0001540142-12-000003.txt : 20120202 0001540142-12-000003.hdr.sgml : 20120202 20120202124229 ACCESSION NUMBER: 0001540142-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120202 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120202 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) CENTRAL INDEX KEY: 0001540142 IRS NUMBER: 943182508 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14637 FILM NUMBER: 12565189 BUSINESS ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-229-9000 MAIL ADDRESS: STREET 1: 100 PINE STREET STREET 2: SUITE 2700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 13F-HR 1 Sig13F4thQtr2011.txt SIG 13F4THQTR 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM 13 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/11 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: SAN FRANCISCO SENTRY INVESTMENT GROUP 100 Pine Street, Suite 2700 San Francisco, CA 94111 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: Richard E. Dirickson, Jr. Title: Chairman and Secretary Phone: (415) 229-9000 Signature, Place and Date of Signing: /s/ Richard E. Dirickson, Jr. San Francisco, CA FEBRUARY 2, 2012 ----------------------------- ------------------------ ------------------ [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 506 Form 13F Information Table Value Total (x$1000): 262,597 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. 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABB LTD ADR F SPONSORED ADR 1 ADR 000375204 2 125 SH Sole 125 BAIDU INC ADR F SPONSORED ADR ADR 056752108 133 1140 SH Sole 1140 BHP BILLITON LTD SPONSORED ADR ADR 088606108 297 4200 SH Sole 4200 BP PLC ADR F SPONSORED ADR 1 A ADR 055622104 311 7275 SH Sole 7275 CHORUS LTD ADR EACH REP 5 ORD ADR 17040V107 10 800 SH Sole 800 MELCO CROWN ENTMT ADR F SPONSO ADR 585464100 4 400 SH Sole 400 NATIONAL GRID PLC ADR F SPONSO ADR 636274300 95 1955 SH Sole 1955 NESTLE S A REG B ADR F 1 ADR R ADR 641069406 375 6500 SH Sole 6500 NOKIA CORP SPON ADR F 1 ADR RE ADR 654902204 5 1000 SH Sole 1000 NOVARTIS A G SPON ADR F SPONSO ADR 66987v109 563 9850 SH Sole 9850 NOVO NORDISK A/S-ADR RPSTG 1/2 ADR 670100205 138 1200 SH Sole 1200 RECKITT BENCKISER ADR F UNSPON ADR 756255105 6 650 SH Sole 650 RIO TINTO PLC SPON ADR F SPONS ADR 204412209 126 2570 SH Sole 2570 ROCHE HLDG LTD SPON ADRF 1 ADR ADR 771195104 2885 67800 SH Sole 67800 ROYAL DUTCH SHELL A ADRF SPONS ADR 780259206 73 1000 SH Sole 1000 SIEMENS A G ADR F 1 ADR REP 1 ADR 826197501 1061 11100 SH Sole 11100 SOCIEDAD QUIMICA MINERA DE CHI ADR 833635105 215 4000 SH Sole 4000 TELECOM CORP OF NEW ZEALAND LT ADR 879278208 32 4000 SH Sole 4000 TOTAL S A ADR F 1 ADR REP 1 OR ADR 89151e109 41 800 SH Sole 800 VALE SA ADR F SPONSORED ADR 1 ADR 91912e105 287 13400 SH Sole 13400 NUVEEN CALIFORNIA MUNICIPAL VA ADR 67062c107 164 17200 SH Sole 17200 NUVEEN QUALITY MUNCIPAL FUND I ADR 67062n103 15 1000 SH Sole 1000 ABERDEEN ASIA PAC INCOME FD COM 003009107 1589 216834 SH Sole 216834 BLACKROCK CA MUNI INCOME TRUST COM 09248e102 146 9891 SH Sole 9891 BLACKROCK MUNIYLD NY INS COM 09255e102 84 6000 SH Sole 6000 DREYFUS STRAT MUNICIPALS COM 261932107 147 16500 SH Sole 16500 EATON VANCE SHORT DURATION DIV COM 27828v104 39 2400 SH Sole 2400 MANAGED HIGH YIELD PLUS FUND I COM 561911108 182 85503 SH Sole 85503 PIMCO CORPORATE & INCOME OPPOR COM 72201b101 846 48700 SH Sole 48700 PIMCO CORPORATE & INCOME STRAT COM 72200u100 687 43100 SH Sole 43100 PIMCO HIGH INCOME FUND COM 722014107 193 16091 SH Sole 16091 PRUDENTIAL HIGH YIELD FUND INC COM 74440y108 89 16640 SH Sole 16640 3M COMPANY COM 88579y101 458 5600 SH Sole 5600 8 X 8 INC COM 282914100 35 11000 SH Sole 11000 A T & T INC NEW COM 00206r102 189 6250 SH Sole 6250 A V I BIOPHARMA INC COM 002346104 1 750 SH Sole 750 ABBOTT LABORATORIES COM 002824100 70 1250 SH Sole 1250 ABERCROMBIE & FITCH CO COM 002896207 112 2300 SH Sole 2300 ACE LIMITED COM h0023r105 421 6000 SH Sole 6000 ACTIVISION BLIZZARD INC COM 00507v109 99 8000 SH Sole 8000 ADOBE SYSTEMS INC COM 00724f101 8058 285040 SH Sole 285040 AGILENT TECHNOLOGIES INC COM 00846u101 419 12009 SH Sole 12009 AK STEEL HOLDING CORP COM 001547108 8 1000 SH Sole 1000 ALCOA INC COM 013817101 347 40082 SH Sole 40082 ALLERGAN INC COM 018490102 70 800 SH Sole 800 ALLIANCE RESOURCE PARTNERS L P COM 01877r108 68 900 SH Sole 900 ALLIANCEBERNSTEIN INCM COM 01881e101 6 782 SH Sole 782 ALLSCRIPTS MISYS HEALTHCARE SO COM 01988P108 189 10000 SH Sole 10000 ALPS TRUST ETF ALERIAN MLP COM 00162q866 19 1150 SH Sole 1150 ALTAIR NANOTECHNOLOGIES COM 021373105 67 100761 SH Sole 100761 ALTRIA GROUP INC COM 02209s103 397 13374 SH Sole 13374 AMAZON COM INC COM 023135106 351 2030 SH Sole 2030 AMERICAN EXPRESS COMPANY COM 025816109 52 1110 SH Sole 1110 AMERICAN INTL GROUP COM 026874784 2 75 SH Sole 75 AMERICAN STATES WATER CO HOLDI COM 029899101 7 200 SH Sole 200 AMERICAN TOWER REIT INC (HLDG COM 03027x100 116 1930 SH Sole 1930 AMERICAN VANADIUM CORP COM 030370100 1 1200 SH Sole 1200 AMGEN INCORPORATED COM 031162100 7232 112633 SH Sole 112633 AMR CORP DEL COM 001765106 4 12658 SH Sole 12658 ANADARKO PETROLEUM CORP COM 032511107 730 9570 SH Sole 9570 ANALOG DEVICES COM 032654105 3041 85000 SH Sole 85000 ANDERSON ENERGY LTD COM 033839101 1 1500 SH Sole 1500 ANNALY CAPITAL MGMT REIT COM 035710409 155 9700 SH Sole 9700 AOL TIME WARNER INC COM 00184a105 0 6 SH Sole 6 APACHE CORP COM 037411105 471 5200 SH Sole 5200 APERAM F NEW YORK REGISTERED COM 03754h104 0 5 SH Sole 5 APPLE INC COM 037833100 2353 5809 SH Sole 5809 APPLIED MATERIALS INC COM 038222105 13 1195 SH Sole 1195 AQUA AMERICA INC COM 03836w103 42 1900 SH Sole 1900 ARC RESOURCES LTD COM 00208d408 213 8700 SH Sole 8700 ARCELOR MITTAL NY NEW F NEW YO COM 60684p101 5 250 SH Sole 250 ARCHER-DANIELS-MIDLND CO COM 039483102 6 200 SH Sole 200 ARES CAPITAL CORP COM 04010l103 72 4680 SH Sole 4680 ARUBA NETWORKS INC COM 043176106 4 200 SH Sole 200 ATLANTIC POWER CORP NEWF COM 04878q863 8 550 SH Sole 550 ATMEL CORP COM 049513104 3 375 SH Sole 375 ATMOS ENERGY CORP COM 049560105 8 250 SH Sole 250 ATP OIL & GAS CORP. COM 00208j108 22 3000 SH Sole 3000 AUTODESK INC COM 052769106 5 150 SH Sole 150 AVATEX CORP COM 00765f101 2 500 SH Sole 500 B P PRUDHOE BAY RLTY TR ROYALT COM 055630107 2164 18987 SH Sole 18987 BABCOCK & WILCOX CO COM 05615f102 3 127 SH Sole 127 BANK OF AMERICA CORP COM 060505104 238 42730 SH Sole 42730 BANNER CORPORATION NEW COM 06652v109 2 107 SH Sole 107 BAXTER INTERNTL INC COM 071813109 254 5125 SH Sole 5125 BEAM INC COM 073730103 217 4233 SH Sole 4233 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 80 1050 SH Sole 1050 BIOMARIN PHARMACEUTICAL INC COM 09061g101 7 200 SH Sole 200 BLACKROCK HIGH YIELD TRUST COM 09248n102 67 10000 SH Sole 10000 BLKRCK MUNIHLDGS CA QLTY COM 625933106 7 500 SH Sole 500 BLKRCK MUNIYIELD CAL FD COM 09254m105 11 740 SH Sole 740 BLKRCK MUNIYIELD QLTY FD COM 092541f10 10 650 SH Sole 650 BLKRCK MUNIYIELD QUALITY COM 09254e103 16 1100 SH Sole 1100 BOARDWALK PIPELINE PARTNERS LP COM 096627104 9127 329861 SH Sole 329861 BOEING CO COM 097023105 1643 22400 SH Sole 22400 BOSTON SCIENTIFIC CORP COM 101137107 222 41627 SH Sole 41627 BRISTOL-MYERS SQUIBB CO COM 110122108 496 14084 SH Sole 14084 BROADCOM CORP CL A COM 111320107 46 1550 SH Sole 1550 BROOKFIELD ASSET MANAGEMENT IN COM 112585104 124 4500 SH Sole 4500 BSQUARE CORP COM 11776u102 5 1500 SH Sole 1500 BUCKEYE PARTNERS UTS L P UNIT COM 118230101 3 50 SH Sole 50 C S X CORP COM 126408103 25 1200 SH Sole 1200 C V S CAREMARK CORP COM 126650100 326 8000 SH Sole 8000 CABOT OIL & GAS CORP COM 127097103 9078 119600 SH Sole 119600 CAL WATER SVCS GRP COM 130788102 13 700 SH Sole 700 CALAMOS ASSET MGMT INC COM 12811R104 3 200 SH Sole 200 CAMECO CORP COM COM 13321l108 224 12400 SH Sole 12400 CANADIAN NATURAL RES F COM 136385101 8 225 SH Sole 225 CARDINAL HEALTH INC COM 14149y108 256 6300 SH Sole 6300 CAREFUSION CORP COM 14170t101 1 50 SH Sole 50 CATERPILLAR INC COM 149123101 28787 317733 SH Sole 317733 CELGENE CORP COM COM 151020104 1507 22291 SH Sole 22291 CENOVUS ENERGY INC COM 15135u109 43 1300 SH Sole 1300 CENTURYLINK INC COM 156700106 11 300 SH Sole 300 CF INDUSTRIES HOLDINGS INC COM 125269100 130 900 SH Sole 900 CHEVRON CORPORATION COM 166764100 4205 39524 SH Sole 39524 CIGNA CORPORATION COM 125509109 55 1300 SH Sole 1300 CISCO SYSTEMS INC COM 17275r102 2029 112236 SH Sole 112236 CITIGROUP INC NEW COM 172967101 174 6627 SH Sole 6627 CLEARBRIDGE ENERGY MLP COM 184692101 100 4450 SH Sole 4450 CLOROX COMPANY COM 189054109 300 4500 SH Sole 4500 CLOUGH GLOBAL ALLOCATION COM 18913y103 13 1000 SH Sole 1000 CME GROUP INC COM 12572q105 12 50 SH Sole 50 COACH INC COM 189754104 116 1900 SH Sole 1900 COCA COLA COMPANY COM 191216100 1470 21011 SH Sole 21011 COHEN & STEERS QUALITY INCOME COM 19247L106 27 3140 SH Sole 3140 COHEN & STEERS REIT PREFERRED COM 19247x100 1 85 SH Sole 85 COLGATE-PALMOLIVE CO COM 194162103 998 10800 SH Sole 10800 COMCAST CORP NEW COM 20030n200 26 1100 SH Sole 1100 COMCAST CORP NEW CL A COM 20030n101 628 26500 SH Sole 26500 COMPASS MINERALS INTL INC COM 20451n101 262 3800 SH Sole 3800 COMSTOCK RESOURCES INC NEW COM 205768203 306 20000 SH Sole 20000 CON-WAY INC. COM 205944101 29 1000 SH Sole 1000 CONCEPTUS, INC. COM 206016107 3838 303642 SH Sole 303642 CONOCOPHILLIPS COM 20825c104 1595 21891 SH Sole 21891 CONS COMMUNICATION HLDGS COM 209034107 10 550 SH Sole 550 CORNING INC COM 219350105 686 52855 SH Sole 52855 COSTCO WHSL CORP NEW COM 22160k105 283 3400 SH Sole 3400 CREE INC COM 225447101 11 500 SH Sole 500 CUMMINS INC COM 231021106 35 400 SH Sole 400 DANAHER CORP DEL COM 235851102 1342 28520 SH Sole 28520 DEERE & CO COM 244199105 1021 13200 SH Sole 13200 DEVON ENERGY CORP COM 25179m103 372 6000 SH Sole 6000 DISNEY WALT CO COM 254687106 37 1000 SH Sole 1000 DOW CHEMICAL COMPANY COM 260543103 124 4300 SH Sole 4300 DU PONT E I DE NEMOUR&CO COM 263534109 179 3900 SH Sole 3900 DUKE ENERGY CORP NEW COM 26441c105 47 2125 SH Sole 2125 E M C CORP MASS COM 268648102 1568 72774 SH Sole 72774 EASTMAN CHEM CO COM COM 277432100 500 12800 SH Sole 12800 EBAY INC COM 278642103 3 100 SH Sole 100 EDISON INTERNATIONAL COM 281020107 7 172 SH Sole 172 EDWARDS LIFESCIENCES CP COM 28176e108 2 30 SH Sole 30 ELAN CORP PLC SPON ADR F SPONS COM 284131208 5 350 SH Sole 350 EMERITUS CORP COM 291005106 21 1180 SH Sole 1180 EMERSON ELEC CO COM 291011104 1714 36790 SH Sole 36790 ENBRIDGE ENERGY PARTNERSLP COM 29250r106 33 1000 SH Sole 1000 ENCANA CORP COM 292505104 7 400 SH Sole 400 ENERGY FOCUS INC COM 29268t102 68 340000 SH Sole 340000 ENERPLUS CORP F COM 292766102 1911 75474 SH Sole 75474 ENTERPRISE PRD PRTNRS LP COM 293792107 1156 24915 SH Sole 24915 ENZON INC COM 293904108 134 20000 SH Sole 20000 EOG RESOURCES INC COM 26875p101 502 5100 SH Sole 5100 ESSEX PROPERTY TRUST COM 297178105 13 92 SH Sole 92 EXACTECH INC COM 30064e109 16 1000 SH Sole 1000 EXELON CORPORATION COM 30161n101 579 13350 SH Sole 13350 EXPRESS SCRIPTS INC COM COM 302182100 130 2900 SH Sole 2900 EXXON MOBIL CORPORATION COM 30231g102 631 7444 SH Sole 7444 F5 NETWORKS INC COM 315616102 106 1000 SH Sole 1000 FAMILY DOLLAR STORES INC COM 307000109 3 60 SH Sole 60 FANNIE MAE COM 313586109 0 50 SH Sole 50 FEDEX CORPORATION COM 31428x106 6054 72500 SH Sole 72500 FIRST MAJESTIC SILVER CORP COM 32076v103 292 17320 SH Sole 17320 FIRST SOLAR INC COM 336433107 1 25 SH Sole 25 FIRST TRUST ISE CLOUD COMPUTIN COM 33734x192 17 970 SH Sole 970 FIVE STAR QUALITY CARE INC COM 33832d106 13 4360 SH Sole 4360 FMC CORP COM NEW COM 302491303 404 4700 SH Sole 4700 FORD MOTOR COMPANY NEW COM 345370860 119 11014 SH Sole 11014 FORTUNE BRANDS HM & SEC COM 34964c106 72 4233 SH Sole 4233 FRACTIONAL KINDER MORGAN MGMT COM eke55u103 0 70504 SH Sole 70504 FRANKLIN TEMPLETON LTD DURATIO COM 357472t10 3 192 SH Sole 192 FREEPORT MCMORAN COPPER COM 35671d857 753 20475 SH Sole 20475 FRONTIER COMMUNICATIONS COM 35906a108 15 2965 SH Sole 2965 GENERAL ELECTRIC COMPANY COM 369604103 433 24202 SH Sole 24202 GENERAL MILLS INC COM 370334104 331 8200 SH Sole 8200 GILEAD SCIENCES INC COM 375558103 6 150 SH Sole 150 GLOBALSCAPE INC COM 37940g109 647 407214 SH Sole 407214 GLOBE SPECIALTY METALS INC COM 37954n206 220 16400 SH Sole 16400 GMX RESOURCES INC COM 38011m108 2 1950 SH Sole 1950 GOLDMAN SACHS GROUP INC COM 38141g104 5 50 SH Sole 50 GOOGLE INC CLASS A COM 38259p508 3070 4753 SH Sole 4753 GRANITE CONSTRUCTION CO COM 387328107 3202 135000 SH Sole 135000 GUIDE EXPL LTD CL A COM 40170p104 2 500 SH Sole 500 HALLIBURTON CO HLDG CO COM 406216101 954 27630 SH Sole 27630 HANSEN NATURAL CORP. COM 411310105 129 1400 SH Sole 1400 HARRIS CORP-DEL COM 413875105 31 850 SH Sole 850 HEALTH CARE REIT INC REIT COM 42217k106 168 3082 SH Sole 3082 HELMERICH & PAYNE INC COM 423452101 152 2600 SH Sole 2600 HEWLETT-PACKARD COMPANY COM 428236103 229 8907 SH Sole 8907 HOME DEPOT INC COM 437076102 1010 24020 SH Sole 24020 HONEYWELL INTERNATIONAL COM 438516106 424 7800 SH Sole 7800 HUGOTON ROYALTY TRUST TEXAS UN COM 444717102 9 500 SH Sole 500 HYUNDAI MOTOR CO UK LISTED COM h001309 297 11000 SH Sole 11000 ILLINOIS TOOL WORKS INC COM 452308109 654 14000 SH Sole 14000 IMMUNOGEN INC COM 45253h101 2318 200150 SH Sole 200150 IMPERIAL INDUSTRIES COM 452848401 0 1000 SH Sole 1000 INTEL CORP COM 458140100 1509 62233 SH Sole 62233 INTL BUSINESS MACHINES COM 459200101 2544 13835 SH Sole 13835 IRONSTONE GROUP INC NEW COM 463228205 0 60 SH Sole 60 ISHARES MSCI GRMNY IDX GERMANY COM 464286806 17 875 SH Sole 875 ISHARES TR RUSSELL 2000 RUSSEL COM 464287630 8 115 SH Sole 115 ISIS PHARMACEUTICALS INC COM 464330109 288 40000 SH Sole 40000 IVANHOE MINES LTD F COM 46579N103 2 125 SH Sole 125 JACOBS ENGINEERING COM 469814107 41 1000 SH Sole 1000 JOHNSON & JOHNSON COM 478160104 1261 19223 SH Sole 19223 JPMORGAN CHASE & CO COM 46625H100 1040 31285 SH Sole 31285 JUNIPER NETWORKS INC COM 48203r104 645 31600 SH Sole 31600 KANSAS CITY SOUTHERN COM 485170302 109 1600 SH Sole 1600 KERYX BIOPHARMACEUTICAL COM 492515101 12 4700 SH Sole 4700 KIMBERLY-CLARK CORP COM 494368103 294 4000 SH Sole 4000 KINDER MORGAN ENERGY LP UNIT L COM 494550106 925 10890 SH Sole 10890 KINDER MORGAN MGMT LLCSHS COM 49455u100 287 3658 SH Sole 3658 KOHLS CORP WISC PV 1CT COM 500255104 808 16375 SH Sole 16375 KONE CORPORATION NPV SHS B COM b09m9d2 47 900 SH Sole 900 KRAFT FOODS INC COM 50075n104 225 6012 SH Sole 6012 KRATOS DEFENSE & SEC SOLUTIONS COM 50077b207 4 600 SH Sole 600 L-3 COMMNCTNS HLDGS COM 502424104 75 1130 SH Sole 1130 LEGGETT & PLATT INC COM 524660107 46 2000 SH Sole 2000 LIGAND PHARMACEUTICALS COM 53220k207 4 333 SH Sole 333 LILLY ELI & COMPANY COM 532457108 14376 345909 SH Sole 345909 LINN ENERGY COM 536020100 42 1100 SH Sole 1100 LMS MEDICAL SYSTEMS COM 502089105 1 500000 SH Sole 500000 LOCATEPLUS HOLDINGS COM 539570408 0 20 SH Sole 20 LOCKHEED MARTIN CORP COM 539830109 243 3000 SH Sole 3000 LOWES COMPANIES INC COM 548661107 428 16868 SH Sole 16868 LUXOTTICA GRP SPA ADR F 1 ADR COM 55068r202 2 75 SH Sole 75 LVMH MOET HENNESSY EUR0.30 COM 4061412 171 1200 SH Sole 1200 LYONDELLBASELL INDS F CLASS A COM N53745100 3 100 SH Sole 100 MAGELLAN MIDSTREAM PTNRS COM 559080106 811 11770 SH Sole 11770 MAGNUM HUNTER RES 13WTS WARRAN COM 55973b995 0 115 SH Sole 115 MAGNUM HUNTER RESOURCES COM 55972f203 6 1150 SH Sole 1150 MANULIFE FINANCIAL CORPF COM 56501r106 6 600 SH Sole 600 MARATHON OIL CORP COM 565849106 287 9800 SH Sole 9800 MARATHON PETE CORP COM 56585a102 3 100 SH Sole 100 MARKET VECTORS ETF TRUST GLOBA COM 57060u407 2 180 SH Sole 180 MARRIOT INTERNATIONAL INC COM fhb903208 0 41261 SH Sole 41261 MARTHA STEWART LVNG OMNI COM 573083102 2 400 SH Sole 400 MC DONALDS CORP COM 580135101 2277 22700 SH Sole 22700 MCDERMOTT INTL INC COM 580037109 3 254 SH Sole 254 MCKESSON CORPORATION COM 58155q103 30 387 SH Sole 387 MDU RESOURCES GRP INC COM 552690109 576 26855 SH Sole 26855 MEDCO HEALTH SOLUTIONS COM 58405u102 131 2340 SH Sole 2340 MEDTRONIC INC COM 585055106 175 4581 SH Sole 4581 MELA SCIENCES INC. COM 285192100 11 3000 SH Sole 3000 MEMC ELECTRNC MATERIALS COM 552715104 16 4000 SH Sole 4000 MERCHANTS NAT'L PPTYS COM 589161108 673 731 SH Sole 731 MERCK & CO INC NEW COM 58933y105 335 8879 SH Sole 8879 MGM RESORTS INTL COM 552953101 26 2525 SH Sole 2525 MICROCHIP TECHNOLOGY INC COM 595017104 62 1700 SH Sole 1700 MICRON TECHNOLOGY INC COM 595112103 252 40000 SH Sole 40000 MICROSOFT CORP COM 594918104 1278 49222 SH Sole 49222 MOLYCORP INC COM 608753109 62 2600 SH Sole 2600 MONSANTO CO NEW DEL COM 61166w101 2686 38331 SH Sole 38331 MONSTER WORLDWIDE INC COM 611742107 17 2125 SH Sole 2125 NAT'L WESTERN LIFE INSURANCE C COM 638522102 272 2000 SH Sole 2000 NATIONAL-OILWELL VARCO COM 637071101 49 715 SH Sole 715 NATURAL RESOURCE PARTNERS L P COM 63900p103 14 500 SH Sole 500 NEMASKA LITHIUM INC COM COM 64045c106 1 2500 SH Sole 2500 NEWMONT MINING CORP COM 651639106 6 100 SH Sole 100 NIKE INC-CL B COM 654106103 286 2965 SH Sole 2965 NOBLE CORP F COM h5833n103 41 1350 SH Sole 1350 NORTHEAST UTILITIES COM 664397106 3 75 SH Sole 75 NUCOR CORP COM 670346105 40 1000 SH Sole 1000 NUSTAR ENERGY LP COM 67058h102 8 150 SH Sole 150 NUVEEN ENHANCED MUNI FD COM 670509108 11 750 SH Sole 750 NY COMUNTY BANCORP COM 649445103 1659 134150 SH Sole 134150 OLD REPUBLIC INTL COM 680223104 93 10000 SH Sole 10000 ONEOK INC NEW COM 682680103 433 5000 SH Sole 5000 ORACLE CORPORATION COM 68389x105 752 29330 SH Sole 29330 ORPHAN BIOVITRUM ADR F SPONSOR COM 870321106 0 200 SH Sole 200 OWENS & MINOR INC HOLDING CO COM 690732102 167 6000 SH Sole 6000 OWENS ILLINOIS COM 690768403 242 12500 SH Sole 12500 P G & E CORP COM 69331c108 61 1477 SH Sole 1477 PEABODY ENERGY CORP COM 704549104 543 16400 SH Sole 16400 PEETS COFFEE & TEA INC. COM 705560100 141 2255 SH Sole 2255 PEMBINA PIPELINE CORP COM 706327103 117 4000 SH Sole 4000 PENGROWTH ENERGY CORPORATION COM 70706p104 211 20000 SH Sole 20000 PENN WEST PETE LTD NEW F COM 707887105 971 49028 SH Sole 49028 PEOPLES UTD FNL INC COM 712704105 257 20000 SH Sole 20000 PEPCO HOLDINGS INC COM 713291102 18 900 SH Sole 900 PEPSICO INCORPORATED COM 713448108 2070 31197 SH Sole 31197 PETROLEO BRASILEIRO ADRF SPONS COM 71654v408 6 250 SH Sole 250 PETROQUEST ENERGY, INC. COM 716748108 264 40000 SH Sole 40000 PFIZER INCORPORATED COM 717081103 2727 126017 SH Sole 126017 PHILIP MORRIS INTL INC COM 718172109 355 4525 SH Sole 4525 PINNACLE WEST CAPITAL CP COM 723484101 10 212 SH Sole 212 PLUM CREEK TIMBER CO REIT COM 729251108 38 1050 SH Sole 1050 PNM RESOURCES INC HOLDING COMP COM 69349h107 3 163 SH Sole 163 PORTLAND GENERAL ELEC COM 736508847 8 325 SH Sole 325 POTASH CORP/SASKATCH COM 73755l107 3203 77600 SH Sole 77600 POWER ONE INC COM 739308104 20 5000 SH Sole 5000 PPL CORPORATION COM 69351t106 26 900 SH Sole 900 PROCTER & GAMBLE COM 742718109 1965 29452 SH Sole 29452 PROGRESS ENERGY INC COM 743263105 42 750 SH Sole 750 PROGRESS SOFTWARE CORP. COM 743312100 1161 60000 SH Sole 60000 PROSHARES ULTRA S&P 500 COM 74347r107 5 100 SH Sole 100 QUALCOMM INC COM 747525103 2500 45707 SH Sole 45707 QUICKLOGIC CORP COM 74837p108 2 677 SH Sole 677 QUIKSILVER INC COM 74838c106 8 2232 SH Sole 2232 R R DONNELLEY & SONS COM 257867101 82 5700 SH Sole 5700 RAM ENERGY RESOURCES COM 75130p109 379 120930 SH Sole 120930 RANGE RESOURCES CORP COM 75281a109 3097 50000 SH Sole 50000 RAYTHEON CO DELAWARE NEW COM 755111507 353 7300 SH Sole 7300 REALTY INCOME CORP REIT COM 756109104 109 3123 SH Sole 3123 REAVES UTILITY INCOME FD COM 756158101 10 375 SH Sole 375 REDWOOD TRUST INC COM 758075402 411 40355 SH Sole 40355 RESEARCH FRONTIERS COM 760911107 20 6000 SH Sole 6000 RESEARCH IN MOTION LTD F COM 760975102 9 600 SH Sole 600 RIVERBED TECHNOLOGY INC COM 768573107 23 1000 SH Sole 1000 ROGERS CORP COM 775133101 55 1500 SH Sole 1500 ROPER INDUSTRIES INC NEW COM 776696106 330 3800 SH Sole 3800 ROSETTA RESOURCES INC COM 777779307 9 200 SH Sole 200 ROYCE FOCUS TRUST INC COM 78080n108 9 1374 SH Sole 1374 S L GREEN REALTY CORP REIT COM 78440x101 1 10 SH Sole 10 S P D R S&P 500 ETF TR EXPIRIN COM 78462f103 17 138 SH Sole 138 SAFEWAY INC COM 786514208 113 5350 SH Sole 5350 SAN JUAN BASIN ROYALTY TR-UBI COM 798241105 23 1000 SH Sole 1000 SANDRIDGE ENERGY INC COM 80007p307 5 597 SH Sole 597 SCHLUMBERGER LTD F COM 806857108 734 10750 SH Sole 10750 SEADRILL LTD F COM g7945e105 5539 166944 SH Sole 166944 SEAGATE TECHNOLOGY COM g7945j104 8 500 SH Sole 500 SEATTLE GENETICS INC COM 812578102 1003 60000 SH Sole 60000 SIGMA DESIGNS INC COM 826565103 1 150 SH Sole 150 SIMON PROPERTY GROUP INC COM 828806109 146 1130 SH Sole 1130 SINGAPORE TLCM ADR NEW F SPONS COM 82929r304 24 1025 SH Sole 1025 SMITH & WESSON HOLDING, CORP. COM 831756101 298 68320 SH Sole 68320 SMITH MICRO SOFTWARE INC. 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