHARES ETF TRUSTFTSE US1500 SM73935X5677027169SHSOLE 007169POWERSHARES ETF TRUSTGBL LSTD PVT EQT73935X19517114250SHSOLE 0014250POWERSHARES ETF TRUSTGOLDEN DRG CHINA73935x4012889520SHSOLE 009520POWERSHARES ETF TRUSTINDL SECT PORT73935X36947710000SHSOLE 0010000POWERSHARES ETF TRUSTINTL DIV ACHV73935X71653529061SHSOLE 0029061POWERSHARES ETF TRUSTNASD INTNT ETF73935X1462403510SHSOLE 003510POWERSHARES ETF TRUSTZACKS MC PRTFL73935X740128175758SHSOLE 0075758POWERSHARES ETF TRUST IIDWA DEVMKTMOM PT73936Q108161160914SHSOLE 0060914POWERSHARES ETF TRUST IIDWA EMKT MOM PTF73936Q20790449559SHSOLE 0049559POWERSHARES ETF TRUST IIDWA SC MOMNT PTF73936Q74460815345SHSOLE 0015345POWERSHARES ETF TRUST IIKBW YIELD REIT73936Q81958919843SHSOLE 0019843POWERSHARES ETF TRUST IISENIOR LN PORT73936Q769127751509SHSOLE 0051509POWERSHARES GLOBAL ETF TRUSTDEV MKTS EX-US73936T789243955480SHSOLE 0055480POWERSHARES GLOBAL ETF TRUSTINSUR NATL MUN73936T4742058910SHSOLE 008910POWERSHARES QQQ TRUSTUNIT SER 173935A104278231607SHSOLE 0031607PPG INDS INCCOM6935061074262249SHSOLE 002249PROCTER & GAMBLE COCOM742718109440154118SHSOLE 0054118PROGRESSIVE CORP OHIOCOM743315103106439013SHSOLE 0039013PROSHARES TRPSHS ULT S&P 50074347R1077907698SHSOLE 007698PROSHARES TRPSHS ULTRA TECH74347R693191117396SHSOLE 0017396PROSHARES TRPSHS ULTSH 20YRS74347B2014335475SHSOLE 005475PROSPECT CAPITAL CORPORATIONCOM74348T10238934725SHSOLE 0034725PUBLIC STORAGECOM74460D1092611732SHSOLE 001732PULTE GROUP INCCOM7458671017621374119SHSOLE 00374119PVH CORPCOM6936561004713478SHSOLE 003478QLOGIC CORPCOM74727710123619911SHSOLE 0019911QUALCOMM INCCOM74752510393012506SHSOLE 0012506RAIT FINANCIAL TRUSTCOM NEW749227609167601868395SHSOLE 001868395REALTY INCOME CORPCOM75610910492224658SHSOLE 0024658RETAIL PPTYS AMER INCCL A76131V20274958861SHSOLE 0058861RITE AID CORPCOM7677541045310230SHSOLE 0010230ROYAL DUTCH SHELL PLCSPONS ADR A7802592063114372SHSOLE 004372ROYCE MICRO-CAP TR INCCOM78091510412910174SHSOLE 0010174ROYCE VALUE TR INCCOM78091010531819958SHSOLE 0019958RYDEX ETF TRUSTGUG S&P MC400 PG78355W601153312410SHSOLE 0012410RYDEX ETF TRUSTGUG S&P MC400 PV78355W50292318295SHSOLE 0018295RYDEX ETF TRUSTGUG S&P SC600 PV78355W700306449295SHSOLE 0049295RYDEX ETF TRUSTGUG S&P500 EQ WT78355w10619948279943SHSOLE 00279943RYDEX ETF TRUSTGUG S&P500 PU GR78355W4033204555SHSOLE 004555SABINE ROYALTY TRUNIT BEN INT78568810267013253SHSOLE 0013253SCHLUMBERGER LTDCOM8068571086757496SHSOLE 007496SEADRILL LIMITEDSHSG7945E1053097552SHSOLE 007552SELECT SECTOR SPDR TRSBI CONS STPLS81369y3083658508SHSOLE 008508SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209132523939SHSOLE 0023939SELECT SECTOR SPDR TRSBI INT-ENERGY81369y506105111866SHSOLE 0011866SELECT SECTOR SPDR TRSBI INT-FINL81369y60530013718SHSOLE 0013718SELECT SECTOR SPDR TRSBI INT-UTILS81369Y88643911545SHSOLE 0011545SEMPRA ENERGYCOM8168511096627375SHSOLE 007375SHERWIN WILLIAMS COCOM8243481065913192SHSOLE 003192SIRIUS XM HLDGS INCCOM82968B1037221637SHSOLE 0021637SOUTHERN COCOM84258710780819757SHSOLE 0019757SOUTHERN COPPER CORPCOM84265v1052348175SHSOLE 008175SPDR DOW JONES INDL AVRG ETFUT SER 178467x10913598219SHSOLE 008219SPDR GOLD TRUSTGOLD SHS78463V107222619119SHSOLE 0019119SPDR INDEX SHS FDSDJ GLB RL ES ETF78463X7494733113921SHSOLE 00113921SPDR INDEX SHS FDSEURO STOXX 5078463X2024753112833SHSOLE 00112833SPDR INDEX SHS FDSMSCI EM50 ETF78463X46793919270SHSOLE 0019270SPDR INDEX SHS FDSS&P CHINA ETF78463X40081910521SHSOLE 0010521SPDR INDEX SHS FDSS&P INTL ETF78463X7722996300SHSOLE 006300SPDR INDEX SHS FDSS&P WRLD EX US78463X8892347976SHSOLE 007976SPDR S&P 500 ETF TRTR UNIT78462f1031763495480SHSOLE 0095480SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y10711494707SHSOLE 004707SPDR SER TRSHT TRM HGH YLD78468R408113736861SHSOLE 0036861SPDR SERIES TRUSTBRC HGH YLD BD78464A417166841001SHSOLE 0041001SPDR SERIES TRUSTBRCLYS INTL ETF78464A5165028643SHSOLE 008643SPDR SERIES TRUSTS&P 600 SMCP GRW78464A201230612892SHSOLE 0012892SPDR SERIES TRUSTS&P DIVID ETF78464A763208928745SHSOLE 0028745SPDR SERIES TRUSTS&P HOMEBUILD78464A888101730575SHSOLE 0030575SPIRIT RLTY CAP INC NEWCOM84860W1021241126197SHSOLE 00126197STARBUCKS CORPCOM8552441092182765SHSOLE 002765TASEKO MINES LTDCOM8765111062512000SHSOLE 0012000TASER INTL INCCOM87651b10425415795SHSOLE 0015795TEEKAY LNG PARTNERS L PPRTNRSP UNITSy8564m1055211121997SHSOLE 00121997TESLA MTRS INCCOM88160R1012261504SHSOLE 001504THERAPEUTICSMD INCCOM88338N10718936300SHSOLE 0036300TIME WARNER INCCOM NEW8873173032032889SHSOLE 002889TJX COS INC NEWCOM8725401094426938SHSOLE 006938TORTOISE PWR & ENERGY INFRASCOM89147X10435213666SHSOLE 0013666TOTAL S ASPONSORED ADR89151E1095719358SHSOLE 009358TRAVELERS COMPANIES INCCOM89417E1092192415SHSOLE 002415TRIANGLE PETE CORPCOM NEW89600B20127533060SHSOLE 0033060TWITTER INCCOM90184L102100615803SHSOLE 0015803TWO HBRS INVT CORPCOM90187B10117618824SHSOLE 0018824U S GEOTHERMAL INCCOM90338S102410500SHSOLE 0010500UBS AG JERSEY BRHALERIAN INFRST9026416462556488SHSOLE 006488UNION PAC CORPCOM9078181089995950SHSOLE 005950UNITED PARCEL SERVICE INCCL B9113121063563372SHSOLE 003372UNITED STS BRENT OIL FD LPUNIT91167Q100166237406SHSOLE 0037406UNITED TECHNOLOGIES CORPCOM9130171097226344SHSOLE 006344UNITEDHEALTH GROUP INCCOM91324p10281410813SHSOLE 0010813VANGUARD BD INDEX FD INCINTERMED TERM9219378193243983SHSOLE 003983VANGUARD BD INDEX FD INCSHORT TRM BOND921937827159419924SHSOLE 0019924VANGUARD BD INDEX FD INCTOTAL BND MRKT9219378352673323SHSOLE 003323VANGUARD INDEX FDSEXTEND MKT ETF9229086522432944SHSOLE 002944VANGUARD INDEX FDSGROWTH ETF922908736433846581SHSOLE 0046581VANGUARD INDEX FDSLARGE CAP ETF922908637241628548SHSOLE 0028548VANGUARD INDEX FDSMCAP VL IDXVIP922908512141917722SHSOLE 0017722VANGUARD INDEX FDSMID CAP ETF922908629173615733SHSOLE 0015733VANGUARD INDEX FDSREIT ETF9229085534757315SHSOLE 007315VANGUARD INDEX FDSS&P 500 ETF SHS9229083632361392SHSOLE 001392VANGUARD INDEX FDSSM CP VAL ETF922908611185419032SHSOLE 0019032VANGUARD INDEX FDSSMALL CP ETF922908751558650830SHSOLE 0050830VANGUARD INDEX FDSSML CP GRW ETF9229085959297591SHSOLE 007591VANGUARD INDEX FDSTOTAL STK MKT922908769196820513SHSOLE 0020513VANGUARD INDEX FDSVALUE ETF922908744104113636SHSOLE 0013636VANGUARD INTL EQUITY INDEX FALLWRLD EX US922042775235846571SHSOLE 0046571VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF922042858140834324SHSOLE 0034324VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF922042874243141322SHSOLE 0041322VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427422193688SHSOLE 003688VANGUARD MALVERN FDSSTRM INFPROIDX92202080569914187SHSOLE 0014187VANGUARD SCOTTSDALE FDSSHRT TRM CORP BD92206C409185523248SHSOLE 0023248VANGUARD SPECIALIZED PORTFOLDIV APP ETF921908844592278670SHSOLE 0078670VANGUARD WHITEHALL FDS INCHIGH DIV YLD9219464065278456SHSOLE 008456VANGUARD WORLD FDMEGA CAP INDEX921910873123319529SHSOLE 0019529VANGUARD WORLD FDSCONSUM DIS ETF92204A1082692486SHSOLE 002486VANGUARD WORLD FDSCONSUM STP ETF92204a207316128702SHSOLE 0028702VANGUARD WORLD FDSENERGY ETF92204a3067095624SHSOLE 005624VANGUARD WORLD FDSFINANCIALS ETF92204A4055086114506SHSOLE 00114506VANGUARD WORLD FDSHEALTH CAR ETF92204a5045465405SHSOLE 005405VANGUARD WORLD FDSINDUSTRIAL ETF92204A6036896893SHSOLE 006893VANGUARD WORLD FDSINF TECH ETF92204A702288232219SHSOLE 0032219VANGUARD WORLD FDSMATERIALS ETF92204A801108310490SHSOLE 0010490VECTOR GROUP LTDCOM92240m10873444858SHSOLE 0044858VEECO INSTRS INC DELCOM92241710054816586SHSOLE 0016586VERIZON COMMUNICATIONS INCCOM92343v104332967646SHSOLE 0067646VISA INCCOM CL A92826C8392651192SHSOLE 001192VODAFONE GROUP PLC NEWSPONS ADR NEW92857w20964916523SHSOLE 0016523W P CAREY INCCOM92936U10988914525SHSOLE 0014525WAL-MART STORES INCCOM931142103152019264SHSOLE 0019264WASHINGTON FED INCCOM93882410932413929SHSOLE 0013929WASTE MGMT INC DELCOM94106l1093938804SHSOLE 008804WATSCO INCCOM9426222006827100SHSOLE 007100WEBSTER FINL CORP CONNCOM94789010941013139SHSOLE 0013139WELLS FARGO & CO NEWCOM94974610170415462SHSOLE 0015462WESTERN ASSET MTG CAP CORPCOM95790D10526517850SHSOLE 0017850WESTERN DIGITAL CORPCOM9581021053864574SHSOLE 004574WHOLE FOODS MKT INCCOM9668371062173736SHSOLE 003736WISDOMTREE TRDIV EX-FINL FD97717W4062173173SHSOLE 003173WISDOMTREE TREMERG MKTS ETF97717W31563112300SHSOLE 0012300WISDOMTREE TREMG MKTS SMCAP97717W28150711000SHSOLE 0011000WISDOMTREE TRINTL SMCAP DIV97717W760143822805SHSOLE 0022805WISDOMTREE TRJP SMALLCP DIV97717W836105520687SHSOLE 0020687WISDOMTREE TRLARGECAP DIVID97717W3076529800SHSOLE 009800WISDOMTREE TRMIDCAP DIVI FD97717W5055797769SHSOLE 007769WISDOMTREE TRSMALLCAP DIVID97717W6045437992SHSOLE 007992WISDOMTREE TRTOTAL DIVID FD97717W1092273367SHSOLE 003367WISDOMTREE TRTTL EARNING FD97717W5966249367SHSOLE 009367XCEL ENERGY INCCOM98389b10030811049SHSOLE 0011049YELP INCCL A9858171053014350SHSOLE 004350YUM BRANDS INCCOM9884981016668794SHSOLE 008794