0001415889-18-001213.txt : 20180806 0001415889-18-001213.hdr.sgml : 20180806 20180806130626 ACCESSION NUMBER: 0001415889-18-001213 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180806 DATE AS OF CHANGE: 20180806 EFFECTIVENESS DATE: 20180806 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Sonora Investment Management, LLC CENTRAL INDEX KEY: 0001418539 IRS NUMBER: 205656392 STATE OF INCORPORATION: AZ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17012 FILM NUMBER: 18994199 BUSINESS ADDRESS: STREET 1: 2343 E BROADWAY BLVD, STE 116 CITY: TUCSON STATE: AZ ZIP: 85719 BUSINESS PHONE: (520) 624-4554 MAIL ADDRESS: STREET 1: 2343 E BROADWAY BLVD, STE 116 CITY: TUCSON STATE: AZ ZIP: 85719 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001418539 XXXXXXXX 06-30-2018 06-30-2018 SONORA INVESTMENT MANAGEMENT, LLC

2343 E BROADWAY BLVD, STE 116 TUCSON AZ 85719

13F HOLDINGS REPORT 028-17012 N Sara S. Ramos 520-624-4554 Sara S. 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345370860 31 2787 SH SOLE 2787 0 0 Convertible/ 345370CR9 15 15000 SH SOLE 15000 0 0 Convertible/ 345397VM2 14 13000 SH SOLE 13000 0 0 Equities 34959J108 23 300 SH SOLE 300 0 0 Equities 354613101 2 50 SH SOLE 50 0 0 Convertible/ 3137EACA5 21 21000 SH SOLE 21000 0 0 Equities 35671D857 15 877 SH SOLE 877 0 0 Convertible/ 358240FC8 52 40000 SH SOLE 40000 0 0 Equities 35906A306 0 7 SH SOLE 7 0 0 Convertible/ 34681MMG8 15 15000 SH SOLE 15000 0 0 Convertible/ 347753CR4 106 100000 SH SOLE 100000 0 0 Equities 35952H106 0 50 SH SOLE 50 0 0 Equities 36164V305 0 10 SH SOLE 10 0 0 Convertible/ 364760AK4 16945 16175000 SH SOLE 16175000 0 0 PFDs, REITs, G37585117 11 400 SH SOLE 400 0 0 PFDs, REITs, Y2687W108 48 2000 SH SOLE 2000 0 0 PFDs, REITs, Y2687W116 13 500 SH SOLE 500 0 0 Equities 369550108 9 50 SH SOLE 50 0 0 Equities 369604103 223 16383 SH SOLE 16383 0 0 Convertible/ 36962G4D3 9 9000 SH SOLE 9000 0 0 Equities 370334104 1690 38176 SH SOLE 38176 0 0 Equities 370373102 67 162807 SH SOLE 162807 0 0 Equities 370442105 4 95 SH SOLE 95 0 0 Equities 37045V126 1 57 SH SOLE 57 0 0 PFDs, REITs, 370ESCBW4 0 15000 SH SOLE 15000 0 0 PFDs, REITs, 370ESC9S6 0 15000 SH SOLE 15000 0 0 Equities 372309104 3 400 SH SOLE 400 0 0 Equities 372460105 16 176 SH SOLE 176 0 0 Convertible/ 373334KH3 19 20000 SH SOLE 20000 0 0 Convertible/ 373384PL4 26 25000 SH SOLE 25000 0 0 Equities 375558103 56 791 SH SOLE 791 0 0 PFDs, REITs, 376536603 23 900 SH SOLE 900 0 0 PFDs, REITs, 376546404 14 550 SH SOLE 550 0 0 Equities 37733W105 11 275 SH SOLE 275 0 0 PFDs, REITs, G3933F139 15 600 SH SOLE 600 0 0 PFDs, REITs, G3933F121 6 250 SH SOLE 250 0 0 PFDs, REITs, 37954A204 18 2000 SH SOLE 2000 0 0 PFDs, REITs, 379378300 15 600 SH SOLE 600 0 0 PFDs, REITs, 379378102 1080 52882 SH SOLE 52882 0 0 PFDs, REITs, 361860208 8 300 SH SOLE 300 0 0 Equities 38045R107 0 20 SH SOLE 20 0 0 Equities 380956409 3 200 SH SOLE 200 0 0 Equities 38079K101 0 4000 SH SOLE 4000 0 0 PFDs, REITs, 38148B108 5 178 SH SOLE 178 0 0 PFDs, REITs, 38145G308 336 12982 SH SOLE 12982 0 0 Convertible/ 38141GGS7 53 50000 SH SOLE 50000 0 0 Convertible/ 38141E2V0 22 20000 SH SOLE 20000 0 0 Convertible/ 38141ED48 27 25000 SH SOLE 25000 0 0 Convertible/ 38141EM63 42 40000 SH SOLE 40000 0 0 Convertible/ 38143VAA7 58 50000 SH SOLE 50000 0 0 Convertible/ 38141GWN0 687 685000 SH SOLE 685000 0 0 Convertible/ 38141GWU4 2301 2310000 SH SOLE 2310000 0 0 Convertible/ 38145GAF7 4989 4935000 SH SOLE 4935000 0 0 Equities 38141G104 181 822 SH SOLE 822 0 0 PFDs, REITs, 38148B504 831 31195 SH SOLE 31195 0 0 Equities 382550101 18 775 SH SOLE 775 0 0 PFDs, REITs, 38376A103 8 500 SH SOLE 500 0 0 Equities 387328107 153 2750 SH SOLE 2750 0 0 PFDs, REITs, 38741L107 99 5410 SH SOLE 5410 0 0 Convertible/ 385493EU1 15 15000 SH SOLE 15000 0 0 Equities 393036108 0 165 SH SOLE 165 0 0 Convertible/ 362320BA0 12 10000 SH SOLE 10000 0 0 Equities 40171V100 4 50 SH SOLE 50 0 0 Convertible/ 40171VAA8 5348 5265000 SH SOLE 5265000 0 0 Convertible/ 402892CV3 87 75000 SH SOLE 75000 0 0 Equities 36197T103 4 32 SH SOLE 32 0 0 Equities 40449J103 2 200 SH SOLE 200 0 0 Equities 410345102 3 136 SH SOLE 136 0 0 PFDs, REITs, 410867204 13 500 SH SOLE 500 0 0 Equities 412822108 38 900 SH SOLE 900 0 0 Convertible/ 414005QD3 17 15000 SH SOLE 15000 0 0 PFDs, REITs, 416518504 3 104 SH SOLE 104 0 0 Convertible/ 416518AB4 53 50000 SH SOLE 50000 0 0 Equities 418056107 3 30 SH SOLE 30 0 0 Equities 419870100 17 500 SH SOLE 500 0 0 PFDs, REITs, 40414L109 94 3643 SH SOLE 3643 0 0 PFDs, REITs, 421946104 643 22105 SH SOLE 22105 0 0 Equities 81369Y209 27 325 SH SOLE 325 0 0 Equities 423452101 6 100 SH SOLE 100 0 0 PFDs, REITs, 427096862 4 162 SH SOLE 162 0 0 Equities 42727E107 0 50 SH SOLE 50 0 0 Convertible/ 42824CAN9 56 55000 SH SOLE 55000 0 0 Convertible/ 428236BQ5 26 25000 SH SOLE 25000 0 0 Convertible/ 428236BV4 16 15000 SH SOLE 15000 0 0 PFDs, REITs, 431284108 15 297 SH SOLE 297 0 0 PFDs, REITs, Y3262R118 13 500 SH SOLE 500 0 0 PFDs, REITs, 435763107 21 750 SH SOLE 750 0 0 Equities 436440101 40 1000 SH SOLE 1000 0 0 Equities 437076102 5622 28814 SH SOLE 28814 0 0 Convertible/ 43739QAB6 9 10000 SH SOLE 10000 0 0 Equities 438128308 4 140 SH SOLE 140 0 0 Equities 438516106 307 2128 SH SOLE 2128 0 0 PFDs, REITs, 44106M102 2080 72705 SH SOLE 72705 0 0 Convertible/ 44106MAQ5 262 255000 SH SOLE 255000 0 0 Equities 428236103 4 187 SH SOLE 187 0 0 Equities 40434H104 11 3500 SH SOLE 3500 0 0 Equities 444859102 155 522 SH SOLE 522 0 0 Equities 446413106 3 12 SH SOLE 12 0 0 Equities 447011107 2613 89474 SH SOLE 89474 0 0 Convertible/ 448055AF0 7 7000 SH SOLE 7000 0 0 Convertible/ 44835EDE5 27 25000 SH SOLE 25000 0 0 Convertible/ 448579AD4 2788 2665000 SH SOLE 2665000 0 0 Equities 448954206 0 13 SH SOLE 13 0 0 Equities G47567105 4 71 SH SOLE 71 0 0 Equities 452308109 21 150 SH SOLE 150 0 0 Equities 45253H101 1 55 SH SOLE 55 0 0 Convertible/ 455057XG9 10 10000 SH SOLE 10000 0 0 Equities Q48886107 6 1500 SH SOLE 1500 0 0 PFDs, REITs, 45378A106 21 2000 SH SOLE 2000 0 0 Equities 45378C102 0 62 SH SOLE 62 0 0 Convertible/ 45385LHC0 50 50000 SH SOLE 50000 0 0 PFDs, REITs, 456237106 111 4950 SH SOLE 4950 0 0 Convertible/ 45687AAJ1 26 25000 SH SOLE 25000 0 0 Equities G4766G101 18 200 SH SOLE 200 0 0 PFDs, REITs, 45822P204 7 267 SH SOLE 267 0 0 Equities 458140100 6133 123369 SH SOLE 123369 0 0 Convertible/ 458140AU4 19 20000 SH SOLE 20000 0 0 Equities 45865V100 10 140 SH SOLE 140 0 0 Convertible/ 460690BH2 50 50000 SH SOLE 50000 0 0 Equities 459200101 23 167 SH SOLE 167 0 0 Equities 459902102 1 28 SH SOLE 28 0 0 Equities 460146103 75 1447 SH SOLE 1447 0 0 Equities 46122T102 4 300 SH SOLE 300 0 0 Equities 46132E107 145 13603 SH SOLE 13603 0 0 Equities G491BT108 2 65 SH SOLE 65 0 0 PFDs, REITs, 46131B100 368 23115 SH SOLE 23115 0 0 PFDs, REITs, 46131B209 5 200 SH SOLE 200 0 0 PFDs, REITs, 46131B407 4 150 SH SOLE 150 0 0 Equities 46137V357 58 565 SH SOLE 565 0 0 Equities 46138E153 100 781 SH SOLE 781 0 0 Equities 46131M106 183 14828 SH SOLE 14828 0 0 Equities 46187W107 74 3228 SH SOLE 3228 0 0 Convertible/ 464337AJ3 17016 17387000 SH SOLE 17387000 0 0 Equities 462222100 4923 118152 SH SOLE 118152 0 0 Equities 06738C786 9 1000 SH SOLE 1000 0 0 Equities 44980X109 456 2065 SH SOLE 2065 0 0 Equities 46267X108 16 500 SH SOLE 500 0 0 PFDs, REITs, 46284V101 172 4925 SH SOLE 4925 0 0 Convertible/ 46360TDV2 25 25000 SH SOLE 25000 0 0 Convertible/ 463831KM8 10 10000 SH SOLE 10000 0 0 Equities 464287200 193 706 SH SOLE 706 0 0 Equities 464287309 108 666 SH SOLE 666 0 0 Equities 464287507 193 992 SH SOLE 992 0 0 Equities 464288208 22 119 SH SOLE 119 0 0 Equities 464288273 8 124 SH SOLE 124 0 0 Equities 464287234 3 60 SH SOLE 60 0 0 Equities 464287622 8 52 SH SOLE 52 0 0 Equities 464287630 67 410 SH SOLE 410 0 0 Equities 464287630 25 187 SH SOLE 187 0 0 Equities 464287481 35 280 SH SOLE 280 0 0 Equities 464288679 21 190 SH SOLE 190 0 0 Equities 46428Q109 20 1300 SH SOLE 1300 0 0 Equities 464287465 3 48 SH SOLE 48 0 0 Equities 47215P106 16 400 SH SOLE 400 0 0 Convertible/ 46613C2F1 11 10000 SH SOLE 10000 0 0 Equities 478160104 6387 52640 SH SOLE 52640 0 0 Convertible/ 478375AG3 54 55000 SH SOLE 55000 0 0 Equities 478366107 183 5482 SH SOLE 5482 0 0 PFDs, REITs, 46637G124 6 227 SH SOLE 227 0 0 PFDs, REITs, 481246700 3 127 SH SOLE 127 0 0 PFDs, REITs, 48127A161 4 155 SH SOLE 155 0 0 PFDs, REITs, 48127X542 1040 39455 SH SOLE 39455 0 0 Equities 46625H100 455 4367 SH SOLE 4367 0 0 Convertible/ 46625HJY7 59 60000 SH SOLE 60000 0 0 Convertible/ 46625HKK5 122 120000 SH SOLE 120000 0 0 PFDs, REITs, 48127R461 9 333 SH SOLE 333 0 0 Convertible/ 48203RAG9 6083 5985000 SH SOLE 5985000 0 0 Convertible/ 48203RAH7 896 900000 SH SOLE 900000 0 0 Equities 485170302 7 67 SH SOLE 67 0 0 Equities 48238T109 2 39 SH SOLE 39 0 0 Equities 48576U106 20 1200 SH SOLE 1200 0 0 Equities 48660Q102 2 109 SH SOLE 109 0 0 Equities 486606106 9 497 SH SOLE 497 0 0 Equities 48241F104 1 16 SH SOLE 16 0 0 Convertible/ 488764TW1 15 15000 SH SOLE 15000 0 0 Equities 493267108 42 2127 SH SOLE 2127 0 0 Equities J32491102 2 4 SH SOLE 4 0 0 Equities 49338L103 7 126 SH SOLE 126 0 0 Equities 494368103 4479 42520 SH SOLE 42520 0 0 Convertible/ 494368AS2 71 60000 SH SOLE 60000 0 0 Equities 49446R109 7 406 SH SOLE 406 0 0 PFDs, REITs, 49446R745 1 46 SH SOLE 46 0 0 PFDs, REITs, 49456B200 3 100 SH SOLE 100 0 0 Equities 49456B101 984 55715 SH SOLE 55715 0 0 Convertible/ 482480AC4 752 750000 SH SOLE 750000 0 0 Equities 482480100 109 1066 SH SOLE 1066 0 0 Convertible/ 498531FE7 11 10000 SH SOLE 10000 0 0 Equities 499064103 21 550 SH SOLE 550 0 0 Equities 500255104 3 40 SH SOLE 40 0 0 Equities 500458401 1 36 SH SOLE 36 0 0 Equities 500600101 15 5200 SH SOLE 5200 0 0 Equities 500754106 306 4878 SH SOLE 4878 0 0 Convertible/ 50077LAJ5 54 55000 SH SOLE 55000 0 0 Equities 501044101 7 231 SH SOLE 231 0 0 Convertible/ 532716AS6 9015 8505000 SH SOLE 8505000 0 0 Convertible/ 532716AT4 8113 7690000 SH SOLE 7690000 0 0 Equities 502424104 7 35 SH SOLE 35 0 0 Equities 50540R409 57 317 SH SOLE 317 0 0 PFDs, REITs, 505743104 70 4450 SH SOLE 4450 0 0 Equities 512807108 6 34 SH SOLE 34 0 0 Equities 513272104 35 517 SH SOLE 517 0 0 PFDs, REITs, 51508J306 7 300 SH SOLE 300 0 0 PFDs, REITs, 51508J108 136 9833 SH SOLE 9833 0 0 Equities 516806106 13 1400 SH SOLE 1400 0 0 Equities 524660107 2838 63568 SH SOLE 63568 0 0 PFDs, REITs, 05252E204 0 600 SH SOLE 600 0 0 Convertible/ 525ESCGU7 1 20000 SH SOLE 20000 0 0 Equities 524ESC100 0 1000 SH SOLE 1000 0 0 Equities 526107107 10 50 SH SOLE 50 0 0 Equities 52886N307 4 2000 SH SOLE 2000 0 0 Equities 530158104 53 8343 SH SOLE 8343 0 0 Equities 530307305 0 5 SH SOLE 5 0 0 Convertible/ 530715AJ0 18 17000 SH SOLE 17000 0 0 Equities 531229409 1 20 SH SOLE 20 0 0 Equities 531229607 2 40 SH SOLE 40 0 0 PFDs, REITs, 531172104 2 56 SH SOLE 56 0 0 Equities 538034109 4 73 SH SOLE 73 0 0 Convertible/ 538034AJ8 2071 1455000 SH SOLE 1455000 0 0 Equities 50208A102 49 3839 SH SOLE 3839 0 0 Equities 539830109 2231 7551 SH SOLE 7551 0 0 Convertible/ 539830BF5 503 510000 SH SOLE 510000 0 0 Equities 54142L109 5 50 SH SOLE 50 0 0 Convertible/ 544495WB6 54 50000 SH SOLE 50000 0 0 Convertible/ 544525RX8 6 5000 SH SOLE 5000 0 0 Convertible/ 54811GZS2 11 10000 SH SOLE 10000 0 0 Convertible/ 548661AH0 481 395000 SH SOLE 395000 0 0 Equities 548661107 74 770 SH SOLE 770 0 0 Equities 50218P107 2 100 SH SOLE 100 0 0 PFDs, REITs, 502175102 30 700 SH SOLE 700 0 0 Equities 55024U109 0 1 SH SOLE 1 0 0 Equities 55068R202 39 600 SH SOLE 600 0 0 Equities N53745100 642 5846 SH SOLE 5846 0 0 Equities 55261F104 21 125 SH SOLE 125 0 0 Convertible/ 57582NSJ5 10 10000 SH SOLE 10000 0 0 Convertible/ 576051BG0 10 10000 SH SOLE 10000 0 0 Equities 55608D101 30 1345 SH SOLE 1345 0 0 Equities 55607X108 10 240 SH SOLE 240 0 0 Convertible/ 55608BAA3 1730 1750000 SH SOLE 1750000 0 0 Convertible/ 55608BAB1 5167 5830000 SH SOLE 5830000 0 0 PFDs, REITs, 559080106 401 5804 SH SOLE 5804 0 0 Equities 560877300 2 42 SH SOLE 42 0 0 Equities 563571108 1 50 SH SOLE 50 0 0 Convertible/ 564759PS1 3 3000 SH SOLE 3000 0 0 Equities 56501R106 18 1000 SH SOLE 1000 0 0 Equities 565849106 2 100 SH SOLE 100 0 0 Equities 56585A102 10 146 SH SOLE 146 0 0 Convertible/ 566795LV0 11 10000 SH SOLE 10000 0 0 Convertible/ 567184KZ8 12 10000 SH SOLE 10000 0 0 Convertible/ 567137F25 16 15000 SH SOLE 15000 0 0 Convertible/ 571903AK9 1820 1845000 SH SOLE 1845000 0 0 Equities 571903202 30 240 SH SOLE 240 0 0 Equities 571748102 4 48 SH SOLE 48 0 0 Equities G5876H105 5 210 SH SOLE 210 0 0 Convertible/ 574599BN5 5 5000 SH SOLE 5000 0 0 Equities 57636Q104 153 780 SH SOLE 780 0 0 Convertible/ 58013MES9 59 60000 SH SOLE 60000 0 0 Equities 579780206 48 410 SH SOLE 410 0 0 Equities 580135101 275 1756 SH SOLE 1756 0 0 Convertible/ 58013MEX8 869 875000 SH SOLE 875000 0 0 Equities 58155Q103 4 30 SH SOLE 30 0 0 Equities 552690109 11 375 SH SOLE 375 0 0 PFDs, REITs, 58463J304 661 47100 SH SOLE 47100 0 0 Equities 585055106 1107 12928 SH SOLE 12928 0 0 Convertible/ 585055BS4 20 20000 SH SOLE 20000 0 0 Convertible/ 585055BJ4 672 665000 SH SOLE 665000 0 0 Equities 58733R102 15 50 SH SOLE 50 0 0 Equities 589331107 3358 55316 SH SOLE 55316 0 0 Convertible/ 59001AAN2 1379 1315000 SH SOLE 1315000 0 0 Convertible/ 59001AAQ5 8000 7442000 SH SOLE 7442000 0 0 Convertible/ 59001AAY8 1505 1490000 SH SOLE 1490000 0 0 Equities 590660106 3 215 SH SOLE 215 0 0 Equities 59156R108 10 235 SH SOLE 235 0 0 Convertible/ 592573AT6 163 155000 SH SOLE 155000 0 0 Equities 59318R103 0 5516 SH SOLE 5516 0 0 PFDs, REITs, 55303A105 5798 190362 SH SOLE 190362 0 0 Equities 552953101 3016 103886 SH SOLE 103886 0 0 Convertible/ 552953BW0 488 475000 SH SOLE 475000 0 0 Convertible/ 594615BA3 11 10000 SH SOLE 10000 0 0 Convertible/ 594185AQ3 74 65000 SH SOLE 65000 0 0 Equities 595017104 18 200 SH SOLE 200 0 0 Equities 59507Q106 0 3000 SH SOLE 3000 0 0 Equities 595112103 37 700 SH SOLE 700 0 0 Equities 594918104 13105 132896 SH SOLE 132896 0 0 Convertible/ 594918AH7 20 20000 SH SOLE 20000 0 0 Convertible/ 594918BY9 20 20000 SH SOLE 20000 0 0 Equities 594960106 4 3300 SH SOLE 3300 0 0 Equities 596278101 31 300 SH SOLE 300 0 0 PFDs, REITs, 604675991 0 374 SH SOLE 374 0 0 Equities 57060U878 126 4000 SH SOLE 4000 0 0 Convertible/ 6069017U4 10 10000 SH SOLE 10000 0 0 Convertible/ 60636WJH9 10 10000 SH SOLE 10000 0 0 Equities 60871R209 24 355 SH SOLE 355 0 0 Equities 609207105 296 7210 SH SOLE 7210 0 0 Equities 610236101 581 10000 SH SOLE 10000 0 0 Convertible/ 61212WAH8 10 10000 SH SOLE 10000 0 0 Convertible/ 61212WAK1 5 5000 SH SOLE 5000 0 0 Equities 615394202 47 600 SH SOLE 600 0 0 Convertible/ 61746BDZ6 20 20000 SH SOLE 20000 0 0 Convertible/ 61747YDU6 55 55000 SH SOLE 55000 0 0 Convertible/ 61760LFF7 13 13000 SH SOLE 13000 0 0 Equities 61945A107 1310 46686 SH SOLE 46686 0 0 Equities 620076307 24 202 SH SOLE 202 0 0 Convertible/ 606432BT8 10 10000 SH SOLE 10000 0 0 Equities 62472C102 0 400 SH SOLE 400 0 0 Convertible/ 621191BE4 5 5000 SH SOLE 5000 0 0 Equities N59465109 1 20 SH SOLE 20 0 0 Equities 628703100 0 311 SH SOLE 311 0 0 PFDs, REITs, 636220709 8 300 SH SOLE 300 0 0 PFDs, REITs, 636220857 10 400 SH SOLE 400 0 0 PFDs, REITs, 636220873 6 250 SH SOLE 250 0 0 Equities 636274300 4 80 SH SOLE 80 0 0 Convertible/ 637432LR4 8 8000 SH SOLE 8000 0 0 Equities 636180101 3 50 SH SOLE 50 0 0 PFDs, REITs, 636220808 54 2152 SH SOLE 2152 0 0 Equities 637071101 3 65 SH SOLE 65 0 0 PFDs, REITs, 637417809 2 91 SH SOLE 91 0 0 Equities 63936L100 1 35 SH SOLE 35 0 0 Convertible/ 658196PP9 6 5000 SH SOLE 5000 0 0 Convertible/ 658203X82 12 10000 SH SOLE 10000 0 0 Equities 641069406 39 500 SH SOLE 500 0 0 Equities H57312649 3 37 SH SOLE 37 0 0 Equities 64110D104 24 300 SH SOLE 300 0 0 Equities 64110L106 145 370 SH SOLE 370 0 0 Equities 64111Q104 15 240 SH SOLE 240 0 0 Equities 64125C109 10 100 SH SOLE 100 0 0 Equities 64704V106 13 721 SH SOLE 721 0 0 PFDs, REITs, 64828T102 262 15000 SH SOLE 15000 0 0 Equities 648691103 13 1666 SH SOLE 1666 0 0 PFDs, REITs, 64944P307 495 9920 SH SOLE 9920 0 0 PFDs, REITs, 649604808 24 1000 SH SOLE 1000 0 0 Convertible/ 64966LS77 11 10000 SH SOLE 10000 0 0 Equities 651639106 10 275 SH SOLE 275 0 0 Equities 65333Q202 0 1 SH SOLE 1 0 0 Equities 65339F101 170 1020 SH SOLE 1020 0 0 PFDs, REITs, 62913M206 46 1850 SH SOLE 1850 0 0 Equities 65370G109 591 98000 SH SOLE 98000 0 0 Equities 654106103 952 11945 SH SOLE 11945 0 0 Convertible/ 646136XR7 124 100000 SH SOLE 100000 0 0 Equities 655044105 14 390 SH SOLE 390 0 0 Equities 655663102 19 150 SH SOLE 150 0 0 Equities 655664100 62 1200 SH SOLE 1200 0 0 Equities 655844108 24 160 SH SOLE 160 0 0 Equities 665859104 31 300 SH SOLE 300 0 0 Convertible/ 666807BE1 378 375000 SH SOLE 375000 0 0 Equities 666807102 47 152 SH SOLE 152 0 0 Equities 66980B100 0 100 SH SOLE 100 0 0 Equities 66987V109 7 98 SH SOLE 98 0 0 Convertible/ 66988TBB8 25 25000 SH SOLE 25000 0 0 Equities K7314N152 12 250 SH SOLE 250 0 0 Convertible/ 67020YAF7 7465 7490000 SH SOLE 7490000 0 0 Convertible/ 67020YAG5 6381 6615000 SH SOLE 6615000 0 0 Convertible/ 67020YAK6 1499 1675000 SH SOLE 1675000 0 0 Equities 670346105 4 70 SH SOLE 70 0 0 Equities 67077M108 24 440 SH SOLE 440 0 0 Equities 67066V101 144 10860 SH SOLE 10860 0 0 Equities 6706ER101 8 542 SH SOLE 542 0 0 Equities 67066G104 217 915 SH SOLE 915 0 0 Convertible/ 64990EUT2 12 10000 SH SOLE 10000 0 0 Convertible/ 64990ADN2 11 10000 SH SOLE 10000 0 0 Equities 674599015 40 476 SH SOLE 476 0 0 Equities 67555N107 0 14 SH SOLE 14 0 0 Convertible/ 67766WVL3 11 10000 SH SOLE 10000 0 0 Convertible/ 677521ZJ8 11 10000 SH SOLE 10000 0 0 PFDs, REITs, 681936100 201 6490 SH SOLE 6490 0 0 Equities 681919106 3 42 SH SOLE 42 0 0 Equities 682189105 26 1188 SH SOLE 1188 0 0 Equities 682680103 7 104 SH SOLE 104 0 0 Equities 68389X105 767 17413 SH SOLE 17413 0 0 Convertible/ 68389XAS4 1328 1315000 SH SOLE 1315000 0 0 Convertible/ 68389XBK0 5 5000 SH SOLE 5000 0 0 Equities 68554V108 3 200 SH SOLE 200 0 0 Equities 68556C108 0 100000 SH SOLE 100000 0 0 Convertible/ 68641HGQ1 106 100000 SH SOLE 100000 0 0 Equities 687157107 1 8200 SH SOLE 8200 0 0 PFDs, REITs, 69007J106 39 2000 SH SOLE 2000 0 0 Equities 690732102 9 550 SH SOLE 550 0 0 PFDs, REITs, 691543508 15 600 SH SOLE 600 0 0 PFDs, REITs, 691543300 8 300 SH SOLE 300 0 0 Convertible/ 709224FX2 11 10000 SH SOLE 10000 0 0 Equities 69404A104 0 1000 SH SOLE 1000 0 0 Convertible/ 880394AE1 6 5000 SH SOLE 5000 0 0 Equities 697435105 30 146 SH SOLE 146 0 0 Equities 697900108 13 700 SH SOLE 700 0 0 Equities 698354107 1 100 SH SOLE 100 0 0 Equities 698814100 2 300 SH SOLE 300 0 0 PFDs, REITs, 700517105 61 2000 SH SOLE 2000 0 0 Equities 701094104 71 453 SH SOLE 453 0 0 Equities 70337F103 0 500 SH SOLE 500 0 0 Equities 704326107 1075 15733 SH SOLE 15733 0 0 Equities 70450Y103 31 369 SH SOLE 369 0 0 PFDs, REITs, 70509V407 6 250 SH SOLE 250 0 0 Convertible/ 708553PU0 34 30000 SH SOLE 30000 0 0 PFDs, REITs, 70931T301 23 900 SH SOLE 900 0 0 PFDs, REITs, 70931T103 152 8000 SH SOLE 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72177MMK0 10 10000 SH SOLE 10000 0 0 Convertible/ 72177LAS8 50 50000 SH SOLE 50000 0 0 Convertible/ 721876RH5 11 10000 SH SOLE 10000 0 0 Convertible/ 721799E47 21 20000 SH SOLE 20000 0 0 Convertible/ 721663ZL9 5 5000 SH SOLE 5000 0 0 Equities 72201R205 36 700 SH SOLE 700 0 0 Equities 72201H108 759 64016 SH SOLE 64016 0 0 Equities 72201J104 726 69300 SH SOLE 69300 0 0 Equities 72200W106 109 8321 SH SOLE 8321 0 0 Equities 72369J102 21 1842 SH SOLE 1842 0 0 Equities 723787107 95 500 SH SOLE 500 0 0 Equities 724479100 6 700 SH SOLE 700 0 0 Equities 69343T107 1 25 SH SOLE 25 0 0 PFDs, REITs, 726503105 61 2584 SH SOLE 2584 0 0 Convertible/ 69353RFF0 4389 4380000 SH SOLE 4380000 0 0 Convertible/ 693475AP0 20 20000 SH SOLE 20000 0 0 Equities 693475105 5773 42733 SH SOLE 42733 0 0 PFDs, REITs, 693475857 1879 68461 SH SOLE 68461 0 0 Equities 736508847 21 500 SH SOLE 500 0 0 Equities 73935X609 32 715 SH SOLE 715 0 0 Equities 73935A104 47 273 SH SOLE 273 0 0 Equities 73935X872 31 860 SH SOLE 860 0 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11848 0 0 PFDs, REITs, 902973155 1 37 SH SOLE 37 0 0 Equities 90341L102 0 40 SH SOLE 40 0 0 Equities 90341K104 0 162 SH SOLE 162 0 0 Convertible/ 917542TX0 11 10000 SH SOLE 10000 0 0 Unit Trusts 81369Y886 2 37 SH SOLE 37 0 0 Equities 91912E109 17 1350 SH SOLE 1350 0 0 Equities 91911X104 8 360 SH SOLE 360 0 0 Equities 919134304 1 55 SH SOLE 55 0 0 Equities 91913Y100 3715 33516 SH SOLE 33516 0 0 Convertible/ 91913YAR1 9644 9255000 SH SOLE 9255000 0 0 Equities 921908844 41 400 SH SOLE 400 0 0 Equities 922042858 3 66 SH SOLE 66 0 0 Equities 92204A405 34 500 SH SOLE 500 0 0 Equities 922042775 14 279 SH SOLE 279 0 0 Equities 922042874 79 1412 SH SOLE 1412 0 0 Equities 921946406 8 91 SH SOLE 91 0 0 Equities 922908512 150 1354 SH SOLE 1354 0 0 Equities 921910873 5 55 SH SOLE 55 0 0 Equities 922908538 8 60 SH SOLE 60 0 0 Equities 922908751 39 250 SH SOLE 250 0 0 Equities 922908769 135 959 SH SOLE 959 0 0 Equities 92240M108 57 2970 SH SOLE 2970 0 0 Convertible/ 92240MBC1 3881 3665000 SH SOLE 3665000 0 0 Equities 922475108 3 40 SH SOLE 40 0 0 Equities 92276M204 2 84 SH SOLE 84 0 0 PFDs, REITs, 92339V100 17 2225 SH SOLE 2225 0 0 PFDs, REITs, 92339V209 8 300 SH SOLE 300 0 0 Equities 92343X100 6 140 SH SOLE 140 0 0 Convertible/ 92343XAA8 19208 19560000 SH SOLE 19560000 0 0 Equities 92345Y106 8 72 SH SOLE 72 0 0 Equities 92343V104 3237 64338 SH SOLE 64338 0 0 PFDs, REITs, 92343V302 5 210 SH SOLE 210 0 0 Convertible/ 92343VBR4 213 200000 SH SOLE 200000 0 0 Equities 923725105 14 400 SH SOLE 400 0 0 Equities 92532F100 8 48 SH SOLE 48 0 0 Equities 918204108 60 737 SH SOLE 737 0 0 Convertible/ 92553PAT9 45 45000 SH SOLE 45000 0 0 Equities 925550105 0 7 SH SOLE 7 0 0 Equities 927320101 2 75 SH SOLE 75 0 0 Equities 92826C839 98 740 SH SOLE 740 0 0 Convertible/ 92826CAB8 10 10000 SH SOLE 10000 0 0 Equities 92851M108 0 500 SH SOLE 500 0 0 Equities 92857W209 19 800 SH SOLE 800 0 0 PFDs, REITs, 929042844 1 47 SH SOLE 47 0 0 PFDs, REITs, 939ESC968 0 3100 SH SOLE 3100 0 0 Convertible/ 9397195F3 36 35000 SH SOLE 35000 0 0 Equities 92927K102 6 50 SH SOLE 50 0 0 Equities 929740108 10 100 SH SOLE 100 0 0 Equities 931427108 124 2058 SH SOLE 2058 0 0 Equities 93148P102 33 600 SH SOLE 600 0 0 Equities 931142103 527 6155 SH SOLE 6155 0 0 Equities 254687106 279 2663 SH SOLE 2663 0 0 Convertible/ 25468PDS2 706 700000 SH SOLE 700000 0 0 Equities 94106L109 949 11664 SH SOLE 11664 0 0 Convertible/ 94106LAG4 253 205000 SH SOLE 205000 0 0 Convertible/ 94106LAY5 235 240000 SH SOLE 240000 0 0 Convertible/ 94106LAZ2 55 55000 SH SOLE 55000 0 0 Convertible/ 941660AP7 26 25000 SH SOLE 25000 0 0 Equities 942622200 2 10 SH SOLE 10 0 0 Convertible/ 942830ST8 102 100000 SH SOLE 100000 0 0 Equities 976657106 80 1245 SH SOLE 1245 0 0 Equities 948626106 20 200 SH SOLE 200 0 0 Equities 949090104 4 201 SH SOLE 201 0 0 PFDs, REITs, 94988N207 26 1000 SH SOLE 1000 0 0 Convertible/ 94974BFN5 45 45000 SH SOLE 45000 0 0 Equities 949746101 1397 25201 SH SOLE 25201 0 0 PFDs, REITs, 949746465 3 115 SH SOLE 115 0 0 PFDs, REITs, 949746556 3 135 SH SOLE 135 0 0 Convertible/ 949746RN3 154 150000 SH SOLE 150000 0 0 Convertible/ 949746SA0 12 12000 SH SOLE 12000 0 0 PFDs, REITs, 42217K106 13 208 SH SOLE 208 0 0 Equities 95058W100 15 881 SH SOLE 881 0 0 Equities 955306105 217 2190 SH SOLE 2190 0 0 Equities 957638109 51 900 SH SOLE 900 0 0 Equities 95766A101 19 1395 SH SOLE 1395 0 0 Equities 95766J102 383 59468 SH SOLE 59468 0 0 Equities 95768B107 277 19000 SH SOLE 19000 0 0 Equities 958102105 3 42 SH SOLE 42 0 0 Equities 959802109 167 8196 SH SOLE 8196 0 0 Equities 96145D105 44 780 SH SOLE 780 0 0 PFDs, REITs, 962166104 87 2388 SH SOLE 2388 0 0 Equities 962879102 126 5705 SH SOLE 5705 0 0 Convertible/ 963320AQ9 2256 2262000 SH SOLE 2262000 0 0 Equities 969457100 2 68 SH SOLE 68 0 0 Convertible/ 97122PBJ1 109 100000 SH SOLE 100000 0 0 Equities D22359133 16 100 SH SOLE 100 0 0 Convertible/ 97705MGS8 12 10000 SH SOLE 10000 0 0 Equities 977874205 2 40 SH SOLE 40 0 0 Convertible/ 97989DAX0 55 50000 SH SOLE 50000 0 0 Equities 981558109 3579 43759 SH SOLE 43759 0 0 PFDs, REITs, 92936U109 40 600 SH SOLE 600 0 0 Equities 98212B103 11 600 SH SOLE 600 0 0 PFDs, REITs, 084423409 3 105 SH SOLE 105 0 0 Convertible/ 95855RCR5 18 15000 SH SOLE 15000 0 0 Convertible/ 026609AC1 64 55000 SH SOLE 55000 0 0 Equities 98310W108 12 275 SH SOLE 275 0 0 Equities 98311A105 16 275 SH SOLE 275 0 0 Equities 984121103 1 35 SH SOLE 35 0 0 Equities 983793100 15 150 SH SOLE 150 0 0 Equities 98462Y100 1 500 SH SOLE 500 0 0 Equities 985572114 0 827 SH SOLE 827 0 0 Equities 98850P109 48 1252 SH SOLE 1252 0 0 Equities 988498101 98 1253 SH SOLE 1253 0 0 Convertible/ 98954MAB7 3622 2865000 SH SOLE 2865000 0 0 Equities 98954M101 6 100 SH SOLE 100 0 0 Equities 98954M200 12 200 SH SOLE 200 0 0 Equities 98956P102 36 320 SH SOLE 320 0 0 Equities 98978V103 50 591 SH SOLE 591 0 0