13F-HR 1 inftable.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 23F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: Sept 30, 2010 Check Here if Amendment [ ] This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Hollencrest Securities LLC Address: 100 Bayview Circle Suite 500 Newport Beach, CA 92660 13F File Number: 801-55904 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Peter J. Pellizzon Title: Managing Director Phone: 949-823-7723 Signature: Place: and Date of Signing: Peter J. Pellizzon Los Angeles, California October 27, 2010 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 303 Form 13F Information Table Value Total: $298,716 ($1,000s) List of Other Included Managers: 0 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMAZON.COM INC COM COM 023135106 1049 6682 SH SOLE 6682 AMERICAN EXPRESS CO COM COM 025816109 254 6040 SH SOLE 6040 AMGEN INCCOM COM 031162100 242 4397 SH SOLE 288 4109 AMPHENOL CORP NEW CL A COM 032095101 1009 20600 SH SOLE 20600 APPLE INC COM 1047 3690 SH SOLE 550 3140 ARCSIGHT INC COM 039666102 544 12500 SH SOLE 12500 ARENA PHARMACEUTICALS COM 040047102 29 18700 SH SOLE 7000 11700 AVT INC COM 002422103 9 10072 SH SOLE 10072 Advanced Micro Devices Inc Com COM 007903107 139 19502 SH SOLE 2441 17061 BALSAM VENTURES INC NEW COM 058820200 1 12000 SH SOLE 12000 BANK OF AMERICA CORP COM 060505104 691 52772 SH SOLE 5495 47277 BERKSHIRE HATHAWAY B NEW CLASS COM 084670702 15854 191750 SH SOLE 2700 189050 Bank 1440 Peoria Ariz Com COM 062199104 63 24407 SH SOLE 24407 Bionovo Inc. COM 16 10000 SH SOLE 10000 Brocade Communications Sys Inc COM 111621108 58 10001 SH SOLE 10001 CALIFORNIA REPUBLIC BK NEWPORT COM 130569106 481 55000 SH SOLE 55000 CATERPILLAR INC COM 236 3000 SH SOLE 3000 CHEVRON CORPORATION COM 166764100 404 4986 SH SOLE 4436 550 CHINA TRAVEL INTERNATIONAL INV COM y1507d100 5 20000 SH SOLE 20000 CISCO SYSTEMS INC COM 567 25873 SH SOLE 5420 20453 CITIGROUP INC COM COM 172967101 1087 278734 SH SOLE 107818 170916 CLEAN ENERGY FUELS CORP COM 184499101 151 10660 SH SOLE 10660 COCA COLA CO COM 191216100 348 5946 SH SOLE 5721 225 COSTCO WHSL CORP NEW COM 22160k105 216 3353 SH SOLE 1400 1953 CYCLONE POWER TECHNOLOGIES INC COM 23254w104 2 20000 SH SOLE 20000 Cic Energy Corp COM g2136r106 141 24255 SH SOLE 24255 Conographic Corp Calif Restr COM 0 11000 SH SOLE 11000 Cvb Financial Corp COM 126600105 116 15402 SH SOLE 15402 DEI HOLDINGS INC COM 23319e107 35 64517 SH SOLE 64517 EVERGREEN ENERGY INC NEW COM 30024b203 34 25250 SH SOLE 947 24303 EXXON MOBIL CORPORATION COM 30231g102 1333 21569 SH SOLE 2900 18669 FIDELITY NATL INFORMATION SVCS COM 31620M106 1281 47212 SH SOLE 47212 FORD MOTOR COMPANY NEW COM 829 67741 SH SOLE 36727 31014 Fidelity National Financial In COM 316326107 3752 238826 SH SOLE 238826 GEELY AUTOMOBILE HOLDINGSLIMIT COM g3777b103 25 50000 SH SOLE 50000 GENERAL ELECTRIC COMPANY COM 369604103 1316 80971 SH SOLE 26488 54483 GOOGLE INC CLASS A COM 382 726 SH SOLE 196 530 GREEN PLANET GROUP INC COM 393225107 1 40000 SH SOLE 40000 Gsi Commerce Inc Com COM 36238G102 203 8200 SH SOLE 8200 H E R C Products Inc COM 404165102 0 10000 SH SOLE 10000 HERBALIFE LTD COMMON STOCK COM g4412g101 5117 84791 SH SOLE 78966 5825 INSMED INC NEW COM 457669208 11 15000 SH SOLE 15000 INTEL CORP COM 458140100 478 24894 SH SOLE 2237 22657 INTL BUSINESS MACHINES COM 459200101 2344 17477 SH SOLE 17477 INTUITIVE SURGICAL NEW COM 437 1540 SH SOLE 1400 140 Identive Group Inc COM 25 14000 SH SOLE 14000 JANUS CAPITAL GROUP INC COM 47102x105 2190 200000 SH SOLE 200000 JOHNSON & JOHNSON COM 478160104 244 3942 SH SOLE 1620 2322 JONES LANG LASALLE INC COM COM 48020Q107 751 8700 SH SOLE 8700 Javo Beverage Company Inc COM 47189r104 15 245000 SH SOLE 245000 LAKES ENTERTAINMENT INC COM 51206p109 17 10000 SH SOLE 10000 LARGO VISTA GROUP LTD COM 517104105 0 100000 SH SOLE 100000 LAS VEGAS SANDS CORPCOM COM 517834107 457 13100 SH SOLE 13100 LIGHTWAVE LOGIC INC COM 532275104 12 10000 SH SOLE 10000 Leisure Canada Inc COM 524911104 2 10000 SH SOLE 10000 MANULIFE FINANCIAL CORP COM 56501r106 710 56178 SH SOLE 56178 MCAFEE INC COM 579064106 256 5415 SH SOLE 5415 MERCK & CO INC NEW COM 392 10650 SH SOLE 1050 9600 MICROSOFT CORP COM 594918104 1624 66328 SH SOLE 2791 63537 MOTOROLA INC COM 620076109 281 33000 SH SOLE 3000 30000 Metro-Goldwyn-Mayer Inc New COM 591610100 137 12170 SH SOLE 12170 North American Pallidum Compan COM 170 41100 SH SOLE 41100 Ntm Inc COM 629408105 0 30000 SH SOLE 30000 ORACLE CORPORATION COM 68389x105 1477 55000 SH SOLE 4450 50550 PACWEST BANCORP COM 695263103 574 30133 SH SOLE 30133 PFIZER INCORPORATED COM 717081103 174 10151 SH SOLE 1400 8751 PHILIP MORRIS INTL INC COM 718172109 7460 133159 SH SOLE 132892 267 PROCTER & GAMBLE COM 742718109 989 16494 SH SOLE 510 15984 Pinetree Capital Corp New COM 723330106 21 11700 SH SOLE 11700 Rite Aid Corp Com COM 767754104 14 15000 SH SOLE 2690 12310 SALESFORCE COM INCCOM COM 79466L302 447 4000 SH SOLE 4000 SEAGATE TECHNOLOGY PLC F COM g7945m107 356 30225 SH SOLE 11765 18460 SIGNATURE GROUP HOLDINGS COM 82670c100 13 19028 SH SOLE 11000 8028 SIRIUS XM RADIO INC COM 82966U103 44 36990 SH SOLE 790 36200 SOUTHWEST CASINO CORPORATION COM 84479v107 0 10000 SH SOLE 10000 SPECTRUM PHARMACEUTICALS INC COM 84763a108 42 10000 SH SOLE 10000 SRI/SURGICAL EXPRESS INC COM 78464w104 87 30000 SH SOLE 30000 STILLWATER MINING CO COM 86074q102 547 32500 SH SOLE 32500 TEXAS INSTRUMENTS INC COM 882508104 209 7690 SH SOLE 2215 5475 TRANSWORLD BENEFITS INTERNATIO COM 894073105 0 104000 SH SOLE 104000 TRAVELSTAR INC COM 89421l107 0 81000 SH SOLE 81000 TYSON FOODS INC CL A COM 902494103 320 20000 SH SOLE 20000 Tenneco Inc COM 880349105 427 14750 SH SOLE 14750 Transition Therapeutics Inc Ne COM 893716209 367 118002 SH SOLE 118002 U S BANCORP DEL NEW COM 2725 126020 SH SOLE 126020 UNITED PARCEL SERVICE B CLASS COM 911312106 15786 236700 SH SOLE 50000 186700 UNITED STATES STL CORP NEW COM 912909108 355 8100 SH SOLE 8100 UNITEDHEALTH GROUP INC COM 91324p102 202 5742 SH SOLE 5302 440 VISA INC CL A COMMON STOCK COM 92826c839 1827 24600 SH SOLE 3600 21000 Volcano Corp COM 928645100 1039 40000 SH SOLE 40000 WAL-MART STORES INC COM 931142103 885 16536 SH SOLE 11900 4636 WASHINGTON MUTUAL INC COM wamuq 3 15000 SH SOLE 15000 ALLIANZ SE SPONSORED ADR REPST ADR 018805101 340 30000 SH SOLE 30000 Alcatel-Lucent Sponsored Adr ADR 40 11866 SH SOLE 11866 BAIDU INC SPONSORED ADR REPSTG ADR 056752108 200 1950 SH SOLE 404 1546 BHP BILLITON LTD ADR F SPONSOR ADR 088606108 4387 57477 SH SOLE 57477 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 336 24500 SH SOLE 24500 LLOYDS BANKING GROUP PLC SPONS ADR 539439109 92 20000 SH SOLE 20000 PETROLEO BRASILEIRO SA PETROBR ADR 71654v408 246 6780 SH SOLE 6580 200 TAIWAN SEMICONDUCTOR MFG CO LT ADR 874039100 4705 464047 SH SOLE 464047 BARCLAYS BANK IPATH ETN DJ UBS INDEX CEF 560 13235 SH SOLE 13235 BLDRS EMERGING MKTS 50 ADR IND INDEX CEF 09348r300 471 10445 SH SOLE 5485 4960 ISHARES MSCI AUS IDX FD AUSTRA INDEX CEF 464286103 2242 94449 SH SOLE 88524 5925 ISHARES MSCI CDA IDX FD CANADA INDEX CEF 488 17424 SH SOLE 17424 ISHARES MSCI EMRG MKT FD EMERG INDEX CEF 464287234 607 13560 SH SOLE 9290 4270 ISHARES MSCI KOREA IDX KOREA I INDEX CEF 464286772 630 11770 SH SOLE 11770 ISHARES MSCI MALAYSIA MALAYSIA INDEX CEF 464286830 729 53052 SH SOLE 48952 4100 ISHARES MSCI SINGAPORE SINGAPO INDEX CEF 464286673 710 53712 SH SOLE 49912 3800 ISHARES MSCI THAI INDEX THAILA INDEX CEF 387 6237 SH SOLE 6237 ISHARES OIL & GAS EXPL INDEX F INDEX CEF 464288851 1028 19800 SH SOLE 14700 5100 ISHARES RUSSELL MIDCAP GROWTH INDEX CEF 464287481 643 12912 SH SOLE 12912 ISHARES S&P 500 GROWTH S&P 500 INDEX CEF 464287309 1349 22728 SH SOLE 18811 3917 ISHARES S&P 500 VALUE S&P 500 INDEX CEF 464287408 659 12150 SH SOLE 8410 3740 ISHARES S&P MIDCAP 400 GROWTH INDEX CEF 464287606 2062 23414 SH SOLE 17774 5640 ISHARES S&P MIDCAP 400 VALUE I INDEX CEF 464287705 680 9565 SH SOLE 6775 2790 ISHARES TR DOW JONES SEL DIVID INDEX CEF 464287168 686 14642 SH SOLE 14048 594 ISHARES TR MSCI EAFE FD MSCI E INDEX CEF 464287465 1531 27879 SH SOLE 24652 3227 ISHARES TR RUSSELL 1000 RUSSEL INDEX CEF 464287614 2451 47719 SH SOLE 37759 9960 ISHARES TR RUSSELL 2000 RUSSEL INDEX CEF 464287655 410 6071 SH SOLE 3166 2905 ISHARES TR RUSSELL 3000 RUSSEL INDEX CEF 464287689 365 5415 SH SOLE 5415 ISHARES TR RUSSELL MIDCAP INDE INDEX CEF 464287499 1910 21138 SH SOLE 21138 ISHARES TR S&P LATN AMER S&P L INDEX CEF 464287390 1581 31277 SH SOLE 28197 3080 ISHARES TRUST DOW JONES US REA INDEX CEF 464287739 540 10210 SH SOLE 10210 ISHARES TRUST RUSSELL 2000 GRO INDEX CEF 464287648 449 6001 SH SOLE 3259 2742 ISHARES TRUST RUSSELL 3000 GRO INDEX CEF 464287671 2330 55538 SH SOLE 54538 1000 ISHARES TRUST S&P 500 S&P 500 INDEX CEF 464287200 3021 26384 SH SOLE 26334 50 MARKET VECTORS ETF TRUST INDON INDEX CEF 1784 20600 SH SOLE 20600 MARKET VECTORS ETF VIETNAM INDEX CEF 450 18400 SH SOLE 18400 POWERSHS DB COMMDTY INDX INDEX CEF 73935s105 864 35855 SH SOLE 32965 2890 POWERSHS QQQ TRUST SER 1 INDEX CEF 73935a104 616 12551 SH SOLE 3662 8889 S P D R S&P 500 ETF TR EXPIRIN INDEX CEF 78462f103 3049 26712 SH SOLE 21164 5548 SECTOR SPDR TECH SELECT SHARES INDEX CEF 81369y803 943 40965 SH SOLE 40965 SECTOR SPDR TRUST SHS BEN INT INDEX CEF 81369y704 765 24470 SH SOLE 15410 9060 SPDR INDEX SHS FDS SPDR DOW JO INDEX CEF 78463x863 350 9097 SH SOLE 8092 1005 SPDR KBW INSURANCE ETF INDEX CEF 78464a789 251 6350 SH SOLE 6350 SPDR S&P MIDCAP 400 ETF INDEX CEF 1533 10533 SH SOLE 10533 SPDR SER TR S&P HOMEBUILDERS E INDEX CEF 78464a888 476 30100 SH SOLE 30000 100 VANGUARD MID CAP GROWTH INDEX CEF 922908538 265 4890 SH SOLE 4890 VANGUARD TOTAL STOCK MKT INDEX CEF 922908769 894 15308 SH SOLE 13758 1550 WISDOMTREE INDIA EARNING INDEX CEF 668 25334 SH SOLE 25334 ISHARES IBOXX INVESTOP IBOXX $ ETF 464287242 19762 174744 SH SOLE 171297 3447 ISHARES S&P U S PFD FUND S&P U ETF 464288687 2360 59331 SH SOLE 56731 2600 ISHARES TR BARCLAYS BOND BARCL ETF 464288646 530 5050 SH SOLE 3150 1900 ISHARES TR BARCLAYS BOND BARCL ETF 464287457 412 4885 SH SOLE 4515 370 ISHARES TR BARCLAYS BOND BARCL ETF 464288638 400 3700 SH SOLE 3700 ISHARES TR BARCLAYS FUND BARCL ETF 464287226 2509 23096 SH SOLE 21016 2080 ISHARES TRUST ETF JP MORGAN US ETF 521 4678 SH SOLE 4678 ISHARES TRUST IBOXX $ HIGH YIE ETF 464288513 2443 27243 SH SOLE 13485 13758 ISHARES TRUST ISHARES BARCLAYS ETF 464287176 1314 12046 SH SOLE 12046 POWERSHARES GLOBAL EXCHANGE TR ETF 73936t474 663 26950 SH SOLE 26950 POWERSHS EXCH TRAD FD TR EMERG ETF 73936t573 576 20665 SH SOLE 20665 POWERSHS EXCH TRAD FD TR POWER ETF 73935x229 2006 110235 SH SOLE 89905 20330 SPDR BARCLAYS CAPITAL HIGH YIE ETF 78464a417 4176 104374 SH SOLE 67845 36529 SPDR NUVEEN BARCLAYS CAP MUNIC ETF 78464a458 591 25100 SH SOLE 25100 SPDR SERIES TRUST SPDR BRCLYS ETF 78464a516 578 9644 SH SOLE 8344 1300 SPDR GOLD TRUST SPDR GOLD SHAR COMMODITY FUND 78463V107 2024 15820 SH SOLE 6090 9730 ENBRIDGE ENERGY PARTNERS L P LP 29250r106 288 5150 SH SOLE 300 4850 GOLDEN GATE CAP OPPTNTY FD LP LP 999193816 3388 3115596 SH SOLE 3115596 POPE RESOURCES DEPOSITARY RECE LP 732857107 1022 37163 SH SOLE 37163 Riverside Foxmoor Associates LP 0 85953 SH SOLE 85953 Smith Barney Aaa Energy Future LP 208 50 SH SOLE 50 AEGON N V 6.375% PERP CAPITAL PFD 007924301 386 16500 SH SOLE 16500 AEGON NV PFD n00927348 247 10000 SH SOLE 10000 ALLIANZ SE 8.375% UNDATED SUBO PFD 018805200 272 10000 SH SOLE 10000 Amplimed Series B Preferred PFD 29 17059 SH SOLE 17059 BAC CAPITAL TRUST I 7.00% TR P PFD 055187207 368 14700 SH SOLE 1000 13700 BAC CAPITAL TRUST III 7% TRUST PFD 05518e202 201 8000 SH SOLE 8000 BAC CAPITAL TRUST IV PFD ST PFD 055185201 765 32000 SH SOLE 12000 20000 BAC CAPITAL TRUST XII 6.875% C PFD 05633t209 585 23250 SH SOLE 7000 16250 BANC OF AMERICA CORP PFD 060505559 210 8000 SH SOLE 8000 BARCLAYS BANK PLC PFD 06739h362 280 10792 SH SOLE 10792 Bank of America Dep Sh Repstg PFD 915 35100 SH SOLE 29100 6000 CAPITAL ONE CAPITAL II PFD 14041L204 203 8058 SH SOLE 8058 CITIGROUP CAPITAL VII 7.125 TR PFD 17306n203 527 21260 SH SOLE 21260 CITIGROUP CAPITAL VIII 6.95% T PFD 17306r204 638 26300 SH SOLE 1000 25300 CITIGROUP CAPITAL XV PFD 17310g202 249 10526 SH SOLE 10526 COBANK ACB PERP PFD SER B %144 PFD 19075Q300 438 9750 SH SOLE 9750 COUNTRYWIDE CAPITAL V GTD TRUS PFD 222388209 234 9500 SH SOLE 9500 DEUTSCHE BANK CONTINGENT CAP T PFD 25154a108 218 8213 SH SOLE 8213 FARM CR BK TEX PERP NON CUMULA PFD 30767e307 2200 2100 SH SOLE 2100 FLEET CAPITAL TRUST IX 6.00% T PFD 33889y201 227 9482 SH SOLE 9482 FLEET CAPITAL TRUST VIIIDEF IN PFD 33889x203 1068 42701 SH SOLE 29766 12935 GABELLI GLOBAL DEAL FUND(THE) PFD 36245g202 1348 25663 SH SOLE 18263 7400 GABELLI GLOBAL DEAL PFDA PFD S PFD 361 6870 SH SOLE 6870 GEORGIA POWER CO PFD 373334119 212 2000 SH SOLE 2000 GOLDMAN SACHS GP DEP SHS PERPE PFD 213 10000 SH SOLE 10000 GOLDMAN SACHS GROUP INC (THE) PFD 38143y665 504 23700 SH SOLE 17500 6200 GOLDMAN SACHS GROUP INC 6.20% PFD 38144x500 656 26104 SH SOLE 12604 13500 GOLDMAN SACHS GROUP INC DEP SH PFD 38144x609 245 11100 SH SOLE 6100 5000 GOLDMAN SACHS GROUP INC DEP SH PFD 38144g804 325 15200 SH SOLE 11000 4200 GOLDMAN SACHS SER D PFD DEP SH PFD 321 15000 SH SOLE 15000 ING GROEP N V 8.50% ING PERPET PFD 456837806 380 14614 SH SOLE 14614 ING GROEP N V PREF CTF 7.3750% PFD 456837707 387 15959 SH SOLE 15959 KEYCORP CAPITAL X 8 % ENHANCED PFD 49327r103 426 16724 SH SOLE 16724 MBNA CAPITAL D 8.125% PFD DUE PFD 55266j200 453 17893 SH SOLE 14643 3250 MBNA CAPITAL SERIES E 8.10% TR PFD 55270b201 643 25260 SH SOLE 16410 8850 METLIFE INC SER B PFD 59156r603 212 8596 SH SOLE 8596 MORGAN STANLEY CAP TR VIII GTD PFD 61753r200 301 12140 SH SOLE 8300 3840 NATIONAL CITY CAP 8.0%47 CAP T PFD 399 15000 SH SOLE 15000 PPL ELECTRIC UTILITIES CORP PFD 69351u863 299 12000 SH SOLE 12000 Principal Finl Group Inc Pfd S PFD 319 3750 SH SOLE 3750 Security Etch Intl Sr-B Red/Cv PFD 0 20000 SH SOLE 20000 TABERNA PFD FDG I LTD PFD SHS PFD 87330l200 0 500000 SH SOLE 500000 psus404280802 PFD 219 8129 SH SOLE 8129 HARRIS PFD CAP CORPPFD EXCHANG CONV 414567206 311 12265 SH SOLE 12265 BLACKRCK MUNIHLDGS FD II NON-TAX CEF 09253p109 191 12020 SH SOLE 12020 BLACKROCK CA MUN INCM TR CALIF NON-TAX CEF 09248e102 302 20303 SH SOLE 14583 5720 BLACKROCK MUNIHOLDINGS CALIF I NON-TAX CEF 09254l107 1089 75910 SH SOLE 11810 64100 BLACKROCK MUNIVEST FD II NON-TAX CEF 09253t101 256 16300 SH SOLE 15100 1200 BLKRCK MUNIHLDGS INSD FD NON-TAX CEF 09254p108 573 39190 SH SOLE 39190 BLKRCK MUNIHLDGS INSD II NON-TAX CEF 09254c107 293 20265 SH SOLE 20265 BLKRCK MUNIYIELD CA INSD NON-TAX CEF 09254n103 1913 133317 SH SOLE 40100 93217 BLKRCK MUNIYIELD CAL FD NON-TAX CEF 09254m105 1229 83637 SH SOLE 8290 75347 CALIF MUNI INCOME FUND CALIFOR NON-TAX CEF 1037 71240 SH SOLE 7900 63340 DREYFUS STRATEGIC MUN BD FUND NON-TAX CEF 116 13253 SH SOLE 11253 2000 DREYFUS STRATEGIC MUNS NON-TAX CEF 181 20100 SH SOLE 20100 INVESCO INSURED MUNI TR SBI NON-TAX CEF 46132w103 170 11200 SH SOLE 11200 INVESCO VAN KAMPEN CALIFORNIA NON-TAX CEF 46132h106 838 62556 SH SOLE 62556 NUV CAL MNY M OPP FD INC NON-TAX CEF 67062u107 310 21600 SH SOLE 1900 19700 NUVEEN CA DIV ADV MUN FD NON-TAX CEF 67066y105 299 21300 SH SOLE 10400 10900 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67069x104 691 47298 SH SOLE 6373 40925 NUVEEN CALIFORNIA DIVIDEND ADV NON-TAX CEF 67070y109 370 27550 SH SOLE 4900 22650 NUVEEN CALIFORNIA INVESTMENT Q NON-TAX CEF 67062a101 497 34820 SH SOLE 20300 14520 NUVEEN CALIFORNIA PERFORMANCE NON-TAX CEF 67062q106 657 46300 SH SOLE 12400 33900 NUVEEN CALIFORNIA PREMIUM INCO NON-TAX CEF 6706l0102 356 25600 SH SOLE 25600 NUVEEN CALIFORNIA QUALITY INCO NON-TAX CEF 670985100 1155 75980 SH SOLE 19490 56490 NUVEEN CALIFORNIA SELECT QUALI NON-TAX CEF 670975101 685 46523 SH SOLE 13523 33000 NUVEEN DIVID AD MUN FD 2 NON-TAX CEF 192 12920 SH SOLE 11870 1050 NUVEEN MUNICIPAL MARKET OPPORT NON-TAX CEF 67062w103 153 10250 SH SOLE 6750 3500 NUVEEN PERFORMANCE PLUS MUNI F NON-TAX CEF 67062p108 184 12000 SH SOLE 12000 PUTNAM MANAGED MUNI INCM SHS B NON-TAX CEF 746823103 186 23900 SH SOLE 23900 PUTNAM MUNICIPAL OPPORTUNITIES NON-TAX CEF 746922103 208 17000 SH SOLE 17000 Pimco Ca Muni Inc Fd Com NON-TAX CEF 72200N106 181 12723 SH SOLE 12723 Pimco California Municipal Inc NON-TAX CEF 72201c109 145 14000 SH SOLE 14000 Pimco Municipal Inc Fd Com NON-TAX CEF 72200R107 262 18500 SH SOLE 18500 Convertible Promissory Note #1 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 Convertible Promissory Note #2 CONV RUBIN-CP- 250 250000 PRN SOLE 250000 MEDTRONIC INC SR NT CONV CONV 585055al0 300 300000 PRN SOLE 300000 METLIFE CAP TR IV EXCH 144A7.8 CONV 591560AA5 1575 1500000 PRN SOLE 1500000 ABERDEEN ASIA PAC INCM TAXABLE CEF 10011 1438408 SH SOLE 2400 1436008 ALLIANCEBERNSTEIN INCM TAXABLE CEF 01881e101 2017 240672 SH SOLE 153554 87118 CALAMOS CONV & HIGH INCOME FD TAXABLE CEF 12811p108 677 52475 SH SOLE 52475 CALAMOS CONVERTIBLE OPPORTUNIT TAXABLE CEF 128117108 770 59890 SH SOLE 32222 27668 EATON VANCE LTD DURATION INCOM TAXABLE CEF 27828h105 3128 190508 SH SOLE 122000 68508 FRANKLIN TEMPLETON LIMITED DUR TAXABLE CEF 35472t101 317 23738 SH SOLE 15721 8017 GLOBAL HIGH INCOME FUND INC TAXABLE CEF 37933g108 641 45218 SH SOLE 7800 37418 HANCOCK JOHN INCM SECS TRUST TAXABLE CEF 410123103 674 44802 SH SOLE 43787 1015 HANCOCK JOHN INVESTRS TR TAXABLE CEF 410142103 307 13817 SH SOLE 13817 HARTFORD INCOME SHS FUND TAXABLE CEF 416537108 123 20627 SH SOLE 20627 HELIOS STRATEGIC MORTGAGE INCO TAXABLE CEF 42327m109 407 64336 SH SOLE 14336 50000 HELIOS TOTAL RETURN FUND TAXABLE CEF 220 37941 SH SOLE 37941 HIGHLAND CREDIT STRATEGIES FUN TAXABLE CEF 43005q107 168 22948 SH SOLE 20072 2876 INVESCO VAN KAMPEN DYNAMIC FUN TAXABLE CEF 46132r104 152 12739 SH SOLE 12739 M S EMERGING MKTS DEBT TAXABLE CEF 1714 100238 SH SOLE 23415 76823 MFS MULTI MKT INC TRUST SH BEN TAXABLE CEF 552737108 412 59220 SH SOLE 57120 2100 NUVEEN FLOATING RATE INCOME OP TAXABLE CEF 6706en100 1312 114600 SH SOLE 103630 10970 NUVEEN FLTG RATE INCM FD TAXABLE CEF 67072t108 1082 97450 SH SOLE 94050 3400 NUVEEN GOVT INCOME FUND TAXABLE CEF 67090n109 370 25113 SH SOLE 22173 2940 NUVEEN MULTI STRAT INCM TAXABLE CEF 67073b106 112 13360 SH SOLE 13360 NUVEEN MULTI STRAT INCM TAXABLE CEF 189 21352 SH SOLE 18852 2500 NUVEEN QUALITY PFD INCOME FD 2 TAXABLE CEF 67072c105 209 24283 SH SOLE 20883 3400 NUVEEN QUALITY PFD INCOME FUND TAXABLE CEF 67071s101 108 13357 SH SOLE 13357 NUVEEN QUALITY PREFERRED INCOM TAXABLE CEF 67072w101 111 13100 SH SOLE 13100 PIMCO CORPORATE OPPTY FD TAXABLE CEF 2803 159642 SH SOLE 42175 117467 PIMCO INCOME OPPTY FUND TAXABLE CEF 72202b100 4099 154869 SH SOLE 50268 104601 PIMCO INCOME STRA FD II TAXABLE CEF 72201j104 3326 329995 SH SOLE 137660 192335 PIMCO INCOME STRATEGY FD TAXABLE CEF 72201h108 2081 174414 SH SOLE 100693 73721 PIONEER FLOATING RATE TR TAXABLE CEF 72369j102 318 26193 SH SOLE 26193 PUTNAM MASTER INTERM SBI INCOM TAXABLE CEF 105 16676 SH SOLE 16676 PUTNAM PREMIER INC TR SH BEN I TAXABLE CEF 746853100 645 95121 SH SOLE 84621 10500 STRATEGIC GLOBAL INCM FD TAXABLE CEF 862719101 475 40404 SH SOLE 30504 9900 TEMPLETON GLOBAL INCOME FUND TAXABLE CEF 880198106 3689 341920 SH SOLE 341920 VANGUARD BOND INDEX FUND SHORT TAXABLE CEF 921937827 330 4040 SH SOLE 2240 1800 WELLS FARGO ADV INCOME OPPORTU TAXABLE CEF 94987b105 575 56032 SH SOLE 29181 26851 WELLS FARGO ADV MULTI SECTOR I TAXABLE CEF 94987d101 1567 97640 SH SOLE 77941 19699 WESTERN ASSET GLOBAL PARTNERS TAXABLE CEF 95766g108 218 16880 SH SOLE 16880 WESTERN ASSET PREMIER FD TAXABLE CEF 957664105 1192 79474 SH SOLE 70644 8830 WESTERN ASSET/CLAYMORE INFLATI TAXABLE CEF 95766r104 456 36111 SH SOLE 31881 4230 WESTRN ASSET GLOBAL HIGH INCOM TAXABLE CEF 95766b109 221 17367 SH SOLE 17367 WESTRN ASSET WRLDWD INCM TAXABLE CEF 957668106 148 10668 SH SOLE 10668 WSTRN ASSET EMERGNG MKTS EMERG TAXABLE CEF 95766a101 843 44226 SH SOLE 34786 9440 Western Asset Emerging Mkts In TAXABLE CEF 95766f100 140 10250 SH SOLE 6650 3600 AGIC GLOBAL EQUITY & CONV INCO CEFS 00119r108 402 26080 SH SOLE 26080 ALPINE TOTAL DYNAMIC DIVIDEND CEFS 021060108 371 68121 SH SOLE 59321 8800 BLACKROCK CREDIT ALLOCATION IN CEFS 092508100 493 37583 SH SOLE 37583 BLACKROCK STRATEGIC DIVIDEND A CEFS 09249y107 648 66426 SH SOLE 62999 3427 CALAMOS GLOBAL INCOME FD CEFS 107 13166 SH SOLE 13166 CALAMOS STRGC TOT RET FD CEFS 209 23752 SH SOLE 22487 1265 CLOUGH GLOBAL ALLOCATION FD CEFS 18913y103 190 12743 SH SOLE 12743 CLOUGH GLOBAL EQUITY FD CEFS 18914c100 180 12668 SH SOLE 12668 CLOUGH GLOBAL OPPORTUNITIES FD CEFS 18914e106 212 16753 SH SOLE 16753 EATON VANCE TAX MANAGED DIVERS CEFS 27828n102 198 17000 SH SOLE 17000 EATON VANCE TAX-MANAGED GLOBAL CEFS 27829c105 606 47116 SH SOLE 47116 LIBERTY ALL-STAR EQUITY FUND S CEFS 530158104 204 46216 SH SOLE 46216 NUVEEN DIVERSFD DIVID FD CEFS 229 20858 SH SOLE 16458 4400 TEMPLETON DRAGON FUND INC NEW CEFS 88018t101 12258 423996 SH SOLE 423996 POWERSHARES EXCH TRAD FD BUILD ETF 73937b407 8811 328752 SH SOLE 283577 45175 PROSHARES ULTRA BASIC MATERIAL ETFS 74347r776 1240 35000 SH SOLE 35000 EATON VANCE TAX ADVANTAGED DIV CEFS 27828g107 960 61056 SH SOLE 8600 52456 EATON VANCE TAX ADVANTAGED GLO CEFS 27828s101 911 64876 SH SOLE 10000 54876 EATON VANCE TAX-ADVANTAGED GLO CEFS 27828u106 772 39300 SH SOLE 7000 32300 GABELLI EQUITY TRUST INC CEFS 362397101 1229 244350 SH SOLE 5000 239350 ALPINE GLOBAL PREMIER FD REIT CEF 02083a103 582 87986 SH SOLE 87986