0001085146-12-000249.txt : 20120210 0001085146-12-000249.hdr.sgml : 20120210 20120209204456 ACCESSION NUMBER: 0001085146-12-000249 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120209 EFFECTIVENESS DATE: 20120210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OPPENHEIMER & CO INC CENTRAL INDEX KEY: 0000822581 IRS NUMBER: 135657518 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04046 FILM NUMBER: 12589075 BUSINESS ADDRESS: STREET 1: 125 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 MAIL ADDRESS: STREET 1: 125 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 FORMER COMPANY: FORMER CONFORMED NAME: FAHNESTOCK & CO INC DATE OF NAME CHANGE: 19921119 13F-HR 1 opco4q2011.txt OPPENHEIMER & CO. INC. 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: Oppenheimer & Co. Inc. Address: 125 Broad Street New York, NY 10004 13F File Number: 028-04046 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: Deborah Kaback Title: Senior Vice President Phone: 212.667.4395 Signature, Place, and Date of Signing: /s/ Deborah Kaback New York, NY February 07, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 835 Form 13F Information Table Value Total: $1,276,347 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3-D SYS CORP DEL COM NEW 88554D205 146 10144 SH SOLE 10144 0 0 3M CO COM 88579Y101 4706 57581 SH SOLE 57581 0 0 ABB LTD SPONSORED ADR 000375204 408 21660 SH SOLE 21660 0 0 ABBOTT LABS COM 002824100 8867 157689 SH SOLE 157689 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 300 40952 SH SOLE 40952 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 357 6711 SH SOLE 6711 0 0 ACE LTD SHS H0023R105 354 5050 SH SOLE 5050 0 0 ACORN ENERGY INC COM 004848107 835 138200 SH SOLE 138200 0 0 ADCARE HEALTH SYSTEMS INC COM NEW 00650W300 108 27122 SH SOLE 27122 0 0 ADDUS HOMECARE CORP COM 006739106 39 11000 SH SOLE 11000 0 0 ADOBE SYS INC COM 00724F101 228 8062 SH SOLE 8062 0 0 ADVANCED MICRO DEVICES INC COM 007903107 77 14340 SH SOLE 14340 0 0 ADVENT CLAY GBL CONV SEC INC COM BENE INTER 007639107 156 24736 SH SOLE 24736 0 0 AETNA INC NEW COM 00817Y108 1062 25192 SH SOLE 25192 0 0 AFLAC INC COM 001055102 2609 60316 SH SOLE 60316 0 0 AGL RES INC COM 001204106 1607 38006 SH SOLE 37686 320 0 AIR PRODS & CHEMS INC COM 009158106 764 8976 SH SOLE 8976 0 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 99 21003 SH SOLE 21003 0 0 AIRGAS INC COM 009363102 302 3863 SH SOLE 3863 0 0 AK STL HLDG CORP COM 001547108 220 26624 SH SOLE 26624 0 0 ALASKA AIR GROUP INC COM 011659109 311 4145 SH SOLE 4145 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 240 154175 SH SOLE 151825 2350 0 ALCOA INC COM 013817101 1095 126588 SH SOLE 126588 0 0 ALEXANDERS INC COM 014752109 222 600 SH SOLE 600 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 476 6653 SH SOLE 6653 0 0 ALLERGAN INC COM 018490102 1848 21070 SH SOLE 21070 0 0 ALLIANT ENERGY CORP COM 018802108 1584 35890 SH SOLE 35890 0 0 ALLOS THERAPEUTICS INC COM 019777101 14 10000 SH SOLE 10000 0 0 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 363 19148 SH SOLE 19148 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 512 25053 SH SOLE 25053 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 59 11148 SH SOLE 11148 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 142 32448 SH SOLE 32448 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 1145 68899 SH SOLE 68899 0 0 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 396 7897 SH SOLE 7897 0 0 ALTRIA GROUP INC COM 02209S103 9447 318610 SH SOLE 318610 0 0 ALUMINA LTD SPONSORED ADR 022205108 97 21150 SH SOLE 13900 7250 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 134 12400 SH SOLE 12400 0 0 AMAZON COM INC COM 023135106 1823 10534 SH SOLE 10534 0 0 AMERICAN ELEC PWR INC COM 025537101 2227 53904 SH SOLE 53904 0 0 AMERICAN EXPRESS CO COM 025816109 2297 48691 SH SOLE 48691 0 0 AMERICAN ORIENTAL BIOENGR IN COM 028731107 25 45000 SH SOLE 45000 0 0 AMERICAN TOWER CORP CL A 029912201 3658 60960 SH SOLE 60960 0 0 AMERICAN WTR 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6229 SH SOLE 6229 0 0 ASIA PAC FD INC COM 044901106 1198 127450 SH SOLE 127450 0 0 ASIA TIGERS FD INC COM 04516T105 142 11809 SH SOLE 11809 0 0 ASTEX PHARMACEUTICALS INC COM 04624B103 28 15000 SH SOLE 15000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 349 7533 SH SOLE 7533 0 0 AT&T INC COM 00206R102 14508 479785 SH SOLE 479785 0 0 ATHENAHEALTH INC COM 04685W103 301 6119 SH SOLE 6119 0 0 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 211 5673 SH SOLE 5673 0 0 ATMOS ENERGY CORP COM 049560105 1435 43045 SH SOLE 42770 275 0 AURICO GOLD INC COM 05155C105 178 22250 SH SOLE 22250 0 0 AUTODESK INC COM 052769106 1153 38001 SH SOLE 38001 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2404 44517 SH SOLE 44517 0 0 AUTOZONE INC COM 053332102 2637 8114 SH SOLE 8114 0 0 AVIAT NETWORKS INC COM 05366Y102 19 10274 SH SOLE 10274 0 0 AVNET INC COM 053807103 205 6595 SH SOLE 6595 0 0 AVON PRODS INC COM 054303102 306 17512 SH SOLE 17512 0 0 B & G FOODS INC NEW COM 05508R106 263 10916 SH SOLE 10916 0 0 BAKER HUGHES INC COM 057224107 353 7258 SH SOLE 7258 0 0 BALL CORP COM 058498106 252 7046 SH SOLE 7046 0 0 BANCO SANTANDER SA ADR 05964H105 114 15249 SH SOLE 15249 0 0 BANK MONTREAL QUE COM 063671101 422 7703 SH SOLE 7703 0 0 BANK NOVA SCOTIA HALIFAX COM 064149107 240 4814 SH SOLE 4814 0 0 BANK OF AMERICA CORPORATION COM 060505104 1407 252951 SH SOLE 252951 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 400 20090 SH SOLE 20090 0 0 BANK OF THE OZARKS INC COM 063904106 659 22232 SH SOLE 21822 410 0 BARRICK GOLD CORP COM 067901108 3171 70057 SH SOLE 67832 2225 0 BAXTER INTL INC COM 071813109 1182 23898 SH SOLE 23898 0 0 BB&T CORP COM 054937107 522 20771 SH SOLE 20771 0 0 BCE INC COM NEW 05534B760 4378 105061 SH SOLE 97660 7401 0 BECTON DICKINSON & CO COM 075887109 4525 60583 SH SOLE 60583 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5556 72819 SH SOLE 72819 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 1828 25892 SH SOLE 25892 0 0 BIOGEN IDEC INC COM 09062X103 647 5878 SH SOLE 5878 0 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COM 136375102 1236 15738 SH SOLE 15738 0 0 CAPITOL FED FINL INC COM 14057J101 208 18000 SH SOLE 18000 0 0 CARBO CERAMICS INC COM 140781105 293 2379 SH SOLE 2379 0 0 CARDINAL HEALTH INC COM 14149Y108 1195 29427 SH SOLE 29427 0 0 CATERPILLAR INC DEL COM 149123101 4106 45319 SH SOLE 45319 0 0 CBOE HLDGS INC COM 12503M108 611 23652 SH SOLE 23652 0 0 CBRE GROUP INC CL A 12504L109 754 49523 SH SOLE 49523 0 0 CELANESE CORP DEL COM SER A 150870103 2054 46388 SH SOLE 46388 0 0 CELGENE CORP COM 151020104 1102 16300 SH SOLE 15000 1300 0 CELLDEX THERAPEUTICS INC NEW COM 15117B103 363 139839 SH SOLE 131324 8515 0 CEMEX SAB DE CV SPON ADR NEW 151290889 340 63186 SH SOLE 63186 0 0 CENTERPOINT ENERGY INC COM 15189T107 562 28005 SH SOLE 28005 0 0 CENTRAL EUROPE & RUSSIA FD I COM 153436100 1884 65992 SH SOLE 65992 0 0 CENTURYLINK INC COM 156700106 1647 44262 SH SOLE 44262 0 0 CERNER CORP COM 156782104 234 3820 SH SOLE 3820 0 0 CF INDS HLDGS INC COM 125269100 563 3885 SH SOLE 3885 0 0 CHARMING SHOPPES INC COM 161133103 473 96582 SH SOLE 96582 0 0 CHART INDS INC COM PAR $0.01 16115Q308 291 5378 SH SOLE 5378 0 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 320 6087 SH SOLE 6087 0 0 CHEMED CORP NEW COM 16359R103 4718 92116 SH SOLE 85071 7045 0 CHENIERE ENERGY INC COM NEW 16411R208 87 10001 SH SOLE 10001 0 0 CHESAPEAKE ENERGY CORP COM 165167107 2285 102481 SH SOLE 102481 0 0 CHEVRON CORP NEW COM 166764100 11081 104149 SH SOLE 103419 730 0 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 978 25872 SH SOLE 25872 0 0 CHIMERA INVT CORP COM 16934Q109 52 20480 SH SOLE 20480 0 0 CHINA NEW BORUN CORP ADR 16890T105 35 11258 SH SOLE 11258 0 0 CHINACAST EDU CORP COM 16946T109 490 80000 SH SOLE 80000 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 1380 4085 SH SOLE 4085 0 0 CHUBB CORP COM 171232101 4400 63564 SH SOLE 63564 0 0 CHURCH & DWIGHT INC COM 171340102 4905 107201 SH SOLE 107201 0 0 CISCO SYS INC COM 17275R102 4354 240836 SH SOLE 239936 900 0 CITIGROUP INC COM NEW 172967424 796 30261 SH 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75720 0 0 COLGATE PALMOLIVE CO COM 194162103 2331 25221 SH SOLE 25221 0 0 COMCAST CORP NEW CL A 20030N101 1990 83910 SH SOLE 83910 0 0 COMMONWEALTH REIT COM SH BEN INT 203233101 386 23168 SH SOLE 23168 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 7006 194106 SH SOLE 182481 11625 0 COMPANHIA ENERGETICA DE MINA SP ADR N-V PFD 204409601 2959 166368 SH SOLE 154988 11380 0 COMPANIA DE MINAS BUENAVENTU SPONSORED ADR 204448104 7809 203688 SH SOLE 189388 14300 0 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 210 16964 SH SOLE 16964 0 0 COMPLETE PRODUCTION SERVICES COM 20453E109 679 20231 SH SOLE 20231 0 0 COMVERSE TECHNOLOGY INC COM PAR $0.10 205862402 148 21541 SH SOLE 21541 0 0 CONCHO RES INC COM 20605P101 285 3039 SH SOLE 3039 0 0 CONOCOPHILLIPS COM 20825C104 7741 106232 SH SOLE 106232 0 0 CONSOLIDATED EDISON INC COM 209115104 532 8568 SH SOLE 8568 0 0 CONSTELLATION ENERGY GROUP I COM 210371100 1332 33588 SH SOLE 33588 0 0 CONTINENTAL RESOURCES INC COM 212015101 360 5392 SH 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MSCI S KOREA 464286772 637 12187 SH SOLE 12187 0 0 ISHARES INC MSCI JAPAN 464286848 422 46273 SH SOLE 46273 0 0 ISHARES S&P GSCI COMMODITY I UNIT BEN INT 46428R107 4169 126408 SH SOLE 126408 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 2819 104635 SH SOLE 100785 3850 0 ISHARES TR DJ SEL DIV INX 464287168 5309 98740 SH SOLE 98740 0 0 ISHARES TR BARCLYS TIPS BD 464287176 5001 42855 SH SOLE 42855 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 439 12582 SH SOLE 12582 0 0 ISHARES TR TRANSP AVE IDX 464287192 816 9119 SH SOLE 9119 0 0 ISHARES TR S&P 500 INDEX 464287200 8409 66756 SH SOLE 66756 0 0 ISHARES TR BARCLY USAGG B 464287226 6625 60093 SH SOLE 60093 0 0 ISHARES TR MSCI EMERG MKT 464287234 6527 172027 SH SOLE 172027 0 0 ISHARES TR IBOXX INV CPBD 464287242 8419 74008 SH SOLE 74008 0 0 ISHARES TR S&P500 GRW 464287309 9532 141363 SH SOLE 141363 0 0 ISHARES TR S&P GBL HLTHCR 464287325 2494 44437 SH SOLE 44437 0 0 ISHARES TR S&P 500 VALUE 464287408 1410 24383 SH SOLE 24383 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 349 3306 SH SOLE 3306 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 5456 64559 SH SOLE 64559 0 0 ISHARES TR MSCI EAFE INDEX 464287465 11070 223494 SH SOLE 223494 0 0 ISHARES TR RUSSELL MCP VL 464287473 893 20584 SH SOLE 20584 0 0 ISHARES TR RUSSELL MCP GR 464287481 1345 24431 SH SOLE 24431 0 0 ISHARES TR RUSSELL MIDCAP 464287499 606 6162 SH SOLE 6162 0 0 ISHARES TR S&P MIDCAP 400 464287507 804 9182 SH SOLE 9182 0 0 ISHARES TR PHLX SOX SEMICND 464287523 499 10105 SH SOLE 10105 0 0 ISHARES TR NASDQ BIO INDX 464287556 231 2213 SH SOLE 2213 0 0 ISHARES TR COHEN&ST RLTY 464287564 1109 15789 SH SOLE 15789 0 0 ISHARES TR S&P GLB100INDX 464287572 1376 23753 SH SOLE 23753 0 0 ISHARES TR RUSSELL1000VAL 464287598 713 11228 SH SOLE 11228 0 0 ISHARES TR S&P MC 400 GRW 464287606 1460 14787 SH SOLE 14787 0 0 ISHARES TR RUSSELL1000GRW 464287614 844 14599 SH SOLE 14599 0 0 ISHARES TR RUSSELL 1000 464287622 367 5296 SH SOLE 5296 0 0 ISHARES TR RUSL 2000 VALU 464287630 5755 87681 SH SOLE 87681 0 0 ISHARES TR RUSL 2000 GROW 464287648 4352 51670 SH SOLE 51670 0 0 ISHARES TR RUSSELL 2000 464287655 1797 24359 SH SOLE 24359 0 0 ISHARES TR S&P MIDCP VALU 464287705 414 5455 SH SOLE 5455 0 0 ISHARES TR DJ US TECH SEC 464287721 4003 62640 SH SOLE 62640 0 0 ISHARES TR DJ US REAL EST 464287739 667 11743 SH SOLE 11743 0 0 ISHARES TR DJ US HEALTHCR 464287762 236 3309 SH SOLE 3309 0 0 ISHARES TR DJ US FINL SVC 464287770 2419 53441 SH SOLE 53441 0 0 ISHARES TR S&P SMLCAP 600 464287804 809 11843 SH SOLE 11843 0 0 ISHARES TR S&P EURO PLUS 464287861 207 6143 SH SOLE 6143 0 0 ISHARES TR S&P SMLCP GROW 464287887 605 8122 SH SOLE 8122 0 0 ISHARES TR S&P SH NTL AMTFR 464288158 456 4272 SH SOLE 4272 0 0 ISHARES TR JPMORGAN USD 464288281 352 3204 SH SOLE 3204 0 0 ISHARES TR S&P NTL AMTFREE 464288414 1397 12909 SH SOLE 12909 0 0 ISHARES TR HIGH YLD CORP 464288513 7903 88367 SH SOLE 88367 0 0 ISHARES TR BARCLYS MBS BD 464288588 376 3480 SH SOLE 3480 0 0 ISHARES TR BARCLYS INTER GV 464288612 690 6197 SH SOLE 6197 0 0 ISHARES TR BARCLYS INTER CR 464288638 2624 24482 SH SOLE 24482 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 1996 19155 SH SOLE 19155 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 239 1959 SH SOLE 1959 0 0 ISHARES TR BARCLYS SH TREA 464288679 5268 47789 SH SOLE 47789 0 0 ISHARES TR US PFD STK IDX 464288687 1957 54921 SH SOLE 54921 0 0 ISHARES TR MSCI VAL IDX 464288877 248 5810 SH SOLE 5810 0 0 ISHARES TR MSCI GRW IDX 464288885 645 12408 SH SOLE 12408 0 0 ISHARES TR HGH DIV EQT FD 46429B663 1101 19845 SH SOLE 19845 0 0 ISTAR FINL INC COM 45031U101 70 13167 SH SOLE 13167 0 0 IVANHOE MINES LTD COM 46579N103 506 28534 SH SOLE 28534 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 2004 49375 SH SOLE 49375 0 0 JAGUAR MNG INC COM 47009M103 64 10000 SH SOLE 10000 0 0 JARDEN CORP COM 471109108 295 9881 SH SOLE 9881 0 0 JDS UNIPHASE CORP COM PAR $0.001 46612J507 423 40494 SH SOLE 40494 0 0 JEFFERIES GROUP INC NEW COM 472319102 661 48081 SH SOLE 48081 0 0 JETBLUE AIRWAYS CORP COM 477143101 136 26208 SH SOLE 26208 0 0 JOHNSON & JOHNSON COM 478160104 10900 166198 SH SOLE 165288 910 0 JOHNSON CTLS INC COM 478366107 2064 66022 SH SOLE 65662 360 0 JOY GLOBAL INC COM 481165108 349 4651 SH SOLE 4651 0 0 JPMORGAN CHASE & CO COM 46625H100 4528 136182 SH SOLE 136182 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1349 34604 SH SOLE 34604 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 85 10000 SH SOLE 10000 0 0 JUNIPER NETWORKS INC COM 48203R104 303 14807 SH SOLE 14807 0 0 K V PHARMACEUTICAL CO CL B CONV 482740107 111 79312 SH SOLE 75462 3850 0 K V PHARMACEUTICAL CO CL A 482740206 203 144687 SH SOLE 127887 16800 0 KAYNE ANDERSON MLP INVSMNT C COM 486606106 950 31303 SH SOLE 31303 0 0 KB HOME COM 48666K109 67 10000 SH SOLE 10000 0 0 KBR INC COM 48242W106 399 14331 SH SOLE 14011 320 0 KELLOGG CO COM 487836108 246 4859 SH SOLE 4859 0 0 KENNEDY-WILSON HLDGS INC COM 489398107 346 32700 SH SOLE 32700 0 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 43 16975 SH SOLE 16975 0 0 KIMBERLY 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72200X104 717 64340 SH SOLE 58390 5950 0 PIONEER NAT RES CO COM 723787107 659 7367 SH SOLE 7367 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 2682 36510 SH SOLE 36510 0 0 PLUM CREEK TIMBER CO INC COM 729251108 811 22188 SH SOLE 22188 0 0 POLARIS INDS INC COM 731068102 322 5760 SH SOLE 5760 0 0 POTASH CORP SASK INC COM 73755L107 1649 39943 SH SOLE 39943 0 0 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 2029 125860 SH SOLE 125860 0 0 POWERSHARES ETF TRUST FTSE US1500 SM 73935X567 4527 75448 SH SOLE 75448 0 0 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 7030 128807 SH SOLE 128807 0 0 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 1002 62130 SH SOLE 62130 0 0 POWERSHARES ETF TRUST DYNM LRG CP VL 73935X708 1063 55110 SH SOLE 55110 0 0 POWERSHARES ETF TRUST FND PR MIDGRT PT 73935X807 440 21627 SH SOLE 21627 0 0 POWERSHARES ETF TRUST FND PUR SMVAL PT 73935X864 349 23701 SH SOLE 23701 0 0 POWERSHARES ETF TRUST FND PUR SMGRT PT 73935X872 376 23612 SH SOLE 23612 0 0 POWERSHARES ETF TRUST FND PUR MDVAL PT 73935X880 515 33408 SH SOLE 33408 0 0 POWERSHARES GLOBAL ETF TRUST FDM HG YLD RAFI 73936T557 634 34339 SH SOLE 34339 0 0 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 4516 165076 SH SOLE 165076 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 3986 123991 SH SOLE 123991 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1768 31662 SH SOLE 31662 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 886 39439 SH SOLE 39439 0 0 PPG INDS INC COM 693506107 585 7008 SH SOLE 7008 0 0 PRAXAIR INC COM 74005P104 4824 45125 SH SOLE 45125 0 0 PRECISION CASTPARTS CORP COM 740189105 317 1922 SH SOLE 1922 0 0 PRICE T ROWE GROUP INC COM 74144T108 1143 20064 SH SOLE 20064 0 0 PRICELINE COM INC COM NEW 741503403 1066 2280 SH SOLE 2280 0 0 PRICESMART INC COM 741511109 303 4359 SH SOLE 4359 0 0 PROCTER & GAMBLE CO COM 742718109 8993 134810 SH SOLE 134810 0 0 PROGRESS ENERGY INC COM 743263105 850 15169 SH SOLE 15169 0 0 PROSHARES TR PSHS SH MSCI EAF 74347R370 2184 42407 SH SOLE 42407 0 0 PROSHARES TR PSHS SH MSCI EMR 74347R396 1868 55950 SH SOLE 55950 0 0 PROSHARES TR PSHS SHRT S&P500 74347R503 3629 89795 SH SOLE 89795 0 0 PROSHARES TR PSHS SHORT QQQ 74347R602 584 18661 SH SOLE 18661 0 0 PROSHARES TR SHRT 20+YR TRE 74347X849 761 24410 SH SOLE 24410 0 0 PROVIDENT ENERGY LTD NEW COM 74386V100 295 30400 SH SOLE 30400 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 4993 151262 SH SOLE 143947 7315 0 PULTE GROUP INC COM 745867101 93 14740 SH SOLE 14740 0 0 QR ENERGY LP UNIT LTD PRTNS 74734R108 212 10540 SH SOLE 10540 0 0 QUALCOMM INC COM 747525103 6616 120942 SH SOLE 120802 140 0 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 237 5698 SH SOLE 5698 0 0 RACKSPACE HOSTING INC COM 750086100 2513 58424 SH SOLE 58424 0 0 RANGE RES CORP COM 75281A109 2614 42200 SH SOLE 42200 0 0 RAYTHEON CO COM NEW 755111507 666 13778 SH SOLE 13778 0 0 REALTY INCOME CORP COM 756109104 1998 57147 SH SOLE 57147 0 0 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 1154 46406 SH SOLE 46406 0 0 REGENERON PHARMACEUTICALS COM 75886F107 899 16217 SH SOLE 16217 0 0 RESEARCH IN MOTION LTD COM 760975102 296 20439 SH SOLE 20439 0 0 REXAHN PHARMACEUTICALS INC COM 761640101 11 30000 SH SOLE 30000 0 0 REYNOLDS AMERICAN INC COM 761713106 1211 29260 SH SOLE 29260 0 0 RF MICRODEVICES INC COM 749941100 130 24000 SH SOLE 24000 0 0 RHINO RESOURCE PARTNERS LP COM UNIT REPST 76218Y103 197 10215 SH SOLE 10215 0 0 RIO TINTO PLC SPONSORED ADR 767204100 973 19904 SH SOLE 19904 0 0 ROVI CORP COM 779376102 2079 84578 SH SOLE 76859 7719 0 ROWAN COS INC COM 779382100 505 16647 SH SOLE 16647 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 3955 54108 SH SOLE 54108 0 0 RYDER SYS INC COM 783549108 1184 22288 SH SOLE 22288 0 0 RYDEX ETF TRUST S&P 500 EQ TRD 78355W106 949 20516 SH SOLE 20516 0 0 RYDEX ETF TRUST S&PMC400 PURGR 78355W601 528 6726 SH SOLE 6726 0 0 S1 CORPORATION COM 78463B101 209 21850 SH SOLE 21850 0 0 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 228 14415 SH SOLE 14415 0 0 SALIENT MLP & ENERGY INFRSTR COM SH BEN INT 79471T100 287 12300 SH SOLE 12300 0 0 SALIX PHARMACEUTICALS INC COM 795435106 698 14584 SH SOLE 14584 0 0 SANDISK CORP COM 80004C101 829 16848 SH SOLE 16848 0 0 SANDRIDGE ENERGY INC COM 80007P307 365 44826 SH SOLE 43691 1135 0 SANDRIDGE MISSISSIPPIAN TR I UNIT BEN INT 80007T101 289 9323 SH SOLE 9323 0 0 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 1431 62909 SH SOLE 62909 0 0 SANOFI SPONSORED ADR 80105N105 1168 31965 SH SOLE 31965 0 0 SANOFI RIGHT 12/31/2020 80105N113 36 29213 SH SOLE 26924 2289 0 SARA LEE CORP COM 803111103 341 18041 SH SOLE 18041 0 0 SCANA CORP NEW COM 80589M102 987 21900 SH SOLE 21900 0 0 SCHLUMBERGER LTD COM 806857108 1873 27423 SH SOLE 27423 0 0 SCHWAB CHARLES CORP NEW COM 808513105 200 17801 SH SOLE 17801 0 0 SEADRILL LIMITED SHS G7945E105 1013 30532 SH SOLE 30532 0 0 SEATTLE GENETICS INC COM 812578102 170 10173 SH SOLE 10173 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1217 37449 SH SOLE 37449 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 4150 106369 SH SOLE 106369 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 900 13015 SH SOLE 13015 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 878 67517 SH SOLE 67517 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1558 61234 SH SOLE 61234 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 3458 96116 SH SOLE 96116 0 0 SEMPRA ENERGY COM 816851109 263 4775 SH SOLE 4775 0 0 SENESCO TECHNOLOGIES INC COM NEW 817208408 6 24000 SH SOLE 24000 0 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 276 12304 SH SOLE 12304 0 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323108 47 16800 SH SOLE 16800 0 0 SEQUENOM INC COM NEW 817337405 63 14241 SH SOLE 14241 0 0 SHANGPHARMA CORP SPONSORED ADR 81943P104 138 18955 SH SOLE 18955 0 0 SIEMENS A G SPONSORED ADR 826197501 347 3634 SH SOLE 3634 0 0 SIGMA DESIGNS INC COM 826565103 60 10000 SH SOLE 10000 0 0 SILICON LABORATORIES INC COM 826919102 217 5000 SH SOLE 5000 0 0 SINGAPORE FD INC COM 82929L109 357 32730 SH SOLE 32730 0 0 SIRIUS XM RADIO INC COM 82967N108 2847 1564040 SH SOLE 1564040 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 592 36510 SH SOLE 36510 0 0 SOLARWINDS INC COM 83416B109 300 10749 SH SOLE 10749 0 0 SOLUTIA INC COM NEW 834376501 190 11003 SH SOLE 11003 0 0 SOUTH JERSEY INDS INC COM 838518108 384 6771 SH SOLE 6771 0 0 SOUTHERN CO COM 842587107 2238 48363 SH SOLE 48363 0 0 SOUTHERN COPPER CORP COM 84265V105 1563 51794 SH SOLE 51794 0 0 SOUTHERN UN CO NEW COM 844030106 663 15743 SH SOLE 15743 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 819 6723 SH SOLE 6723 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 22685 149257 SH SOLE 148632 625 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 19508 155440 SH SOLE 155440 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 6707 42052 SH SOLE 42052 0 0 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 1135 31382 SH SOLE 31382 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 725 18866 SH SOLE 18866 0 0 SPDR SERIES TRUST DB INT GVT ETF 78464A490 1037 18267 SH SOLE 18267 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 7544 128242 SH SOLE 128242 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 2551 39615 SH SOLE 39615 0 0 SPDR SERIES TRUST BARCL CAP TIPS 78464A656 1944 33500 SH SOLE 33500 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 273 5566 SH SOLE 5566 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 772 14324 SH SOLE 14324 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 1074 62805 SH SOLE 62805 0 0 SPECTRA ENERGY CORP COM 847560109 7762 252417 SH SOLE 239367 13050 0 SPECTRUM BRANDS HLDGS INC COM 84763R101 650 23716 SH SOLE 23716 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 163 69972 SH SOLE 69772 200 0 STARBUCKS CORP COM 855244109 2546 55339 SH SOLE 55339 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 232 4830 SH SOLE 4830 0 0 STARWOOD PPTY TR INC COM 85571B105 524 28288 SH SOLE 28288 0 0 STATOIL ASA SPONSORED ADR 85771P102 5657 220856 SH SOLE 207871 12985 0 STERICYCLE INC COM 858912108 570 7314 SH SOLE 7314 0 0 STILLWATER MNG CO COM 86074Q102 228 21809 SH SOLE 21809 0 0 STONE ENERGY CORP COM 861642106 361 13695 SH SOLE 13695 0 0 STRATASYS INC COM 862685104 385 12664 SH SOLE 12664 0 0 STRYKER CORP COM 863667101 2752 55369 SH SOLE 55369 0 0 SUCCESSFACTORS INC COM 864596101 326 8165 SH SOLE 8165 0 0 SUNCOR ENERGY INC NEW COM 867224107 529 18356 SH SOLE 18356 0 0 SUNOCO INC COM 86764P109 308 7500 SH SOLE 7500 0 0 SUPERVALU INC COM 868536103 1662 204702 SH SOLE 204702 0 0 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 158 18527 SH SOLE 18527 0 0 SYNUTRA INTL INC COM 87164C102 106 20978 SH SOLE 20978 0 0 TAIWAN FD INC COM 874036106 188 12965 SH SOLE 12965 0 0 TALBOTS INC *W EXP 04/09/201 874161110 1 56000 SH SOLE 56000 0 0 TARGACEPT INC COM 87611R306 84 15000 SH SOLE 15000 0 0 TARGET CORP COM 87612E106 4164 81295 SH SOLE 81120 175 0 TELEFONICA S A SPONSORED ADR 879382208 1053 61249 SH SOLE 61249 0 0 TELEPHONE & DATA SYS INC SPL COM 879433860 395 16600 SH SOLE 16600 0 0 TELLABS INC COM 879664100 121 30000 SH SOLE 30000 0 0 TEMPUR PEDIC INTL INC COM 88023U101 613 11662 SH SOLE 11662 0 0 TENET HEALTHCARE CORP COM 88033G100 118 22905 SH SOLE 22905 0 0 TERADATA CORP DEL COM 88076W103 214 4418 SH SOLE 4418 0 0 TEREX CORP NEW COM 880779103 1008 74604 SH SOLE 74604 0 0 TERRA NITROGEN CO L P COM UNIT 881005201 1660 9890 SH SOLE 9890 0 0 TESORO LOGISTICS LP COM UNIT LP 88160T107 377 11453 SH SOLE 11453 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3006 74467 SH SOLE 74467 0 0 TEXAS CAPITAL BANCSHARES INC COM 88224Q107 484 15800 SH SOLE 15800 0 0 TEXAS INSTRS INC COM 882508104 478 16430 SH SOLE 16430 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 323 7187 SH SOLE 7187 0 0 THERMON GROUP HLDGS INC COM 88362T103 192 10892 SH SOLE 10892 0 0 THESTREET INC COM 88368Q103 25 15000 SH SOLE 15000 0 0 THL CR INC COM 872438106 193 15770 SH SOLE 15770 0 0 TICC CAPITAL CORP COM 87244T109 87 10113 SH SOLE 10113 0 0 TJX COS INC NEW COM 872540109 563 8721 SH SOLE 8721 0 0 TOTAL S A SPONSORED ADR 89151E109 480 9400 SH SOLE 9400 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 601 9084 SH SOLE 9084 0 0 TRACTOR SUPPLY CO COM 892356106 2328 33192 SH SOLE 33067 125 0 TRANSOCEAN LTD REG SHS H8817H100 788 20527 SH SOLE 20527 0 0 TRAVELERS COMPANIES INC COM 89417E109 249 4215 SH SOLE 4215 0 0 TRIMBLE NAVIGATION LTD COM 896239100 566 13040 SH SOLE 13040 0 0 TRINITY BIOTECH PLC SPON ADR NEW 896438306 112 11023 SH SOLE 11023 0 0 TUPPERWARE BRANDS CORP COM 899896104 392 7000 SH SOLE 7000 0 0 TW TELECOM INC COM 87311L104 217 11194 SH SOLE 11194 0 0 TWO HBRS INVT CORP COM 90187B101 164 17700 SH SOLE 17700 0 0 U S G CORP COM NEW 903293405 281 27670 SH SOLE 27670 0 0 ULTA SALON COSMETCS & FRAG I COM 90384S303 264 4061 SH SOLE 4061 0 0 UNIFI INC COM NEW 904677200 160 21109 SH SOLE 21109 0 0 UNILEVER N V N Y SHS NEW 904784709 1683 48957 SH SOLE 48957 0 0 UNILEVER PLC SPON ADR NEW 904767704 1189 35484 SH SOLE 35484 0 0 UNION PAC CORP COM 907818108 675 6371 SH SOLE 6371 0 0 UNITED CONTL HLDGS INC COM 910047109 457 24208 SH SOLE 24208 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2336 31918 SH SOLE 31918 0 0 UNITED RENTALS INC COM 911363109 395 13339 SH SOLE 13339 0 0 UNITED STATES STL CORP NEW COM 912909108 2200 83160 SH SOLE 83160 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3319 45414 SH SOLE 45414 0 0 UNITEDHEALTH GROUP INC COM 91324P102 372 7338 SH SOLE 7338 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 1784 48606 SH SOLE 43981 4625 0 US BANCORP DEL COM NEW 902973304 1904 70403 SH SOLE 70403 0 0 US ECOLOGY INC COM 91732J102 207 11000 SH SOLE 11000 0 0 V F CORP COM 918204108 3556 28004 SH SOLE 28004 0 0 VALE S A ADR 91912E105 1033 48127 SH SOLE 48127 0 0 VALERO ENERGY CORP NEW COM 91913Y100 307 14600 SH SOLE 14600 0 0 VALUE LINE INC COM 920437100 111 10753 SH SOLE 10753 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 302 5000 SH SOLE 5000 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1626 20117 SH SOLE 20117 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 12860 153934 SH SOLE 153934 0 0 VANGUARD INDEX FDS S&P 500 ETF SH 922908413 1185 20621 SH SOLE 20621 0 0 VANGUARD INDEX FDS REIT ETF 922908553 2859 49291 SH SOLE 49291 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 721 9440 SH SOLE 9440 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 2433 38825 SH SOLE 38825 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 372 5169 SH SOLE 5169 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1030 17980 SH SOLE 17980 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 469 9039 SH SOLE 9039 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 3495 56594 SH SOLE 56594 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 738 10597 SH SOLE 10597 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 1002 15586 SH SOLE 15586 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 12708 332577 SH SOLE 332577 0 0 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 703 16971 SH SOLE 16971 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000IDX 92206C730 1003 17515 SH SOLE 17515 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 5421 99196 SH SOLE 99196 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 6543 144558 SH SOLE 144558 0 0 VANGUARD WORLD FD MEGA CAP INDEX 921910873 1001 23284 SH SOLE 23284 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 502 8084 SH SOLE 8084 0 0 VARIAN MED SYS INC COM 92220P105 603 8975 SH SOLE 8975 0 0 VEECO INSTRS INC DEL COM 922417100 281 13500 SH SOLE 13500 0 0 VENTAS INC COM 92276F100 205 3704 SH SOLE 3704 0 0 VERIFONE SYS INC COM 92342Y109 519 14605 SH SOLE 14605 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 8798 219302 SH SOLE 219302 0 0 VIEWPOINT FINL GROUP INC MD COM 92672A101 182 13950 SH SOLE 13650 300 0 VISA INC COM CL A 92826C839 2614 25742 SH SOLE 25742 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 262 29100 SH SOLE 29100 0 0 VMWARE INC CL A COM 928563402 430 5163 SH SOLE 5163 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1974 70425 SH SOLE 70425 0 0 WAL MART STORES INC COM 931142103 2196 36749 SH SOLE 36749 0 0 WALGREEN CO COM 931422109 757 22908 SH SOLE 22908 0 0 WARREN RES INC COM 93564A100 121 37139 SH SOLE 37139 0 0 WASTE MGMT INC DEL COM 94106L109 6354 194240 SH SOLE 182945 11295 0 WATERS CORP COM 941848103 289 3907 SH SOLE 3907 0 0 WATSON PHARMACEUTICALS INC COM 942683103 842 13962 SH SOLE 13962 0 0 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 620 42378 SH SOLE 42378 0 0 WELLPOINT INC COM 94973V107 742 11195 SH SOLE 11195 0 0 WELLS FARGO & CO NEW COM 949746101 1411 51216 SH SOLE 51216 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 394 38700 SH SOLE 38700 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 415 28103 SH SOLE 28103 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 759 20000 SH SOLE 20000 0 0 WESTELL TECHNOLOGIES INC CL A 957541105 33 15000 SH SOLE 15000 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1073 56771 SH SOLE 56771 0 0 WESTERN ASSET MGD HI INCM FD COM 95766L107 404 66779 SH SOLE 66779 0 0 WESTERN GAS PARTNERS LP COM UNIT LP IN 958254104 348 8435 SH SOLE 8435 0 0 WESTERN UN CO COM 959802109 2023 110807 SH SOLE 110807 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 1168 35228 SH SOLE 34614 614 0 WEYERHAEUSER CO COM 962166104 1208 64722 SH SOLE 64722 0 0 WHITING PETE CORP NEW COM 966387102 760 16270 SH SOLE 14770 1500 0 WILLIAMS COS INC DEL COM 969457100 373 11290 SH SOLE 11290 0 0 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 224 3732 SH SOLE 3732 0 0 WILLIAMS SONOMA INC COM 969904101 590 15322 SH SOLE 15322 0 0 WINDSTREAM CORP COM 97381W104 1084 92289 SH SOLE 92289 0 0 WISCONSIN ENERGY CORP COM 976657106 460 13171 SH SOLE 13171 0 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 1612 31433 SH SOLE 31433 0 0 WISDOMTREE TRUST INDIA ERNGS FD 97717W422 522 33438 SH SOLE 33438 0 0 WRIGHT EXPRESS CORP COM 98233Q105 303 5590 SH SOLE 5590 0 0 WSP HOLDINGS LIMITED ADR 92934F104 10 24000 SH SOLE 24000 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 214 5658 SH SOLE 5658 0 0 WYNN RESORTS LTD COM 983134107 1305 11813 SH SOLE 11813 0 0 XCEL ENERGY INC COM 98389B100 1313 47492 SH SOLE 47492 0 0 XILINX INC COM 983919101 1613 50342 SH SOLE 50342 0 0 XYLEM INC COM 98419M100 426 16579 SH SOLE 16579 0 0 YAHOO INC COM 984332106 1572 97379 SH SOLE 97379 0 0 YAMANA GOLD INC COM 98462Y100 450 30666 SH SOLE 30666 0 0 YM BIOSCIENCES INC COM 984238105 153 93000 SH SOLE 93000 0 0 YUM BRANDS INC COM 988498101 200 3380 SH SOLE 3380 0 0