0000910472-12-000577.txt : 20120301 0000910472-12-000577.hdr.sgml : 20120301 20120301113802 ACCESSION NUMBER: 0000910472-12-000577 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120301 DATE AS OF CHANGE: 20120301 EFFECTIVENESS DATE: 20120301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: QFA,LLC CENTRAL INDEX KEY: 0001535467 IRS NUMBER: 061658451 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14919 FILM NUMBER: 12656167 BUSINESS ADDRESS: STREET 1: 950 ENCORE WAY STREET 2: SUITE 102 CITY: NAPLES STATE: FL ZIP: 34110 BUSINESS PHONE: 239-513-0777 MAIL ADDRESS: STREET 1: 950 ENCORE WAY STREET 2: SUITE 102 CITY: NAPLES STATE: FL ZIP: 34110 13F-HR 1 form13fhr.txt 13F-HR 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: QFA, LLC Address: 950 Encore Way Suite 102 Naples, FL 34110 Form 13F File Number: 28- 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: Howard Frankel Title: Chief Compliance Officer Phone: (239) 513-0777 Signature, Place, and Date of Signing: Howard Frankel Naples, FL 2/24/12 [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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 357 Form 13F Information Table Value Total: 56,138 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- NONE [Repeat as necessary.]
Name Of Issuer Title Of Class CUSIP Market SHRS OR/ SH/ PUT/ Investment Other Sole Shared None Value PRN AMT PRN CALL Discretion Managers 3M CO COM 88579Y101 16 200 SH SOLE 0 0 200 ABBOTT LABS COM 002824100 102 1822 SH SOLE 0 0 1822 ABERDEEN ASIA PACIFIC INCOM COM 003009107 -74 -10100 SH SOLE 0 0 -10100 ABERDEEN GLOBAL INCOME FD IN COM 003013109 3 214 SH SOLE 0 0 214 ABIOMED INC COM 003654100 37 2000 SH SOLE 0 0 2000 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 15 1652 SH SOLE 0 0 1652 AGIC CONV & INCOME FD COM 001190107 3 325 SH SOLE 0 0 325 AGL RES INC COM 001204106 42 1000 SH SOLE 0 0 1000 AGREE REALTY CORP COM 008492100 7 300 SH SOLE 0 0 300 ALCATEL-LUCENT SPONSORED ADR 013904305 0 79 SH SOLE 0 0 79 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 27 1900 SH SOLE 0 0 1900 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 4 550 SH SOLE 0 0 550 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1 240 SH SOLE 0 0 240 ALTRIA GROUP INC COM 02209S### -## -#### SH SOLE 0 0 -2800 AMAZON COM INC COM 023135106 190 1100 SH SOLE 0 0 1100 AMEREN CORP COM 023608102 33 1000 SH SOLE 0 0 1000 AMERICAN CAP LTD COM 02503Y103 -1 -125 SH SOLE 0 0 -125 AMERICAN SELECT PORTFOLIO IN COM 029570108 21 2100 SH SOLE 0 0 2100 AMERICAN STRATEGIC INCM PTFL COM 030098107 27 2500 SH SOLE 0 0 2500 AMERICAN STRATEGIC INCOME II COM 03009T101 22 3400 SH SOLE 0 0 3400 AMERN STRATEGIC INCOME PTFL COM 030099105 26 3200 SH SOLE 0 0 3200 ANNALY CAP MGMT INC COM 035710409 73 4600 SH SOLE 0 0 4600 APACHE CORP COM 037411105 -5 -50 SH SOLE 0 0 -50 APOLLO INVT CORP COM 03761U106 1 225 SH SOLE 0 0 225 APPLE INC COM 037833100 1021 2520 SH SOLE 0 0 2520 ARCHER DANIELS MIDLAND CO COM 039483102 219 7668 SH SOLE 0 0 7668 ARENA PHARMACEUTICALS INC COM 040047102 -9 -5000 SH SOLE 0 0 -5000 ARES CAP CORP COM 04010L103 5 300 SH SOLE 0 0 300 AT&T INC COM 00206R102 142 4708 SH SOLE 0 0 4708 BAKER HUGHES INC COM 057224107 10 200 SH SOLE 0 0 200 BANK OF AMERICA CORPORATION COM 060505104 50 9076 SH SOLE 0 0 9076 BANK OF NEW YORK MELLON CORP COM 064058100 34 1697 SH SOLE 0 0 1697 BAXTER INTL INC COM 071813109 5 100 SH SOLE 0 0 100 BB&T CORP COM 054937107 4501 178840 SH SOLE 0 0 178840 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 47 612 SH SOLE 0 0 612 BIG LOTS INC COM 089302103 -8 -200 SH SOLE 0 0 -200 BLACKROCK CORPOR HI YLD FD V COM 09255N### -## -#### SH SOLE 0 0 -5114 BLACKROCK CORPOR HI YLD FD V COM 09255P107 24 2113 SH SOLE 0 0 2113 BLACKROCK CORPOR HI YLD III COM 09255M104 23 3293 SH SOLE 0 0 3293 BLACKROCK CORPOR HIGH YLD FD COM 09255L### -## -#### SH SOLE 0 0 -3823 BLACKROCK CREDIT ALL INC TR COM 09255H105 1 100 SH SOLE 0 0 100 BLACKROCK DEBT STRAT FD INC COM 09255R103 23 6000 SH SOLE 0 0 6000 BLACKROCK ENERGY & RES TR COM 09250U101 6 265 SH SOLE 0 0 265 BLACKROCK ENH CAP & INC FD I COM 09256A109 -104 -8438 SH SOLE 0 0 -8438 BLACKROCK HIGH YIELD TR SH BEN INT 09248N102 26 3850 SH SOLE 0 0 3850 BLACKROCK LTD DURATION INC T COM SHS 09249W101 24 1500 SH SOLE 0 0 1500 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 -8 -475 SH SOLE 0 0 -475 BLACKROCK MUNIVEST FD II INC COM 09253T101 -6 -375 SH SOLE 0 0 -375 BLACKROCK MUNIVEST FD INC COM 09253R105 11 1010 SH SOLE 0 0 1010 BLACKROCK SR HIGH INCOME FD COM 09255T109 34 8900 SH SOLE 0 0 8900 BLACKROCK STRTGC BOND TR COM 09249G106 44 3400 SH SOLE 0 0 3400 BLOCK H & R INC COM 093671105 13 800 SH SOLE 0 0 800 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 37 327 SH SOLE 0 0 327 BRISTOL MYERS SQUIBB CO COM 110122108 7 200 SH SOLE 0 0 200 BROWN FORMAN CORP CL B 115637209 106 1314 SH SOLE 0 0 1314 BROWN FORMAN CORP CL A 115637100 60 756 SH SOLE 0 0 756 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 192 3000 SH SOLE 0 0 3000 CALAMOS CONV OPP AND INC FD SH BEN INT 128117108 10 900 SH SOLE 0 0 900 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 66 7956 SH SOLE 0 0 7956 CAMECO CORP COM 13321L108 36 2000 SH SOLE 0 0 2000 CATERPILLAR INC DEL COM 149123101 45 500 SH SOLE 0 0 500 CBRE CLARION GLOBAL REAL EST COM 12504G### -## -#### SH SOLE 0 0 -1500 CEDAR FAIR L P DEPOSITRY UNIT 150185106 215 10000 SH SOLE 0 0 10000 CEMEX SAB DE CV SPON ADR NEW 151290889 141 26167 SH SOLE 0 0 26167 CHEVRON CORP NEW COM 166764100 165 1550 SH SOLE 0 0 1550 CHINA MED TECHNOLOGIES INC SPONSORED ADR 169483104 28 10000 SH SOLE 0 0 10000 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 10 210 SH SOLE 0 0 210 CITIGROUP INC COM NEW 172967424 30 1150 SH SOLE 0 0 1150 CITIZENS REPUBLIC BANCORP IN COM NEW 174420307 54 4709 SH SOLE 0 0 4709 CLAYMORE EXCHANGE TRD FD TR GUGG BRIC ETF 18383M100 84 2400 SH SOLE 0 0 2400 CME GROUP INC COM 12572Q105 73 300 SH SOLE 0 0 300 COLDWATER CREEK INC COM 193068103 1 500 SH SOLE 0 0 500 COLONIAL PPTYS TR COM SH BEN INT 195872106 1 50 SH SOLE 0 0 50 COMMONWEALTH REIT COM SH BEN INT 203233101 208 12500 SH SOLE 0 0 12500 COMPASS MINERALS INTL INC COM 20451N101 14 200 SH SOLE 0 0 200 COMPASS MINERALS INTL INC CALL 20451N101 0 -200 SH CALL SOLE 0 0 -200 CONOCOPHILLIPS COM 20825C104 117 1600 SH SOLE 0 0 1600 CONSOLIDATED EDISON INC COM 209115104 25 400 SH SOLE 0 0 400 CORNING INC COM 219350105 1 80 SH SOLE 0 0 80 CREDIT SUISSE ASSET MGMT INC COM 224916106 -62 -16981 SH SOLE 0 0 -16981 CREDIT SUISSE HIGH YLD BND F SH BEN INT 22544F103 -60 -21003 SH SOLE 0 0 -21003 CROCS INC COM 227046109 -111 -7500 SH SOLE 0 0 -7500 CUBIST PHARMACEUTICALS INC COM 229678107 396 10000 SH SOLE 0 0 10000 CVS CAREMARK CORPORATION COM 126650100 394 9650 SH SOLE 0 0 9650 DEERE & CO COM 244199105 93 1200 SH SOLE 0 0 1200 DENISON MINES CORP COM 248356107 13 10000 SH SOLE 0 0 10000 DISNEY WALT CO COM DISNEY 254687106 31 815 SH SOLE 0 0 815 DIVIDEND & INCOME FD INC COM 25538A105 10 3000 SH SOLE 0 0 3000 DNP SELECT INCOME FD COM 23325P104 10 900 SH SOLE 0 0 900 DOMINION RES INC VA NEW COM 25746U109 39 726 SH SOLE 0 0 726 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 37 8400 SH SOLE 0 0 8400 DUFF & PHELPS UTIL CORP BD T COM 26432K108 4 300 SH SOLE 0 0 300 DUKE ENERGY CORP NEW COM 26441C105 27 1249 SH SOLE 0 0 1249 DWS HIGH INCOME TR SHS NEW 23337C208 23 2200 SH SOLE 0 0 2200 DWS MULTI MKT INCOME TR SHS 23338L108 32 3200 SH SOLE 0 0 3200 DWS STRATEGIC INCOME TR SHS 23338N104 12 900 SH SOLE 0 0 900 EATON VANCE ENH EQTY INC FD COM 278277108 15 1450 SH SOLE 0 0 1450 EATON VANCE ENHANCED EQ INC COM 278274105 11 1100 SH SOLE 0 0 1100 EATON VANCE FLTING RATE INC COM 278279104 21 1500 SH SOLE 0 0 1500 EATON VANCE LTD DUR INCOME F COM 27828H105 107 7000 SH SOLE 0 0 7000 EATON VANCE SR FLTNG RTE TR COM 27828Q105 23 1600 SH SOLE 0 0 1600 EATON VANCE TX MNG BY WRT OP COM 27828Y108 -6 -553 SH SOLE 0 0 -553 EMERSON ELEC CO COM 291011104 56 1200 SH SOLE 0 0 1200 ENBRIDGE ENERGY PARTNERS L P COM 29250R106 226 6800 SH SOLE 0 0 6800 ENERGIZER HLDGS INC COM 29266R108 124 1600 SH SOLE 0 0 1600 ENERGY INCOME & GROWTH FD COM 292697109 11 401 SH SOLE 0 0 401 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 57 1400 SH SOLE 0 0 1400 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 -7 -150 SH SOLE 0 0 -150 ENERPLUS CORP COM 292766102 65 2550 SH SOLE 0 0 2550 ENSCO PLC SPONSORED ADR 29358Q109 -103 -2200 SH SOLE 0 0 -2200 ENTERPRISE PRODS PARTNERS L COM 293792107 338 7293 SH SOLE 0 0 7293 EQUAL ENERGY LTD COM 29390Q109 0 33 SH SOLE 0 0 33 EXELON CORP COM 30161N101 87 2000 SH SOLE 0 0 2000 EXELON CORP CALL 30161N101 0 -2000 SH CALL SOLE 0 0 -2000 EXXON MOBIL CORP COM 30231G102 60 704 SH SOLE 0 0 704 EXXON MOBIL CORP CALL 30231G102 0 -200 SH CALL SOLE 0 0 -200 EXXON MOBIL CORP CALL 30231G102 0 -1500 SH CALL SOLE 0 0 -1500 FAIRPOINT COMMUNICATIONS INC COM NEW 305560302 1 201 SH SOLE 0 0 201 FAMILY DLR STORES INC COM 307000109 -69 -1200 SH SOLE 0 0 -1200 FERRELLGAS PARTNERS L.P. UNIT LTD PART 315293100 87 4600 SH SOLE 0 0 4600 FIRST CMNTY BANCSHARES INC N COM 31983A103 59 4725 SH SOLE 0 0 4725 FIRST INDUSTRIAL REALTY TRUS COM 32054K103 5 500 SH SOLE 0 0 500 FIRST TR ABERDEEN GLBL OPP F COM SHS 337319107 24 1500 SH SOLE 0 0 1500 FIRST TR ENHANCED EQTY INC F COM 337318109 15 1372 SH SOLE 0 0 1372 FIRSTENERGY CORP COM 337932107 7 150 SH SOLE 0 0 150 FLAGSTAR BANCORP INC COM NEW 337930507 0 350 SH SOLE 0 0 350 FLAHERTY & CRMN/CLYMR PFD SE COM SHS 338478100 24 1400 SH SOLE 0 0 1400 FLAHERTY & CRUMRINE PFD INC COM 33848E106 12 1081 SH SOLE 0 0 1081 FLAHERTY & CRUMRINE PFD INC COM 338480106 22 1550 SH SOLE 0 0 1550 FLUOR CORP NEW COM 343412102 -15 -300 SH SOLE 0 0 -300 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 42 3200 SH SOLE 0 0 3200 FREEPORT-MCMORAN COPPER & GO COM 35671D857 18 478 SH SOLE 0 0 478 FREEPORT-MCMORAN COPPER & GO CALL 35671D857 0 -100 SH CALL SOLE 0 0 -100 FREEPORT-MCMORAN COPPER & GO CALL 35671D857 0 200 SH CALL SOLE 0 0 200 FREEPORT-MCMORAN COPPER & GO CALL 35671D857 0 -100 SH CALL SOLE 0 0 -100 FRONTIER COMMUNICATIONS CORP COM 35906A108 32 6118 SH SOLE 0 0 6118 FRONTLINE LTD SHS G3682E127 3 700 SH SOLE 0 0 700 GABELLI CONV & INCOME SECS F CONV SECS FD 36240B109 1 100 SH SOLE 0 0 100 GABELLI EQUITY TR INC COM 362397101 11 2200 SH SOLE 0 0 2200 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 5 232 SH SOLE 0 0 232 GABELLI HLTHCARE & WELLNESS SHS 36246K103 1 80 SH SOLE 0 0 80 GALLAGHER ARTHUR J & CO COM 363576109 -408 -12212 SH SOLE 0 0 -12212 GENERAL ELECTRIC CO COM 369604103 449 25062 SH SOLE 0 0 25062 GENERAL ELECTRIC CO CALL 369604103 0 4000 SH CALL SOLE 0 0 4000 GILEAD SCIENCES INC COM 375558103 33 800 SH SOLE 0 0 800 GLOBAL HIGH INCOME FUND INC COM 37933G108 19 1600 SH SOLE 0 0 1600 GOLDMAN SACHS GROUP INC COM 38141G104 362 4000 SH SOLE 0 0 4000 GOODYEAR TIRE & RUBR CO COM 382550101 3 210 SH SOLE 0 0 210 GOOGLE INC CL A 38259P508 12 19 SH SOLE 0 0 19 GREAT PLAINS ENERGY INC COM 391164100 4 200 SH SOLE 0 0 200 H & Q HEALTHCARE INVESTORS SH BEN INT 404052102 4 304 SH SOLE 0 0 304 HALLIBURTON CO COM 406216101 -7 -200 SH SOLE 0 0 -200 HANCOCK JOHN PFD INCOME FD SH BEN INT 41013W108 29 1350 SH SOLE 0 0 1350 HASBRO INC COM 418056107 5 150 SH SOLE 0 0 150 HELIOS ADVANTAGE INCOME FD I COM NEW 42327W206 7 900 SH SOLE 0 0 900 HELIOS HIGH INCOME FD INC COM NEW 42327X204 14 1828 SH SOLE 0 0 1828 HELIOS STRATEGIC INCOME FD I COM NEW 42328A203 14 2494 SH SOLE 0 0 2494 HELIOS STRATEGIC MTG INCOME COM 42327M109 6 1000 SH SOLE 0 0 1000 HELIOS TOTAL RETURN FD INC COM 42327V109 8 1400 SH SOLE 0 0 1400 HEMISPHERX BIOPHARMA INC COM 42366C103 4 20000 SH SOLE 0 0 20000 HESS CORP COM 42809H107 17 300 SH SOLE 0 0 300 HEWLETT PACKARD CO COM 428236103 43 1676 SH SOLE 0 0 1676 HUNTINGTON BANCSHARES INC COM 446150104 45 8160 SH SOLE 0 0 8160 ING GLOBAL EQTY DIV & PREM O COM 45684E107 -1 -149 SH SOLE 0 0 -149 INTEL CORP COM 458140100 -39 -1600 SH SOLE 0 0 -1600 INTERCONTINENTALEXCHANGE INC COM 45865V100 12 100 SH SOLE 0 0 100 INTERNATIONAL BUSINESS MACHS COM 459200101 120 650 SH SOLE 0 0 650 INTERNATIONAL BUSINESS MACHS CALL 459200101 -22 -600 SH CALL SOLE 0 0 -600 INTERNATIONAL BUSINESS MACHS CALL 459200101 18 600 SH CALL SOLE 0 0 600 INTERNATIONAL BUSINESS MACHS CALL 459200101 0 -600 SH CALL SOLE 0 0 -600 INTEROIL CORP COM 460951106 205 4000 SH SOLE 0 0 4000 INVESCO HIGH YIELD INVST FD COM 46133K108 6 1000 SH SOLE 0 0 1000 INVESCO MORTGAGE CAPITAL INC COM 46131B100 89 6350 SH SOLE 0 0 6350 ISHARES GOLD TRUST ISHARES 464285105 15 1000 SH SOLE 0 0 1000 ISHARES SILVER TRUST ISHARES 46428Q109 6013 223214 SH SOLE 0 0 223214 ISHARES TR DJ US UTILS 464287697 -62 -700 SH SOLE 0 0 -700 ISHARES TR RUSSELL 2000 464287655 2414 32730 SH SOLE 0 0 32730 ISHARES TR DJ US REAL EST 464287739 111 1950 SH SOLE 0 0 1950 ISHARES TR S&P LTN AM 40 464287390 85 2000 SH SOLE 0 0 2000 ISHARES TR NASDQ BIO INDX 464287556 167 1600 SH SOLE 0 0 1600 ISHARES TR S&P NA NAT RES 464287374 -84 -2200 SH SOLE 0 0 -2200 ISHARES TR BARCLYS 1-3 YR 464287457 -281 -3325 SH SOLE 0 0 -3325 ISHARES TR IBOXX INV CPBD 464287242 527 4630 SH SOLE 0 0 4630 ISHARES TR MSCI EMERG MKT 464287234 15 400 SH SOLE 0 0 400 ISHARES TR DJ SEL DIV INX 464287168 27 500 SH SOLE 0 0 500 ISHARES TR BARCLYS TIPS BD 464287176 47 400 SH SOLE 0 0 400 ISHARES TR FTSE CHINA25 IDX 464287184 -28 -792 SH SOLE 0 0 -792 ISHARES TR DJ BROKER-DEAL 464288794 21 1000 SH SOLE 0 0 1000 ISHARES TR HIGH YLD CORP 464288513 710 7942 SH SOLE 0 0 7942 ISHARES TR BARCLYS 1-3YR CR 464288646 -792 -7600 SH SOLE 0 0 -7600 ISHARES TR US PFD STK IDX 464288687 838 23522 SH SOLE 0 0 23522 ITT EDUCATIONAL SERVICES INC COM 45068B109 -23 -400 SH SOLE 0 0 -400 JOHNSON & JOHNSON COM 478160104 202 3080 SH SOLE 0 0 3080 JPMORGAN CHASE & CO COM 46625H100 280 8420 SH SOLE 0 0 8420 KINDER MORGAN ENERGY PARTNER UT LTD PARTNER 494550106 468 5512 SH SOLE 0 0 5512 KINDER MORGAN MANAGEMENT LLC SHS 49455U100 0 2 SH SOLE 0 0 2 KRAFT FOODS INC CL A 50075N104 7 200 SH SOLE 0 0 200 LAKES ENTMNT INC COM 51206P109 19 10000 SH SOLE 0 0 10000 LILLY ELI & CO COM 532457108 -66 -1600 SH SOLE 0 0 -1600 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 0 98 SH SOLE 0 0 98 LSB INDS INC COM 502160104 168 6000 SH SOLE 0 0 6000 LULULEMON ATHLETICA INC COM 550021109 5 100 SH SOLE 0 0 100 M & T BK CORP COM 55261F### -## -#### SH SOLE 0 0 -1000 MADISON CLAYMORE CALL &EQTY COM 556582104 12 1640 SH SOLE 0 0 1640 MADISON STRTG SECTOR PREM FD COM 558268108 16 1467 SH SOLE 0 0 1467 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 386 5600 SH SOLE 0 0 5600 MANAGED HIGH YIELD PLUS FD I COM 561911108 13 6000 SH SOLE 0 0 6000 MARATHON OIL CORP COM 565849106 29 1000 SH SOLE 0 0 1000 MARATHON OIL CORP CALL 565849106 0 1000 SH CALL SOLE 0 0 1000 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 -6424 -124900 SH SOLE 0 0 -124900 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 165 6700 SH SOLE 0 0 6700 MASCO CORP COM 574599106 -21 -2000 SH SOLE 0 0 -2000 MCCORMICK & CO INC COM NON VTG 579780206 101 2000 SH SOLE 0 0 2000 MCDONALDS CORP COM 580135101 111 1110 SH SOLE 0 0 1110 MEDICAL PPTYS TRUST INC COM 58463J304 4 400 SH SOLE 0 0 400 MERCK & CO INC NEW COM 58933Y105 5 134 SH SOLE 0 0 134 MFS INTER INCOME TR SH BEN INT 55273C### -## -#### SH SOLE 0 0 -1700 MFS INTERMEDIATE HIGH INC FD SH BEN INT 59318T109 31 10500 SH SOLE 0 0 10500 MICROMET INC COM 59509C105 108 15000 SH SOLE 0 0 15000 MICROSOFT CORP COM 594918104 36 1400 SH SOLE 0 0 1400 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 0 10 SH SOLE 0 0 10 MONSANTO CO NEW COM 61166W101 7 100 SH SOLE 0 0 100 MONSANTO CO NEW CALL 61166W101 0 -100 SH CALL SOLE 0 0 -100 MORGAN STANLEY COM NEW 617446448 76 5000 SH SOLE 0 0 5000 MORGAN STANLEY EMER MKTS DEB COM 61744H105 14 1300 SH SOLE 0 0 1300 MOSAIC CO NEW COM 61945C103 -182 -3600 SH SOLE 0 0 -3600 NASDAQ PREM INCM & GRW FD IN COM 63110R105 12 946 SH SOLE 0 0 946 NATIONAL FUEL GAS CO N J COM 636180101 111 2000 SH SOLE 0 0 2000 NEUBERGER BERMAN HGH YLD FD COM 64128C106 20 1500 SH SOLE 0 0 1500 NEW JERSEY RES COM 646025106 33 675 SH SOLE 0 0 675 NOKIA CORP SPONSORED ADR 654902204 1 200 SH SOLE 0 0 200 NOKIA CORP CALL 654902204 0 -200 SH CALL SOLE 0 0 -200 NORFOLK SOUTHERN CORP COM 655844108 73 1000 SH SOLE 0 0 1000 NUSTAR ENERGY LP UNIT COM 67058H102 249 4400 SH SOLE 0 0 4400 NUVEEN DIVERSIFIED COMMODTY COM UT BEN INT 67074P104 67 3300 SH SOLE 0 0 3300 NUVEEN EQTY PRM OPPORTUNITYF COM 6706EM102 0 -4 SH SOLE 0 0 -4 NUVEEN EQUITY PREM ADV FD COM 6706ET107 19 1642 SH SOLE 0 0 1642 NUVEEN EQUITY PREM INCOME FD COM 6706ER101 19 1731 SH SOLE 0 0 1731 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 11 1000 SH SOLE 0 0 1000 NUVEEN MULT CURR ST GV INCM COM 67090N109 -10 -800 SH SOLE 0 0 -800 NUVEEN MULTI STRAT INC & GR COM 67073B### -## -#### SH SOLE 0 0 -1705 NUVEEN MUN VALUE FD INC COM 670928100 20 2000 SH SOLE 0 0 2000 NUVEEN QUALITY PFD INCOME FD COM 67071S101 3 400 SH SOLE 0 0 400 NUVEEN QUALITY PFD INCOME FD COM 67072C105 13 1700 SH SOLE 0 0 1700 NUVEEN SR INCOME FD COM 67067Y104 15 2200 SH SOLE 0 0 2200 NYSE EURONEXT COM 629491101 21 800 SH SOLE 0 0 800 OIL SVC HOLDRS TR CALL 678002106 0 900 SH CALL SOLE 0 0 900 OILSANDS QUEST INC COM 678046103 6 34000 SH SOLE 0 0 34000 ORACLE CORP COM 68389X### -## -#### SH SOLE 0 0 -1900 ORACLE CORP CALL 68389X105 0 1700 SH CALL SOLE 0 0 1700 OWENS CORNING NEW *W EXP 10/31/201 690742127 1 566 SH SOLE 0 0 566 PACHOLDER HIGH YIELD FD INC COM 693742108 33 3700 SH SOLE 0 0 3700 PARAGON SHIPPING INC CL A 69913R309 0 -126 SH SOLE 0 0 -126 PARKER DRILLING CO COM 701081101 29 4000 SH SOLE 0 0 4000 PCM FUND INC COM 69323T101 43 4000 SH SOLE 0 0 4000 PENGROWTH ENERGY CORP COM 70706P104 1 100 SH SOLE 0 0 100 PENN WEST PETE LTD NEW COM 707887105 468 23660 SH SOLE 0 0 23660 PEPSICO INC COM 713448108 265 4000 SH SOLE 0 0 4000 PEPSICO INC CALL 713448108 -2 -2000 SH CALL SOLE 0 0 -2000 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 50 2000 SH SOLE 0 0 2000 PFIZER INC COM 717081103 17 775 SH SOLE 0 0 775 PHILIP MORRIS INTL INC COM 718172109 16 200 SH SOLE 0 0 200 PIEDMONT NAT GAS INC COM 720186105 41 1200 SH SOLE 0 0 1200 PIMCO CORPORATE INCOME FD COM 72200U100 3 162 SH SOLE 0 0 162 PIMCO CORPORATE OPP FD COM 72201B101 108 6213 SH SOLE 0 0 6213 PIMCO HIGH INCOME FD COM SHS 722014107 -41 -3397 SH SOLE 0 0 -3397 PIMCO INCOME OPPORTUNITY FD COM 72202B100 36 1430 SH SOLE 0 0 1430 PIMCO INCOME STRATEGY FUND COM 72201H108 12 1200 SH SOLE 0 0 1200 PIMCO STRATEGIC GBL GOV FD I COM 72200X### -## -#### SH SOLE 0 0 -7664 PIONEER HIGH INCOME TR COM 72369H106 18 1047 SH SOLE 0 0 1047 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 103 1400 SH SOLE 0 0 1400 POTASH CORP SASK INC COM 73755L107 61 1486 SH SOLE 0 0 1486 POTASH CORP SASK INC CALL 73755L107 -2 -400 SH CALL SOLE 0 0 -400 POWERSHARES ETF TRUST DYN OIL SVCS 73935X625 4 200 SH SOLE 0 0 200 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 578 35850 SH SOLE 0 0 35850 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 385 28150 SH SOLE 0 0 28150 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5 85 SH SOLE 0 0 85 PROCTER & GAMBLE CO COM 742718109 1817 27240 SH SOLE 0 0 27240 PROGRESS ENERGY INC COM 743263105 11 200 SH SOLE 0 0 200 PROGRESSIVE CORP OHIO COM 743315103 42 2144 SH SOLE 0 0 2144 PROSHARES TR PSHS ULSHT SP500 74347R883 199 10300 SH SOLE 0 0 10300 PROSHARES TR PSHS SHRT S&P500 74347R503 653 16150 SH SOLE 0 0 16150 PROVIDENT ENERGY LTD NEW COM 74386V100 22 2292 SH SOLE 0 0 2292 PRUDENTIAL FINL INC COM 744320102 5 105 SH SOLE 0 0 105 PUTMAN HIGH INCOME SEC FUND SHS BEN INT 746779107 8 1000 SH SOLE 0 0 1000 QUALCOMM INC COM 747525103 44 800 SH SOLE 0 0 800 QUALCOMM INC CALL 747525103 0 -800 SH CALL SOLE 0 0 -800 QUESTAR CORP COM 748356102 20 1000 SH SOLE 0 0 1000 REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 64 900 SH SOLE 0 0 900 RESEARCH IN MOTION LTD COM 760975102 15 1000 SH SOLE 0 0 1000 RETAIL HOLDRS TR DEP RCPT 76127U101 138 1500 SH SOLE 0 0 1500 RIO TINTO PLC SPONSORED ADR 767204100 147 3000 SH SOLE 0 0 3000 ROYAL BK CDA MONTREAL QUE COM 780087102 9021 177026 SH SOLE 0 0 177026 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 -9752 -141064 SH SOLE 0 0 -141064 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 0 20 SH SOLE 0 0 20 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 0 15 SH SOLE 0 0 15 SEMPRA ENERGY COM 816851109 17 300 SH SOLE 0 0 300 SENIOR HSG PPTYS TR SH BEN INT 81721M109 11 500 SH SOLE 0 0 500 SHERWIN WILLIAMS CO COM 824348106 304 3400 SH SOLE 0 0 3400 SHIP FINANCE INTERNATIONAL L SHS G81075106 -5 -500 SH SOLE 0 0 -500 SK TELECOM LTD SPONSORED ADR 78440P108 54 4000 SH SOLE 0 0 4000 SOUTHERN COPPER CORP COM 84265V105 -3 -86 SH SOLE 0 0 -86 SOUTHWESTERN ENERGY CO COM 845467109 13 400 SH SOLE 0 0 400 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 426 3500 SH SOLE 0 0 3500 SPDR GOLD TRUST GOLD SHS 78463V107 12071 79420 SH SOLE 0 0 79420 SPDR S&P 500 ETF TR TR UNIT 78462F103 19066 151918 SH SOLE 0 0 151918 SPDR SERIES TRUST S&P METALS MNG 78464A755 -1548 -31600 SH SOLE 0 0 -31600 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 137 2600 SH SOLE 0 0 2600 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 343 9490 SH SOLE 0 0 9490 SPDR SERIES TRUST WELLS FG PFD ETF 78464A292 464 11000 SH SOLE 0 0 11000 SPECTRA ENERGY CORP COM 847560109 19 624 SH SOLE 0 0 624 STRATEGIC GLOBAL INCOME FD COM 862719101 23 2300 SH SOLE 0 0 2300 STRYKER CORP COM 863667101 -5 -100 SH SOLE 0 0 -100 SYSCO CORP COM 871829107 -6 -200 SH SOLE 0 0 -200 TARGET CORP COM 87612E106 58 1125 SH SOLE 0 0 1125 TC PIPELINES LP UT COM LTD PRT 87233Q108 223 4700 SH SOLE 0 0 4700 TELEFONICA S A SPONSORED ADR 879382208 -10 -600 SH SOLE 0 0 -600 TEMPLETON EMERG MKTS INCOME COM 880192109 69 4455 SH SOLE 0 0 4455 TEXAS INSTRS INC COM 882508104 29 1000 SH SOLE 0 0 1000 TORONTO DOMINION BK ONT COM NEW 891160509 2 26 SH SOLE 0 0 26 TRANSOCEAN LTD REG SHS H8817H100 192 5000 SH SOLE 0 0 5000 TRAVELERS COMPANIES INC COM 89417E109 0 -1 SH SOLE 0 0 -1 UNION FIRST MKT BANKSH CP COM 90662P104 50 3789 SH SOLE 0 0 3789 UNITED TECHNOLOGIES CORP COM 913017109 15 200 SH SOLE 0 0 200 URANIUM ENERGY CORP COM 916896103 86 28200 SH SOLE 0 0 28200 US BANCORP DEL COM NEW 902973304 52 1923 SH SOLE 0 0 1923 VALE S A ADR 91912E### -## -#### SH SOLE 0 0 -3000 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 45 820 SH SOLE 0 0 820 VECTREN CORP COM 92240G101 32 1066 SH SOLE 0 0 1066 VERIZON COMMUNICATIONS INC COM 92343V104 1025 25546 SH SOLE 0 0 25546 VERIZON COMMUNICATIONS INC CALL 92343V104 0 5000 SH CALL SOLE 0 0 5000 VIACOM INC NEW CL B 92553P201 4 85 SH SOLE 0 0 85 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 140 5000 SH SOLE 0 0 5000 VOYAGER OIL & GAS INC COM 92911K100 12 4789 SH SOLE 0 0 4789 WAL MART STORES INC COM 931142103 127 2125 SH SOLE 0 0 2125 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 41 2800 SH SOLE 0 0 2800 WELLS FARGO & CO NEW COM 949746101 89 3231 SH SOLE 0 0 3231 WELLS FARGO & CO NEW CALL 949746101 140 1400 SH CALL SOLE 0 0 1400 WELLS FARGO ADV GLB DIV OPP COM 94987C103 2 250 SH SOLE 0 0 250 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 31 3051 SH SOLE 0 0 3051 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 25 1700 SH SOLE 0 0 1700 WELLS FARGO ADVANTAGE UTILS COM 94987E109 10 933 SH SOLE 0 0 933 WESTERN ASSET EMRG MKT DEBT COM 95766A101 12 650 SH SOLE 0 0 650 WESTERN ASSET EMRG MKT INCM COM 95766E103 19 1444 SH SOLE 0 0 1444 WESTERN ASSET GLB HI INCOME COM 95766B### -## -#### SH SOLE 0 0 -5523 WESTERN ASSET GLB PTNRS INCO COM 95766G### -## -#### SH SOLE 0 0 -5144 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 89 5400 SH SOLE 0 0 5400 WESTERN ASSET HIGH INCM FD I COM 95766J### -## -#### SH SOLE 0 0 -5809 WESTERN ASSET HIGH INCM FD I COM 95766H106 5 530 SH SOLE 0 0 530 WESTERN ASSET HIGH INCM OPP COM 95766K109 31 5000 SH SOLE 0 0 5000 WESTERN ASSET INCOME FD COM 95766T100 15 1100 SH SOLE 0 0 1100 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 38 2400 SH SOLE 0 0 2400 WILLIAMS COS INC DEL COM 969457100 17 500 SH SOLE 0 0 500 WINDSTREAM CORP COM 97381W104 125 10672 SH SOLE 0 0 10672 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 31 600 SH SOLE 0 0 600 YAMANA GOLD INC COM 98462Y100 160 10860 SH SOLE 0 0 10860 YUM BRANDS INC CALL 988498101 -4 -800 SH CALL SOLE 0 0 -800 ZIMMER HLDGS INC COM 98956P102 11 200 SH SOLE 0 0 200