Chief Compliance Officer

0001062993-14-000810.txt : 20140214 0001062993-14-000810.hdr.sgml : 20140214 20140214092910 ACCESSION NUMBER: 0001062993-14-000810 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140214 DATE AS OF CHANGE: 20140214 EFFECTIVENESS DATE: 20140214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Carnick & Kubik, LLC CENTRAL INDEX KEY: 0001555900 IRS NUMBER: 453307631 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15410 FILM NUMBER: 14611162 BUSINESS ADDRESS: STREET 1: 675 SOUTHPOINTE COURT, SUITE 102 CITY: COLORADO SPRINGS STATE: CO ZIP: 80906 BUSINESS PHONE: 719-579-8000 MAIL ADDRESS: STREET 1: POST OFFICE BOX 7 CITY: COLORADO SPRINGS STATE: CO ZIP: 80901 FORMER COMPANY: FORMER CONFORMED NAME: Carnick & Company, LLC DATE OF NAME CHANGE: 20120809 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001555900 XXXXXXXX 12-31-2013 12-31-2013 Carnick & Kubik, LLC

POST OFFICE BOX 7 COLORADO SPRINGS CO 80901

13F HOLDINGS REPORT 028-15410 N Craig Carnick Chief Compliance Officer 719-579-8000 Craig Carnick Colorado Springs CO 02-12-2014 0 153 110530486 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE 3-D SYS CORP DEL COM NEW 88554D205 18586 200 SH SOLE None 0 0 0 3M CO COM 88579Y101 548378 3910 SH SOLE None 0 0 0 ABBVIE INC COM 00287Y109 579590 10975 SH SOLE None 0 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 199224 1800 SH SOLE None 0 0 0 AMAZON COM INC COM 023135106 55432 139 SH SOLE None 0 0 0 AMBEV SA SPONSORED ADR 02319V103 36750 5000 SH SOLE None 0 0 0 AMERICAN ELEC PWR INC COM 025537101 630990 13500 SH SOLE None 0 0 0 ANNALY CAP MGMT INC COM 035710409 538729 54035 SH SOLE None 0 0 0 APPLE INC COM 037833100 1377304 2455 SH SOLE None 0 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 1524325 25675 SH SOLE None 0 0 0 AT&T INC COM 00206R102 1069005 30404 SH SOLE None 0 0 0 AUTONATION INC COM 05329W102 690194 13890 SH SOLE None 0 0 0 BOK FINL CORP COM NEW 05561Q201 715792 10793 SH SOLE None 0 0 0 BAKER HUGHES INC COM 057224107 1036401 18755 SH SOLE None 0 0 0 BANK NEW YORK MELLON CORP COM 064058100 565155 16175 SH SOLE None 0 0 0 KIRBY CORP COM 497266106 775352 2450 SH SOLE None 0 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 55808 1050 SH SOLE None 0 0 0 BROWN & BROWN INC COM 115236101 138116 4400 SH SOLE None 0 0 0 CANADIAN NAT RES LTD COM 136385101 13536 400 SH SOLE None 0 0 0 CAPITAL ONE FINL CORP COM 14040H105 817275 10668 SH SOLE None 0 0 0 CAPSTEAD MTG CORP COM NO PAR 14067E506 822467 68085 SH SOLE None 0 0 0 CENTERPOINT ENERGY INC COM 15189T107 454560 19610 SH SOLE None 0 0 0 CERNER CORP COM 156782104 817985 14675 SH SOLE None 0 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 1016504 15760 SH SOLE None 0 0 0 CHEVRON CORP NEW COM 166764100 39347 315 SH SOLE None 0 0 0 CHUBB CORP COM 171232101 475903 4925 SH SOLE None 0 0 0 CIMAREX ENERGY CO COM 171798101 1081098 10305 SH SOLE None 0 0 0 CINEMARK HOLDINGS INC COM 17243V102 492117 14765 SH SOLE None 0 0 0 CLOROX CO DEL COM 189054109 468438 5050 SH SOLE None 0 0 0 COLGATE PALMOLIVE CO COM 194162103 741764 11375 SH SOLE None 0 0 0 COLUMBIA PPTY TR INC COM NEW 198287203 28125 1125 SH SOLE None 0 0 0 CONOCOPHILLIPS COM 20825C104 468056 6625 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 81399 1218 SH SOLE None 0 0 0 COSTCO WHSL CORP NEW COM 22160K105 1026786 8627 SH SOLE None 0 0 0 COVIDIEN PLC SHS G2554F113 1037844 15240 SH SOLE None 0 0 0 CVS CAREMARK CORPORATION COM 126650100 1240155 17328 SH SOLE None 0 0 0 DARDEN RESTAURANTS INC COM 237194105 46215 850 SH SOLE None 0 0 0 DIGITAL RLTY TR INC COM 253868103 897668 18275 SH SOLE None 0 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 19737 286 SH SOLE None 0 0 0 EOG RES INC COM 26875P101 1183776 7053 SH SOLE None 0 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 491693 7568 SH SOLE None 0 0 0 LILLY ELI & CO COM 532457108 435387 8537 SH SOLE None 0 0 0 EMCOR GROUP INC COM 29084Q100 110344 2600 SH SOLE None 0 0 0 EMERSON ELEC CO COM 291011104 542842 7735 SH SOLE None 0 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 839017 11945 SH SOLE None 0 0 0 FASTENAL CO COM 311900104 767287 16150 SH SOLE None 0 0 0 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 1103220 18430 SH SOLE None 0 0 0 FIRST TR EXCHANGE TRADED FD FINLS ALPHADEX 33734X135 763944 35140 SH SOLE None 0 0 0 FLOWSERVE CORP COM 34354P105 953370 12094 SH SOLE None 0 0 0 GENERAL MLS INC COM 370334104 479136 9600 SH SOLE None 0 0 0 GENTEX CORP COM 371901109 956420 29000 SH SOLE None 0 0 0 GILEAD SCIENCES INC NOTE 1.000% 5/0 375558AN3 769400 10245 SH SOLE None 0 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 230438 1300 SH SOLE None 0 0 0 GOOGLE INC CL A 38259P508 1954518 1744 SH SOLE None 0 0 0 CLAYMORE EXCHANGE TRD FD TR GUG MULTI ASSET 18383M506 673744 27200 SH SOLE None 0 0 0 HEWLETT PACKARD CO COM 428236103 3498 125 SH SOLE None 0 0 0 IDEXX LABS INC COM 45168D104 643539 6050 SH SOLE None 0 0 0 INTEGRYS ENERGY GROUP INC COM 45822P105 1334405 24525 SH SOLE None 0 0 0 INTEL CORP COM 458140100 23360 900 SH SOLE None 0 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 225084 1200 SH SOLE None 0 0 0 INVESCO LTD SHS G491BT108 947128 26020 SH SOLE None 0 0 0 ISHARES U.S. TECH ETF 464287721 1715736 19400 SH SOLE None 0 0 0 ISHARES MSCI AUST ETF 464286103 13404 550 SH SOLE None 0 0 0 ISHARES BELGIUM CAPD ETF 464286301 16390 1000 SH SOLE None 0 0 0 ISHARES MSCI MEX CAP ETF 464286822 11900 175 SH SOLE None 0 0 0 ISHARES MSCI SZ CAP ETF 464286749 18145 550 SH SOLE None 0 0 0 ISHARES N AMER TECH ETF 464287549 55450 619 SH SOLE None 0 0 0 ISHARES RUS 1000 GRW ETF 464287614 621419 7230 SH SOLE None 0 0 0 ISHARES RUS 1000 VAL ETF 464287598 611728 6496 SH SOLE None 0 0 0 ISHARES RUS 2000 GRW ETF 464287648 5125124 37821 SH SOLE None 0 0 0 ISHARES RUSSELL 2000 ETF 464287655 155475 1348 SH SOLE None 0 0 0 ISHARES RUS 2000 VAL ETF 464287630 3147782 31636 SH SOLE None 0 0 0 ISHARES S&P 500 GRWT ETF 464287309 1009719 10225 SH SOLE None 0 0 0 ISHARES S&P 500 VAL ETF 464287408 1052696 12318 SH SOLE None 0 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1578289 11795 SH SOLE None 0 0 0 ISHARES S&P MC 400GR ETF 464287606 351294 2339 SH SOLE None 0 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 347760 2992 SH SOLE None 0 0 0 ISHARES SP SMCP600GR ETF 464287887 361286 3046 SH SOLE None 0 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 321653 2891 SH SOLE None 0 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 5145 275 SH SOLE None 0 0 0 ISHARES CORE S&P500 ETF 464287200 289890 1561 SH SOLE None 0 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 842806 13380 SH SOLE None 0 0 0 JOHNSON & JOHNSON COM 478160104 436884 4770 SH SOLE None 0 0 0 JOHNSON CTLS INC COM 478366107 816953 15925 SH SOLE None 0 0 0 KAMAN CORP COM 483548103 52404 1319 SH SOLE None 0 0 0 KEYCORP NEW PFD 7.75% SR A 493267405 1232134 9530 SH SOLE None 0 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 12960 3192 SH SOLE None 0 0 0 LENNOX INTL INC COM 526107107 778724 9155 SH SOLE None 0 0 0 LINEAR TECHNOLOGY CORP COM 535678106 13665 300 SH SOLE None 0 0 0 LOWES COS INC COM 548661107 553721 11175 SH SOLE None 0 0 0 MASTERCARD INC CL A 57636Q104 5363653 6420 SH SOLE None 0 0 0 MCDONALDS CORP COM 580135101 784488 8085 SH SOLE None 0 0 0 MEDASSETS INC COM 584045108 158640 8000 SH SOLE None 0 0 0 MEI PHARMA INC COM NEW 55279B202 243144 30355 SH SOLE None 0 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 485110 5975 SH SOLE None 0 0 0 MOHAWK INDS INC COM 608190104 349915 2350 SH SOLE None 0 0 0 NOVO-NORDISK A S ADR 670100205 3797742 20555 SH SOLE None 0 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 663323 6975 SH SOLE None 0 0 0 OMEGA HEALTHCARE INVS INC COM 681936100 444765 14925 SH SOLE None 0 0 0 OMNICOM GROUP INC COM 681919106 163614 2200 SH SOLE None 0 0 0 PANERA BREAD CO CL A 69840W108 733087 4149 SH SOLE None 0 0 0 PAYCHEX INC COM 704326107 504245 11075 SH SOLE None 0 0 0 PEPSICO INC COM 713448108 449950 5425 SH SOLE None 0 0 0 PERRIGO CO COM 714290103 153460 1000 SH SOLE None 0 0 0 POWERSHARES ETF TRUST DYN PHRMA PORT 73935X799 1312667 24545 SH SOLE None 0 0 0 PPL CORP COM 69351T106 411120 13663 SH SOLE None 0 0 0 PRAXAIR INC COM 74005P104 123529 950 SH SOLE None 0 0 0 PRECISION CASTPARTS CORP COM 740189105 484740 1800 SH SOLE None 0 0 0 PROCTER & GAMBLE CO COM 742718109 453861 5575 SH SOLE None 0 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 1421237 126670 SH SOLE None 0 0 0 POWERSHARES ETF TRUST DYN SFTWR PORT 73935X773 796288 22045 SH SOLE None 0 0 0 QUALCOMM INC COM 747525103 430650 5800 SH SOLE None 0 0 0 REALTY INCOME CORP COM 756109104 368634 9875 SH SOLE None 0 0 0 RITCHIE BROS AUCTIONEERS COM 767744105 89427 3900 SH SOLE None 0 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 644813 14250 SH SOLE None 0 0 0 ROPER INDS INC NEW COM 776696106 727654 5247 SH SOLE None 0 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 176700 2480 SH SOLE None 0 0 0 SAFETY INS GROUP INC COM 78648T100 453497 8055 SH SOLE None 0 0 0 SANOFI SPONSORED ADR 80105N105 482134 8990 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2195837 100450 SH SOLE None 0 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2626170 50252 SH SOLE None 0 0 0 SIGNATURE BK NEW YORK N Y COM 82669G104 633778 5900 SH SOLE None 0 0 0 SIRONA DENTAL SYSTEMS INC COM 82966C103 126360 1800 SH SOLE None 0 0 0 SNAP ON INC COM 833034101 1737206 15862 SH SOLE None 0 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 4597209 63305 SH SOLE None 0 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 504666 6352 SH SOLE None 0 0 0 STARWOOD PPTY TR INC COM 85571B105 4155 150 SH SOLE None 0 0 0 STRATASYS LTD SHS M85548101 13470 100 SH SOLE None 0 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 6387 55 SH SOLE None 0 0 0 SUPERVALU INC COM 868536103 7290 1000 SH SOLE None 0 0 0 TJX COS INC NEW COM 872540109 1376568 21600 SH SOLE None 0 0 0 TAL INTL GROUP INC COM 874083108 71688 1250 SH SOLE None 0 0 0 TELUS CORP COM 87971M103 441349 12815 SH SOLE None 0 0 0 THOMSON REUTERS CORP COM 884903105 477856 12635 SH SOLE None 0 0 0 TIFFANY & CO NEW COM 886547108 157726 1700 SH SOLE None 0 0 0 TRAVELERS COMPANIES INC COM 89417E109 498875 5510 SH SOLE None 0 0 0 TRIMBLE NAVIGATION LTD COM 896239100 48580 1400 SH SOLE None 0 0 0 UNILEVER PLC SPON ADR NEW 904767704 570620 13850 SH SOLE None 0 0 0 UNION PAC CORP COM 907818108 473928 2821 SH SOLE None 0 0 0 UNITED PARCEL SERVICE INC CL B 911312106 492825 4690 SH SOLE None 0 0 0 V F CORP COM 918204108 663734 10647 SH SOLE None 0 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 3880540 33054 SH SOLE None 0 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 27052 551 SH SOLE None 0 0 0 VIACOM INC NEW CL B 92553P201 636272 7285 SH SOLE None 0 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 916434 23313 SH SOLE None 0 0 0 WALGREEN CO COM 931422109 516960 9000 SH SOLE None 0 0 0 WAL-MART STORES INC COM 931142103 322629 4100 SH SOLE None 0 0 0 WATERS CORP COM 941848103 1002500 10025 SH SOLE None 0 0 0 WELLS FARGO & CO NEW COM 949746101 477790 10524 SH SOLE None 0 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 49060 1000 SH SOLE None 0 0 0 WORLD FUEL SVCS CORP COM 981475106 164008 3800 SH SOLE None 0 0 0 ISHARES INTL SEL DIV ETF 464288448 2303337 60710 SH SOLE None 0 0 0 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 211344 15725 SH SOLE None 0 0 0