0001085146-13-000362.txt : 20130212 0001085146-13-000362.hdr.sgml : 20130212 20130211180520 ACCESSION NUMBER: 0001085146-13-000362 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130211 EFFECTIVENESS DATE: 20130212 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: 13593607 BUSINESS ADDRESS: STREET 1: 85 BROAD ST CITY: NEW YORK STATE: NY ZIP: 10004 BUSINESS PHONE: 2126675421 MAIL ADDRESS: STREET 1: 85 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 oppenheimerco4q2012.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, 2012 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: 85 Broad St. 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 06, 2013 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: 1093 Form 13F Information Table Value Total: $2,052,855 (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 1482 37421 SH SOLE 37171 0 250 3M CO COM 88579Y101 6152 68368 SH SOLE 68368 0 0 AASTROM BIOSCIENCES INC COM NEW 00253U305 65 30000 SH SOLE 30000 0 0 ABB LTD SPONSORED ADR 000375204 1778 89995 SH SOLE 89995 0 0 ABBOTT LABS COM 002824100 10781 166982 SH SOLE 166982 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 600 77989 SH SOLE 77989 0 0 ABRAXAS PETE CORP COM 003830106 25 11500 SH SOLE 11500 0 0 ACACIA RESH CORP ACACIA TCH COM 003881307 4338 159654 SH SOLE 159654 0 0 ACCELRYS INC COM 00430U103 193 21321 SH SOLE 21321 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 557 9272 SH SOLE 9272 0 0 ACCRETIVE HEALTH INC COM 00438V103 123 10700 SH SOLE 10700 0 0 ACE LTD SHS H0023R105 2206 28290 SH SOLE 28290 0 0 ACORN ENERGY INC COM 004848107 1183 142700 SH SOLE 142700 0 0 ADCARE HEALTH SYSTEMS INC COM NEW 00650W300 49 13380 SH SOLE 13380 0 0 ADDUS HOMECARE CORP COM 006739106 50 10200 SH SOLE 10200 0 0 ADVANCED MICRO DEVICES INC COM 007903107 63 16185 SH SOLE 16185 0 0 ADVANTAGE OIL & GAS LTD COM 00765F101 53 16700 SH SOLE 16700 0 0 ADVENT CLAY CONV SEC INC FD COM 007639107 140 21818 SH SOLE 21818 0 0 ADVENT CLAYMORE CV SECS & IN COM 00764C109 181 11300 SH SOLE 11300 0 0 AEGION CORP COM 00770F104 410 20400 SH SOLE 20400 0 0 AEROVIRONMENT INC COM 008073108 290 11575 SH SOLE 11575 0 0 AETNA INC NEW COM 00817Y108 956 23618 SH SOLE 23618 0 0 AFLAC INC COM 001055102 12110 244798 SH SOLE 244798 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 386 9822 SH SOLE 9822 0 0 AGL RES INC COM 001204106 1828 46982 SH SOLE 46662 0 320 AIR PRODS & CHEMS INC COM 009158106 755 9325 SH SOLE 9325 0 0 AIR TRANSPORT SERVICES GRP I COM 00922R105 99 19012 SH SOLE 19012 0 0 AK STL HLDG CORP COM 001547108 267 48493 SH SOLE 48493 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 262 6908 SH SOLE 6908 0 0 ALCATEL-LUCENT SPONSORED ADR 013904305 311 197482 SH SOLE 194732 0 2750 ALCOA INC COM 013817101 2113 242505 SH SOLE 242505 0 0 ALEXANDER & BALDWIN INC NEW COM 014491104 1122 38200 SH SOLE 38200 0 0 ALEXANDERS INC COM 014752109 302 700 SH SOLE 700 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 441 4440 SH SOLE 4440 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 442 13820 SH SOLE 13820 0 0 ALLERGAN INC COM 018490102 2655 28701 SH SOLE 28701 0 0 ALLIANCEBERNSTEIN GBL HGH IN COM 01879R106 254 16366 SH SOLE 16366 0 0 ALLIANCEBERNSTEIN HOLDING LP UNIT LTD PARTN 01881G106 716 50619 SH SOLE 50619 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 475 58451 SH SOLE 58451 0 0 ALLIANT ENERGY CORP COM 018802108 1697 37370 SH SOLE 37370 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 490 18133 SH SOLE 18133 0 0 ALLSTATE CORP COM 020002101 219 6071 SH SOLE 6071 0 0 ALPHA NATURAL 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85707 SH SOLE 85690 0 17 APPLIED MATLS INC COM 038222105 2250 196667 SH SOLE 196667 0 0 APPROACH RESOURCES INC COM 03834A103 250 10000 SH SOLE 10000 0 0 ARBITRON INC COM 03875Q108 288 6179 SH SOLE 6179 0 0 ARCA BIOPHARMA INC COM 00211Y100 7 15000 SH SOLE 15000 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 428 28025 SH SOLE 28025 0 0 ARCH COAL INC COM 039380100 1202 164781 SH SOLE 164781 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 1053 36236 SH SOLE 36236 0 0 ARQULE INC COM 04269E107 157 51500 SH SOLE 51500 0 0 ASIA PAC FD INC COM 044901106 1216 127450 SH SOLE 127450 0 0 ASIA TIGERS FD INC COM 04516T105 173 13604 SH SOLE 13604 0 0 ASTORIA FINL CORP COM 046265104 180 19000 SH SOLE 19000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 1262 28086 SH SOLE 28086 0 0 AT&T INC COM 00206R102 19841 567083 SH SOLE 567083 0 0 ATA INC SPONS ADR 00211V106 232 33328 SH SOLE 33328 0 0 ATLAS ENERGY LP COM UNITS LP 04930A104 236 6800 SH SOLE 6800 0 0 ATMOS ENERGY CORP COM 049560105 1612 45956 SH 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CORP COM 09689U102 103 11440 SH SOLE 11440 0 0 BOEING CO COM 097023105 6978 93601 SH SOLE 93601 0 0 BONSO ELECTRS INTL INC COM PAR $0.003 098529308 92 96000 SH SOLE 96000 0 0 BOSTON PROPERTIES INC COM 101121101 1156 10676 SH SOLE 10676 0 0 BOTTOMLINE TECH DEL INC COM 101388106 369 14000 SH SOLE 14000 0 0 BP PLC SPONSORED ADR 055622104 8312 202712 SH SOLE 202712 0 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 387 3318 SH SOLE 3318 0 0 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 880 51654 SH SOLE 51654 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 12371 348901 SH SOLE 348551 0 350 BROADCOM CORP CL A 111320107 2687 80252 SH SOLE 80252 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 820 22475 SH SOLE 22475 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 226 6497 SH SOLE 6497 0 0 BROOKLINE BANCORP INC DEL COM 11373M107 183 21500 SH SOLE 21500 0 0 BROWN FORMAN CORP CL B 115637209 3056 31716 SH SOLE 31716 0 0 BSD MED CORP DEL COM 055662100 39 23549 SH SOLE 23549 0 0 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22258 0 0 ISHARES INC MSCI CDA INDEX 464286509 541 20946 SH SOLE 20946 0 0 ISHARES INC MSCI PAC J IDX 464286665 6307 154667 SH SOLE 154667 0 0 ISHARES INC MSCI SINGAPORE 464286673 201 14809 SH SOLE 14809 0 0 ISHARES INC MSCI TAIWAN 464286731 685 51198 SH SOLE 51198 0 0 ISHARES INC MSCI S KOREA 464286772 636 11595 SH SOLE 11595 0 0 ISHARES INC MSCI JAPAN 464286848 978 101915 SH SOLE 101915 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 2202 82195 SH SOLE 78345 0 3850 ISHARES TR DJ SEL DIV INX 464287168 4899 87181 SH SOLE 87181 0 0 ISHARES TR BARCLYS TIPS BD 464287176 8179 68285 SH SOLE 68285 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 2012 51925 SH SOLE 51925 0 0 ISHARES TR TRANSP AVE IDX 464287192 762 8161 SH SOLE 8161 0 0 ISHARES TR CORE S&P500 ETF 464287200 10152 74236 SH SOLE 74236 0 0 ISHARES TR CORE TOTUSBD ETF 464287226 7085 63659 SH SOLE 63659 0 0 ISHARES TR MSCI EMERG MKT 464287234 8477 212812 SH SOLE 212812 0 0 ISHARES TR IBOXX INV CPBD 464287242 9248 78631 SH SOLE 78631 0 0 ISHARES TR S&P GBL TELCM 464287275 287 4986 SH SOLE 4986 0 0 ISHARES TR S&P500 GRW 464287309 13702 186389 SH SOLE 186389 0 0 ISHARES TR S&P GBL HLTHCR 464287325 3085 51316 SH SOLE 51316 0 0 ISHARES TR S&P 500 VALUE 464287408 1665 26733 SH SOLE 26733 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 1129 10457 SH SOLE 10457 0 0 ISHARES TR BARCLYS 1-3 YR 464287457 5904 69979 SH SOLE 69979 0 0 ISHARES TR MSCI EAFE INDEX 464287465 13252 264737 SH SOLE 264737 0 0 ISHARES TR RUSSELL MCP VL 464287473 917 19798 SH SOLE 19798 0 0 ISHARES TR RUSSELL MCP GR 464287481 1351 22824 SH SOLE 22824 0 0 ISHARES TR RUSSELL MIDCAP 464287499 615 5840 SH SOLE 5840 0 0 ISHARES TR CORE S&P MCP ETF 464287507 820 8705 SH SOLE 8705 0 0 ISHARES TR PHLX SOX SEMICND 464287523 537 10270 SH SOLE 10270 0 0 ISHARES TR NASDQ BIO INDX 464287556 1777 13676 SH SOLE 13676 0 0 ISHARES TR COHEN&ST RLTY 464287564 1867 23740 SH SOLE 23740 0 0 ISHARES TR S&P GLB100INDX 464287572 1510 25588 SH SOLE 25588 0 0 ISHARES TR RUSSELL1000VAL 464287598 8494 124502 SH SOLE 124502 0 0 ISHARES TR S&P MC 400 GRW 464287606 1032 9746 SH SOLE 9746 0 0 ISHARES TR RUSSELL1000GRW 464287614 8733 138119 SH SOLE 138119 0 0 ISHARES TR RUSSELL 1000 464287622 382 5082 SH SOLE 5082 0 0 ISHARES TR RUSL 2000 VALU 464287630 715 10163 SH SOLE 10163 0 0 ISHARES TR RUSL 2000 GROW 464287648 519 5672 SH SOLE 5672 0 0 ISHARES TR RUSSELL 2000 464287655 4622 56243 SH SOLE 56243 0 0 ISHARES TR DJ US UTILS 464287697 669 7599 SH SOLE 7599 0 0 ISHARES TR S&P MIDCP VALU 464287705 402 4929 SH SOLE 4929 0 0 ISHARES TR DJ US TECH SEC 464287721 5029 70598 SH SOLE 70598 0 0 ISHARES TR DJ US REAL EST 464287739 583 9122 SH SOLE 9122 0 0 ISHARES TR DJ US HEALTHCR 464287762 339 4255 SH SOLE 4255 0 0 ISHARES TR CORE S&P SCP ETF 464287804 831 11342 SH SOLE 11342 0 0 ISHARES TR S&P EURO PLUS 464287861 209 6212 SH SOLE 6212 0 0 ISHARES TR S&PCITI1-3YRTB 464288125 268 2835 SH SOLE 2835 0 0 ISHARES TR S&P SH NTL AMTFR 464288158 1119 10471 SH SOLE 10471 0 0 ISHARES TR MSCI SMALL CAP 464288273 285 7890 SH SOLE 7890 0 0 ISHARES TR JPMORGAN USD 464288281 1435 12485 SH SOLE 12485 0 0 ISHARES TR S&P NTL AMTFREE 464288414 1269 11532 SH SOLE 11532 0 0 ISHARES TR HIGH YLD CORP 464288513 8735 95688 SH SOLE 95688 0 0 ISHARES TR MRTG PLS CAP IDX 464288539 564 39742 SH SOLE 39742 0 0 ISHARES TR BARCLYS MBS BD 464288588 820 7559 SH SOLE 7559 0 0 ISHARES TR BARCLYS INTER GV 464288612 639 5697 SH SOLE 5697 0 0 ISHARES TR BARCLYS INTER CR 464288638 3010 27535 SH SOLE 27535 0 0 ISHARES TR BARCLYS 1-3YR CR 464288646 3223 30782 SH SOLE 30782 0 0 ISHARES TR BARCLYS 3-7 YR 464288661 232 1884 SH SOLE 1884 0 0 ISHARES TR BARCLYS SH TREA 464288679 5018 45528 SH SOLE 45528 0 0 ISHARES TR US PFD STK IDX 464288687 2036 52169 SH SOLE 52169 0 0 ISHARES TR RSSL MCRCP IDX 464288869 690 13794 SH SOLE 13794 0 0 ISHARES TR MSCI VAL IDX 464288877 276 6499 SH SOLE 6499 0 0 ISHARES TR MSCI GRW IDX 464288885 734 13699 SH SOLE 13699 0 0 IVANHOE ENERGY INC COM 465790103 5 10000 SH SOLE 10000 0 0 JACOBS ENGR GROUP INC DEL COM 469814107 1581 41625 SH SOLE 41625 0 0 JANUS CAP GROUP INC COM 47102X105 281 33001 SH SOLE 33001 0 0 JARDEN CORP COM 471109108 520 12393 SH SOLE 12393 0 0 JDS UNIPHASE CORP COM PAR $0.001 46612J507 352 26292 SH SOLE 26292 0 0 JEFFERIES GROUP INC NEW COM 472319102 349 20433 SH SOLE 20433 0 0 JETBLUE AIRWAYS CORP COM 477143101 89 15725 SH SOLE 15725 0 0 JOHNSON & JOHNSON COM 478160104 19760 288810 SH SOLE 288000 0 810 JOHNSON CTLS INC COM 478366107 2186 76350 SH SOLE 76350 0 0 JOY GLOBAL INC COM 481165108 1026 17961 SH SOLE 17961 0 0 JPMORGAN CHASE & CO COM 46625H100 12939 336855 SH SOLE 336855 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 98 10000 SH SOLE 10000 0 0 JUNIPER NETWORKS INC COM 48203R104 449 24360 SH SOLE 24360 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 8092 97061 SH SOLE 97061 0 0 KAPSTONE PAPER & PACKAGING C COM 48562P103 344 15500 SH SOLE 15500 0 0 KAYDON CORP COM 486587108 446 20000 SH SOLE 20000 0 0 KAYNE ANDERSON ENERGY DEV CO COM 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RAYONIER INC COM 754907103 277 5444 SH SOLE 5444 0 0 RAYTHEON CO COM NEW 755111507 646 11363 SH SOLE 11363 0 0 REALNETWORKS INC COM NEW 75605L708 78 10273 SH SOLE 10273 0 0 REALTY INCOME CORP COM 756109104 2376 56872 SH SOLE 56872 0 0 RED LION HOTELS CORP COM 756764106 1552 196700 SH SOLE 196700 0 0 REGAL BELOIT CORP COM 758750103 243 3802 SH SOLE 3802 0 0 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 1813 78088 SH SOLE 78088 0 0 REGENERON PHARMACEUTICALS COM 75886F107 1338 11716 SH SOLE 11716 0 0 REGIONS FINL CORP NEW COM 7591EP100 890 126058 SH SOLE 126058 0 0 RENREN INC SPONSORED ADR 759892102 55 12321 SH SOLE 12321 0 0 RESEARCH IN MOTION LTD COM 760975102 837 75172 SH SOLE 75172 0 0 RESOLUTE ENERGY CORP COM 76116A108 276 34000 SH SOLE 34000 0 0 REXAHN PHARMACEUTICALS INC COM 761640101 10 30000 SH SOLE 30000 0 0 REYNOLDS AMERICAN INC COM 761713106 1908 42543 SH SOLE 42543 0 0 RF MICRODEVICES INC COM 749941100 230 53200 SH SOLE 53200 0 0 RIO TINTO PLC SPONSORED ADR 767204100 596 11409 SH SOLE 11409 0 0 ROBBINS & MYERS INC COM 770196103 2031 34166 SH SOLE 34166 0 0 ROGERS COMMUNICATIONS INC CL B 775109200 2663 58510 SH SOLE 58510 0 0 ROSS STORES INC COM 778296103 222 3794 SH SOLE 3794 0 0 ROVI CORP COM 779376102 1748 89115 SH SOLE 79867 0 9248 ROWAN COMPANIES PLC SHS CL A G7665A101 696 21530 SH SOLE 21530 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 230 3245 SH SOLE 3245 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 7451 109298 SH SOLE 109298 0 0 RPC INC COM 749660106 228 18636 SH SOLE 18636 0 0 RPM INTL INC COM 749685103 203 7470 SH SOLE 7470 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT 78355W106 808 16307 SH SOLE 16307 0 0 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 213 14415 SH SOLE 14415 0 0 SAN JUAN BASIN RTY TR UNIT BEN INT 798241105 514 37900 SH SOLE 37900 0 0 SANDISK CORP COM 80004C101 523 13316 SH SOLE 13316 0 0 SANDRIDGE ENERGY INC COM 80007P307 809 124700 SH SOLE 124700 0 0 SANDRIDGE PERMIAN TR COM UNIT BEN INT 80007A102 1982 108331 SH SOLE 108331 0 0 SANOFI SPONSORED ADR 80105N105 1357 35406 SH SOLE 35406 0 0 SANOFI RIGHT 12/31/2020 80105N113 41 28213 SH SOLE 25924 0 2289 SCANA CORP NEW COM 80589M102 1175 24603 SH SOLE 24603 0 0 SCHLUMBERGER LTD COM 806857108 6281 92751 SH SOLE 92751 0 0 SCHWAB CHARLES CORP NEW COM 808513105 227 17571 SH SOLE 17571 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 1320 47193 SH SOLE 47193 0 0 SEATTLE GENETICS INC COM 812578102 347 13660 SH SOLE 13660 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 935 24605 SH SOLE 24605 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1101 31652 SH SOLE 31652 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 5844 133481 SH SOLE 133481 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 927 13944 SH SOLE 13944 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3346 217133 SH SOLE 217133 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 229 6416 SH SOLE 6416 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1568 54565 SH SOLE 54565 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2455 66364 SH SOLE 66364 0 0 SEMPRA ENERGY COM 816851109 609 8795 SH SOLE 8795 0 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 436 19519 SH SOLE 19519 0 0 SEQUENOM INC COM NEW 817337405 56 13909 SH SOLE 13909 0 0 SHANGPHARMA CORP SPONSORED ADR 81943P104 122 17905 SH SOLE 17905 0 0 SHAW GROUP INC COM 820280105 728 15654 SH SOLE 15654 0 0 SHERWIN WILLIAMS CO COM 824348106 689 4989 SH SOLE 4989 0 0 SHORETEL INC COM 825211105 64 15001 SH SOLE 15001 0 0 SIEMENS A G SPONSORED ADR 826197501 1128 12159 SH SOLE 12159 0 0 SINGAPORE FD INC COM 82929L109 411 32730 SH SOLE 32730 0 0 SIRIUS XM RADIO INC COM 82967N108 2810 1518009 SH SOLE 1518009 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 385 7100 SH SOLE 7100 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 1181 48648 SH SOLE 48648 0 0 SMITHFIELD FOODS INC COM 832248108 662 30624 SH SOLE 30074 0 550 SMUCKER J M CO COM NEW 832696405 256 3350 SH SOLE 3350 0 0 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 534 11986 SH SOLE 11986 0 0 SOLARWINDS INC COM 83416B109 1411 32390 SH SOLE 32390 0 0 SOUTH JERSEY INDS INC COM 838518108 339 6650 SH SOLE 6650 0 0 SOUTHERN CO COM 842587107 2607 57314 SH SOLE 57314 0 0 SOUTHERN COPPER CORP COM 84265V105 2102 66499 SH SOLE 66499 0 0 SOUTHSIDE BANCSHARES INC COM 84470P109 970 46044 SH SOLE 46044 0 0 SOUTHWEST AIRLS CO COM 844741108 674 65928 SH SOLE 65928 0 0 SOUTHWEST GAS CORP COM 844895102 203 4696 SH SOLE 4696 0 0 SOUTHWESTERN ENERGY CO COM 845467109 295 8850 SH SOLE 8850 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 1121 8711 SH SOLE 8711 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 22105 142248 SH SOLE 141663 0 585 SPDR S&P 500 ETF TR TR UNIT 78462F103 33960 247720 SH SOLE 247720 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 10800 61573 SH SOLE 61573 0 0 SPDR SERIES TRUST BRC CNV SECS ETF 78464A359 1252 33335 SH SOLE 33335 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 2305 58414 SH SOLE 58414 0 0 SPDR SERIES TRUST NUVN BR SHT MUNI 78464A425 818 33465 SH SOLE 33465 0 0 SPDR SERIES TRUST DB INT GVT ETF 78464A490 278 4717 SH SOLE 4717 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 8260 139685 SH SOLE 139685 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 3572 49001 SH SOLE 49001 0 0 SPDR SERIES TRUST BARCLYS TIPS ETF 78464A656 4628 77650 SH SOLE 77650 0 0 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 2058 44935 SH SOLE 44935 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 982 35871 SH SOLE 35871 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1020 18241 SH SOLE 18241 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 260 10023 SH SOLE 10023 0 0 SPECTRA ENERGY CORP COM 847560109 7622 263159 SH SOLE 250294 0 12865 SPIRIT AEROSYSTEMS HLDGS INC COM CL A 848574109 355 20910 SH SOLE 20910 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 678 142048 SH SOLE 141848 0 200 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 708 49800 SH SOLE 49800 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 193 16000 SH SOLE 16000 0 0 STANLEY BLACK & DECKER INC COM 854502101 753 10588 SH SOLE 10588 0 0 STAPLES INC COM 855030102 1137 87534 SH SOLE 87534 0 0 STAR SCIENTIFIC INC COM 85517P101 56 21000 SH SOLE 21000 0 0 STARBUCKS CORP COM 855244109 4034 75520 SH SOLE 75520 0 0 STARWOOD HOTELS&RESORTS WRLD COM 85590A401 272 5104 SH SOLE 5104 0 0 STARWOOD PPTY TR INC COM 85571B105 724 33940 SH SOLE 33940 0 0 STATOIL ASA SPONSORED ADR 85771P102 4968 208170 SH SOLE 195510 0 12660 STERICYCLE INC COM 858912108 1136 12389 SH SOLE 12389 0 0 STONEMOR PARTNERS L P COM UNITS 86183Q100 239 9392 SH SOLE 9392 0 0 STRYKER CORP COM 863667101 3996 72610 SH SOLE 72610 0 0 STURM RUGER & CO INC COM 864159108 388 9661 SH SOLE 9361 0 300 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 847 21777 SH SOLE 21777 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 119 17856 SH SOLE 17856 0 0 SUNCOKE ENERGY INC COM 86722A103 245 16750 SH SOLE 16750 0 0 SUNCOR ENERGY INC NEW COM 867224107 700 23354 SH SOLE 23354 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 826 16653 SH SOLE 16653 0 0 SUNTRUST BKS INC COM 867914103 301 12441 SH SOLE 12441 0 0 SUPER MICRO COMPUTER INC COM 86800U104 943 92420 SH SOLE 92420 0 0 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 155 19326 SH SOLE 19326 0 0 SYNGENTA AG SPONSORED ADR 87160A100 272 3620 SH SOLE 3620 0 0 SYNOPSYS INC COM 871607107 393 13381 SH SOLE 13031 0 350 SYNOVUS FINL CORP COM 87161C105 59 24000 SH SOLE 24000 0 0 SYSCO CORP COM 871829107 376 12113 SH SOLE 12113 0 0 SYSWIN INC SPONSORED ADR 872058102 23 14600 SH SOLE 14600 0 0 TAIWAN FD INC COM 874036106 416 25893 SH SOLE 25893 0 0 TARGET CORP COM 87612E106 4667 80168 SH SOLE 80168 0 0 TASEKO MINES LTD COM 876511106 117 39000 SH SOLE 39000 0 0 TCF FINL CORP COM 872275102 252 21938 SH SOLE 21938 0 0 TCP CAP CORP COM 87238Q103 380 26300 SH SOLE 26300 0 0 TE CONNECTIVITY LTD REG SHS H84989104 896 24975 SH SOLE 24975 0 0 TELEFONICA S A SPONSORED ADR 879382208 1158 87066 SH SOLE 87066 0 0 TEMPUR PEDIC INTL INC COM 88023U101 918 39241 SH SOLE 39241 0 0 TEREX CORP NEW COM 880779103 1034 48214 SH SOLE 48214 0 0 TERRA NITROGEN CO L P COM UNIT 881005201 551 2601 SH SOLE 2601 0 0 TESORO CORP COM 881609101 1138 29059 SH SOLE 29059 0 0 TESORO LOGISTICS LP COM UNIT LP 88160T107 751 21716 SH SOLE 21716 0 0 TEUCRIUM COMMODITY TR CORN FD SHS 88166A102 266 6000 SH SOLE 6000 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3583 92789 SH SOLE 92789 0 0 TEXAS CAPITAL BANCSHARES INC COM 88224Q107 638 15801 SH SOLE 15801 0 0 TEXAS INSTRS INC COM 882508104 857 29036 SH SOLE 29036 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 4210 69883 SH SOLE 69883 0 0 TIBCO SOFTWARE INC COM 88632Q103 244 8166 SH SOLE 8166 0 0 TICC CAPITAL CORP COM 87244T109 145 14773 SH SOLE 14773 0 0 TIFFANY & CO NEW COM 886547108 5770 101402 SH SOLE 101402 0 0 TIME WARNER INC COM NEW 887317303 352 8374 SH SOLE 8374 0 0 TITAN INTL INC ILL COM 88830M102 5436 249936 SH SOLE 249936 0 0 TIVO INC COM 888706108 271 26000 SH SOLE 26000 0 0 TORTOISE ENERGY CAP CORP COM 89147U100 2112 74496 SH SOLE 74496 0 0 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 2843 74722 SH SOLE 74722 0 0 TORTOISE MLP FD INC COM 89148B101 977 39765 SH SOLE 39765 0 0 TORTOISE PIPELINE & ENERGY F COM 89148H108 2560 105080 SH SOLE 105080 0 0 TOTAL S A SPONSORED ADR 89151E109 1604 33503 SH SOLE 33503 0 0 TOWERSTREAM CORP COM 892000100 71 20314 SH SOLE 20314 0 0 TOYOTA MOTOR CORP SP ADR REP2COM 892331307 884 10739 SH SOLE 10739 0 0 TRACTOR SUPPLY CO COM 892356106 2192 26387 SH SOLE 26387 0 0 TRANSATLANTIC PETROLEUM LTD SHS G89982105 66 60887 SH SOLE 60887 0 0 TRANSCANADA CORP COM 89353D107 452 9565 SH SOLE 9565 0 0 TRANSOCEAN LTD REG SHS H8817H100 1906 42667 SH SOLE 42667 0 0 TRANSWITCH CORP COM NEW 894065309 44 49114 SH SOLE 49114 0 0 TRAVELERS COMPANIES INC COM 89417E109 942 13564 SH SOLE 13564 0 0 TRIMBLE NAVIGATION LTD COM 896239100 488 10599 SH SOLE 10599 0 0 TUPPERWARE BRANDS CORP COM 899896104 383 7006 SH SOLE 7006 0 0 TWO HBRS INVT CORP COM 90187B101 113 10700 SH SOLE 10700 0 0 TYCO INTERNATIONAL LTD SHS H89128104 765 21232 SH SOLE 21232 0 0 U S G CORP COM NEW 903293405 316 16616 SH SOLE 16616 0 0 UBIQUITI NETWORKS INC COM 90347A100 492 34532 SH SOLE 34532 0 0 ULTA SALON COSMETCS & FRAG I COM 90384S303 607 6496 SH SOLE 6496 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 52 10500 SH SOLE 10500 0 0 UMB FINL CORP COM 902788108 5172 118022 SH SOLE 118022 0 0 UNILEVER N V N Y SHS NEW 904784709 1540 45690 SH SOLE 45690 0 0 UNILEVER PLC SPON ADR NEW 904767704 1279 35426 SH SOLE 35426 0 0 UNION PAC CORP COM 907818108 2216 18304 SH SOLE 18304 0 0 UNITED CMNTY FINL CORP OHIO COM 909839102 87 30000 SH SOLE 30000 0 0 UNITED CONTL HLDGS INC COM 910047109 4927 210642 SH SOLE 210642 0 0 UNITED PARCEL SERVICE INC CL B 911312106 3192 40851 SH SOLE 40851 0 0 UNITED RENTALS INC COM 911363109 576 16819 SH SOLE 16819 0 0 UNITED STATES STL CORP NEW COM 912909108 278 13209 SH SOLE 13209 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3621 47354 SH SOLE 47354 0 0 UNITEDHEALTH GROUP INC COM 91324P102 714 12227 SH SOLE 12227 0 0 UNITIL CORP COM 913259107 761 29300 SH SOLE 29300 0 0 UNIVERSAL DISPLAY CORP COM 91347P105 1736 48301 SH SOLE 43611 0 4690 UNIVERSAL HEALTH RLTY INCM T SH BEN INT 91359E105 366 7338 SH SOLE 7338 0 0 UNWIRED PLANET INC NEW COM 91531F103 248 206726 SH SOLE 206726 0 0 URANIUM RES INC COM PAR $0.001 916901507 10 30000 SH SOLE 30000 0 0 URS CORP NEW COM 903236107 1621 41316 SH SOLE 41316 0 0 US BANCORP DEL COM NEW 902973304 2844 88609 SH SOLE 88609 0 0 V F CORP COM 918204108 4111 30716 SH SOLE 30716 0 0 VALE S A ADR 91912E105 1132 56047 SH SOLE 56047 0 0 VALERO ENERGY CORP NEW COM 91913Y100 3167 106425 SH SOLE 106425 0 0 VALLEY NATL BANCORP COM 919794107 193 18211 SH SOLE 18211 0 0 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 1325 16337 SH SOLE 16337 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 14219 168507 SH SOLE 168507 0 0 VANGUARD INDEX FDS REIT ETF 922908553 3459 52861 SH SOLE 52861 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 326 3890 SH SOLE 3890 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 2820 41342 SH SOLE 41342 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 803 10404 SH SOLE 10404 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 714 11505 SH SOLE 11505 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 504 8934 SH SOLE 8934 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2688 39518 SH SOLE 39518 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1670 21958 SH SOLE 21958 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 271 3883 SH SOLE 3883 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 13853 342993 SH SOLE 342993 0 0 VANGUARD NATURAL RESOURCES L COM UNIT 92205F106 366 14087 SH SOLE 14087 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 5891 103682 SH SOLE 103682 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 5955 123749 SH SOLE 123749 0 0 VANGUARD WORLD FD MEGA CAP INDEX 921910873 673 14379 SH SOLE 14379 0 0 VANGUARD WORLD FDS INDUSTRIAL ETF 92204A603 445 6683 SH SOLE 6683 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 369 5375 SH SOLE 5375 0 0 VARIAN MED SYS INC COM 92220P105 1081 16830 SH SOLE 16830 0 0 VECTOR GROUP LTD COM 92240M108 188 11056 SH SOLE 11056 0 0 VERISK ANALYTICS INC CL A 92345Y106 266 5395 SH SOLE 5395 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 14059 319620 SH SOLE 319620 0 0 VIACOM INC NEW CL B 92553P201 389 8259 SH SOLE 8259 0 0 VIEWPOINT FINL GROUP INC MD COM 92672A101 372 23830 SH SOLE 23430 0 400 VIRTUALSCOPICS INC COM 928269109 62 107700 SH SOLE 107700 0 0 VISA INC COM CL A 92826C839 3535 27868 SH SOLE 27868 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 319 33800 SH SOLE 33800 0 0 VISTA GOLD CORP COM NEW 927926303 81 30000 SH SOLE 30000 0 0 VISTEON CORP COM NEW 92839U206 5364 99670 SH SOLE 99670 0 0 VMWARE INC CL A COM 928563402 316 3431 SH SOLE 3431 0 0 VOC ENERGY TR TR UNIT 91829B103 165 11861 SH SOLE 11861 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 3342 128353 SH SOLE 128353 0 0 VRINGO INC COM 92911N104 39 10000 SH SOLE 10000 0 0 WABASH NATL CORP COM 929566107 196 21816 SH SOLE 21816 0 0 WABTEC CORP COM 929740108 206 2500 SH SOLE 2500 0 0 WALGREEN CO COM 931422109 2264 75230 SH SOLE 75230 0 0 WAL-MART STORES INC COM 931142103 6286 90767 SH SOLE 90767 0 0 WALTER ENERGY INC COM 93317Q105 952 25251 SH SOLE 25251 0 0 WARNACO GROUP INC COM NEW 934390402 592 8271 SH SOLE 8271 0 0 WARREN RES INC COM 93564A100 286 107139 SH SOLE 107139 0 0 WASTE MGMT INC DEL COM 94106L109 7241 216707 SH SOLE 205437 0 11270 WATSON PHARMACEUTICALS INC COM 942683103 1570 21228 SH SOLE 21103 0 125 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 4652 409011 SH SOLE 409011 0 0 WELLPOINT INC COM 94973V107 919 14404 SH SOLE 14404 0 0 WELLS FARGO & CO NEW COM 949746101 4985 147214 SH SOLE 147214 0 0 WELLS FARGO ADVANTAGE INCOME COM SHS 94987B105 422 41920 SH SOLE 41920 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 202 13222 SH SOLE 13222 0 0 WENDYS CO COM 95058W100 65 13935 SH SOLE 13935 0 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 1010 20000 SH SOLE 20000 0 0 WESTAR ENERGY INC COM 95709T100 1047 36600 SH SOLE 36600 0 0 WESTELL TECHNOLOGIES INC CL A 957541105 36 15000 SH SOLE 15000 0 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 1108 53412 SH SOLE 53412 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 234 15449 SH SOLE 15449 0 0 WESTERN ASSET MGD HI INCM FD COM 95766L107 165 26093 SH SOLE 26093 0 0 WESTERN ASSET PREMIER BD FD SHS BEN INT 957664105 191 12301 SH SOLE 12301 0 0 WESTERN UN CO COM 959802109 444 28220 SH SOLE 28220 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 827 22720 SH SOLE 22340 0 380 WEYERHAEUSER CO COM 962166104 1779 78251 SH SOLE 78251 0 0 WHITING PETE CORP NEW COM 966387102 1359 32121 SH SOLE 30621 0 1500 WILLIAMS COS INC DEL COM 969457100 1346 42078 SH SOLE 42078 0 0 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 629 12190 SH SOLE 12190 0 0 WINDSTREAM CORP COM 97381W104 539 63348 SH SOLE 63348 0 0 WISDOMTREE TRUST EMERG MKTS ETF 97717W315 2188 42153 SH SOLE 42153 0 0 WISDOMTREE TRUST INDIA ERNGS FD 97717W422 542 31108 SH SOLE 31108 0 0 WPX ENERGY INC COM 98212B103 2899 194576 SH SOLE 194576 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 337 6382 SH SOLE 6382 0 0 WYNN RESORTS LTD COM 983134107 1678 16170 SH SOLE 16170 0 0 XCEL ENERGY INC COM 98389B100 1828 65482 SH SOLE 65482 0 0 XEROX CORP COM 984121103 917 123895 SH SOLE 123895 0 0 XINYUAN REAL ESTATE CO LTD SPONS ADR 98417P105 36 10000 SH SOLE 10000 0 0 XYLEM INC COM 98419M100 284 10615 SH SOLE 10615 0 0 YAHOO INC COM 984332106 905 51488 SH SOLE 51488 0 0 YAMANA GOLD INC COM 98462Y100 412 24970 SH SOLE 24970 0 0 YM BIOSCIENCES INC COM 984238105 207 100500 SH SOLE 100500 0 0 YUM BRANDS INC COM 988498101 896 13765 SH SOLE 13765 0 0 ZIMMER HLDGS INC COM 98956P102 432 6595 SH SOLE 6595 0 0 ZUMIEZ INC COM 989817101 230 5811 SH SOLE 5811 0 0 ZYNGA INC CL A 98986T108 238 45585 SH SOLE 45585 0 0